nce Books of Interest Handbooks Baumeister + MARKS’ STANDARD HANDBOOK FOR MECHANICAL ENGINEERS Brady and Clauser + MATERIALS HANDBOOK Brater ~ WANDBOOK OF HYDRAULICS Crocker and King + P\°tNO N1ANDBOOK Croft, Carr, and Watt » AMERICAN ELECTRICIANS’ HANDBOOK Davis and Sorensen » HANDBOOK OF APTLIED HYDRAULICS “Fink and Beaty + STANDARD HANDBOOK FOR ELECTRICAL ENOINEERS Gaylord and Gaylord + STRUCTURAL ENGINEERING HANDBOOK Harris + #aNDBOOK OF NOISE CONTROL Harris and Crede + SHOCK AND VIBRATION HANDBOOK ‘Hicks + STANDARD HANDBOOK OF ENGINEERING CALCULATIONS Higgins and Morrow + MAINTENANCE ENGINEERING HANDBOOK King and Brater + HANDBOOK OF HYDRAULICS ‘La Londe and Janes * CONCRETE ENGINEERING HANDBOOK (Merri » STANDARD HANDBOOK FOR CIVIL ENGINEERS O'Brien « CONTRACTOR'S MANAGEMENT HANDBOOK Peckner ancd Bernstein » HANDBOOK OF STAINLESS STEELS FRosinagel * HANDBOOK OF RIOOING ‘Smeaton + SWITCHGEAR AND CONTROL HANDBOOK ‘Stecter » HANDBOOK OF FLUID DYNAMICS ‘Tuma + ENGINEERING MATHEMATICS HANDBOOK Tuma + HANDBOOK OF PHYSICAL CALCULATIONS ‘Tuna + TECHNOLOGY MATHEMATICS HANDBOOK Urquhart + C1VU. ENGINEERING HANDBOOK Waddell » CONCRETE CONSTRUCTION HANDBOOK Other Gieck + ENGINEERING FORMULAS Hoggan » CONPUTER-ASSISTRO FLOODPLAIN HYDROLOGY AND HYDRAULICS Whiteneck and Hockney + STRUCTURAL MATERIALS FOR HARBOR AND COASTAL: CONSTRUCTION ‘For mors information about ther McGraw-Hill materials, al 1.5002-MCGRAW in the United Sits, in other ouatie,eal your nearest McGraw-Hill office HYDROPOWER ENGINEERING HANDBOOK | —_— John S. Gulliver, Ph.D. eaitor in chiet Associate Professor St, Anthony Falls Hydraulie Laboratory Department of Civil and Mineral Engineering University of Minnesota Minneapolis, Minnesota Roger E. A. Arndt, Ph.D. editor in chiet Director and Professor ‘St. Anthony Falls Hydraulic Laboratory Department of Civil and Mineral Engineering University of Minnesota Minneapolis, Minnesota BPITISR nocutnesy a McGRAW-HILL, INC. Now Vouk St. Louls San Frantsco Auckland, Bogoté Caraeas Hamburg) Lisbon London. Maid ‘Mexico Milan” Montreal” Now Dat Pars ‘Ser dvan ‘Sto Paulo Singepore ‘Sydney. Tokye Toronto odLibrary of Congress Caaloging-n-tublicaion Data iydkopowereagincering handbook Loh . Gulive editor inchs, ‘and RogerE.A. Ard ior in chief. Bem taclades bibliographical erences and index. ISBN 0.07.025193-2 1. Hydolecule power ants — Handbooks, manssls 2, Hygraulie engineering ~ Handbooks, mana, ee. 1 Gell Senn, Il, Amdt, Roger EA. ‘TK IOELHS4 1991, 624,302134~ de20 sos Copytight © 1991 by McGraw-Hil fe. Al ights reserved. Prited in the United States of Ameria. Except os permitted under the United States Copyright Act of 1976, no part of this publication may be feprodueed or distributed in any form or by any means, oF stored In a {ata base or retrieval system, without the prior wetten permission of the publisher 1234567890 DOCDOC 976543210 ISBN 0-07-025193-2 “The sponsoring elior for this book was Joel Stein, the eting supervizor was Peggy Lamb, the designer was Naomi Auerbach, and the production supervisor wae Suzanne W. Babeuf. This Book was set in Times Roman. tt twas composed by AMcCrewHil's Profesional Publishing composition Printed and bound by R. R. Donnelley & Sons Company. Information contained in his work has been obtained by MeGraw- Hill, In, from sources believed to be reliable. However, nether MeGraw-Hill nor its authors guarantees the accuracy or com pletenes of sny information published herein and neither McCraw. Hill nr it authors shal be Fesponsbl for any errors, omisions, for damages arising out of use ofthis information, This work is published with he understanding that McGraw-Hill and is au- thors are supplying information but sre not attempting to render tngineering or other profesional services. If such services aze Fequied, te assistance of an appropriate profesional shoulé be sought For more information gbout otter McGraw-Hill material, Call 300.2: MCGRAW in the United Stes. In other jes, all your nearest McGraw-Hill ofc. CONTENTS Contebutors Proface xl Acknowledgments xt Chapter 1. Introduction to Hydropower Engineering Le Mlistory 112 12. Hydropower Potential 11. 13, Types of Development //.10 1A, Components of Fydrepowes Paites (1.12 LS. Hyeropawer Development Sequence 1.16 - To, Advantages and Disadvantages of Hydropower Development 1-118 17. Summary 11.20 1B, References 17.20 Chapter 2. Preliminary Studies: Hydrology, Hydraulles, and Costs 24. Background 12. 2.2. Deseriplon of Watershed Hydrology J 2.2 23, Flow Data / 25 214, available Head 1 2.9 255, Flow-Duration Curves 2.10 26. Operational Analysis of Hyéropower Facility | 219 27, Methodology for Cost Estimates /- 2.20 28, Case Studies | 2.23 29, References | 2.36 Chapter 3. Small Dam Design 3.1. Types of Dams 1 3.1 53.2, Geotechnical Investigations Required for Design | 3.2 353 Selection of Type of Dam / 3.16 3. Embankment Dams 13.20 355, Concrete Dams 2.61 356. Roller-Compacied Concrete Dams 1 3.67 37, Masoney Dams 1) 3.73 3.8 Spilway Design 3.75 5)9, Diversion during Construction / 3.78 (0. Acknowledgments 13.79 1, References. 3.79 12, Bibliography 3.87 24 aacontents Ghapter 4. Hydraulic Turbines an “4h Iniroduction | 47 42, Hintrial Perspective 14.2 43, Basie Principles /4.v $4, Turbine Techaclogy 14.27 45. Performance Testing / 4.50 48. Hydraulic Stectures and Operational Considerations / 4.57 47. Examples (4.61 28 Summury 1 464 49, Relerenges 1405 Chapter 8. Hydraulic Conveyance Design 54 5.1, Background 1 5. 512, Head Race and Tailrace Canals / 5.2 5.3, Intake Strvcures 15.10 514. Gates and Valves 15.35 515. Tunnels and Penstocks I 5.41 56. Tolal Head Losses 1 5.65 527 Hydraulie Models 1 5.66 518. Cave Study 5.73 59. Conclusions 1 5.78 S310. References 1 5.78 Chapter 6. Powerhouse Design and Small Hydropower Project Gost Estimates 61 6.1. Background 1 6.1 62. Types of Powerhouses J 6.1 5. General Arcangement | 6.2 Taterior Arrangement 16.4 Substucture Design 76.5 Constuction Dettils 1 68 Supersiracture Design 6.9 Powerhouse Details! 6.10 . Design Loads 16.10 Stabity Analysis / 6.11 Underground Powerhouses / 6.12 Procedure for Developing a Cost Estimate 1 6.14 General Costs / 6.2) Dams and Reservoirs 16.28 Invake and Waterways (6.32 Power Plans 6.37 ‘Transmission {650 Other Facies 16.52 Cost Adjustments 6.52 Toairect Costs 16.53 [Recurring Annu) Cons / 6.53 Example of Estimate 6.59 References 16.58 - contents vt Chapter 7, Case Studies in Facility Design Ie 17d 12. Charlor River--1}-MW New Hydropower Development | 7.5 13, Moris —1I00KW Addition to an Existing Facliiy 77.23 74. Topsall—Instalation of Larger Unit into Existing Powerhouse 7.29 13, References / 7.39 Chapter 8. Ecological Effects of Hydropower Facilites at 8.1, Background (8.1 82. The “Clean” fydeopower Assumption 7 8.2 3, Legislation AMlecting Hydropower J 8.4 84 Impact of Eooiogica Issues on Hydropower / 8? 8:3, Philosophy of Environmental impact Analysis 8.10 86, Sourees of Potential Terrestrial Impacts | 8.10 87, Sources of Potential Aquatic Impacts / 8.18 88. A Recommended Licensing Strategy 18.42 ‘Ackowledgments 78.57 References 18.52 Chapter 9. Economic and Financial Analysis oa . Purpose f 9.1 Indieators of Economic Feasibility 1 9.2 The Parameters of an Economie Analysis and Their Associoted Uncertainties 79.13 Uncertainty Applied to Economic Analysis / 9.16 (Case Studies 199 References / 9.26 Chapter 10, Plant Maintenance and Operation 104 10.1. Background / 10.1 102 Organization 1 10.2 1033, Plant Operating and Maintenance Personnel /- 10.4 104 General Preventive Maintenance 1 10.6 10.3, Turbine lospection and Maintenance /- 10.22 108. Weld Repairs 110.26 10.7. Generator Inspection, Maintenance, and Tests 1 10.27 108, Maimenanes of Trash Racks 10.26 103, Realignment and Balencing / 10.30 1010: Vibration 10.35 OLIN. Conclusions 1 10.36 1012 Reterences./ 10.37 10:13. Bibliography 1 10.38 Chapter 11. System Planning and Operation aaa systems Apprach JU 4 2. Hydropamer-Thetmal System Charactersties (11.6 ' 1‘CONTENTS 11. tnput Models and Rousing Models 111.31 HAL Optimal Use of Hydropower Resourees 71.45 '. Applications of Optimization Methods /1/.60 116. System Expansion Planning 11.75 UAT, Relerenses 1-11.92 Appendix A, Unit Conversion Aa Appendix A. Unit Conversion 0A Appendix 8. Glossary Ba Appendix 8. Glossary 00 Appendix C. Physical Properties of Water and Gravitational ‘Acceleration ca Acceleration Index follows Appendix C. CONTRIBUTORS tgnecio Arango, Ph.D. Chief Soll Engineer, Bechel Corporation, 4513110, P.0. Box 3965, San Francisco, CA 94119 (chat. 3) Roger E. A. Arndt, PROD. Profesor af Hydremechanies and Direcor, Si. Anthony Falls Hydraulic Laboraory, Deparinentof Civiland Mineral Engineering, Universi of Minnesoi, Masisippi River ard Avenue SE, Minneapolis, MN S3a14 (curs. and A) John J Cassidy, Ph.D. Chief Hydraulic Engineer, Bechtel Corporation, 431311054, P.O. Bor 3945, Son Franetco, CA $4119 (cua. 3) ‘James L. Gordon, PE, Vice President, Hydro, Monenco Consultants Limited, 2045 Stanley Sheet Mentreat, Quebec, Canada H13A 2V4 (cua. 1) ‘John S. Gulliver, Ph.D, Associate Profetor St. Anihony Falls ydrelle Laboratory, De. permen: of Civil and Mineral Engineering, Univesity of Minnesota, Misissppi River at 3nd ‘Avenue SE, Minneapolis, MN SS (cwaes. 1,2, 5, and 9) ‘eck S. Mattice, PRD. Senior Project Manager, Ecological Suis Progrart, Environment Division, Elecric Research Institute, 3412 Hilview Avenue, Palo Alto, CA 91203 (chat. 8) David N.Raffe! Founder, Owner, and Chief Engineer, PROTRANS Consultant, P.O. Box 12604, Et Paco, TX 79912 (Chav. 10) David ©. Willer Engineering Consultan, 24 Norihereek Cirle, Walnut Cree, CA 94598. Formerly Vice President, Tudor Engineering Company, San Francisco, CA 94103 (Cua. 6) ludson L. Woods Planning Engineer, Harza Engineering Company, 150 South Wacker Drive, Chicago, IL 60606 (chat. 9) Welter 0. Wunderlich, PE, Civil Engineering Consultan, 3221 Essuary Drive, Knoxville, TN 37018 (cuaP. 11)PREFACE “This book was written to fil a need in the hydropower industry; a text for me- chanical, electrical, and civil engineers to develop background in the multidisc piinary field of hydropower development, and at the sume time a reference book for the many practicing hydropower engineers. Because hydropower development involves so many disciplines, this book cannot serve as an all-encompassing fan book, but will, we hope, be the frst place an engineer looks 10 find a short explanation of the particular phenomenon in question, some design and operational fuideines, and references to other, more specific publications, Thus, the Hydro- power Engineering Handbook is midway between a text and a more traditional handbook, providing interdisciplinary information that addresses a wide variety of toples, relates them to hydropower engineeting, and references other souraes of information on a given subject. Ths approach has proved most successful in a four- day short course on hydropower development we have offered over the past eight years, and we hope wil be sucessful a5 2 handbook. 'A number of Nandbooks on hydropower engineering ceased publication in the 19603 because of inexpensive oil and the subsequent decline of hydropower de- velopment, Those valuable reference books that hydropower engineers use to this day ate currently available in only a few libraries and are not accessible to most engineers, Additionally, a sigaificant amount of updating is needed and new tech- igues and instrumentation need to be described, Environmental impacts, for ex- ample, which only became a significant issue during the 1970s, today represent @ ‘major portion of any hydropower development project. The operation of hydo- power systems for maximum benefit has also changed considerably in the past twenty year with the advancements in computer technology and improvements in ‘optimization techigues. The instrumentation for plant maintenance has signifi tanlly greater eapebilties and is more difficult to Operate than thity years ago. ‘These are afew af the areas where new techniques predominate. Throughout t Handbook, each chapter incorporates newly developed procedres in the engh neering of hydropower projects. ‘The contributors were selected for their expertise in the various disciplines that, hydropower engineering comprises and helt experience in applying the discipline ‘hydropower development projects. Brief identifieation ofeach, with addresses, is given under Contributors. They, as well asthe edilors, ao eager to hear your response to the book, and questions or suggestions that you may have that can {SG in improving ths quality and applicability of the Handbook, The logic of the book follows the formal hydropower development sequence, beginning with pre- liminary investigation, equipment design and speciation, site design, environ imental impacts, and finaly plant operation. The book ean serve as a university= level text on hydropower, with numerous examples and case stuies, as well as reference text for practicing engineers. xi Ux PREFACE ACKNOWLEDGMENTS ‘We would like to thank the Legislative Commission on Minnesota Resources for their overall support of the hydropower research program that led to the Handbook "Thanks are also due to Diana Dalbotten and Donna Efltmann for editing and word procesing the manuscript under severe time constraints, and 10 V, Ramenathan, Who provided expert asistance in editing and in the collection and presentation ‘Of dita, Finally, we would like to thank each of our families for assuming a greater ‘hare of the responsibility at home during the completion of this book, John $. Guliver Roger EA. Arndt HANDBOOK HYDROPOWER ENGINEERINGEERE EERE EEE EEE Se © CHAPTER 1 : INTRODUCTION TO : HYDROPOWER ENGINEERING John 8. Gulliver “Associate Professor. University of Minnesota, Department ‘of Civil and Mineral Engineering, St. Anthony Falls ‘Hydraulic Laboratory, Minneapolis, Minnesota Roger E, A. Arndt Director and Professor, University of Minnesota, Department of Civil aud Mineral Engineering, St. Anthony ‘Falls Hydraulic Laboratory, Minneapolis, Minesora Hydropower engineering encompasses many branches of engineering and other isciplines for the purpose of hydropower development. Mechanical engineering eenived In the design, manufacture, and selection of the turbine, bearings, Nalves, gars, governors, etc,, needed t0 convert hydraulic to mechanical energy. Pieesical engineering is invoived in the design, manufacture, and selection of the Fenerators, control systems, switchgear, transformers, cic, required tO convert aerchanieal to electric energy. Civil engineering is involved in matters needed to pace the machinery in position to extract the avallable hydraulic energy, such as: Fre inyorelogy; hydraulics; Inspection and preparation; and dam, powerhouse, the conveyance fallites design and construction. The environmental impacts of Pyoroplant are sascaned and mitigates by ccolopats and civil engineers, The Sebhomlc analysis is performed by engineers, planners, developers, and others. sre inaividual plant is operated and maintained under the supervision of mechan- id electrical engineers. Finally, the schedule and planning of operation 0 reduction within a system is performed by civil engineers (for cererveir operation) and electrical engincers (for complete system operation). Al- though these entegories are not all-encompassing, and there is a substantial varie Etiowand overlap between disciplines, the variety of engincering activities which go into developing a hydropower facility is readily apparent. Tnaddivion, hydropower development is an endeavor which is not very ame- noble to standardization, making cach project an interesting engineering ehal- Tenge, ‘The engineering team must work with the conditions at a piven site to do- Valop a lydropower facility whieh is functional and economically sound, Becruse Bite unqueness of each site, a wide variety of dams, turbines, intakes, gener Stor, fishways, ete. is found at various hydroelectric facilities. At each site cr)12 CHAPTER ONE there are numerous opportunities, often requirements, for innovative applications or designs. Hydropower development engineering is thus interesting and profes- sionally rewarding, in spite of the many difficulties one can encounter in devel- ‘oping & given ste 1.1_ HISTORY Falling oF flowing water has been used to perform work for thousands of years, the particular uses varying with the social and political conditions of the times. ‘Although the Romans knew of waterwheels, these laborsaving devices were not ‘sed extensively until the fourteenth century {1]- Barly tasks included grinding rain, sawing wood, powering textile mills, and later operating manufacturing plants. Mills or factories were locsted at the hydropower sites in order to directly {uilize the available energy. The power output of these early plants, usually lim- ited te 100 or so kV (134 hp), Is compared with other power sources in Fig. 1-1 [2). By the end of the eighteenth century, there were approximately 10,000 waterwheels ia New England alone (1]- ‘Maximum output of power devices (klowatts) ‘mo so ~~—«eo0 SSCS F900 Yoor FIGURE 1.1 The maximum power output of selected power devices over the period 1700-1970 tFre-1 Chappel 1) During the nineteenth century, hydropower became a source of electrical en- ergy. Although some form of hydroclectric turbine development can be traced back as far a8 1750, Benoit Fourneyron is credited with developing the “first” modern turbine in 1833. A more extensive history of turbine development is dis- ‘cussed in Chap, 4. The first hydroelectric plant in the United States is usually documented as coming on-line September 30, 1882, in Appleion, Wisconsin. ‘There is some dispute over this, however; Merrit [3] cites the Minneapolis Brush Electric Company as beginning operation of « hydroelectric plant some 25 days 4 INTRODUCTION TO HYDROPOWER ENGINEERING 1s catlier. The generation of electricity from falling water expanded the need for larger hydroeleetcic plants because the energy did not need to be used on site. The transmission of power aver long distances became economical in the United States jn 1901 with the installation of alternating current equipment at Niagara Falls in New York State, by George Westinghouse, further expanding the potential uses of hydropower. ‘As Fig. 1.1 indieates, the power capabilites of water turbines became larger as the need grow. In the 1930s, large dams and ever-increasing turbine capacities became the norm. The power capacity of steam turbines was also increasing rap- idly, and the relative cost of electricity continued to fall. Finally, in the period 1940-1970, the cost of operating and maintaining oldes, smaller hydroelectric plants became greater than the income they could produce, and many were re i. This is seen in Fig. 1.2, where small hydropower capacity decrensed as ‘overall hydropower capacity climbed rapidly in the United