WOLLO UNIVERSITY

KOMBOLCHA INTUTE OF
TECHNOLOGY

Hydropower Engineering II Module

Prepared By
1 Rebuma Wakessa(MSc in hydraulic Engineering)
2. Asalf Shumete(MSc in Hydraulic engineering)
December 2022
 Hydropower Engineering-II

Prepared by: Rebuma Wakesa (M.Sc)

Course introduction/description
Turbines: types and selection, governing mechanism of generators and other electrical
equipment‟s, selection of suitable equipment and compatibility. Operation and
organization, draft tubes and tailrace, power house planning, surface power station,
underground power stations, transmission of electricity, construction feature of
hydropower system, operation and maintenance of hydropower system, evaluation and
rehabilitation of hydropower system, Min hydropower design.

 Students will try to design mini hydropower model by using

different materials in group

Course Objective

In practice Hydraulic Engineers are required to design, construct and supervise various
types of Hydropower plants. The purpose of this module is to provide the students with
a solid knowledge and understanding of the principles governing the design and
analysis of the different hydropower scheme components and to provide them with an
opportunity to apply the design, construction and supervision procedures learned in
class to a "real life" Hydropower project.

Course Competencies
Students shall be able to
1. plan, design and analysis power house
2. plan, design and analysis transmission
3. plan and supervise rehabilitation and maintenance of hydropower
4. design full component of min hydropower plant
5. plan and supervise construction of hydropower plant
TABLE OF CONTENTS
1. HYDRAULIC TURBINES ......................................................................... 1
1.1 GENERAL ...............................................................................................................1
1.2 CLASSIFICATION .....................................................................................................3
1.3 CHARACTERISTICS OF TURBINES .............................................................................5
1.4 PROCEDURE IN PRELIMINARY SELECTION OF TURBINES ......................................... 17
1.5 TURBINE SCROLL CASE ......................................................................................... 19
1.6 DRAFT TUBES ....................................................................................................... 20
1.7 CAVITATION IN TURBINE & TURBINE SETTING ...................................................... 22
1.8 GENERATORS AND TURBINE CONTROLS ................................................................ 25
1.9 TURBINE CONTROL ............................................................................................... 27
2. HYDROPOWER PROJECT INVESTIGATION AND
PLANNING ....................................................................................................29
2.1 INVESTIGATION OF RESOURCES ............................................................................. 29
2.2 INVESTIGATION OF HYDROPOWER PROJECTS ......................................................... 29
2.2.1 PLANNING P ARAMETERS AND DATA...................................................................... 29
2.2.2 POWER M ARKET ................................................................................................... 30
2.2.3 SUPPLY SYSTEM:................................................................................................... 31
2.2.4 POWER M ARKET SURVEYS: ................................................................................... 32
2.2.5 DEMAND FORECAST: ............................................................................................. 32
2.3 HYDROLOGY ........................................................................................................ 33
2.3.1 FLOW DURATION STUDIES: .................................................................................... 33
2.3.2 ESTIMATION OF FLOW TO UNGAUGED SITES: .......................................................... 34
2.3.3 ENERGY AND POWER ANALYSIS USING FLOW DURATION APPROACH...................... 37
2.3.4 WATER PRESSURE OR „HEAD‟ ............................................................................... 38
2.3.5 RESIDUAL, RESERVED OR COMPENSATION FLOW .................................................... 38
2.3.6 TAIL WATER RELATIONSHIPS ................................................................................ 40
2.4 ESTIMATION OF PLANT CAPACITY AND ENERGY OUTPUT......................................... 40
2.5 RESERVOIR (STORAGE) CAPACITY ......................................................................... 47
2.5.1 AREA CAPACITY CURVES ..................................................................................... 49
2.5.2 RESERVOIR RULE CURVES .................................................................................... 49
2.5.3 EVAPORATION LOSS EVALUATION FROM RESERVOIRS............................................ 50
2.5.4 SPILLWAY DESIGN FLOOD ANALYSIS .................................................................... 50
2.6 GEOTECHNICAL STUDIES ....................................................................................... 51
2.6.1 METHODOLOGIES TO BE USED ............................................................................... 52
2.7 ENVIRONMENTAL ISSUES ...................................................................................... 53
2.8 PROJECT APPRAISAL AND SOCIO-E CONOMIC CONSIDERATIONS.............................. 54
2.9 PLANNING ............................................................................................................ 56
3. POWER PLANT STATIONS: CONVENTIONAL TYPE OF
POWER STATIONS .....................................................................................58
3.1 COMPONENTS OF HYDROPOWER PROJECTS ............................................................ 58
3.2 POWER HOUSE ...................................................................................................... 60
3.2.1 POWER HOUSE TYPES ............................................................................................ 60
3.2.2 POWER HOUSE PLANNING ..................................................................................... 61
3.2.3 COMPONENTS OF A POWER HOUSE ......................................................................... 64

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 3.3 LAYOUT AND DIMENSIONS OF POWER HOUSE ......................................................... 65
3.3.1 LAYOUT OF GENERATING UNITS FOR SMALL HYDROPOWER: .................................. 65
3.3.2 PRELIMINARY DIMENSIONS OF POWER HOUSE FOR MEDIUM AND LARGE HYDRO
(REACTION TURBINE INSTALLATION) .................................................................... 68
4. UNDER GROUND POWER HOUSE....................................................72
4.1 LOCATION OF UNDERGROUND POWER STATIONS ................................................... 72
4.2 ARRANGEMENTS OF UNDERGROUND POWER STATIONS ........................................... 73
4.3 COMPARING ABOVE–GROUND AND UNDERGROUND POWER HOUSE STATIONS
(BASICS FOR COMPARISON OF POWER STATION ALTERNATIVES).............................. 75
4.4 THE FUNCTIONS OF THE POWERHOUSE COMPLEX .................................................... 76
4.5 THE POWER HOUSE COMPLEX................................................................................ 77
4.5.1 MAIN CHARACTERISTICS OF UNDERGROUND POWER PLANTS .................................. 77
4.6 OVERALL PLANT LAYOUT ..................................................................................... 79
4.7 POWERHOUSE TUNNEL SYSTEM ........................................................................... 79
4.8 EXCAVATION EQUIPMENT AND CONSTRUCTION PROCEDURES................................. 81
4.9 TRANSFORMER ARRANGEMENTS AND LOCATIONS ................................................. 83
4.10 HYDROPOWER TUNNELS ....................................................................................... 84
4.11 ROCK STRESSES.................................................................................................... 89
4.11.1 STRESSES NEAR CORNERS ..................................................................................... 94
4.11.2 NORWEGIAN EXPERIENCE, EXAMPLES ................................................................... 98
4.11.3 ROCK STRESS MEASUREMENTS............................................................................. 98
4.11.4 MODELING ......................................................................................................... 100
4.11.5 TUNNELING METHODS ........................................................................................ 102
4.11.6 TUNNEL SUPPORTS ............................................................................................. 105
5. TRANSMISSION OF ELECTRIC POWER.......................................108
5.1 TRANSMISSION AND DISTRIBUTION (T&D) SYSTEM PLANNING ............................. 109
5.2 DESIGN PHILOSOPHY OF OVERHEAD LINES ........................................................... 111
5.3 FRAMEWORK OF A STANDARD ............................................................................. 112
5.4 RIGHT WAY OF PLANNING................................................................................... 113
5.5 TOWER SPOTTING ............................................................................................... 115
5.6 CONDITIONS INFLUENCING THE TOWER SPOTTING................................................ 115
5.7 TOWER DESIGN: (STATIC ANALYSIS AND DIMENSIONING BASED ON AGREED
STANDARDS) .................................................................................................................. 116
5.8 DESIGN OF FOUNDATIONS .................................................................................... 118
5.9 CONDUCTORS ..................................................................................................... 118
5.10 INSULATORS ....................................................................................................... 119
6. CONSTRUCTION FEATURES OF HYDROPOWER
PROJECTS ..................................................................................................120
6.1 RESERVOIRS ....................................................................................................... 120
6.2 CONCRETE DAM CONSTRUCTION ........................................................................ 122
6.3 INSTRUMENTATION OBJECTIVES AND DAM SAFETY ............................................. 129
6.4 DAM SAFETY PRINCIPLE AND CONCEPTS .............................................................. 131

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7. MINI HYDROPOWER PROJECT DEVELOPMENT
CONSIDERATIONS ...................................................................................134
7.1 DEFINITION ........................................................................................................ 134
7.2 ENERGY SUPPLIES IN RURAL AREAS .................................................................... 134
7.3 THE MINI HYDROPOWER DEVELOPMENT ............................................................. 135
7.4 FACTORS OF MHP DEVELOPMENT ....................................................................... 136
7.5 PREFERENTIAL POLICY FOR MHP DEVELOPMENT................................................. 137
7.6 FUNDING ............................................................................................................ 137
7.7 APPROPRIATE TECHNOLOGY FOR MHP ................................................................ 137
7.8 BENEFITS OF MHP.............................................................................................. 138
8. ENVIRONMETAL, SOCIAL AND POLITICAL FEASIBILITY
OF HYDROPOWER PROJECTS..............................................................139
8.1 RESERVOIRS ....................................................................................................... 142
8.2 WATER INTAKES, OPEN CANALS, PENSTOCKS, TAILRACES, ETC.: ........................... 142
8.3 IMPACTS ARISING FROM THE OPERATION OF THE SCHEME ..................................... 143
8.4 LANDSCAPE IMPACT ........................................................................................... 144
8.5 PRELIMINARY QUESTIONS ................................................................................... 145
8.6 CHECKLIST OF CONSIDERATIONS......................................................................... 146
8.7 EVALUATION METHODOLOGIES .......................................................................... 147
8.8 OTHER SOCIAL AND POLITICAL CONSIDERATIONS ............................................... 151
9. ECONOMIC AND FINANCIAL EVALUTION OF
HYDROPOWER PROJECTS ....................................................................153
9.1 INTRODUCTION ................................................................................................... 153
9.2 ECONOMIC AND FINANCIAL FEASIBILITY BASIC EQUATIONS CONCERNING TIME
VALUE……. ................................................................................................................... 154
9.2.1 ECONOMIC AND FINANCIAL FEASIBILITY .............................................................. 154
9.2.2 BASIC EQUATIONS CONCERNING TIME VALUE ...................................................... 155
9.3 COSTS AND BENEFITS ......................................................................................... 157
9.3.1 COSTS ................................................................................................................ 157
9.3.2 BENEFITS ........................................................................................................... 159
9.4 METHODS OF ECONOMIC APPRAISAL ....................................................... 160
9.4.1 THE NET PRESENT VALUE METHOD ...................................................................... 160
9.4.2 THE BENEFIT – COST RATIO METHOD ................................................................... 162
9.4.3 THE INTERNAL RATE OF RETURN METHOD............................................................ 163
9.5 METHODS OF FINANCIAL APPRAISAL .................................................................... 164
9.5.1 FINANCIAL CASH -FLOW ANALYSIS ....................................................................... 164
9.5.2 FINANCIAL BALANCE AND THE PAYBACK PERIOD OF THE LOAN ............................ 165
9.5.3 GENERATION COST AND PROFIT ANALYSIS ........................................................... 169
9.5.4 UNCERTAINTY ANALYSIS .................................................................................... 170

SELF-CHECK SUMMERY EXCERCISE .........................................171

REFERENCES......................................................................................176

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 Hydropower Engineering-II

1. Hydraulic Turbines

Based on the energy transfer and type of action, hydraulic machines are generally
divided in to two:

1.1. GENERAL
Hydraulic turbines may be considered as hydraulic motors or prime movers of a water
power development, which convert water energy (hydropower) in to mechanical energy
(shaft power).

The shaft power developed is used in running electricity generators directly coupled to
the shaft of the turbine, thus producing electrical power.

Activity:

How a Hydroelectric Power System Works?????

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i. Water from rain and melting snow eventually reaches ponds, lakes,
reservoirs, or oceans where evaporation is constantly occurring.

ii. Flowing water is directed at a turbine

iii. The flowing water causes the turbine to rotate, converting the water‟s
kinetic energy into mechanical energy.

iv. The mechanical energy produced by the turbine is converted into electric
energy by a turbine generator

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v. Inside the generator, the shaft of the turbine spins a magnet inside coils of
copper wire. It is a fact of nature that moving a magnet near a conductor
causes an electric current.

1.2 CLASSIFICATION OF TURBINES

Turbines are classified according to several criteria‟s:

i) Based on working principle

a) Impulse turbine b) Reaction turbine

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1. Impulse Turbine:

All the available potential energy is converted in to kinetic energy with the help of
contracting nozzle/s. (eg. Pelton wheel)

2. Reaction Turbine:

The water enters to the turbine in a circumferential direction in to the scroll case and
moves into the runner through a series of guide vanes, called wicket gates.

The total energy partly converted to KE & substantial magnitude remains in the form of
PE (e.g. Francis, Kaplan, Propeller, Bulb, etc)

i) Based on head

Head is the elevation difference of reservoir water level and D/S water level.

a) High head turbine (Above 250 m) Pelton Turbine

b) Medium head turbine (60 – 250 m) Francis Turbine

c) Low head turbine (Below 60 m) Kaplan Turbine

ii) Based on specific speed

a) Low specific speed (8.5 – 30) - Pelton Turbine

b) Medium specific speed (50 – 340) - Francis Turbine

c) High specific speed (255 – 860) - Kaplan Turbine

iii) Based on disposition of turbine main shaft

a) Horizontal shaft

b) Vertical shaft

vi) Based on flow through the runner

a) Radial flow - Propeller or Kaplan

b) Axial flow - Kaplan Turbine

c) Mixed flow - Francis Turbine

d) Tangential flow - Pelton Turbine

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1.3 CHARECTERISTICS OF TURBINES

a). Specific speed: is defined as the speed at which a geometrically similar runner
would rotate if it were so proportioned that it would develop 1 KW when operating
under a head of 1m , and expressed as (from dimensional analysis)

P
N  N
s 5
H 4
Where Ns = Specific speed

N = rotational speed (rpm)

P = Power developed (kw)

H = effective head (m)

b). Turbine or synchronous speed: Since turbine & generator are fixed, the rated speed
of the turbine is the same as synchronous speed of the generator. The speed N, for
synchronous running is given by:
N  120 f
Where f = frequency cycle/sec (50-60 cycles/sec.) p

p = number of poles (divisible by 4 for head up to 200 m) (Divisible by 2 for

head above 200 m)

The speed of a turbine is an important parameter of design. The higher the speed, the
smaller the diameter of the turbine runner & the cheaper the generator coupled to the
turbine. High speed, however, makes a turbine more susceptible to cavitation.

c). Speed factor or peripheral coefficient,: The ratio of the peripheral speed, u, of the
bucket or vanes at the nominal diameter, D, to the theoretical velocity of water under
the effective head, H, acting on the turbine is called the speed factor or peripheral
coefficient, .

u  r
  But ω in rad/sec; 2 N
2gH 2 gH   and r  D / 2
60

DN DN
Therefore,    Where, D and H in m; N in rpm
60 2gH 84.6 H

The following table suggests appropriate values of , which give the highest
efficiencies for any turbine, the head & specific speed ranges & the efficiencies of the
three main types of turbine.

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d). Runaway Speed: If the external load on the machine suddenly drops to zero (sudden
rejection) and the governing mechanism fails at the same time, the turbine will tend to
race up to the maximum possible speed, known as runaway speed. This limiting speed
under no-load, maximum-flow must be considered for safe design.

Type of Runaway Acceptable head variation (% of design head)

runner speed Minimum Maximum
( % of normal
speed )
Impulse 170 - 190 65 125
(Pelton)
Francis 200 - 220 50 150
Propeller 250 - 300 50 150

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Design of hydraulic turbines

i) Design of Pelton Turbine

 It has a circular disk with cup shaped blades/buckets,
 Water jet emerging from a nozzle is tangential to the circumference of the
wheel.

Description of Pelton Turbine Installation

 Pelton turbine is an impulse turbine and the flow is axial,

 Water supplied is from a high head through a long conduit called penstock.
 The water is accelerated in the nozzle and the head is converted into velocit y
and discharges at high speed in the form of a jet at atmospheric pressure.
 The kinetic energy of the jet is lost to the buckets and water discharged at
relatively low speed falls into lower reservoir or tail race. The tail race is set to
avoid submerging the wheel during flooded conditions.

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fig-1.1: Pelton Wheel with 2 jets

1. Velocity of jet: The theoretical velocity of the Jet

Where, CV is the coefficient of velocity of the jet which varies from 0.98 to 0.99.

2. Power available to the Turbine

P= ηߛQH

Where η in efficiency of the turbine, ߛis the specific weight of water, in N/m3, Q is
the flow rate in m3/S, H head in meters.
3. angle∅ߛisisthe
exitAngle ߛ- ∅ angle which varies from 10 to 20o and relation between ∅ and
ߛ=splitter
4. Diameter of the Jet (d): The diameter of the jet is obtained if flow rate is known.

Flow rate Q = area of the jet x velocity of jet x no. of jets

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For a single jet

5. Speed ratio ( u/vj): The speed ratio is the ratio of the velocity (u) of the wheel at
pitch circle to theoretical velocity of the jet.

In practice the value is between 0.44 and 0.46 and average is 0.45.

6. Mean Diameter of the Wheel (D): It is the diameter between centre of the buckets.
The diameter can be obtained from peripheral velocity (u)

Where N = speed of the wheel in

revolutions/min.

7. Jet ratio (m): The ratio of mean diameter of the wheel to diameter of the jet. m = D/d

The Jet ratio varies between 10 to 14 and average value of m is 12.

8. Size of the buckets: The length, width and depth of buckets in terms of diameter of
jet‟d‟ is shown in Fig. below.

9. Number of Jets (n): Pelton wheels are single jet or multiple jets. When large power is
required the flow rate required also increases and then multiple jets required. The jet
should have sufficient spacing so that jet strikes one bucket at a time. Ordinarily not
more than four jets are provided for horizontal turbine. A vertical Pelton turbine with
six jets can be used.

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Fig-1.2: Pelton Wheel

with Four Jets

10. Number of buckets (z): The number of buckets is usually obtained from the
following empirical formula given by Taygun:

Where m is jet ratio

Regulation of Pelton Wheel

 Turbines are usually coupled to an electric generator and the generator must run
at constant speed to maintain frequency of supply constant.
 It is also desirable to run turbine at maximum efficiency and therefore speed
ratio u/Vj must remain same which means the jet velocity must not change.
 The only way to adjust the load is to change hydraulic power input given by

p= γQH

 Thus flow rate will change by changing the area of the jet or more closely the
diameter of the jet. This is accomplished by a spear valve and deflector plate
shown in Fig. below.

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Example-1. A Pelton turbine develops 8 MW under a head of 130 m at a speed of 200 rev/min.
The following are the particulars of Pelton wheel.

–Coefficient of velocity (C) of the nozzle 0.98

–Speed ratio 0.46

–jet diameter 1/9 of diameter of the wheel

–overall efficiency 87%

Determine:

–Flow required –diameter of the wheel

–Diameter of the jet –number of jets

–number of buckets

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Solution:

ii) Design of Francis turbine

 Francis Turbine It is a reaction turbine developed by English born American
Engineer, Sir J.B. Francis.
 It is a reaction turbine and therefore only a part of the available head is
converted into the velocity head before water enters the runner.
 The water enters the turbine through the outer periphery of the runner in the
radial direction and leaves the runner in the axial direction, and hence it is
called „mixed flow turbine‟.
 The interaction between the fluid and runner blades results in torque applied to
the runner. The runner is connected to the driving shaft to drive an electric
generator.

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 The water after doing the work leaves through the draft tube. Essentially a
diffuser type whose area increases in the direction of the fluid flow. As area
increases velocity decreases.
 A Francis turbine is suitable for medium heads (45 to 400 m) and requires a
relatively large quantity of water.

Water from spiral casing

Water particle

R a d i a l v i e w
runner guide vanes and stay vanes

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Symbols: B breadth/width of runner vane D diameter of runner

z number of runner vanes t thickness of runner vane

n ratio of width to diameter of runner X Flow ratio

ø speed ratio Vf flow velocity

 The number of runner vanes varies from 16 to 24. The number of runner vanes
should be either one more or less than the number of guide vanes to avoid
periodic impact.

Regulation of Francis Turbine

 Francis turbine usually drives an electric generator, and hence the speed must
remain constant. Since the total head available is constant it is not desirable to
control flow rate by a valve due to hydraulic losses.
 The flow rate in Francis turbine is controlled by varying the flow area in
between the adjustable guide vanes. The guide vanes are hinged at the center to
a circular ring. The area in between the vanes is varied by varying the guide
vane angle u
 The regulation of guide vanes is done by servo mechanism. As load on
the turbine decreases the piston of servo mechanism Ir,l>ves to the right
and this causes the movement necessary to close the gates.

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Guide vane at Max. open

Position = 18° Guide vane at closed position

Operation of Guide Vanes

iii) Design of Kaplan & propeller turbine

It was developed in 1913 by

The Austrian professor Viktor Kaplan

Guide vanes

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 Propeller and Kaplan turbines are axial flow reaction type turbines, suitable for
low head and high discharge.

 In the propeller type only guide vanes are adjustable with fixed runner blades
while The Kaplan turbine is fitted with adjustable runner blades and both guide
vanes and runner blades act simultaneously.

 The Kaplan turbine is an inward flow reaction

turbine, which means that the working fluid
changes pressure as it moves through the
turbine and gives up its energy.

 The design combines radial and axial features.

The inlet is a scroll-shaped tube that wraps around
the turbine's wicket gate. Water is directed
tangentially through the wicket gate and spirals on
to a propeller shaped runner, causing it to spin.

The Kaplan turbine was an evolution of the

Francis turbine. Its invention allowed efficient
power production in low-head applications that
was not possible with Francis turbines.
Kaplan turbines are now widely used throughout
the world in high-flow, low-head power
production.

Flow rate is given by the equation

Q = area x Velocity of flow

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1.4 PROCEDURE IN PRELIMINARY SELECTION OF TURBINES

 In practice, different selection procedures are used.

 Engineering firms or agency engineering staffs do the selection using
experience curves based on data from units that have already been built and
installed or tested in laboratories
 Another approach that is preferred by manufacturers is that they be provided
with the basic data on head, water discharge, turbine setting possibilities, and
load characteristics. The selection is then based on hill curves from model
performance data that are proprietary in nature.

Criteria for selection of appropriate type of turbine

1. Net head

2. Range of discharges through the turbine

3. Rotational speed

4. Overall cost

1. Net head

 The first criterion to take into account in the turbine's selection is the net head.

Table: range of operating heads for each type of turbine.

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2. Range of discharge

 The range of discharge is an important factor for selecting the appropriate type
of turbine. It is necessary to know the flow regime, commonly represented by
the Flow Duration Curve (FDC)

Range of discharge and head of a turbine

General description flow and head variation

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3. Specific speed

Range of specific speed for each turbine type

1.5 TURBINE SCROL CASE

a. Turbine Scroll Case

A scroll casing/volute is the conduit directing the water from the intake or penstock to
the runner in reaction type turbine installation.

A spiral shaped scroll case of the correct geometry ensures even distribution of water
around the periphery of the runner with the minimum possible eddy formations.

The cross-sectional area of this casing decreases uniformly along the circumference to
keep the fluid velocity constant in magnitude along its path towards the stay vane/guide
vane.

Fig-1.3: Recommended dimensions of Scroll Casings

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1.6 DRAFT TUBES

 A draft tube is a conduit discharging water from the turbine runner to the
tailrace.

Draft tube has two basic functions/purposes:

 To recover as much as possible of the velocity energy of the water

leaving the runner, which otherwise would have gone to waste as an exit
loss, thus increasing the dynamic draft head.
 To utilize the vertical distance between the turbine exit and the tail-
water level, called the static draft head. In other words, to allow the
turbine to be set at higher elevation without losing the advantage of
elevation difference.

The most common is elbow type which minimizes the depth of substructure compared
to vertical cone; it also has a desirable effect in directing the flow in the direction of the
tail water.

Elbow-type Draft
Tube

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Straight
Conical Draft
Tube

Tail Race

 Draft tube discharges water in the tail race, which may lead it to the same
stream or to another.
 The channel into which the water is discharge after passing through the
turbines is known as the Tailrace.
 If the power house is close to the stream the outflow may be discharged
directly into the stream. But, when the stream is far off from the power
house, construction of tailrace channel or tunnel is necessary.
 The tailrace must be designed properly and should not be neglected.
 Proper design and maintenance is necessary so as to avoid excessive
aggradations (i.e. silting) or degradation (i.e. scouring) of the bed.

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1.7 CAVITATION IN TURBINE AND SETTING

 When the hydrodynamic pressure in a liquid flow falls below the vapor pressure
of the liquid, there is a formation of the vapor phase.
 Such phenomenon induces the formation of small individual bubbles that are
carried out of the low-pressure region by the flow and collapse in regions of
higher pressure.
 The formation of these bubbles and their subsequent collapse gives rise to what
is called cavitation.
 Experience shows that these collapsing bubbles create very high impulse
pressures accompanied by substantial noise (in fact a turbine undergoing
cavitation sounds as though gravel is passing through it). The repetitive action
of such collapse in a reaction turbine close to the runner blades or hub for
instance results in pitting of the material.
 Cavitation results in pitting, vibration and reduction in efficiency and is
certainly undesirable.
 In a relatively short time the turbine is severely damaged and will need to be
shut-off and repaired – if possible.

The cavitation characteristic of a hydraulic machine is defined as the cavitation

coefficient or plant sigma (σ), given by  Ha  Hv Ys 
  
 H 

Where Ha – Hv = Hb, is the barometric pressure head (at sea level and 20°C, Hb =10.1
m), and H is the effective head on the runner.

From the above equation the maximum permissible turbine setting Ys, max
(elevation above tail water to the center line of the propeller runners or to the bottom of
the Francis runners) can be written as (Thoma‟s formula)

Where σc is the minimum (critical)

Ys, max = Hb - σ c H value of at which cavitation occurs
(usually determined by experiments).

 Cavitation may be avoided by suitably designing, installing and operating the

turbine in such a way that the pressures within the unit are above the vapour
pressure of the water.
 Turbine setting or draft head “Ys” is the most critical factor in the installation of
the reaction turbines.

If Ys is negative or positive the runner must beset below or above the tail water
respectively.

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Location of Turbine setting

Typical values of σc for reaction turbines, versus their specific speeds, are shown in
Table below.

The above recommended limiting values of may also be approximated by

σc = 0.0432(Ns/100)2 for Francis runners and

σc = 0.280.0024(Ns/100)3 for propeller runners

With an increase of c by 10% for Kaplan turbines (Mosonyi, 1987).

