)

Unique Geotechnical Problems at Some

Hydroelectric Projects
Donald U. Deere!

SYNOPSIS

The experiences so well reported by the Norwegian authors

of both good and bad performances ·of unlined pressure
tunnels, and the recent failures reported here in of
several pressure tunnels in soft rock lined with plain
concrete, all point to the difficulty of the problem.
Conventional rules-of-thumb have been found wanting. A
conservative approach in design is warranted; the cost
in time and money of repairing a failed pressure tunnel
is much greater than the cost of providing initially at
the downstream end additional lengths of reinforced con-
crete transition section and steel lining. A modified
rule-of-thumb is given for the preliminary layout of
these sections. The lengths should be checked later for
appropriatenes~ by hydraulic splitting tests across rock
joints, conducted either in test adits or in the excava-
ted pressure tunnel. The filling of a pressure tunnel
should be slow and by steps, preferably over a period of
15 to 20 days, so that external water levels can build
up. Periodic measurements should be made of water losses
and of changes in the piezometric levels in borings along
the tunnel line.

INTRODUCTION

Hydroelectric projects contain several elements which

impose severe requirements of performance on the founda-
tion medium. These may include high dams, underground
powerhouses, and pressure tunnels. Where geological

(ll Consultant, Engineering Geology and Applied Rock

Mechanics, Gainesville, Florida; Adjunct Professor,
Department of C~vil Engineering, Univ. of Florida.

