ODA BUTUM UNIVERSITY

INSTITUTE OF TECHNOLOGY
DEPARTMENT OF HYDRAULICS AND WATER RESOURCES
ENGINEERING

HYDROPOWER AND HYDRO MACHINES

MODULE 17

Course Title:
Hydropower Engineering II (HRWE4173)

Compiled By:
Teyar Yasin (Lecturer)

JAN, 2020
 Hydropower Engineering-II

Course 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

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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

Target Group

4th Year Hydraulic and Water Resources Engineering Students

The Nature/Requirement of the Course

 To effectively utilize our Water Resources Potential in Ethiopia for Hydropower plant to
generate sufficient electricity according to the demand of population for the
sustainable development of Ethiopia by our Professionals.

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Time Frame of the Course
Contact
Hours (per Lectures Tutorial Lab/Pract Home Study Total Hour
semester)
32 48 0 55 135

Learning Guide

Students will be able to learn this course to achieve the competences


First you should understand the course by detail reading what it says by
comparing what the instructor of the course lecturing.

Second visualisation comes to translate from theory to the practical ground of
Hydropower potential.

Exercise comes at 3rd through thinking.

Finally you will be able to know how to effectively utilize the water
resource potential and convert it to Hydropower Plant in order to sufficient supply
of Electricity demand for the customers.

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 TABLE OF CONTENTS
List of Figures ......................................................................................................................................................... vii
List of Tables ............................................................................................................................................................ ix
Abbreviations ............................................................................................................................................................ x
Foreword .................................................................................................................................................................. xi
Acknowledgements ................................................................................................................................................. xii
1. HYDROPOWER EQIUPMENT AND GENERATION STATIONS ............................................................... 1
1.1. Fluid Machines......................................................................................................................................... 1
1.2. Hydraulic Turbines .................................................................................................................................. 2
1.3. Classification Of Turbines ....................................................................................................................... 4
1.3.1. Impulse type turbine ............................................................................................................................ 5
1.3.2. Reaction turbine ................................................................................................................................... 6
1.4. Charecteristics Of Turbines ..................................................................................................................... 7
1.5. Design Of Hydraulic Turbines .............................................................................................................. 10
1.6. Procedure In Preliminary Selection Of Turbines ................................................................................... 28
1.7. Turbine Scrol Case ................................................................................................................................ 31
1.8. Draft Tubes ............................................................................................................................................ 33
1.9. Cavitation In Turbine And Setting ......................................................................................................... 35
1.10. Generators and Turbine Controls ........................................................................................................... 37
2. HYDROPOWER PROJECT INVESTIGATION AND PLANNING ............................................................. 53
2.1. Investigation of Resources ........................................................................................................................... 53
2.1.1. Planning Parameters and Data.......................................................................................................... 54
2.1.2. Power Market .................................................................................................................................... 54
2.1.3. Supply system: .................................................................................................................................. 56
2.1.4. Power Market surveys ...................................................................................................................... 56
2.2. Hydrology .............................................................................................................................................. 57
2.2.1. Flow duration studies: ...................................................................................................................... 58
2.2.2. Estimation of flow to ungagged sites: .............................................................................................. 58
2.2.3. Energy and Power Analysis using Flow Duration approach ........................................................... 62
2.2.4. Water pressure or ‘Head’.................................................................................................................. 63
2.2.5. Residual reserved or compensation flow ......................................................................................... 63
2.2.6. Tail water Relationships ................................................................................................................... 65
2.3. Estimation Of Plant Capacity And Energy Output ................................................................................ 65
2.4. Plant Capacity Determination ............................................................................................................... 67
2.4.1. Limits of use of turbine types ........................................................................................................... 68
2.4.2. Determination of number of units .................................................................................................... 69
2.4.3. Selection of Most Economical Units ............................................................................................... 70
2.5. Reservoir (Storage) Capacity ................................................................................................................. 72
2.5.1. Area Capacity Curves ....................................................................................................................... 74
2.5.2. Reservoir Rule Curves ...................................................................................................................... 75
2.5.3. Evaporation Loss Evaluation from reservoirs.................................................................................. 75
2.5.4. Spillway Design Flood Analysis ...................................................................................................... 75
2.6. Geotechnical Studies ............................................................................................................................. 76
2.7. Environmental Issues ............................................................................................................................. 78
2.8. Project Appraisal and Socio-Economic Considerations ........................................................................ 79
3. POWER PLANT STATIONS .......................................................................................................................... 86
3.1. Components of Hydropower projects .................................................................................................... 86
3.2. Power House .......................................................................................................................................... 89
3.2.1. Power house types ............................................................................................................................ 89
3.2.2. Power House planning ...................................................................................................................... 90
3.2.3. Components of a power house ......................................................................................................... 93
3.3. Layout and Dimensions Of Power House.............................................................................................. 94
3.3.1. Layout of Generating Units for small hydropower:......................................................................... 94
3.3.3. Preliminary dimensions of power House for Reaction Turbine ..................................................... 97
3.3.4. Bay’s Dimension............................................................................................................................. 100

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4. UNDER GROUND POWER HOUSE .......................................................................................................... 104
4.2. Location Of Underground Power Stations .......................................................................................... 105
4.3. Arrangements Of Underground Power Stations .................................................................................. 105
4.4. Comparing AboveGround & Underground Power House Station ...................................................... 107
4.5. The Functions Of The Powerhouse Complex ...................................................................................... 109
4.5.1. Main Characteristics Of Underground Power Plants ..................................................................... 109
4.5.2. Overall Plant Layout........................................................................................................................ 111
4.6. Powerhouse Tunnel System ................................................................................................................. 112
4.6.1. Excavation Equipment and Construction Procedures ..................................................................... 114
4.6.2. Hydropower Tunnels ....................................................................................................................... 115
4.6.3. Arrangements and Locations ........................................................................................................... 121
4.7. Rock Stresses ....................................................................................................................................... 122
4.7.1. Stresses Near Corners ..................................................................................................................... 127
4.7.2. Norwegian Experience, Examples ................................................................................................. 130
4.7.3. Rock Stress Measurements ............................................................................................................. 131
4.7.4. Modeling ......................................................................................................................................... 133
4.7.5. Tunneling Methods ......................................................................................................................... 135
4.7.6. Tunnel Supports .............................................................................................................................. 138
5. TRANSMISSION OF ELECTRIC POWER ................................................................................................. 146
5.1. Transmission And Distribution (T&D) System Planning .................................................................... 148
5.2. Design Philosophy Of Overhead Lines .............................................................................................. 149
5.3. Right Way Of Planning ....................................................................................................................... 151
5.4. Tower Spotting .................................................................................................................................... 154
5.5. Tower Design (Static Analysis & dimensioning standard) ................................................................. 155
5.6. Design Of Foundations ....................................................................................................................... 157
5.7. Conductors ........................................................................................................................................... 157
5.8. Insulators ............................................................................................................................................. 158
6. CONSTRUCTION FEATURES OF HYDROPOWER PROJECTS ............................................................. 161
6.1. Reservoirs ............................................................................................................................................ 161
6.2. Concrete Dam Construction ............................................................................................................... 163
6.2.1. Constituent Materials ....................................................................................................................... 166
6.2.2. Geo-synthetics in embankment dams: ............................................................................................. 170
6.3. Instrumentation Objectives and Dam safety ........................................................................................ 170
6.4. Dam Safety Principle And Concepts ................................................................................................. 173
7. MINI HYDROPOWER PROJECT DEVELOPMENT CONSIDERATIONS .............................................. 177
7.1. Definition ............................................................................................................................................. 177
7.2. Energy Supplies In Rural Areas ......................................................................................................... 178
7.3. The Mini Hydropower Development ................................................................................................. 179
7.4. Preferential Policy For MHP Development ....................................................................................... 180
7.5. Benefits Of MHP ................................................................................................................................ 181
7.6. Appropriate Technology For MHP .................................................................................................... 182
8. ENVIRONMETAL, SOCIAL AND POLITICAL FEASIBILITY OF HYDROPOWER PROJECTS ......... 186
8.1. Reservoirs ............................................................................................................................................ 187
8.2. Water Intakes, Open Canals, Penstocks, a n d Tailraces .................................................................. 187
8.3. Impacts Arising From The Operation Of The Scheme ..................................................................... 188
8.4. Landscape Impact ............................................................................................................................... 189
8.5. Checklist Of Considerations ............................................................................................................... 191
8.6. Evaluation Methodologies .................................................................................................................. 193
8.7. Social and Political Considerations .................................................................................................... 197
9 ECONOMIC AND FINANCIAL EVALUTION OF HYDROPOWER PROJECTS .................................... 202
9.1. Introduction ......................................................................................................................................... 202
9.2. Economic and Financial Feasibility Basic Equations Concerning Time Value ................................... 203
9.2.1. Economic and financial feasibility................................................................................................... 203
9.2.2. Basic equations concerning time value ............................................................................................ 204
9.3. Costs and Benefits............................................................................................................................... 211
9.3.1. Costs ................................................................................................................................................ 211

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 9.3.2. Benefits ............................................................................................................................................ 213
9.4. Methods Of Economic Appraisal ...................................................................................................... 214
9.4.1. The net present value method .......................................................................................................... 214
9.4.2. The benefit-cost ratio method .......................................................................................................... 217
9.4.3. The internal rate of return method ................................................................................................... 217
9.5. Methods Of Financial Appraisal ........................................................................................................ 218
9.5.1. Financial cash-flow analysis ............................................................................................................ 218
9.5.2. Financial balance and the payback period of the loan ..................................................................... 219
9.5.3. Generation cost and profit analysis .................................................................................................. 223
9.5.4. Uncertainty Analysis ....................................................................................................................... 224
References: ............................................................................................................................................................ 233

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 List of Figures
Fig 1-1: Hydrological cycle ....................................................................................................................... 2
Fig 1-2: Hydropower plant schem ............................................................................................................. 3
Fig 1-3: Working system of hydropower plant ......................................................................................... 3
Fig 1-4: Impulse Turbine type ................................................................................................................... 5
Fig 1-5:Reaction turbines type .................................................................................................................. 6
Fig 1-6: Side view layout of Reaction turbines : (a) Francis radial flow, (b) Francis mixed flow, (c)
propeller mixed flow, and (d) propeller axial flow ................................................................................... 7
Fig 1-7: Layout of hydroelectric power using an Impulse turbine (Pelton wheel) .................................. 11
Fig 1-8:Impulse turbine: (a) side view of wheel and jet; (b) top view of bucket; (c) velocity diagram .. 11
Fig 1-9: Pelton Wheel with 2 jets velocity diagram ................................................................................ 11
Fig 1-10: Dimensions of bucket. ............................................................................................................. 13
Fig 1-11: PeltonWheel with Five Jets ..................................................................................................... 13
Fig 1-12: Load control by spear valve and deflector ............................................................................... 14
Fig 1-13: Regulation system of Pelton Wheel installation .................................................................... 15
Fig 1-14: Layout of hydroelectric power using an Reaction turbine (Francis, Kaplan wheel) ............... 17
Fig 1-15: Arrangement of a Reaction Turbines ....................................................................................... 18
Fig 1-16: Inlet and exit velocity diagram. ............................................................................................... 18
Fig 1-17: Energy distribution through reaction turbine. .......................................................................... 19
Fig 1-18: Runner of Francis turbine ........................................................................................................ 21
Fig 1-19: Regulating mechanism of Francis turbine ............................................................................... 22
Fig 1-20: Inlet and exit velocity diagram ................................................................................................ 24
Fig 1-21: Turbine efficiency versus relative discharge for different turbine type ................................... 26
Fig 1-22: Working areas of different Turbine Types .............................................................................. 29
Fig 1-23: Recommended dimensions of Scroll Casings a) Full spiral b) Partial spiral ......................... 31
Fig 1-24: Typical cross-sections of a spiral case ..................................................................................... 32
Fig 1-25: Draft Tube a) Elbow-type b) Straight Conical ................................................................... 33
Fig 1-26: Generator Set up and Generator Installation............................................................................ 38
Fig 1-27: Oil-pressure governor ............................................................................................................. 40
Fig 2-1: Typical 24 Hours Load Curve ................................................................................................... 55
Fig 2-2: Unregulated and Regulated firm power flow ............................................................................ 56
Fig 2-3: FDC for gauging stations in a homogeneous drainage basin.................................................. 58
Fig 2-4: Method for determining flow duration of regulated flow with un-gagged inflow ................ 60
Fig 2-5: Physiographic layout catchment (Reservoir Area) .................................................................. 60
Fig 2-6: Flow diagram for computing sequential flow magnitudes from ungagged tributary area. 61
Fig 2-7: a) Flow duration curve b) Power duration curve ............................................................. 64
Fig 2-8: Residual, reserved or compensation flow: ................................................................................. 64
Fig 2-9: Typical Turbine efficiency ........................................................................................................ 66
Fig 2-10: Turbine Envelopes .................................................................................................................. 68
Fig 2-11: a) Effective use of multiple b) Parametric flow duration curve........................................ 69
Fig 2-12: Flow Chart of turbine selection procedure ............................................................................. 72
Fig 2-13: Benefits and costs versus plant capacity ................................................................................ 73
Fig 2-14: Storage components ................................................................................................................. 73
Fig 2-15: Reservoir capacity determination: Mass Curve Procedure ................................................... 74
Fig 2-16: Typical area-capacity curve ..................................................................................................... 74
Fig 2-17: Hydropower development Project Cycle (a) and ( b) ............................................................. 82
Fig 3-1: Layout of hydropower component schame ................................................................................ 86
Fig 3-2: Components of a hydropower project ...................................................................................... 87
Fig 3-3: Power House System Network .................................................................................................. 91