The preliminary calculations of the elevation of the distributor above the tail water
level (Yt) suggest the following empirical relationships (based on knowledge of the
existing plants (Doland, 1957)):

Yt = Ys + 0.025DNs0.34 for Francis runners and

Yt = Ys + 0.41D for propeller runners

Where D is the nominal diameter of the runner.

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Example:

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1.8. Generators and Turbine Controls

Generators transform mechanical energy into electrical energy. Although most early
hydroelectric systems were of the direct current variety to match early commercial
electrical systems, nowadays only three-phase alternating current generators are used in
normal practice. Depending on the characteristics of the network supplied, the producer
can choose between.

Synchronous generators equipped with a DC excitation system (rotating or static)

associated with a voltage regulator, to provide voltage, frequency and phase angle
control before the generator is connected to the grid and supply the reactive energy
required by the power system when the generator is tied into the grid. Synchronous
generators can run isolated from the grid and produce power since excitation is not
grid-dependent
Asynchronous generators are simple squirrel-cage induction motors with no possibilit y
of voltage regulation and running at a speed directly related to system frequency. They
draw their excitation current from the grid, absorbing reactive energy by their own
magnetism. Adding a bank of capacitors can compensate for the absorbed reactive
energy. They cannot generate when disconnected from the grid because are incapable
of providing their own excitation current.
Synchronous generators are more expensive than asynchronous generators and are used
in power systems where the output of the generator represents a substantial proportion
of the power system load. Asynchronous generators are cheaper and are used in large

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 Hydropower Engineering-II

grids where their output is an insignificant proportion of the power system load. Their
efficiency is 2 to 4 per cent lower than the efficiency of synchronous generators over
the entire operating range. In general, when the power exceeds 5000 kVA a
synchronous generator is installed.
Recently, variable-speed constant-frequency systems (VSG), in which turbine speed is
permitted to fluctuate widely, while the voltage and frequency are kept constant and
undistorted, have entered the market. This system can even „‟synchronize‟‟ the unit to
the grid before it starts rotating. The key to the system is the use of a series resonant
converter in conjunction with a double feed machine. Unfortunately its cost price is still
rather high and the maximum available power too low.
The working voltage of the generator varies with its power. The standard generation
voltages are 380 V or 430 V up to 1400 kVA and at 6000/6600 for bigger installed
power. Generation at 380 V or 430 V allows the use of standard distributor
transformers as outlet transformers and the use of the generated current to feed into the
plant power system. Generating at medium voltage requires an independent transformer
MT/LT to supply the plant services.

Figure-1.4: Generator Set up Figure-1.5: Generator Installation

Turbines are designed for a certain net head and discharge. Any deviation from these
parameters must be compensated for, by opening or closing control devices such as the
wicket-vanes or gate. The generator becomes overloaded and the turbine slows-down.
In this case there are basically two approaches to control the runner speed: either by
controlling the water flow to the turbine or by keeping the water flow constant and
adjusting the electric load by an electric ballast load connected to the generator
terminals.

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 Hydropower Engineering-II

In the first approach, speed (frequency) regulation is normally accomplished through

flow control; once a gate opening is calculated, the actuator gives the necessary
instruction to the servomotor, which results in an extension or retraction of the servo‟s
rod. To ensure that the rod actually reaches the calculated position, feedback is
provided to the electronic actuator. These devices are called speed governors.

In the second approach it is assumed that, at full load, constant head and flow, the
turbine will operate at design speed, so maintaining full load from the generator; this
will run at a constant speed. If the load decreases the turbine will tend to increase its
speed. An electronic sensor, measuring the frequency, detects the deviation and a
reliable and inexpensive electronic load governor, switches on preset resistances and so
maintains the system frequency accurately.

The controllers that follow the first approach do not have any power limit. The
Electronic Load Governors, working according to the second approach rarely exceeds
100 kW capacities.

1.9 TURBINE CONTROL

Governors
A governor is a combination of devices and mechanisms, which detect speed deviation
and convert it into a change in servomotor position. A speed-sensing and amplified to
excite an actuator, hydraulic or electric, that controls the water flow to the turbine. In a
Francis turbine, where to reduce the water flow you need to rotate the wicket-gates a
powerful governor is required to overcome the hydraulic and frictional forces and to
maintain the wicket-gates in a partially closed position or to close them completely.
Several types of governors are available varying from purely mechanical to
mechanical-hydraulic to electro-hydraulic. The purely mechanical governor is used
with fairly small turbines, because its control valve is easy to operate and does not
require a big effort. These governors use a fly ball mass mechanism driven by the
turbine shaft. The output from this device .the fly ball axis descends or ascends
according to the turbine speed- directly drive the valve located at the entrance to the
turbine.

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 Hydropower Engineering-II

The most commonly-used type is the oil-pressure governor that also uses a fly ball
mechanism lighter and more precise than that used in a purely mechanical governor.
When the turbine is overloaded, the fly balls slowdown, the balls drop, and the sleeve
of the pilot valve rise to open access to the upper chamber of the servomotor. The oil
under pressure enters the upper chamber of the servomotor to rotate the wicket-gates
mechanism and increase the flow, and consequently the rotational speed and the
frequency.

Figure-1.6: Oil-pressure governor

In an electro-hydraulic governor a sensor located on the generator shaft continuously

senses the turbine speed. In general the actuator is powered by a hydraulic power unit
consisting of a sump for oil storage, an electric motor operated pump to supply high
pressure oil to the system, an accumulator where the oil under pressure is stored, oil
control valves and a hydraulic cylinder. To provide quick and stable adjustment of the
wicket-gates, and/or of the runner blades, with the least amount of over or under speed
deviations during system changes a further device is needed. In oil pressure governors
this is achieved by interposing a „‟dash pot‟‟ that delays the opening of the pilot valve.
In electro-hydraulic governors the degree of sophistication is much greater, so that the
adjustment can be proportional, integral and derivative (PID) giving a minimum
variation in the controlling process.

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2. Hydropower Project Investigation and Planning

2.1 Investigation of Resources

 Basic Investigations
Hydropower investigations are often carried out as part of an inventory of water
resources, to identify, register and catalogue the hydropower resources existing in river
basins, areas and districts.
The main purpose of such investigation is to register the available resources and to
determine size and other qualities. Investigated projects are often ranked according to
size, costs, priority, etc.
 Purpose oriented Investigations
Purpose oriented investigations have specific terms of reference to meet. They are far
more comprehensive than basic investigations and are organized accordingly.

2.2 Investigation of Hydropower Projects

A proposed hydropower project which supposed to meet for an established demand for
electric power and energy must be adapted to the physical conditions at hand. Precise
and reliable knowledge about the market situation, socio-economic trends and
development plans are needed in order to make predictions about the future need for
electricity and to establish a demand (or load) forecast. In this connection not only the
size of the demand needs to be known but also the type of load, peaking needs, etc.

2.2.1 Planning Parameters and Data

Several planning parameters and comprehensive data and information are needed for
investigation of hydropower resources and planning of hydropower projects. The main
data are derived from:
Forecast of demand for electricity, and from studies of:
- hydrology - geology, soils and materials
- topography
Important issues, indirectly part of the planning process, are:
- environmental constraints - electricity tariffs, and tariff policy
- socio-economic considerations

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 Hydropower Engineering-II

These issues influence project planning and project formulation and also contribute to
project costs

2.2.2 Power Market

Demand:
The need for and the purpose of demand forecasts are fully recognized. Not only the
size but the “shape” of the demand is important factor in planning the power supply. By
shape is meant the daily, seasonal and annual variation of the demand curve.

A lot of planning information can be derived from the demand curves of supply
systems. They will indicate need for regulation of watercourse contemplated for
development as they give information on the water needed for generation on a daily,
seasonal and annual basis. Such demand curves also provide data needed to determine
the size of generation, installations, and unit size and transmission facilities.

The minimum installation in the development should at least satisfy the energy and
power demand required by the load curve often termed as firm power or energy and the
maximum size can also be fixed by referring the peak demand.
140
M a x im u m

120

100
C o ld
80

60
S e a s o n a l V a r ia ti o n
40
Load (MW)

M a x im u m
20
Hot

0
0 3 6 9 12 15 18 21 24
Tim e o f O c c u r e n c e (H r s )

Figure-2.1: Typical 24 Hours Load Curve

The term “firm” is given to supply which can be guaranteed at all times or at large
percentage of the time (e.g. 90% of the time). This type of supply is distinguished from
the supply governed by the availability of water, which is often termed “secondary”.
Supply available as a result of seasonal excess of water or abnormal runoff is termed

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 Hydropower Engineering-II

“surplus” as the alternative to generation is letting the water runoff (spilling). Some of
the river discharge is by nature firm, usually the minimum flow, but its share of the
total discharge can be increased by introducing regulation of the river, i.e. provision of
storage reservoirs from which water can be drawn during dry periods.

The value of having guaranteed supply of water and the additional costs involved in
regulation is reflected in the price of electricity and firm supply commands a higher
price than secondary and surplus power and energy.

The highest priced energy, however, is often the supply termed “peaking”. By peaking
is meant the load which can be supplied to meet the variation in demand in a supply
system. It is measured as excess of the average demand over a period of time, day,
season or year.

2.2.3 Supply system:

The network of consumers which can be reached by a generation scheme is known as

the supply system. The additional power should also be fully compatible with the
requirements of the system it will supply. System studies will have to explore:
- the influence of the new scheme on the operation of the existing system and on the
structure of its production costs
- the effects of the new scheme on the expansion of the system
- the optimum dimensioning of the new scheme in relation to system requirements
and the phasing of its development
- the transmission capacity and any strengthening of the network needed for
absorbing the output from the new generation scheme

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 Hydropower Engineering-II

1400
Power Dura tion Curve
300
1200

250
1000

200

P o w e r (X 1 0 3 K W )
800
F low

150
600

400 Reg. firm flow Reg. fir m Pow er

200 Unreg.fir m Pow e r

Unreg. firm flow

0
0
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 0% 20% 40% 60% 80% 100%
% of time f low equalled or exceeded
% tim e flow equalled or exceeded

Figure-2.2: Unregulated and Regulated firm

power flow

2.2.4 Power Market surveys:

In order to achieve a balanced and orderly development of the power supply to an area,
the planning has to be based on reliable knowledge of the market, the present and the
future demand. Power market surveys are means of evaluating the present and potential
markets for electric energy in a defined area.
The market survey will consider the effects on the use of electric energy within the
survey are of such factors as:
- geographical location - the economic status and prospective
- natural resources growth of the population
- industrial development - substitution loads
- new power uses

2.2.5 Demand forecast:

As hydropower development has long lead-time, it is necessary to be guided by a long
term demand prognosis. Normally demand forecast cover at least ten years or more.
They are organized in such a way that periodic updating is easy to perform.
- base case - low case - high case

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2.3 Hydrology
Hydrological studies will provide data on the flow of water, one of the main parameters
used in hydropower planning.
Precipitation and hence water supply, varies widely between geographical locations,
from season to season and from year to year. Each of these variations has a profound
effect on the planning for the control and use of water resources.

The generation of hydropower does not imply consumption of water except as a result
of incidental evaporation, especially from reservoirs. The extent to which power
production will affect the use of water for other purposes will depend on a number of
factors such as:
- the location and capacity of power plants
- the nature of power to be produced, that is, RoR power, firm power or peaking
power
- the amount of fore bay and after bay regulation provided
- and the relative preference assigned to the uses of water for various purposes
The determination of the water requirement for power production is probably best
accomplished by “trial and error” methods including incremental analyses and will
require close coordination and integration of power, economic and social studies.
Hydrological data:
- `historical series of daily or monthly flows
Rainfall data:
- historical series of daily, monthly or annual total of rainfall
Basic hydrological studies are required mainly to determine water discharge and
hydraulic head.

2.3.1 Flow duration studies:

A useful way of treating the time variability of water discharge data in hydropower
studies is by utilizing flow duration curves. A flow duration curve is a plot of flow
versus the percent of time a particular flow can be expected to be exceeded.
Methods of computing:
- rank-ordered technique - class-interval technique

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 Hydropower Engineering-II

2.3.2. Estimation of flow to ungagged sites:

All too often the stream flow data that are available from measured gauging stations are
not from location for which a hydropower site analysis is to be made. Methods are
required to develop extrapolation of measured flow duration data which will be
representative of a given site on a stream.

10000

Gage 4
Gage 3

1000

Gage 2
Flow

Gage 1

100

10
0 10 20 30 40 50 60 70 80 90 10
Exceedence Percentage

Fig-2.3: FDC for gauging stations in a homogeneous drainage basin

There are several methods to estimate flows from ungagged catchments: - Regional
frequency analysis, sequential flow analysis and use of Parametric Flow Duration
Curve are some of them. Then a coefficient of runoff for the area on an annual basis
must be estimated
A regional frequency analysis involves regression analysis of gauged catchments within
the general region. Once these equations are developed, they can be then be applied to
un-gauged basins within the same region and data of similar magnitude used in
developing the equations.
A regional analysis usually consists of the following steps:
- Selecting components of interest, such as mean and peak discharge
- Selecting definable basin characteristics of gauged watershed: drainage are,
slope, etc.
- Deriving prediction equations with single or multiple linear regression analysis

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 Hydropower Engineering-II

- Mapping and explaining the residuals (differences between computed and

observed values) that constitute “unexplained variances” in the statistical
analysis on a regional basis.
Some of the equations may have the form:

Q2  0.24 A 0.88 P1.58 H 0.80 Where:

Q5  1.20 A 0.82
P 1.37
H 0.64
Q = peak discharge
Q10  2.63A 0.80
P 1.25
H 0.58
A = drainage area
Q25  6.55 A 0.79
P 1.12
H 0.52
P = mean annual precipitation
Q50 10.4 A 0.78
P 1.06
H 0.48
H = altitude index
Q100 15.7 A 0.77
P 1.02
H 0.43

The basic approach in regulated and sequential flow analysis can be explained by
referring to the physiographic layout of figure 2.4. In this case a measured record for a
considerable length of time is assumed to be available at reservoir outlet A. the
location for which flow data are needed is at point B. the flow at B is the inflow from
an area of considerable extent where there is no stream gauge record, plus inflow from
the operations of a reservoir at station A. First an estimate must be made of the average
annual runoff from area. This is done by planimetering the isohyetal map of normal
annual precipitation and getting the normal annual water input into area, the volume of
water per year.
o b t a in f r o m e n t it y
1 . R e s e rv o ir O u t fl o w
o p e r a t in g r e s e r v o ir
r e c o r
( lo c a t io n a t A )

2 . D e t e rm in e P la n im e t e r N . A . P .
m a p s a n d e s t im a t e
a v e r a g e a n n u a l
c o e f f ic ie n t o f r u n o f f .
r u n o ff fr o m u n g a u g e d
( L o c a t io n i s B
t r ib u t a ry a re a . c o n s id e r in g a r e a M )

3 . C o m p u t e
S e e s e q u e n t ia l
s e q u e n t i a l fl o w fr o m f lo w a n a ly s is
u n g a u g e d t rib u t a r y f lo w c h a r t
a r e a .

T h is is s im p le
4 . S u m o u t flo w s
s e q u e n t ia l a d d it i o n o f
fr o m u n g a u g e d c a lc u la t e d in f lo w f r o m
t r ib u t a ry a re a a n d u n g a u g e d a r e a p lu s
r e s e r v o ir o u t fl o w o b s e r v e d r e s e r v o ir

5 . P e r fo r m 6 . P e r fo r m U s e s ta n d a r d
flo w d u ra t io n o r s e q u e n t ia l h y d r o lo g ic
a n a ly s is flo w a n a ly s is t e c h n iq u e

Figure-2.4: Method for determining flow duration of regulated flow combined with un-
gagged inflow

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 Hydropower Engineering-II

Figure-2.5: Physiographic layout catchment (Reservoir Area)

D i s t r ib u t io n o f f lo w a t
C h o o s e g a u g e m u s t b e
re p re s e n ta t ive r e p r e s e n t a t iv e o f
s t re a m g a u g e w h a tc a n b e e x p e c te d
s t a t io n C f ro m u n g a u g e d t r ib u t a r y
a re a M

a i = f l o w v o lu n e f o r p e r io d I
d iv id e d b y t o t a l v o lu m e f o r
e n t i r e p e r io d I t o n
w h e r e a i = in c r e m e n t a l f lo w
C o m p u t e i n c r e m e n t a l flo w f r a c t io n f o r p a r t i c u l a r p e r i o d i
f r a c t i o n fo r r e p r e s e n t a t i v e i w i l l b e s e q u e n t ia ll y e a c h
g u a g e a t s t a t io n C n u m b e r f r o m 1 to n
n = n u m b e r o f t i m e p e r i o d s in
e n t i r e r e c o r d o f f lo w s a t
s t a t io n C ( m o n t h s , d a y s )

q B M i = a iQ R m /t

w h e r e q B M i = in f lo w f r o m u n g a u g e d
t r ib u t a r y a r e a M f o r p e r io d i
C o m p u te u n g a u g e d
Q R = a v e r a g e a n n u a l r u n o f f in
t r i b u t a r y a re a i n flo w v o l u m e u n it s f o r a r e a M
m = n u m b e r o f y e a r s in e n t i r e p e r i o d
b e tw e e n i = 1 a n d i = n
t = t i m e u n it s f o r e a c h p e r i o d

P ro c e e d to s u m
w it h re u la te d
o u t f l o w s fr o m r e s e r v o i r

Figure-2.6: Flow diagram for computing sequential flow magnitudes from ungagged
tributary area.
A sequential flows coming off area must be computed. The time increments or periods
must correspond to the records of discharge available from reservoir operation. First a
flow record at station C must be obtained and studied. The record at C is assumed to
have the same time distribution of flow as the runoff coming off area. An incremental
fraction of flow, ai, for an increment of time in the total desired time period must be
obtained for the representative gauge C. Figures 2.4 and 2.3 give flow diagrams for a
step by step procedure to calculate the sequential inflow from the un-gauged area
labeled in figure 2.5. Once the sequential flows have been calculated it is a simple
procedure to add, sequentially the flow from the un-gauged tributary to the regulated
flows.

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 Hydropower Engineering-II

In regions where stream flow does not vary with respect to the contributing drainage
area flow duration curves can be plotted for the gauged sites. From these flow duration
curves are developed a family of parametric duration curves in which flow is plotted
against the average

The product of this coefficient and the computed normal annual precipitation input to
the basin and the basin area can be used to calculate the average annual discharge as:

kPA
Q 
T
2.3.3. Energy and Power Analysis using Flow Duration approach
In processing regulated and unregulated flow data, it is important to recognize that in
the power equation, flow is the primary limiting factor. When a Run-Off-River type of
power study is done and a flow duration analysis is used, the capacity or size of the
hydropower units determines the maximum amount of water that will go through the
unit or units. This is dictated by the nominal runner diameter and the accompanying
outlet area and draft tube.

In the figure below Qc is the discharge capacity of the plant under the design head. This
Qc is the discharge at full gate opening of the runner under design head. Even though to
the left of Qc on the flow duration curve the stream discharge is greater, it is not
possible to pass the higher discharge through the plant. If the reservoir or pondage is
full, water must be bypassed by a spillway.

To the right of the runner discharge capacity point, Qc, it should be noted that all the
water that can go through the turbine is the amount flowing in the river at the particular
percent of time point. This shows that full-rated power production will not be produced.
With pondage it is possible to alter this for short periods of time, but the total amount
of energy output cannot be increased.

If hydraulic head and the expected losses in the penstock are known, it is possible to
generate a power duration curve from the flow duration curve.

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2.3.4. Water pressure or „Head‟

Measurement of gross head:

The gross head is the vertical distance that the water falls through in generating power,
i.e. between the upper and lower water surface levels. Field measurements of gross
head are usually carried out using surveying techniques. The precision required in the
measurement will impose the methods to be employed.
In the past the best way to measure was by leveling with a surveyor‟s level and staff,
but the process was slow. Nowadays with digital theodolites, the electronic digital
levels and especially with the electronic total stations the job has been simplified. The
modern electronic digital levels provides an automatic display of height and distance
within about 4 seconds with a height measurement accuracy of 0.4 mm, and the internal
memory makes it possible to store approximately 2,400 data points. Surveying by
Global Positioning Systems (GPS) is already practiced and a handheld GPS receiver is
ideal for field positioning, and rough mapping.

Estimation of net head:

Having established the gross head available it is necessary to allow for the losses
arising from trash racks, pipe friction, bends and valves. In addition to these losses,
certain types of turbines must be set to discharge to the atmosphere above the flood
level of the tail water (the lower surface level). The gross head minus the sum of all the
losses equals the net head, which is what is available to drive the turbine.

2.3.5. Residual, reserved or compensation flow

An uncontrolled abstraction of water from a watercourse, to pass it through a turbine,
even if it is returned to the stream close to the intake, could lead to sections of the
watercourse being left almost dry with serious results for aquatic life.

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 Hydropower Engineering-II

100
Q (m3/s)

10
Runner Discharge Capacity point

1 Qc
0 10 20 30 40 50 60 70 80 90 100
Exceedence percentage

Figure-2.7: Flow duration curve showing discharge capacity value

100

Figure-2.8: Power duration curve

Turbine
Turbine power output

To avoid this incident, permission to 10

divert water through a hydro turbine or a

license to abstract from a river or stream Qc
will almost always specify that a certain
residual flow should remain. 1
0 20 40 60 80 100

It is in the interest of the hydro-power % of time power is equal or

exceeded

developer to keep the residual flow as small as is acceptable to the licensing authority,
since in seasons of low flow, its release may mean generation being stopped if there is
insufficient discharge to provide for the turbine. On the other hand the lack of flowing
water can endanger the life of the aquatic biota

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 Hydropower Engineering-II

Figure-2.9: Residual, reserved or compensation flow:

2.3.6. Tail water Relationships

As release of water over spillways and other releases in to the stream immediately
below a hydropower plant are made, the tail water elevation below the outlet to the
turbine will fluctuate. Therefore, it is important to develop a tail water elevation versus
discharge curve over the complete range of flow that is to be expected. Preparing such a
curve requires an adequate contour map of the channel area and an estimation of
velocity in the channel at various stages of flow. Information on normal tail water,
maximum tail water, and minimum tail water elevations is necessary to determine
design head and to determine the appropriate turbine setting. Estimating stream channel
velocity can be made using slope-area calculations that involve conventional
Manning‟s open-channel-flow equation.

2.4 Estimation of plant capacity and energy output

The FDC provides a means of selecting the right design discharge and taking into
account the reserved flow and the minimum technical turbine flow, the plant capacity
and the average annual energy output can be estimated.
Figure 2.9 illustrates the FDC of the site it is intended to evaluate. Usually the design
flow is assumed to be, in a first approach, the difference between the mean annual flow
and the reserved flow. In actual practice is strongly recommended to evaluate the plant

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 Hydropower Engineering-II

for other design flows in order to choose, the one that yields the best results. Once the
design flow is defined (Qm-Qres), and the net head is estimated, suitable turbine types
must be identified. The suitable turbines are those for which the design flow and head
plot within the operational envelopes (figure 2.11). Every selected turbine has a
minimum technical flow (with a lower discharge the turbine either cannot operate or
has a very low efficiency) and its efficiency is a function of the operating discharge.
The gross average annual energy (E in kWh) is a function

E = fn (Qmedian, Hn, ηturbine, η generator, η gearbox, ηtransformer, γ,h)

Where:
3
Qmedian = flow in m /s for incremental η generator = generator efficiency η
steps on the flow duration curve gearbox = gearbox efficiency
Hn = specified net head ηtransformer = transformer efficiency
ηturbine = turbine efficiency, a function h = number of hours for which the
of Qmedian specified flow occurs.
The strip is calculated using the equation:
ΔE = W. Qmedian.H. ηturbine. ηgenerator η gearbox. ηtransforme . γ,h
Where:
W = strip width h = number of hours in γ = specific weight of
a year the water (9.81 KN/m3)
The gross average energy is then the sum of the energy contribution for each strip. The
3
capacity of each turbine (kW) will be given by the product of their design flow (m /s),
3
net head (m), turbine efficiency (%), and specific weight of the water (kN/m ).

Figure-2.10: Typical Turbine efficiency

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 Hydropower Engineering-II

Table-2.1: Minimum technical flow of turbines

Turbine Type Qmin
Francis spiral 30
Francis open flume 30
Semi Kaplan 15
Kaplan 15
Cross flow 15
Pelton 10
Turgo 10
Propeller 65

Plant capacity Determination

Turbine selection and plant capacit y determination require that rather detail information
has been determined on head and possible plant discharge. In theoretical sense, the
energy output, E, can be expressed mathematically as plant output or annual energy in a
functional relation as:
E = f(h,q,TW, d, n, Hs, P max) (1.2)
Where h = net effective head
q = plant discharge Hs = turbine setting elevation
TW = tail water elevation above tail water
d = diameter of runner P max = maximum output
n = generator speed expected or desired at plant
It is seen that there are numerous parameters that can be varied to achieve the best
selection. The usual practice is to base selection on the annual energy output of the
plant and the least cost of that energy for the particular scale of hydropower
installation.

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 Hydropower Engineering-II

Figure-2.11: Turbine Envelopes

Thus one must recognize that determination of plant capacity requires analyses that
vary the different parameters in equation (1.2) while applying economic analysis.
Limits of use of turbine types
For practical purposes there are some definite limits of use that need to be understood
in the selection of turbines for specific situations. Impulse turbines normally have most
economical application at head above 300 m.
For Francis turbines the units can be operated over a range of flows from approximately
50 to 115% best efficiency discharge. Below 40%, low efficiency, and rough operation
may make extended operation unwise. The upper range of flow may be limited by
instability or the generator rating and temperature rise. The approximate limits of head
range from 60 to 125% of design head.

Propeller turbines have been developed for heads from 2 to 70m but are normally used
for heads less than 30 m. For fixed blade propeller turbines the limits of flow operation
should be between 75 and 100% of best-efficiency flow. Kaplan units may be operated
between 25 and 125% of the best efficiency discharge. The head range for satisfactory
operation is from 20 to 140% of design head.