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Seventh Panamerican Conference
6 = average inclination of the valley side,
H = static water head at point in question
y
r
= density of the rock mass.
It is possible alsa to express the equation as follows:
H splitting to see if sufficient stress exists across them
Z > (2)
2 to resist the full internal water pressure witha
'fr ·cos 6
where Z = vertical rock cover (m).
Actually, the new rule-of-thumb Equation (1) results in
about the same answer as the original one, except for
slopes steeper than 50° where it gives a more conserva-
tive value.
Since 1972 the Norwegian unlined pressure shafts have
been sited with the aid of computerized FEM analysis of
the in-situ stress conditions. The concept is based on
locating the pressure tunnel or shaft so that at every
point the in-situ minor principal stress in the surround-
ing rock mass exceeds the internal water pressure thus
avoiding hydraulic splitting (Broch, 1982a). The analy-
sis uses a plane strain, two-dimensional model with both
gravitational and tectonic stresses. The results, of
course, are dependent on the assumed stress conditions
and Poissons ratio. In the two cases examined by the
writer for slopes of 40° (Broch, 1982a) and 25° (Buen and
Palmstr~m, 1982), factors of safety of 1.2 and 1.4 were
used, respectively. For both cases, the determined posi-
tion corresponded quite closely to Z = (0.60-0.65) H, the
old rule-of-thumb location.
The Norwegian authors in their papers have emphasized
that rock conditions must be quite good to apply their
criteria--i.e., hard, massive rock with moderate in-situ
stress; absence of open or partially filled joints paral-
lel to slope; and general lack of faults and shear zones.
High pressure grouting of all potential leakage zones
with pressures slightly above the future static pressure
is recommended. A regular, continuous side slope is alsa
favored. Selmer-Olsen (1970) pointed out that the effects
of erratic topography--protruding "noses" between gorges,
tributary valleys, or irregular curves of the main
3tream--reduce the horizontal stresses. For these condi-
tions the pressure tunnel or shaft should be placed at
deeper levels than normal. He alsa notes that all clay-
filled weak zones should be sealed with a concrete lining
and grouted. He further states, "It seems hazardous to
place an unlined pressure shaft in typical porous rock
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') ')
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types like certain lavas, sandstones and limestones, or
(m), in very blocky and seamy rock."
Broch (1982a) notes that where abnormal tectonic stresses
are expected, control tests of the in-situ stress are oc-
easionally made during construction. Also, adversely ori-
ented joints have been tested in boreholes for hydraulic
factor
of safety of 1.2. Bergh-Christensen and Kj~lberg (1982)
deseribe the studies for a new 1130-m long 45°-inclined
pressure shaft with a static head of 980 m to be built
soon for an aluminum plant in Norway. An unlined shaft is
eontemplated on the basis of FEM results already obtained.
The first phase of construction will be a pilot adit to
the base of the shaft so that in-situ stres s measurements
and hydraulic fracturing tests can be made. If adverse
results are obtained, time is available in the schedule
to allow a steel lining to be placed in the lower part of
the shaft.
The Norwegian experience ean be summed up, perhaps, by the
following coneluding remarks from Buen and Palmstr~m
(1982), "The solution with unlined pressure shafts and
tunnels is both cost- and time-saving. Unexpected ad-
verse geological conditions have, however, in the past
been the cause of extensive repairs and loss in produc-
tion in several hydro power schemes. This proves the
neeessity of thorough planning and control during all
phases of construction."
HYDROFRACTURING POTENTIAL IN WEATHERED & DE-STRES SED ROCKS
The potential for hydrofracturing is increased in areas
of steep, irregular topography where erosion and asso-
ciated lateral strain relief have reduced the in-situ
horizontal stresses. Joints have been opened and addi-
tional joints have formed. Weathering has proceeded
along the joints which results in even further de-
stressing. A rock mass is formed which has both a lower
in-situ rock modulus and a lower horizontal in-situ stress
(or, more correctly, a lower minimum principal stress)
than deeper within the mountain.
Recently, in the U.S.A. hydrofracturing tests were made
in boreholes at depths of 100-200 m at the site of a l2-m
diameter pressure tunnel located in an elongated mesa or
ridge nose. Minimum in-situ stress of only 0.4 to 0.6
times the vertical overburden stress were obtained in
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Sevenılı Pan« lcan Conjerence
index of about 0.6 H (steel) and about 1.0 H (reinforced
concrete transition).
Where the above conditions are met, the leakage from the
steel lining should be zero and from the reinforced con-
crete lining it should be very small, and insufficient
both in volume and pressure to cause hydraulic fracturing.
Problems of leakage could still develop deeper in the
mountain beyond the potential hydrofracturing zone depend-
ing on the rock permeability and the relative positions
of the internal water head and the existing groundwater
levels. Where a lining is used, an additional factor is