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Fig 3-4: Typical Cross section of Power House .................................................................................... 92
Fig 3-5: Typical plan of the Generator floor .......................................................................................... 92
Fig 3-6: Unit axis parallel to the power house axis................................................................................ 94
Fig 3-7: Unit axis perpendicular to the power house axis ..................................................................... 94
Fig 3-8: Vertically downward inlet in the spiral case ............................................................................ 95
Fig 3-9: Layout for horizontal Francis turbine ...................................................................................... 96
Fig 4-1: The upstream power station/ Head development.............................................................. 106
Fig 4-2: Downstream or Tail-race development power station arrangement..................................... 106
Fig 4-3: Intermediate power station and Diagonal alignment with air cushion surge tank ................. 107
Fig 4-4: Over all plant layout ................................................................................................................ 112
Fig 4-5: Layout and profile of a tunnel application ............................................................................... 113
Fig 4-6: Plan and cross section of an underground Hydropower plants with unlined waterways... 114
Fig 4-7: Stages of excavation in underground power stations. ........................................................... 115
Fig 4-8: Type of Tunnels ....................................................................................................................... 117
Fig 4-9 : Tunnel shapes ......................................................................................................................... 117
Fig 4-10: Overburden requirement in a steep valley side ................................................................... 120
Fig 4-11: Optimum tunnel cross-section ............................................................................................... 121
Fig 4-12: Vertical and horizontal rock stresses as a function of depth below the rock surface ........ 123
Fig 4-13: Magnitudes and directions of the major and minor principal stresses in a valley side .. 124
Fig 4-14: Variation of ratio of average horizontal stress to vertical stress with depth below surface ... 125
Fig 4-15: Tangential and radial stress surrounding a circular opening in isostatic stress field. . 126
Fig 4-16: The influence of rock anisotropy on the stress surrounding of a circular opening. ....... 126
Fig 4-17: Principle sketch illustrating the concentration of tangential stress in a tunnel ...................... 128
Fig 4-18: The Consequence of high horizontal stress and an isotropic condition. ............................. 131
Fig 4-19: The principle of three dimensional rock stress measurements by overcoming.... 132
Fig 4-20: Finite Element model for analyzing the stresses surrounding a planned rock cavern. ...... 134
Fig 4-21: Directions and magnitudes of principal stresses surrounding a rock cavern .................... 135
Fig 4-22: The cutter-head (about 40'dia) of the Herrenknecht S-376 Double Shield TBM ............. 137
Fig 4-23: Typical sketch for TBM tunneling ....................................................................................... 137
Fig 4-24: Principle of rock bolting ........................................................................................................ 139
Fig 4-25: Principle of shotcreting .......................................................................................................... 140
Fig 4-26: Principle of pre-grouting in a water-bearing zone ................................................................. 141
Fig 5-1: Layout of transmission line ..................................................................................................... 146
Fig 5-2: Electricpower distribution line ................................................................................................ 148
Fig 5-3: Framework of a standard pole................................................................................................ 150
Fig 6-1: Construction Features of Hydropower..................................................................................... 161
Fig 6-2: Grouting and pressure relief drain systems.............................................................................. 164
Fig 6-3: Construction layout of Dams ................................................................................................... 169
Fig 8-1: Environmental impact of a hydropower project ...................................................................... 186
Fig 8-2: Example for evaluating impact of hydropower development on environmental acceptability 196
Fig 8-3: Example for evaluating impact of hydropower development on social conditions. ................ 196

viii
 List of Tables
Table 1-1: Specific Speed Ns of different turbines. .................................................................................. 8
Table 1-2: Range of Φ values, Specific speeds and heads ....................................................................... 9
Table 1-3: Specific value of Runaway Speed.......................................................................................... 10
Table 1-4: Comparison between Pelton and Francis Turbines ................................................................ 22
Table 1-5: Range of operating heads for each type of turbine ................................................................ 28
Table 1-6: Range of design discharge ..................................................................................................... 29
Table 1-7: General description flow and head variation....................................................................... 29
Table 1-8: Range of specific speed for each turbine type ...................................................................... 29
Table 1-9: Critical plant sigma values 𝜎 𝑐............................................................................................... 36
Table 2-1: Minimum technical flow of turbines .................................................................................... 67
Table 2-2: Computation table for turbine capacity selection .............................................................. 71
Table 2-3: Computational table for Economic capacity selection ........................................................... 71
Table 3-1: Discharge related with Unit spacing ...................................................................................... 97
Table 3-2: Diameter related with Unit spacing ...................................................................................... 97
Table 3-3: Width of Crane span related with Capacity and operating head ........................................... 98
Table 3-4: Height of Crane span related with Capacity and operating head .......................................... 98
Table 6-1: Characteristics of Mass concrete for dams........................................................................... 168
Table 6-2: Characteristics of RCCs for dams ........................................................................................ 169
Table 8-1: Impact matrix approach ..................................................................................................... 195
Table 8-2: Environmental impacts of small hydropower projects......................................................... 198
Table 9-1: An example for estimating the total investment................................................................... 212

ix
Abbreviations
A.C Alternating Current
ACSR Aluminum conductor steel
B – Filed Magnetic Field
BEM Boundary Element method
DC Direct Current
E-Field Electric Field
ELC Electric Load Control
EEPCO Ethiopian Electric Power Corporation
EOT Electrically Operated Trail
EPP’s Emergency Preparedness Plan
ETO Potential Evapotranspiration
FDC Duration Curve
FEM Finite Element Method
F.R.L Full reservoir Level
GPH Ground Powerhouse
Ha Hectare
HV High Voltage
Km2 Kilometer Square
Kva Kilo Voltage Ammeper
LV Low Voltage
L/S Liter Per Second
MCE’s Maximum Credible Earthquake
Mowe Ministry Of Water And Energy
Max Maximum
Min Minimum
M.F.L Max Flood Level
MHP Mini Hydropower
MOT Mechanically Operated Trail
MOL Minimum Operating Level
M.P.L Minimum pool level
M.A.S.L Meter Above Sea Level
Mm3 Million Cubic Meters
MWh Mega Watt Hour
NMA National Meteorological Agency
N.P.L Normal pool Level
NPV Net present value
PID Proportional, integral and derivative
PET Potential Evapotranspiration
PMF Probable Maximum Flood
RN Reservoir Network
SHP Small Hydropower
SPH Surface Powerhouse
TBM Tunnel Boring Machines
UDEC Universal Distinct Element Code

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Foreword
This course material of hydropower engineering -II (HE-4173) is prepared to serve the needs
of course instructors and students tutorial class module under the program. Backup Support to
students in Oda butum Institute of Technology.

This module is designed to provide the students with the necessary skills to plan, design and
analysis power house, transmission, supervise rehabilitation and maintenance of hydropower,
design full component of min hydropower plant and supervise construction of hydropower
plant.

Being a basic course in the first degree program, the module deals with the basics and concepts
to plan, analyze and design the above hydropower components. The theoretical principles are
presented briefly and are adequately illustrated with several solved examples.

Teyar yasin. (M.Sc.)

xi
Acknowledgements

The support and encouragement received for the preparation of this module from Oda Butum
Institute of Technology, Department of Hydraulics and Water Resources Engineering office
are great fully acknowledged.

Teyar yasin. (M.Sc.)

xii
1. HYDROPOWER EQIUPMENT AND GENERATION STATIONS
On completion of this lesson, the student shall learn about:
 Equipment employed for converting water energy to electrical energy
 Different types of turbines
 Guidelines for selecting a specific turbine
 Generator for hydropower generation

1.1. Fluid Machines

Fluid machines either take energy from a fluid or convert it into mechanical energy or vice
versa. Machines which take energy from a fluid are called turbines and machines which give
energy to a fluid are called pumps and fans. From a theoretical viewpoint there is no
difference between the two, in practice there is also a great deal of similarity.

Machines that extract energy from fluid stream are called turbines. They are classified as:
 Hydraulic turbines (Pelton, Francis, Kaplan)
 Steam turbines
 Gas turbines
Based on the energy transfer and type of action, hydraulic machines are generally
divided in to two:

1
1.2. Hydraulic Turbines
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.
In order to achieve these functions, certain important equipments are necessary that control
the flow entering the turbines from the penstocks and direct the flow against the turbine blades
for maximum efficient utilization of water power. Other equipments necessary are couplings
to link the turbine rotation to generator, transformers and switching equipment to convey the
electric power generated to the power distribution system.
Hydroelectric plants utilize the energy of water falling through a certain difference in levels
which may range from a few meters to 1.5m or even above 200m. To handle such a wide
range of pressure heads, various turbines differing in design of their working is employed.
Activity 1.1: How a Hydroelectric Power System Works?
i. Water from rain and melting snow eventually reaches ponds, lakes,reservoirs, or
oceans where evaporation is constantly occurring.

Fig 1-1: Hydrological cycle

2
ii. Flowing water is directed at a turbine

Fig 1-2: Hydropower plant schem

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.
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.

Fig 1-3: Working system of hydropower plant

Activity 1.2: What is a hydraulic turbine?

Write more common general classification of hydraulic turbines?
Explain their characteristics and working principle the turbines?

3
1.3. Classification Of Turbines
 Turbines are classified according to several criteria’s:
i) Based on working principle
Based on the way the hydraulic energy is converted in to mechanical energy
a) Impulse turbine
b) Reaction turbine
ii) Based on head
Head is the elevation difference of reservoir water level and downstream 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
iii) 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
iv)Based on disposition of turbine main shaft
a) Horizontal shaft
b) Vertical shaft
v) 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

In hydraulic turbines the working fluid is water and is incompressible. More general
classification of hydraulic turbines are:
 Impulse
 Reaction

4
1.3.1. Impulse type turbine
 In Impulse turbine, the pressure energy of water is converted into kinetic energy when
passed through the nozzle and form the high velocity jet of water.

 The following characteristics of impulse turbines:-

 The wheel passages are not completely filled with water since a jet emanating from the
penstock nozzle strikes the buckets of the runner.
 The water acting on the vanes or buckets located at the wheel periphery is under
atmospheric pressure.
 The water impacts on the runner at one point or at a few discrete points, depending upon
the number of nozzles.
 Impulse turbines are driven by one or two high velocity jets. Each jet is accelerated in a
nozzle external to the turbine wheel known as turbine rotor. If friction and gravity are
neglected the fluid pressure and relative velocity do not change as it passes over the
blades/buckets.
 Pelton turbine is an impulse turbine as there is no pressure drop across the buckets. The
flow is axial, i.e., there is no change in peripheral velocity and water enters and leaves the
buckets at the same radius.
 Energy applied to the wheel is completely kinetic.

Fig 1-4: Impulse Turbine type

5
1.3.2. Reaction turbine
 The runner is completely submerged and both pressure and velocity decrease from
runner inlet to outlet.
 Runner placed directly in the water stream flowing over the blades rather than striking
each individually
Ensures the following characteristics:
 The wheel passage remains completely filled with water
 The water acting on the wheel vanes is under pressure greater than atmospheric
 The water enters all-round the periphery of the wheel through the scroll case
 Energy in the form of both pressure and kinetic is utilized by the wheel

Fig 1-5:Reaction turbines type

6
Fig 1-6: Side view layout of Reaction turbines : (a) Francis radial flow, (b) Francis mixed flow,
(c) propeller mixed flow, and (d) propeller axial flow

Activity 1.3: What are the main criteria to select right type of hydraulic turbine?

1.4. Charecteristics Of Turbines

A. Specific speed:

 It is a speed at which a turbine is running to produce 1kW power through a head of 1m.

 It is an important parameter for the design of the turbine as it includes all the three basic
parameters; i.e. speed, power and working head of turbine.

 For a specific turbine type (Francis, Kaplan, Pelton), the turbine efficiency will be
primarily a function of specific speed.
 The knowledge of the specific speed conveys an idea as to the shape, proportion & type
of turbine. For turbines homologous specific speed Ns is also used, given by the
following equation.

7
 Expressed as (from dimensional analysis):

𝑁 √𝑃
Ns = ……………………………………………………… Eqn.(1.1)
𝐻5/4
Where: Ns = Specific speed ; N = rotational speed (rpm)
P = Power developed (kw) H = effective head (m)
 On this basis specific speeds of different turbines is given in Table 1.1 based the book of
Fluid Mechanics by Arora (2005).
Table 1-1: Specific Speed Ns of different turbines.

Range of
S.No head (m) sp.speed Ns Type of turbine
1 10--20 290 - 860 Propeller and Kaplan
2 30 -60 215 - 340 Francis low speed
3 150 -500 70 - 130 Francis high speed
4 150 -500 24 - 70 Pelton 4 nozzle
5 500 -1500 17 - 50 Pelton 2 nozzles
6 500 -2000 12 - 30 Pelton 1 nozzle

B. Turbine or synchronous speed:

 Since turbine and generator are fixed, the rated speed of the turbine is the same as the speed
of the generator.
 The turbines are directly coupled to the generator to reduce the transmission losses.
 The generator generates the power at constant voltage and frequency and, therefore, the
generator has to operate at its synchronous speed.
 The synchronous speed of a generator is given by
N = 60 𝒇/P ;………………………………………………….Eqn.(1.2)

Where: N = speed rpm;

P = number of pair of poles of the generator
f = frequency of the generator (usually 50hz or 60hz),
f and p are constants thus N is constant
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

8
C. Speed factor or peripheral coefficient:
 The ratio of the peripheral speed, 𝝂, 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, Φ,
𝓥 𝛚𝒓 𝑫𝑵
Φ= = = ……………………………………….Eqn.(1.3)
√𝟐𝒈𝑯 √𝟐𝒈𝑯 𝟖𝟒.𝟔√𝑯
2π𝑁
Where: ω= , r = D/2
60
Φ = peripheral coefficient
V = peripheral speed
√2gH = theoretical velocity of water
The following table suggests appropriate values of Φ, which give the highest efficiencies for
any turbine, the head & specific speed ranges & the efficiencies of the three main types of
turbine.
Table 1-2: Range of Φ values, Specific speeds and heads

Type of runner) ф Ns H Efficiency (%)

Impulse 0.43–0.48 8–17 85–90
17 > 250 90
17-30 90-82
Francis 0.60-0.90 40-130 90-94
130-350 25-450 94
350-452 94-93
Propeller 1.4-2.0 380-600 <60 94
600-902 94-85

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.

9
Table 1-3: Specific value of Runaway Speed

Type of Runaway Speed(% of Acceptable head variation

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

1.5. Design Of Hydraulic Turbines

a) Design of Pelton Turbine
 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 velocity 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.
 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.
The main Components part are; Nozzles, bucket, Spear Valves and Deflectors
 At least one jet of water strike the buckets at atmospheric pressure.
 Nozzles direct forceful streams of water against a series of spoon-shaped buckets
mounted around the edge of a wheel.
 Each bucket reverses the flow of water and this impulse spins the turbine.
 A spear valve changes the nozzle size without stopping the turbine.
 Deflectors can be used to vary flow.