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 Hydropower Engineering-II

Determination of number of units

Normally, it is cost effective to have minimum number of units at a given installation.
However, multiple units may be necessary to make the most efficient use of water
where flow variation is high. Factors such as space limitations by geological
characteristics or existing structure may dictate larger or smaller units. The difficulty of
transporting large runners sometimes makes it necessary to limit their size. Larger
units require construction in segments and field fabrication with special care. Field
fabrication is costly and practical only for multiple units where the cost of facilities can
be spread over many units. Runners may be split in two pieces, completely machined in
the factory and bolted together in the field. This is likewise costly, and most users avoid
this method because the integrity of the runner cannot be assured.
Figure 2.12 shows how multiple units can be used effectively to take advantage of low
flow variation. At the design stage of analysis and with availability of standardized
units, it may be desirable to consider as alternatives a single full-capacity unit, two or
more equal size units, and two or more unequal size units to determine the optimum
equipment selection 100000

100

90
10000
80

70
D is c h a rg e ( Q )
Available flow

60
20% 1000
50 Turbine#1
30%
40
40% Turbine#2

30 Turbine#3 100
70%
20
Turbine#4
10

0
10
0 10 20 30 40
Percen5t0of tim
60
e 70 80 90 100 10 100 1000 10000
Average annual runoff (R)

Figure-2.12: Effective use of multiple units Figure 2.13: Parametric flow duration curve

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 Hydropower Engineering-II

Selection of Most Economical Units

An economic analysis must be done in order to justify the optimum installation. When the curve
of total cost of installation crosses the total benefit gained the optimum installation can be
decided depending on the local situation. The flow chart shown in figure 2.13 can be followed
for turbine selection.

Example is presented how to optimize the most economical installation. The computation is
done following the steps given in the flow chart. In table 2.2 the energy for each increment of
10% of the time is determined by considering the average output for the increments. The total
energy is then the sum of the 10 increments.
In table 2.2, the second row gives the value for various flow capacities for alternative sizes of
power plants. In the example the plant capacity was varied from 11.68 MW to 6.28 MW. Using
flow capacities for 0, 8, 10, 20, 30 and 40 expedience percentages, and the table was completed
to determine net annual benefits and thus most economical size of unit. This required a
determination of the project life and the discount rate for money necessary for capital
investment. The capital recovery cost was computed using a 7% discount rate and a plant life
of 40 years. The investment and annual operating costs are estimated.
The annual benefit is computed multiplying the energy produced by the unit sale value. In this
case 0.26 Birr/Kwh is used for the unit sale. Plotting annual costs and benefits against the
installed capacity will then permit a determination of the optimum plant capacity by showing
where the maximum benefit or where marginal benefit equals marginal cost. This is shown in
figure 2.15, where the optimum installation is shown as 10 MW.

Table-2.2: Computation table for turbine capacity selection

Duration (30%)
0 10 20 30 40 50
River Discharge(m3/s) 283.10 179.77 133.06 110.41 96.25 87.76
Head (m) 4.72 5.73 6.40 7.01 7.47 7.96
Plant Discharge(m3/s) 110.41 110.41 110.41 110.41 96.25 87.76
Efficiency 0.89 0.89 0.89 0.89 0.89 0.89
Power Output(MW) 4.55 5.52 6.17 6.76 6.28 6.10
Percent Time(%) 10.00 10.00 10.00 10.00 10.00
Energy(MWh) 4414.15 5121.95 5662.46 5708.66 5418.61
Duration (30%)
Page 1 60 70 80 90 100

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 Hydropower Engineering-II

River Discharge(m3/s) 79.27 75.02 72.19 63.70 28.31

Head (m) 8.38 8.69 8.99 9.30 9.51
Plant Discharge(m3/s) 79.27 75.02 72.19 63.70 28.31
Efficiency 0.89 0.89 0.89 0.89 0.89
Power Output(MW) 5.80 5.69 5.67 5.17 2.35
Percent Time(%) 10.00 10.00 10.00 10.00 10.00
Energy(MWh) 5210.72 5033.02 4974.45 4746.77 3294.03
River Discharge(m3/s) 49584.81

Table-2.3: Computational table for Economic capacity selection

0 8 10 20 30 40
Plant discharge
(m3/s) 283.10 196.00 179.80 133.06 110.41 96.30
Plant Capacity,
P(MW) 11.68 9.81 8.99 7.44 6.76 6.28
Capital cost
(mBirr) 133.98 121.37 117.89 104.40 95.27 88.39
Capital recovery
cost (mBirr) 10.04 9.09 8.83 7.82 7.14 6.62
Annual operating
cost (mBirr) 6.24 5.39 5.24 5.18 4.99 4.92
Total Annual
Cost (mBirr) 16.27 14.48 14.07 13.00 12.12 11.54
Annual energy
3
output (10 XKWh) 56853.29 55991.04 54986.43 52095.30 49584.81 47256.80
Annual benefits
(mBirr) 14.84 14.61 14.35 13.60 12.94 12.33
Net benefits (mBirr) -1.43 0.13 0.28 0.60 0.82 0.80

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2.5 Reservoir (storage) capacity

Reservoir capacity is determined by means of mass curve procedure of computing the
necessary capacity corresponding to a given inflow and demand pattern. Reservoir
capacity has to be adjusted to account for the dead storage, evaporation losses and carry
over storage
1 . O b ta in r iv e r f lo w d a ta fo r e a c h p e r c e n t o f t im e , 0 %
th ro u g h 1 0 0 %

2 . D e t e r m in e h e a d w a t e r e le v a t io n a t e a c h f lo w
c h a r a c t e r is t ic s b y f lo w d u r a t io n c u r v e . O n R u n - o f r iv e r
p la n t s t h is is o ft e n c o n s t a n t

3 . D e t e r m in e t a il w a t e r e le v a t io n a t e a c h f lo w
c h a r a c t e r is t ic s b y t h e f lo w d u r a t io n c u r v e

4 . E s t im a t e h e a d lo s s t h r o u g h h y d r o s y s te m s . T h is w ill
v a r y w it h p e n s t o c k a n d d r a f t t u b e

5 . C o m p u te a n e t h e a d f o r e a c h o f t h e flo w s
c h a r a c t e r iz e d . N o t e : a s r iv e r f lo w s in c r e a s e , t a il w a t e r
r is e s a n d r e d u c e s n e t h e a d

6 . E s t im a t e p la n t e ff ic ie n c y . T h is c a n b e m a d e
c o n s t a n t f o r p r e - f e a s i b i l it y l e v e l d e s ig n

7 . C h o o s e a w h e e l o r p la n t c a p a c it y f lo w . T h is f u ll- g a t e
f lo w w i ll b e lim it e d b y r u n n e r d ia m e t e r a n d s e le c t e d
p e n s to c k s iz e

8 . C o m p u t e p la n t d is c h a r g e a t a ll f lo w v a lu e s f o r e a c h
e x c e e d e n c e p e rc e n ta g e . N o t e : a t r iv e r f lo w s g r e a t e r
t h a n p la n t c a p a c it y t h e p la n t d is c h a r g e m a y b e le s s
th a n d e p e n d in g o n t h e n e t h e a d

9 . C o m p u te p o w e r o u tp u t a t e a c h p e r c e n t t im e u n d e r
in v e s t ig a t io n

1 0 . C o m p u t e a n n u a l e n e r g y o u t p u t f o r g iv e n p la n t
c a p a c it y . R e p e a t t h is f o r f o u r t o f iv e p la n t c a p a c it ie s .

1 1 . E s t im a t e t h e a n n u a l p la n t c o s ts f o r e a c h o f t h e
p la n t c a p a c it ie s in v e s t ig a t e d , u s in g e s t im a t in g c u r v e s .

1 2 . W it h a n n u a l e n e r g y o u t p u t c a lc u la t e p la n t b e n e f it s
b a s e d o n a v e r a g e e x p e c t e d v a lu e o f p o w e r , B ir r / K W h

1 3 . P lo t a c u r v e o r d e v e lo p t a b le t o s h o w w h e re
m a x im u m n e t b e n e f it is o b t a in e d

Figure-2.14: Flow Chart of turbine selection procedure

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 Hydropower Engineering-II

S ele c t io n of M o s t E c o no m ic In s ta llat io n

1 7. 00
To t al A nn u al C os t
Annual Benefits/Cost (mBirr) 1 6. 00

1 5. 00
A nn u al be n efits
1 4. 00
A n n ua l b e ne fits
1 3. 00

1 2. 00

Tot a l A n n ua l C o s t
1 1. 00

1 0. 00
6. 00 7 . 00 8 . 00 9 .0 0 1 0. 00 11 .0 0 1 2 . 00
Ca p ac ity of H y d rop lan t (M W )

To t al A nn u al C os t (m B irr) A nn u al be n efits (m B i rr)

Figure-2.15: Benefits and costs versus plant capacity

Storage(1)
Dam(2)
Appurtenant Structure: Intake andSpillage Structures:
Spillage Structure: Spillway(5)
Intake: Service Intake (3) andBottomOutlet (4)
Surveillance Structure (inDam, inFoundationaswell asValleySides)
Diversion(6)
Service Road(7)

Figure 2.20: Storage Components

Figure-2.16: Storage components

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 Hydropower Engineering-II

Mass Curve

700

600

500
e d
Accumulated Volume

Required
m e er
u
400
Lin u
l i

Storage
o q
300
d

St
Deman
200

V 400 e
d 100 R
e et
g
la
r au
m 3000 to
u S
c
c 0 2 4 6 8 10 12 14
A
200 Time

100

Figure-2.17:
0 Reservoir capacity determination: Mass Curve Procedure
0 2 4 6 8 10 12 14
Time
2.5.1 Area Capacity Curves

Most hydropower developments involve an impoundment behind a dam. The water in

storage in the impoundment is released; the head water elevation changes and this will
influence the design of the plant and the pattern of operation. Therefore, it is necessary
to have a storage or pondage volume versus impounding surface elevation curve. At
the same time there is a need to know surface area versus reservoir elevation. This
information can be obtained by plannimetering a contour map of the reservoir area and
making necessary water volume calculations and water surface area. The two curves
are typically combined into what is termed an area-capacity curve.

2.5.2 Reservoir Rule Curves

When releases from reservoir are made, the schedule of releases is often dictated by
considerations other than just meeting the flow demands for power production. The
needs for municipal water supply, for flood control, and for downstream irrigation use
dictates certain restraints. The restraints are conventionally taken care of by developing
reservoir operation rule curves that can guide operating personnel in making necessary
changes in reservoir water releases.

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To be effective, rule curves often require the use of rather careful and extensive
reservoir operation studies using historical flow data and estimates of demand for water
that are likely to occur in the future.

2.5.3 Evaporation Loss Evaluation from reservoirs

Where there is a reservoir involved in a hydropower development there is a need to
assess the effect of evaporation loss from the reservoir surface. This loss in warmer
climate is considerable
0.E+00

5.E+07

1.E+08

2.E+08

2.E+08

3.E+08

3.E+08

4.E+08

4.E+08
3100
3050
3000
Elevation

Elevation
2950
2900
2850
2800
3500

3000

2500

2000

1500

1000

500

.
Figure-2.18: Typical area-capacit y curve

2.5.4 Spillway Design Flood Analysis

Many hydropower developments require a dam or a diversion that blocks the normal
river flow. This then requires that provision be made for passing flood flows. Spillway
design flood analysis treats a unique type of hydrology that concerns the occurrence of
rare events of extreme flooding. Flood frequency analysis is a well-defined procedure
for spillway design flood determination. It is customary on large dams and dams where

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failure might cause a major disaster to design the spillway to pass the probable
maximum flood. For small dams, spillways are designed to pass a standard project
flood.

2.6 Geotechnical studies

Hydraulic structures should be founded on level foundations, with adequate side slopes
and top widths, not subject to stability problems. The catalogue of failures, especially
in channel design is so large that a minimum geomorphologic study of the terrain
should be recommended for the first phase of the project. The problem is especially
acute in high mountain schemes, where the construction may be in the weathered
surface zone, affected by different geomorphologic features such as soil creep,
solifluction, rotational and planar soil slides and rock falls.
The weir and its corresponding reservoir can be affected by the instability of the
superficial formations that can be present within its zone of influence, but at the same
time the pond itself can affect these same formations. If the weir has to be founded on
an unconsolidated ground the variation of water level can generate instability on the
reservoir‟s wetted slopes.
Along the open channel many geomorphologic features can adversely affect its selected
line which, together with a steep slope of the terrain, may lead to potential instability.
Colluvial formations, product of the surface mechanical weathering of the rock masses,
and solifluction processes, very active in high mountain environments where the
subsoil is seasonally or perennially wet, are some of the features that can compromise
channel stability. Drainage treatments and bench constructions are among many others
may be recommended.
At the end of the canal the fore bay acts as a mini-reservoir for the penstock. It is
required that all the water retaining embankment sections should undergo stabilit y
analysis regardless of their configuration. The layout of the penstock, usually placed on
a steep slope, poses problems both for its anchoring blocks and because it‟s visual
impact. Deep in the valley, frequently built on an old river terrace, the powerhouse
foundation poses problems that many times only can be solved by using techniques as
up today as the jet grouting.

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2.6.1 Methodologies to be used

Within geological science, there is a wide spectrum of geomorphologic techniques that

can be used including the following most common ones:
Photo geology:
Photogrammetry at scales from 1:10 000 to 1:5 000 -allows the geologist to identify
rock types, determine geologic structures, and detect slope instability.
Geomorphologic maps:
The result of photogrammetric analysis complemented with the results of the field
survey must be combined on a Geomorphologic Map. This map, based on a
topographic one, drawn at a scale between 1:10 000 and 1:5 000, duly classified using
simple symbols, should show all the surface formations affecting the proposed
hydraulic structures.
Laboratory analysis:
Traditional laboratory tests such as soil grading and classification, and tri-axial
consolidation facilitate the surface formation classification, to be included in the above
mentioned map.
Geophysical studies:
A geophysical investigation either electric or seismic by refraction will contribute to a
better knowledge of the superficial formation‟s thickness, the location of the landslide
sections, the internal water circulation, and the volumetric importance of potential
unstable formations.

Structural geological analysis:

Although not properly a geomorphologic technology it can help to solve problems in
the catchment area and in those cases where hydraulic conduits must be tunnels in rock
masses. The stability of the rock and seepage in the foundation of hydraulic structures
are problems that can be solved by this methodology, avoiding dramatic incidents
during the operation.

Direct investigations: Borehole drilling:

When the dam or weir has to be founded in unconsolidated strata, a drilling program,
followed by laboratory tests on the samples extracted is essential. Some of these
recommended tests are:

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- Permeability tests in boreholes, such as Lugeon or Low Pressure Test, to define

the water circulation in the foundation
- Laboratory tests to determine the compression strength of the samples to define
their consolidations characteristics.
Complementing the above tests a geophysical refraction seismic essay to define the
modulus of dynamic deformation of the rocky mass in depth can be recommended in
the case of high dams.

2.7 Environmental Issues

In the case of hydropower developments there seems to be a growing interest in
conservation as opposed to utilization of resources. Hydropower developers contend
that development of hydro-resources, providing pollution free energy, represents sound
management of natural resources. However, there is no escaping the fact that
hydropower projects encroach on the environment. They must also ensure that their
projects are planned to cause minimum environmental disturbance. Projects should be
judged on environmental as well as technical and economic feasibility. Only projects
having acceptable levels of environmental disturbances should be implemented.
The extent of environmental disturbance depends on plans and layout. Negative effects
can be kept to a minimum if the environment is considered as planning parameter.
Attention must be given to the following issues:
In developing hydropower natural runoff and streams are diverted in to manmade
waterways, canals, pipes, tunnels, etc. thus reducing the flow over a length of the river
during part of the year.
The effect of diversion on a stretch of a river can be mitigated through spilling water at
the intake and securing a minimum flow in the river at all times. The effect of the
minimum flow may be increased by constructing low weirs of stones, thus creating
ponds to maintain water depth. This technique improves the conditions for aquatic life
and gives affected rivers a better visual appearance.
Transfer of water from one river basin to another can cause problems affecting
downstream water quality and quantity and it can influence conditions for aquatic life.
Storage may inundate areas of agricultural and ecological importance, displace resident
population, cause changes in water conditions and micro climates and increase pests,
weeds, evaporation and siltation. Storage projects are therefore increasingly objected to

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although they may also have considerable positive effects, such as flood mitigation,
fish production, recreation facilities, water sports, etc.

2.8 Project Appraisal and Socio-Economic Considerations

Hydropower projects are normally appraised by their direct benefits and the monetary
value they can earn on invested capital.
The social benefits resulting from adequate supply of electricity are not considered in
the appraisal of hydropower projects as they are difficult to quantify or include in the
economic calculations.
Economic benefits from electrification arise in two ways:
- directly, through employment opportunities during construction, both the actual
construction and the provision of material and supply of components
- indirectly, by simulating the local economy and creating commercial and
industrial activities, providing employment opportunities and training for the
local population
The main direct benefit may only last during actual construction of the project.
Operation and maintenance of hydropower plants are not labour intensive. The
employment opportunities they create are therefore few.
The training effect of the construction period may, however, result in skills for local
people which can be put to good use after completion of the project.

The hydropower development cycle consists of three main parts, each covering on the
three periods in the life of hydropower projects:
- Preconstruction - Implementation - Operation
Development of hydropower follows well defined stages. Each stage takes the project a
step forward in the development cycle, based on the findings from the actual and
previous stages.
The major part of investigations, planning and design takes place in the first phase.
Normally, the investigation and planning of hydropower projects pass several
milestones before projects are accepted for implementation.

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Project investigation, planning and design are normally organized in several

consecutive studies which are listed here in increasing order of detail, importance and
reliability:
- Reconnaissance studies
- Prefeasibility studies
- Feasibility studies
The first stage of hydropower investigations is the identification of projects. If this has
not been done as part of the resources inventories, it must be carried out as part of the
reconnaissance study.
Reconnaissance studies are normally the first step of project oriented planning. Such
studies are of a preliminary nature as their purpose is not to investigate projects in
detail, but like basic hydropower investigations, to identify and investigate the available
hydropower resources.
Reconnaissance studies are organized along the same lines as the planning studies to
follow, prefeasibility, feasibility, etc. but with much lesser detail and accuracy
requirements. Having all planning studies similarly organized will facilitate
investigations as well as reporting.
And hence, the main objectives of reconnaissance studies may be listed as:
- to identify suitable power - to compare the candidate and
projects for the stated purpose formulate the project best suited
- to investigate apparent for the stated purpose
alternative solution for inclusion - to record lower ranked projects
in the plans, or rejection and project alternatives for
- to investigate and study the future reference
various projects and project - to provide preliminary cost
alternatives to the confidence figures and implementation
level required schedules for the selected
project
The second organized step in hydropower investigation and planning is called
prefeasibility study.
The main purpose of pre-feasibility investigations is to:
- establish the need and - formulate a plan for developing
justification for the project the project

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- determine the technical, - ascertain local interest in and

economic and environmental the desire for the project
practicability of the project - make recommendations for
- define the limits of the project further action

2.9 Planning
The hydropower development cycle

Economic and Economic and

Financial Analysis Financial Analysis

Pre-Feasibility Feasibility
Studies Studies

DESIGN PHASE

Economic and Economic and

Financial Analysis Financial Analysis

IMPLEMENTATION PHASE

Figure-2.19: Hydropower development Project Cycle

PROJECT PLANNING PROJECT IMPLEMENTATION PROJECT OPERATION

DEFINITE PLAN DETAIL DESIGN

STUDY WORK DRAWINGS
ENGINEERING

FEASIBILITY CONSTRUCTION MANAGEMENT-

STUDY SUPERVISION OF WORKS

PREFEASIBILTY
STUDIY DESIGN AND DETAIL COMMISIONING OPERATION OF
PROCUREMENT DESIGN OF WORKS INSTALLATIONS
WORK
RECONNAISSANCE
STUDIES

Figure-2.20: Hydropower Project Cycle

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The next stage, or feasibility investigation, is a comprehensive analysis and detailed

study of the contemplated project, directed towards its ultimate authorization,
financing, design and construction. The feasibility study is carried out in order to
determine the engineering (technical), economic and environmental feasibility of the
projects. The feasibility study report will provide the necessary information from which
the owners can decide whether or not to go for implementation of the project, i.e. to
proceed with the definite plan studies, final design and construction of the project. It
also serves as application documentation for the development license.
Feasibility investigations include analysis of resources:
- estimates of net economic values to be produced
- estimates of cost of development and construction
- estimation of cost of operation, maintenance and replacement
- assessment of the impact of implementation of the project will have on the
environment and the cost of mitigating the effects

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3. POWER PLANT STATIONS

3.1 Components of Hydropower projects

Generally three basic elements are necessary in order to generate power from water: a
means of creating head, a conduit to convey water, and a power plant. To provide these
functions, the following components are used: dam, reservoir, intake conduit or
penstock, surge tank power house, draft tube and tail race.

Figure-3.1: Components of a hydropower project

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Main components:
Dam: to create the head necessary to move turbines and impound. Storage is used to
maintain the daily or seasonal flow variations.

Reservoir: Consists of the Water impoundment behind a dam.

Intake: directs water from reservoir in to the penstock Gates or valves are used to shut
off the flow of water to permit emergency unit shut down or turbine and penstock
maintenance. Racks or screens prevent trash and debris from entering the turbine units.
Projects that are required to use water at a selected temperature must have multi-level
intakes in order to control inlet water temperature by mixing waters obtained from
different levels.

Penstock: conveys water from the intake structure to the power house and can take
many configurations, depending up on the projects layout. For multi-unit installations it
is often desirable to serve several Units with a single penstock, and manifolds or
bifurcation structures are provided to direct flow to individual units.

Surge tanks: Flow through a penstock can change rapidly during the operation of
power plants. As long as flow is steady and constant, pressure changes on the
conveyance conduits are minimal. However, pressure changes within the conduit
become greater as the rate of change of flow increases. This phenomenon is known as
water hammer and is caused by a change of momentum within the water column. When
there is a rapid changes in flow water hammer effects can become serious. Surge tanks
are constructed on the conduit to reduce momentum changes due to water hammer
effects.
Surge tanks are often necessary in medium and high head hydropower projects,
particularly where there is a considerable distance between the water source and power
plant. Surge tanks or chambers can also be provided on the draft tube where discharge
conduits are very long.

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3.2 Power house

The power house shelters the turbines, generating Units, control and auxiliary
equipment‟s, and sometimes erection and service areas. The power house location and
size is determined by site conditions and project layout. It could be located within the
dam structure adjacent to it or some distance away from the dam. The power house
would be located to economically maximize available head while observing site
physical and environmental constraints.

3.2.1 Power house types

There are four types of power house configurations (structure), three of which are
classified according to how the main generating unit, are housed: Indoor, Semi-out
door, Outdoor and Underground.
Indoor: this type of structure encloses all of the power house components under one
roof.
Semi-out door: this powerhouse has a fully enclosed generator room. The main
hoisting and transfer equipment is located on the roof of the plant and equipment is
handled through hatches located in the roof.
Outdoor: a generator room is not provided with this type of power house structure.
Generators are enclosed in a weather proof individual cubicles or enclosures and are
recessed in to the floor.
Underground: this type of powerhouse is often used in mountainous areas where there
is limited space available to locate a power plant. It is also used to minimize penstock
length in these areas since the penstock can be located directly below the reservoir.
Pumped storage powerhouses are often located underground in order to shorten the
penstock and obtain deep settings on the turbines.

The selection of powerhouse configuration and structure should be based upon both
Fixed Operation and Maintenance (O&M) costs. The lower capital cost associated with
outdoor and semi-outdoor power plants is often offset by increased equipment and
Operation and Maintenance costs. The final selection of powerhouse for any given site
would be made after a detailed cost study, usually performed in the feasibility design
stage

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3.2.2 Power House planning

The basic requirement of a power house is the functional utility and the aesthetic
requirements. Planning the power house should be harmonious with the surrounding.
A power house of a hydropower may be
i. Surface Over ground power house ii. Underground power house

A surface power house has no space limitation where as an Underground power house
has space limitation. The surface power houses need an architectural planning so that
they fit in with the general landscape. If a particular area is affected by landslides and if
the underlying geology is suitable, an underground powerhouse is the obvious choice.
For low head power plant and small scale developments surface power house is the
economical choice

Design of the powerhouse is primarily a structural and architectural problem and the
size of the building is governed by the requirements to accommodate the generator, the
spiral casing and the outlet area of the draft tube.

For feasibilit y studies powerhouse layout dimensioning can be done using theoretical
and empirical relations of the power house components. For final design it so
customary for the turbine and generator manufactures to furnish dimensions for the
interiors of the spiral casing, draft tube, and generator assembly.

The following items of equipment are considered for planning and dimensioning of the
power house:
i. Hydraulic equipment:
i. Turbines iv. Governors
ii. Gate and gate valves v. Flow measuring equipment
iii. Relief valves of penstocks
ii. Electrical equipment:
i. Generator iii. Transformers, pumps, cooling
ii. Excitors systems, connections, funs and
plate forms
iv. Switching equipment:
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a. Low tension buses d. Oil switching and

b. Switch board panels e. Reactors
c. Switch board equipment and
instruments
a. High tension system:
a. Buses c. Lightening arrestors
b. Oil circuit breakers d. Outgoing connections
b. Auxiliaries:
a. Storage batteries b. Station lighting
iii. Miscellaneous equipment:
i. Crane iv. Other facilities,( clinic, Store ,
ii. Work shops etc)
iii. Office rooms

The machine in the power house can be either vertical mounting or horizontal
mounting. A horizontal mounting machine requires more floor space but less height. A
vertical mounting machine requires less floor space but more height. For larger
capacity installations, it is ideal choice to have vertical mounting. In general power
houses are oriented differently to accommodate excavation and site preparation
problems.

Figure 3.2: Power House System Network

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Fig: High Head

Fig: Low Head

Figure 3.3: Typical Cross section of Power House

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Figure 3.4: Typical plan of the Generator floor

3.2.3 Components of a power house

A power house can consist of three main components in general:

i. Sub- Structure iii. Super-structure
ii. Intermediate structure and
The substructure of a power house is the portion below the turbine level. The super
structure is the foundation of the power house which consists of steel and concrete
structures necessary to form the draft tube, support the turbine stay ring and generator.
It also gives accommodation for drainage facilities, tail water and access galleries to the
substructure. The substructures transmit the load to the foundation.
Horizontal setting has advantage compared to vertical setting in the following aspects:
- Reduction in civil works - A smaller height of power
because of less excavation house, and
- Combination of sub and - Use of conical draft tube
intermediate structures (only
sub structure )
The arrangement is also advantageous for easy inspection and accessibility during
maintenance.

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3.3. Layout and dimensions of power house

3.3.1. Layout of Generating Units for small hydropower:

Suitable turbines: Horizontal Francis turbine and impulse (diversion type plant)
Two types of layout s are generally used namely with horizontal Francis turbines:
i. A Unit axis parallel to the power house axis
ii. A Unit axis perpendicular to the power house axis

Figure 3.5: Unit axis parallel to the power house axis

Figure 3.6: Unit axis perpendicular to the power house axis

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The advantages of unit axis parallel to the power axis are:-

- A better approach to the turbine
- A smaller with to the power house
And its disadvantage:
- The larger space between units, which is unsuitable for the arrangement of
branching pipes in front of the power house
Main advantage of unit axis perpendicular to the power house axis is the smaller space
between units.
In either of the layouts, the control panel and/or switch board can be properly arranged
in different areas. The working bay can be eliminated or provided at one end of the
power house and the valve can be located in the power house or in front of the power
house on the basis of the actual conditions mentioned earlier. The cable ducts and other
ducts can be arranged under the power house floor without any difficulty.
It should be noted that when the setting elevation is high or the suction head is large,
the inlet of the spiral case is arranged vertically down ward, and when the setting
elevation is low or the suction head is small the inlet of the spiral case is arranged
horizontally.