the modulus of the rock mass and the number and size of
any induced cracks in the lining. The following section
presents a brief review of pressure tunnel linings.
TYPES OF TUNNEL LININGS
Impermeable Linings
The only common impermeable lining is the one of welded
steel. It is universally used to connect the turbines to
the lower end of the pressure tunnel, part, as a free-
standing penstock pipe and, part, as the concrete-
backfilled steel tunnel lining. The steel liner is
designed for full design internal head (static plus
dynamic) without assuming rock restraint for the outer
few tens to few hundreds of meters, for instance, to the
point where Z = 0.40 H and the horizontal cover equals
1.2 H (American Iron and Steel Institute and Steel Fabri-
cators Assoc., Ine., 1981). The steel liner for the
remainder of its length is designed on the basis of load-
sharing with the rock in accordance with its modulus.
Steel linings are also used at any place along the tunnel
line where the rock cover is low (e.g., less than 0.5 H)
or where absolute water tightness is required.
Impermeable linings have occasionally been constructed
with flexible, multi-pli, plastic-steel mesh membranes
held in place against the rock with poured concrete.
Also, to a somewhat greater extent, prestressed rein-
forced concrete linings have been used, as well as plain
concrete lining post-tensioned by special grouting
(Swanson, 1981). These latter types have been used
mostly in Austria, in Italy, and in Switzerland.
874
) )
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~ghtly Permeable Linings
The lining that best fits this category is the one of
reinforced concrete. The amount of reinforcing can range
from about 0.25% of the area of the concrete to 0.75% or
more. In the normal design, the reinforcing steel takes
very little of the tensile load. Its purpose is to dis-
tribute the cracks--the higher the steel percentage, the
greater the number of cracks and the thinner the cracks.
crack widths are limited in the design to 0.3 mm.
The sum of all the cracks equals the total change in cir-
cumference. This is a result of compression of the rock
and is a function of the rock modulus and the difference
in internal and external water pressures. Moduli values
for design should include the disturbed rock zone sur-
rounding the first 0.5-1.5 m of the opening, plus the
deeper, undisturbed rock zone--both zones with somewhat
improved modulus due to grouting.
For practieality in placing the concrete and for assuring
sufficient covering of the reinforcing bars, the rein-
foreing is placed about 10-15 em from the formed free-
face. A single row of reinforcing mat is much preferred
to a double row. Concrete placement and vibration is
more difficult with a double row of reinforcement; poor
concrete with rock pockets or honeycombs can result.
Water seeping from rock joints must be handled in plastic
pipes, appropriately sealed to prevent washing out the
sand and cement from the fresh concrete. Other important
details include the type of concrete joints. These may
be formed vertical joints with the steel passing through
the joints, or formed vertical joints without the rein-
foreing steel passing through but with plastic, de form-
r able waterstops. Alternatively, the joints may be un-
formed sloping joints with continuous steel.
Faulty joints and honeycombed areas will be remedied in
part by the contact and consolidation grouting but
repairs with epoxy mortar are-also advisable. Even
though these repairs are ma de and the finished conerete
lining is made essentially water tight, the first filling
with the pressurized water will cause the tunnel to ex-
pand and numerous, thin, distributed cracks will occur,
oriented in a longitudinal direction. A certain amount
of water will escape--thus the elassification of
"slightly permeable" lining. However, in most cases the
quantity would not be sufficient to cause hydrofracturing
of the rock--and if it did, the quantity of outflow would
still be small.
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Seventh Panamerican Centerence
rock permeability. However, even low permeability rocks
can sustain high leakage rates if the in-situ stress con-
ditions allow hydrofracturing or hydraulic splitting.
In the following section some case histories are examined.
CASE HISTORY EXPERIENCES
In the past 5 years there have been several failures in
Latin America of pressure tunnels during first filling.
The writer had the opportunity of studying the causes of
the failures and of helping in planning the remedial
measures together with other consultants. In several
instances he entered the tunnels within 24 hours of the
failure.
The majority of the failures took place in weak volcanic
rocks, notably low density tuff, tuffaceous breccia, and
altered, blocky lava. On8 case involved sedimentary
rocks, shale and sandstone, with numerous, weathered
shear zones. The projects were designed by experienced
international design firms using their normal procedures.
There were no connections among the projects and each
project was in a different country, designed by a sep-
arate firm.
The first two cases involve volcanic rocks and failures
of the plain concrete linings by severe cracking of the
water under pressure. Af ter the tunnels were unwatered,
some of the cracks were seen to contain leaves and smaIl