States (4]. A similar trend occurred in European countries. Hydropower development in other parts bf the world was insignificant before 1930, as indicated by world hydropower pro- 110 puupen stOnAce g 0 = 8 s so § so g 8 «o @ [ane Ez Hanorowen -|30 isan 2 1680 1900 1920 1940 YEAR FIGURE 1.2 tosalled hydrotetre capacity in the_ United Stes, 1882-2000 (From Federal Energy Regularory Comins Sond) ry -eo CHAPTER ONE 1600, 1200 1000}- 800) Hydeeoner caotity (GW) 600 Pjectin —o} 00) 200) ye 36013602000 e025 F040 FIGURE_1.3 World hydropower production, Projection from 1983 Word Energy Conference. Past procucton assembled from various sree, ok: ‘320 duction (Fig. 1.3). ‘The acceleration ef worldwide hydropower development is [projected to continue, although the rate of hydropower development in Europe, the United States, and Jupan is expected to deererse, as diaevssed in the noxt 1.2_ HYDROPOWER POTENTIAL (On & worldwide basis, hydropower represents approximately one-quarter of the total electrical energy generated, Predictions to the year 2000 indicate that this fraction will remain constant, while hydroelectric energy will grow by 85 percent ‘over the 1979 generation levels [5]- According 10 Armstrong [6 there are approx imately 7200 GW (2.95 x 10° hp) of developed and potential hydropower existing in the world, The total potential is that considered developable based upon phys~ jeal, economic, and environmental consideretions. It represents 12 percent of the total energy in the world's rivers {6}. The available and developed energy and INTRODUCTION to HYDROTOWER ENGINEERING © iran coy) ® rgeetegeehy evant, mnt) | 0 foe a a |e s4soen rl sezoen rf asen San sean na ‘ie | wey | 1% a i Sop oer te tle Capes 5 = iin LAL PIGURE 14 World bydropower reteurces as determined by the World Energy Congres, 1976 rom armen (6) power (assuming a SU percent capacity factor) in 1976 is given by continent in Big. 14. The tremendous potential, planned or remaining, in Asia, Arica, and South America is apparent, amounting to half the world’s total hydropower po- tential. On the other hand, hydropower developed or under construction in Bu- fope and North America is al 65 and 47 percent of total potential, respectively. Most hydropower developed in these two continents in the future is Hikely to be pumped storage. TA 1983 study of the World Energy Conference (WEC) predicted that hydro power production would grow from 17 percent of the 2.2 million MW (2949 mil Fon tip) produced in 1976 to between 29 and 34 percent in the year 2000 and to hhetween 48 and 68 percent inthe year 2020 (Fig. 1.3). Thus hydropower capacity throughout the world is predicted 10 expand by approximately 350 percent in 44 Yeats, International Water Power anel Dam Construction [7] has recently com- pleted a world survey of hydroelectric resourees, which indicated that $49 GW (ist million hp) of hydropower hud been developed by the end of 1988. This cor- responds fairly well with the WEC projections. “An extensive effort in quantifying hydropower resources in the United States has-been undertaken recently, The Federal Energy Regulatory Commission (FERC) [4] has classified developable hydropower potential by water resources fegions, aormelly river basin, as shown in Fig, 1.5 and listed in Table 1.1. This ‘Study indiestod thet there ate 1384 sites developed with a total capacity of 63,000 WW (84,450,000 hp) or a mean of 45.7 MW (61,260 bp) per site. There are 3093, Undeveloped sites with a potential capacity of 111,000 MW (149 million hp), or @ rngan of 63 MW (71,045 hp) per site. Thus, the mean capacity of each site is notfp] wassunion Gomndoy Giova ape mes “snd duc ve sutonane fo eooRpe Kies [tuned 2p weet = padojenepun{ | podoronca fl ‘SHEMO| WOHTIN sonny a : seneges KR, EN, 4p seey BRK MRK AIA ESRI 4 RRR ORO i‘ CSI RLS ’ ORK Vy q BW) || unre ont: ccusing significantly, the reason being that, in the United States, there will probably not be an extensive development of sites that require large dams. The ational Pydroctectric Pewer Resources Sualy by the U.S. Army Corps of Ea- sincers [8] is less enthusiastic, Using economic feasibility criteria, this study ne up with 46,00 MW (61.7 milion hp) that may be developed at 1948 sites, or rea of 24 MAW (12,171 hp) per site. "The laegest hydropower facility in the world is currently the Guri Dam in Ven: ils, completed in 1986. This dam's 10,000-MW (13,404,825-hp) goncrating ca- prety isthe equivaleal of UW) large nuclear power plants. Brazil and Paraguay are fh the process ol exnstcucting i 12,600-MW (16,890,080-hp} hydroplant at the Ttaipa, and China is studying the feasibility of an even larger project at Three Gorges, In all, projections are that approximately 120,000 MW (228 million bp) of aiineleeuic capacity will bs wdded in developing countries between 1985 fund 2000, More than ball of this projected capacity increase will be in Braail, ‘China and loin [9}. The world's largest-capacity bydroclectrie plants in 1988 ure Tisted in Table 1.2 [10} TABLE 1.2 Work's Largest Capacity Hydracleetie Pants as of 1988 Height ‘bove Current lowest rated. «Year of Rank Country foundation enpacity initia otéer Name or counties (mt (MWY operation 1 Gut Venezuela 162 16,600 1968, 2 Grand Coulee usa 168 7460 92 3 fina DevalPacagusy 196 00 13 4 Sayano Shushenske USSR 288 1980 5 Krasnoyarsk USSR 1 1968, 6 LaGrande 2 Canada 8 7 Chore! Falls Canada 2 Brash Ussr ns ° Brea o ww Ussi. wo u Brea Hi Bramley Cap Usa 8 i Xinge Drea 10 1 Beason, WAC. Canada 18 18 Mica Cans 232 16 San Simco Brasil 120 16 Volvograd UssR 7 (7 Pein alton IV Brat B 18 Cabo Bassas Maange a 1 Chicwis'en x Volgi—V.. Lenin Fue oy planed or ur cease, trl 0h 1 Qhucrion ro rvonoroet rian 5 “The potential for small hydropower (< 1S-MW, oF 20,107-hp) development is more varied, depending upon government policy. ‘Small. hydropower is engineering:intensive (and managementintensive), in that vistually all the issues Of large hyéropiant are involves and nyust be deat with at & fraction ofthe cost Ofcourse, the financial sks are not as great as with lacge-capaciy plants, and so the required level of deals significantly lower. Sill, upfront costs f small hycropower, incurred before 8 decision is nade io develop the site and obtain finoneing, are sigalicant compared tothe potential benefits. Thus, government encourogement inthe form of grants, lax incentives, ans, ci, for the develop- ‘mont of small hyéropower sits is essential. Some of the couniries where small hydropower has been developed successfully over the years a listed in Table 1.3 (11} Other counties, such as the Philippines, Pakistan, Indonesia, Turkey, Fera, and the United States have instituted programs during the 1980s to encoor- age small hydropower. Infact, a World Bark survey of 100 developing countries {und that 38 have small hydropower programs. There are two other basic sources of hydropower, besides that which is ex: tracted from the world’s rivers—tidal power and wave power. Seal tidal rls provide mechanical power existed hundreds of years ago. However, the first hy- Arosleeue tidal plan was doveloped in the 1960s on the La Rance estuary ia northern France. Producing up to 240 MW (321,716 hp) of power, this tidal plant lacs a dam across 8 cove mouth to form & pond. Sibce gates open to lot water flow in during the rising tide, and then close withthe reusing tide 28 water 1 directed through a standard bydeeuurbine [9, 12) “The feasibility of tidal power depends upon the range of tide experienced and upon finding afocation where an inardinatly long dam does not need tobe bul. ‘Thus, only « handful of tidal planis have been developed since the La Rancs plant 10-MW (13,405-hp) plant (1986) and a number of smaller plans in China; En IGMW (24,129-hp) plant (1984) at an existing flood structure at Annapolis Royal in Nova’ Scotia, Canada; and s 400-KW (536-hp) plat in the Soviet Union Is). The webines at Annapolis Royal ace of interest Becouse they can Lum in both directions, hos capturing energy from both the Incoming and the outgoing vides. ‘The United Kingdom is studying the fcasbility of building a dam across the Severn estuary and generating up to 7000 MW (2,383,378 hp) of power (5 percent of the county's current elecrichy demanc) with 192 hydroturbines. Canada i tndertsking similar stady on the Bay of Fundy 9}, Both the economies and the environmental impacts of these propased projects need to be assessed carefully TABLE 1.3. Small H ants (< 10 MWY" fe Selected Counties Number ‘Average of mill Total Plant percentage (<1UMW) —copacky sizeof generating ovnry Yeor pi aww, capucity Japan we 1380 "7000 500 6 Chins 1919 8,000 5.400 3.08 6 Nonwsy, 1968 2200 France ww 2,200 300 ogo 4 Finland wis ns 380 2.00 5 Turkey ww Ho. 1 0.64 STW = 0 bp Source! “For [Iaa CHAPTER ONE, All idal power projeets are low-hestd, up to 36 ft (11m). Sines the power project develops is proportional t net head, f¥, nnd since the cost of developing the power fas been found to be spprosimated by A", the cask (costhhp) produced is ap- proximately proportional wo A"), Obviously, one must carefully plan any Tow: head hydropower project. 1.3. TYPES OF DEVELOPMENT “The broad variety of natural conditions at hydropower sites hs resulted in de- velopment af many different types of hydropower sehemes. ‘This fs a disadvan tage a far xs engincering costs are concerned, but it provides a great deal of stim ‘lus to those involved in bydropower development. Inn nunof-dheris 2 developient, » short penstock or dam disects the water through the turbines. ‘The powerhouse is offen an inicgral part of the dam, as Shown in Fig. 1.6. The natural low of the river remains relatively unaltered with the exception of oxygen content, as discussed below. A more complex develo- Rent ookuts at diversion or canal projects, where the water is diverted from the atural channel into a eanal or long penstock, as shovn in Fig, 1.7. This results in a algnificent change inthe flow of water in a given ccach of the river, sometimes for a considerable distence. ‘Storage regulation developments are defined as those in which an extensive impoundment at the power plant, or atthe reservoir upstream of the power plant, lw for regulation of the flove dovwnstreum through storage. Water is stored ‘doring high-low periods and is used to augment the low during iow-flow periods. ‘This allows for a relatively constant supply of energy over the year. Significant storage is normally only used in large base-load plants. The word “storage” is Sed for long-term impounding of water to meet the seasonai Nuctwation of water Weullabiliy, whereas the word "pandage’ refers to short-ierm storage of water, tually on » daly basis, 1o meet the diurnal variations in power demand. “Pump storage facilities ase normally large developments in which water is pumped (ron a lower reservoir during offpek hours when the cost of energy is Tow. The pumps are run in reverse as turbines during the hours of peak demand to augment the power supplied from other sources. Thus, the pumped storage facility serves the same furetion as & large battery. Its used to allow large base~ Teed fates to operate al continvous power output in cases where it iy lneconomieal to allow the power output of a large plant to uctuate, “Flat power plats have also been developed or considered. These are located in areas where thet, ave large tidal Suetwations. Low-head turbines are used to hemes the enctay in the tidal eyele, and an entice buy or estuary fs enclosed by alow dam. Tiydropower schemes can either be single:purpose, having as their only pur- pose the production of eleteciy, oF mulipurpase, having hyéropower produe- Fon ag jast one aspect of the toral utilization of the facility. Multipurpose feel tise include those in which hydropower is developed in conjunction with Itrgatfon, flood control, navigation, and water supply. Hydropower plants are tio categorized by the type of utilization, For exumple, a base-load plant is one see iieh she poseer is used to mect all oF part of a sustained and constant portion lithe clecuteal load, Energy fram these plants which is availble a all times is feforred 10 as “firm povwer.”” The nged for power varies during the day, and ower requirements over snd above the base-load requirement are met Dy pea ISTRODUCTION TO HYDROPOWER ENCINEERING ut ee nh ‘he SAO (20h Ct hypo ety a pate dnp ‘wit ihe powetiouse coniposing a orien oft dm, Net fend FF (82 mG) UPL Seeun ew ti sey wo nse i pats an pre owe) Downaen vow a he overnosand Spy. (Corey ofthe Me Aoncus Co es, Thos are plants in which the eletriel production capacity rel hati ad the wl water cnchrged through re unis cab hanged ny one ea dap Sarg fanaa he ae cp a ‘Sty for these kad Gomes since seh plans ean e stared ane Ho rapidly und economically than fossil-fuel und nuclear power plants. mee 'A nal hyaropower fcity Genes herein none whieh ess than 15| | ‘CHAPTER ONE, TOURE 1.7 ‘The Mayfeld project on he Cont River in Washington composed EXGUNE, 17 Ta May Gearon apes tnnel eg cage rks Of), och a to OAR ek stb)poweroase Gener ro, Nove nd ens as ieee ofthe ea (Cutesy of Hare Evgneer hg) MW (20,107-hp) total capacity, such as that shown in Fig. 1.8. Minthydropower Teale We lose less than 1 MW (1340 hp), and microhydropower filles ore Feae ites thon 100 kW (134 hp), Examples of mini- and microhydropewer faci ines a in Figs. 1.9 and 1.10. 4.4 COMPONENTS OF HYDROPOWER FACILITIES ‘A ypical hydropower facility consists of the following components: 1. The powerhouse structure and its foundation 2. Hiytravlie conveyance fects, which include the head race, headworks, penstock, gates and valves, and tailrace NN ; TAGURE 1.8 Tutlockiignion Discte Orop No. 1 Projets located a healt of Tustack Eseternan cad 8 Hoi rl pe OO Ae resi nes Jats watery ofthe Sell Hydropower Demonstration Progra Departmen of Ere.) om eee FIGURE 19) The Laovn, New Hampstr,minhyeroelece iy, Isle te ide ° Se gato we) Sr geo em rotons te sdncent store ina). (Coney of yg Hyrouries 13aaa cnarrt FIGURE 1.36) The Laconia, New Hampsice, mlothydroeletric fc Ty Inside the eyinder ges snonte io 1A) ote three 16DKW submers ie toe vais as Shown here, Switch gear and cons ore Inside the speent severe in [us (Courtesy of Pygt Mydrorurbines.) 3. The wrbine-generator unit, including guide vanes or wicket gates, tut raft tube, speed inereaser, generator, and speed-regulating governor 44 Station electrical equipment, which includes transformer, switch gear, eulo- matic controls, conduit, and grounding and lightning systems 5, Ventitation, fire protection, communication, and bearing cooling water equip- ment 6, Transmission line In Chap. 6, Fig. 66 illustrates some standard types of hydropower facilities ‘one of the main features of this diagram is the variety of configurations that exist ‘Fhe existence of many different types of plants allows the engineer to meet the pore requirements of given sites, This also places an additional burden on the weiner to arrive at an estimate of feasibility, since several different configures jos must be studied. nvTRODUCTION TO HYDROPOWER ENGINEERING 1s FICURE 1.10 Esstman Brook microhydroelesre lly (100 LW, aF 134 hp} in Pleo, New Hampatire,() Flow turbine snd gear box. (b) Peasiock leaing ie powerhouse, (Courtesy of ben fineluri, EGRG Idaho.) As discussed in detail in Chap. 4, the selection of the proper turbine for given site depends on the head and flow available, as well asthe use that is to be ‘made of the facility. Because there is such a broad variation in available condi- jons in the field, many different turbine configurations have been developed and we available, It is essential that a hydropower engineer understand in detail the rationale for selection of hydroturbines. The other items listed, ulthough not as central to hydropower production, are also crucial to a properly operating faciCHAPTER ONE, ‘A hydropower engincer should develop some knowledge and understanding of al hydropower facility components to assure that an economically optimized, properly integrated, and property Functioning facility is built ané maintuined. 1.5 HYDROPOVIER DEVELOPMENT SEQUENCE “There is no set pattern whieh must be followed in developing a hydropower fo lity. The following typical hydropower development sequence, however, will five an idea of where the various levels of study fit in the development process. 1, Power production sereening. Tae power production sercening uses basic Information such as the net head and flow available at the site 10 determine Mthether it is worthwhile to even consider hydropower production, Potential easibiliy is determined (rom general criteria. One example of the type of general criteria which is used for power production screcning is given as @ ‘ease study in Chap. 2. 2. Preliminary feasibility study. The preliminary feasibility study is a limited investigation utilizing existing information to develop a preliminary indica- tion of project feasibility. The basic purpose is to determine whether it Worthwhile to allocate fonds and effort for a comprehensive feasibility study fof the proposed project. 3. Review of other potential development constraints. There are many other potential constraints to hydropower development. Three examples ae: () fi Poncing may not be obtainable, (0) severe potential environmental impacts nay roatrict development, and (c) local regulatory agencies or public opinion may be against development of the site. These and other potential develop- ment constraints should be considered before proceeding with a feasibility study. 4. Permit applications, A variety of permits must be obtained before hydro- power development can proceed. In the United States, for example, itis pos- Bible to obtain a Federal Energy Regulatory Commission preliminary permit that retains the right of the permit holder to fie for an FERC license without ‘being preempted hy anather application. Tt usually takes 3 to 5 workdays 10 Complete a preliminary permit application, once a preliminary feasibity study has been completed Comprehensive feasibility study. The objective of 2 feasibility study is to propose a viable project development, to make recommendations on, devel: Gprnent strategy, and (© provide the basis for further studies required for Ti ccensing and pernits, A feasibility study will normally include: «+ Hydraulic a.d hydrologic analysis + Formulation of project development alternatives 1 Cost estimates for equipment and construction 1 Analysis of plant operation strategies + Computation of expected energy production «Analysis of energy value and markets + Benofitfeost analysis «+ Finoneia! analysis + Analysis of environmental impacts INPSQUCTION TO HYDROFOWER ENGINEERING + Analysis of socioinstitutional impacts + A strategy for project implementation 6, Application for operating permits and licenses. 