10
 :

Fig 1-7: Layout of hydroelectric power using an Impulse turbine (Pelton wheel)

Fig 1-8:Impulse turbine: (a) side view of wheel and jet; (b) top view of bucket; (c) velocity diagram

Fig 1-9: Pelton Wheel with 2 jets velocity diagram

11
Working Proportions for Design of Pelton Wheel:-

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

V1 = √2gH

Actual Velocity of jet Va = Cv√2gH

Where: H = net head
CV = the coefficient of velocity of the jet which varies from 0.98 to 0.99.
ii. Power available to the Turbine
P = η𝛾QH……………………………………………………………… Eqn.(1.4)
Where: η in efficiency of the turbine, 𝛾 is the specific weight of water, in N/m3 ,
Q is the flow rate in m3/S, H head in meters.
iii. Angle ∅ is the splitter angle which varies from 10 to 20o and relation between ф
and exit angle 𝜃 is θ=𝜋 -ф
iv. 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 number. of jets
𝛑
For a single jet 𝐐 = 𝟒 𝐝𝟐 ∗ 𝐕𝟏
𝛑
Q = 𝟒 𝐝𝟐 ∗ 𝐂𝐯√𝟐𝐠𝐇
𝟏
𝟒𝑸 𝟐
∴ 𝐝= { } ………………………...Eqn(1.5)
𝝅 𝑪𝒗√𝟐𝒈𝑯

v. Speed ratio ( u/V1): 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.
vi. Mean Diameter of the Wheel (D): it is the diameter between centre of the
buckets. The diameter can be obtained from peripheral velocity (u)

u = 𝜋𝐷𝑁
60
or D = 60𝑢
𝜋𝑁
Where: N = speed of the wheel in revolutions/min.
vii. 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.

12
viii. Size of the buckets: The length, width and depth of buckets in terms of diameter
of jet’d’ is shown in Fig. below.

Fig 1-10: Dimensions of bucket.

Where: Radial length of bucket L = 2 to 3d

Axial width of bucket B = 3 to 5d
Depth of bucket D = 0.8 to 1.2d
T
= 0.8 to 1.2 ; notch width =1.1d + 5mm
d

ix. 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
five jets as shown be in Fig.1-11.

Fig 1-11: PeltonWheel with Five Jets

13
x. Number of buckets (z): The number of buckets is usually obtained from the
following empirical formula given by Taygun: Where: m = is jet ratio
𝐷
Z= + 15 or Z = 0.5m + 15 …………………………….…..Eqn.(1.6)
2𝑑
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
Where: η in efficiency of the turbine, 𝛾 is the specific weight of water, in N/m3 ,
Q is the flow rate in m3/s, H head in meters.
 As γ, specific weight of water and H are constant, the only variable factor is Q volume flow
rate of water entering the turbine. The flow rate Q is
Q = Area of nozzle x velocity of jet
 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.1-12

Fig 1-12: Load control by spear valve and deflector

14
Regulating System of Pelton Wheel Power Station
The speed change of turbine is first sensed by the governor. When the speed increases fly
balls of governor fly apart and when speed decreases they come closer. The sleeve moves
up or down due to change of speed. The movement of the sleeve is transmitted to relay
which moves the piston in the cylinder. When downward piston uncovers the port, the oil
pushes the piston in the servo motor to the right which pushes the spear to move forward to
affect the area ofthe jet. After relay action the oil from the relay cylinder returns to the oil
sump.

Fig 1-13: Regulation system of Pelton Wheel installation

15
Example-1. A Pelton turbine develops 8 MW under a head of 130 m at a speed of
200rev/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
Solution:
Velocity of the jet = Cv√2gH = 0.98√2 ∗ 9.8 ∗ 130 = 49 m/s
𝑢
Speed ratio; ( 𝑉) = 0.46; u = 0.46*49 = 22.54 m/s
60∗22.5
Peripherial velocity; u = 𝜋𝐷𝑁
60
or D = 60𝑢
𝜋𝑁
= = 2.15m
𝜋∗200
𝐷 2.15
d= = = 0.238m; d = 238mm
9 9
𝑃 8∗1000∗1000
Q= = = 7.2 m3/s since; P = ɳγQH
ɳγH 0.87∗9800∗130

Flow rate Q = area of jet * velocity * number of jets

π
7.2 = 0.2382 ∗ 49 ∗ n
4

n =3
2.15
Number of buckets Z = D/2d +15 = +15 = 20
2∗0.238
P P
Overall efficiency ɳ = ; Q = ɳγH
γQH

16
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.
 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.

Fig 1-14: Layout of hydroelectric power using an Reaction turbine (Francis, Kaplan wheel)

17
Fig 1-15: Arrangement of a Reaction Turbines

Fig 1-16: Inlet and exit velocity diagram.

18
The inlet and exit velocity diagrams of the runner vane is shown in Fig. 1-16, we have,
2π𝑁
u1 = ω1R1;………… u2 = ω2R2;…………; ω = …………………………Eqn(1-7)
60

The water comes out from the guide vanes at absolute velocity V1 at an angle α to the
direction of rotation. The peripheral velocity u1 is subtracted from V1 to give relative velocity
Vrl at angle β1 to the direction of rotation is obtained.
At exit the water leaves the runner blade at relative velocity Vr2 which makes an angle
β2 with the direction of rotation. Superimposing u2 absolute velocity V2 is obtained.

Euler's head is given by:

The total energy transferred to the wheel is given:
(𝐔𝟏𝐕𝟏𝐰 − 𝐔𝟐𝐕𝟐𝐰)
By Euler's Equation ; E = ………………………………………..Eqn(1-8)
𝐠

If the whirl velocity at exit is zero, V2w = 0, which means that velocity V2 has no horizontal
component or α2 = 90°, then Euler's eq. 6.1 for maximum efficiency is given by
𝐔𝟏𝐕𝟏𝐰
E= …………………………………………………………Eqn(1-9)
𝐠

𝐕𝟐 𝐕𝟐𝐟
In such a case flow velocity at exit V2f = V2 ; tan β2 = =
𝐔𝟐 𝐔𝟐

So that β2 can be detennined.

The energy distribution through a hydraulic reaction turbine is shown in Fig. 1-17

Fig 1-17: Energy distribution through reaction turbine.

19
 Net head available H across the turbine is the difference in total head between inlet flange
(exit of penstock) and tail race water level
Po vo2
Total head at inlet = + +Zo
γ 2g

P3 v32
Total head at exit = + +Z3
γ 2g

Net head across the turbine

Po vo2 P3 v32
H= {γ + + Zo} − { + + Z3}………………….……..Eqn(1-10)
2g γ 2g

But P3 = atmospheric pressure = 0; Z3 is tail race taken as datum Z3 = 0,

Po vo2 v32
Becomes. H={γ + + Zo} − { }
2g 2g

𝐯𝟑𝟐
H = H1 - hfp - { }…….…………………………………………..Eqn(1-11)
𝟐𝐠

Where: hfp = hydraulic losses in penstock

The hydraulic efficiency is given by,

runner out put γQE E U1V1w
ηh = = γQH = H = ………………………………..Eqn(1-12)
runner in put gH

Mechanical efficiency
turbine out put P
ηm = = γQH …………………………………………….Eqn(1-13)
runner in put

Overall efficiency
Power out put P
ηo = Hydraulic in put = γQH …………………………..Eqn(1-14)

thus ηo = ηh * ηm ……………………………………………….Eqn(1-15)

Energy developed in the runner in tenns of Euler's head

E = H – hfp - hg - hf - hd…………………………………………………Eqn(1-16)

Where: hfp = hydraulic losses in penstock hg = hydraulic losses in guide vanes

hf = hydraulic losses in runner vanes hd = hydraulic losses in draft tube

20
Working Proportions of Francis Turbine
√2gH − jet velocity
B
n= the value of varies from 0.1-0.45
D
Vf
Flow ratio χ = the value of varies from 0.15 - 0.3…………………………Eqn(1-17)
√2gH
u
Speed ratio ϕ = the value of varies from 0.6 - 0.9…………………………Eqn(1-18)
√2gH

Flow through the runner vanes = flow area * velocity of flow

Area (inlet) = (πD1 − zt) B1= πD1 B1K1
Where K1 Is a factor which allow for the thickness of runner vanes
Area (exit) = (πD2 − zt) B2= πD2B2K2
Where K2 Is a factor which allow for the thickness of runner vanes
Flow rate:
Q = (πDl - ztl) Bl VIf = (πD2 - zt) B2 V2f
Q = πDlBl Kl Vlf = πD2 K2 V2 V2f
Q = πD12 nl Kl Vlf = πD n2 K2 V2f………………………….………………….Eqn(1-19)
 If Kl = K2; V1f = V2f; n l = n2 ,
then equation becomes; Bl Dl = B2 D2
Where: B = the breadth of runner and D = the diameter.
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.

Fig 1-18: Runner of Francis turbine

Where: 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
ɸ = speed ratio Vf = flow velocity

21
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 α.
 The regulation of guide vanes is done by servo mechanism. As load on the turbine
decreases the piston of servo mechanism moves to the right and this causes the
movement necessary to close the gates.

Fig 1-19: Regulating mechanism of Francis turbine

Table 1-4: Comparison between Pelton and Francis Turbines

S.No Pelton turbine Francis turbine

1 Impulse type Reaction type
2 Axial flow Radial flow
3 Jet produced by nozzle a fixed element Water suppled by adjustable guide vanes
4 High head Medium head
5 Low discharge Medium flow
6 Specifc speed 01- < 0 - 1 Specific speed 01-. 1 - 3.5
7 Turbine does not run full of water Turbine runs full of water

22
Regulation of Propeller and Kaplan turbines
 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.

23
Analysis and Construction of Velocity Diagram:
The runner blades are long and there is large difference in radii between the hub and tip of the
blades. Therefore velocity diagrams are drawn at the mean radius of the blade. The axial flow
velocity is constant as inlet and exit and hence:
VIf = V2f = Vf………………………………………………………………Eqn(1-20)

The inlet velocity diagram is constructed by subtracting blade velocity vector u from absolute
velocity vector V1, which makes an angle α1 to u to obtain relative velocity Vfl as shown in
Fig.1-20

(a) (b)

Fig 1-20: Inlet and exit velocity diagram

For shock free entry the relative velocity Vfl must be tangent to inlet tip of the blade. The
velocity Vfl makes an angle PI with horizontal. The exit velocity diagram is constructed by
drawing relative velocity at exit Vr2 tangential to exit tip of the blade, superimposing
peripheral velocity u, we obtain absolute velocity V2 which is axial. The velocity diagrams are
shown in Fig. 1-20 (b).

For maximum efficiency the whirl component V2w at exit must be zero because velocity V2 is
axial and also:
V2 = V2f……………………………………………………………………..Eqn(1-21)

24
Writing Euler's equation as
u(V1W − V2W )
E= as V2W = 0
g
u V1W
E= g

From inlet diagram, we have

V1w = u - Vf cot(180 – β1) = u + Vf cot β1……………………………Eqn(1-22)

Substituting this value of V1w;

u (u + Vf cotβ1) (𝑢2 − uVf cot β1 )

E= =
g g

(𝑢2 − uVf cot β1 )

E= ……………………………………………Eqn(1-23)
g

If E is constant along the blade radius, Vf is constant over the cross-sectional area, then u
increases from hub to tip, u cotβ1, must decrease to keep E constant that means β1, must
increase from hub to tip and the blade must therefore be 'Twisted'. The profile of twisted blade
changes along the length of the blades. It is difficult to manufacture twisted blades than
constant profile (cylindrical) blades. The long blades are cast as an integral part of tile runner
or welded to the hub. In practice runner blade is divided into several regions of flow around
the blades. The velocity diagrams are drawn for stich domain and the power developed
computed.
Flow rate is given by the equation
Q = Area x Velocity of flow
π
Q = 4 (Dt 2 − Dh2 ) ∗ Vf………………………………………………Eqn(1-24)

Where: Dt = diameter of at tip

Dh = diameter of at hub Vf = flow velocity
Hydraulic efficiency is runner power by hydraulic power
runner out put γQE E U1V1w
ηh= = γQH = H =
runner in put gH
shaft power P
Mechanical efficiency; ηm = runner power = γQH
shaft powe P
Overall efficiency; ηo = Hydraulic power = γQH ; thus ηo = ηh * ηm

H is effective head H = H1+ H2 as shown in Fig. 1-20 of Kaplan turbine installation

25
 Fig 1-21: Turbine efficiency versus relative discharge for different turbine type

Example1.3:An inward flow turbine with radial discharge has an overall efficiency of 80%
and develops 150kw. The head is 8 m and the peripheral velocity at inlet is 0.96 √𝟐𝐠𝐇 and

flow velocity is 0.36 √𝟐𝐠𝐇. The runner speed is 150rev/min; the hydraulic efficiency is 85%.
Determine.
(A) Velocity Of Whirl At Inlet
(B) Diameter Of The Wheel At Inlet
(C) Flow Rate
(D) Guide Vane Angle
Solution
Peripheral velocity ul = 0.96 √𝟐𝐠𝐇 = 0.96 √𝟐 ∗ 𝟗. 𝟖 ∗ 𝟖 = 12.02 rn/s

Flow velocity VIf =0.36 √𝟐𝐠𝐇. =0.36 √𝟐 ∗ 𝟗. 𝟖 ∗ 𝟖 = 4.5 rn/s

Writing Euler's equation as
(V1W − V2W )
ηh = gH
as it is radial discharge V2W = 0
u V1W
ηh = substituting proper values
gH

26
 12.2∗V1w
0.85 = 9.8∗8

V1w =5.54m/s
V1f 4.5
inlet angle tan α1 = V1w = 5.54 = 0.812

α1 = 39o
πD1N 60Ui 60∗12.02
ui = ; D1 = = = 1.53m
60 Nπ 150∗π

shaft powe P
ηo = =
Hydraulic power γQH
P
ηo = ;
γQH
P 150∗1000
Q= = = 2.4m/s
ηo γH 9800∗8∗0.8

Q = 2.4m/s

Activity 1.4: What are different selection procedures?