Legend

1. Inlet of spiral
case
2. Pipe bend
3. Penstock
4. Bend to draft
tube

Figure 3.7: Vertically downward inlet in the spiral case

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Figure 3.8: Layout for horizontal Francis turbine

Generally speaking, horizontal Francis turbines are unsuitable for those cases in which
the tailrace level varies greatly during flooding. Generally, a high tailrace level can be
prevented by a water proof wall of a power house, or with a special wall or dyke behind
the power house. In this case a sump wall should be properly provided.

The dimensions of power houses

The dimensions in the plant are determined by the dimensions of the generating units
or by the dimensions of the spiral case particularly when the head is low.

The width of the working bay is generally equal to about one unit bay, if the unit is
planned to be major overhauled in the power house. If the unit is planned to be major
overhauled outside the power house there can be no working bay in the power house.
The width of the unit bay is so determined that the clearance between the two units or
between the unit and the wall, should be sufficient for the erection and disassembly of
the unit, generally, about 2m. The passageway, for the operators should be 1-1.5 m, and
the clearance between the switch board / control panel and other apparatus should be at
least 2m, and that the switchboard and the wall should be about 0.8m. For the side unit,
its unit bay should have an additional width (about 1m per Units).

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The determination of the setting elevation of the turbine is very important for the
Power House design, taking in to consideration the minimum tailrace level and the
suction head of the turbine.

The height of the Power House is mainly determined by overhead craning of the
heaviest part of the unit.

3.3.2. Preliminary dimensions of power House for Medium and large Hydro
(Reaction Turbine installation)

1. Unit spacing in terms of discharge (for steel scroll case )

Discharge in m3/s Unit spacing in m
25 10
50 13
75 15
100 17
150 20
200 22
250 24

2. Unit spacing in terms of discharge diameter

Discharge diameter of runner Unit spacing in terms of discharge
in m diameter (m)
1 5.5
2 5.1
3 4.7
4 4.4
5 4.2
6 4.0
Width and height of the power house is also calculated based on the capacity of the unit
and crane span required.

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3. Width of power house

Capacity of Crane span in m for operating head in m
unit in 1000 25 50 100 150 200
KVA
10 16.2 12.5 10.7 - -
20 - 16.0 13.0 11.6 11.0
30 - 18.3 15.3 13.7 12.5
40 - - 17.1 15.3 14.0
50 - - 18.3 16.5 15.3
60 - - - 17.7 16.5
70 - - - - 18.3

4. Height of the power house

Capacity of unit in Height to crane rail from generator floor in meter of operating head in m
1000 KVA 25 50 100 150 200
10 16.8 12.6 11.1
20 14.8 13.1 12.3 11.5
30 14.4 13.4 12.6
40 15.8 14.4 13.8
50 16.8 15.6 14.4
60 17.8 16.4 15.1
70 18.4 17.4 15.8
80 18.0 16.4

Other formulae iii. Mosonyi‟s formula :

i. Unit spacing : Unit spacing
a. width if draft table + wall  N 
  s.s  s  D 3
thickness  200 


b. E + B + Wall thickness Ns = specific speed

ii. Width of power house:
F+ C+ 2 + 1.85 D3 iv. J.J Donald‟s formula :
D3 = discharge diameter Unit spacing = 3.5 to 6 D3

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3. Determination of discharge
diameter, D3 (Mosonyi‟s formula)   Peripheral coefficient
 
H  N = speed of turbine in rpm
* 
D1 = N 

(Entrance Diameter)  4. Guthrie Brown‟s formula

 Ns  
 90Q  1
  0.5   D3   3
D3 =  400   N 

(Exit Diameter) Where, Q discharge at full load in m3/s

Bay‟s Dimension

The three essential bays in a power house complex are:-

i. Unit bay or machine hall
ii. Erection bay
iii. Control room

Machine hall:
Length: the length of the machine hall depends on the number of units and the size of
machine. For vertical alignment machine the center to center distance is controlled by
the size of the scroll casing layout. Standard layout indicates a distance of 4.50 to 5.0D,
where D is the turbine out let diameter. Added to this dimension is the minimum
clearance of 2 to 3m. So, the preliminary dimension between center to center of two
units is 5.0D + 2.5m. For higher specific speed it can be 4.0D + 2.5 or smaller.
Knowing the number of machines, the total length of the machine hall can be worked
out. The additional bay for the erection loading can be one unit length.

Width: the width of the machine hall is determined by the size and clearance spacing
between the walls – needed as gangway. Since the gangway requirement is of the order
of 2.5m, as a first approximation the width of the power house can be presumed to be at
least equal to the center to center distance of two machines. Unnecessary increase in
width will increase the length of the Electrically Operated Trail (EOT) or Mechanically
Operated Trail (MOT) and the roof structure. In the Machine hall, the generator placing
is not exactly at the center of the machine hall but towards one side so as to provide
enough operation space for the crane operator.

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Height: the height of the Machine hall is fixed by the head room requirement (about 2
to 2.5m) of the crane operation. The hall must have a height which will enable the crane
to lift the rotor of the generator or the runner of the turbine clear of the floor without
any obstruction. To this clearance, space is to be added the depth of crane girder and
the head room for the operating cabin.
Loading and erection bay:
This space is required for unloading or loading heavy machines and for its erection.
Small assembly is also done on the space. The stators of the generator which come in
smaller segments are also assembled on the loading bay. The size of the erection should
be sufficient to keep the larger parts like the rotor of the generating unit.

Control bay:
The control bay houses the control equipment. It can be adjacent to the unit bay as in
most power houses. Signal is sent from the control bay to the operating bay from where
the operation control is achieved. Most of the controls are operated by remote control
from the control bay.

Service crane:
The crane should be designed for such a capacity that it can lift the heaviest component
in the power house. Normally, the heaviest part is the rotor and the stator.

Cable and bus bar:

These are placed in the cable ducts made in the floor of the generator in the bus bar
galleries (cable galleries). High voltage cables should be carried separately.

Switch Yard:
This is the yard with step up transformers. This should be located near the power house.
In most cases switch yards are kept outside the power house.

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4. UNDER GROUND POWER HOUSE

If there is a gorge and a valley, an underground power house may be economical. Other
factors for choosing underground power stations are frequent seismic activities
landslides and snow avalanches. An important characteristic of the underground power
plant station is its flexibilit y of layout. The shortest possible layout through various
feasible alignments can be draw up with minimum size of pressure conduits and
omissions of anchors and valves. The basic requirement for the feasibility of the
underground power house is the availability of good sound rock at the desired location
and depth. Underground power house are also safer during war attacks.
Most of the power projects that came in Europe after World War –II are underground
power houses.
Some of the underground power stations in the world:
- Portage Mountain (Canada) - 2300MW
- Komano (Canada)- 832 MW
- Vianden (Luxembourg) 920MW
- Tddiki (India)- 840MW
- Tekeze Hydropower (Ethiopia)-300MW

4.1 Location of underground power stations

Depending upon the rock quality, tunneling ease and overall economics, the power
houses may be located in various ways.
1. The whole power house may be totally underground:

2. The generator may be in a pit but the super structure may be on the surface
3. Semi-Underground, here the generator may be located on the surface while
other units, such as turbines may be under ground
4. The power house may be placed in a cut where the stable rock exists, the units
may be placed in a cut in the rock

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4.2 Arrangements of underground power stations

The type of layout of underground power plants depends largely on the positions of
head and tail water levels, control valves, turbines, generators, transformers, control
room, access shafts and ventilation shaft. The Other factors responsible for the location
of such a plant are the topography, geology and the head to be developed.

According to Mosonyi, the various characteristic types and layouts of the power station
could be described with reference to head and tail water levels as follows.
Characteristics types of underground power development
i. Upstream Station or head development
ii. Downstream station or tail development
iii. Intermediate station development
iv. Diagonal Tunnel alignment with air cushion surge tank
The upstream station or Head development (Swedish type of development): in this
type of development, the power station is located close to the intake and thus water is
directly fed from the reservoir/fore bay to the generating units.

This arrangement is suitable for low head (25-50 m) and high discharge condition in
the continuously sloping or mildly rolling terrains. A surge tank could be provided at
the entrance to the tunnel to protect it from the water hammer during sudden opening
and closure of turbines.

Figure 4.1: The upstream power station or Head development (Swedish type of
development)

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Downstream Development or Tail race development (Swiss type of development):

this type of Development has its characteristics in a long and nearly horizontal pressure
tunnel together with pressure shafts and a short tail race tunnel. Such a development is
most suited for a rugged terrain and where high heads of the order of several hundred
meters can be utilized.

Figure 4.2: Downstream or Tail-race development power station arrangement (Swedish

type of development)

Intermediate station Development (Italian arrangement): the characteristics of this

type of arrangement are a long head-race tunnel and a long tail race tunnel. The
consequent pressure variations due to long tunnels are taken care of by surge tank both
upstream and downstream of the power house.

Figure 4.3: Intermediate power station arrangement (Italian type of development)

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Diagonal Tunnel alignment with air cushion surge tank (Norwegian solution):

Figure 4.4: Diagonal alignment with air cushion surge tank (Norwegian Solution)

4.3 Comparing above–ground and underground power house stations

(Basics for comparison of power station alternatives)
- An underground power house is more costly than a powerhouse on the surface,
implying that underground powerhouse should be considered only when this
solution is the only option available due to site topography
- In many cases a number of parameters concerning investment costs, risks,
operation and maintenance will have to be considered before a conclusion can be
drawn as to whether the optimum layout of a hydropower plant shall have
powerhouse on the surface or underground
- In some case the assessment of rock conditions will be decisive in determining
whether an underground or a surface powerhouse is the most favorable solution.
However, in general the type, head, and capacity of the power plant and the
topography of the project site provide more important parameters for the decision.
Some of the main parameters to be considered in the assessment of the overall plant
layout are:
The dam /Reservoir Type: the dam itself creates the head to be utilized in the power
plant and so the waterways will be short. Maximum head for a pure design of this type
is restricted today by feasible dam heights to about 250-300m.

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The powerhouse is integrated as part of the dam structure, located on the surface at the
foot or adjacent to the foot of the dam or may be located underground within one of the
mountainsides/abutments. At narrow sites with favorable rock conditions and heads our
40 – 50 m, a concrete arch dam and an underground powerhouse often offer the most
cost effective solution. With less favorable rock conditions a narrow site may not be the
best dam location. In such cases wider sites allowing a surface design may offer an
alternative, which give less total costs even with significantly possible higher dam
costs. In suitable topography, which may allow a penstock and power house on the
surface without excavation of excessive open cuts, surface powerhouse may give the
cheapest solution even with excellent rock condition.

The low dam /log water way type: this type of powerhouse layout is characterized by
a low dam where most of the head is created by a long water way releasing water down
stream of natural rapids in the same river basin (Trans-basin diversion). Hydropower
plants with heads of more than 250 m will have some of these characteristics.
A powerhouse located near the intake creates layout with a long tailrace tunnel in
mountainous locations. This design requires long access tunnels and pumping of
leakage water during excavation. On the other hand there is no much risk of losing
water from a pressurized headrace tunnel. Location of the powerhouse in rock near the
intake may be dictated by topography.

4.4 The functions of the powerhouse complex

The overall function of the powerhouse complex of a hydropower plants is to transform
the potential energy of water and head in to electric energy with the highest possible
rate of efficiency under reliable and safe operational conditions.

i. Hydraulic system: - Switch gear

- Intake with trash rack iii. Auxiliary systems:
- Rock trap and stone rack - Power house cranes
- Bypass arrangements and - Cooling water system
energy dissipaters - Drainage system
ii. Generating system: - Ventilation
- Turbines

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iv. Operational Aspects and - Emergency chambers for fire

Emergencies: risks, floods

4.5 The power House complex

4.5.1 Main characteristics of underground Power plants

Flexibility in powerhouse Location and plant layout:

- Selection of an Underground powerhouse implies great flexibility in the overall
plant layout and location of the powerhouse itself. In principle the powerhouse
may be placed anywhere along the water way, and the surface facilities at the
tailrace out let will require only minor space. Consequently, the alignment of the
waterway may be selected among several options, optimized to topography and
geology of the project area and adjusted to suitable locations of powerhouse,
tailrace outlet and audits. Plants of the long waterway type have the largest degree
of flexibility as regards to overall layout and powerhouse location.

Cost saving potential:

- Comparing the general development layout plan in figure 4.4, the penstock and
steel lining represent notable parts of the construction cost of headrace is stage 1
and 2. The pressure shaft of stage 2 is shorter than required for the penstock in
stage1. In addition the thickness needed for a steel lining embedded in rock is less.
The result is cost saving for stage 2 due to lower steel weight.
Total plant Efficiency:
- The steel parts are the most costly sections of the headrace. Optimum design gives
higher specific losses in steel parts than in the waterway in general. A surface
powerhouse implies longer steel parts than the underground alternative, thus, by
applying equal optimization criteria for the two options, the underground plant will
achieve the lesser total losses. Consequently, an underground development means
higher total plant efficiency and therefore more effective utilization if the natural
resources.

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Operational stability:
- Due to long distance from the turbine to the surge chamber, surface plants may be
unsuited for satisfying all technical criteria for stable operation. Plants with
underground powerhouse are more stable than the surface plants.
Deference, operational Reliability and personnel safety:
- As strategic infrastructure, an underground powerhouse is less vulnerable under
war like events than surface option and easier to prefect against sabotage.
Structural Design:
- Being completely fixed in its cavern, a powerhouse in the underground can be
designed very efficiently from a structural point of view, as any need for overall
support will easily be provided by the rock confinement. On the contrary, a
powerhouse on the surface may, in order to achieve appropriate safety against
sliding or uplift failure, require larger concrete volumes than what is needed for
structural reasons alone.
- Steel lining embedded in rock will have similar advantage. All reactive forces from
the pipe are transferred directly through the concrete surround to the rock. The rock
will prevent any longitudinal movement of the lining and there is no need for
expansion joints.
Operation and Maintenance:
- Embedded steel linings need less maintenance than exposal penstocks on the
surface, which are subjected to deteriorating effects from changing temperature,
sunshine, storm and rain and from frost and snow in cloud climates.
Conditions for Construction and Erection:
- Excavation for surface powerhouse will normally take less time than the access and
caverns for underground option. Therefore, construction of an underground
powerhouse will normally take longer time than surface alternatives.
Environmental impacts:
- Whether located at surface or underground, the powerhouse itself will hardly cause
serious environmental concerns. It may be assumed though, that an underground
plant, occupying less surface area, will generally get higher environmental merits
than a surface development. It causes less loss of forest or other valuable surface
assets than a surface plant and gives no negative visual impact of a penstock on the
hillside.

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4.6 Overall Plant layout

An underground hydropower plant will consist of:
i. headrace system with intake tunnel
ii. tailrace system with tailrace tunnel and outlet structure
iii. power house in one or more caverns with a system of tunnels serving various
functions
iv. certain facilities on the surface

The location and alignment of the power plant will depend on the conditions of rock
cover, rock type, access roads, construction admits, (Topography and geological
conditions)
- Minimum need for heavy rock support
- Adjusting the vertical alignment to follow favorable strata of sedimentary rocks
or locate the headrace as pressurized tunnel in igneous rock below weaker
sedimentary rocks
The general design criterion, which has to be satisfied at any point in an unlined
pressurized tunnel or shaft, is that the minimum principal stress in the adjacent rock
mass is higher than the maximum future water pressure.

4.7 Powerhouse Tunnel system

The powerhouse needs a tunnel system to serve various needs, which can be divided in
to two sets of requirements, one set, related to the period of construction and the other
for the future operation of the power plant.
During construction the tunnel system will have to serve as access for excavation of all
parts of the Power House, for transport of excavated material and ventilation, supply of
electricity, water, compressed air and other support from the outside for performance of
the civil works and erection. Further, the main access tunnel has to be designed for the
largest electromechanical components to be transported in to the power house.

After commissioning, the tunnel system around the powerhouse will need to serve a
different set of functions, the main ones being:
-Main access in to the powerhouse
-Branch-off tunnels to other installations like transformer cells or separate transformer
cavern, tailrace gate chamber, concrete plug with steel bulkhead, etc,

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Alternative emergency exit from the power house to the surface

- Routing of high voltage cables from the generators to the transformers and
from the transformers to the switchyard on the surface
- Routing of signal and control cables
- Supply and evacuation of air for ventilation
- Tailrace surge chamber, etc
Multipurpose aspects of tunnels: to minimize the total cost, multipurpose functions of
the tunnel layout should be a main design principle. Every tunnel and shaft may serve
several and different functions during the period of construction and after
commissioning.

Example:
- 45 0 inclined shaft serving for the high–voltage cable connection , for supply of
ventilation air and as alternative escape route
- Combined cavern for the main transformers and machinery for tailrace gates
and with the same cavern as the starting point for a tunnel loop for excavation
of the top heading of the powerhouse cavern
- transport access tunnel to the tailrace latter serve as surge chamber

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4.8 Excavation Equipment and construction procedures

It is important to recognize that excavating a tunnel sloping downwards means little
inconvenience. The main one is the continuous need for pumping of water from the
working face. Therefore, instead of a constant downward slope to overcome a moderate
difference in elevation, it is a recommended design to start on a minimum upward slope
from the entrance. In this way self-drainage is achieved for the tunnel stretch near the
surface. The difference in elevation is overcome by a concentrated steeper downward
slope toward the end of the tunnel
Steeper tunnel slope reduce total tunnel lengths. At least 2% should be selected for
effective self-drainage.

Figure-4.5: Plan and cross section of an underground Hydropower plants with unlined
waterways (Multipurpose tunnel layout)
A typical sequence of excavation, concrete works and erection for an underground
powerhouse with one Pelton unit is presented in the figure below.

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Figure-4.6: Stages of excavation in underground power stations.

4.9 Transformer Arrangements and Locations

The transformer location will greatly influence the arrangement of an underground
powerhouse. Due to the cost of high amperage connection between generators and
transformers, transformers location at surface may only be economically viable by the
shallowest seated power house. Aspects of maintenance, operation and deference all

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favour transformers underground, hence the transformers are located within the
machine hall or in an adjacent separate cavern.
- In a machine hall
- Between generators
- In extension of power house cavern
- In separate cavern

4.10 Hydropower Tunnels

Tunnels are underground conveyance structures constructed by special tunneling
methods without disturbing the natural surface of the ground. In many modern high
head plants, tunnels form an important engineering feature.
Tunnels have the advantages of:
i. Providing direct and short route for the water passage thus resulting in
considerable saving in cost
ii. Quicker completion due to simultaneous tunneling work at many points
iii. Protection of natural land escape

Tunnels of hydropower projects fall into two categories: water carrying tunnels and
service tunnels.
a) Water carrying tunnels: these include head race or power tunnels, tail race tunnels
or diversion tunnels. Flows in water tunnels are usually under pressure (pipe flow),
but sometimes free-flow (open channel flow) can be experienced, especially, in
tailrace tunnels. The design of free-flow tunnels follows the same principles as used
in the design of open canals.
- Head race tunnels: are tunnels that convey water to the surge tank. These are
pressure tunnels
- Tail race tunnels: could be free flowing or pressure tunnels depending on the
relative position of turbine setting and tail water level.
- Diversion tunnels: are constructed for the purpose of diverting the stream flow
during construction period. Normally they are not of high pressure but should have
sufficient flood carrying capacity. Such tunnels either plugged with concrete or
converted in to some use such as spillway tunnel at the completion of the project.

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b) Service tunnels: these may be:

- Cable tunnels: to carry cables from underground power house to the switch yard
- Ventilation tunnels: fitted with fans at the open end to supply fresh air to the
underground
- Access or approach tunnels: these are passage tunnels from surface to underground
power house.
Shape: Tunnels are either circular or non-circular in shape.
Circular tunnels: are most suitable structurally. They are more stable when the internal
pressure is very high.
Non-circular tunnels: have a flat floor, nearly vertical or gently flaring walls and
arching roofs. The horse-shoe shape is the most popular and convenient from
construction point of view.

Alignment: Tunnels have generally small bottom slopes, i.e. tunnels or aligned nearly
horizontal. Shaft is a tunnel with vertical alignment or inclined shaft when it is steeply
inclined to the horizontal. It is very crucial to investigate in detail the geology of the
strata through which a tunnel would be passing. Sound, homogenous, isotropic, and
solid rock formations are the most ideal ones for tunneling work.

Lining: Lining is a protective layer of concrete, R.C. or steel on the inner surface of the
tunnel to improve the efficiency and structural stability of the tunnel. Tunnels in good,
sound rock may be left unlined.
Commonly adopted shapes:

a) Circular shape b) Horseshoe shape

Figure 4.7: Tunnel shapes

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Lining of tunnels is required:

i. For structural reasons to resist external forces particularly when the tunnel is
empty and when the strata is of very low strength.
ii. When the internal pressure is high, i.e. above 100m
iii. When reduction in frictional resistance and therefore the head loss is required
for increasing capacity
iv. For prevention or reduction of seepage losses
v. For protection of rock against aggressive water

In the case of low-pressure tunnels the tunnel surface may frequently be left unlined
except for visible fissures. A watertight lining is usually required for tunnels operating
under medium and high heads. Seepage is more likely to occur as the head increases,
water may leak through the smallest fissures and cracks. Moreover, under high-pressure
it may penetrate the otherwise watertight rock and render it permeable.

Tunnel Design Features: the design of hydropower tunnels include alignment;

choosing the appropriate geometric shape, longitudinal slope and flow velocity;
computation of head loss, rock cover (overburden), lining requirements and economic
x-section come in to play.

Alignment: in aligning water tunnels, the following points should be taken in to

account:
- Length of the tunnel: as much as possible short route should be followed
- Location of surge tanks & adits: the alignment should provide convenient points
for surge tanks & adits.
- Rock cover (overburden): sufficient rock cover should be available along the
alignment
- Discontinuities: the alignment should, if possible, avoid crossing of weakness
zones, joint planes, etc. If crossing of these features is unavoidable, suitable
direction of crossing should be considered.
- Rock quality: good quality of rock mass should be sought in aligning the tunnel

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Geometrical Shape:
- The choice of the cross-sectional profile of a tunnel depends on:
- Hydraulic considerations: Circular is preferable
- Stability considerations: Circular is preferable
- Convenience for construction: D-shaped is preferable
- Available tunneling equipment :
Longitudinal Slope: the minimum slope for a pressure tunnel is limited on the basis of
dewatering requirements. And also the longitudinal profile of the tunnel should be such
that the roof remains below the hydraulic pressure line by 1 to 2 m. Likewise, the
tunneling method and the equipment employed for transportation of the excavated
material (rail or wheel transport) can limit the maximum slope possible to provide. The
usual practice is to keep the slope of power tunnel gentle till the surge tank and then
steeper (even vertical) for the pressure shaft.

Flow Velocity: the allowable velocities in tunnels depend upon whether it is lined or
unlined. In unlined tunnels, a velocity of 2 to 2.5 m/s is the upper limit, while in
concrete lined tunnels 4 to 5 m/s are often employed. The velocities for the pressure
shafts, which are generally steel lined, are usually higher than that in the power tunnel.
The normal range of velocities is between 5 to 8 m/s.

Rock Cover (overburden): for pressure tunnels, it is obvious that the overburden on
the roof of the tunnel serves to balance the effect of upward force due to internal
pressure. The required depth of overburden may vary for lined and unlined tunnels.

In the case of unlined tunnels, the entire internal water pressure is resisted by the
overburden rock pressure. Where a steep valley side constitutes the overburden above
the tunnel, the rule of thumb equation, H= (0.4 to 0.8)*hr has to be modified and given
by:

1 r
hw  L cos 
 w
Where L is the shortest distance between the ground surface and the studied point of
the tunnel (or shaft) and  is the average inclination of the valley side with the
horizontal (see figure below).

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 r L cos    w h w

hw
hr

Figure 4.8: Overburden requirement in a steep valley side

In the case of concrete or steel lined tunnels, the linings are usually designed to carry
part or full load of the internal water pressure, and the above equations, given for
unlined tunnels, are modified accordingly in determining the required overburden
depth.
Head Loss: head losses in tunnels can be computed using Manning‟s, Darcy-
Weisbach, or Hazen-Williams formulas.

lv 2
hf  n2
Manning formula: R4 / 3

l v2
h f  
Darcy-Weisbach formula: 2 g Deq

l v 1.85
h f  6.84 1.17
Hazen-Williams formula (rarely used): C 1.85 Deq

Where, hf is head loss due to friction, L is tunnel length, V is mean velocity of flow, R

is hydraulic radius, Deq is equivalent diameter ( Deq  4 A /  ), A is area of the tunnel x-

section, n is Manning‟s roughness coefficient,  is Darcy-Weisbach friction factor (can
be obtained from Moody diagram), and C is Hazen-Williams roughness coefficient.
Optimum X-section: the optimum x-section of a tunnel or a shaft is one for which the
sum of tunnel construction cost and the economic loss due to head loss is minimum.

For a quick initial estimate of the diameter of pressure tunnels, the empirical formula
suggested by Fahlbusch can be used:

For concrete-lined tunnels: D  0.62 Q 0.48

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Q 0.45
D  1.12
For steel-lined tunnels: H 0.12

Total cost
Cost

Economic loss Construction cost

X-section
Figure 4.9: Optimum tunnel cross-section

4.11 Rock Stresses

Most stress related problems are caused by stresses which are greater than the critical
limit for the rock mass in question. However, the problem may also be caused by too
low stresses.
Generally, the stresses surrounding underground openings are defined are:
1. the stress situation prior to excavation (the “Virgin” stresses)
2. the geometry of the opening

When the virgin stresses and the geometry are known, it is in theory easy to evaluate
the magnitude and the direction of the stresses surrounding a tunnel or rock cavern. If
the rock mass properties are known, it is theoretically also relatively simple to analyze
potential stability and leakage problems caused by stresses, the need for rock support,
the possibilities for optimizing the excavation geometry, etc.