17. Purchase negotiations, Negotiations with potential purchasers should begin tas soon as the project implementation decision has been made. 8, Facility design. ‘The design study often includes the review of bids for equipment from manufacturers, 9. Construction and installation. 10. Operation. ‘A sample projet implementation schedule for smal hydropower projects de- veloped by the US. Army Corps of Engager 2) fs shown in Fig ot (13) I Should be noted tha, aczording to the expendlire pattern In Fig. li, expendl- tures prior to constuction andthe purehate of equipment account for between 10 tnd 2 percent ofthe total project cost. Larger hydropower projects generally fatow the Towsr ctvey except thatthe tte ine required fe normally Beater {sometimes much greater) than 4 yens. (ocr nots | my cra may agra STS Nexans) LGURE1.11- Typical pec impgmenstion shel nd expend pattem fr esl MW) hytonove pet Prom US amy Corprof Eee 13K) ies138 ChaAPTER ONE 4.6 ADVANTAGES AND DISADVANTAGES OF HYDROPOWER DEVELOPMENT HYDROPOWER DEVELOPMENT 11 is obvious that hydropower development is renewable energy source, and that its ron jenfieant eevantage. When bydropower development joccurs at exist ‘he environmental impact is minimal or nonexistent. However, keep in mind tha significant changes can occur when an existing dam dhe is developed for power generation. For example, water that would normally Tine avers spillway. where a large amount of weration would take plies; is now Fanwoled through turbines. whére litle oF no aeration occurs. ‘The resulting sub~ reer aifference in the race of weration at a given point in the river ean have a sonic influenes an ie dissolved oxygen content of 2 considerable reach of an va certain areas, especially those near large municipalities, the environmen: tal impact can be significent siete he fuel cests of hydropower plants are negligible, their construction and capital equipment costs are ustaly Substantially grater per urit of installed Mipscity than those of thermal power plants. This can be seen as either @ Benet canichiment, The economic feasibitity of hydropower devolopment is very sor Shive to the difference between a discount rate, used to bring future income a Giutsto present value, and an assumed escalation rate, used to prediet the {ure SOA Jectrciy. ‘the discount rate is taken as the loan interest rate, which is ‘Ruully fixed. The escalation rate isan estimate, which can vaty greatly. 1h @ Pe. rae ceestating inflation, for example, a hydroelectric project which is already in place looks like « very good investment, Aiken considering hydropower developovent within « given region, itis also int to look atthe overall economies of that region. For example, it should Ihydropawer development means that # substantially larger percent sot ihe mnvesument capital can stay within a given region, since much of the UE.aipmental work ca be done by lneal engineers anc! contractors, ‘The more Sophisticated coal-fired snd nuclear power plants are designed and ull by spe aie consisuctors, which ofien mteans that large amounts of capital leave the ed cauay. in many fostances, the same is true for the umount ef capital nee. Ceeiy Tor toe! for thertal power plants, This substantil drain on the economy SE very significant. An example in the United States is the estimate that Si snescns: euch $1 spent «it out-OF stare coal is equivalent in effect on the econ Mig'te $¥ invented v thin the site. In adkion, hydropower feces require 2a shal maintenance and do nat ave the sume requirements for skilled person hel as do the more sophisticated thermal power plants ‘hots ure other advantages of hydropower, and especially of small hydro poner, Many future possibilities in small hydropower development will depend poke economie elim. There is a definite market for small turbine technology: Shout this market be developed, it can be expected that significant improve~ aan poth in operational characteristics of turbines and in reduced cost, can eae to small hydropower facilities being more cost-effective. Cost savings of TNaproximately 30 petcent have already been resized in Europe by wtiizing mod. aooroxrmurueton for small hydropower facilities. There are many other aspects Uf small hydropower that have not been explored as yet, In many eases in devel Shine nations, the smal hydropower station becomes the catalyst for the devel- SOP of small manufacturing facilities. One case in point is electrolytic men- CReuring at fertilizer [l4}. It should also be pointed out that the current sag INTRODUCTION TO HYDROPOWER ENGI miniprocessor technology hs developed to the point that itis feasible to operate {system of small Rydropowser plants on & completely automated basis, with only f traveling erew of workers needed for maintenance. In some cases, the number Samal sles tt are developable could supply the same amount of power as onc farge nocicar power plant, without the safety or security hazard normally in, Valsed with 4 arge-scele development, If the total amount of power is distributed ‘ver scveral small plants, overall reliability can inerease, since itis very unlikely that all plants would suffer an outage at the same time. “Thore ate, however, ulso several disadvantages to small hydropower develop- iment. The most obvious is the Fact that economy of scale docs not prevail. This oul in high initial cost for a relatively low installed capacity, in many cases, these plants are run-ofriver; that is, their capability for generating power Auctu- tes wildly with the seasons, and this prevents a system of small power plants from acting as an equivalent buse-lead plant. In many areas of the world, peak power is available in lte spring, whoress peak demand occurs in midsummer or Thidwinter, This mismatch of power need and availabilty can be quite scrious. ‘In addition 1o the lost economy of scale, there are ather disadvantages which relate to the heed available. For example, low-head facilities arc those in whieh fhe available head is less than approximately 66 f (20 m), Since available power Js proportional to the product of flow and head, larger amounts of flow must be 1900 [D-PRELIMIWARY FEASIBILITY ANALYEES (0-00 OEMONSTRATION PROVECTS 109} W000 AVERAGE ANNUAL O'SCHARGE (CFS! FIGURE 1.12 Feast regions ited resource inventory for the St of Mionesot. The fens rn ee eG le ye an Eye) in 19 Se Wh (tpn, which were sed To Leni fesibliy rele. (From Gite? ne Garver 15.) peeCa ‘CHAPTER ONE. O handled in order to generate u given power level at lower head. This means that the size of the machine increases, producing a disproportionate increase in the ‘cost for the amount of power developed. This problem also places a responsibil fly on the engineer for extremely careful design of inlet and outlet facilities since ihydrauli losses which would be insignificant in highes-head installations become of major concern. The problem of the relative size and head is ilustrated in Fig. 1.12, whieh is based on the results of some studies made at the St. Anthony Falls Hyeraulie Laboretory and a compilation of U.S. Department of Energy (DOE) Gemonsiration projects (15). In each case, there is a number next to the symbol in Fig, 112. This is the relaive cost, defined as the total project cost divided by the annual energy production in S/kWh (S/rph). To fix ideas, this would be the cost per kWh (npn) that would have to be received to pay off the project cost in 1 Jour, Relative cost is only an indicator of the benefifeost ratio, the calculation of Bich requires a much more complex economic analysis. On the chart, we have tree regions applicable to Minnesota, where 1981 energy prices were roughly '$0.035/k\Wh (S0.026/hph): region A, in which the relative cost is tess than 50 cents; region B, in which the relative cost is between $0 cents and $1.50; and fogion C, In whieh the relative cost is in excess of $1.50. You will notice that, as the size of the facility decreases, its rlative cost becomes very sensitive to head, ‘This is an important factor whieh must be kept in mind when considering devel ‘opment of a small, low-head hydropower fecility. 1.7 SUMMARY BJ SUMMARY ‘1 can be said that the esealation of nonrencwable energy produetion costs, which foceurred through the 1970s, has nade hydropower more attractive, The future of hydropower development depends greatly on the ability of hydropower engineers ta tind ignovatic 2 ways t© reduce fixed costs of development while providing for fh minimal environmental impact. It is the aim of this handbook to provide the background material for effectively meeting the demand for well-designed ceo: ‘nomical hydropower facili 1.8 REFERENCES 1. D, Deudney, “Rivers of Energy: The Hyéropower Potential,” Horldiwatch Puper #4, Woridwateh Insts, Washington, tune 198 2.5, R Chappel, “The Future of Hydropower," National Engineering Laboratory, EG&G Idaho, inc., April 1984. 3. Raymond H, Merctt, Creativity, Confice and Controversy: A History of the St. Paul Ditner U.S. clnny Corps of Eugineers, US. Government Printing Office, no, 006-022- 001387, Washington, 199, 4 Federal Energy Regulatory Commission, Hydroelectric Power Resources ofthe United States, Developed and Undeveloped, FERC rept. ao. FERC-0070, Janvary 1980. 4, Exxon Corp., World Energy Outlook, Execon Background Series Paper, December 180, 6. E.L. Armstrong, “The Globsl Outlook for Additional Hyéropower Use," Wecerpower (T)oDUCTION TO HYDROFOWER ENGINEERING tT? 15, Las Vegas, Mevds, Sepimber 25.27, 1. Pblhed by Amin Soi Civil Engineers, New York, 7 et See he Wat's Hyco Resort.” hurtinal Water Power and Dam Conroe “te Wes th 1 Wer Ponorand Dan Coutrcon, Us, my Comps of Biers, Natal Hyaccrie Rover Rseurces Shu 1, Executive Summary. GPO no, O08-032-GU212-0, May 1983. re CP, Shen, "Rerewibe Every: Toys Courbion, Tomorow's Poms." ‘Worldwatch Paper 81, Workdwatch Institute, Washington, 1988. 7 TW, Meee "Maar Dan f the Werd=199."Ivemainal Water Pover on Dam Construction, Hundbook "89, vol. 41, 1989. 7 . 5A. Fede, "Sal ipo Pane A New Look at Od Resour" Ere her national, vol, 17, no. 1, January 1980, eee Beers Paver Gear insite Po Ae Cs Us. army Chpsot Osan TW, Tete, Dh Mols, M. R. M. Bure, and C.K. MeKinen, Non on. ‘atc! Mattie of Chena Pesto Smal Sete Rete Production edh Sg Fr Be ci, YS Ch, Gutver nd, 1. Garver, “A Compurton of Primary end Comprehensive easly Estimates * Wareypower i: An Intemational Conference on Hyuropower ‘U.S. Army Corps of Engincers, Washington, Junc 22-25, 1981. : Jeun Enerey Technologies: Site of nglacers, "Feasibily Stules for S Seale HydropowerPRELIMINARY STUDIES: ; HYDROLOGY, HYDRAULICS, AND COSTS John S. Gulliver Associate Professor, University of Minuesote, Departinent of Civil and Mineral Engineering, St. Anthony Falls Hydraulic Laboratory, Minneapolis, Minnesota 2.1_ BACKGROUND ‘The primary purpose of a preliminary investigation in hydropower development is to determine how much power is available atthe site and how often it is avail: able. Also of interest is the magnitude of floods which will occur if spillway ca- pacity is an issue in the development (and it usually i). Flood frequency analys ‘will not be discussed here because it is well documented in 4 number of hand- ‘books und textbooks [1, 2]. This chapter addresses the four issues which are of primary importance in terms of benefits and costs: flow duration, avallable head, single-purpose operation of one reservoir, and total project costs. ‘The power output of a hydroclectric plant is given by the equation ey QUIIALE elm spt) “FTO where P = generator output in kW € = overall plant efficiency (e fraction) specific weight of water in Ibi (or Nir) low through the turbine in Ys (m/s) 1H = net head weross the turbine in ft (m) PUW) = en For power output in horsepower, the conversion is convenient. This chapter will first address the availability of flow, which een vary from near zero to a very high value at most sites. The key questions are 2a22 charni two ‘what percentage of the time a given flow will be available, and what flow will be available when the power and cnergy generated are most valuable, during peak ‘demand periods, Deiermination of the available head, ic., headwater and teil- ‘water curves, will then be discussed, followed by a short description of the use of daily and seasonal pondage to inereuse the availability of flow, and some guide: lines for preliminary cost estimates, Finally, case studies will be used to demon- strate the ase of these principles for a given hydropower site 2.2. DESCRIPTION OF WATERSHED HYDROLOGY ‘A watershed or drainage basin is the region contelbuting flow to a given location, ‘such as w prospective hydropower site On 4 stream. Any watershed is composed ‘ola wide variety of foliage, soils, geologic formations, streams, otc, and is there: Tove unique. No two watersheds are the sume, and therefore comparisons of run off from two sepurete watersheds and generalized relationships for watershed runoff are not very accurate. The dita obtained from stream gauges in the water- shed of interest should be used whenever possible. The ratio of siream runoff to precipitation within a given watershed depends upon seven factors, which are illustrated in Fig. 2.1 and discussed below, Ce} E+ evoportion nteretotan ET Fs Teaneiraton FIGURE 2.1 Processes sffectng the relsionsip between precipitation an Channel Precipitation A small portion of any precipitation event will fall directly into the channel or ‘Stream, This inymediately becomes runoff. Its grouped together with runoff from impervious areas, such as parking lots, steeets, and buildings, because this runoff ‘occurs rather quickly after precipitation, PRELININARY STUDIES: HYDOLOGY, HYDRAULICS, AND GONTS 2.3 Surface Retention Surface retention is the portion of storm precipitation which does not run off of inflate into the soi. It i retained at the surface. It, therefore, represents pre~ cipitation which does not result ja stream flow. It may be divided into three com- ponents, as follows: Interception. Interception is the precipitation stored on vegetative cover, then ‘evaporated. Interception accounts for between 10 and 20 percent of annual pro- Sipitation in a wellsdeveloped forest, The interception of crops varies greatly, however, Some approximate values for 2 Vin (2.54-cm) storm ure: Vegetation ype Coton 3 Small grains 16 Tobacco 7 Corn 3 alata 3 Meadow grass 3 ession Storage. Depression sonige Is the rainwater retuned in puddles, ‘iches, and winer depressions nthe surface. I occurs whe the ena intensity ueceds ination capacity. At the end of the storm, water field in depresion Storage Is either evaporated or Infitrated into the soil. The depression storage Exmney of most cramage basi is between 05 and 2 in (3 and em) of pre Sptaion, PA ‘specific type of depression storage which is handled separately is a blind or selferetoaed drinage basin-that i, portion ofthe drainage basin which docs at dain noth steam network bate selfenlosed, usualy wih lake, mash, Sor bog atthe center. Blind drainage basins ae sormally excluded fromm they Solopi aniyis of Hydropower site ‘Surface Detention, Surface detention is attributed to a thin film of water cover- ing the soil surface, which later evaporates or infiltrates into the soil. Since sut- face detention i relatively small, i is normally incorporated into depression stor- age. ‘Surface Runoff Surface runoff is the precipitation that moves downslope along the soll surface Un it reaches a stream or lake. It is primarily associated with flood events, al> though in larger watershed basins the effects of surface runoff enn be felt for up cou month, Inf Infiltration is the passage of water through the soil surface. It usually implies percolation, which is the movement of water through unsuturated soil. Infl- a)24 charrer 10 Soil Moisture “The precipitation whieh infiltrates into the soil will frst be wsed to replenish soil moisture. Over time, the soil moisture is taken by plant root systems and eventually transpired from plant Foliage # part of the photosynthetic process Water used to replenish soil moisture will not appear as stream flow. Soils vith t high percentage of decayed plant material Nave a large capacity t0 ror Intertiow Interllow is water which infiltrates through the soil and moves laterally in the Upper suil layers until it eemerges us surface runoff. A thin soil surfeee cov. ching cock, hacdpan, or plow bed will usually have large quantities of Faterflow. Interfiow often emerges a8 2 spring in riverbanks. It will not asvally affect flood peaks, but will increase strcam flow at w stendy rate for some Lime ater the peak. Groundwater Flow the water table (2006 the + perculatcs downward until it Sulurated ith water), it will eventually reach streams as groundwater Tow, which is the primary souree of base flow for streams. Groundwater Now infla- fences stream flow on a Seasonal, rather than a weekly, time scale. A sclvematic diagram of the segment 1 relatively dry basin is given in Fig. 2.2 (3), The shaded wea indicates the quat tity of rainfall which will eventually become stream flow. The general order in hich the various types of Now reach the stream is as follows: channel precipi- tation, surface runoff, interfow, then groundwater. ‘We have ideniified seven parameters that influence the runoff process, which depend upon folixge, soil type, geologic formation, and watershed geomor- phology. hese parameters can vary greatly within a given watershed and wi Ecrusnly vary between two distinet watersheds. It should be no surprise, there- fore, to diseover that two adjacent watersheds of similar drainage arcas have cn tively different runoff characteristics. This is the norm, rather than the exception, “ang caution should be observed when applying gauge data of one watershed to & hydropawwer sit in a distinctly separate watershed, ‘surface ewer “Time fram beginning of rinfall —e Schematie diagram of te Sexmennation of nl for an extensive storm Ini elatvey dry busin The sded wre inaates yess Is tuna From Linley, Koller ed Pus 3). 