27
1.6. Procedure In Preliminary Selection Of Turbines
In practice, different selection procedures are used.
i. 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
ii. 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
I) Net head
II) Range of discharges through the turbine
III) Rotational speed
IV) Overall cost
I) Net head
 The first criterion to take into account in the turbine's selection is the net head.
Table 1-5: Range of operating heads for each type of turbine

Turbine Type Head range in meters

Kaplan And Propeller 2 < Hn < 40
Francis 25< Hn < 350
Peltom 50 < Hn < 1'300
Crossflow 5 < Hn < 200
Turgo 50 < Hn < 250

II) 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)

28
 Table 1-6: Range of design discharge

Turbine Type Qmin(%of design)

Francis 50
Semi Kaplan 30
Kaplan 15
Peltom 10
Turgo 20
Propeller 75

Fig 1-22: Working areas of different Turbine Types

Table 1-7: General description flow and head variation

Turbine Type Accepteble head Accepteble flow

variation variation
Peltom High Low
Francis Medium Low
Kaplan Double Regulated High High
Kaplan Single Regulated High Medium
Propeller Low Low

III) Specific speed

Table 1-8: Range of specific speed for each turbine type

Turbine Type Head range in meters

Pelton one nozzle 0.005 ≤ HQE ≤ 0.025
Pelton N nozzle 0.005 *n0.5 ≤ HQE ≤ 0.025*n0.5
Francis 0.05 ≤ HQE ≤ 0.33
Kaplan;Propeller;Bubles 0.19 ≤ HQE ≤ 1.15

29
From design Q and H,
 Approximate P that can be generated , P = 𝛄𝐐 H
 Calculate N (or assume ) & Compute Ns.
 From this, the type of turbine can be suggested
 Calculate ϕ from:
𝑫𝑵 𝒇
ф=
𝟖𝟒.𝟔√𝑯
; 𝑵 = 𝟏𝟐𝟎 𝑷
 If ϕ is found to be too large, either N can be increased or more units may be adopted.
 For approximate calculations of runner diameter; the following empirical formula may be
used (Mosony)

D = ɑ(𝑁𝑄)1/3
Where: D is in m; Q in m3/s; N in rpm
 ɑ = 4.4 for Francis & propeller;
 ɑ = 4.57 for Kaplan.
For propeller, H in m ;
𝟕.𝟏√𝑸
𝑫= 𝟏 𝟏
(𝑵𝒔+𝟏𝟎𝟎)𝟑 𝑯𝟒

Nominal diameter, D , of Pelton wheel

𝑯 𝑸
𝑫 = 𝟑𝟖√𝑵 𝒅𝒋 = 𝟎. 𝟓𝟒𝟐√𝑯

(dj is diameter of the jet for N = 0.45 )

 Jet ratio given by m = D/dj, is important parameter in design of pelton wheels.
 Number of buckets, nb = 0.5m + 15 ( good for 6 < m < 35)
 It is not uncommon to use a number of multiple jet wheels mounted on the same shaft so as
to develop the required power
 Hydraulic turbines (runner) is designed for optimum speed and maximum efficiency at
design head. But in reality, head and load conditions change during operation and it is
extremely important to know the performance of the unit at other heads. This is furnished
by manufacturer’s curve.

Activity 1.5: Define Turbine Scrol Case?

What are the main purpose of turbine Scrol Case?

30
1.7. Turbine Scrol 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 1-23: Recommended dimensions of Scroll Casings a) Full spiral b) Partial spiral

The design of the shape of the spiral case is governed by the flow requirements. Initial
investigations should be based on the following; Assumptions: (a) a spiral case of constant
height; (b) an evenly distributed flow into the turbine; (c) no friction losses.
Referring to Fig.1-23(a), the discharge in the section of the spiral case defined by an angle θ is
given by q = Qθ/2π, where Q is the total discharge to the runner. The velocity at any point
within the spiral case can be divided into radial (Vr) and tangential (Vt) components.
The tangential component, Vt = K/r, where K = 30ηgH/Nπ (from the basic Euler equation for
the power absorbed by the machine) and the discharge through the strip dq is given by
dq = Vt hodr = Khodr/r. …………………………...................Eqn (1-25)
Therefore;
R
q = ∫ro 𝐊𝐡𝐨𝐝𝐫/𝐫. = Qθ/2π or lnR/ro = Qθ/2πKho …………………………...Eqn (1-26)

31
Equation (1-.26) shows that for a given vortex strength, K, a definite relationship exists
between θ and R.
The most economical design of a power station substructure and the narrowest spiral case can
be obtained by choosing a rectangular section adjoining the guide vanes (entrance ring) by
steep transition (symmetrical or asymmetrical), as shown in Fig.1-23(b).
We can write
h = ho + α (r - ro) ……………………………………………Eqn(1-27)
Where; α = cotβ1- cotβ2 Equation (12.26) now becomes
r1 R
Qθ/2πk = ∫ro 𝐡𝐝𝐫/𝐫. + ∫r1 𝐇𝐨𝐝𝐫/𝐫 . ………………………………………..Eqn (1-28)
Which, on integration, after replacing h by equation (12.17) gives;
Qθ/2πk = (ho – α ro) ln(r1/ro) + (Ho - ho) + Holn(R/r1) …………………….Eqn (1-29)
Knowing r1 from ; r1 = (H0 - ho)/ α + ro …………………………………….Eqn (1-30)
The value of R defining the shape of the spiral casing can be determined. The height H0 at any
angle θ may be assumed to be linearly increasing from h0 at the nose towards the entrance.
The shape of the cross-section is determined at various values θ by assuming the existence of
uniform velocity for the entire spiral case (Mosonyi, 1987) to be equal to the entrance
velocity, Vo = 0.2 (2gH)1/2. Thus, knowing qi = Qθi/2π, the area of cross-section at an angle θi
is given by
Ai = qi/Vo = 0.18Qθi/H1/2… ………………………………………………Eqn (1-31)

Fig 1-24: Typical cross-sections of a spiral case

Activity 1.6: Define Draft Tubes?

What are the main purpose of Draft Tubes?
Write the difference b/n Draft Tubes and Tail race?
32
1.8. Draft Tubes
 A draft tube is a conduit discharging water from the turbine runner to the tailrace.
and 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.

a. Elbow-type Draft Tube

b. Straight Conical Draft Tube

Fig 1-25: Draft Tube a) Elbow-type b) Straight Conical

33
The elbow-type draft tube is divided into three parts, all three sections gradually expanding
like diffusers:
a. a vertical (entrance) part in circular cross-section, gradually expanding;
b. a bend part (its aim being to minimize losses due to changes in the direction of
flow) in gradual transition from the circular section into a rectangular section;
c. an almost horizontal part in rectangular section, gradually expanding to direct the
flow into the tail race with minimum losses
Considerig the layout in fig above ,the energy equation b/n 1 and 3 gives
Ys + P1/ 𝝆g + V12/2g = Pa/ 𝝆g + V22/2g +HL……………………………………Eqn (1-32)
Pressure head at the runner exit, P1/g, is given by
P1/ 𝝆g + = Pa/ 𝝆g - Ys - (V12/2g - V22/2g – HL) …………………………………..Eqn (1-33)
Denoting; V12/2g - V22/2g – HL = Hd, the head regained
𝑽𝟏𝟐 𝑽𝟐𝟐
Hence: Hd = ηd ( 𝟐𝒈 − ) ………………………..Eqn (1-34)
𝟐𝒈

Where: ηd is the efficiency of the draft tube. By a proper design of the draft tube, the exit
velocity v2 can be reduced to 1 - 2m/s, with ηd as high as 85%.
In order to avoid cavitation at the exit from the runner; the condition P1/ 𝛒g > Pv/ 𝛒g
where Pv is the saturated vapour pressure (around 0.3m of water absolute), must be satisfied
with a sufficient safety factor, since the flow over parts of the runner will be at lower
pressures.
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.

34
1.9. 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
𝛔= 𝐇
………………………………………………….Eqn (1-35)
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)

Ys max = Hb – σ𝒄 H ………………………….….….….….….…..Eqn (1-36)

Where: 𝛔𝐜 = the minimum (critical) value of 𝜎 at which cavitation occurs

If Ys is negative the runner must be set below the tail water

35
  Cavitation;- I t i s 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.
Location of Turbine setting:

 Typical values of σc for reaction turbines, versus their specific speeds, shown in
Table below.
Table 1-9: Critical plant sigma values 𝜎 𝑐

Francis runner Propeller runner

NS 75 150 225 330 375 600 750
σc 0.025 0.1 0.23 0.4 0.64 0.8 1.5

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 (Doland, 1957)):
Yt = Ys + 0.025DNs 0.34 for Francis runners and
Yt = Ys + 0.41D for propeller runners
Where D is the nominal diameter of the runner.

36
1.10. Generators and Turbine Controls
A) Generator:-

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 possibility 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 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 5000kVA a
synchronous generator is installed.
Recently, variable-speed constant-frequency systems, in which turbine speed is permitted
to fluctuate widely, while the voltage and frequency are kept constant and undistorted,
have entered the market.

37
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 380V or 430V up to 1400 kVA and at 6000/6600 for bigger installed power.
Generation at 380V or 430V allows the use of standard distributor transformers as outlet
transformers and the use of the generated current to feed into theplant power system.
Generating at medium voltage requires an independent transformer MT/LT to supply the
plant services.

Fig 1-26: Generator Set up and 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.

38
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.

B) 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.

39
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 wicketgates mechanism
and increase the flow and consequently the rotational speed and the frequency.

Fig 1-27: 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.

40
Solved Example for chapter one
1. A Pelton wheel develops 67.5kw under a head of 60 m of water. It rotates at 400 rev/min.
The diameter of penstock is 200 mm. The ratio of bucket speed of jet velocity is 0.46 and
overall efficiency ofthe installation is 83%.
Calculate. (a) Volumetic flow rate
(b) Diameter of the jet
(c) Wheel diameter
SOLUTION:
P P
Overall efficiency ηo = γQH ; Q= ηoγH
67.5∗1000
Q= = 0.138m3/s
0.83∗9800∗60

The velocity of the jet ; V1 = √2gH

= √2 ∗ 9.81 ∗ 60 = 34.2m/s
Flow rate; Q = area of nozzle* velocity of jet
π
Q = 4 d2 ∗ V1
0.138∗4
d2 = = 5.14*10-3 so; d = 0.0716m= 71.6mm
8∗34.2
u
− 0.46, u = 0.46 ∗ 34.2 = 15.7m/s
V
60∗15.7
u = πDN
60
; D =60∗u
Nπ
= = 0.75m
400π

Specific speed of turbine;

P 1/2
( ) 2Nπ 2∗400∗π
ρ
ωt = ω (gH)5/4
since; ω = = = 41.8rad/s
60 60

P = 67.5*103 watt ρ = 1000kg/m3 H= 60m

Substituting,
P 1/2 67.5∗103 1/2
( ) ( )
ρ 1000
ωt = ω (gH)5/4
= 41.8* (9.81∗60m)5/4
= 0.11

41
2. 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) ofthe nozzle
0.98,
Speed ratio 0.46; jet diameter 1/9 of diameter ofthe wheel; overall efficiency 87%.
Determine
 flow required √ diameter of the wheel
 diameter of the jet √ number of jets
 number of buckets
Solution:

42
3. A Pelton wheel develops 4.5 MW under a head of 120 m at a speed of200 rev/min. The
wheel diameter is 8 times the jet diameter. Use the experimental data of Fig. 1.1 at
maximum efficiency to determine the flow rate, wheel diameter of each jet, number ofjets
required, and the specific speed.
Solution:
From the Fig. 1.1: Speed ratio = 0.42 at maximum efficiency of 80%

Fig.1.1: Speed ratio versus efficiency for Pelton turbine:Solid line,(c v=0.94,𝜃 =168°); dashed line, experimental
data

43
4. For particular hydro power project in Ethiopia, the following are given data
 gross head =147m
 Installed capacity =59.263 MW
 Total head loss=16 m
 Qavg = 40.1 m3/sec
 Assume any missing data reasonably
Required
1) Determine the number of units for the project and Select the appropriate turbine type for
the project
2) Determine the Turbine parameters
A) Specific speed:
B) Turbine speed
C) Synchronous speed
D) Determination of peripheral co-efficient 
E) Run away speed
F) Runner Discharge diameter
G) Turbine scroll case
H) Draft tube

44
 3) Determine the Generators parameters
i. Diameter of generator
ii. Weight of the generator
iii. Height of the generator
iv. Diameter of generator frame
v. Generator pit diameter

Solution
1.
Determination of number of units
 For a given total plant capacity, total costs will generally increase with an increase in the
number of units. Efficiency of large units is generally higher than the smaller and for
uniform power demand; it is practicable to install large units. Factors such as space
limitations by geological characteristic and difficulty in transportation are sometimes
necessary to limit the size.
 From a graph of head versus specific speed for H=131m, Ns=156 and taking the number of
poles as 16 as the head variation is less than 20%, and turbine speed N=375rpm
5
N P N * H 5/ 4 2
 N s  5 / 4  P1  ( s )  33991.08
H N
Ans.
P 59.263
Therefore...number..of ..units  total   1.74  2units
P1 33.991

 Taking all the above points in to consideration two units of Francis turbine is chosen for
this particular project.
2.
Determine the turbine parameters
A. Specific speed:
 The specific speed of the unit can be calculated with the help of a number of formulas as
shown below:
I. R.W. Abett’s formula
1700 1700
Ns    148.53 , For Hnet =131m
H 131.0
II, P.C. Nag and K. Modhvan’s formula
1640
Ns   143.3
H

45
 III, Moody formula
6780
Ns   83.6  131.77
H  9.75
IV, Norwegian turbine factory
5000
Ns   164.77
H 0.7
V. T.L white‘s formula
1540
Ns   134.55
H
Taking the average of the above values
N s  144.58  145 , take N s  145

B. Turbine speed:

N s (H 5 )
N 4
P1

(150)(131) 5 / 4
N ⇒ N  386.193rpm , take 387 rpm
29631.43
C. Synchronous speed
120 f
N Where f=50 Hz
NP

120 * 50
NP  N P  No. of poles
387
N P  15.52 , take N P  16 which are divisible by 4 for H<200m=> N P  16
120 f 120 * 50
Therefore; N   =375rpm
NP 16

The new specific speed

N* P
Ns 
H 5/ 4

375 * 29.631*103
Ns  5
 145.15 , take 145
4
(131)

Therefore N s  145 and N  375rpm

46
D. Determination of peripheral co-efficient 
1. Kruger’s formula (for Francis turbine)
  0.0197 * Ns 2 / 3  0.09
  0.634
2. P.C Nag and K. Modhvan’s formula for Fancies turbine
  0.036 * Ns 7 / 12
  0.656
3. D.Zonobelti’s formula
Ns
  0.656   0.737  0.738
2500
Taking the average of the above three values
  0.676
 The table below shows various values of , N s , H and efficiency (  ) for the three main
types of turbines.