pieces of wood branches that were tightly held, indicating
that the cracks had closed somewhat as the tunnel was
unwatered.
The other two cases involve horizontal displacements of
20 to 30 mm where enlarged portions of the tunnel were
reduced to the smaller-diameter steel penstock portion.
The displacement was caused by excessive horizontal de-
formation of the weak rock because of its low modulus and
the very large horizontal thrust associated with the diam-
eter difference and the nearly 100 m of water head. The
horizontal displacement caused cracking of the reinforced
concrete linings with failure of the longitudinal steel
in tension, followed by escape of high-pressure water to
the surface and subsequent landsliding.
878
) ")
Deere
case History 1
partial filling of the tunnel was done by pumping over a
period of 3 day s which achieved a hydraulic head of 17 m
at the lower end of the tunnel. The intake shaft gate
was then opened and full reservoir pressure was achieved
in a matter of 2 hours. This increased the head at the
lower end to 58 m which was maintained for the next 10
dayS. Soon af ter the rapid pressure increase, numerous
surface springs were noted near the penstock slope.
Their number and their flow increased over the next few
days from 10 to 80 liters/see (1270 gpm). The ground
saturation caused a landslide which blocked the access
road to the powerhouse; a decision was made 2 days later
to unwater the tunnel for inspection and possible repairs.
The pressure tunnel is 6.7 km long and is lined with plain
concrete of SO-cm minimum thickness to a circular section
of S-m diameter. The last 170 m of the tunnel, connecting
the surge tank to the surface penstock, is steel lined.
ASO-m long transition section of reinforced concrete
i
extends upstream of the surge tank. The remainder of the
tunnel is of unreinforced concrete except 100 m at the
1: intake end and 315 m near the center where the tunnel
passes beneath a depression.
The inspection revealed noticeable cracking of the SO-m
long reinforced concrete section upstream of the surge
tank. A total of 13 distributed cracks were noted, a
little more than hairline in width but probably less
than 0.5 mm. By contrast, the adjacent plain concrete
section had two enormous cracks--one at the top and one
at the bottom with widths ranging from 10 mm to 20 mm but
occasionally as wide as 50 mm. They ran continuously
down the tunnel for 600 m and then discontinuously for
.another 200 m. The next kilometer of lining had cracking
but much less serious and with intermediate and horizon-
tal orientations.
The studyand repairs took nearly 8 months and consisted
of sinking a 71-m deep construction shaft of ll-m diam-
eter and installing a steel liner through the worst
section for a length of 1 km. Only minor repairs and
additional grouting were carried out in adjacent areas.
The tunnel was placed back in service and its performance
is satisfaetory.
The rocks involved were voleanie, mostly blocky lava
with altered, soil-like joints, some interbedded tuff and
tuffaceous breccia; and a few layers of hard, more com-
pact lava. Seismic velocity values are estimated as less
than 2000 m/see in the blocky; altered lava and tuff
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Seventh Panamerican Conference
poor, low modulus rock. This interesting phenomenon
appears to be a result of the lesser restraint of the
low quality rock to the longitudinal shrinking. The 9-m
spaced cracks were about twice as wide as the more
closely spaced ones. Two areas of longitudinal cracks
up to 200 m long were alsa noted in the concrete fol-
ıowing construction and before filling. These were alsa
caused by the thermal shrinkage, an unusual occurrence.
Much of the lining was probably under tension with local
zones of incipient cracking.
As noted, the inspection revealed hundreds of new cracks
located throughout the tunnel, in the form of only ~ or
2 cracks located at the roof and along the floor where
the tunnel was closest to the surface. At greater
depths, the cracks were at or near springline and occa-
sionally diagonally (some following concrete weaknesses
of sloping construction joints). These cracks were all
caused by the concrete displacement and compression of
the low-modulus tunnel rock. Crack widths ranged from
0.2 mm to about 3 mm, much smaIler than in Case 1.
The rock s again were volcanic rocks--mostly tuff and tuff-
breccia but some hard ignimbrites and lava. The cracks
in the lining in the hard rock zones were notably lesser
and finer. Seismic velocities of the tuffs and tuff-
breccias were found in the comprehensive studies follow-
ing the failure to be from 1800 to 2200 m/see, with occa-
sional low values of 1100-1400 m/see. Large-scale plate
jacking tests of 1 m2 bearing area, and with extensometer
points at several depths, were carried out following the
failure. These were done both on the inplace lining,
with relieved sections, and on virgin ground. Values as
low as 1,000-4,000 kg/cm2 were found for the first 1/2 m
of disturbed rock and values of 5,000-25,000 kg/cm2 for
the deeper rock. One interesting phenomenon was the ex-
tensive creep of the soft, tuff rock under sustained
load as shown in one test carried out over a 28-day
period--a 40% decrease in the modulus in one week.
The original groundwater level was measured in 9 piezo-
me ters placed from the surface along the tunnel route.