2.3 FLOW DATA Sources of Data “The accuracy of a hydrologic analysis depends greuly on the record of Streanvflow Gata for the watershed. {n many watersheds throughout the ‘wold, the streamflow data ae limited or nonexistent, and frequenly preci ation data ae not abundant either. When considering hydropawer develop mnent In such a watershed, dacharge measurements should be undertaken 46 Soon as possible because any siream-flow data will reduce uncertainty in the prediction of available flow. Techniques to measure flow are reviewed in Ferson 2] and various manuals (5 6), Discharge meusucemeats shouldbe fol lowed y the use of 2 hydrologle runoff model such a that deserbed by Erawlord and Thusia(7] and Crawford (8 0 syathesize Move dura Sebi aoa he cee tty tiga Sible range of input coefficients will also give a ¥enae of the possb predictions which wi ccsor 7 isa its potential hydropower site in eeeglon that has relatively good stream tow data over a number of years, the estimaes of availble flow ard flood is- tharge improve greatly, Inthe United States an extensive compilatun of hyde. loge data by the U.S. Geological Survey (USGS) exist that extends back to the ton ofthe Zentury. Many eeuniries throughout the world have simi streane flow éuts collection services, The value of these dato cannot be overstated. Syn- thesiaed eischarges area poor substitute. The echniques described Herel wil bs based upon dats ovallbiy sinfar to that Inthe United States. “Fypeally, a number of stagedischarge gauges ar used to report daily dix charge, in eddton to pata reord station where strom discharge reported & few tes per year. These prtal-eeord statins canbe gate hapful when Inge26 Harries Two adjustments in the flow statisties of a gauge are required to represent the flow ea a given dum site, "The ageneics often undertake a significant analysis ofthe data at cach gauge to give low-flow and peak-flow statistics as well as a Mow-duration curve. In the United States, this information is available without charge atthe local USGS Dis- trict Office. If individuals wish to undertake their own analyses of the data from given stations, e,g., flow routing through a reservoir with various hydroelectric plant operational schemes, the District Office will produce a tape of the station ‘ala or transfer the data {6 a computer via telephone connections ata reasonable Quality of Data ‘The USGS classifies the quality ofits discharge data as excellent (within #5 per- cent), good (within #10 percent), fair (within #15 percent), and poor. These types of accuracies aro common for river stage-discharge gauging stations. It is difficult to get a stuge-discharge station to be more accurate than +5 percent. In Idtion, the errors may hive a significant bias (systematic error), in that they may not be entirely random, and the moan discharge will thus have a significant trrar. Thos, to predict the average annual energy generation at » hydropower site to hetier than 5 percent Is probably not possible. ‘A hyérologie analysis for a hydropower facility also assumes thet future con- ditions may be approximately represented by what happened in the past. The risks of this assumption are inherent in any water project. For example, drainage ‘of wetlands, deforestation, etc., Can cause the drainage basin to take on charac- teristics entirely different frum ite past characteristics. There are means of testing the quality of the dist, however, for sume obvious inconsistencies. Cyelicity and Trend Engincers involved in water resources projects are well aware that sequences of ‘wet and dry years form irregular cyelical patterns. These patterns are sometimes ‘evident for same deeivles before losing their form. ‘The characteristics of wet and ‘dry yeurs in runolf and precipitation determine several design end operation cri teria. A typical design problem may be the determination of reservoir storage e pacity for given flow regime and water demand. It is also important to study cy- Elical patterns in determining the firm capacity of a hydropower station, or to praise the relatively short runoff records that one is often compelled to use design of hydraulic enginecring projects. “The causes and nature of cycles in precipitation and hydrologic data have been studied for many years. Vacious cortelations have been attempted, including sun- spot eyeles snd planctary period, without success. In the future there are also human influences to consider, such as the warming of the atmosphere due to CO ‘and other emissions. Existence of persistent trends and cyclicity may be detected ‘year running average of mean annual discharge. For the sample given in ig. 2.3, the S-year running average in 1910 is the average of the mean annual discharges for {908, 1909, 1810, 1911, and 1912. Calculation of the value for 1911 includes 1913 and deaps 1908. One immediate question is whether the long, dry period from 1920 to 1940 fs an event which accurs once & century of once & C (2m9q wean Jo 22/94) 3ouvHDSIO a7 ory 1820) vee 1909 YEAR FIGURE 23 Cycles variations in ranof for Selected rivers in Minnesot,28 CHarreR Two a TABLE 21 Comparison of Average Runoff fr 20-Year, 30-Year, and 40-Year Periods with the Mean Anmun! Renoft for 76 Yeats of Record at Two USOS Stage-Dischange Gauges Deviation from the mean (%) Petiod ‘Mississippi River ‘Red River ofthe North of eeore att Paul ‘at Fargo T1950 =187 “19 1924-1980 -662 “0.4 1931-1950 719 =183 1941-1960 +195 4152 aan +133 =184 ‘+04 millenium. If once a century, it probably should be included in the hydrologic analysis. Usually, itis included. “The next question is what length of flow record is required for a hydrologic ‘analysis. To answer this, the two curves in Fig. 2.3 have been broken down into Five 20-year averages, one 30-year average, and one 40.year average, as shown in “Table 2.1. Ht is apparent that none of the 20-year periods gives an accurate dis- charge estimate. The period fram 1931 to 1960 gives a relatively low error of 4.5 percent for the Red River of the North, but a large error of ~15 percent for the Mississippi River at St. Paul, The 40-ycar period from 1931 to 1970 is satisfactory for both records. For most sites, between 30 and 50 years of record is required 10 avuid eyclicity problems. Finally, what if you so not have the 40 or more years of records required? The 5-year running average of at Toast two gauges with w long record should be plot tod. The drainage area of one gouge should be similar to that of the site, These two records can be used to adjust the shorter record of the gauge to be used for the site. For example, if a record from 1950 to 1970 is aveilable near the Red River of the North at Fargo, those data are probably 15.3 percent too high, on average. Thus, all flows from the 1951-1970 record can be adjusted, i.e, reduced by 153 percent. Mixed Population of Data “The flow choracteristies of a watershed can be grealy altered by human activities Such as construction of fow-regulating reservoirs, harvesting of lumber, forest fires, and urbanization, This can result in a mixed population of discharge data, meaning that the charaeteristies of the watershed, and therefore the data, have Change inc Tis changes vr iia dete esau of ogc runoff cycies. A latge change would be indicated by 2 break in the running: ‘average discharge which is not explained by weather. One means of finding such {break would be by comparison with the running average of a nearby gauge on a Separate watershed. Sometimes 8 discontinuity in the (rend of the data is more easily discerned from a double-mass curve, which is a plot of cumulative flow versus cumulative years PRELIMINARY STUDIES: HYDROLOGY, HYDRAULICS. AND COSTS 20 2.4 AVAILABLE HexD “The gross available head is an important parameter in hydropower feasibility and design. The power produced with a given turbine discharge increases linearly ‘with head, In addition, the cost of equipment decreases roughly with head to the 10.35 power, os shown in See. 2.7. The power produced per dollar of construction cost is therefore proportional to H'**. It is for this reason that accurate calcula- tion of headwater and tailwater curves ean be very important at low-head hydropower sites. These calculations are complicated by the fact that both head- water and tailwater elevation increase with discharge, and not at the same rate, Headwater Curve Headwater elevation versus spillway discharge is a relatively simple comparison because w weir-type equation relates head above the spillway crest with the flow ‘over the spillway, as follows: Q = CgILIE or H = Be] 22) pce, where Q = discharge over spillway C = discharge coefficient g = acceleration of gravity L = length of spillway perpendicular to flow H = height of headwater level above spillway crest ‘The value of C depends upon spillway type and shape, and may be found from hydraulic reference books such as Brater and King (9} or Bradley [10]. Note that Eq. 2.2 is for discharge over the spillway, rather than river dis charge. Reservoir headwater elevation is normally kept at spillway crest cleva~ tion when all the river discharge is passed through the hydroturbines, When river discharge exceeds maximum turbine discharge, Eq. 2.2 is applied to the excess Flow, which passes over the spillway. Tallwater Curve Developing a curve for tailwater elevation versus river discharge can be the souree of a great deal of field work. There are a few means of developing a tailwater curve for # given site; in descending order of accuracy and reliability, these are: + Develop the curve from existing data taken by dam operators or available from another source. These data are usually available at s U.S. Army Corps of En- sineers lock and dam, for example. + Use data from previous hydropower operation, + Develop the curve from the computed backwater curve, ic., HEC 2, developed by the Flydrologie Engineering Center (HEC), U.S. Atmy Comps of Engineers, Davis, California, An extensive survey of downstream reach for river cross2.10 ‘carrer two sections is required. If Nood-plain insurance study fas been performed on the Touch, the cross-sections! data are probably availahle, + Assume uniform flow st one downstream cross section and use Manning's equation (ara similue open-channel low equation) for rack-, gravel, and earih- bed streams (11, 12]. This is « very poor last choice because it is rare that the flow is approximately uniform in streams and channels, Regardless of which method is used, itis good to check the tsilwater curve with at least one hard-dta point if time and money permit. This ean be done by Surveying tniwater elevation and taking a cross section of velocities at one point in the stream, The velocity measurements may then be used to determine river discharge on that day. If there is a stage-discharge gauge nearby, the flow at that juge may be adjusted to give river flow at the site, 2.5 _FLOW-DURATION CURVES General Description ‘A flow-duration curve gives the percentage of time a given flow has been equaled 6 exceeded for the period of record, A daily flow-duration curve, such as the example in Fig. 2.4, developed by ranking all the daily flow data of record ac- Cording to discharge, regardless of the sequence in which they wccucred. The per~ centage of the daily Now data equal 10 oF greater than a given flow measurement, termed the “percentage exceedance,” is calculacd. This flow measurement is then plotted versus the corresponding percentage exceedance, as in Fig. 2.4 Baily Tavw-duration curves are recommended over monthly flow-duration curves (using mean monthly flow), since they can be significantly different. Use of the Flow-Duration Curve “The following illustrasion demonstrates vse af the Now-duration curve in Fig. 2.4 for energy and power calculations of a strict run-of-river hydropower facility. + Lot us assume that we are sizing our turbines to run ful! 20 porcent of the time. “The varbine design discharge is then found by raking the intercept of the 20 per- Gent encvedance ordinate and the flow duration eurve, and moving xcrass it~ Fzontally tothe river discharge abscissa at 7100 ffs (200 ms). This is the river discharge which is equaled or exceeded 20 percent of the time, and will be our turbine design discharge. + Now assume that we will receive a capacity credit for all power available 80 percent ofthe time. For & strict run-of-river plant, this may be computed from the river Now available (equaled or exceeded) 80 percent of the time, or 2000 1's (37 m0¥s) from Fig. 24 ‘The average annual power and energy produced by the hydoclectric plant is found by constructing a power-duration curve. The power produced ut cuch river discharge on the flow-duration curve is p, = 200: Hi = TE is) = ‘10s Hy 1000 (ris) en PRELIMINARY STUDIES: HYDROLOGY. HYDKAULIGS. AND COSTS 2.11 40, Flow duration curve Power duration curve Generator outoot MW Fiver tischorge in 1000 FF%%e * 0.0283 m/s é 8 T I rae. a a 9h of time river discharges exceeded FIGURE 24 Flow duration curve al St, Cloud Dam. (From Kaowlon er ak 17) {generator power production (KW or hp) river and turbine discharge mt fexeeedance percentage i. e ~ oversil plant efficiency (Fraction) with turbine discharge at Q, G, = turbine ‘discharge (t's or ms) at percentage exceedance (Qan, Qsoy.n-). Turbine discharge equals river discharge except when river discharge execeds maximum turbine discharge or other constraints fon turbine discharge are encountered. 1H, = bot head (for m) available with river flow at percentage exceedance i Since both efficiency and net head vary with wurbine and river discharge, re- spectively, the powerdurution curve may not be computed directly from the flow-duration curve, The power-duration curve in Fig, 2.4 was developed (rom the flow-duration curve, from net head occurring at a given flow, and from cfti- Giency information for the turbines considered. The area under the power- duration curve will give the average annual energy production. The calculations fean be made on a form such as that given in Table 2.2, which interpolates be ‘ween 21 points on the power-duration curve with linear segments a2]alelalelelalel E- DPAELININARY STUDIES: HYDROLOGY, HYDRAULICS, AND COSTS 2.13, BBAE we] 8 a s| zt Q slelele Ir the flow diss Sidh at certain portions of the year (such as the peak 2/8 (2|8 (8 |e yt mand persed) i ef importance, monthly flow-duralion curves can provide value “sla able information, The monthly flow-duration curves may also be valuable to per- alalele lle p 2/s]2 (81s es sonnel [rom cegulatory agencies who may have a larger in-stream flow «|g ‘eileen in tering and cary summer than inthe fell and winter. A monthly olgle(s lala Ls flow-duration curve is compiled with the flow data from a given month of the FFE I ls year, over all the years of record, Thus, a given station would have 12 monthly z le iS fow-duration curves. Figure 2.5 shows a summary of the flow-duration curves at 8/8 /3/8|3|2 4 prospective hydropower site. The summary was compiled by taking 5 points off at tle Se ete Be )2i2 1318 es “8 PURIEIR|E 18 yp 80,000. > > ma Ed Yo exceedonce flow 2/B S88 Roy ora | ~ S: Son ay | RERER RS f ©: 90% }e00 g n Z =)8 @ =100% FP leleieisRiay8 a o¢ elgg RleLEd = eRe BIRR $3 /sigieleee el 000; ra Sot Poe z a \slglzjgle|é aE. g 100 a FREE = 2 dy | alelzfelelge] <8 & 80g es SIE? is] se 7 oF : giellz lel ee i 2 = (EBERLE § coo” wi | alg fele(a]8 4 38 2 $e =\a/2| $8 ook, . s = z a}? 3 . B #)8 13 |B 8/8 at °3 Byes) = [eae lele 4 £2 at SHEE ye) 88 3 = {B/E {|B a 28 5 ~ ER IEE LY 42 po be eae ota ks Oe 5 © /8iszlals|"\s) 32 FIGURE 2.5 Summary of monthly Now dusition curves at St. Cloud Dim. iG SPIRE aa {rom Knowtion sta WI} o38 ele Gt £38 = a = S38] 2 |g|E e a bS2) Fleas rare “Although the flow-ducation curve is 4 valuable tool for estimating available 3 8S de 25] 2t/z]2/slelZ[Ele| fs flow at a Hydropower site it cannot be used to evaluate a peaking operation with 2 geR Lele lEle le | S15) 2nore than | day's resorvetr storage. Daily peoking, however, is esi {iat the fw draion cures as Gemonsteted bal i Dally Peaking Op Let us assume that a prospective hydroelectric plant will operate with z relatively simple daily peaking operation, with a fixed number of on-peak and off-peak hours each dy, The goal of hydroclectric plant operation isto have as much flow available for generation as possible during on-peak hours, in order to maximize income, (The energy is usually much more valuable during on-peak hovrs.) A Haw-duration curve (similur to that in Fig, 2.4) and the sequence of calculations shown below may be used to estimate the on- and off-peak turbine discharge at teach percentage exceedance level. Notation Qu = river discharge design discharge of turbine units turbine discharge during on-peak hovrs turbine discharge during off-peak hours oon-peak hiday off-peak hiday = 24 ~ tp reservoir volume available for peaking operation ‘nininum steeam flow (set by regulatory agency) ‘inigvum turbine discharge design net head of turbine units = available net he Cuteutation Sequence for Daily Peaking Operation 1, Set peak turbine discharge 10 util 10 all available reservoir storage ¥ Open = On + BGO 2. Qyess Sbviously, cannot be greater than the maximum turbine discharge, If res > Ov VHF, the Qyexe = QoV HID sre: This equation assumes that the twebine discharge responds as an orifice to variations in net head. This is usually x good assumption as fong as net head ‘dues not vary more shan = 25 percent from design net head. 43, The reservoir must refill during the off-peak period. Thus, if t(Qpese ~ Qn) < toplQn ~ Onin) then Open * “E1Ou ~ Onial + Oe s rine discharge: 24 On ~ fQpee 4, Determine off-peak discharge. If 5, Off-peak discharge cannot be greater than the maximum tui Qep > OpVHilfp then Qoy = Qo VHF 6. There can be no peaking operation if river flow is below minimum stream flow. If Qe < Onin then Qpeix = Orin» 2M Qop = Qnsin +7, The turbines cannot operate below @ given minimum discharge. If Qop < Qiniar BEM Oop * O orit pear < Qnine the Oey = O ‘The solution to this last constraint may be varied, based upon the turbines chosen, the fow-duration curve of the site, and the respective values of peak znd off-peak energy. 