Nevertheless, empirical methods are mainly used for analyzing rock stress problems.
The reason for this is primarily the problem in obtaining reliable input parameters
which are needed for the more advanced analyses. The following parameters have been
the most difficult to quantify.
- the magnitudes and directions of the virgin rock stresses
- the properties of the in-situ rock mass, in particular the elasticity parameters
- the failure criterion of the in-situ rock mass

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Origin of Rock Stresses: the virgin stress generally represents the resultant of the
following components:
- Gravitational stresses
- Topographic stresses
- Tectonic stresses
- Residual stresses
Gravitational Stresses: this component is a result of the gravity alone. When the
surface is horizontal, the vertical gravitational stress at a depth Z is:
σ = ρ.g..Z
Where ρ.g = specific gravity of the rock
The magnitude of the total vertical stress is often identical to the magnitude of the
gravitational vertical component. However, at great depths, particularly, there are
considerable deviations from this trend.

Figure 4.10: Vertical and horizontal rock stresses as a function of depth below the rock
surface (Scandinavians Case)

In anelastic rock mass with Poisson‟s ratio of v, the horizontal stresses induced by
gravity are:

 
    
1 
x y Z

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For a Poisson‟s ratio of 0.25, which is fairly common for rock masses, this means that
the horizontal stress induced by gravity is approximately 1/3 of the vertical stress.

Topographic stresses: when the surface is not horizontal, the topography will affect
the rock stress situation. Stresses caused by topographic effects are generally referred to
as topographically induced stresses or simply topographic stresses.
In high valley sides, where hydropower plants are often located, the stress situation is
totally dominated by the topographic effects. In such cases the major principal stress
(σ1) near the surface will be more or less parallel to the slope of the valley, and the
minor principal stress (σ3) will be approximately perpendicular to the slope.

Figure 4.11: Magnitudes and directions of the major and minor principal stresses in a
valley side as computed by a Finite Element Analysis

Tectonic Stresses: evidence of tectonic stresses is represented by dramatic incidents

like faulting and folding and also by movements such as heave of the Scandinavian
Peninsula after the last glaciations. The main cause of faulting and folding as well as
tectonic stress is the action of plate tectonics; drifting and tectonic activity along the
margins of some 20 rigid plates that constitute the earth‟s outer shell.
Because of tectonic stresses the total horizontal stress is often much higher than the
horizontal stress which is induced by gravity alone. This is particularly the case at
shallow and moderate depths.

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Figure 4.12: Variation of ratio of average horizontal stress to vertical stress with depth
below surface

Residual Stresses: residual (or remnant) stresses are generally defined as stress which
has been locked in to rock material during earlier stages of its geological history. Stress
caused by contraction during cooling of a rock melt (magma) is probably the most
relevant example of this category. Vertical stresses which are abnormally high are often
explained as being caused by residual stress. Stresses Surrounding Underground
Openings
When analyzing potential problems due to rock stresses, the stress situation close to the
contour of the tunnel or rock cavern is of particular interest.
- Stresses surrounding Circular opening
The simplest case is represented by the following idealized conditions:
- Homogeneous and isotropic, elastic material
- Isotropic virgin stresses (σ1 = σ2 = σ3 = σ)
If the radius of the opening is a, the radial and tangential stresses of a cross section
(σr and σt, respectively) will be the following as function of the distance r from the
circle center.

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2
a
 r   ( 1  2
)
r
2
a
 t   ( 1  2
)
r
In the figure below these equations are shown graphically. It is particularly important to
notice the rapid increase in tangential stress close to the contour. Generally, in a case
like this, a tangential stress with a magnitude of twice the magnitude of the isostatic
stress will be induced all around the periphery.

Figure 4.13: Tangential and radial stress surrounding a circular opening in isostatic
stress field.
For an anisotropic stress condition the so-called Kirsch‟s equations are used for
evaluating the tangential stresses. According to Kirsch the tangential stress will reach
the maximum value (σt(max)) where the σ1 direction is tangent to the contour, and its
minimum value (σt(min)) where the σ3 direction is tangent. The actual values will be:
 t (max)  3 1   3
 t (min)  3 3   1

Figure- 4.14: The influence of rock anisotropy on the stress surrounding of a circular
opening. Potential problems due to the stresses are indicated

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The above figure illustrates that the distribution of tangential stress is strongly
influenced by the degree of stress anisotropy. If the stresses are very anisotropic the
minimum tangential stress, as illustrated, may even be negative, i.e. tensional

4.11.1 Stresses near Corners

Non symmetrical geometry and sharp corners in particular, will strongly affect the
magnitude of the tangential stress as described by Jaeger & Cook and others.

When the curvature radius is reduced, the magnitude of the tangential stress will
increase. This means, for instance, that the sharper the corner between the wall and the
roof of a cavern, the higher the stress concentration will be in that corner. In extreme
cases such stress concentration may reach magnitudes of more than 10 times the major
principal stress value

In cases with benches or protruding corners the stress situation will be the opposite.
Here the stabilizing stresses, or the confinement, will be reduced, and stabilit y
problems will often result.

Influence of the Rock properties:

In a TBM-bored tunnel or in a carefully blasted tunnel the tangential stress will have a
distinct maximum at the tunnel contour as illustrated figure below. As a result of
blasting damage to the rock, however, the situation in most drill and blast tunnel will be
very different from this idealized picture. In such case the extra joining close to the
contour caused by blasting reduces the capability of the rock mass to transfer stress,
and the distribution of tangential stress will in principle be as shown in the figure with a
maximum value some distance from the contour.

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Figure 4.15: Principle sketch illustrating the concentration of tangential stress in a

tunnel when:
1) the contour rock is undisturbed
2) it is fractured as a result of blasting damage ( the virgin stress is assumed
isostatical, σ1 = σ2 = σ3 = σ)

The detailed distribution of the tangential stress will depend mainly on the deformation
properties of the rock mass. In very jointed rock the stress peak is relatively flat, and
the maximum stress value is located relatively far from the tunnel contour. This is also
the case in typical soft rocks. In hard and elastic rocks the stress peak is much steeper,
and the maximum stress value is located close to the contour.

The magnitude of the maximum tangential stress depends in theory on the shape of the
underground opening, and not on its size. The zone of influence however will increase
with increasing size. In-situ rock stress measurements indicate that the stresses stabilize
at a constant level at a distance from the tunnel contour corresponding to approximately
half the tunnel width. The constant level corresponds to the actual virgin stress.

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Stability problems Due to stresses:

In the contour of an underground opening, there are normally two diametrically
opposed areas of tangential stress concentration and two areas of minimum tangential
stress as illustrated in Figure-4.15 when rock stresses are causing problems. The
problems are normally confined to the areas of maximum tangential stress. However, if
the minimum tangential stress is very low, this may also be a problem.

Problems Due to Tensile stress:

Due to its discontinuous character, a rock mass can resist little tensile stress. Hence
even a very small tangential tensile stress may cause radial jointing as indicated in
figure-4.15.

In most cases a tensile jointing will not have much influence on the rock stability. For
high pressure tunnel it is more important that secondary jointing and opening of
existing joints may increase the risk of water leakages out of the tunnel.

Problems Due to High Compressive Stress:

If the compressive tangential stress exceeds the strength of the rock, fracturing parallel
to the tunnel contour will be the result in hard rock as shown in figure 4.15. The
situation has a certain similarity of fracturing in point load testing, in which the fracture
is also induced by a compressive stress in the direction of fracturing.

The fracturing process is often accompanied by loud noises from the rock. A
phenomenon commonly referred to as rock burst. At moderate stress level the
fracturing will result in a loosening of thin rock slabs, often referred to as rock slabbing
or spilling. If the tangential stress is very high, the rock burst activity may be quite
dramatic. In extreme cases it may have the character of popping of large rock slabs with
considerable force and speed.

When the stresses are very high, rock bursts may be a major threat to safety if the right
type of rock support is not installed at the right moment. In such cases extensive rock
support is necessary.

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Rock burst activity is most intensive at the working face immediately after excavation.
Experience shows that the most difficult area is the section 10-20 m closest to the
working face.

In soft rocks the stress problems will not be characterized by spalling. Because of the
plastic nature of such rocks the potential problem here will be squeezing. In extreme
cases reductions of the original tunnel diameter of several tens of centimeters due to
squeezing have occurred in Central Europe.

The Influence of Rock Mass properties:

The character of the rock stress problem will largely depend on the rock mass
properties. Important aspects such as primary jointing and strength properties have
already been discussed. However, anisotropy and elastic properties may also be
influential.

The orientation of the major principal stress relative to the direction of major joints sets
and important structural features, such as bedding and schistosity, will have a major
influence on rock burst activity. Severe problems may occur if the schistosity runs
parallel to the tunnel axis, and the major principal stress acts perpendicular to the axis
and in the dip direction of the schistosity.

Along a tunnel there will be a certain variation in stresses, rock type and elastic
properties, and therefore also a variation in rock burst activity. Generally, there will be
a concentration of stresses in stiff rocks and considerably lower stress in softer rocks. In
gneisses, for instance it is commonly experienced that tunnel sections particularly rich
in mica are often characterized by stress relief, while the rock burst is confined to more
quartz and feldspar rich sections.

Major weakness zones may also affect the rock stress situation. As many such zones
are only able to transform shear stress to a minor extent, the principal stresses will often
be parallel and perpendicular to the zones. Hence a tunnel through a major weakness
zone may experience extensive rock spilling on one side of the zone, while the stresses
are reduced to a moderate or low level on the other side

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4.11.2 Norwegian Experience, Examples

An Old Norwegian rule of thumb states that if heights above the tunnel of 500m or
more are reached at an angle of 250 or steeper in a valley side, one should always be
prepared for stress induced stability problems. Although this simple rule does not
consider the influence of for instance tectonic stress, it still reflects general experience
from the majority of Norwegian hydropower plants.

Figure 4.16: The Consequence of high

horizontal stress and an isotropic condition.
As an example, the major principal stress in figure above is approximately horizontal

and perpendicular to tunnel axis. The vertical stress (  3 ) is only one quarter of the
value of the major principal stress. And according to Kirsch‟s equation, the tangential
stress is therefore 2.75 times the maximum horizontal stress.

In water tunnels it has occasionally been experienced that spilling may continue for
many years. This long-term effect is probably caused by a combination of high stresses,
a reduction of rock strength due to water saturation, creep effects and hydraulic
pressure variations.

4.11.3 Rock Stress Measurements

To be able to analyze the potential problems due to rock stresses, it is necessary to
obtain information about magnitudes and directions of the principal stresses.

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Reliable information on this issue can be obtained only by carrying out rock stress
measurements.
Methods:
Throughout the years a considerable variety of different equipment for in-situ rock
stress measurements has been developed. However, for hydropower projects the
following methods are most relevant.
- Triaxial stress measurements by drill hole over coring
- Hydraulic fracturing
The drill hole over coring technique has the longest tradition, and there are several
versions of this method. Figure-4.17 illustrates the principles of the version which is
most commonly used. As can be seen, what are actually being recorded are the strains.
To be able to compute the stresses, laboratory analyses of the elastic properties have to
be carried out.

1. A diamond drill hole is drilled to the

required depth. A concentric hole with a
smaller diameter is drilled approximately
30 cm further.

2. A measuring cell containing three

strain rosettes is inserted, and the rosettes
are glued to the walls of the small hole.

3. The Small hole is over cored by the

larger diameter bit, thus stress relieving
the core. The Corresponding strains are
recorded by the rosettes. When the
elastic constants are known, the triaxial
state of stress can be computed.
Figure 4.17: The principle of three dimensional rock stress measurements by
overcoming

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The basic principle of hydraulic fracturing is to isolate a section of a drill hole and, by
gradually increasing the pressure of water which is pumped into the hole, to obtain
fracturing of the surrounding rock. By recording water pressure and flow, the principle
stress situation can be evaluated.

4.11.4 Modeling
For analyzing rock stresses and deformation, numerical models may be a valuable tool
.Because of the large quantities of data involved in such analyses, powerful computers
have to be used.

Principles:
Generally, there are two main categories of numerical models:
- Discontinuous
- Continuous
In discontinuous models (or” block models”) the rock mass is modeled as a system of
single blocks which interact along their edges. One fairly well known example of a
method belonging to this category is the Universal Distinct Element Code (UDEC).
Obviously; the concept of discontinuity represents certain advantages. However, as this
is quite a new category of numerical models, it has had little application up to now.

Continuous models, on the other hand, have been used on many occasions, in this
model category the rock mass is modeled as a basically continuous medium. Limited
number of discontinuities (joints .faults, etc) may also be included. Common methods
in this category are the Finite Element Method (FEM) and the Boundary Element
method (“BEM”)

The initial step of FEM-analyses is to define a geological model of the actual area. The
next step is to generate the element mesh. Based on input of rock properties and
boundary conditions the magnitudes and directions of stresses for all nodal points of the
element mesh are finally competed.

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Examples:
The basic principle of a Simple FEM- model (homogeneous and isotropic conditions) is
shown in Figure -4.13. In this model the size of the elements becomes generally smaller
close to the contour of the rock cavern which is being modeled. This is simply because
this is the area of prime interest when analyzing stability and planning rock support. A
special feature of this model is the possibility of excavation elements in the roof, thus
permitting analyses for a cavern with a curved roof as well as one with a flat roof.

The relevant mechanical parameters are given, i.e. specific gravity ( ( ) , modulus of
elasticity (E) and position’s ratio (V) need to be known. The nodal points at the bottom
of the model are free to move horizontally only, while the nodal points at the left hand
side are free to move vertically only.

Figure 4.18: Example of Finite Element model for analyzing the stresses surrounding a
planned rock cavern.

Vertically the model is loaded with gravity forces;  .h. Horizontal load is applied on
the right hand side of the model, and is given as k.  .h. This is both force resulting from
elastic deformation and tectonic force.

The computed directions and magnitudes of principal stresses from such model analysis
are as illustrated in Figure-4.14. Here, the magnitudes and directions of the major and

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minor principal stresses are given by the vector lengths and directions, respectively, of
each of the crosses.

Figure 4.19: Directions and magnitudes of principal stresses surrounding a rock cavern
as computed by boundary element analysis

Numerical modeling as shown by the above examples may be very useful during the
design of underground openings as well as during the planning of rock support.

4.11.5 Tunneling Methods

There are two commonly used types of tunneling techniques:
- Conventional “Drill and Blast”
- Use of tunnel boring machines (TBM)

Conventional “Drill and Blast” Method:

In this method of tunneling, the main equipment used is the so-called drilling jumbo or
drilling rig, which performs the main operation. The following are the main sequences
to be followed during excavation of each round:
a. Drilling d. Ventilating
b. Charging
e. Scaling
c. Blasting f. Mucking and hauling
g. Tunnel supporting

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Drilling is carried out by the percussion method. The principle is to force a drill rod
with a suitable drill bit against the tunnel face, generate a stroke in order to obtain rock
spalling, and then rotate the rod before it is once again forced against the hole and a
new stroke is generated. The power for the drilling thrust and rotation is transmitted by
hydraulic systems.

In tunneling, blast hole diameters of 45 to 50 mm are most common. Medium size

tunnels (about 40 m2) may require about 60 to 70 drill holes. The length of the drill
holes usually varies from 3 to 5 m.

Once the drilling operation is completed, charging of the drill holes with explosives
will be performed. There are different types of explosives, the most common one being
dynamite.

In rock blasting the main principle is to break the rock and push the rock fragments
towards a free surface. In a tunnel the degree of confinement of the blast volume is far
higher than in a quarry. In order to obtain a satisfactory result from a tunnel blast it is,
therefore, necessary to include the so-called “cut” in the blast hole design. These
consist of holes of larger diameter than the blast holes and are usually left unloaded.

After blasting the round, ventilation has to be carried out to lower the concentration of
blasting fumes to a satisfactory level. The fans are usually started just after the
explosion. It is very seldom possible to enter the working face area until 15-20 minutes
after the blast, but this depends on the ventilation equipment.

After each blast round, scaling (removing loose rocks from the roof and walls of the
tunnel) is done for the sake of safety.
The selection of equipment for mucking and hauling largely depend on the cross-
sectional area and the gradient of the tunnel. For tunnels with cross-sections smaller
than 16 m2, the only alternative for transportation is rail transport system. In larger
tunnels, wheel transport system shall be used. For wheel transport in cross-sections
between 16 and 30 m2 “niches” are required every 100 to 150 m for the purposes of
loading and turning trucks.

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A major restriction for the rail transport alternative is that the maximum gradient has to
be less than 2%. For wheel transport gradients up to 15% may be tolerated.
Use of Tunnel Boring Machines (TBM):
A tunnel boring machine (TBM) is a complex and very advanced piece of machinery
designed to excavate the entire cross-section in a single operation without the use of
explosives. Tunnels with diameters of about 1.8 m to more than 11 m have been
excavated with tunnel boring machines.
The diameter of the cutters is normally within the range of 45 to 50 cm, and the total
number of cutters varies from 20 for smallest machines to more than 70 for the largest.

Figure 4.20: Typical sketch for TBM tunneling

Compared to conventional D & B tunneling technique, TBM tunneling has the

following advantages:
- For long tunnels (> 3 km) the excavation time and the costs in many cases are
considerably lower due to a higher advance rate combined with reduced
requirement for tunnel support and ventilation.
- The tunnel will have a circular profile with a smooth contour, which is of
particular importance in reducing head loss in unlined water tunnels.
- Potential problems due to blast vibrations are eliminated, especially in
populated areas.
- Less number of “adits” is required.
There are, however, some limitations in connection with the use of TBM in tunneling.
These include:
- Initial cost of the machine is high

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- Requires detail geological investigation than the D & B alternative

- Less flexible than Conventional D & B technique in tackling stability problems
o maximum gradient is restricted to approximately 2% for railroad
transport
o the maximum curve radius is restricted to 150-450 m

4.11.6 Tunnel Supports

A basic philosophy in tunneling is that the extent of installed tunnel support should
reflect the actual rock conditions. In good quality rock the self-supporting capacity of
the rock mass should be used to its advantage, and the amount of tunnel support kept at
a minimum. In poor quality rock the design of support should be based on a sound
understanding of the character and extent of the stability problem.

The various geological factors which may influence the stability are:
- The strength and quality of the intact rock
- The degree of jointing and their character
- Weakness zones and faults
- Rock stresses
- Water inflow
Tunnel support may be installed either at the working face (immediate support), or
behind the face (permanent support). Whenever possible the design for the immediate
support should be chosen which makes it possible to act later as permanent support.

The following support methods are the most commonly used in hydropower tunneling
today:
- Rock bolting - Grouting
- Shotcreting - Concrete lining

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Rock Bolting:
A rock bolt is a steel bar, which is inserted into a hole drilled in a rock to improve the
rock competency. The distant end has a device which permits it to firmly anchor in the
hole and the projecting end is fitted with a plate which bears against the rock surface

(See Figure-4.16). The bolt is placed in tension between the anchor and the plate,
thereby exerting a compressive force on the rock.

Figure 4.21: Principle of rock bolting

Rock bolting in tunnels is carried out according to one of the following two main
principles:
- Spot bolting of individual, unstable blocks
- Systematic bolting of a section of the tunnel or the cavern in a defined pattern
On average, the length of rock bolts in water tunnels is 1.5 to 4 m and the diameter is
16 to 25 mm. Rock bolting is usually used for an immediate support near the tunnel
face.
Shotcreting:
A shotcrete is a quick-setting concrete plaster shot at rock surfaces pneumatically. It
creates the best possible rock support condition, which makes it an economical, rapid,
and effective means of providing tunnel support. In practice the shotcrete is placed in 5
cm layers until a desired thickness is attained.
The use of steel fibers in the concrete mix has an effect of increasing the strength of the
shotcrete. For an immediate support in areas of heavily jointed rock masses or in areas
of high rock stresses, steel fiber reinforced shotcrete is commonly used.
In many cases, the shotcrete is combined with rock bolting for use as a permanent
support. A combination of steel fiber reinforced shotcreting and systematic rock bolting
can replace concrete lining alternative, provided that water inflow and active gouge
material in the discontinuities are minimal or absent.
A general restriction in the use of shotcrete is in areas with water leakage. The main
restriction, however, is where weakness zones contain swelling clay (smectite).

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Figure 4.22: Principle of shotcreting

If shotcrete is applied on such zones, there will be no room for expansion of the
swelling clay, and high swelling pressure will be activated when the zones are exposed
to water. This may easily destroy the shotcrete lining.

Grouting: A grout is a mixture of cement and water forced in to rocks around the
tunnel periphery. Grouting may be performed ahead of the tunneling face (pre-
grouting) or behind the tunneling face (post-grouting). Pre-grouting is necessary in
areas where groundwater inflow makes tunnel driving difficult. Probe holes are drilled
ahead of the tunnel face to perform permeability testing before deciding the necessit y
of pre-grouting. Post-grouting is done to improve the stability of the rock mass behind
the tunnel face.

Figure 4.23: Principle of pre-grouting in a water-bearing zone

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5. TRANSMISSION OF ELECTRIC POWER

If the power plant and the load centers are close to each other, the costs of electric power
transmission and maintenance are minimum. In most cases power plants are located in remote
areas and inside gorges which demands high cost of for transmission of electric power to the
load centers.
A design criterion of transmission lines considers:
 The maximum allowable voltage variation from no load to full load
 The maximum economic power loss
 Protection from lightning and other damages
 Structural stability in high winds (or, in temperate areas, in ice and snow)
 Safety for people living and working near the lines
Underground or over ground
Over ground lines are used most often because, by using air as the cable insulator, the cable is
less expensive. Insulation can be cheap and simple. In most developing countries, un-insulated
cable is more readily available than underground.

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Un-insulated cables are exposed to lightning and to falling trees. The land close to the lines
has to be cleared of trees, and this has to be carried out periodically. The poles may also have
a finite life, and so may need replacing, perhaps every 15 years. Further, overhead lines are
less efficient than underground for a given conductor size because the wide spacing of the
conductors gives rise to inductive losses.

Underground lines have to be insulated, and protected against ground movement, ploughing,
new buildings, etc. Once installed, however, the line should run without maintenance until the
insulting material deteriorates.
High Voltage (HV) or Low Voltage (LV) lines
If transformers are used to step up the voltage to high values, the currents in the conductors are
smaller and cables are smaller. The lower cost of the cables is offset by the cost of the two
transformers needed, one at the start of the transmission line, and one at the end, to step the
voltage back down to the standard value. Additional costs for checking of ventilation or
cooling level and insulators for attachment of the cables to support poles are needed. By
contrast low voltage (LV) lines without transformers are more easily erected and maintained
by the local users of power.

5.1 Transmission and Distribution (T&D) system planning

Planning of T&D in principle should satisfy the socio-economic premises, technical
requirements depending on the availability of investment, cost level and other political

measures. Hence, power system planning is based on specific objective: seeking a plan that
contributes to minimize the total socio-economical supply cost, keeping all relevant
restrictions during the period of analysis, typically 20-30 years.

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The planning process may have the following phases:
i Establishing the database
 Electrical system data, i.e. description of existing system and suggested extensions
 Load data, i.e. historic and present energy
consumption, description of heavy/light load
situations as well as prognoses for energy and power

ii Determine the main principles for system

layout/renovation strategy
 Decision whether to follow earlier
practice(system layout) of the utility or if the system
philosophy is to be considered e.g. by use of
optimization calculation based on simplified system
description
iii Technical analysis of different system alternatives
 Load flow analysis, short circuit calculations, reliability analysis, contingency analysis and
stability analysis
iv Establishing investment costs and operation costs
 The investment costs (including interest) and operation costs for qualified system solutions
are evaluated.
v Cost minimization
 When all the fixed and operation costs for all qualified are calculated for the period of
analysis, the task in this phase is to determine the system plan that contributes to
minimizing total costs. The quantities under investigation here are: which investments are
to be made in the system (type), the size of the investment (size) and when are investments
to take place (year)
vi Decision of investment plan
 This is an evaluation phase where a selection is made among the economically most
favorable plan. The evaluation is accounting for: uncertainties in the database (possibly by
sensitivity analysis), parameters not directly represented in the model of economic analysis
(not all relations can be cost evaluated), how flexible the different plans related to
uncertainty in the database.

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5.2 Design philosophy of overhead lines
The main parts of a power line, as
roughly shown in the figure below, are
the conductors, the supports (towers or
poles) which hold the bare conductors,
insulators needed between the
conductors and the support and shield
wires attached to tower extensions.
Towers keep the conductors at suitable
distance from the ground and other
objects (external clearances) and
mutually apart (internal clearances).
The three elements: conductors,
supports and insulators constitute the main types of components of an overhead power line. In
addition, supports need either foundations, or the lower part is buried in the ground, to keep
them in a fixed position, and hardware and clamps are used to fix the insulators between
supports and conductors. Shield wires are provided in some power lines.
The clearance has to be large enough to avoid discharge. The components must have the
mechanical strength to resist the stresses they are exposed to:-

 Standards and regulations are required to layout and design overhead power lines,
which outline the criteria for electro technical and mechanical aspects. The electro
technical aspects will be to determine the voltage stresses acting on the line and to
determine the required resistance voltage. The mechanical aspects will be to determine
the loads acting on the line and to determine the strength of the various components
that will resist the stresses created by the loads.
 Design philosophy and standard of overhead lines should aim in explaining the general
frame work of a power line (standard) that can be improved in line with practical and
theoretical experience.

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5.3 Framework of a standard
i Probabilistic methods :
 based on statistical Knowledge of an event
E.g. a climate load that can be quantified by its yearly maximum value or the properties of a
component that can be quantified by e.g. its ultimate strength
ii Loads (Analyzing loads)
 Mechanical aspects: Analyzing the loads acting on the line
- Basic loads: due to the weight of towers, conductors and hardware and to vertical and
horizontal changes to line direction
 Additional loads:
- Climate loads: due to wind, ice and temperature, either separately or in combination
(statistical basis and experience)
- Special loads: to meet situations that can occur occasionally during
construction and operation
- Security loads: to withstand and satisfy requirements to the security of the
overhead line, e.g. a failure can occur due to unpredictable event,
longitudinal loads acting on a suspension tower may be due to broken
conductor under normal tension (deterministic basis)
- Safety loads: to withstand with a good safety margin for personnel working
on the transmission line
 Electro technical aspects: concerning the mechanical aspects, the electrical stresses acting
on the line have be analyzed
The loads are classified as the following voltages:
- Continuous power frequency - Slow front over voltages
voltages - Fast front over voltages
- Temporary over voltages
With all loads the minimum required insulator string length and electric clearance
distances will be determined and certain measures will be taken to ensure the operation
security for safety for humans and animals.