Types of runner  Ns H (m) Efficiency ( )

Impulse 0.43-0.48 8-17 85-90
17 > 250 90
17-30 90-82
Francis 0.6-0.9 40-130 90-94
130-350 25-450 94
350-452 94-93
Propeller 1.4-2 380-600 <60 94
600-902 94-85

Based on the above parameters, operation head of 131m, generating coefficient 0.676,
generating power of 47.41MW and the turbine speed of 375rpm makes Francis turbine
suitable for this project.

47
E. Run away 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.
 The following formula may also be used to determine proportion of run away speed as
compared to normal speed.
H max 12
U.S.B.R. Formula Nr  K n .N ( ) Where
Hd
K n  (0.1475N s  145)in % age
 (0.1475* 145  145)
 166.388%
H max  H gross  147m
H d  H net  131m
N  375rpm
147 1 / 2
N r  1.66 * 375 * ( )
131
N r  659.42rpm

Hence, the nearest commercially available value is taken. i.e. N  750rpm

F. Runner Discharge diameter
The discharge diameter can be found with help of the peripheral coefficient  . The value
of  (calculated before),   0.676

H
D1  84.6 *
N
I. Mosonyi’s formula D1  84.6 * 0.676 * 131  0.873
750
Ns
D3  D1 (0.5  Ns )  D1 (0.5  )
N
 D3  0.6013
1
 90Q  3
II.Guthrie Brown’s formula:- D3   
 N 
D3  1.688

H
D1  (57.53  0.033N s )
III.D. Zanobetti’s formula N
 0.953m

48
Therefore taking the average values
D1=0.913m; take 0.92m and
D3 =1.15m take 1.2m
Where; D1 diameter of entering edge of runner blade
D3 diameter at the discharge end

G. Turbine scroll case

 A scroll case is the conduit directing the water from the intake or penstock to the runner in
reaction type turbines 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. For this project, since it is medium head installation full spiral
case is adopted.
Dimension of spiral case
 According to F.desiervo and F.deleva, water velocity at spiral case inlet section for Ns=145.

L  D3 (0.88  0.00049Ns )  1.14m

M  D3 (0.6  0.000015Ns )  0.72m

49
H. Draft tube
 For this particular project elbow type draft tubes is selected since it has the following
advantages compared to conical type draft tube.
 Minimizes the required depth of excavation
 Directs the flow in the direction of the tail water flow
 Allows the provision of gate at the outlet of the tube

 Dimensions of elbow type draft tube

 According to F.desiervo and F.deleva have given the formula for draft tube dimensions:
V1 = water velocity at draft tube inlet section
248
= 8.74+  10.45m / s
Ns
203.5
N  O3 (1.54  )  3.5m
Ns

140.7
O  D3 (0.83  )  2.16m
Ns
P  D3 (1.37  0.00056Ns )  1.55m
22.6
Q  D3 (0.58  )  0.88m,
Ns
0.0013
R  D3 (1.6  )  1.92m
Ns
S  D3 Ns (9.28  0.25Ns )  6.45m
T  D3 (1.5  0.00019Ns )  1.83m
U  D3 0.51  0.0007N S   0.49m
53.7
V  D3 (1.1  )  1.76m
Ns
33.8
Z  D3 (2.63  )  3.43m
Ns
1. Determine the Generators parameters
 Generators transform mechanical energy into electrical energy
The dimensions of the generator and its weight are calculated as follows
 Diameter of generator
J.J.Dolands formula
Dg  0.119P 0.466 K 0.233

50
 Where: Dg = diameter of generator in meter
P = number of poles =16
K = capacity of generator in KVA
P(kw) 29631.5
K   37039.38KVA
0.8 0.8
 Dg  0.119 * (16) 0.466 (37039.38) 0.233  5.025m

 Weight of the generator

Wg  g K / N  85
Where: g = coefficient that varies between 20 & 32, taking the average = 26

37039.375
Wg  26  85  97.72tons
750
 Height of the generator
Dg
Hg  K '  2.3
Np
Where K’ varies from 5.5 to 12.57; take 8
5.025
Hg  8 *  2.3  4.813 m
16
 J.H.Walker has given elaborate curves and relations to determine the dimensions of the
generator. If D' g is the gap between poles and stator and this diameter in meter is

P  32.5 
Dg '    k
62  p 

P 32.5
D' g  [  K ]  3.9m ;
62 16
Where: K=varies from 5 to 9 (take k=7) P = number of poles
Diameter of generator frame ( D f )

 2 .1 
Df= Dg '   1  1.55  7.234m
P 
D f  7.234m

51
Generator pit diameter
The generator pit diameter required is given by

DP  D f  2  7.234  2  9.234m
Therefore the different dimensions of the generator are summarized as below
Hg = height of the generator = 4.813m

Wg = weight of the generator = 97.72tons

Dg = diameter of the generator = 5.025m

Dg  = gap between the poles and the stator = 3.9m

Df = diameter of the generator frame =7.234m

Dp = generator pit diameter = 9.234m

Exercise:
1. A one-fifth scale model of a water turbine is tested in a laboratory at T =20°C. The
diameter of the model is 8.0 cm, its volume flow rate is 17.0 m3/h, it spins at 1500 rpm,
and it operates with a net head of 15.0 m. At its best efficiency point, it delivers 450 W of
shaft power. Calculate the efficiency of the model turbine. What is the most likely kind of
turbine being tested?
Answers: 64.9%, impulse
2. A Pelton wheel is used to produce hydroelectric power. The average radius of the wheel is
1.83 m, and the jet velocity is 102 m/s from a nozzle of exit diameter equal to 10.0 cm.
The turning angle of the buckets is β =165°. (a) Calculate the volume flow rate through
the turbine in m3/s. (b) What is the optimum rotation rate (in rpm) of the wheel (for
maximum power)? (c) Calculate the output shaft power in MW if the efficiency of the
turbine is 82%. Answers: (a) 0.801 m3/s, (b) 266 rpm, (c) 3.35 MW
3. A group of engineers is designing a new hydro turbine by scaling up an existing one. The
existing turbine (turbine A) has diameter DA = 1.50 m, and spins at n.A = 150 rpm. At its
best efficiency point, VA =162 m3/s, HA = 90.0 m of water, and bhpA = 132 MW. The
new turbine (turbine B) will spin at 120 rpm, and its net head will be HB =110 m.
Calculate the diameter of the new turbine such that it operates most efficiently, and
calculate VB and bhpB. Answers: 2.07 m, 342 m3/s, 341 MW

52
 2. HYDROPOWER PROJECT INVESTIGATION AND PLANNING
On completion of this lesson, the student shall learn about:
 Investigation of hydropower resources
 Investigation of hydropower projects
 Planning parameters and data
 Hydrology for hydropower (refer to hydrology module)
 Geotechnical studies for hydropower
 Environmental issues fo hydropower projects
 Project appraisal and socio-economic considerations
 Planning of hydropower projects

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.

Investigation of Hydropower Projects:

A proposed hydropower project which supposed to meet for an established demand for
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.

53
2.1.1. 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
 These issues influence project planning and project formulation and also contribute
to project costs

2.1.2. 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.

54
 Fig 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

“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.

55
2.1.3. 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 schem.

Fig 2-2: Unregulated and Regulated firm power flow

2.1.4. 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.
56
The market survey will consider the effects on the use of electric energy within the
survey are of such factors as:
 Geographical location
 Natural resources
 Industrial development
 Substitution loads
 New power uses
 The economic status and prospective growth of the population

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

2.2. 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.

57
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.

2.2.1. 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:

i. Rank-ordered technique ii. Class-interval technique

2.2.2. 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.

Fig 2-3: FDC for gauging stations in a homogeneous drainage basin

58
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
 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:

0.80
 Q2 = 0.24A 0.88 P1.58 H Where:
0.64
0.82 1.37
 Q5 = 1.20 A P H Q = peak discharge
0.58
0.80 1.25
 Q10 = 2.63A P H A = drainage area
0.52
0.79 1.12
 Q25 = 6.55A P H P = mean annual precipitation
0.48
 Q50 =10.4 A 0.78 P1.06 H H = altitude index
0.43
 Q100 =15.7 A 0.77 P1.02 H

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.

59
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.

Fig 2-4: Method for determining flow duration of regulated flow with un-gagged inflow

Fig 2-5: Physiographic layout catchment (Reservoir Area)

60
 Fig 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. 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.

61
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:

2.2.3. 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.

62
2.2.4. 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.

2.2.5. 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.

63
 Fig 2-7: a) Flow duration curve b) Power duration curve

To avoid this incident, permission todivert water through a hydro turbine or a license
to abstract from a river or stream will almost always specify that a certain residual flow
should remain.

It is in the interest of the hydro-power 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

Fig 2-8: Residual, reserved or compensation flow:

64
2.2.6. 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.

2.3. 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 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 (Fig:2.11). Everyselected 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.

65
The gross average annual energy (E in kWh) is a function
E = fn (Qmedian, Hn, ηturbine, η generator, η gearbox, ηtransformer, γ,h)
Where:
Qmedian = flow in m3/s for incremental ηgenerator = generator efficiency
steps on the flow duration curve η gearbox = gearbox efficiency
Hn = specified net head ηturbine = turbine efficiency, a function of Qmedian
ηtransformer = transformer efficiency h = number of hours for 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 ina year
γ = specific weight of the water (9.81 KN/m3)
The gross average energy is then the sum of the energy contribution for each strip. The
capacity of each turbine (kW) will be given by the product of their design flow (m3/s), net
head (m), turbine efficiency (%), and specific weight of the water (kN/m3).

Fig 2-9: Typical Turbine efficiency

66
 Table 2-1: Minimum technical flow of turbines

2.4. Plant Capacity Determination

Turbine selection and plant capacity 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)…………………………………………………... (2.1)

Where: h = net effective head

q = plant discharge Hs = turbine setting elevation above tail water
TW = tail water elevation d = diameter of runner
n = generator speed Pmax= maximum output 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.

67
 Fig 2-10: 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.

2.4.1. 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.

68
2.4.2. 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. 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 section

Fig 2-11: a) Effective use of multiple b) Parametric flow duration curve

69
2.4.3. 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.

70
 Table 2-2: Computation table for turbine capacity selection

Table 2-3: Computational table for Economic capacity selection

71
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. Obtain river flow data for each percent of time, 0%
through 100%

2. Determine headwater elevation at each flow

characteristics by flow duration curve. On Run-of river
plants this is often constant

3. Determine tail water elevation at each flow

characteristics by the flow duration curve

4. Estimate head loss through hydro systems. This will

vary with penstock and draft tube

5. Compute a net head for each of the flows

characterized. Note: as river flows increase, tail water
rises and reduces net head

6. Estimate plant efficiency. This can be made

constant for pre-feasibility level design

7. Choose a wheel or plant capacity flow. This full-gate

flow will be limited by runner diameter and selected
penstock size

8. Compute plant discharge at all flow values for each

exceedence percentage. Note: at river flows greater
than plant capacity the plant discharge may be less
than depending on the net head

9. Compute power output at each percent time under

investigation

10. Compute annual energy output for given plant

capacity. Repeat this for four to five plant capacities.

11. Estimate the annual plant costs for each of the

plant capacities investigated, using estimating curves.

12. With annual energy output calculate plant benefits

based on average expected value of power, Birr/KWh

13. Plot a curve or develop table to show where

maximum net benefit is obtained

Fig 2-12: Flow Chart of turbine selection procedure

72
 Fig 2-13: Benefits and costs versus plant capacity

Fig 2-14: Storage components

Storage Components:-
 M.F.L (max Flood Level)
 F.R.L (Full reservoir Level)
 N.P.L (Normal pool Level)
 M.P.L (Minimum pool level)

73
 Fig 2-15: Reservoir capacity determination: Mass Curve Procedure

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.

Fig 2-16: Typical area-capacity curve

74
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.

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.

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 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.

75
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 stability
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.

76
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 1:10000 to 1:5000 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 1:10000 and 1:5000, 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:

77
 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.

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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 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

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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.

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 projects for the stated purpose

 To compare the candidate and formulate the project best suited for the stated purpose
 To investigate apparent alternative solution for inclusion in the plans, or rejection
 To record lower ranked projects and project alternatives for future reference

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 To investigate and study the various projects and project alternatives to the confidence
level required
 To provide preliminary cost figures and implementation 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:

 Ascertain local interest in and the desire for the project

 Define the limits of the project
 Determine the technical, economic and environmental practicability of the project
 Establish the need and justification for the project
 Formulate a plan for developing the project
 Make recommendations for further action

The Conceptual Planning frame work:

 Hydropower development cycle

:
(a)

81
 (b)

Fig 2-17: Hydropower development Project Cycle (a) and ( b)

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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Questions And Answers Explanation For Chapter Two

1. Why basic and specific investigation of resources is carried out in the planning phase
of hydropower projects?

 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
 They may also be carried out countrywide to prepare inventories of the complete
hydropower potential in a nation.
 The main purpose of such investigation is to
 register the available resources and
 determine size and other qualities
 Investigated projects are often ranked according to size, costs, priority, etc.
 Having no established development purpose such investigations are often termed as
“basic investigations”

 Other hydropower investigations are carried out for specific purposes,

 I.e. in order to meet identified needs for electric power through finding suitable
supply.
 Such investigations are purpose oriented in as much as their objective is, among
available hydropower resources,
 to identify and select the best projects for the stated purposes.
 Purpose oriented investigations have specific terms of referenceto meet.
 They are far more comprehensive than basic investigations and are organized
accordingly.

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2. What are the planning parameters /required data/information required in the
planning and design phase of hydropower projects?

 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
 Topography
 geology, soils and materials

 Important issues, indirectly part of the planning process, are:

 environmental constraints
 socio-economic considerations
 electricity tariffs and tariff policy

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

3. In power demand assessment the size and shape of the demand curve is very
important for decision making. Why?

 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, 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
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4. What is the basic assumption made when we are using past hydrologic data for
hydrologic analysis in HP development?

 All planning in hydrology terms is predicted on the assumption that the past history of
water occurrence will be repeated in future.
 In other words, plans for control and use of water are based on the assumption that the
precipitation and stream flow conditions which have been observed in the past can be
expected to occur, within reasonable limits of similarity, in the future,
 except if stream flows are modified by acts of Man.