7 ‘Rs an exerelse, assume that atthe site with the flow-duration curye given in Fig. 24, the available reservoir storage is 90 mitlion ft (2.5 million m"), the min« asian stream Mow is 1000 (Js (4 m'78), and the daily on-peak period is a total of Ghours. Four turbines with a total design discharge of 10,000 ft/s (284 m/s) and t single unit minimum discharge of 1000 fs (28 m'ls) have been selected to mateh the minimum stream flow. We wil ignore variations in net head on the first pass of the calculations. The flaw-duration curve in Fig. 2.4 may then be used 10 Sevelop two additional flow-duration curves, corresponding to peak and off-peak cacrgy generation, 15 given in Fig. 2.6. A separate power-duration curve may be Constructed from each of these flow-duration curves, and used to compute ever: fe annwal on- and off-peak encrgy generation. “There is one major exception to the use of the flow-duration curve to extract oily om: and off-peak energy generation. The contract eventually signed for the Sale of power and energy (or the schedule used) may be more complex than our imple on. and off-peak energy values. The marginal cost of eleericty for a ull. Hy can vary greatly through any given day. Ifthe purchase price of energy pro Uaced by the hydsdelectee plant is tied £0 8 marginal cost, for example, the sim- ple on-, off pak calculations given above are an approximation, A more detailed Gperational analysis with daily flow routing and a past history of energy values fay be more accurate, This entails significantly more effort, and is briefly ée- seribed in Sec. 2.6. Development of @ Flow-Duration Curve “Although a flow-duration curve is usually available for the stage-discharge goug- ing stations in 2 regio, is unusual for one of these gauges to be located pre2.16 arian ime bad T T T © soo x0 £ é 8 £ 4 eco = : } lo Wass H00 of tm ver crorgeis exceeds FIGURE 26 Flow duration curve for St. Cloud Dam, inching daily peaking example cisely at the hydropower site of interest. There is, however, often a gauge located ‘onthe seme river or 8 downstream river with a drainage arca (DA) containing the Site's watershed. The data from one or more gauges may then be adjusted to tep- fesent that of the site. The avthor's preference is the simple relationship which fadjosts the gauge Movi-duration curve in order to represent flow duration at the site Con = [tgs oes! eo lly varies between 0.6 and 1.2. The value of n chosen depends tipon the applicetion and the data available, Some guidelines are as follows: 1, Ifthe DA site is within 20 percent of the DA gauge (0.8 s DA of site + DA of {gauge 1.2), use n= 1. The estimated discharge atthe site will probably be ‘ithin 10 percent of the actual discharge, which is normally sufficient. oO, 2. tthe DA site is w 50 percent of the DA gauge, consider whether the date fof two gauges can o8 combined. In addition, when a weighted average be- {ween upstream and downstream geges is possible, the following linear inter polation may be applied: (DAyugs = DAsdyugs + DAs = PAwaaene 6 5 DAgiget ~ DAguger “The daily flow data from the two gauges should be used to compile 2 new set of deily flow date for the site, A flow-duration curve is compiled fram the new flow data, For this case, comparing watersheds may be helpful because Qyj, may be ‘off by 30 percent. The existence of selfenclosed drainage arcas in either the te oF the gauged watershed must be considered because they usually will hot edd to either peak flow or base Now. If there is ¢ partial-discharge station near the site, it can give an indication of the proper value of n. The ratio of partial discharge to geuge discharge on the same day versus gauge discharge is plotted. The average of these values may be used to estimate n 3. Ifthe DA site is only within 80 percent of the DA gage, the recommendation is to do everything listed above, if possible, in addition, when discharge versus DA is plotted for all gauges in the watershed basin, e.g., Figs. 2.7 and 2.8, a value Sf m may be indicated by these data. Then one may ask whether the “drainage ares is relatively wet or dry. a DORANAGE AREA (0.6L) FIGURE 2.7. Average annusl diacharge versus drinage aren for USGS sugedischarge fwyget in the ypper and m-Msssipp! River asin, Mionests, (1s 0.0283 ss 1 Bio aiSe ton) tFrom Gulliver and Garver 23}fests excecbance OIseuance (CF ORAWAGE, AREA 159. MLY FIGURE 28 Sire dlschaege which is equaled or exceeded 8S percent ofthe ti Aianage aveu for USGS stage schcge gouge in the upper and mideMissisipp River be inns Minnesoue (1108 © 0283 es) 2000 = 900 wer wear: 972 ‘8900 Oey YEAR: 377 000} oiscunace ters) 2000] a CT PERCENT OF TE FLOW IS EXCEEDED 1000 FIGURE 2.9 Flow duration cure for the wettest and dest {eg of rego tthe Keil River Dam. (11075 = 0.0283 m' Bitheam Gullver Kaowlton, and Garver 8p) 2.18 ‘Another possibilty is to compare watersheds in more detail, ic, the porcentage of lakes (more lakes indicate greater base flow), and near: Surface geological formations (sand, gravel, and sandy loam, and sandstone Formations will transmit groundwater and increase base flow; clay, granite, and sandy elay will not appreciably transinit groundwater and will decrease base Now} Just as there are long-term cycles in average annual flow, the disc! the first year of operation will probably not be that of the flow-duration curve. Figuce 29 gives the wettest and driest years of an Ll-year record, which it dieates what may be expected in the first year. This information is important ina finaneiat analysis of cash flow, because the project developer must have sufficient funds (or an insurange policy) 10 cover the potential negative cash flow in 2 dry year. 2.6 OPERATIONAL ANALYSIS OF HYDROPOWER FACILITY. If the hydroelectric plant has the use of considerable reservoir storage or if the income generated by peaking is highly variable, the anticipated energy produc- tion and income are best estimated with an operational analysis which uses daily flow information fn its true time sequence. For multipurpose reservoirs which ‘may have a flood control, iftigation, oF navigation function, operational analysis cen be 3 complex problem, as described in Chap. 11. Ifthe reservoir is not multi- purpose, the problem may be solved with a relatively simple computer program uhveh uses a given period of record and an operational scheme to route sifeam flow into and out of the reservoir, and to compute energy generation and ex- pected income on a daily basis. This may be achieved in the following steps: 1. Obtain one or more representative periods of record remember that itis im portant to chyose one period of record which represents the mean. 2, Develop an operational pracedure for the hydroelectric plant, including a min- jmom flow release, the allowable Dux in pool elevation, and the daily peaking procedure. A simple peaking procedure might be that described in See. 2.5. 4. Route daily flows through the reservoir and hydroelectric plant to determine peaking cepability, energy generation, income, etc. The routing routine will Ireep trick of the volume of water, as follows: Reservoir Power Reservoir storage oo production, inflow Hl through from water + eneray Feom flow ‘operational jon surface perational “generation, elevation vr ‘and income ‘The wrimum operational procedure depends upon the constraints and objec tives, and can be quite elusive. LF the objective function constraints are relatively ‘complex, an optimal control algorithm [13] is suggested. (This is also discussed in Chap. 11.) Hydroclectric plant operations aver 2 sequence of single periods arc ‘optimized individually, to maximize the benefit (or income) B from hydropower ‘operation during that period plus the future value of the stored water, FY. ‘The cy220 cuarren two HH fire Vive ofthe stored water isthe sum of 8 + FY for the neaTtime period. “Thus al singe periods are nk. The inflow to she reservaie must be predicted, and of course, the storage volume of the reservolt i ined. The solutfon finds the operational plan (releases) that niximizes benefit for a given set of the fare ‘alu of stored water divided by volume storage ferme, then ierats the tet of {itu vale terms ual global optimum benefit i found For multiple reservoirs, successive linear programming may Be used, in which the objective ie to maximize the value of generated electielty plus the Arater left in Storage atthe end ofthe planning period. The objective funtton Tor total benef ts assumed to be plecowise-inear, and an optimum soltion isfound. Then s new lincerized approximation fs developed atthe most recent Solution, and'nn optimum fe again found unt the final operational procedure iacmeved in developing an operational procedure, one may also want to consier the stochastic nature of the flows. is useful vemember that the furre not ab tact replica ofthe past Unceriany in the forecasts most be taken into account, One means of achieving this would be fo generate » number of flow forecast ach with a given probably of eceurencs; and to optinize an operational ros: tine hat considers the freceste and their probaly. (Agua, this sdscussed in Chap. 1, in more deta.) 2.7_ METHODOLOGY FOR COST ESTIMATES Preliminary investigations typically involve a total-project cost estimate. The purpose of this section is to provide guidelines for equipment and total-project ost estimates at the preliminary level “The tolal-project cost estimate is based upon the concept developed by Gordon and Penman (14) and Gordon [15] and modified by Gulliver and Dotan (15) which incorporates a single equation for equipment cost, site factor for the total project cost, and a weighting factor to represent the possible range of site factors. The equation for total equipment cost which was developed has been up- dated to July 1987 by the Producer Price Index for machinery and equipment, and is given below: Cr = 10,600 :WW#A7g ~ O21 = 16,100 KWH Rl) (2.6) where Cy = equipment cos in U.S. dollars as of July 1987 kW = total plant capacity in kW (1 KW = 1.361 hp) Hig eated bead int (=) Equation 2.6 results in satisfactory equipment cost estimates (= 20 percent) fora plant capacity range from 50 (© 40,000 KW (67 to 5364 hp) and a hydraulic bead range from 12 380 fe (4 to 100 m). "works (construction) costs are. en important, undefined variable in hydropower development because the costs are very site-specific. An estimate of the cost of hydropower project, therefor, requires prior knowledge of the ci works costs assoriated with the site. To give consistency 10 these estimates, Gordon and Penman imtrocuced the concept ofa site factor, which isthe total project cost divided by the total equipment cost for a hydropower project. If a PRELIMINARY SRJDIES: HYDROLOGY, HYDRAULICS, AND COSTS 2.21 site (actor fora given site has been estimated, total equipment cost from Eq. 2.6 may be multiplied by site factor to deicrmine total project cost ‘Gulliver and Dotan [16] redefined the site factor concept to incorporate only the component casts which sre present in all hydropower projects, such as head eo, herdwarks, powerhouse, fil works, tara, engineering cost, and Man fgenient costs. It does not include the cost of a penstock, diversion works, dams, spilways, transmission lines, and remotc-access fecililes—factors which, can realy escalate project cost, but are not present in maay hydropower projects fand should be determined separately. Cost curves and cost-related information {or these specific items are given in Chaps. 6 and 7. ‘The newly defined site factor for various projects is plotted against design capacity in Fig. 2.10. These data were used 10 formulate the following observations: + A site factor of 1.5 adequately represents situations ia which a new unit is ided to an existing powerhouse without extensive modification + An existing powerhouse which requires some major repairs will ypleally hove aa sie fuctor between 1.5 and 2.0. + Site fictors for locations with no existing powerhouse fall between the two en- velupe curves given in Fig. 2.10. The lower envclope curve has @ constant value af 2.0, The upper envelope curve has a constant value of 3.0f pant ca- pacity is greater than $ MW (6702 hp). If plant capacity is less than 5 MW, the ‘upper envelope curve is given hy the equation SF 9.8 kw en where SF = site factor KW = plant caps (of lle units) in KW (1 RW © 1.341 bp) oT fe ‘anew rowennouse Leonoon & pews 1979) so (condone 1388) SeieVine Fomennouse 51TE FACTOR (5.6. 30) 1 vrren envetore cunve fo, Se oS Le © outs guystove oP aeo ef sant pe exis rine so wemnouse £00 i oa Sonathe'as 7800 3908-5800 7ad0_ 3065 10,000 1,000 PLANT CAPACITY 18 KW FIGURE 210 Site fact for varus bydropewerpasjces vecus plan eapuclly und assoeated fivelape curves ean Gar and Daven 1622 charter 1wo [Except in extreme cases, the site factor fora new powerhouse should be be tnecen the upper and lower envelope curves. A choice of the precise site factor Value between the envelape curves requires knowledge of the site and enginesr- Jag judgment. The method described above, however, provides a foundation for such decisions. In order to further facilitate the incorporation of civil works and other costs into total project costs, a weighting factor was established as a replacement for site factor, The weighting factor is the fractional distance between the up- per and lower envelope curves. A weighting factor of 1.0 wil give a site factor Bh the upper envelope curve. A weighting factor of 0.0 will give a site factor ‘equal 10.2.0, whieh is the lower envelope curve. Site factor is then given by the following two equations SF = 2.0 + WE, kW > 5000 08) SF = 2.0 + WE(98 KW" ~ 2.0), KW < 5000 e9) where WF = weighting factor for site, (1 KW = 1.341 hp.) rhe weighting factor can bo assigned to a proposed site by comparison with completed projects, reparatess of the plant capacity, Thus, a project with a seldhting (Rotor of 0.8 will have a site factor of 3.4 for a 10D0-KW (1341-hp) Praeet fad a site factor of 4.5 for a 1OOKW (134.1+hp) project. Use of 2 Prolgnting factor has been found to give a more consistent and relisble esti hate of sal project cust than choosing a site factor for projects below 5 MW (6702 bp). Following are wo exomples which illustrate how weighting factors may be e+ ned. 1, The Onwell Dam on the Oxtertail River in Minnesota is owned by the U.S. Army Corps of Engineers. ‘The average annul Mow is 305 £7 (8.7 ms), with gross fren of 33 ft {10 m). The dam isa rolled carth-fil type with structural height of 47 Tk (U4 m), side slopes 1:3, and a top width of 20 (6 re). {The eoasttuetion of the powerhouse will, therefore, include a relatively high ccofferdam upstream of the dim, concreie walls for the headraee, cutting throwgh the earth en:bankment which will involve extensive excavation, and & elaueely ong tailrace-—all this for approximately 1-MAW (1304-hp) eapacity ‘hil the abovermentioned fuetors result ina weighting-factor estimate of 0.9 2. Lock sad Dam No. 2 00 the wpper Mississippi River is a navigational dam bowned by the U.S, Amy Corps of Engineers, The average annual ow is {0.100 fs (0031 ms), witha pross head of 12 ft .7 m). The dam consists of BW'ainer gates, 2 100telong Q0.Smviong) fxed-rest spillway, a main lock, fnd'a riverard lock whieh is no longer in use. The Corps of Engineers has Fndiemed that a powerhouse may be located in the riverward loek, the fixed: crest splay, of both. Tn this particular case, there is no need to build a headrace or tsilrace; the existing foundations and pussibly walls can be used, and a cofferdam may not bie required upstream. With these reductions in civil works, the estimated ‘weighting ctor is 0.0, IRELIMINARY STUDIES: HYDROLOGY, HYDRAULICS. AND CUTS 224 I is important to emphasize that the project costestimating method described herein was developed for preliminary assessments, to be used whon a first ap- proximation of the cost is required. 2.8 CASE STUDIES Lock and Dam No. § (Upper Mis: pt River) “The hydrologic and hydraulic analysis is probably simplest on navigational locks and dams, such as those operated by the U.S. Army Corps of Engineers, We found thi to be true for Lock and Dam No, $ on the upper Mississippi River. All the locks have an operational plan which includes @ headwater curve, In addition, tailwater clovation is recorded every day by lock operators. This information was correlated ‘vith dally mean stream flow to give the talwater elevation curve shown in Fig, 2.11, ‘Only a fow elevations were plotted for periods when the low was relatively steady, slthough the daily observations extend back to 1934. Note that a =1-ft (203m) ‘arlation in tilwater discharge was common at the lower discharges, 661 660 689 658} oor 686 655 654 653 ee TAILWATER ELEVATION (1 651 sob rr a RIVER DISCHARGE |000 CFS FIGURE 2.11 Taihwoter elevation curve for Lack and Dam No. 5. wpper Missi sipph River. (1 = 0.308 my UP = 0.0289 ms.) ‘The site is located between two U.S. Geological Survey stage-discharge ‘gauges. Because the drainage area of the downstream gauge is very close to that Skike ste, only one guuge was used, and it was adjusted for drainage arca to give a flow-duration curve. The liek and dam is @ Jow-head structure very similar to Lack end Dam No. 2, deseriied in Sec. 2.7. The weighting factor was chosen a3 0.0 and the site fc: or was 2.0, An installed capacity of € MW (10,724 hp) could be achieved at an224 cuaeren two esti, “30 total project cost of $32 milion, The site has been de. “uped recently even with the high cost (S400KV4W, or $2984Mhp) because the plant could run at fall output most ofthe time, St. Cloud Dem The St, Cloud Dam an the Mississippi River is shown in Fig. 2.12. tis composed of un unregulated overflow spillway and a small earth embankment. Average an- ‘nual Mow a the site fs approximately 4970 {t's (141 m/s), and hydraulic head is about 17 (5.2m). A previous hydroelectric plant was removed in 1969 when & new dam was constructed. apsoone0 POWERHOUSE, LOCATION Plan of Mississippi River at St. Cloud Dam, (1 ai nguE 305m.) (Prom Koon “The drainage area of the site is 13,200 mi (93,792 km?) and the nearest gauging station a1 Royalion (upstream) has a drainage arca of 11,600 mi"(29,696 km"). ‘This gauge would account for 87 percent of the site's drainage area, and probably would give a fairly accurate representation of the flow when sealed up according {6 drainage area, The Sauk River, which enters the Mississippi River just above tho site, Hs also gauged, however, accounting for x 925-mi? (2368-kmn) drainage fares, For this reason, the U.S. Geological Survey was asked to combine the daily flows of the two gauges and transfer the information to our computer. The fol- lowing equation was then used to estimate discharge at the site [1 (Qroprion + Osun adDA site DA Royalton + DA Sauk R ae ® PRELIMINARY STUDIES: HYDROLOGY, HYDRAULIGS.AND COSTS 228 “This daly Now itor. “ion was used to develop a flow-dration curve and 12 only flow-duration curves, The combines gauges accounted for 9 porcent ot the sites drainage area, ‘A tilater curve, given in Fig. 2.13, was prepared by operators ofthe prev- ous hydrocloctse pont There were no developments Sawatreutn whicn would invalidate that curve, and so t was used diecly. In addlton, field eurveye ind cuted thatthe curve i sullicently securate The heedwaler curve assumed flow over an OG crest where Onrtoy = CB'LHP? land C = 0.68 for this shape of crest (9). om oo 5 © 1% 2 2 30 35 40 Discharge in 1000 #4375 FIGURE 2.12. Twwater elevation curve forthe St, Cloud Dam. (1 f= 0.305 m5 1 $07 58 DORE ms) (From Knosion ef a (17) The carth embankment could be excavated for « hydropower facility. An up stream coflerdam could be avoided; however, fairly substantial walls would be fequited for the intake region. A weighting factor of 0.2 was chosen. Since the site is greater than $ MW (6702 hp) the site factor was 2.2. The city of St. Cloud has recently installed two .2-MW (5830-hp) pit turbines into a new powerhouse. Kettle River Oam The Kettle River Dam is located on the Kettle River, State-designated Wid snd Scenic River with approximately 20.ft (6m) head ‘and an average annval dis charge of 722 10% 20.4 mils). The dam has an abandoned, partially destroyed powerhouse which will, nevertheless, reduce construction costs (Fig. 2.14). A USS. Geological Survey’stage-discherge gauge is conveniently located 900 ft (214 1) downstream from the dum, and therefore no adjustment to the gauge flow: duration curve was required [18].228 cuiarre 160 FIGUREDIN Site po forthe Kete River Di, Fron Culver, Knomlon, and Garver 8.) ‘The damn has a main spillway and an overflow spillway at elevations 956.3 f (291.5 i) and 958.5 Mt (298.6 mn), respectively. Therefore, the headwater curve is sven by Orpnny = Ce ™LWHH = ELyP? + Cag!