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5.4 Right Way of planning
Lying to Transmission lines needs extensive work of panning: The planning process may
include:
 Early clarification of possibilities and alternatives
 Close contact with local interests and users of the areas in question
 Recording of all important interests connected with the actual alternatives
 Consultations where all justifiable feasible alternatives are included
In the process of planning it is very important that the planners do not choose their own
favorite alternative before all relevant information is brought forward.
i Adaptation to use of land
As a main rule, avoiding the most valuable and conflict filled areas, where satisfactory
alternatives are available should be the aim
Aim at avoiding:
 Pristine areas and areas of high  Land cape gems
protection value  Routes with towers in cultivated fields
 Large continues tracts of nature and but crossing cultivated field is
outdoor activity areas preferable to going through forest
Evaluate Border zones:
 Between forest and cultivated fields
 Between residential areas and other areas
 Along roads (but carefully)
ii Landscape
The main rule should be that wherever possible and where solutions are otherwise acceptable,
the aim should be to find right of ways adapted to, and subordinated to the landscape.
 avoid silhouettes or back ground in topography or
 avoid barrier effects vegetation
 avoid conspicuous effects  follow existing curves in the landscape,
 avoid strand zones or crossing over e.g. border zones in topography and
lakes vegetation
 stay low, search for routes where the  Crossing rivers, roads and traffic routes
line and especially the towers get cover should, as a main rule be perpendicular
to them.

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 Take care of forest screens when  Choose the upper side or inner curve
crossing or going alongside rivers and when going alongside traffic routes
traffic routes
iii Health Impacts of electric and magnetic fields
In recent years greater attention has been focused on electric and magnetic fields, both
among the general public and experts, as a result of the fear that these fields can constitute
a health risk.
Electric and magnetic fields in relation to power lines are important in this combination even
if such fields usually are weak compared to what is found in other electric sources. However,
power lines extend over larger areas and thus the public is regularly, and in some cases
permanently, exposed to the fields.
a) The electric field ( E-field)
The electric filed is designated with the latter E and is a measure of the rate of change of the
voltage when moving in a certain direction. It is measured in volts per meter (V/m).
b) The magnetic field ( B – filed)
The magnetic induction is designated with the letter B and gives the strength of the magnetic
field in the unit Tesla (T).

iv risk of Bird Habitat:

Power lines affect bird life. The power lines may have an impact indirectly on bird life by
disturbing the birds‟ habitat, e.g., by reducing their access to food, nesting possibilities and
destroying their territory.
The risk of bird collision can be reduced by:
 Choosing right of way outside the best isotopes
 Keeping away from natural migration routes
 Leading overhead lines of the same dimension conductors heights in parallel
 Adapting the choice of right of way so that the conductors are shielded by vegetation or
terrain to avoid conductors just above tree tops.

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5.5 Tower spotting
Tower spotting is done with the help of land surveying. During pegging of the route center
line all necessary information including measurement of crossing lines, communication lines,
houses, buildings, roads, rivers and other objects along the route and property boundaries have
to be recorded.

The pegging in principle is carried out as a polygon mesh to be able to look between each
survey instrument and back to the former.

Measuring points are taken where the route center line changes direction. The distance
between the direction pegs should not exceed 50 meters. A direction peg is located with
suitable distance between the stations, depending on the terrain type.

Side terrain is measured to both sides of the center line where the side terrain is at a higher
elevation than the center line. How far out from the center line it should be measured is
determined e.g. from phase distance and clearance required from the ground.

5.6 Conditions influencing the Tower spotting

Tower Spotting is used for determining the location and height of towers on the route profile.
Several factors can be listed.
 Conductor type  Crossings
 Tower type  Clearances to adjacent objects
 Terrain type  Building conditions, etc.
 Climatic loads
The conductor type used will influence span lengths as well as heights of towers. The breaking
strength of the specific conductor type will limit the capacity for long spans, especially for
smaller conductors. In connection with spans that means have to be long, e.g. across valleys

The choice of tower type is very important. When building wood towers, the height of the
towers is limited and so as the span length since the lengths of wood poles is a limiting factor.

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Terrain type and climatic loads will influence both span lengths and towers locations, for
instance in high mountainous areas where there often is heavy wind load. Too long length
should be avoided due to the risk of clashing between the conductors.

5.7 Tower Design: (Static Analysis and dimensioning based on agreed

standards)
Towers and foundations should be designed to resist the forces transmitted to the towers from
the conductors through their suspension points in the tower. In addition to this comes the net
weight of the tower as well as wind load on the tower body.

Overhead line supports with wood are used up to 132KV power lines. These conductors use
up to ACSR Conductor, (overall diameter 27.7mm). For larger conductors steel towers are
used. The Most commonly used wood tower for high power line is the H-frame with two legs
of round timber. The foundation is made by burying (digging down) the lower part in to the
ground. The digging depth depends on the height of the tower and diameter of the towers at
the ground surface.

When designing the towers, they have to be checked against bending and buckling.
Wood towers are usually built of timber, pressure impregnated by creosote or salt. A well-
built construction, with an impregnated tower that largely prevents water from penetrating in
to the wood can attain longer life time under normal conditions.

The towers can roughly be divided in to two types: tension towers (separating the sections)
and tangent towers. The tension towers should be rigid and able to prevent loads from one
section being transmitted to the next. The tangent towers should support the conductors within
the section.

Longitudinal loads, e.g. due to a broken conductor, will as a rule be determining for the design
of the tension towers. For tangent towers transverse wind loads are usually decisive for the
designs. When designing transmission supports, attention should be given to the fact that
different load cases can be decisive for the dimension of different parts of the tower.

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Tension towers are usually formed as so called A-towers with 2 or 3 legs. Top and base
connections must be designed for the anticipated shear forces and are carried out with the
necessary number of bolts. Alternatively, tension can be attained with guyed towers, but this
gives a less stiff construction. There are many types of tangent towers, depending on function.
Most often the so called H-frame with suspended insulator chain is used.

The mechanical design of these, i.e. clamps, insulators and suspense are implemented
according to the regulations or standards.
Steel Towers:
Computer programs are most often used to analyze the loads on steel towers (forces and
displacements)

Testing of Towers:
Even though it can be documented by means of the design that towers in a power line have the
necessary strength, it is customary to test the different tower types of a large power line in a
testing station. Loads are imposed on the towers in the suspension points for
conductors/insulators. To simulate wind loads on the tower body, loads can be applied
elsewhere in the tower.

The loads can be applied using simple weights or pulleys and hydraulic systems. During the
testing of the different load cases the loads can be applied steadily and controlled. With the
help of measuring equipment the deflection of the towers can be recorded and checked against
the loads the tower are designed for concrete poles.

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5.8 Design of foundations
The foundations of the towers may be a separate construction upon which the tower is placed
in the case of a conventional wood pole the poles themselves are dug down in to the ground.

With regard to foundations as separate parts of the tower they are usually built on steel
reinforced concrete. This type of foundation may be divided in to:
i Foundation designed to resist iii Foundation designed to resist both
compression only compression and uplift
ii Foundation designed to resist uplift iv Foundation designed to resist toppling
overturning moment
An example of type i and ii is foundations of guyed steel towers.
The columns in this case are exposed to axial compression and may rest on foundations
designed for compression only. The guy wires for this type of towers are anchored in buried
foundations (anchors) designed for tension forces only

5.9 Conductors
These carry the electrical power from one end to other for transmission and distribution.
Requirements of good conductor:
 Good conductivity or low specific  Not brittle
resistance  Not too expensive
 High tensile strength to withstand  Low specific gravity for low weight
mechanical stresses
Materials may be:
i. Copper iv. Galvanized steel
ii. aluminum v. Phosphor bronze
iii. ACSR ( Aluminum conductor steel vi. Cadmium copper
core reinforced
To increase the flexibility, all conductors are stranded in which case the central layer has
successive layers 6, 12, 18, 24 wires.
Copper conductors have high electrical conductivity and tensile strength. It is non-corrosive
and free from electrolytic trouble. But it is expensive.

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Although the conductivity of aluminum conductor is 60 percent and strength is 75% to that of
copper, aluminum conductors are usually employed for carrying heavy currents for being
cheaper and lighter in weight. The disadvantage is the greater coefficient of expansion, greater
sag, low melting point, difficulty in jointing, etc. ACSR conductors are good for larger span in
general.

5.10 Insulators
These are provided so that there is no leakage of current to the earth through the support poles.
Porcelain, glass and steatite are used as insulators. Porcelain is (excessively widely) used as
insulator. It is dielectric strength is 60 KV per cm of thickness and compressive strength is
70,000 kg/cm2. But tensile strength is low which are about 500kg/cm2.
Steatite insulators are used in tension towers and transmission lines with sharp turn.
The types of insulators are:
 Pin type  Shackle type
 Suspension type  Stay or Egg type
 Strain type
Corona
It is a phenomenon in high voltage transmission lines due to portal breakdown of air in the
vicinity of energized line. This is characterized by a violet glow around the conductor and a
hissing noise produced along the glow.

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6. CONSTRUCTION FEATURES OF HYDROPOWER

PROJECTS
Main feature of hydropower project:
 Storage  Conveyance  Power house

Fig-6.1: Construction Features of Hydropower

6.1 Reservoirs
Purpose: to stabilize the flow of water in order to satisfy a varying demand from consumers or
of regulates water supplied to a river course.
Investigation of reservoir sites:
In an investigation of a potential reservoir site, consideration must be given to the amount of
rainfall, runoff, infiltration and evapotranspiration which occurs in the catchments area.

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The climatic, topographical and geological conditions are therefore important, as is the type of
vegetation cover.
Basic data for reservoir design studies:
 Topographical Map  Hydrological records
Leakage from reservoirs:
The most attractive site for a large impounding reservoir is a valley constricted by a gorge at
its out fall with steep banks upstream so that a small dam can impound a large volume of
water with a minimum extent of water spread. However, two other factors have to be taken in
to consideration:
i. The water tightness of the basin and ii. Bank stability
Accordingly, once the ground water conditions have been investigated an assessment can be
made of water tightness and possible ground water control measures.
Leakage from reservoirs takes the form of sudden increases in stream flow downstream of the
dam site with boils in the river and the appearance of springs on the valley sides.

Apart from the conditions in the immediate vicinity of the dam, the two factors which
determine the retention of water in reservoir basins are the piezometer conditions in, and the
natural permeability of, the floor and flanks of the basin.
For ground water condition (Knell, 1971)
i. The groundwater divide and piezometer level are at a higher elevation than that of the
proposed top water level. In this situation no significant water loss takes place.
ii. The ground water divide, but not the piezometer level, is above the top water level of
the reservoir. In these circumstances seepage can take place through the separating
ridge in to the adjoining valley.
iii. Both the ground water divide and piezometer conditions are at a lower elevation than
the top water level but higher than that of the reservoir floor. In this case the increase
in groundwater head is low and the flow from the reservoir may be initialed under
condition of low piezometer pressure in the reservoir flanks.
iv. The water table is depressed below the base of the reservoir floor. This indicates deep
drainage of the rock mass or very limited seepage.
Troubles from seepage can usually be controlled by exclusion or drainage techniques.

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Exclusions:
 Cut of trenches  Impervious lining – Asphalt
 Grouting membrane
 Clay-blanket
Grouting:
 Curtain grouting
 Consolidation grouting
The depth of grouting hole should be more or equal to the dam height.
Drainage gallery:
Any seepage water through the foundation will be intercepted by the drain hole and brought
up to a collection drain from where water is pumped out.

6.2 Concrete Dam Construction

i. Inspection galleries
ii. Transverse joints (Inter block joints): vertical contraction joints are formed at regular
intervals of 12-15m along the dam axis. The joints are made necessary be the shrinkage
and thermal characteristics of mass concrete. To control seepage along the plane of the
joints a water barrier is formed close behind the upstream face.
iii. Construction joints (inter life joint): individual concrete pours within each monolith must
be limited in volume and in height to reduce post construction shrinkage and cracking.
Lift height is generally limited to 1.5 -2.0m. The lift surface is generally constructed with
a stepped or uniform fall of 5-10% towards the upstream face to improve the notional
resistance to sliding on that potentially weaker plane.

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Stages in dam site appraisal and project development Activities:

AC T IV IT Y
T I M E S P AN (YEAR S )

S t ra t e g ic p la n n in g :
p ro je c t i n it ia t i o n
3 -2 0
F ie ld M a p p in g , s u rve y s ,
R e c o n n a is s a n c e d a t a c o l le c t io n

F e a s ib ili t y s t u d ie s Te c h n i c a l
1 -3
a n d re p o rt re s o u rc e s , o p t io n s ,

P h a s e 1 : D a m s ite R e s rvo ir s it e
e va l u a t io n e va la u t io n
2 -4
C o n firm a t i o n o f d a m
type

P h a s e 2 : D a m s it e
in ve s t i g a t io n
1 -2

D a m d e s ig n

F o u n d a t io n fe e d
C o n s t ru c t io n 2 -6
bac k

Construction of monolith can be done on either the „alternate block‟ or the „shrinkage slot‟
principle. In either method the objective is to maximize shrinkage before pouring abutting
lifts of concrete in adjacent blocks.
a) Alternate block construction adjacent pours phased to accommodate shrinkage- lag
time approximately 30-60 days.
b) Construction with contraction gaps or shrinkage slots: gaps concreted approximately
30-60 days after adjacent lifts completed.
Mass concrete in dams is not subjected to compressive stresses comparable with those
developed in most other major structures. The volume of concrete with in a dam is relatively
great, however, requiring large pours and high placing rates. Several other properties therefore
rank equally with strength as indices of quality and fitness for purpose.
Hydropower Engineering-II
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The desirable characteristics for a mass concrete for use in dam can consequently be
summarized as follows.
 Satisfactory density and strength  Resistance to cracking
 Durability  Economy
 Low thermal volume change

Pha se s of Proje ct Ex cution

Provision of site infrastructures: Access roads,
offices, workshops, accomodation, etc. Sequences of Concret dam Construction

Formwork Erection
Preparation for river diversion

Surface preparation and placing concrete

Foundation excavation and preparation

Construction operation Compaction by vibrators

Completion of any ancillary structures and Interval for initial shrinkage

installation and testing of valaves, gates, etc.

Initial impounding Curing of the completed pour

Constituent Materials:
Cement:
Ordinary Portland cement is not recommended in dam construction. The resulting
temperature rise and heat gain in large pours is unacceptable in relation to consequent
problems of shrinkage, heat dissipation and cracking.
Low heat or modified Portland cement. Thermal problems can be alleviated by the use of
Pozzolana blended Portland cements. In the absence of special cements, partial replacement
with pulverized fuel ash (PFA) and /or cooling are also effective in containing heat buildup.
Aggregate :( Cheap, inert)
A maximum size of coarse aggregate of 75-100 mm is considered the optimum with rounded
or irregular natural gravels generally preferable to crushed rock aggregates. In fine aggregate
range, i.e. <4.67mm size natural sands are similarly preferable to crushed fines. Aggregates
should be clean and free from surface weathering or impurities.

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Water:
Water for use in concrete should be free of undesirable chemical contamination, including
organic contaminates. A general standard is that the water should fit for human consumption.
Admixtures:
Air entraining agent, (AEA) is added to the concrete which helps in reducing the water
contents, and handling becomes easy. Water reducing admixture (WRAs) is sometimes
employed to cut the water requirement, typically by 7-9%. They are also effective in delaying
setting time under conditions of high ambient temperatures.

Concrete mix parameter:

The parameters which are principally responsible for controlling the properties of concrete
manufactured with specific cement and aggregates are cement content, C (kg/m3); water
content, w (kg/m3)and water: cement ratio (by weight).
The in-situ properties of the mature concrete are dependent upon attaining maximum density
through effective compaction. The ability to achieve this is largely controlled by the physical
characteristics of the fresh concrete, notably its cohesiveness and workability which is related
to the mix proportions, principally in terms of the water, cement and fines contents.
Handling and placing of concrete:
For lower lifts it may be possible to carry the concrete by trucks but for higher lifts, the
concrete is to be carried by crane arrangement, traveling overhead cable ways and conveyor
systems. Concrete lifts are normally formed in at least two layers, and compacted by poker
vibrators.
Uniformity and consistency has to be ensured during concrete production and placing over the
period of the construction.

Controlling concrete temperature:

During placing, the concrete temperature has to be maintained low (12-150C). The temperature
can be brought down either by pre-cooling of coarse aggregate and use of ice chilled water
during concrete production reduces the concrete temperature. Pre-cooling of the coarse
aggregate is done by spraying cool water.

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Post Cooling:
Depending on the ambient temperature, post cooling may be needed. High density
polyethylene pipes are laid between 1.0 to 1.5m interval in the lifts and ice cooled water (3-
40C) is circulated through the pipes. The period of post cooling could be as high as 6 months.
Roller Compacted concrete dam. Construction (RRCC dam):
The construction of concrete gravity dam consumed long construction time due to the slow
curing process of mass concrete to avoid thermal shrinkages. A new technology, RCC dam
construction was introduced in 1970s which offers a potential of financial benefits associated
with shortening of construction period by up to 35% combined with a lower-cost variant of
concrete for large dams.
Characteristics of Mass concrete for dams
Concrete mix

Hearting Facing
Characteristics Unit
Cement(C) +PFA(F) (kg/m3) 150-230 250-320
F/(C+F) % 20-35 0-25
Water : (C+F) ratio - 0.5-0.70 0.45-0.65
90-days compressive strength, σc MN/m2 18-30 25-40
Tensile strength, σt - 0.10-0.15 0.07-0.10
Compressive strength, σc
Unit weight, γc KN/m3 23-25
Modulus of elasticity E, GN/m2 30-45
Poisson ratio - 0.15-0.22
Shrinkage (at 1 year) % 0.02-0.05
Coefficient of thermal expansion X10-6/C 9-12
Three approaches:
RDLC- Rolled Dry Lean Concrete
RCD- Rolled –Concrete Dam (Japan) – lean hearting
RCC- Roller – Compacted Concrete – high paste content material and known to have high
PFA content

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In the construction of RCC dam the concrete is handled as an earth fill, and compacted at or
near its optimum moisture content in thin layers.
Construction in RDLC and some other RCCs permits an intensively mechanized construction
process, with concrete delivery and compaction plant. Construction joints, if considered, may
be sawn through each successive layer of concrete after placing.
The RCC approach is best suited to wide valley; giving scope for unobstructed „end-to-end‟
continues placing. The construction saving realized are at a maximum for high-volume dams
and arise from a 25-35% reduction in construction time as well as reduced unit costs for the
RCC. In its low-cost „geotechnical‟ format (e.g. RDLC). RCC is particularly suited to more
remote sites where importation of cement and/or PFA is difficult or expensive.
Number of passes of roller = compaction magnitude.
Construction of Embankment Dams:

Fig-6.2: Construction layout of Dams

The construction operations of embankment dams fall in to four principal groups relating to:
i. Material source development: opening out of borrow areas or quarries, installation of fixed
plants, e.g. crushers, and conveyors, construction of access and haulage roads, etc.
ii. Foundation preparation and construction: river diversion, removal of top soil and
weathered surface.
iii. Fill construction: placing to materials and compaction.
iv. Ancillary works construction: construction of spillways, stilling basins, culverts, tunnels
and outlet works.

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Characteristics of RCCs for dams

RCC type
Convention
Lean RCC
Characteristics Unit High pasted Lean Nearing
(RDLC)
RCD RCC concrete
Cement (C) + PFA(F) Kg/m3 100-125 120-130 >150 150-230
F/(L+F) % 0-30 20-35 70-80 20-35
Water : (C+F)ratio - 1.0-1.1 0.8-0.9 0.5-0.6 0.5-0.7
2
90-days compressive Strength, MN/m 8-12 12-16 20-40 18-40
σc
Unit weight, γc KN/m3 23-25 23-25 23-25 22-25
Layer thickness m 0.3 Lifts = 0.3 Lifts = 1.5-
0.7-1.0 2.5
Contraction joint Sawn Sawn Sawn or Formed
formed

Geo-synthetics in embankment dams:

Geo-synthetics (geotextile and geo-membranes) have considerable potential in dam
engineering given that issues of durability in specific applications can be resolved. A range of
geo-synthetics have been employed in a number of different applications both in new
construction and in rehabilitation projects.
Geo-synthetics can be employed to fulfill several different functions in embankment dams:
i. Impermeable membranes (upstream or internal): Polyvinyl Chloride (PVC) and High
Density Polyethylene (HDPE) upstream membranes have been successfully employed in
dams up to 40m height. The membranes, typically 3-4mm thick, are laid in 4-6m wide
strips on a prepared sand bed and drainage layer, and anchored at crest and toe.
ii. Fitter and drainage layers (seepage control): Relatively thick geo-synthetics with high
internal transmissivity are suitable for filters or drainage layers.
iii. Earth reinforcement (Stability of slopes, etc.): Geo-synthetics reinforcement materials, e.g.
geo-grids, can be used to permit construction of steeper face slopes or to help to contain
lateral deformation and spread within the embankment or on a soft foundation.

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iv. Control of surface erosion (precipitation or limited overtopping flows). The use of geo-
grids and mats in conjunction with natural vegetation has proved for erosion resistance.
v. Separation interlayer: geo-synthetics can be used to act as an interlayer to ensure positive
separation of fill materials, at an interface.

6.3 Instrumentation Objectives and Dam safety

The principal objectives of a geo-technical instrumentation plan may be generally grouped
into four categories:
 Analytical assessment  Development and verification of
 Prediction of future performance future research and designs
 Legal evaluation and
Instrumentation achieves these objectives by providing quantitative data to assess groundwater
pressure, deformation, total stress, temperature, seismic events, leakage, and water levels.
Total movements as well as relative movements between zones of an embankment and its
foundation may also need to be monitored.
Analytical assessment:
Analysis of data obtained from geo-technical instrumentation may be utilized to verify design
parameters, verify design assumptions and construction techniques, analyze adverse events,
and verify apparent satisfactory performance.
Prediction of future performance:
Instrumentation data should be used in such a manner that informed valid predictions of future
behavior of an embankment can be made. Often earth and rock fill embankments constructed
for flood-control purposes remain dry, or maintain only very low level conservation or
recreation pools, except during infrequent flood events.
Legal evaluation:
Valid instrumentation data can be valuable for potential litigation relative to construction
claims. It can also be valuable for evaluation of later claims relative to changed groundwater
conditions downstream of a dam or landward of a levee project. In many cases, damage claims
arising from adverse events can be of such great monetary value that the cost of providing
instrumentation can be justified on this basis alone.
Instrumentation data can be utilized as an aid in determining causes or extent of adverse
events so that various legal claims can be evaluated.

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Organization chart of project construction operation:

Development and verification of future research and designs:

Analysis of the performance of existing dams and levees, and instrumentation data generated
during operation, can be used to advance the state-of-the-art of design and construction.
Instrumentation data from existing projects can promote safer and more economical design
and construction of future earth and rock fill embankments.
Operation and Maintenance Program:
The people responsible for dam operation and maintenance should become involved
with the dam during the design and construction stages. This will give O&M (operation and
maintenance) personnel an opportunity to become familiar with design and construction
considerations and to become aware of problems that may require special attention during the
operation and maintenance of the dam. During this inspection, problems, unique operations,
general maintenance requirements, etc. should be discussed and procedures established for
their proper handling. In addition to ongoing routine maintenance and inspection, periodic in-
depth inspections should be made on every dam at least every 5 years. The depth and
frequency of these inspections should depend on dam size, hazard, complexity, and the
previous problems encountered. Inspections should be scheduled, if possible, during alternate
periods of high and low water to observe conditions unique to these situations. The
responsibility for correcting problems should be clearly documented. Funding schedules
should be considered to ensure adequate and timely funding to accomplish the work.

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The procedures, generally referred to as SOP‟s (Standing Operating Procedures) should also
include emergency preparedness plans and inundation mapping, the extent and nature of
inspections, hydrologic and reservoir operations, and other pertinent aspects of dam O&M.

6.4 Dam safety principle and concepts

i. Planning and Design
A new dam should be developed in accordance with state-of-the-art design techniques and
construction practices and in a manner commensurate with its size, function, geologic setting,
and potential hazard classification. Careful attention must be given to the following planning
and design considerations.
 Selection of the dam site
 Estimation of the PMF and selection of the IDF
 Identification of earthquake source are and structure, estimation of MCE‟s (Maximum
Credible Earthquake) and identification of earthquake related safety concerns
 Development of a site-specific geotechnical exploration program
 Design of the foundation, dam, and appurtenant structures
 Design of a system of instrumentation to monitor the performance of the dam,
foundation, and appurtenant structures
 Development of an initial reservoir-filling and surveillance plan and of reservoir
drawdown criteria
 Preparation of designer‟s operating criteria and identification of special considerations
to be observed during construction and operation
ii. Construction
Quality construction is critical to dam safety. Construction personnel must be constantly alert
to recognize and recommend the possible need for adjustments in the design, construction
materials, and construction practices to properly provide for actual conditions encountered.
The essential aspects of the construction program include:
 Keeping construction engineers and inspectors informed of the design philo sophies,
assumptions, and intent of the designer with regard to foundation excavation and
treatment, to the usage and processing of construction materials, and to the design

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concepts associated with the construction of embankments and concrete structures and
with the installation of mechanical and electrical equipment
 Keeping construction engineers and inspectors informed of the field control measures
and tests required to ensure quality construction
 Maintaining an adequately staffed and equipped materials laboratory at the dam site to
meet the field testing requirements
 Providing a formal plan for construction inspection to ensure that each facet of
essential work is accomplished in multi shift operations
 Giving the Project Construction Engineer the authority to suspend work until all site
conditions different from those anticipated are evaluated and the necessary design or
construction changes are implemented
 Inspection and acceptation of critical work stages, by the appropriate engineers or
geologist (design and/or technical review personnel)
 Keeping a job diary and documentation that provides a complete history of the work
 Providing mapping and photographic documentation of the construction progress and
of significant events; e.g., geologic maps and photographs of final treated foundations.
Existing Dams:
i. Operation and Maintenance
The operation and maintenance procedure implemented should ensure the safe operation of the
dam and provide for timely repair of facilities. The essential procedures include:
 Preparing SOP‟s (Standing Operating Procedures); information on the preparation of
SOP‟s
 Training personnel in both normal and emergency operation and maintenance
responsibilities and in problem detection
 Maintaining a written record of reservoir, waterway, and mechanical equipment
operations and of maintenance activities
 Testing full operation of spillway and outlet works gates on a regular basis, using both
primary and auxiliary power systems
 Providing for public safety and for security against vandalism of essential operating
equipment
 Establishing and maintaining communication links with local governmental agencies
and authorities

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 Preparing and maintaining current EPP‟s (Emergency Preparedness Plan)
ii. Periodic Examinations and Evaluations
The periodic examination and evaluation of dams and reservoirs is of considerable importance
for public safety. The intent of conducting periodic examinations and evaluations is to disclose
conditions that can disrupt operations or threaten dam safety early enough for these conditions
to be corrected.
Documentation on Dams:
All significant design data, computations, and engineering and management decisions should
be documented and retained throughout the life of a dam. The documentation should cover
investigations and design, construction plans and specifications, construction history,
operation and maintenance instructions and history, instrumentation monitoring instructions,
structural behavior history, damage, repairs and improvements, and periodic examinations and
evaluations. Memoranda, reports, criteria, computations, drawings and records of all major
decisions regarding the design, construction, operation and maintenance, and safety of the dam
should be permanently retained and accessible in central file.