5. Some methods are developed for estimation of flow to ungauged sites. Why? Mention
at least three of the methods?

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.
 There are several methods to estimate flows from ungauged catchments
 Regional frequency analysis,
 sequential flow analysis and
 use of Parametric Flow Duration Curve

85
3. POWER PLANT STATIONS
On completion of this lesson, the student shall learn about:
 Components of hydropower projects
 Power house types and power house planning
 Components of a power house
 Layout and dimensions of power house
 Design of power house for medium and large hydro

Activity3-1 :What are the basic Components of Hydropower projects?

Explain their purpose briefly?

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.

Fig 3-1: Layout of hydropower component schame

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Fig 3-2: Components of a hydropower project

Main components:
Dam: to create the head necessary to move turbines
 also helps in increasing the working head of the power plant.

 Storage is used to maintain the daily or seasonal flow variations.

Reservoir: Consists of the Water impoundment behind a dam.

 to store the water during rainy season and supply the same during dry season. This is
in simple, water storage area.

 It is the place behind the dam where water is stored

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 /screens prevent trash and debris from entering the turbine units.

87
 Penstock: conveys water from the intake structure to the power house

 The penstock is the long pipe or the shaft that carries the water flowing from the
reservoir towards the power generation unit.

 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.

Activirt:3-2:

 List the different components of hydropower project. Specify the purpose of any one of
the components.
 What are the main purpose of power house in Hydropower projects and list the kind of
power house system?
 Roughly sketch the powerhouse system network by labeling the different components.

88
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.

89
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

a. Surface Over ground power house
b. 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 feasibility 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:
a.Hydraulic equipment:

♦ Turbines ♦ Governors
♦ Gate and gate valves ♦ Flow measuring equipment
♦ Relief valves of penstocks

b.Electrical equipment:
♦ Generato ♦ Excitors

♦ Transformers, pumps, cooling system connections, funs and plate forms:

90
 c.Switching equipment:
♦ Low tension buses ♦ Oil switching and
♦ Switch board panels ♦ Reactors
♦ Switch board equipment and instruments
d.High tension system:
♦ Buses ♦ Lightening arrestors
♦ Oil circuit breakers ♦ Outgoing connections
e.Auxiliaries:
♦ Storage batteries
♦ Station lighting
f.Miscellaneous equipment:
♦ Crane ♦ Work shops
♦ Office rooms ♦ Other facilities,( clinic, Store etc),
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.

Fig 3-3: Power House System Network

91
Fig 3-4: Typical Cross section of Power House

Fig 3-5: Typical plan of the Generator floor

92
3.2.3. Components of a power house

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

i) Sub- Structure
ii) Intermediate structure and
iii) Super-structure
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 because of less excavation
 Combination of sub and intermediate structures (only sub structure )
 Use of conical draft tube intermediate structures (only sub structure )
 A smaller height of power house, and
 The arrangement is also advantageous for easy inspection and accessibility during
maintenance.

Activity3-3:
 What are the governing requirements factor for Power House sizing?
 Why is larger capacity installations, it is ideal choice to have vertical mounting?
 Why needed of Layout and Dimensions Of Power House
 What is bay’s damention? Write three essential bay’s damention in a power house
complex?

93
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 layouts 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

Fig 3-6: Unit axis parallel to the power house axis

Fig 3-7: Unit axis perpendicular to the power house axis

94
The advantages of unit axis parallel to the power axis are:-
o A better approach to the turbine
o 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

Fig 3-8: Vertically downward inlet in the spiral case

95
 Fig 3-9: 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.

3.3.2. 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).

96
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.

3.3.3. Preliminary dimensions of power House for Reaction Turbine

For Medium and large Hydro installation

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

Table 3-1: Discharge related with Unit spacing

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

Table 3-2: Diameter related with Unit spacing

Discharge diameter of Unit spacing in terms of discharge

runner in m diameter (m)
1 5.5
2 5.1
3 4.7
4 4.4
5 4.2
6 4.0

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 See also Empirical formulae for dimensioning unit spacing & runner diameter
 Width and height of the power house is calculated based on the capacity of the unit and
crane span required.

3. Width of power house

Table 3-3: Width of Crane span related with Capacity and operating head

Capacity of unit Crane span in m for operating head in m

in 1000KVA 25 50 100 150 200
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

Table 3-4: Height of Crane span related with Capacity and operating head

Height to crane rail from generator floor in meter of

Capacity of unit
operating head in m
in 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

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Other Formulae:

i. Unit spacing :

a. Width if draft table + wall thickness

b. E + B + Wall thickness

ii. Width of power house:

F+ C + 2 + 1.85 D3

D3 = discharge diameter

iii. Mosonyi’s formula : Unit spacing

𝐍𝐬
(𝐬. 𝐬 − 𝟐𝟎𝟎 )D3 ; Ns = specific speed

iv. J.J Donald’s formula :

Unit spacing = 3.5 to 6 D3

2. Determination of discharge diameter, D3 (Mosonyi’s formula)

D1 = 𝜙 ∗ √𝐻
𝑁
; (Entrance Diameter) ф = Peripheral coefficient

D3 = (0.5 − 400
Ns
) ( Exit Diameter) N = speed of turbine in rpm

IV) Guthrie Brown’s formula

𝟗𝟎𝑸 1 / 3
D3{ } Where: Q discharge at full load in m3/s
𝑵

99
3.3.4. Bay’s Dimension

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

a. Unit bay or machine hall

b. Erection bay
c. 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 5.0 D, 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.

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.

100
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.

101
Questions and answers explanation for Chapter three

1. There are four types of power house configuration. Mention and explain all of them?

 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.
Power House Types
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.

102
2. What are the basic functional requirements of a power house?

 Functional utility and

 The aesthetic requirements
3. The hydro mechanical and electrical machine in a hydropower plant can be vertically or
horizontally mounted. But for large installed capacity vertical mounting is an ideal choice.
Verify this statement?

 When the installed capacity of HPP is very large ,proportionally all of the hydro-
mechanical and electrical machines have large dimension.
 So they need underground power house
 Excavation will be easy in vertical direction than of horizontal
 Stability will be more safe
 The probability of getting altered and ground table will be low

4. What is the difference b/n the lay out s of a unit axis parallel to the power house axis and a
unit axis perpendicular to the power house axis? Explain the advantage and disadvantage
of both layouts with the help of diagram?

 The turbine and generators are parallel to the power axis( or larger dimension)
 The turbine and generators are perpendicular to the power axis( or larger dimension)
 The advantages of unit axis parallel to the power axis are:-
 A better approach to the turbine
 A smaller width 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

103
4. UNDER GROUND POWER HOUSE

On completion of this lesson, the student shall learn about:

 Location of underground power stations
 Arrangements of underground power stations
 The functions of the powerhouse complex
 Main characteristics of underground power plants
 Powerhouse tunnel system
 Transformer arrangements and locations
Activity4.1:
What is under ground power stations?
What is the Factors for choosing under ground power stations?
What is largly dependant factor for layout/arrangements Of Underground Power
Stations? List the common types of underground power development.

4.1. Introduction

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 flexibility 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

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4.2. Location Of Underground Power Stations
Depending upon the rock quality, tunneling ease and overall economics, the power
houses may be located in various ways

 The whole power house may be totally underground:

 The generator may be in a pit but the super structure may be on the surface
 Semi-Underground, here the generator may be located on the surface while other
units, such as turbines may be under ground
 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

4.3. 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

a. Upstream Station or head development

b. Downstream station or tail development
c. Intermediate station development
d. Diagonal Tunnel alignment with air cushion surge tank
I) 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.

105
 Fig 4-1: The upstream power station/ Head development

II) 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.

Fig 4-2: Downstream or Tail-race development power station arrangement

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III) 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.

Fig 4-3: Intermediate power station and Diagonal alignment with air cushion surge tank

4.4. Comparing AboveGround & Underground Power House

Station
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.

107
 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.
 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.

Activity:4.2 What are Main Characteristics Of Underground Power Plants?

108
4.5. 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:
♦ Intake with trash rack ♦ Rock trap and stone rack
♦ Bypass arrangements and energy dissipaters
ii. Generating system:
♦ Turbines
♦ Switch gear
iii. Auxiliary systems:
♦ Power house cranes; ♦ Cooling water system;
♦ Drainage system; ♦ Ventilation
iv. Operational Aspects and Emergencies:
♦ Emergency chambers for fire risks, floods

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.

109
 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.

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.

110
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.

4.5.2. 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.

111
Fig 4-4: Over all plant layout

Activity:4.3
What is tunnel system
What are the importantnce of tunnel system in powerhouse structure?,
List of all main advantages Tunnels system?
What is lining? List out those factor which is required for lining of tunneling.

4.6. 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.

112
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,
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.

Fig 4-5: Layout and profile of a tunnel application

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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

4.6.1. 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.

Fig 4-6: Plan and cross section of an underground Hydropower plants with unlined waterways

114
A typical sequence of excavation, concrete works and erection for an underground
powerhouse with one Pelton unit is presented in the figure below.

Fig 4-7: Stages of excavation in underground power stations.

4.6.2. 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:
 Providing direct and short route for the water passage thus resulting in considerable
saving in cost
 Quicker completion due to simultaneous tunneling work at many points
 Protection of natural land escape
115
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.
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.

116
Fig 4-8: Type of Tunnels

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

Fig 4-9 : Tunnel shapes

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Lining of tunnels is required:
i) 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.

118
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 𝛶𝑟
hw = 𝐿𝑐𝑜𝑠𝛽 ……………………………………Eqn(4-1)
𝜂 𝛾𝑤

Where L is the shortest distance between the ground surface and the studied point of
the tunnel (or shaft) and b is the average inclination of the valley side with the
horizontal (see figure below).
119
Fig 4-10: 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 r 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 ………………………………………………… Eqn(4-2)

l v2
hf  
Darcy-Weisbach formula: 2 g Deq ……………………………….. Eqn(4-3)

l v1.85
h f  6.84 1.17
Hazen-Williams formula (rarely used): C 1.85 Deq ……………… Eqn(4-4)

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 section,( Deq =√𝟒𝑨/𝝅 ) A is the area of the
tunnal X-section; n is Manning’s roughness coefficient, 𝜆 is Darcy-Weisbach friction
factor (can be obtained from Moody diagram), and C is Hazen-Williams roughness
coefficient.

120
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:
𝑄0.45
For steel-lined tunnels: D =1.12 ………………………………………. Eqn(4-5)
𝐻 0.12

For concrete- lined tunnels D = 0.62Q0.45 ………………………………….Eqn(4-6)

Fig 4-11: Optimum tunnel cross-section

4.6.3. 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
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

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4.7. 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:


The stress situation prior to excavation (the “Virgin” stresses)

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
Origin of Rock Stresses: the virgin stress generally represents the resultant of the
following components:

 Gravitational stresses
 Topographic stresses
 Tectonic stresses
 Residual stresses

122
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.

Fig 4-12: Vertical and horizontal rock stresses as a function of depth below the rock surface

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

𝑽
𝝈𝒙 = 𝝈𝒚 = 𝝈𝒛 ……………………………………………………………Eqn(4-7)
𝟏−𝑽

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.

123
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.

Fig 4-13: Magnitudes and directions of the major and minor principal stresses in a valley side

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.

124
Fig 4-14: 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, respect.) will be the following as function of the distance r from the circle center.
𝒂𝟐
𝝈𝒓 = 𝝈 ( 1 - )
𝒓𝟐

𝒂𝟐
𝝈𝒕 = 𝝈 ( 1 + )
𝒓𝟐

125
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.

Fig 4-15: 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 𝝈𝒓(𝒎𝒂𝒙) where the σ1 direction is tangent to the contour, and its minimum
value 𝝈𝒓(𝒎𝒊𝒏) where the σ3 direction is tangent. The actual values will be:

𝝈𝒓(𝒎𝒂𝒙) = 3𝝈𝟏 - 𝝈𝟑

𝝈𝒓(𝒎𝒊𝒏) = 3𝝈𝟑 - 𝝈𝟏

Fig 4-16: The influence of rock anisotropy on the stress surrounding of a circular opening.

126
Potential problems due to the stresses are indicated:
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

4.7.1. 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 stability
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.

127
 Fig 4-17: Principle sketch illustrating the concentration of tangential stress in a tunnel

i. The contour rock is undisturbed

ii. 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.

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.

128
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-below.

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 below. The
situation has a certain similarity of fracturing in point load testing, in which the fractureis
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.
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.

129
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 oftenbe
parallel and perpendicular to the zones. Hence a tunnel through a major weaknesszone
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

4.7.2. 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.

130
Fig 4-18: 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 𝜎3 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.

4.7.3. 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. 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
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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.
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
principlestress situation can be evaluated. To be able to compute the stresses, laboratory
analyses of the elastic properties have to be carried out.

Fig 4-19: The principle of three dimensional rock stress measurements by overcoming

132
4.7.4. 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.

Examples:
The basic principle of a Simple FEM - model (homogeneous and isotropic conditions) is
shown in Figure-4.20. 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.

(g 133
)
The relevant mechanical parameters are given, i.e. specific gravity (𝜆), 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 handside
are free to move vertically only.

Fig 4-20: Finite Element model for analyzing the stresses surrounding a planned rock cavern.

Vertically the model is loaded with gravity forces; γ, h. Horizontal load is applied on the
right hand side of the model, and is given as k. γ, .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 Fig 4.21. Here, the magnitudes and directions of the major and minor
principal stresses are given by the vector lengths and directions, respectively, of each of
the crosses.

134
Fig 4-21: Directions and magnitudes of principal stresses surrounding a rock cavern

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.

4.7.5. 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
b. Charging
c. Scaling
d. Blasting
e. Ventilating
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.
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.
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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 1.8m to more than 11m have been
excavated with tunnel boring machines.

Fig 4-22: The cutter-head (about 40'dia) of the Herrenknecht S-376 Double Shield TBM

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.

Fig 4-23: Typical sketch for TBM tunneling

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 Compared to conventional D & B tunneling technique, TBM tunneling has the
following advantages:
 For long tunnels ( > 3km) 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
 Requires detail geological investigation than the D & B alternative
 Less flexible than Conventional D & B technique in tackling stability problems
 maximum gradient is restricted to approximately 2% for railroad transport
 the maximum curve radius is restricted to 150-450 m

4.7.6. 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

138
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
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.

Fig 4-24: 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.

139
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).

Fig 4-25: 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 necessity of
pre-grouting.