® LAH ~ BLP where C, and C, = discharge coefficients EL, and EL, = spillway crest elevations Ly and Ly © lengths of the ovo spillways “The main spillway has on unusual shape, but discharge coefficients for @ similar ‘shape were found in Brster and King (9]- The overflow spillway is a broad: crested werr “The stage-discharge relationship at the U.S. Geological Survey gauge was used us a talwater curve. Manning's equation was used 10 incorporate the change fn elevation between the poswerhouse and the gauge. Uniform flow was nor a5 sumed by this procedure, Tt was decided instead that Manning's equation be yscd to estimate the fric= tional head loss over 900 ft (274 m) of river. At 3000 {C/s (914 m/s), only 2 in (5 ‘co in clevation was added 10 the U.S. Geological Survey curve to develop a twilwater curve, Even though there is an existing, partially destroyed powerhouse, the project, has a relatively small potential capacity of between 300 and 1100 kW (402 and 1475 hp. ‘Any change to an existing structure can be expensive relative 10 equipment costs his ize range Therefore, weighting factor of 0.0 was chosen for the She. The site has not been developed cven though the development cust was 1 tively low (SIS0RW, oF SI342/hp, as of 1981) because the region currently has fn oversupply of power. PRELISINARY STUDIES: 11) BROLOGY, HYDHAUAS, AND Casts 2.27 Granite Falls Dam on the Minnesota River ‘The city of Granite Falls is municipal utility with its own distribution system, nceting its demand peaking of approximately 6000 kW (S046 hp) through a h droslectee facility und outside supplies The hydropower plant (Fig. 2.15} consisted of twa vertical Francis turbines, supplying a cotal of 450 KW (603 fp}, Average annual flow is approximately 704 FIs @14 m'P), with the river being typical of an arid region, Lc., having large gods and law base core aus eae HOURE 2.15 Plan view of Grose Falls One, (Lt = 0.405 In = 2.5 em, tArom Gate eof 191) All preceding information, including the existing turbine ratings, indieated that the net head available at the ste is upproximately 21 £¢ (6.4 m), Ina field survey i was found that the lashboard clevation iy} f (0.3 m) below the value given in previous design plane, and that ihe noni tailwater elevation is 2f (0.6 m) above the previously assumed value, This is a loss of 3 ft (0.9 m) or 15 percent in the net head available at the site (19) 'A flooé insurance study has been performed previously forthe river reach, so the eross-sectional data were obtained and HEC 2 (a standardized computer pro gram far water surface profiles in natural channels developed by the Hydrologic Engincering Center in Davis, Calif.) wos cun for the downstream reach to give & tuilater curve (Fig. 2.16}. It was found thats + Tailwater elevation is controlled predominantly by the spillway erest of the Minnesota Falls Dam, 4 mi (6.4 km) downstream. + fnormal Now had occurred ia the reach, there would be no difference bewee the tailwater curves with and without Mashboards at Minnesota Falls. + Normal flow calculations would not have been accurate,228 caren Two Geer ere reer reece oul y setae ! | eng a "ce 3800 yy Oe 00 FIGURE 2.16. Tuite elevition verus iver disearge for the Granite Fas Dams {lf = 0.308 m1 0 = 0283 ms) UFrOm Gk era. [19]. ) «+ A field survey indicated thatthe (ailwater curve is sufficiently accurate at ows trea 400 £078 (11 m5). Subsequent to this study, the city of Grunite Falls decided to expand the fa- cility by adding n 710-KW (952-hp) fxed-blade, fixed-vane propeller turbine. This Svas supplied with an automatic on/off controb and automatic throuting of the two ‘nisting units. The three units will be automatically controlled by computer soft- ‘wate designed to share peak demand as much as possible, given the reservoir vol fume available ane demand load characteristics [19]. Lenesbaro Dam “The Lanesboro Dam en the south branch of the Root River in Minnesota in- ‘ed n 250-4W (235-hp)hydopenwer faiity (shown in Fig. 2.17), which was Sperated unl 1978, Flow-duration information was developed as part of a fest bhity study on whether to rehabilitate, replace, or abandon the existing equip: iment [20] The dainage area of the Lanesboro Dum is 297 mi? (477.8 km), The only xe whieh incl his basin has a a of 1270 mi? (3251 kav) and a sige ase rutin of U.23. There are, however, a partialdiseharge station al the Seven discharge measurements, an 3djtcent basin with yery similar ATainage characterise, and gnuge atthe confluence with a 615i (1574-kar] iainage area. The ratio of disharges between the two adjacent basins on the 7 dys of measurement were computed and plotted on Fig. 2.18, with an average fatio of O61 This was (ct to ben very good coreeation because there was very ‘ite \ 2 FIGURE 2.17 Overal plen ofthe Lanesboro Dam and hydropower fully. (From Culver, Gate, ant Renal (20) ae 3B or EE os as 5 oo, #00 300 orsewance (ers) ar Caneseone eis ae % EXCEEDANCE FIGURE 218 Ratio of wcharge at the Lanesboro Dam aod als USOS grege ing adjacent bain on cys of cued fr the pata guging station athe dm he (I fefs = 0.0283 ms.) Fram Gulliver, Gake, it Rene (20) litle seatter in the discharge ratios and because the data cover a wide range of texecedanee levels on the flow-duration curve. "A floweduration curve from the 615-mi? (1574-km?) gauge was reduced by the 0.61 factor to give the curve expected at the Lanesboro Dam, shown in Fig, 2.19. When compared with the 1270-mi? (3251-km) gauge, these flow caleslations inFLow-oURATION CURVE LANESBORG, OAM, a “ANESBORO OA 600 500 400 300 piscHance (7.3/1 200 100 PEE EeeH CPE eeee eee eee o 20 40 60 80 100 OF TIME DISCHARGE 1S EQUALLED OR EXCEEDED FIGURE 2,19 Flowsdurstion curve for the Lanesboro Dam. { fis = D033 mils) (From Gulliver, Gu, and Renaud (20) dicate an n exponent of 0.82. 1c turned out that the existing equipment was sized ‘Out right for the flow at the site. This equipment was rehabilitated and brought back on fine in 1986. Rapidan Dam The Rapidan Dam on the Llue Eerth River near Mankato, Minaeaota, has 60 {1 (18.2'm) of head and has eseontly been retrofitted with a S-MW (6702-hp) hydropower fadlity. Early negotiations with the power purchaser and regula tiny agencies involved a rather simple breakdown of peak and off-peak energy generation: Peak 6 hiday during weekdays Off-peak 18 hiday during weekdays Off-peak 24 -hiday during weekends or strict run-ob-river “The reservoir has 2 days of peaking capacity, and so sufficient reservoir storage for duly peaking was not a problem. The sequence outlined in Sec. 2.5 was used to adapt the flow-duration curve given in Fig, 2.20 into three flow-duration furves, representing the three operation modes given above. The Minnesota De- purunent of Natural Resources (DNR) set a minimum stresm Mow of 100175 (2.8 Ii}, corresponding to the 70 percent exceedunce level, below which no energy would be generaicd duc to minimums turbine discharge. ‘The preliminary analysis epresenicd by Fig. 2.20 indicates that maximum turbine discharge would be {vailable 43 pereent of the time for peaking. 1800 ‘200 net, gi00° Ba00 trace 3 600 ro avaaie ovine i St een s00 200 a ° eae SCC enceat cxcecomnee ssaUNe 220, Podaraion re fr isin pl oe a Ps = 0.0268 ms) pd {in the design and Heensing phase of the project the power-purchasing utility offered to buy the power and enorgy at Its marginal rates, which vary greatly throughout any given day. The flow-duration curve method was no longer effec- tive for estimating income, and the design firm chose a daily operational analysis Siovlar to that of See. 2.6 for a single-purpose reservoir. ‘The operational analysis twas undertaken on daily Mow data from an average water-year, « typical dry water-yeur, and a typical wet water-year.eae cuatro, _-maquoddy Tidel Power Project C ‘The extremely high tides in the Bay of Fundy have for many years been the subject of preliminary hydropower studies. One of these sivdies, on the Passamaquoddy Bay in the mid-1950s, wes performed at the St. Anthony Falls Hydraulic Laboratory [21], with a proposed project of 345-MW (462,466-hp) potential capacity. The general region of the project is given in Fig. 2.21, with FICUKE 2.21. Acen map of Bay of Fundy showing location of proposed international Passamaquoddly Tal Power Proje. (From Stub 21h) an enlarged map in Fig. 2.22. The concept, illustrated in Fig. 2.23, was to build tidal bacriers which would segment the Passamaquaddy Bay into two pools. During high tide, filling gates would be opened to increase the elevation ‘Of the upper pol. During low tide, emptying gates would be opened to de. ‘crease the clevation of the lower pool. ‘The powerhouse generating units would operate continuously, passing Now from the upper to the lower pool, with gross ticad varying from approximately 9 (2.7 m) to 14 (4.3 m) during aan intermedinic tidal eycle of 18 f1 (5.5m). For the intermediate tidal eycle given in Fig. 2.23, the upper pool would be filling from 4 to 6 a.m. and from 4:00 to 6:0 p.m. The lower pool would be draining from 9 a.m, to noon and from 9:30 p.m. to 1:00 a.m. The power output would vary from 120 to 300 MW (160,858 10 402,145 isp). The gates were sited to maximize the ratio of enerey production (more gates resvit in a greater head differential) over construction ‘costs. For the large tidal barriers involved, the low head (and resulting high cost of power) restricted the feasibility of the project PRELIBHINARY STUDIES: HYDROLOGY, HYDRAULICS, AND COSTY 2.39, FIGURE 2.22. Enlarged map of project aren corresponding to squatedoff portion in Fig, 2.23 Pian invalves Pussimuqueddy Bay =5 upp paol ane Cobsenox Diy ss tower pos, with Ol powerhouse operated by flow between the two pools, Projected embankment buries ace lad Este by balufuce bats. {From Sina 21) Hydropower Potential at Existing Minnesota Dams ‘The project costestimating methodology given in Sec. 2.7 was uid to faci tate 8 survey of the hydropower potential at existing Minnesota dams (22). The survey provided an excellent bass for testing and verifying the costestimating technique, and willbe presented as a case study. “The survey was conducted in thece steps, withthe third step utilizing the cast: estimating methodology. The study began with o first-stage sereening of the 853 Minnesota dam sites listed by the U.S. Army Corps of Engineers, and developed 2 rule-of-thumb chart from previous experience with three feasibility region, given in Fig. 1.12 and discussed briefly in Chap. 1. The feasibility chan was de- Signed to eliminate poor sites from consideration. Region A indicates sites with 00d feasibility, region B incicates marginal feasibility, and region C indicates oor feasibility. The feasibility regions are developed from the ieletive cost of brevious projects [23], which are the numbers given next to each point in Fig, 112, Relative cost is the total project cost divided by the average annual energy production, and may be conceptually described a the value of energy which ‘would pay off the project in 1 year. The feasibility regions are applicable tothe energy prices in Minnesota (approximately 3.5 censkWh, or 2.6 censhhp, 18 ofElev in Ft, (datum met) Generator output in movzand of hw 2 4 6 w « 68 2 4 Ma Noon Mn Time inovrs E 2.23 Typical tls eycle st Passomaguodsy Bay or intermediate tides of 18- sige. Chart sao sows corresponding ool soricevarition i the projected devel: ‘opment, se well st generar outpu{Fram Staub 21)) 1962), Existing data on heads were wsed at cach site, The result ofthe first-stage rerooning was thal 55 sites could be classified in region A, 53 sites in region By dnd the emainder in region C. Hydropower facilities were already in operation ai 19 ofthe sites. These were not eliminated, however, because estimating the po- {ential inerease fn eapucty at existing hydroelectric plants was also an objective, ne secund portion ofthe survey, which i herein entitled the “second-stage scrcening,” coteentrated on improving the accuracy of the data on the 108 sites in regious A and . Attempts to contact oll the dam owners were made, and formation such as plans of the dam site and hesdwater and talwatcr elevations was requested, USGS histories! records of stream discharge were used to est inate the How atthe site. the dam site and a discharge gauge were located on the same sitcom, 2 simple drainnge-ren relationship was eaed to adjust pivge dita, Fony-two of the dam sites were visited in order (0 compile information which was no otherwise available. Th site visis proved tobe eral vo the Sur wey sinee in many cases the acl nel head measured in the field was signifi arty smaller than that un record, and in extreme eases it as found that Some daine no longer existed. Photographs ofthe dam sites were ven for use in a fist fssessment of proposed hydrotlectric plant locations or when the sits had en: ising powerhouse for use in plonning addtional turbines. AMler second.stage Sereening, the nuinber of sites Mad been reduced to 40 with good hydropower fou Siptty sind 28 with marginal hydropower feast Tie tied step of the survey utilized the project cost-estimating methodology described above ina prefeaibility analysis of the 65 remaining sites. A computer program was developed on an IBM PC to standardize the prefeasbiity studies, Input data incladed & flor-duraton eurves headwater and tallwater curves; Val ues for energy and capacity; information on any existing and operating hydeo- clecine plant; and information on the proposed hydroelectric plant, such as overall efficiency and 1 weighting factor. “The program starts a 100 percent exceedance, assumes that the plant is de signed 10 operate with a wrbine design discharge equal io that exceedanes flow, omputes the necessary beneTiveost parametsrs, and then decreases the design percentage exceedance by 5 percent, repeating the computations. ‘The project ost eatimate varies withthe design cxpacity of the plant, which is obtained by Using the constant weighting factor and the envelope curves ofthe site factor as described previously. ‘The program locates the design percentage exceedance with an optimum economic return, and designates the corresponding design ci pacity, annual energy generation, pioject cos, project beneis, ete. A sensitiv iy analysis is then performed by the program to determine the sensitivity of the benefiveost ratio to the choice of weighting factor. “The seonomile feasibility erteia chosen were those typical of a municipality, with no energy-value escalttion rate at 2 pereent below the discount rate. Oper tion, miintenance, and replacement costs were taken from Ref. 4, and escalated a ihe energy-value escalation rate. The hydroelectric plant capacity was chosen So as to maximize not discounted benefit ater 35 years of operation, correspond: ingio the capacity at which the incremental Benefiveust ratio i equa to 1.0. criterion is believed to be most representative of public development. Program output inch feasibility parameters forthe proposed hydroelectric plant, such as turbine discharge, plant capacity, annual energy production, equip- nent cos, total project cost, cost of operation and maintenance, and the benefit fost ratie ‘ter 38 years of Operation. The program then made qualitative feasi bitty conclusions dased upon the computed benefiveost ratio and the results of the Sensitivity analysis ‘One interesting Observeton inthe survey is thet, at most sites, there is rl. atively wide range of power capacities over which the economic indicators did fot change greatly. Thos iis difficult to determine whether a given site has 2.5- MW (3sI-Np) or 5:-MW (6702-np) potential capacity, for example. Benefiveost tail and internal rate of retura could be determined more accurately than the power potential of the sit, This is because the plant factor (mean power output tivided by maximum power output) goes down as the power capacity goes up, and the design point moves down in percentage exceedance. The design percent ge excoedance aso varies with head, typically at 70 to 80 percent fora 12 (3.7- tn) net head und 10 0-20 pereem for a net heud greater than 40 fk (12m). This ssimes a stfctrun-ofriver operation and the economic criteria of a typical mur nieipality. ‘Phe hydropower fensibilty wus estimated to be positive for 25 ofthe sites, with 35-year Boneliveost ratios ranging from 2.43 t0 1,01. The total potential ca pocity of these sits is estimated to be 147 MW (197,651 hp, wth an annual en Ergy generation of $21 GWh (698 milion kph). The total inital cost 10 develop these sis fs approximately $227 million (using 1982 as the base year). ‘Nine aditinal sites aid aot exhibit positive ecunomie returns Dut could have done $0, within the aeeuracy of the celeultions as determined inthe sensitivity fnulysis, The total potential eapseity of these sites fs estimated t0 be 19 MW {05,469 bp), with an ama! energy generation wf 6 GWir (80 milion kph) and a total ints development cost of 328 million (using 1982 a8 the base year). The Tbeations of the 35.sites ate shown in Fig. 224 ‘The tenmaning 31 sites were found (© heve poor economic feasibility. This finding wis primarily due to the conservative nature of the iwo-sep sereeningFIGURE 2.24, Location of existing Mianeson dam sites with hydropower rect in ond by pee sees Clete atone ponoe Fyuropeeer fern: ngs mete ha hydrops Css Was nat {sive bt could uve Been within the aareey af he eleulaons, (From iver et Dotan [61 process, designed to eliminate obviously poor sites from consideration without liminating sites with any possible potential. In addition, 9 of the 16 sites with existing hydrostectric plants are in this group, indicating that an increase in ca- pacity is Aol justified at this time, The existing capacity of these sites was not Incorporated into the screening process but was inthe prefeasibility analysis. Fi- ily, 9 sites had a very pour distribution of flow throughout the year (because of long dry seasons). The duration of flow was also not incorporated into the screen- ing process, only the average annual flow. It is thus reasonable that almost half the Sites remaining after the sereening process were found to have poor hydro: power Feasibility 2.9 REFERENCES 1. Viessaan, Je. J. W. Kapp, GL. Lewis, ane J drole, Harper aod Rossy New York, 197. Harbaugh, imiroduetion co Hy u. 2, B. 4 a 2. . L. Gake, R, Garver J. S. Gulliver, sed R, Renaud, “Feasbi urea of Recam¢US. Deparment of the interior, Design of Sel Dams, Go rnmentPeiming Orie, Weahinglon, 196. BLK Linsey, Jr. M. A. Kohler, and J. L, #. Pau, Hydrology for Eniners Merawih New York, 12 1. R Ivetson, Micro Hydropower Sourcebook, National Rul lecie Cooperative ‘soca nirnsvol Foendation, Washington, 186 . Bureay of Reclamation, U.S. Department ef the Interior, Water Meesurement Manual, Government Printing Office, Washington, 1967. i. R. W, Carter and J, Davigio, “General Procedure of Gaging Streams,” in Water Re sguces Iestgatons, US. Galop Seve, bok 3, hap. AS, Washington,DC. I IN. H. Crawford and S. M. Thun, “Hydrologic Estimates for Small Hydroelectric Projects," Small Decentralized Hydropower Program, National Rural Electric Cooper- ative Association, Washington, September 1981. IN. H. Crawlord, “Hydrologic Computations at 9 Small Hydro Site.” in J. J. Fite ‘Small ond Mini Hydropower Systems, McGraw-Hill, New York, chap. 3, 1986. E, F. Beater and H.W. King, Hendbook of Hydraulics, McGraw-Hill, New York, 176. J. N, Beadley, “Discharge Cocticents for Iregular Overall Spltwoys," Bureau of Reclamation, U.S. Deporiment of the Interior, Engineering Monograph No. 9, Morch 1982. Y¥.T. Chow, Open Channel Hydraulics, McGraw-Hill, New York, 1959, H.G. Baines J, "Roughness Characteristics of Natural Channels,” U.S. Geologial Servey, Watee-Supply Paper No, 1849, 1957 1.