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7. Mini Hydropower project Development considerations

7.1 Definition
Small Hydropower may be classified according to different criteria such as head, powerhouse
layout, and installed capacity. The definition may vary at different times and in different
countries implying that it has no strict definition. According to UNDO an installed capacity
between 101KW and 1000KW is defined as Mini Hydropower (MHP) development.

Fig-7.1: Mini pumped storage plant

7.2 Energy supplies in Rural Areas

The main prerequisite for socio-economic development in an area is the acquisition of
economic and reliable energy. According to statistics from the United Nations, a total installed
capacity of 85 GW should be newly added in the world‟s rural areas so that the un electrified
rural areas inhabited by 1.7 billion people will have electricity for basic needs (exclusive of
industrial and agricultural loads). However due to the limitation of conventional energy
resources and a shortage of funds and expertise etc, only a few millions of rural people in the

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world can be energized in a year. Therefore, the lack of electricity becomes a great constraint
to the rural and the national economic development of a country.

At the heart of rural electrification is the development of commercial energy owing to some
historic factors, vast rural areas are completely cut off from the national economy. Most
energy consumption in rural areas is still from biomass and electricity occupies only a small
portion of the energy consumed.

In our country more than 80% of the population is scattered in the country side consuming
88.4% of the Biomass energy out of 94.5% of Biomass energy consumption in the country
(1996- statistics). On the other hand 751.128 metric ton of fuel oil was consumed out of which
only about 8% of the fuel oil was consumed by rural energy consumption. This shows that the
imposition on the financial balance of the country is high but urban and industrial centers are
using large proportion of imported energy sources. Such disproportionate energy allocation
leads to an increase in fire wood consumption in rural areas resulting in soil erosion and loss
as well as a decrease in soil fertility and damage to the environment. Therefore, the promotion
of rural commercial energy is a critical decision for our nation.

Those who are in favor of using conventional energy think that it all the total fire wood
consumption in rural areas of the world is replaced by oil, about 0.2 billion tons of oil will be
needed annually occupying only 7% of the total oil production in the world. So shortage of
energy in rural areas is actually is an issue of poverty rather than an energy issue.

7.3 The Mini Hydropower development

In new and renewable energy sources, SHP is mature in technology. Long ago human beings
learnt how to make use of water for power. In the country it is still possible to find primitive
Hydraulic Devices (Water Mills). Nowadays, SHP is well developed, with the application of
new technology and design to shorten its construction period and the initial cost being reduced
by full use of local labour and materials as well as a series of preferential policies from
government.

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The main advantages of MHP are:
 its suitably for decentralized development, fully using local materials and appropriate
technology with the participation of local people,
 its mature technology and small investment risk,
 its low operating costs easy maintenance and reliable power supply
 little environmental impact during construction with some positive impact on the
environment
 the obvious social benefit to a developing local economy and improvements in the
material and spiritual life of local residents
Hence, it is pointed out in a United Nations report that as a clean and renewable energy SHP
or MHP ought to be developed as a priority for its maximum economic benefits as well as its
multi purposes, such as irrigation water supply, fish breeding and ecological effects.

For developing countries, the maximum capacity of the rural industrial equipment is generally
less than 100KW and rural industries can be energized by MHP if MHP resources are
abundant in the region. For instance in China the unit cost of MHP is around $650– 00 and its
M&O cost is much less than that of diesel or coal fueled plants. Therefore China has gone to
great efforts to develop SHP and MHP, and „‟to get richness by constructing MPH‟‟ has
become the common experience in hilly regions of china.

7.4 Factors of MHP development

On the basis of the experience of some countries, the following factors are required for the
development of MHP:
 Rich MHP resources and certain loads
 Sufficient funds for the construction of MHP stations
 Expertise in its economic exposition
 Preferential policies from central and local governments

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7.5 Preferential policy for MHP development
For instance in china, the government has stipulated a series of preferential policies to promote
SHP development as follows:
 The “three self-policy“, namely self-construction, self-management and self-consumption;
which means that the people who invested in and constructed SHP stations have the right
to manage the plant to use, to use the output of SHP plant and to obtain benefits from the
station
 “Further developing SHP with benefits from existing stations which means that the
benefits of SHP should be reinvested to further develop SHP should be reinvested to
further develop SHP plants or local grids
 Local grids can have their own supply area and unified management system of generation,
distribution and power supply and be connected to and mutually aided by large (or
national) grids
 The government gives preferential loans and exemption to SHP developers

7.6 Funding
Generally speaking the unit cost of SHP or MHP is greater than that of medium and large
hydropower plants and its initial investment is a great burden for local developers. The
funding of SHP or MHP should mainly be self-generated and be based on the particular
conditions of a country. In any case a feasibility study of the project is first required for the
developer or owner so as to make the right decision.
The funds for SHP or MHP can be gathered from:
 some subsidies or preferential loans from central and local governments
 loans from banks
 investment from industrial consumers and local people

7.7 Appropriate technology for MHP

 typical designs are available gates, pre-stressed concrete penstocks and pre-cast concrete
poles
 many micro hydropower plants have been packaged and commercialized
 electro mechanical equipment in SHP and MHP plants have been standardized and
serialized thus reducing thus SHP or MHP unit cost

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 some practical devices, such as ELC (Electric Load Control), a simplified govern or
(operator), auto-valves with counterweight and automatic controllers have been invented
which reduces the operating cost and improved operation

7.8 Benefits of MHP

MHP has economic, social and environmental benefits such as:
 Providing cheap power for local  Creating more jobs and reducing
industry and agro-by-product the migration of rural people in to
processing cities
 MHP development can be  Invigorating rural cultural life and
combined with irrigation, water log improving the living standards of
control and flood prevention, thus the local people
promoting crop yields and  MHP can be used in hilly areas for
agricultural modernization cooking, instead of firewood, hence
 Increasing revenue for local conserving the environment
government and income for local  Developing tourism in rural areas
people  Benefiting social developments and
stability
For example with the economic development of rural areas, there would be large numbers of
the rural population moving to other industries. MHP development will help to establish more
township-run enterprises, providing more employment opportunities for the rural people, who
will leave the farm land bit not the rural area. It is effective in preventing the rural population
from moving to cites.

Substituting electricity for fire wood gives positive effect by reducing deforestation and,
hence, conserving the ecological environment as well as improving the hygiene of rural
people.

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8. ENVIRONMETAL, SOCIAL AND POLITICAL

FEASIBILITY OF HYDROPOWER PROJECTS

Impacts of hydropower schemes are highly location and technology specific. A high mountain
diversion scheme, being situated in a highly sensitive area is more likely to generate impact
than an integral low-head scheme in a valley. Diversion projects in mountains use the large
change in elevation of a river as it flows downstream. The tail water from the power plant then
reenters the river, and entire areas of the river may be bypassed by a large volume of water,
when the plant is in operation. Given below is a description of possible impacts. However it is
not certain that all or most of this list of descriptions will be applicable to a specific project. In
the list are identified the event, persons or things affected, impact and priority at local and
national levels.

Fig-8.1: Environmental impact of hydropower

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Table 8.1 Environmental impact of a hydropower project

Event and Persons or things affected impacts Priority
During construction:
Road Construction
 General public Noise Low
Accidents Low
Emissions Low

 Wildlife Noise disturbance Low

Collision‟s accidents Medium

 Forest Better access Medium

Future production loss Medium
Accidents
 Workers Minor injuries Medium
Major injuries High
Death High
Job creations
 General publics locally High
National Medium

In operation:
Flow alteration
 Fish Loss of habitat High
 Plants Loss of habitat Medium
 Birds Loss of habitat Medium
 Wildlife Loss of habitat Medium

 Water quality Contaminant dilution Low

 General public Loss of water falls (e.g. Tis

Abay Fall) high
Loss of recreation activities medium
Aesthetic effects Medium

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Excessive noise On health Medium

 Workers On health Medium
 General public

Dams and Reservoirs Loss of grazing area Low

 Agriculture Loss of future production Low

 Forestry Loss of settlement High

Loss of roads and crossings High
Loss of heritage and cultural
lands High

Aquatic ecosystem Local climate change High

 Change of habitat Global climate change Negligible

 General public By methane Not proven

Eutrophication Low
 Water quality
Loss of objects & Features High
 Culture and
archeological effects

Electricity transmission:
On the construction:
Accidents
Minor injuries Medium
 Workers
Major injuries High
 Workers
Death High
 Workers
Jobs created and increased income
Local and national
 General public
employment benefits High

On the operation:

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Physical presence Loss of future production Low
 Forestry Visual intrusion Medium
 General public Injury, death Medium
 Birds

Electromagnetic fields Cancers Medium

 General public
Nonexistent accidents Major injuries Negligible

 General public Death Negligible

Accidents on maintenance of
transmission lines Minor injuries Negligible

 Workers Major injuries Negligible

Death Negligible

Jobs created and increased local Local and national

income employment benefits Medium

 General public

8.1 Reservoirs
The impacts generated by the construction of a dam and the creation of the adjoining reservoir
include the loss of ground, the construction and opening of construction roads, working
platforms, excavation works, blasting which are dependent on the dam size. Other non-
negligible impacts are the barrier effect and the alteration of flow consequent to a river
regulation that did not exist before.

8.2 Water intakes, open canals, penstocks, tailraces, etc.:

The impacts generated by the construction of these structures have been described in the table
above e.g. noise affecting the life of the animals; danger of erosion due to the loss of
vegetation consequent to the excavation work and affecting the turbidity of the water;
downstream sediment deposition, etc. To mitigate such impacts it is strongly recommended
that the excavation work should be undertaken in the dry season and the disturbed ground

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restored as soon as possible. In any case these impacts are always transitory and do not
constitute a serious obstacle to the administrative authorization procedure.
In view of its protective role against riverine erosion it is wise to restore and reinforce the river
bank vegetation that may have been damaged during construction of the hydraulic structures.
It should be noted that the ground should be re-vegetated with indigenous species, better
adapted to the local conditions.

The impact assessment study should take count of the effects of excess excavated material in
the stream. To mitigate the impacts the traffic operation, avoiding of excavated material
should be carefully planned prior to construction.

On the positive side it should be noted that the increase in the level of activity in an area
usually economically depressed, by using local manpower and small local subcontractors
during the construction phase is to be welcomed.

8.3 Impacts arising from the operation of the scheme

Sonic impacts:
The allowable level of noise depends on the local population or on isolated houses near to the
powerhouse. The noise comes mainly from the turbines and, when used, from the speed
increasers. Nowadays noise inside the powerhouse can be reduced, if necessary, to levels of
almost unnoticeable outside.
To minimize the noise the following measures could be taken:
 Insulation of the machine hall, the noisiest room, from the adjacent rooms by means of
double walls with different mass, with a layer of glass wool in between.
 Soundproofing doors
 False ceiling with noise killing characteristics
 Heavy trapdoors to the ground floor, fitted with soundproof counter trapdoors and sealing
gaskets.
 Vibration damping joints between fans and ventilation ducts
 Low air velocity (4 m/sec) ducts
 Turbine rotating components dynamic balanced
 Water-cooled brushless synchronous generator

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 Precision manufactured gears in the speed increaser
 Turbine casings and speed increaser casings strongly stiffened to avoid resonance and
vibrations
 Anchoring of the turbine by special anti-shrinking concrete to ensure the monolithic
condition between hydro unit and foundation block
 Turbine ballasting with large masses of concrete to reduce to a minimum the vibrations
amplitude

8.4 Landscape impact

The quality of visual aspects is important to the public, who are increasingly reluctant to
accept changes taking place in their visual environment, such things may be rejected by a part
of the population, even if, in many ways they improve the environment including landscaping.
The problem is particularly acute in the high mountain hydropower schemes or in schemes
located in an urban area with remarkable historical character. This concern is frequently
manifested in the form of public comments and with legal challenges to those developers
seeking to change a well-loved landscape by developing a hydropower facility.

Each of the components that comprise a hydro scheme - powerhouse, weir, spillway, penstock,
intake, tailrace, and substation and transmission lines - has potential to create a change in the
visual impact of the site by introducing contrasting forms, lines, color or textures. The design,
location, and appearance of any one feature may well determine the level of public acceptance
for the entire scheme.
The penstock is usually the main cause of annoyance. Its layout must be carefully studied
using every natural feature - rocks, ground, and vegetation - to cover it and painting it if there
is no other solution so as to minimize contrast with the background. If the penstock can be
buried, this is usually the best solution. Expansion joints and concrete anchor blocks can then
be reduced or eliminated; the ground is returned to its original state and the pipe does not form
a barrier to the passage of wild life.

The powerhouse, with the intake, the penstock tailrace and transmission lines must be
skillfully inserted into the landscape. Any mitigation strategies should be incorporated in the
project, usually without too much extra cost to facilitate permit approval.

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8.5 Preliminary Questions
In assessing the feasibility of hydro power developments, it is important to consider early the
social, political, and environmental feasibility at a proposed site or in a resource area that has
potential sites. The purpose of such an evaluation is to determine whether there are restraints
due to social concerns such as disruption of peoples' lives or the existing economy,
institutional or legal restraints: and/or environmental concerns that will make proceeding with
development unwise. Further, it is important to quantify the restraints to determine whether
more time should be devoted to the study of social, political, or environmental acceptability
and whether mitigation can be provided so that a hydro plant can be economically installed
and operated.
Activity:
-When do you think that, the Environmental feasibility will be assessed?
-Whom do you think that, the responsible that should do the Evaluation?

 When do you think that, the Environmental feasibility will be assessed?

Assessment of social, political, and environmental feasibility should proceed concurrently with the
hydrologic studies and inventorying of other pertinent physical data as well as in time sequence with
the economic analysis. Necessary information to make an evaluation will often be incomplete and the
evaluator will want to collect more information to make a better evaluation. Evaluators should be
cautioned that collecting impact data can take several years in some cases. The decision maker may
want and need to make a determination before the data collection can be completed.
 Whom do you think that, the responsible that should do the Evaluation?
This is normally not a technological or engineering type of evaluation. However, the engineer is often
responsible for this evaluation in the planning process. The engineer must depend on the judgment of
professionally qualified people in the various disciplines involved, such as biologists, social scientists,
and legal experts who have relevant experience qualifications.
These assessments of social, political, and environmental feasibility need to be made to screen various
alternatives in certain political subdivisions, river basins, and government jurisdictions. The
assessments, due to limits on time and funds, and the nature of the evaluations, often become
subjective and depend on indexed representations of the various factors involved. Unlike the economic
evaluation, there are no common units of measurements.
At present there is no established methodology that is universally accepted by planners and decision
makers.

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8.6 Checklist of Considerations
In referring to the assessment of social, political, and environmental feasibility, the words used
to refer to the variables in the appraisal include such words as factors, parameters, issues, and
considerations. Important in the evaluation is first to develop a comprehensive checklist of the
considerations that need to be assessed. This hopefully will ensure that none of the
considerations will be overlooked. The degree of sophistication with which one weighs and
determines the impact of hydropower development on various factors being considered will be
quite site specific and depend on time and funding limitations. The following is a
comprehensive checklist that might be used in developing and using methodologies.
i. Natural considerations:
a. Terrestrial
 Soils  Seismic activity
 Landforms
b. Hydrological
 Surface water levels  Ground water levels
 Surface water quantities  Groundwater quantities
 Surface water quality  Groundwater quality
c. Biological
 Vegetation  Birds
 Fish and aquatic life  Terrestrial animals
d. Atmospheric
 Air quality  Air movement
ii. Cultural and human considerations:
a. Social
 Scenic views and vistas  Rare and unique species
 Open-space qualities  Health and safety
 Historical and archaeological  Ambient noise level
sites  Residential integrity
b. Local economy
 Employment (short-term)  Housing (short-term)
 Employment (long-term)  Housing (long-term)

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 Fiscal effects on local  Business-activity
government
c. Land use and land value
 Agricultural  Industrial
 Residential  Other (public domain, public
 Commercial areas)
d. Infrastructure
 Transportation  Government service
 Utilities  Educational opportunity and
 Waste disposal facilities
e. Recreation
 Hunting  Boating  Pick-nicking
 Fishing  Swimming  Hiking/biking

8.7 Evaluation Methodologies

Numerous approaches have been used to systematize and quantify the assessment process.
Two techniques are presented, an impact matrix and a factor profile approach.

Impact matrix approach technique requires the development of a matrix in which certain
activities or actions are arrayed against the various considerations. If the environmental impact
appraisal is very broad, it can include the social, political, and economic issues that must be
weighed. The actions or activities for planning, development, and operating a hydropower
development are arrayed on the vertical scale of a matrix table and the various social, political,
and environmental considerations are arrayed on the horizontal scale.

The practice is to enter into the matrix table a symbol to indicate the extent, to which a
specific activity or sub activity will affect the particular consideration or sub factor. The entry
can be qualitatively expressed in a scaling or rating approach by assigning the symbols,
indicating the impacts have significant, limited and insignificant impacts on the resources area.

This implies the evaluator has good understanding of the base considerations as they exist or
are expected to exist before construction and development proceeds. Naturally, this takes on a

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subjective weighing because it is not always easy to document why a particular entry was
made. It implies a weighing of impact before and after development and even at stages during
construction.

Another technique that has been used in siting highways (Oglesby, Bishop, and Willike,
1970), in a water resource planning effort (Bishop, 1972), and in an appraisal of recreational
water bodies (Milligan and Warnick, 1973) is a factor profile analysis. This is a graphical
representation of subjective scaling of the impact or importance of various considerations on
the overall feasibility of development. Feasibility should be considered from four principal
areas of concern: (1) engineering and technological feasibility, (2) social acceptability, (3)
environmental acceptability, and (4) economic feasibility. Figure 8.3 arrays the considerations
environmental evaluation in just three main categories and thirteen sub factors. In Figure B, a
bar graph has been developed for each of the sub factors of the major considerations. This
requires the subjective scaling of impact the hydropower development will have either during
construction or during operation, or both. A magnitude representation from 0 to -10 and 0 to
+10 is made of each of the sub factors in the factor profile. This scaling is here referred to as
an attribute number. Note that it can be either negative or positive, or both. For instance, a
hydropower development might disrupt fish habitat by decreasing flows during certain times
and cause a valuation of a negative entry in the factor profile. At the same time the flow
release might improve the flows at other times, making a positive entry on the factor profile.
Guidelines and ways of consistently arriving at the attribute number is the challenging
problem. Here is where it is important to call on the help of professionals to develop the
guidelines or scaling the attribute number and actually making the assessment.

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Considerations of Impact

Natural Environmental Considerations Cultural and Human considerations

Terrestrial Hydrological Biological Atmospheric Local Economy Land use Infrastructures

Soils Land Etc Surface G. Veg. Aquatic Air quality Air Employment Business Agriculture Residential Transportation Utilities
Devpt forms W. levels Water life movement Activity
Activity levels
Construction Earth Work, ◙
Activity Clearing
Disposal ◙ ◙
Coffer □ ◙
dam/Dewatering
Equipment use □
Material Transport □

Temp. Structures & ◙

facilities
Workers & Equip. □
access
Work Influx ◙ ● □ ◙ ◙
Physical plant Permanent facilities ◙ □ □ □
and Operation
Electrical □ □ □
distribution
Electrical generation □ □ □ ◙

Flood control □ □ □
Impoundment ◙ □
control
Worker & □
equipment access
Security & safety □

Figure 8.2: Impact matrix approach ● Significant Impact

◙ Limited Impact
□ Insignificant Impact

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Figure 8.3: Example of factor profile for evaluating impact of hydropower development
on environmental acceptability

To illustrate the technique more fully, a factor profile for just one category of the cultural
and human considerations has been developed and presented in Figure 8.3. This is the
social category with thirteen sub factors. Guidelines for assigning numerical value for the
attribute numbers of two of the considerations are given below.

Example. For scenic Views:

 If a major scenic vista or attraction such as waterfall would be inundated and destroyed, a -
10 could be assigned.
 If a white-water cascading reach of stream would be inundated, a -7 could be assigned.
 If the attractive stream bank vegetation will be partially destroyed, a -5 could be assigned.
 If there appears to be negligible effect, a 0 could be assigned.
 If a barren, ravaged stream channel is replaced with a mirrored lake, a +4 could be assigned.

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Figure 8.4: Example factor profile for evaluating impact of hydropower development on
social conditions.
For open-space qualities:
 If several thousand acres of open space is inundated and penstock and canals cross and
mar the open nature of the area, a-10 could be assigned.
 If a large area of open space is inundated, a -7 could be assigned.
 If a limited area of open space is disrupted, a -3 could be assigned.
 If no apparent change will occur in the open-space area, a 0 could be assigned.
 If impoundment and control of stream allows use of open space and new vegetation
creates a more open and attractive area, a +5 could be assigned.
The factor profile can give a Visual representation of restraints. If desired, it is possible to
sum the various values of attribute numbers. It is also possible to give added weight to
certain of the considerations by giving a weighting factor to a given consideration or sub
factor.

8.8 Other Social and Political Considerations

Land Ownership:
In hydropower feasibility studies, land ownership is an important consideration. In many
cases the site with the best development potential presents a problem because the entity
that wants to develop the energy does not have ownership of the land. The land is in
government ownership, or there are certain legal restraints on the land. Land ownership
problems need early attention in planning and may take on an inordinate importance in the
feasibility determination and the implementation of a hydropower development.

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Legal Considerations:
Legal considerations are important in the appraisal of social and political feasibility of
hydropower developments: water rights, regional state regulatory permits, and federal
licensing.

Depending on the state involved, there are other legal requirements that must be met and
require attention even at the feasibility study level. Typical of these requirements are
stream channel alteration permits, public utility certificates for study of need and
convenience, state environmental impact statements, and proof of compliance with state
water quality standards. Because of the direct impact of hydropower developments on the
stream's fishery resources, there always should be requirements and political acceptance
that must be sought from the legal authority. These problems must be addressed as the
planning proceeds.

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 9. ECONOMIC AND FINANCIAL EVALUTION OF
HYDROPOWER PROJECTS
9.1. Introduction
After our technical deliberations, we arrive at the economic and financial appraisal.

The objective of an economic and financial appraisal are first to provide an economic basis
for deciding whether or not to implement a project, and secondly to examine promising
development alternative in an economic respect to determine which is the most attractive

An economic appraisal is based on the benefits and costs from the viewpoint of society as
a whole, while a financial appraisal is viewed from the perspective of the project sponsor,
and states whether the tangible value of the output of the project will be sufficient to
amortize (pay back) the project loan, pay operation and maintenance cost, and meet the
interest on other financial obligations.

A series of information documents must be assembled in an orderly fashion before the

appraisal can be conducted as follows:
 Information on the Input of the Project : the capital cost of civil engineering and
electro mechanical equipment; operating and maintenance costs; overhaul costs; useful
life of the civil engineering and electro mechanical equipment and their rate of
amortization.
 Information on project construction: the period of construction, its progress and date of
putting into operation.
 Information on Hydropower plant parameters: firm power, peaking power (or operating
power), installed capacity and annual generation of the power plant.
 Information from Market Analysis: the energy purchaser; rate of capacity and energy
(tariff); market price of materials and equipment; labor costs and their shadow prices
obtained from the planning department of the government.

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 Information from financing: fund sources and funding; its yearly installment during
construction; interest rate; the basic economic and financial discount rate and rate of
escalation.
.
 Information on Alternative Energy Sources: construction costs; energy costs, operation
and maintenance costs, fuel prices, etc.
 Information on Socio-Economic elements: institutions; codes; policies and other socio-
economic factors concerning the environment industrial and agricultural productivities,
etc.
 Information on Other Cost Rates, e.g. fees necessary for a license and low producers;
categories of taxes and their rates; rates of insurance etc.

9.1 Economic and financial feasibility Basic Equations concerning time

value

9.1.1 Economic and financial feasibility

Project feasibility includes two aspects: technical and economic; the two aspects
complement one another. Economic feasibility is based on technical feasibility. It is
prohibited to sacrifice project safety in order to gain a fabricated feasibility. So, economic
feasibility is always decisive when considering the engineering safety of an alternative
project scheme.

Economic and financial appraisals are two aspects defining the project feasibility in respect
of economics. The project sponsor pursuing maximum profits may ignore the
environmental impact or may harm the national interest, which will lead to the project
would be financially infeasible on one hand, on the other hand the project would be
financially infeasible owing to the large discrepancy between theoretical energy costs and
actual tariffs. Therefore the justification for financial feasibility becomes difficult. The
project sponsor should take measure to strive to reduce investment costs, seek loans with a
low interest, change the ways of funding, etc.

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Economic analysis deals primarily with the development and applications of benefit cost
analysis, which is the most frequently, used procedure for project economic evaluation.
Economic feasibility is considered from the stand point of the sponsor. When total benefits
accruing from the project exceed the total costs incurred, the project is regarded as
economically feasible.

Financial feasibility may be defined as a project‟s ability to obtain funds for

implementation and repay these funds on a self-liquidating basis with acceptable risks at
realistic interest rates. Financial analysis can be simply interpreted as a cash-flow analysis.

9.1.2 Basic equations concerning time value

The following time value related terms must be defined first before we establish the basic
equations for the economic and financial analysis.
Economic Life (useful life) and the Calculation Period:
Economic life is the time, during which the project can be operated normally. In general,
that is 30-40 years for civil engineering and 15-25 years for turbine generator sets (10-15
years for diesel sets.) Renewal of the main parts of the equipment or capital repair in civil
engineering is needed after that period.
Discount Rate:
The discount rate is the cost of money reflecting the time value of money. The proper rate
to use for testing economic feasibility is the opportunity cost of capital to society. This is
the rate of return that could be earned by investing the capital cost of the project in a
venture of similar risk or an alternative marginal project. The social discount rates are
different in different countries; usually it takes around 10 per cent.
Interest Rate:
This is the fee that must be paid by the user for the lender‟s capital. It is used to ascertain
financial feasibility. The interest rate is set in the capital market and fluctuates with
changes in the health of the economy and government fiscal and monetary policies.

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Present Value:
This is the value obtained by discounting all future costs and revenues into the present
timeframe so that they can be compared on a current monetary basis. The sum of these
values represents the net present value.
Annual Equivalent Value:
This is the capital value of an annuity, the cumulated present values of which (in n years)
equals the total initial capital cost, or the capital is recovered in n years by an annual
equivalent value under a given discount rate.