140
Post-grouting is done to improve the stability of the rock mass behind the tunnel face.

Fig 4-26: Principle of pre-grouting in a water-bearing zone

141
Questions and answers explanation on Chapter four

 For the hydropower project given in the question for chapter one underground
powerhouse type is selected due to suitability of topography and using the same given data
( i.e.: continuation of chapter one’s question)
Determine
Dimensions of powerhouse
A) Unit spacing
B) Length of the power house
C) Width of the power house
D) Height of the power house
1. Dimensions of powerhouse
 The three essential constituents of powerhouse are unit bay or machine hall,
erection bay and control bay.
A. UNIT SPACING:
 Unit spacing can be determined using the following empirical formulas
1. E.MOSONY’S FORMULA
 N 
Unit spacing=  5.5  S  * D3  4.86m
 100 
2. J.J.DONALD’S FORMULA
Unit spacing = 3.5 to6D 3 =4.75D 3 =5.7m
3. N.VENKATA ROWS FORMULA
Unit spacing =3.8to5D 3 =4.4D 3 =5.28m
Taking the maximum value, unit spacing=5.7m
B. Length
 The center-to-center distance between the units, is from (4.5-5) D + (2-3) m for
minimum clearance.
Hence the total length
 L=2unit+1unit for erection + 1 unit for control room=4 units=4*8.5=34m

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C. Width
 The width of machine hall can be determined by the size and the clearance space
from the walls needed as a gangway.
i. Width - center-to-center distance of the unit spacing.= 8.5m
ii. Width = F + C + 2 + 1.85D3
Where F and C are calculated in the dimensioning of spiral casing
Width = 2.9+2.0+2+1.85*1.2 = 9.12m
 In order to minimize the excavation cost the lesser value is adopted i.e.
Width =8.5m.
D. Height:
 the height of the machine hall is fixed up by the head room requirement of the crane
operation .The hall must have the height which will enable the cranes to lift the rotors of
the generator clear of the floor with out any other machine sets forming obstruction.
Height of power house (H)
installedcapacity
Generator capacity = Where P.F = 0.8
powerfactor

59262.5
Installed capacity =  29631.25
2
29631.25
Generator capacity =  37039.0 KN
0.8
 Using a table for a generator capacity of 37039.0KN and net head (H) = 131m by two
step interpolation the height to crane rail from generator floor in water is calculated as
(R.S Varshney 2001).
Height from the generator floor =14.59m
Height from power house (H)
H =14.59m+2m (clearance) =16.59m say 17m
And also H=Height of generator +clearance (4m) + allowance for free movement of crane
(say 2m) + allowance for crane girders (say 4.5 m)
H = 4.813 + 4 + 2 + 4.5
H = 15.313m say 16m  Taking the larger value for safety purpose
H =17m

143
Therefore the dimensions of the power house are
= Length * width *height
= 34m*8.5m*17m

1. What are the factors which lead the construction of Underground power house rather than
surface power house?
 A gorge and a valley
Other factors for choosing underground power stations are frequent
seismic activities
landslides and
snow avalanches.
Insecure National Peace Security

2. Apower house needs a tunnel system for various purposes during construction and after
construction. Mention and explain the purposes?

 one set, related to the period of construction and the other

 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,
 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.

144
 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,
 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

145
5. TRANSMISSION OF ELECTRIC POWER

On completion of this lesson, the student shall learn about:

 Transmission and distribution (t&d) system planning
 Design philosophy of overhead lines
 Framework of a standard
 Tower spotting
 Sag calculations and drawing of catenaries
 Conditions influencing the tower spotting
 Tower design: (static analysis and dimensioning based on agreed standards)
 Design of foundations
 Conductors and insulators

Introduction:
 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.

Fig 5-1: Layout of transmission line

146
Activity:5.1
What are factor when considers for design criterion of transmission lines?
Compare and contrast Underground line system from overground line.
At what condition when we using over ground line system from Undergroundline?

 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.

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.

147
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.

Fig 5-2: Electricpower distribution line

Activity:5.2
 What are the basic planning required to condact in Transmission And Distribution process?
 what is you knowledge about desigh philosophy?

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

148
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.

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.

149
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
 practical
theoretical experience.
and theoretical experience.

Fig 5-3: Framework of a standard pole

Probabilistic methods :
i.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
150
 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 voltages
 Slow front over 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.

5.3. 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.

151
i. Adaptation to use of land

 As a main rule, voiding 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 protection value
 Land cape gems
 Large continues tracts of nature and outdoor activity areas
 Routes with towers in cultivated fields but crossing cultivated field is
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
 Avoid barrier effects
 Avoid conspicuous effects
 Avoid strand zones or crossing over lakes
 Follow existing curves in the landscape e.g. Border zones in topography and
vegetation
 Stay low, search for routes where the line and especially the towers get cover or
back ground in topography or. Vegetation
 Crossing rivers, roads and traffic routes should as a main rule be perpendicular to
them
 Take care of forest screens when crossing or going alongside rivers and traffic routes
 Choose the upper side or inner curve when going alongside traffic routes

152
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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5.4. 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.

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.

5.5. Tower Design (Static Analysis & dimensioning standard)

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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5.6. 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:
 Foundation designed to resist compression only
 Foundation to resist both compression and uplift
 Foundation designed to resist uplift overturning moment
 Foundation designed to resist toppling
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.

5.7. Conductors
 These carry the electrical power from one end to other for transmission and distribution.
Requirements of good conductor:
 Good conductivity or low specific resistance
 Not brittle , Not too expensive
 Low specific gravity for low weight
 High tensile strength to withstand mechanical stresses
Materials may be:
 Copper √ Galvanized steel
 Aluminum √ Phosphor bronze
 ACSR (Aluminum conductor steel) √ 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.

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Copper conductors have high electrical conductivity and tensile strength. It is non-
corrosive and free from electrolytic trouble. But it is expensive.

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.

5.8. 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 ♠ Suspension type
♠ Shackle 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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Question and answer explanation for chapter five

1. What are the A design criterion of transmission lines?

 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

2. Explain the Transmission and Distribution (T&D) system planning

The planning process may have the following phases:

 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
Determine the main principles for system layout/renovation strategy
 Technical analysis of different system alternatives
 Establishing investment costs and operation costs
 Cost minimization
 Decision of investment plan
3. List and briefly explain the main parts of power line
The main parts of a power line, 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.
Note, The three elements: conductors, supports and insulators constitute the main types of
components of an overhead power line.

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4. What is tower spotting? And what are the factors to be considered?
Tower Spotting is used for determining the location and height of towers on the route
profile.
The factors which should be considered are:

Conductor type

Tower type

Terrain type

Climatic loads

Crossings

Clearances to adjacent objects

Building conditions, etc.

5. What is conductor? What are the significant advantage good conductors

Conductors carry the electrical power from one end to other for transmission and
distribution.
Requirements of good conductor:
 Good conductivity or low specific resistance
 High tensile strength to withstand mechanical stresses
 Not brittle
 Not too expensive
 Low specific gravity for low weight

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6. CONSTRUCTION FEATURES OF HYDROPOWER PROJECTS
On completion of this lesson, the student shall learn about:
 Reservoirs construction
 Concrete dam construction
 Instrumentation objectives and dam safety
 Dam safety principle and concepts

 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:

 The water tightness of the basin and
 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)

a. 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.

b. 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.

c. 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.

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d. 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.

Exclusions:

Cut of trenches

Grouting

Impervious lining–Asphalt 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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Fig 6-2: Grouting and pressure relief drain systems

 Stages in dam site appraisal and project development Activities:

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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.
The desirable characteristics for a mass concrete for use in dam can consequently
be summarized as follows.
 Satisfactory density and strength ♦ Economy
 Resistance to cracking ♦ Durability
 Low thermal volume change

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6.2.1. 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.

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).

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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.
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.

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 Table 6-1: Characteristics of Mass concrete for dams

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
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.

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Construction of Embankment Dams:

Fig 6-3: 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.

Table 6-2: Characteristics of RCCs for dams

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6.2.2. 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.
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·
 Prediction of future performance
 Legal evaluation and
 Development and verification of future research and design
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.

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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.

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.

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  Organization chart of project construction operation:

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.

172
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.
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.

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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 philosophies,
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
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.

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Existing Dams:
i. Operation and Maintenance
 The operation and maintenance procedure implemented should ensure the safe operation
of thedam 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.
 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, constructionhistory,
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.

175
Question and answer explanations for chapter six

1. The most attractive site for large impounding reservoir is a valley constricted by a
gorge at its out fall with steep banks upstream. Why?
 So that a small dam can impound a large volume of water with a minimum extent
of water spread
 Construction period will be minimized
 Total investment cost will be cooperatively small

2. What are the principal objectives of Instrumentation in Hydropower development?

 Analytical assessment
 Prediction of future performance
 Legal evaluation and
 Development and verification of future research and designs

3. Ordinary Portland cement is not recommended in dam construction why?

o The resulting temperature rise and heat gain in large pours is unacceptable in relation
to consequent problems of shrinkage, heat dissipation and cracking.
o It is therefore preferable to employ a low heat or modified Portland cement.
o Thermal problems can be alleviated by the use of Pozzolana blended Portland
cements.
o In the absence of special cements, partial replacement with pulverized fuel ash (PFA)
and /or cooling are also effective in containing heat buildup.

4. Why AEA and WRA’s (admixture) are added in concrete production and placement
in dam construction?

 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%.

176
7. MINI HYDROPOWER PROJECT DEVELOPMENT
CONSIDERATIONS
On completion of this lesson, the student shall learn about:
 Energy supplies in rural areas
 The mini hydropower development
 Preferential policy for MHP development
 Funding of MHP
 Appropriate technology for MHP
 Benefits of MHP

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 b/n 101KW & 1000KW is defined as Mini Hydropower(MHP) development

Fig 7- 1: Mini pumped storage plant

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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 85GW 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 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.

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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.

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.

179
7.4. 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.

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

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.

180
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

7.5. Benefits Of MHP

MHP has economic, social and environmental benefits such as:
 Providing cheap power for local industry and agro-by-product processing
 MHP development can be combined with irrigation, water log control and flood
prevention, thus promoting crop yields and agricultural modernization
 Increasing revenue for local government and income for local people
 Creating more jobs and reducing the migration of rural people in to cities
 Invigorating rural cultural life and improving the living standards of the local people
 MHP can be used in hilly areas for cooking, instead of firewood, hence conserving the
environment
 Developing tourism in rural areas
 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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7.6. 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
 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.

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Question and answer explanations for chapter Seven
1. A mini hydropower plant is under planning. The simplified sketches of the intake area
and the head water channel are shown in Figure below Estimate the necessary amount of
water (discharge, Q1) that must flow in the river in order to satisfy the demand of 5 m3/s
water through the turbine. The head water channel will made of concrete and Manning
number assumed is 0.0125. A ,B and C

D and E

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General Plan
Cross-section A-A, River Longitudinal Section
Cross-Section B-B, headwork, longitudinal section
Cross-section C-C, Intake Cross section
Cross-section D-D, Channel X- section

Solution:
 From continuity equation at X-section D-D
2
1
3 2
AR s
Q3 = A3V3 =
n
2
 A3 1
2.5 y 3   s 2
= 5 m3/s = 2.5y3 P
n
2
1
 2 .5 * y 3  3  1  2
2.5 y 3    
3  2.5  2 y 3   324 
= 5 m /s =
.0125
Simplifying the equation 0.302 = 0.24y3 = y5/2

By trial and error y3 = 0.747m

Q 5m 3 / s
V3    2.677m / s
By 3 2.5m * 0.747m
Applying Bernoulli equation between 1 and 3

y1 =138.4-137.5m (considering 137.5m as reference) = 0.9 m

2 2
v v
y1  1  y 3  3 ,
2g 2g

184
 2
v1 2.6772
0.9   0.747 
2g 2 * 9.81
V1= 2.04 m/sec

Therefore, Q1=A1V1=B1V1y1=20m*0.9m*2.04m/sec = 36.7 m3/sec

Thus, The necessary amount of water (discharge, Q1) that must flow in the river in order to
satisfy the demand of 5 m3/s water through the turbine is 36.7 m3/sec

2. What are the main advantages of MHP?

 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

3. What are the main factors 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

185
8. ENVIRONMETAL, SOCIAL AND POLITICAL FEASIBILITY OF
HYDROPOWER PROJECTS
On completion of this lesson, the student shall learn about:
 Impacts arising from the operation of hydropower scheme
 Landscape impact of hydropower
 Social and political considerations

General Introduction:
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 re-enters 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.

Fig 8-1: Environmental impact of a hydropower project

186
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.

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, and Tailraces

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 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.

187
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
 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

Activity 8.1: why is highly location and technology specific of hydropower schemes?

188
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.

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.

189
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:8.2
 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.

190
8.5. 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:
 Terrestrial
a. Soils
b. Landforms
c. Seismic activity
 Hydrological
a. Surface water levels
b. Ground water levels
c. Surface water quantities
d. Groundwater quantities
e. Surface water quality
f. Groundwater quality
 Biological
a. Vegetation
b. Birds
c. Fish and aquatic life
d. Terrestrial animals
 Atmospheric
a. Air quality
b. Air movement

191
ii. Cultural and human considerations:
a. Social
 Scenic views and vistas ♦ Rare and unique species
 Open-space qualities ♦ Health and safety
 Ambient noise level ♦ Residential integrity
 Historical and archaeological
b. Local economy
 Employment (short-term) ♦ Housing (short-term)
 Employment (long-term) ♦ Housing (long-term)
 Fiscal effects on local government ♦ Business-activity
c. Land use and land value
 Agricultural ♦ Industrial
 Residential ♦ Commercial
 Other (public domain, public areas)
d. Infrastructure

 Transportation
 Government service
 Utilities
 Educational opportunity and facilities
 Waste disposal
e. Recreation
 Hunting
 Boating
 Pick-nicking
 Fishing
 Swimming
 Hiking/biking
Activity8.3:
What are common approaches have been used to systematize and quantify the assessment
process?
What are four principal areas concerned for Feasibility of hydropower project considered?

192
8.6. 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 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 8.2 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.
193
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.

194
Table 8-1: Impact matrix approach

195
Fig 8-2: Example 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.

Fig 8-3: Example for evaluating impact of hydropower development on social conditions.

196
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.

8.7. 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.

Activity8.4: What are the Three legal considerations that important in the appraisal
of social and political?

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.

197
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.