€, Grysier and J, R. Stednger, “Algorithas for Optimizing Hydropower System Op cations Water Resourcer Research, vol. 21, no. Ts January 1385. J. L Gordon ond A. C, Penman, “Quick Estimating Techniques for Small Hydro Pos teniil,” International Werer Power and Dam Construction, September 1978. 1. L, Gordon, “Small Hydro Seis Can Yield Competitive Energy,” Energy Interna orat, vol. (4, August 1978 1, S. Gulliver and A. Doten, "Cost Estimates for Hydropower at Existing Dams, ournel of Energy Engineering, vel. 110, 00. 3, September 1985 R. J. Knowlton, R. J. Garver, J.S. Gulliver, and R. Renaud, “Hydropower Feasibility st the St. Clood Dam," St. Aathony Falls Hydrauite Laboratory, Project Report No. 204, University af Minnesota, Minneapolis, 1981 4,5. Gulliver, R. 4. Knowiton, and R. J, Garver, “Hydropower Feasibility atthe Kettle River Dams" St, Anthony Falls Hydraulic Loboratory, Project Report Ne, 200, Uni versity of Minnesota, Minneapolis, 198) iy of Hydropower Car pocity Addiilons a the Granite Falls Dam,” St. Anthony Falls Hydraulic Laboratory, Broject Report No. 203, University of Minnesota, Minneapolis, 981. 4, S. Guliver, L. Gake, and R. Renaud, “Feasibility of Hydropower Rehabilitation at the Lanesboro Bam," St. Anthony Fails Hydraulic Laboratory, Projec! Report No. 219, University of Minnesota, Minnespolis, 1582 L. ©. Straub, “Preliminary investigation of Embankment Design Construction and Giosure for Proposed International Passamaquoddy Tidal Power Project,” St. Anthony Fells Hydraulie Laboratory, University of Minnesota, Minncapols, 1958 A. Dotan and J, S. Gulliver, "Hydropower Potential at Existing Dams inthe Stat of Minaesote." Si. Anthony Fas Hycraulie Laboratory, Project Report No, 23, Univer sity of Minnesota, Minneapolis, une 1983.238 CuarreR Two 28. J, S. Gulliver and R. J, Garver, “A Comparison of Preliminary end Comprehensive Feasibliy Estimotes,* Waterpower ‘Bi: An International Conference on Hydropower, U.S. Arany Corps f Engineers, Washington, June 22-25, 1981, )CUAPTER 3 SMALL DAM DESIGN Ignacio Arango Chief Soil Engineer, Bechtel Corporation, San Francisco, California John J. Cassidy Chief ibedewulic Engineer, Bechtel Corporation, San Francisco, California 3.1_ TYPES OF DAMS tne most general sense a dain may be defined asa barter bul across 2 water course for impounding water. This dfinition implies na restitions upon the pur pose, materi used, or sizeof the barir, Ths, sls and weirs coud also be fDvered under the general umbrells provided by the word “dam,” In practice, fewover, dams are considered barir structures, more complex than sis and weirs, and they requir for thee design, construction, operation, and taint- tance the concerted effort of + number of technical diciptines, a8 seussed in thchapter Dam ca be casi acording to their purpose, the typeof material uted in ster constuction, and thee geometry. Dana but for power production, wa. ter supply, food and river conto, pumped storage, fignon, reeeaton, ond isdusta vaste dispose purposes. They may be conceived for permanent ong: ‘ern fe, or temporary operation Regarding constuction materials, dume may be classified es embankment, sony and rabble, conerte, and roller compacted cnerete (RCC) dams: Det Intione for these dims have een provided by the U.S. Commitee of Large Sane aslo Embankoment dems: Any dam constructed of excavated materials or of indus trial waste materials Masonry andl rubble dams: Any dam constructed mainly of sione, brick, ot concrete blocks jointed with mortar (masonry) or unshiped and uncoursed stones (rubble) Crib dams: A dam built up of boxes, cribs, cross timbers, or gal with earth or rock Concrete dams: Dams built of reinforced andlor uni 38 filled Jnforced concrete aa32 CHARI Hane ACC dams: ams built with a conerete of no-slump consistency that is com: pacted with vibratory collers Further variations within the above broad classifications are presented in Table Fe sfieh is based on tne definitions ofthe Technical Dictionary on Dams (1) Gided sections of typical dams are presented in Figs. 3.1 through 3.10. “Siucaification of dams based on height has been arbitrarily proposed by the neeuational Commission on Large Dams by defining a large dam as 1 ubove 45 f (15 m) high (measured from the lowest portion of the gen Lad tral Foundation area to the crest), oF 2, Simm between 4 and 43 fc (10 and 15 m) high which complies with at least ne wf the following: eee erest length is not Yess chan 1500 f¢ (500 m) ao yal the reservoir i not less than 3.3 milion © (ail t=) oe he aetimarn flood discharge is not less than 70,000 f'/s (2000 ms) 4G. The dann has specially difficult foundation problems fe The dam is oF unusual design In this chapter, dams which are 45 (15 m) high or less will be considered to be sual! dame: However, since the design principles for both small and Rage dams ere practically the same, eximples of both types of dams wil! Be Heated’ throughout. Regardless of purpose or type, a dam may conten rreee elements, such as powerhouses, spillways, diversion features, intake ay thet works, gates and valves, fish ladders, log chutes, navigation locks, and iee booms, “rhs chapter deals with small dams, thats, earth, gravel, nd rockfill embank ino duane, conerete dams; and roller-compacted dams. Masonry, hydraulic, and Migs dams are pot treatee here. Discussions are primarily directed to the re: aA structare sel and not to other elements listed in the paragraph above. Readers in need of information related to subjects not treated in this chapter are feferted to the extensive bibliography provided. gown jo wed weoiide sqruip sepaieg Y— wep Yze-sidaInAy ‘wep ssoaning poniro sessaning Jo sane © K tunjd uy paasno wep ssoining y 40 WED ssBz1IN9 Y>IY ae twp 2099 20 wep uasingaay 39 wEp gets Ht pews Aiyensn get ed westsde 243 waa] BIER TonannaeeD KE sweG Jo WAAR VETTELsaees aie Cte) 0 0 pany wong) 2H wg SHIN CCAD says we1g}-opsoyeD "weg Hong TEANNL Se roez & Gravel aston 8 | i o © soatec oe sree Omenicnsia meters FIGURE MA Gepatsch Dam, Av SMALL DAN DESIGN 39 asa etn som Sanat Pega MIGURE 3.5. Kairm Kumskoe Hyurauile Fil Dam, Soviet Utior. (From delensier end Kolpstuikor (224) yh ried secnig eas tags tom ach Tolop datoge nance Sripaeicastanen ‘psan matodconancion Sutcoquan pero ‘Undine Cenaties mato consvecien FIGURE 3.6 Upstren, downstreim, and centerine lings das. (From Fine BayFIGURE 3.7. Old Aswan misency dam, Egypt trom Zaki 23.) the study of the sype of dam best sulted 10 alternative dam site locations. Gootechnsical considerations strongly influence the latter decision. Questions re- Taed to the characteristics of the foundation and its required treatment, embank- ment volume, practicality of construction of embankment and appurtenant struc- ures, and availability of construction materials need to be answered. These questions eanant be resolved without adequate geotechnical information, ‘the objectives of the geotechnical investigations are, therefore, «To charueterize the distribution and the enginering properties (strength, com- pressibility, and permeability) of the soils and rocks which comprise the dam Foundation and the abutments at alternative sites, and + To study the extent and characteristics of available construction materials for embankments and for concrete For small dams, the scope and the cost ofthe geotechnical investigations vary from site to site, depending on the complexity of the geology and on the variabil ity of the soil and rock foundations. They also depend on whether the project is in the feasibility, design, ot construction stage. During the feasibility stage, geotechnical investigations must be underiaken at each site to the extent that is {felons ot soa uty ec Topat can Moninyn salen and ok FIGURE 3.8 Hngry Horse Dam. (From Drois and Sorensen (24.) necessary to permit a fair comparison of the costs of different types of dams on Ghemnative sites, Once this phase is completed, and the type and location of the dam and of the appurtenant structures are defined, more detailed geotechnical {information is obtained in order to proceed withthe design ofthe facilities. As the project evolves from the design to the construction stages, more and more ¢e-CHAPTER THREE £12660 C Sound rook crow extn [Porm ‘Typical section FIGURE 39 Gori Dim, Caroni River, Venezvels. (From Davis end Sorensen [24)) tailed geotechnical information is required regarding delicate or troublesome as- pects of the soils and rocks at the site ‘Souree of Information area should be col- and Landsat pho- As at tected it ogeaphs. itil step, available information concerning the si ding topographic, geologic, and soil maps and ac ‘epographie Maps. & search should be made for those maps covering the areas arate rbservolh the dam ste andthe potetal Borrow areas. The leaton and ae jon of exploratory holes, trenches, and pits and signifieant physical fes- Fores org Groat Maxarum cose section of the dam Rock lounsaton @ npr pay naks ceavor era auaile ‘ower spay nak Park laaee ane am teundeion ‘Gallery in cam sacton View of dam looking downsieam o HIGURESI0 Middle Fork RCC Dom, Colored, U.S.A. (rom Exxon (25) res, such as rock outerops, landslides, or roads, trails, ct., ean be placed on the lap. The topography oF the storage basin is used to determine the reservoir storage volume available below various levels and the presence of any saddles ‘long the perimeter of the reservoir, The topography of the dam site ean be used to estimate amount of excavation and embankment materials and to lay out the ‘dam, appurtenant structures, and access roads. Geologic Maps. Geotogic maps are prepared for the region where the project is Joeated and for the dam site proper. The information and the detail provided by cach are different, Several types of goologic maps are available. Maps showing a plan view of the bedrock in the area is a bedrock geologic map. Generally such maps depict visible boundaries of rock formations and undifferentiated overburden. Sweficial geofogic maps differentiate the overburden according to its origin, such as stream alluvium and glacial or wind deposits. Structural geologic ‘and tectonic maps indicate the location and characteristics of geologic feulls and,ae char generally speaking, of lineaments which can be recognized from physical feawures Soci as alfset of beds and dikes; presence of gouge, or zones of badly fractured Tock; or topographic features, such as linear trenches or sag valleys, offset align- tment of rivers, and vegetation. Related to siruetural geology iy the issue of the seismic uctivity within the re- ion, Catalogs of historie seismicity should be compiled for the tegion for later Study and correlation with structural geologic and tectonic maps. Other Mops, Useful information can also be derived from maps and documents ‘on mincral resources and agricultural soil maps which ure prepared by vatious public agencies. “ir Photos, These include fow-altitude vertical and oblique photos; low-sun, fow-altitude photos; and the sophisticated family of satelite imegery which, with tpproprate filtering snd data manipulation, can provide surprisingly varied and deaied information. Photos are primarily used to identify surficial features: to- ography, drainage and erosion patterns, vegciative cover, landslides, linea. Frente, joint sysicms, and fault zones. In some cases, however, experienced in- dividvals are able to interpret surficial features reliably to predict deep ‘underground conditions such as the presence of Karstic formattons. Exploration Methods Following the study of the information provided by maps and photos, a program of field exploratory work (including testing) can be prepared. This program Should consist of a detailed field reconnaissance and mapping by engineers and igoologists, and the exeeution of subsurface explorations, and soil and rock sam Sling including boreholes, test pits, trenches, adits, geophysical surveys, in situ foil and cock permeability, and strength testing. vduger borings performed by hand can successfully be performed for shallow. depth investigations where disturbed samples are satisfactory (for example, for borrow area investigations) and where the presence of groundwater or of the Thuximum particle size of the materials is adequately handled by the size of the cquipmencused, Under favorable circumstances, depths of about 18 ft (6 m) can be tenched by this method, which ean be extended to over 45 0 60 ft (15 to 20 m) ita tipod is available. Machine-dviven augers vary between about 4 and 16 in (10 1nd 4) em) in diameter (Nclical) to over 3 ft (Lm) (¢isk and bucket). ‘augers can be used for boring the hole and for retsieving disturbed soil sem ples, Soi! sampling (Shelby, California, and others) and testing (standard pene- ration tests) are done within the borchole at desired frequency. Usually Gorchotes are drilled without the addition of water, but if the soil formations on hand are sandy, or water is desired for testing purposes, casing of the hole is usu- ally required in order to prevent the collapse of the walls. ‘rotary drilling equipment is manufactured in a variety of types from light- weight and highly mobile, to heavy, stationary units, and with capacity and a Theliments capable of drilling holes in soils and rocks from less than 0.8 in (2 om) toore than 3 fc(1 m} in diameter. Depths of several hundred meters can often be reached. Undisturbed soil samples and rock cores can be retrieved from the borsholes. At the same time, the borings can be used for permeability testing (Lugcon, Packer tests), density tests (standard penetration), modulus of defor- imation teste (Menard pressure test), etc. Open test pits and trenches aro of great use for visval observation of stratigraphy, for performing tasts, and for recovery of samples. Water and soil Suibilty conditions permitting, these methods are highly recommended for dam foundation investigations and geotogic fault studies, and are, in fact, a very ex- Pedons method of sampling an observation in deposts contin graves and “Adlts have wo advantages: they permit the visual inspection of the subsurface soils aud rock, and, if requiced, they allow the performance of a variety of in situ tests. The walls, floor, and roof of the adits can be mapped and photographed, tnd the direetion af seams, discontinuities, and rock jointing observed. Adits are specially useful in the investigation of the soll and rock conditions along the abutments of a dam. Adits with minimum dimensions of about 6 fe (2 m) by 4.5 {1 (1.5 m) can be excavated very economically with unsophisticated equipment, Geophyseal Surveys. ‘These investigations ate used to supplement and extend aetion obi from Dorngse trenches, and ats, Veloetes eorelated wir known suatigrhy ean be used to delineate the hickness of overburden, one of rock weathering, unstable slopes, snd variations in geweral Sragreph tends, Geopipaieal surveys provide an fovaluable means of ob: ining data from wah tic low-sitain compression and shear elastic modal tt soils and rocks can be ealevated. Geophysical programs may inelude sur face refittion (ior compression or shosr wave veloctes), crosthole, down- tnd uphole surveys electri resistivity, y-y logging, gravity surveys, borehole Togging; magactle surveys; ce ‘Field Tests. In many eases, where properly done, field tests provide the best ‘means to obtain highly reliable information oa in situ soil and rock properties, either because a larger mass of material is involved in the field determination for because of difficulties in obtaining good samples for laboratory testing. ‘Typiesl examples include permeability tests (in pits or boreholes), deforma. an eas ee he ests In sity donsiy of andy and gravel soi, and test Laboratory Tests. The procedures for rack, soil, and aggregate testing are well developed. Equipment and procedures, well standardized by internationally rec- ‘ognized associations, are available which provide means to identify and charac- Je the strength, compressinility, permeability, durability, and in general the macy of matcrinis encountered in nature for use in the construction of em- Tpankment ond concrew dams, aid the study of the foundation materials at pro- posed dam sites. The Role of the Geotechnical Engineer ‘The various tools 2 lable for the exploration of dam and reservoir sites have bbcen summarized in the preceding section. It is important that in the work related to-8 particular project, these tools be judiciously used in number, location, and type. s0 that # complete and accurate characterization of the materials is ob- tained, This ean only be done by geotechnical engineers experienced in the design and construction of dams who, in collaboration with knowledgeable engi- aeerng geologists, ean stope mn execute a smtactory goatee invesas Cuan Tu: ce os 8c ne ofthe varity of subsurface conditions and the mater“(_ iat may en- 0D ter in the construction of dams, the design of every new dam can’ for individu SMaed treatment. There are, However, certain “musts” that the geotechnical in; *retgatons should address For reference purposes, Table 3.2 provides a unified area vee amportant issues that must be addrested by the geotechnical investiga: ey ois 8 : 2 tions. iby b Hid] lek g29 3 ff Py ige ees 22 3 a | iE 3.3 SELECTION OF DAM TYPE ake 4h 8 : 8g 8 gua 23 a8b 3 Po 252 33 7 7 a = 'As far as technical feasibility i concerned, often more than one type of dam is est ds of «| (82 2 Adequate for a selected dam site location. The final selection, then, is either “ie 2 € g ee e BaSad"on economic considerations, on preferences of the designer or owner, bet da ade a] |5 § 5 Srion the decision of a consulting board. Following isa lst of factors which 28sy 23 3 a| ($8 4, Shedam designer must consider in selecting the most appropriate structure for a ed BE REE a Bd a site: Ras3 53 2 ge| [283% be + Toposrao e| |g222 FE gtk 