If we set P = present value; F = Future expenditure; A = annual equivalent value;

i = discount rate or interest rate; n = economic life or calculation period, then we get the
following useful equations:
1. The single–payment future–value equation
F  P1  i  , (9.1)
n

Where 1  i n the present–value factor with a single payment

2. The single–payment present–value equitation

P  F / 1  i  ,
n
(9.2)
Where 1 /(1  i) n the present–value factor with a single payment
3. The uniform payment future–value equation

F  A1  i  n  1] / i, (9.3)

Where 1  i n 1] / i the future–value factor with uniform payments

4. The sinking-fund equation
A  F * i /1  i n 1], (9.4)

i / 1  i   1 the sinking – fund factor

n
Where
5. The present value of an annuity equitation
P  A1  i  n  1] / i 1  i n , (9.5)

Where 1  i n 1] / i 1  i n the present value of an annuity factor

6. The capital – recovery equitation

Page 156
 n
 n

A  P * i 1  i  / 1  i   1 , (9.6)

Where i 1  i n /1  i n 1] the capital–recovery factor

Figure 9.1 shows the cash flow and the relationship between P, A, n and F.
Equations (9.2) and (9.5) are also suitable for the present–value calculation of benefit.

9.2 Costs and Benefits

9.2.1 Costs
Capital costs: This is the sum of money invested in a project (including its interest during
construction) before its completion. Accordingly, the project sponsor will return the money
from the energy sales to pay back the initial expenditure and operating costs, and at the
same time retain the remaining profit for himself.
In general the capital cost of preliminary design is classified by the following items:
 Civil engineering;
 Electro-mechanical equipment and its installation;
 Equipment such as the gate, hoist, penstock and its installation;
 Temporary engineering;
 Compensation for filling the reservoir;
 Other expenses, e.g. administration of the construction unit, operation preparation,
scientific research, exploration and design, construction monitoring , establishment of
the base of the construction enterprises, legal procedures, certificates, taxes and
insurance,
 Reservation for unforeseen expenditures;
 Interest during the construction period;

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 Table 9.1: An example for estimating the total investment
Description Cost ( 103 US$)
Direct costs
 Civil 4636 .50

 penstock 155.90

 turbine–generator and its accessories 450.00

 Substations (step-up and step-down) 240.00

 Transmission line 472.00

 Total contingencies 5954.00

Contingencies
 15% for electromechanical equipment 174.00
 20% for civil and penstock 958.00

 Total contingencies 1132.00

Engineering costs
 15% for direct costs and contingencies 1063.00
Administration and others
 10% for direct costs and contingencies 708.00
Total 8859.00
Interest over 2 years’ period of construction 1373.00
Total Capital costs of project 10232.00
In a feasibility study, the items can be roughly divided as shown in Table 9.1

Annual costs:
Annual costs include the annual capital cost (the financial costs for loan amortization and
interest) and the annual operation and maintenance costs, the latter involving salaries,
material expenses, water fees, overhaul expenses, insurance, interim replacement and
administration, etc. If the capital cost of the transmission line is included in the total
investment, then the annual cost will have two parts: power generation and power supply.

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The rate of the annual capital cost equals the capital recovery factor; the rate of the annual
operation and maintenance costs.

9.2.2 Benefits
There are two kinds of benefit: direct benefit and indirect benefit
The direct benefit is mainly from the benefits of the energy sale, as in the following
expression
Be  E e 1    1    p, (9.7)
Where
Be = benefit from energy sale;
Ee = effective annual energy generation, i.e. the total net energy output given out by the
generator of the hydropower plant during the year after the deduction of energy loss in
outage;
  Plant use factor
  Grid loss factor

P = energy price 

In Equation (9.7) E e 1   1    represents the amount of electric energy on sale. The
project sponsor should decide which energy purchaser will be willing to purchase the
energy output from the hydropower plant and what selling price of the energy can be
obtained in the market.

Besides the benefit from energy sales, there would be a benefit from multipurpose
utilization

Indirect benefit involves tangible and intangible benefits; the former can be calculated in
money terms, e.g. pumping irrigation will increase the yield of the grain harvest, electric
lighting may save kerosene expenses; the latter is uncountable e.g. to raise the standard of
living of the society, also reduces deforestation, increase the opportunity of employment.
Economic analysis should consider the social benefit as far as possible, while financial
analysis deals only with direct cash flow.

Page 159
9.3 METHODS OF ECONOMIC APPRAISAL
The net present value (NPV), benefit–cost ratio (B/C) and internal rate of return (IRR) are
methods generally used in an economic appraisal.

9.3.1 The net present value method

This method is useful for ranking multiple projects. If we set the first year of construction
as the base year the procedure is to discount the net benefit (i.e. benefits minus cost) from
each year to the base year, then to obtain their cumulative sum:
n
B j C j
NPV   1  i 
j 0
j
(9.8)

A diagram of equation (9.8) is shown Figure 9.3; when m = the construction period; A =
annual operating and maintenance cost, B = annual benefit, P = annual investment. C in
equation (9.8) involves P and A.
If we set the first year of operation of the hydropower plant as the base year, and the
annual capital input, annual operating and maintenance costs, and annual benefit are
uniform in distribution i.e., p o  Pl  P2 ....  P, An 1  An2  An 3 , B n 1  Bn2  Bn3  B, , then
the NPV can be directly calculated by Equation (9.9)

1 i n 1 p 1 i  m1
1 
NPV   B  A    1 (9.9)
i 1  i 
n m  i 

If any residual values R exist at the end of the calculation period they should join the
benefit flow to be discounted.

Example: Given a cash flow as shown in Table 9.2, calculate the NPV when
(a) i = 10%, price escalation = 0;
(b) i = 10%, price escalation = 7%

From the above calculation in Table 9.2 we find that NPV < 0 when the rate of the price escalation
= 0 and NPV > 0 when the rate of the price escalation = 7%; hence the price escalation has a
large influence on the result.

Page 160
 If we set the first year of commissioning as the base year, as shown in Figure 9.4, and the capital
cost is uniformly invested over two years, then according to Equation (9.9) we get

1 i 
 1 i  1
p 1
'   1
NPV  B  A i 1 n  m1 
 
i 
n m  i

 24500  4500 
1 0.1  1 150000

1 0.1 1
1
15  21 
 
0.11  0.1 2  0.1 
15

 20500US dollars .

Table 9.2: Calculation of NPV (in $US)

(a) i = 10% rate of price escalation = 0


Year Capital O&M Annual Net Present Net

Costs Cost Benefit Annual Value Present
Benefit Factor Value
(4)-(2)-(3) (5)x (6)
(1) (2) (3) (4) (5) (6) (7)
0 60 000 -60000 1.0 -60 000
1 90 000 -90000 0.909 -18 818
2 4500 245000 20000 0.826 16 529
3 4500 245000 20000 0.751 150.26
4 4500 245000 20000 0.683 1.660
5 4500 245000 20000 0.620 12418
6 4500 245000 20000 0.564 11289
7 4500 245000 20000 0.513 10263
8 4500 245000 20000 0.466 9330
9 4500 245000 20000 0.426 8482
10 4500 245000 20000 0.385 7711
11 4500 245000 20000 0.350 7010
12 4500 245000 20000 0.318 6327
13 4500 245000 20000 0.289 5793
14 4500 245000 20000 0.263 5266

 150 000 54000 -12666

= - 12 666
:. NPV
Page 161
 (b) i = 10% rate of price escalation = 7%
Year Capital OM Annual Net Present value Net
Costs cost benefit annual benefit Factor Present
(4)-(2)-(3) value
(5)x (6)
(1) (2) (3) (4) (5) (6) (7)
0 60000 -60000 1.000 -60 000
1 96300 -96300 0.909 -87 536
2 5152 28050 22898 0.826 18924
3 5512 30013 24501 0.751 18408
4 5898 32114 26216 0.683 17906
5 6311 34363 28051 0.620 17417
6 6753 36768 30015 0.564 16942
7 7226 39341 32115 0.513 16480
8 7732 42095 34363 0.4666 16031
9 8273 45042 3969 0.424 15594
10 8852 48195 39343 0.385 15168
11 9472 51569 42097 0.385 14755
12 10135 55178 45043 0.318 14352
13 10844 59041 48197 0.289 13961
14 11603 63174 51571 0.263 13563

 156 300 103736 564942 +60 377

= 60 377
:. NPV

9.3.2 The benefit – cost ratio method

The benefit–cost ratio is the ratio of the present value of benefit to that of cost. The

criterion B / C  1 :

 / 1 i  j
n
B
j 0 j
B / C  (9.10)
 / 1  i 
n j
Cj
j 0

In the above example with an escalation rate of 7 per cent, if we multiply columns (2), (3)
and (4) by column (6) in Table 9.2(b), and add each of the said columns, we then obtain

Page 162
that the present value of the escalating stream of benefit is $256700 and that of the
escalating stream of costs is $194700. The B/C ratio is then 1.32 indicating an
economically feasible project.
The B/C ratio can also be attained by converting the capital cost and its interest during the
construction period to an annuity value, then

B
B/C  (9.11)
i 1 i n
P  I  A
1  i  n  1
Where
B = annual benefit i 1  i 
n

A = annual operation and maintenance 1  i n  1 Capital recovery factor

costs The B/C ratio does not give the amount
P = total investment of net benefit. A project having the
I = interest during the construction period largest ratio may not yield the largest
n = calculation period from the first year benefit
of commissioning

9.3.3 The internal rate of return method

The internal rate of return (IRR) is that discount rate at which the net present value is equal
to zero. All projects that have an internal rate of return less than the opportunity cost of
capital should be rejected. IRR is calculated through an iterative process, which is suitable
for spread sheet computer processing.

Like the NPV, IRR incorporates all the pertinent economic data, but the criterion does not
reflect any information on project scale and, consequently it cannot be used as the sole
ranking criterion. The IRR expression is:

NPV  
n Bj  Cj
 0,
j 0 1  IRR 
j
(9.12)
Where IRR – i on the condition that NPV = 0

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If the investment, annual operating maintenance cost, and annual benefit are uniform, we
can find the IRR by equation (9.9) through iterative calculation.

9.4 Methods of financial appraisal

The criteria for financial appraisal consist of the financial net present value, financial
internal rate of return, financial B/C ratio, and the payback period of investment and
payback period of the loan through a financial cash–flow analysis, a financial balance
analysis and a cost–profit analysis. In addition, unit investment per kilowatt–hour and unit
cost of energy are all economic indices subordinate to the main criteria.

9.4.1 Financial cash-flow analysis

A specifically designed format may be necessary to proceed with a cash-flow analysis. The
out flowing cash includes the investment in fixed assets, annual operating and
maintenances costs, financing for the renewal of electromechanical equipment during the
calculation period, tax and insurance. The inflowing cash includes revenue from energy
sales, returns on the residual value of fixed assets and others. By a similar approach to that
of economic cash flow calculation, we obtain the net present value (using a basic financial
discount rate), the financial internal rate of return, the financial B/C ratio, and the static
payback period of investment (the total of the years when the cumulative net cash equals or
is greater than the total investment without discounting).

In Table 9.3 a kind of financial cash–flow calculation is illustrated.

The result is:
NPV = $US 207,333 (from column (10);
IRR = 19.8% (from a tentative calculation of i = IRR = 19.8%, we obtain NPV = 0)
The static payback period = 6 years (from column (9) in Table 9.3, the sum of the net benefit > 0 in
the sixth year)

Page 164
 Table 9.3: A financial cash – flow calculation (103 $US)
Year Capital O&M(10% Total Benefit Net Present Net Sum of Sum of
Cost escalation Cost (10% benefit value present Net benefit Net
) (2)+(3) escalation (3)-(4) factor value  (6) present
) (12.5%) (6)x(7) value  (8)
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10)
0 375000 375000 -375000 1.0000 -375000 -375000 -375000
1 16 500 16500 67375 50785 0.8889 45223 -324125 -329777
2 18 150 18150 74112 55962 0.7901 44216 -268163 -285561
3 19 965 19965 81524 61559 0.7023 43235 -206604 -202326
4 21 961 21961 89676 67715 0.6243 42270 -138089 -200048
5 24 158 24158 98644 74486 0.5549 41334 -64403 -158714
6 26 573 26573 108508 81935 0.4933 40416 17532 -118298
7 29 231 29231 119359 90128 0.4385 39517 107660 -73731
8 32 154 32154 131295 99141 0.3897 38639 206801 -40142
9 35 369 35369 144424 109055 0.3464 37781 315856 -2361
10 38 906 38906 158867 119961 0.3079 36942 435817 34581
11 42 797 42797 174753 131956 0.2737 36120 567773 70701
12 47 076 47076 192229 145153 0.2433 35318 712926 109019
13 51 784 51784 211452 159668 0.2163 34533 872594 140556
14 56 962 56962 232597 175635 0.1923 33766 1048229 174318
15 62 659 62659 255856 193197 0.1709 33 015 1241426 207333

9.4.2 Financial balance and the payback period of the loan

Financial balance aims to balance the source of income and expenditure by a year series in
order to see the surplus and deficit of every year, then find out the payback period of the
loan.

The sources of income include the finance from the loan, bonds and credit, energy and
power values.
Expenditure involves project investment, interest during construction, debt service,
operating and maintenance costs, fund drawing, tax and insurance etc.

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In the calculation of the payback period, the debt should be liquidated by annual profits
and revenues. The government would provide policies to accelerate the liquidation e.g.
income tax is not payable during the pack back period, to pay back the loan through the
partial amortization fund, etc.
Table 9.4 shows an example of a finical balance of a project.

From that balance we have found that the negative cash flows occur in 1981, 1982, 1984,
and 1985, which must be covered from other financial resources. However, there is a
positive cash flow during the first complete year of operation

Table 9.4: An example of a financial balance

Expenditure and incomes 1981 1982 1983 1984 1985 1986 1987 1988
Expenditure
1. Engineering, administration, 73 94 173 104 62
Financial and legal
2. Construction and contingencies
562 563
3. Interest during construction 157 79
4. Debt service on loan and bonds 129 249 249 249
5. O&M escalated at 10% 10 24 27 29
Total expenditure 73 94 173 823 843 273 276 278
Income
1. Loan and bond sale 45 1812
2. Interest returned on bond money 121 60
3. Capacity credit 7 15 15 15
4. Power generation revenue - 207 455 501 551
escalated at 10%
Total income Balance 45 1812 121 247 470 516 566
0
Balance -28 -94 1639 -702 -569 197 240 288
Expenditure and incomes 1989 1990 1991 1992 1993 1994 1995
Expenditure

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1. Engineering, administration,
Financial and legal
2. Construction and contingencies
3. Interest during construction
4. Debt service on loan and bonds 249 249 249 249 249 249 248
5. O&M escalated at 10% 32 35 39 43 47 52 52
Total expenditure 281 284 288 292 296 301 292
Income
1. Loan and bond sale
2. Interest returned on bond money
3. Capacity credit 15 15 15 15 15 15 15
4. Power generation revenue 606 667 732 807 887 976 976
escalated at 10%
Total income Balance 621 682 748 822 902 991 991
Balance 340 398 460 530 606 690 699

If the sponsor obtains a short-term loan from the bank with an interest rate of 13 per cent to fill the
deficit in 1981 and 1982 and will pay back the loan in 1983, then we list the payback-period
calculation as shown in Table 9.5 (assume that the amortization fund is paid for the debt, and taxes
are exempt, so that only O&M expenses are deducted from the generation benefit).
From the calculation in Table 9.5, we can see that the project sponsor will liquidate the debt
during the six years after putting the project into operation (in table 9.4 the planner gave the debt
service until 1995, which is safe).

For brief estimation in a feasibility study, the method of annual equivalent cost can be applied to
calculate the payback period. Let us take the same example as shown in Table 9.3. If we assume
8.5 years for the payback period, i = 12.5% percent, the total capital cost $375000. Then the
capital recovery factors equals 0.1976, and the annual capital cost is $74124. From the calculation
in Table 9.6, we find that the debt can be paid back at the ninth year (from column (7))

Page 167
 Table 9.5: The payback period calculation (103$ US)
Items 1981 1982 1983 1984 1985 1986
1. Cumulative borrowed capital at
the beginning of the year 0 77.7 187.9 2024.3 2166.4 2184.0
2. Borrowed capital of this year 73.0 94.0 1812.0 -121.0 -67.0 -15.0
3. Interest of this year 4.7 16.2 142.2 263.1 281.6 283.9
4. Sum of capital and interest 77.7 187.9 2024.3 2166.4 2381.0 2452.9
5. Revenue from generation with 0 0 0 0 207 455
10% escalation
6. O&M expenses with 10% 0 0 0 0 10 24
escalation
7. Sinking fund 0 0 0 0 197 431
8. Debt at the end of the year 77.7 187.9 2024.3 2166.4 2184.0 2021.9
Items 1987 1988 1989 1990 1991
1. Cumulative borrowed capital at
the beginning of the year 2021.9 1795.7 1492.1 1097.1 592.7
2. Borrowed capital of this year -15.0 -15.0 -15.0 -15.0 -15.0
3. Interest of this year 262.8 233.4 194.0 142.6 77.1
4. Sum of capital and interest 2269.9 2014.1 1671.1 1224.1 654.7
5. Revenue from generation with
10% escalation 501.0 551.0 606.0 667.0 732.0
6. O&M expenses with 10% 27.0 29.0 32.0 35.0 39.0
escalation
7. Sinking fund 474.0 522.0 574.0 632.0 693.0
8. Debt at the end of the year 1795.7 1492.1 1097.1 592.7 -38.3

Note: (1) the figure –121 is interest returned on the bond money; -67 is that plus capacity
Credit; -15 is capacity credit.
(2) Half interest is considered for the borrowed capital of the present year.
(3) All the data are transcribed from Table 9.4

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9.5.3 Generation cost and profit analysis
Generation costs are the sum of the annual operating and maintenance costs plus the
amortization cost. The amortization cost depends on the amortization rate, which equals
the inverse of the amortization period. However, the amortization period can be shortened
in order to accelerate amortization.
Unit generation cost in an important index on which the energy price is mainly based. Unit
generation cost is the generation cost divided by the annual energy output. Here the annual
energy output is the net energy given out to the grid or user after deducting the plant use
and outage losses (see Equation (9.7) of Sub section 9.3.2)

Table 9.6: Annual equivalent cost used for the payback period calculation $US
Year Debt service O&M (10% Total cost Benefit Net cash Sum of net
escalation (10% flow (50-(4) cash flow
escalation)
(1) (2) (3) (4) (5) (6) (7)
1 74124 16500 90624 76375 -14249 -14249
2 74124 18150 92274 74112 -18162 -32411
3 74124 19965 94089 18524 -12565 -44976
4 74124 21961 96085 89676 -6409 -51385
5 74124 24158 98284 98644 360 -51025
6 74124 26573 100697 108508 7811 -43214
7 74124 29231 103355 119359 16004 -27210
8 74124 32154 106278 131259 25017 -2193
9 74124 35369 109493 144244 34931 +32 738

The electrical energy must be sent to consumers for sale. The cost of energy sales equals the
generation cost plus the energy supply cost. The unit cost of energy sales equals the cost of energy
sales divided by the annual energy for sale. Here the annual energy for sale is the net energy sold
to consumers after deducting the transmission losses (see equation (9.7) of Sub section 9.3.2).
The profit obtained from power generation is the net benefit from the energy sales, which equals
the total benefit of energy sales from which the cost of energy sales and taxes (or other terms of
expenses) is deducted. The profit is first used to repay debts, then for private or group benefit.

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9.4.3 Uncertainty Analysis
For hydropower projects there would be a lacking of certainty about capital cost estimates,
future annual costs and the future value of energy. Uncertainty analysis aims to analyze the
capability to ensure an outcome unfavorable to the project sponsor. This risk should be
analyzed and minimized as much as is feasible.
Uncertainty analysis includes sensitivity analysis and risk analysis.

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Self-Check Summery Exercises
1. Why basic and specific investigation of resources is carried out in the planning phase of
Hydropower project?
2. Some methods are developed for estimation of flow to ungagged sites. Why? Mention at least
three of the methods?
3. What are the principal objectives of instrumentation in Hydropower development?
4. What are the positive and negative impacts of hydropower projects in relation to social and
environmental?
5. What are main stages in dam site appraisal and project development activities?
6. Enumerate the phases of power system planning process in transmission and distribution of
electric power?
7. Differentiate between economic life, design period and payback period?
8. In what way or to what extent a hydropower project can bring tangible benefits
9. What sort of information / documents is required for conducting the economic and financial
Appraisal of a hydropower project?
10. Two sites in the Abay river basin are under study for the construction of hydropower Project.
The contour map of the basin and description of the sites are shown below.
Site A
The shape of the valley V-shape or nearly u-shape
There is small overburden at the river bed level and the geology of the abutment is sound rock.
The shape of the watershed is narrow.
Site B
The shape of the valley is nearly trapezoidal
There is deep overburden at the river bed and the geology of the abutment is good
The shape of the watershed is wide
Inflow to site B is from the two tributaries

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 Tribut
ary-1

Main River

Site-A Site-B Tributary-2

Table 1.1 Flow data of Gauged site-B (m3/s)

Year Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

1997 186.9 116.0 77.4 63.2 73.5 410.6 2113.6 4397.5 3775.4 2083.3 764.5 394.5

1998 268.2 161.2 92.2 115.4 163.1 410.6 1824.2 4077.7 3833.4 2127.8 767.1 399.0

1999 221.7 133.4 92.8 117.3 107.0 missing 1739.8 3655.5 3007.1 3432.5 1084.2 473.1

2000 264.9 165.0 267.5 324.9 171.5 448.0 1376.2 4173.1 missing 905.0 431.9 243.7

2001 143.7 107.0 62.5 80.6 92.8 469.9 1892.5 4619.8 3464.1 2351.5 856.0 412.5

Table 1.2 Rainfall and Evaporation data of Site-A (mm)

Months Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Rainfall (mm) 11.7 23.7 36.5 65.1 50.3 158.3 316.8 305.3 128.3 95.1 37.8 10.9

Evaporation(mm) 191.7 217.7 222.6 217.2 207.3 135.7 110 112.5 136.2 169.3 173.2 182.4

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 Site-A Site-B
Expected data after study Catchment area= 5,650km2

Catchment area= 7,837km2

Live storage = 885Mm3

Dead storage = 48Mm3

Total free board = 2.50m, River bed level = 1442m

Height required to accommodate the maximum flood = 2.35m

3m3/s should be released from the storage so as to maintain for environment and aquatic life

Table 1.3 Elevation area capacity data of site-A

Elevation(m) 1442 1445 1450 1455 14460 1465 1470 1475 1480

Area (km2) 0 0.9 1.25 1.8 2.3 3.2 5 8 12

Capacity (Mm3) 0 4.96 11.4 20.33 32.17 48.92 74.92 115.75 175

Elevation(m) 1485 1490 1495 1500 1505 1510 1515 1520 1525

Area (km2) 15.1 18.3 21.8 25 28 31.7 35 38.3 41.6

Capacity (Mm3) 250.6 342.23 451.1 575.92 716.5 874.67 1049.7 1241.2 1448.4

Plant type: ICS with a load factor of 0.48 , Grid loss factor = 0.35
Plant use factor of o.67 Energy price = 0.75Birr/kwh
Mean annual energy generation = 9708Wh/yr.
Conveyance: Length of head race tunnel = 1685m
Length of tail race tunnel = 1140m
Tail race level = 1320m a.s.l
Generator efficiency (16poles, 50HZ) = 92%, Turbine efficiency = 90%, Normal operating
speed=150rpm

a) Propose the appropriate type of dams for each site in relation to valley shape, flooding
nature of the catchment and geology of the site? With regard to valley shape and selected
dam type, recommend the possible type of spillway to be constructed for each site?
b) Determine the height of the dam required to store the water, the gross head, and net head
available for this particular project? Assume Francis type turbine is used.
c) Develop FDC and determine the firm power and the installed capacity of the plant?
d) Design the components of the hydropower scheme?

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 11. The costs and benefits of the hydropower project is given below

Year Capital costs O and M cost Annual benefit

(1) (2) (3) (4)
0 60,000
1 96,300
2 5152 28050
3 5512 30013
4 5898 32114
5 6311 34363
6 6753 36768
7 7226 39341
8 7732 42095
9 8273 45042
10 8852 48195
11 9472 51569
12 10135 55178
13 10844 59041
14 11603 63174

a) Draw the cash flow diagram?

b) Estimate the payback period of the project? If i=10%
c) Calculate the NPV of the project? If i=9% and price escalation rate = 6%
d) Calculate the B/C ratio of the project? If i=10%
e) Estimate the IRR of the project?
f) Justify whether the project is technically, economically and environmentally feasible project?
Why?
12. Two towers are separated at a distance of 120m and a power cable with mass of 1.5kg/m
and straining length of 80m is needed for transmission of electric power. The power cable
is subjected to a temperature rise from 200c to 320c.Determine the overall length of the
power cable required between the towers? Consider sag and elongation effects of the
conductor. Take thermal elongation coefficient of the conductor as 3.6*10-3m/0c.
13. A drainage basin has a power plant site located at the mouth of the catchment. An
upstream reservoir regulates the flow at the upper portions of the basin below the
reservoir has been plani-metered and given in table-A below. A runoff coefficient for the
basin on the annual basis is 0.65.The historic monthly flows of a nearby stream gauge on
the downstream side of the stream are presented in table B. The gauge records are
considered to be a good representation of seasonal variation of runoff for the ungagged

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 portion of the river drainage basin. The outflows from the reservoir are given in table C.
Scale of the isohytal map is 1:400,000.Using the information above: Determine
a) The river flow at its mouth that would be useful for the hydropower study and also what is
the firm flow from the Flow duration curve you develop?
b) If the characteristics of the turbine is proposed the following :
Normal operating speed=150rpm, Net head available=16m, turbine efficiency=94%
i) The maximum power output from the installation?
ii) Estimate the specific speed and specify the type of turbine

Table A: Values of plani-metered areas downstream of the reservoir

Avg. value of precipitation b/n isohytal lines (mm) Planimetered Area (mm2)
762 11.94
889 26.13
1016 14.45

Table B: Monthly flows for an average year in a representative gauged stream

Month Jan Feb Mar Apr May June July Aug Sep oct Nov Dec
No of
days 31 28 31 30 31 30 31 31 30 31 30 31
Discharge
(m3/s) 7.11 7.14 9.88 33.13 80.02 64.31 22.57 11.84 9.4 9.4 9.51 8.44

Table C: outflow from the upper reservoir

Month Jan Feb Mar Apr May June July Aug Sep oct Nov Dec
Discharge
(m3/s) 1.42 1.2 2.27 2.83 5.66 7.08 7.08 5.66 1.98 1.84 1.7 1.56

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References:
1. Water Power by E. Mosonyi, Vol. I &II
2. Hydraulic Structures by P. Novak
3. Water Power Engineering by Barrows
4. Water Power Engineering by Dandaekar & Sharma

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