Table 8-2: Environmental impacts of small hydropower projects

Activity Adverse Impact

Construction of 1. Reservoir sedimentation and deterioration of water quality
road, dam, surface 2. Air and noise pollution and disturbance to flora and fauna by work
power house and force
switch yard, 3. Visual intrusion caused by construction activity
diversion tunnel, 4. Disturbance of recreational spots (e.g. waterfalls) and activities
channel 5. Soil erosion due to removal of vegetation & excavation of
construction material
6. Alteration in ground water flow
1. Damaging flora due to right of way clear in
Construction of
2. Endangering the lives of fauna
transmission line
3. Visual intrusion
1. Loss of habitat of fish and other aquatic flora and fauna
Stream diversion
2. Decrease in dilution capacity of stream
through
3. Depletion in ground water recharge where diversion is taken off from
channel and
effluent stream
conduit
4. Loss of waterfalls and other recreational activities

198
 1. Flow disruption
2. Channel degradation during generation or spilling and flushing of silt
from dam
3. Trapped nutrients and sediments, eutrophication
4. Changed water temperature
5. Changes in land uses:
(a) submergence of agricultural and forest land (b)submergence of
human settlement and displacement of population (c) submergence of
Ponding
monuments/sites of historic importance (d) loss of whitewater
recreation
6. Change in aquatic plant life and fish species
7. High evaporation rate
8. Sedimentation adversely affects fish spawning areas by burying them
9. Provides increased habitat for mosquitoes and snails which are vectors
of diseases like malaria, yellow fever, dengue, encephalitis and
schistosomiasis
1. Increase in pollution concentration in the downstream due to release of
Operation of pollutants from residential areas, hydropower plant
hydropower 2. Released water containing low dissolved oxygen
station 3. Fish mortality from turbine passage
4. Sonic impact: noise level may increase
1. Damage to fish spawning ground and nesting ground for water fowls
and other aquatic birds
Peaking operation 2. Erosion of banks
of power station 3. Transport of nutrients from the shallow water to deeper water in pond
4. Affects recreational facilities due to fluctuating water level
5. Exposure of drawdown zone creates visual intrusion

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Questions and answer explanations for chapter Eight

1. Impacts of hydropower schemes are highly location and technology specific. Why?

 By selecting the appropriate site and adopting the recent tech. we can minimize/optimize
the impacts
 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.

2. When do you think an Environmental impact evaluation have to be carried out?

Why?
 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 in the process of
planning ,design and construction.

3. An important step in Environmental impact evaluation is first to develop a

comprehensive checklist of the considerations that need to be assessed. Why?

 This hopefully will ensure

 That none of the considerations will be overlooked.
 Under looked and omitted

200
4. What is an Impact matrix and Factor profile Approach?

 These are methods which are used to systematize and quantify the assessment process of
EIA.

Impact matrix Method

 approach technique requires the development of a matrix in which certain activities or

actions are arrayed against the various considerations.
 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.

Factor profile approach

 Sitting 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)
 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:

 Engineering and technological feasibility,

 Social acceptability,
 Environmental acceptability, and
 Economic feasibility.

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 9 ECONOMIC AND FINANCIAL EVALUTION OF
HYDROPOWER PROJECTS
When you have completed this chapter you should be able to:
Prepare for an economic and financial appraisal by assembling information documents
for use during the appraisal and by deciding up on the degree to which this information
Differentiate between an economic and a financial appraisal and discuss the criteria
for economic and financial feasibility.
Define time-value related terms that lead to the basic equations required for an
economic and financial analysis
Define capital costs, annual costs, direct benefit and indirect benefit.
Use the net present value (NPV), benefit-cost ratio (B/C) and internal rate of return
(IRR) methods in economic appraisal.
Carry out a financial cash-flow analysis, a financial balance analysis and a generation
cost profit analysis for financial appraisal
Carry out uncertainty analysis.

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.

202
 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.
 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.

9.2. Economic and Financial Feasibility Basic Equations

Concerning Time Value

9.2.1. 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.
203
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.
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.

9.2.2. 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.

204
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:

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.

205
206
207
Example 9:1:
A speculator buys a site near the fringe of an industrial area in a large city for $10,00,000.
Annual outgoings on the site for maintenance, fencing, watching, etc, amount to $45,000. it is
estimated that the site will not be sold for 8 years, at which time that area is due for
development. For what minimum price must the site be sold at that time so as to break even
on the costs if the original purchase price and the annual outgoing could have been
alternatively invested at 12% per year?
Solution:
P = $10,00,000
A = $45,000;
n = 8 years
Minimum Price be sold= ? i= 12% per year

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Future value of Capital by using Single Payment Compound Amount Factor (SPCAF)
F = P (1+i)n = P (F|P, i%, n)
F= $24,76,000
Future value of annual cost By using Uniform Series Compound Amount Factor (USCAF)
equation;
F= A[(1+i)n -1]/i ;
F= 45000[(1+0.12)8-1]/0.12 F = $ 5,53,487
Therefore; Minimum Selling Price of site after 8 years will be:
Future value of Capital + Future value of Annual Cost
= $24,76,000 + $ 5,53,487
= 30, 2 9,487
Example 9.2:

A unit of mechanical equipment has an initial cost of $1,00,000 and annual maintenance
expenditure is exposed to average $12000 for its 8 years of life. It interest is at 10% and the
equipment has no salvage value, what is its equivalent annual cost, excluding labor, fuels etc.

Solution:

P = $1,00,000

Annual Maintenance Charges = $12000

n = 8 years

i = 10% per year Equivalent Annual Cost = ?

First Convert capital sum to an equivalent uniform annual series by Using Uniform Series
Capital Recovery Factor (USCRF).

A = P[i(1+i) n/(1+i)n-1]

A = 1,00,000[0.10(1+0.10)8/ (1+0.10)8 -1]

A = $18,740 per year

Total Equivalent Annual Cost = $18,740 + $12000

= $30,740.

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Example 9.3:
Calculate the capitalized cost of a project that has an initial cost of $150,000 and an additional
investment cost of $50,000 after 10 years. The annual operating cost will be 5000 for the first
4 years and $8000 then after. In addition there is expected to be a recurring major rework cost
of $15,000 every 13 years. Assume that i=5%.
Given: P = $150,000/-
P = $50,000/- after 10-years
Find the present worth of the nonrecurring costs
Solution:
P1= 150,000+ 50,000 (P/F, 5%,10)
P1= 180,000/-
Convert the recurring cost of 15,000 every 13 years to (Equivalent Uniform Annual Cost
(EUAC) A1) for the first 13 years.
A1 = 15,000(A/F, 5%,13) = $847.
The capitalized cost for the annual cost can be computed in two ways
Consider a series of $5000 from now to infinity and find the present worth of 8000-
5000=3000
Find the present worth of 5000 for 4 years and the present worth of 8000 from year 5 to
infinity.
Using the first method, we find the annual cost (A2) is 5000 and the present worth (P2) of
3000 from year 5 to infinity;
P2 = 3000/0.05(P/F,5%,4) = 49,362.
The two annual costs are converted to a capitalized cost (P3)
P3 = A1 + A2 / i = 847+5000 / 0.05 = 116940
The total capitalized cost (PT) : PT = P1 + P2 + P3 = 346997.

Exercise:
1. The Get- Rick- Quick (GRQ) company invested $1,00,000 on May 1 and withdrew a
total of $1,06,000 exactly one year later. Computer (a)the interest gained from the
original investment and (b) the interest rate from investment.
2. Joe Bilder plans to borrow $20,000 per one year at 15% interest. Compute (a) the
interest and (b) the total amount due after one year.

210
 3. If you borrow $1000 for 3 years at 6% per year simple interest, how much money will
you owe at the end of 3 years.
4. If you borrow $1000 for 3 years at 6% per year compound interest, how much money
will you owe at the end of 3 years. Construct the cash-flow diagram also.
5. (a) Calculate the amount of money that must have deposited one year ago for you to
have $1000 now at an interest rate of 5% per year. (b) Calculate the interest that was
earned in the same time period.
6. The Hot-Air company invested $2500 in a new air compressor 7 years ago. Annual
income from the compressor was $750. During the first year, $100 was spent on
maintenance, a cost that increased each year by $25. the company plans to sell the
compressor from salvage at the end of next year for $150. Construct the cash flow
diagram for the piece of Equipment

9.3. Costs and Benefits

9.3.1. 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.

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

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9.3.2. 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 = Ee (1 - β ) (1 + γ )p,
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;
β = Plant use factor
γ = Grid loss factor
P = energy price

In Equation (9.7) E e (1- β )(1 -γ ) 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.

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9.4. 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.

9.4.1. 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:

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 , Bn+1 = B n+2 + Bn+3 = B, ,

Then the NPV can be directly calculated by Equation (9.9)

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.

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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

Table 9- 1: Calculation of NPV (in $US)

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

Yea Capital O&M Annual Net Annual Present Net Present

r Costs Cost Benefit Benefit (4)-(2)-(3) ValueFactor Value (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

:.
N
P 150 000 54000
V = -12666 -12666

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(b) i = 10% rate of price escalation = 7%
Net annual Present
Capital OM Annual Net Present
Year benefit(4)-(2)- value
Costs cost benefit Value (5)x (6)
(3) factor
(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


N 156300 103736
564942 + 60 377
P = 60377
V

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9.4.2. 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:

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
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

Where : Capital recovery factor

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

9.4.3. 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.

217
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:

Where IRR – i on the condition that NPV = 0

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

9.5. 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.

9.5.1. 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,

218
the sum of the net benefit > 0 in the sixth year)

Table 9- 2: Financial cash–flow calculation (103 $US)

Present
O&M valu Sum of
Benefit Net Sum of
Ye Capita (10 Total Net e Net
(10% present Net
a l % Cost benefit fact ben
escal value present
r Cost escalati (2)+(3) (3)-(4) or efit
ation (6)x(7) value∑(8)
on (12.  (6)
5%)
(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

9.5.2. 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.

219
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.
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- 3: Shows an example of a finical balance of a project.

Expenditure and incomes 1981 1982 1983 1984 1985 1986 1987 1988
Expenditure
1. Engineering, 73 94 173 104 62
administration, Financial
and legal
2. Construction and
contingencies 562 563
3. Interest during 157 79
construction
4. Debt service on loan and 129 249 249 249
bonds
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 121 60
money
3. Capacity credit 7 15 15 15
4. Power generation revenue - 207 455 501 551
escalated at 10%
Total income Balance 45 0 1812 121 247 470 516 566
Balance -28 -94 1639 -702 -569 197 240 288

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 Expenditure and incomes 1989 1990 1991 1992 1993 1994 1995
Expenditure
1. Engineering, administration,
Financial and legal
2. Construction&contingencies
3. Interest during construction
4. Debt service on loan and 249 249 249 249 249 249 248
bonds
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.
221
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)

Table 9- 4: 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 10% 0 0 0 0 207 455
escalation
6. O&M expenses with 10%Escalation 0 0 0 0 10 24
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% escalation 27.0 29.0 32.0 35.0 39.0
6. Sinking fund 474.0 522.0 574.0 632.0 693.0
7. Debt at the end of the year 1795.7 1492.1 1097.1 592.7 -38.3

222
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

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- 5: Annual equivalent cost used for the payback period calculation $US

Year Debt O&M (10% Total Benefit (10% Net cash Sum of net
servic escalation cost escalation) flow (50-(4) cash flow
e
(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

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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
terms of expenses) is deducted. The profit is first used to repay debts, then for private or
group benefit.

9.5.4. 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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Question and Answer Explanations for chapter Nine
1. What is the basic objective of Economic and Financial Appraisal in HPP?

 The objective of an economic and financial appraisal are

i. Provide an economic basis for deciding whether or not to implement a project,
ii. To examine promising development alternative in an economic respect to determine
which is the most attractive

2. What sort of information/ documents is required for conducting the economic and
financial appraisal of HPP?

 Information on the Input of the Project :

a. The capital cost of civil engineering and electro mechanical equipment;
b) Operating and maintenance costs;
c) Overhaul costs;
d) Useful life of the civil engineering and electro mechanical equipment and
e) Their rate of amortization.
 Information on project construction:
a. The period of construction,
b. Its progress and
c. Date of putting into operation.
 Information on Hydropower plant parameters:
i. Firm power,
ii. Peaking power (or operating power),
iii. Installed capacity and
iv. Annual generation of the power plant.
 Information from Market Analysis:
a. The energy purchaser;
b. Rate of capacity and energy (tariff);
c. Market price of materials and equipment;
d. Labor costs and
e. Their shadow prices obtained from the planning department of the government.

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 Information from financing:
a. Fund sources and funding;
b) Its yearly installment during construction;
c) Interest rate;
d) The basic economic and financial discount rate and rate of escalation.

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Exercise Problems For Chapter Nine
1. Given a cash flow of a HPP is as shown in Table 1,
a. Draw the cash Flow diagram
b. Estimate the payback period of the project, i=13%
c. Calculate the NPV, i=13%
d. Calculate the B/C of the project, i=13%
e. Estimate the IRR of the project
Benefit
Year Capital Cost O & M Cost
(1) (2) (3) (5)
0 375000
1 16 500 67375
2 18 150 74112
3 19 965 81524
4 21 961 89676
5 24 158 98644
6 26 573 108508
7 29 231 119359
8 32 154 131295
9 35 369 144424
10 38 906 158867
11 42 797 174753
12 47 076 192229
13 51 784 211452
14 56 962 232597
15 62 659 255856
Table 1 cash flow
2. Medium head hydro power plant (HPP) has following characteristics:
Net rated head Hn = 40 m
Plant rated discharge Qp = 100 m3/s
Number of units Nu = 2
Frequency f = 50cycle/sec
Number of Poles p=6
a) What type(s) of turbines could be appropriate for this HPP?
b) For one turbine under determine:
- Specific speed ns
- Operational (synchronous) speed N
- Outer runner diameter(s) - D
c) Estimate plant's rated capacity (power), and the mean annual power output (energy
generated) if plant factor is 0.6.

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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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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
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Table 1.3 Elevation area capacity data of site-A

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

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?
Q#1.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.

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Q#2. 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 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

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References:
1. Hydraulic Structures by Novak
2. Water Power Engineering by Dandaekar & Sharma
3. Water Power Development by Mosonyi), Vol. I and II
4. Hydropower Engineering, C.C.Warnick (1984),
5. Hydropower Structures by Varshney and Others
6. Harvey, A. & Brown, A. (2004), Micro-Hydro Design Manual, Practical Action.

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