23) [EE bat opography i] |gcae #2 S32 48] [28s 38 + Dam foundation E| [2288 33 2 2| [282 832 « Availability of construction materials 8] |23ee ces Boge] [eee § 8? “ood heard ery ai diy 23) [2283 22 + Semi aad gigeze £3 B42 ga] ,lehb yg 2 + Construction time a/egc pf 228 Galilee | ge + Simao ajepeg gf Gs: f2)s|bhe 2 ag + Governmental regulations a] js\gee Be EPG 2a)seet a 4 + available esouress 3 ay aed agislebe das = a |g 2h gip 24/8|pe8 § iy Topography E 8 4 Sa] [253 82 ‘Narrow valleys with high rock abutments favor concrete dams, a ae 23) 12523 62 Low sling hills Fever earth da. 3 gue gees o4| lage gee Hydraulic fill dams are frequently associated with wide, flar alluvial plains z goed Se| |§s5 & swith minimal topographic relief § acre a 5 Dam Foundation g ‘Rock foundations, properly cleaned of weathered material and treated for Wa- 2s] |Z g ter tightness, are ideal for any type of éam, 4/3} [8 & 2 Dense sand-and-gvavel foundations are adequate forall embankment dams, a) 3! |e z. a find for sina conerete dams when proper seepage control measures are im- gle 9 By 2 | [3 plemented. ls] |i ee 3 a Compressible stt and clay foundations preclude the consideration of concrete <5] 2 32 2 | | dome and require special care for rockfill dams. ale] {2 £3 2 3 2 > ‘Loose sand foundations in a seismic environment are subjected to potenti fla lz ge 2 g 7 2 Scum liguétaction and are inadequate for fot dem. Ifthe loose ma- 3] 8] (2 a2 i ¢ | |e 3 SENS fe cxcavated, thelr phystel conditions improves, then an embank 2] 8| |3 gee og | \z & tment dim could be considered, aa7TABLE 32_A Checklist for Required Geotechnical Invest ‘Comments Objective of the investigation Consirciion materials Mupregate for conerete is done in the laboratory. Charicierization of the cogincering properties for use in embankment construction or a6 a Prior to, oF during inital stages of, construction test Properties fills are often carried out to verity ade goscy of proposed construction procedures. Properties tobe investiga moistureldensity relationships, “rabilty, chemical makeup. bey, plasticity, ‘Satie and dynamic stents, compress tse gr ably, pa i E { : SMALL OAM DESIGN 318, Anilabilty of Construction Materials Materials sre required for the construction of the embankment (core, shells, filters, slope protection) end manufacture of concrete, When adequate mate: rials are available near a site, embankment dams can usually be built at a lower cost than concrete dams. Availabilty of sands and gravels, but absence of impervious lays may favor the choice of « concrete dam. On the other hand, if ait impervious soil is readily available, the design may favor a homogeneous embankment dam with 4 fow internal granular filters provided for seepage control. Flood Haart. The possibility of flooding during construction favors either 8 ‘concrete type of dam or a rockfill dam with or without downstream reinforcing. ‘Associated with flooding isthe spillway requirement. Often the cost of construct- ing spillway is high. For such cases, combining spillway and dam into one struc- ture (Concrete dum) may be advantageous. In other eases, where the excavated ‘material from a separate spillway can be used in the construction of the embank- ‘ent, an earthfill embankment may be advisable. Seismic Hazard, Potential fault rupture along the dam foundation precludes the cansideration of any rigid structure such as 2 roller-compacted or a concrete-type dam, Embankment dams with large zones of sand and gravel are recommended in these cases. Potentially strong earthquake ground motion may rule out the con- sideration of rigié structures (concrete) or embankment dams built with loosely placed granular soils (hydraulic and tilings dams). Construction Time. When construction time is limited, it is often necessary to adopt 1 structure which is not necessarily the most economical; for example, a Gumped-rockfill rather than a smaller concrete structure, or a flatter homoge- ‘cous clay dam rather than a zoned embankment. Climate. Construction of embankment dams during the rainy season is often lim- ited to the pervious zones, making rockiill dams more appropriate. During free2- ing weather, precautions must be taken to avoid damage to freshly poured con- crete in concrete dams. Reckfill dams may prove to be cheaper t0 construct in severe climates Diversion Warks. Valley configuration, hydralogic, and schedule considerations ‘can often pose serious construction difficulties which require expensive works. Goverument Regulations, Federal and state governments have issued regula- tions relating to the construgtion and operation of dams. The safety, the en vironmental impact, and the purpose of the dam, as judged by the public agen cies, will often suggest the most suitable type of structure for any given set of circumstances. Available Resources. At some sites, neither skilled contractors for a specified ‘onstruction nor adequate labor force may be available. For example, a coun- tuy may have neither the experience nor the equipment necessary for the con- siruction of a roller-compacted concrete dam or for the concrete face in a roekfill dam. In such cases, a simpler earth embankment dam may be more appropriate.(CHAPTER THREE ‘The numerous factors influencing the selection of the type of dams that have bboen discussed clearly indicate that such sclection is far trom easy and that a9 general rules can be advanced 10 aid the designer in this task. However, experi {nee accumulated in years of practice has indiceted the following comparison be- fiveen the advantages and the disadvantages of embankment and concrete dams. 4_ EMBANKMENT DAMS Dams constructed with excavated or industrial waste materials are embankment ‘dams (See Table 3.1). Embankment dams vary from two basic material sections, fas showa in Fig. 3-1, 10 more complicated ones built with 2 variety of materials, Shek a that shovwn in Fig. 3.11, Whether itis a simple or a complex structure, the basic elements af the dam ure an impervious barrier (core or facing) which op- poses the flow of water, ane or more zones of structural material, and shel(s) (hich provide support snd stability to the core. For reasons 10 be discussed in bther sections of this chapter, layers of sand-gravtl material arc placed in be- {ween the core and/or facings nd the shells. Such granular layers are called "fil ters" or “transition zones,” depending on their purpose, “Typical cross sections ofa great variety of as-built embankment dams are pre- sented in Refs. 2 and 3, The idealized cross sections presented in Figs, 3.12 and 3.13 imply that the embankments are placed on an impervious bese. If, on the ‘contrary, the embankment is placed on a rather pervious base and considerable waver lasses may occur, then to fulfil its purpose (.e., to contain the reservoir’s waters), some type of foundation treatment may be required. As shown in Fig. 34, this may consist of a slurry trench, fully or partially penetrating cutoff trenches (cores), upstream impervious blankets, or downstream relief wells. Earth Dams Elements. Figure 3.15 shows (wo typical embankment eross sections depicting the basic components of the structures: impervious core, up- and downstream ‘shells, filters, drains, and transitional layers. Both dams rest on impervious foun ations (rock). As implied by its name, the basic element of an earth dam is the tare, ox impermeable bartier. The other elements in the section of the dam ere provided to ensure force and hydraulic stability. Materials, Table 3.3 shows a soil classification chart based on the Uniform Soit Classification System. Most soils can be used for embankment construction un- less they have objectionable physical or chemical properties. For example, soils ‘vith high salt content, soils With significant organic content, or silts and clays, with dispersive characteristics shovld not be used. Organic material increases = Soils compressibility and tends to lower its shear strength. Some soils have prop- trtics whieh make them difficult 0 use. Pat clays, which may have high liguid Timits, will gneraily be very difficult to compact, Moisture content of sits and silly soils is low for optimuin compaction, requiring special care to control mois {ure bath on the embankment and in borrow’ areas. They are particularly dificult te use in rainy elimates. In dry climates, it will ususlly be necessary to add water to abtain proper compaction, In situ moisture content should be studied when @ borraw area is being selected, 321 i ! High Aswan Dam, Etypt. (From Wafa ond Labib 132,26.) FIGURE 3(0) Honogenaous ane fothonal ain ao 2) Homopenoove nde ain (61 Homegoreovs aedeoney cae LZ. (@) Conuateore fai FIGURE 32 Ean a (2) Convateoe (&) Seping sore ons tenn eros setions, (@) Doptagn FIGURE 119. Ruckia dns: idealized cross setions Foundation and Abutments Preperation. Whether an embankment dam is located fata site with roek abutments and foundation or on a deep deposit of alluvial ma- terials, itis nceessary that, in the design of the dam, proper attention be given to the Row of water tinder the dam, This Is to prevent water loss, but morc impor: tantly, because of the potential threat that an uncontrolled seepage may have on the stability and ultimate safety of the dam. In addition, the nature of the rock find of the overburden present may require that certain work be done in propa- fation for consteuetion of the structure, as discussed below. ‘Rock Sires, Three aspects need to be studied: the shape and surface topogra- phy of the valley, the quality ofthe fock, and the permeability ofthe rock mass. The Logone US impawovs = tos os RT Random \ vf FT Sabet powiovs rat Upstoan ‘So (6) Bam win vpsteo inpetvis zone on pervious funds FIGURE.14 Embankment dams on pervius Foundations. (From biblogeapi reference No. 2 fon Dum Engineering} shape and surface topography of the valley affect both the mobility of equipment uring construction and the quality ofthe bond between rock and the embankment, “Tie eontuet surface hetween hard rock and the embankment usually presents ‘compaction difficulties and is a potential path for scepage channels. {n contrast, tmibankment materials can be compacted with less difficulty on a soft rock sur- fave such as sandstone. The permeability of a rock foundation may range from practically zero to very large, depending on weathering, fracturing, and jointing. Ks a result, the applicability of different methods of seepage control ta given site must be considered in detail SURFACE TREATMENT: The objective of the treatment is to provide a smooth surface against whieh the impervious soils of the core can be compacted. If rock js soft, this operation can be uecomplished without much difficulty. Hard rock surfaces are more difficult to prepare and are treated by removing protrusions tnd overhangs with hammers or explosives, and filling depressions with con- rete, compacted sol, slush grout, gunite, and dental concrete. Generally speak- ing, the later the average abutment slope, the better the bond between the em bankment and the rock Tseeenge conraou: Several methods to control the path of possible seepage slong the contact surface between the embankment and the rock foundation have been used.324 cuneren THREE c oO “4 . semmsimy, owns AE TABLE 33 Soil Cssifen uur 5 Toe 4 ban Poet eal 200 rersions 3. Pe Led = (200 ax. crandown pat et. 210073 See ree Geman seat Fel inspection prsedores symbol Type ames : Sif cuts CPE PEPE PE Cer i Gave Gas | wide range ingest aad savant | cw | Welded govt grariand Cec! c oun tere parte nineties (Pood ® ota5 me i — 0 redoiontyonsne ea angeat | OP] Paty arded gael, seh ae with one intermediate ies asd tres ie no (1 oe Secon of ara Mai 5 se tes {WA Sanne Dan. Coneca win tes | Nonp as rteitenin | OM | Sty pes oy waded occtverse ML tl) ecard ates ie ot itentenon cc | Chey gave, pat waded procedure see CL below) Sots Sea ‘en | de angen gin ses nd sw | Wetted sans, gael vinta soos ea fans een ae Intermec parele set Predonieaniy oe sneorsangeat | SP | Foy ated san, vey “Se wh sme ered ses "an ie he Grou eorsin-es on pet svi fet | Nona efor ideitenson | SM] ity snd ry pada ane Legon Sound cava lomaton 4269. @ 240.500 oedue ee ML sow) ‘imate dees aet Gy bia Sav oe Paice or einen sc] caper snd. ory red Q woe : erence CL te sect re @ ravenicus rene @) shets: Selected sands and gravels @ Wansion zone @ Rarcom zon Fine gained sit 25 ‘Grup saiype | aceon | oistney | Toushoew | sombet | Type eames (0) Cross Section e Casi Dam, Caliola Biaetcay| Nene | Quetionew [ Nove | ML | tara aan very ee FIGURE 2418. Embankment ere sections depicting base stvtuol elements (From Hiton un sande rg yor sea Sir ign paste Moneta | Medion | ch | tnegunic ca of bw ve Concrete cutoff wails on steep abutments were populs in early times, but re ae vdem pic tently their use has been less frequent because (a) compaction of soil with roa sendy heany collers is very difficult wo achieve in areas near the wall, and (b) the fre- Sip yc cl {quent ned to blast the excavation for the wall, which fissures the rock, make siytew | slew sia | OL | Orne sts and egaie ing it more pervious ‘seem tikes of liy Cutoff wrenches backfilled with impervious soils are often used especially in sips | sirwwrene | stahie | Mt | tnranet, nicseo Situatons where the rock is relatively sot, and its permeability decreases with du sti or demain foe lepth. When hard rock is present is often preferred to treat the foundation sendy ‘with grout. : wine | Nowe iss] ct | tease cay eion Grouting is weed to make rock foundations and abutments more impervious, vey ly. es 0 thal seepage losses are reduced, and water pressures, which may decresse hon the stability of the embankment, are brought under control. The determination edmes | Nowesorey | stam | On | One of met te ‘of the need for rock grouting, ahd the actual technology of rock grouting, is Sar | See eon en aly tmawer that requires the close attention of specialized individuals in the area of eee rece ser cee nee “i {etn eat fran exe ot Sources From Rel.326 cnawnie rite rock mechianies and engincering geology. Complete references on the subject fave contained in the bibliogeaphy. Alluvial Sites. For embankments placed on a deep alluvial formation, a pos- itive eutolt, formed in an open excavation, extended to an impervious stratum, and backfilled with compacted impervious material, is the most desirable form. When this cannot be done from a practical standpoint, other measures must be considered. Some in common usage atthe present time are: (1) grout curtains, (2) Concrete cutoft walls, (3) slurry irench cutoffs (earth backfilled), (4) upstreem im- pervious blankets, (5) sheet piles, and (6) vertical drains or relief wells. ‘eeeave conTaot: The most Satisfactory method for grouting deop deposits of alluvium at the present time is the tube 4 manchettes or the sleeve pipe method of grouting, The principal advantages of this procedure are that the same tube cin be ecentered as often as necessary to grout with different types ‘of mixtures and to perform additional grouting, if necessary, even after a con- Sidveable lapse of time. Table 3.4 shows some of the major projects where @ grout cutofl was formed through deep deposits of alluvium, consisting of a vide variety of materials, from fine-to-medium sands to coarse sands and gravels with cobbles and boulders. Cutoff walls require specialized equipment and experience. They may be i ther conereted or grouted, Examples of typical concrete walls are pre- sented in Table 3.5. Other methods of seepige control such as the slurry trench cutoft walls and ‘upstream impervious blankets are commonly used (Fig. 3.14a), When the depth of excavation is great, or when the control of groundwater is difficult, a cutolf can be achieved through the use of a slurry trench. Excavations through pervious fosndations by backhoe, dragline, or other means Nave ex- tended to depths of 75 {t (25 m) and more. The width of the tench is dependent tupon excavating equipment, and the sides of the trerich are supported by a bentonite slurry, ‘The location of the trench is based upon judgment. While trenches under impervious cores have been used, itis generally secepted that the ‘best location forthe trench is beyond the upstream toc of the dam so that repairs ay be made If necessary. Table 3.6 contains data on various projects for which slutty trench cutofls have been adopted. ‘The horizontal upstream impervious blanket, which incre Jength of the average path of underseopage, is more effective " ige through a homogeneo.s soit foundation than the partial vertical cutoff. Ifthe fanket is very inipervious compared (0 the natural foundation so that relatively tle seepage through the blanket occurs, then the reduction in the seepage quan- tities and pressures at the downstream toe are directly related to the length of the blanket f the blanket is only slighty less pervious than the foundation material, there is a maxinium length of blunket beyond which no appreciable additional ‘value is obtained by inereasing the length, The necessary thickness and length of, 1 blanket depend on the permeability of the blanketing material the stratification and thickness of the pervious foundation, and the reservoir depth. Thicknesses Varying from 2.5 to 9'f (0.8 to 3.0 m) are most frequently used. Crest Width and Camber, The width of the dum crest has no appreciable influ- fence on the embankment or foundation stability and docs not have a large influ- oO SMALL DAM DESIGN a7 TABLE 94 Etfectiveness of Grouting in Alluvivmn at Some Major Dams Hydraulic gradient Postgrouting Foundation Max. aeross grout permeability, Projcet (eur) materials dopth, 1 (m) curtain ens Spivensicin Dam, Sand and gravel, -390(100) 2107 23x10" Isur River, Ger- 10" crs many (1958) Serre Poncon Sand, gravel, and 360 (100) «3.5008 Re ax10"* Dam, Durunce cobbles, River, France ke3x10-" 1 (939) 9x 10 censee Terzoghi Dam Sand, gravel, and $00 (153) «3104 Assumed: (fission Dam), - some bouldets B= 0%" Bridge River, Brlish Columbia, Canada (1960) Notre-Dame de Sandand gravel, —«17(50) 2.51065 - Commicrs Dain, ke 10193810 Drie River, ems France (1863) Matimark Dam, Sandand grovel 300100) 3107 kaax10"? Visp River, Swite with cobbles zetlund (67) ke 10" t0 10°? mls Mangle Dam Graveland cobs 75 (23) 3104 esx? (Gosure Dim), bles with sand Tichim River, ke 10" emis West Pasion 4967) ‘Aswan Dam, Nile Fine to coarse 15,255) 2104 keaet0"* River, Ezyot sands k= 1x10" to x 107 cms crv t mation pool and te alvater ve user From Rete ence on the embankment volume. It is determined only by the required working oom. No cam should have crest width of less than 9 {3 m), because this isthe ‘minimum needed for an access road to permit maintenance work and for the nec- tssary construction equipment “The 1957 Japanese Code quoted in volume 2 of Ref. 6 specifies crest width W in terms of height of dam M a8 W = 3.6VH ~ 3 (meters)