Except at the downstream end the waterlevel was from 50 m
to 100 m above the tunnel, about equal or higher than the
future hydraulic pressure. However, the readings showed
that the water levels dropped to tunnel grade during the
construction period. With the placement of the concrete
lining and the extensive grouting (contact and consolida-
tion) several of the piezometers showed rises of a few
meters to 20 m. During filling, the piezometers reacted,
rising slowly but erratically but not achieving the
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original head. It was apparent that considerable water
waS leaking out of the tunnel.
A substantial part of the leakage was from a tuff area
near the downstream end, adjacent to the 680-m long sec-
tion of steel liner. Following the unwatering, 70% of
the back-flow water was from the last 3 km of the 12-km
tunnel; probably a similar percentage of the leakage also
occurred here.
The studies and repairs took over 1 year. An additional
4.4 km of steel lining were added at the downstream sec-
tion; 760 m of heavily reinforced shotcrete were added
over a cracked concrete section; and several kilometers
were_treated by cutting a groove along the cracks with a
diamond saw and filling with an ingenuous combination
design of Waterplug, an elastic polysulphide Thorospan,
and sikadur. This made a flexible, watertight craek-
filler which could endure the anticipated radial expan-
sions upon refillingo The repaired tunnel has been in
service for about a year with excellent results; leakage
is estimated as less than 20 liters/sec (300 gpm).
The problem resulted from the presence of a low-density
volcanic rock that had a lower than expected modulus,
further reduced by creep. The thermally-cracked concrete
contributed to the problem. Hydrofracturing probably
contributed to the flow through the otherwise, moderately
impermeable tuff and tuff-breccia. The problems could
have been avoided by having a longer section of steel
lining and reinforced concrete throughout. Also, a very
slow first filling would have helped reduce the leakage
by allowing a recharge of the groundwater table before
high internal pressures were achieved.
At the end of the original steel lining the Z/H ratio
was 1.0, which is even better than the recommended 0.8.
However, the recommended transition section of reinforced
concrete to the point of Z/H of 1.3 (about a 100-m length
in this case) was not provided; only plain concrete lin-
ing was placed. But in this case, because of the occur-
rence of very low-modulus tuff and tuff-breccia in long
stretches of the tunnel, a reinforced concrete lining
for much of the tunnel would have been beneficial.
Case History 3
Both Case Histories 3 and 4 involve low modulus rocks and
large hydraulic thrusts which caused horizontal displace-
ments and rupture of the reinforced concrete linings near
their junctures with the steel linings.
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Seıienth Pa, .erican Conference
They work well where rock conditions and in-situ stress
conditions are favorable; where the contrary is true,
the performance of the pressure tunnel can be unsatis-
factory.
The problem is related both to the in-situ stres s condi-
tions and to low modulus values of the rock mass.
Greater emphasis will have to be given in the design
studies to investigating both these aspects. Hydro-
fracturing (hydro-splitting) tests should be made in the
exploratory borings from the surface and in exploratory
adits. Proof tests of the hydraulic splitting pressure
across joints should be made along the excavated tunnel.
In-situ modulus tests of large scale should be carried
out in critical areas including 2-week creep tests,
together with more numerous indexing tests along the tun-
nel walls for correlating with the modulus by means of
dilatometers, ultrasonic velocity determinations, and
closely spaced seismic refraction studies.
The writer believes that these tests, when done in criti-
cal areas of rock cover or of poor quality rock, will
lead to more conservative and more realistic lengths of
steel lining and reinforced concrete. A modified rule-
of-thumb for preliminary layout has been suggested which
consists of taking the downstream steel lining into the
hillside to the point of Z = 0.8 H and the transition
zone of reinforced concrete to Z = 1.3 H. Proof-testing
by hydraulic splitting tests should be done during con-
struction to check the appropriateness of these posi-
tions. Plain concrete lining, shotcrete lining, or an
unlined tunnel would still be appropriate under many
conditions of deep burial and high groundwater. However,
the writer feels that reinforced concrete should be used
rather than plain concrete for questionable areas.
The problem of horizontal thrust and potential horizontal
displacement with associated vertical cracking should be
realized at enlarged areas and near opening intersections.
Such intersections should be minimized, and should be
widely separated. Concrete plugs in connecting adits
should be flush with the main tunnel wall. The plug
should extend a good distance down the adit and should be
followed some length by a reinforced concrete section.
Numerous piezometers should be placed in the exploratory
borings along the tunnel line. Readings should be taken
for at least one year before construction to establish
the seasonal groundwater levels. Readings should be con-
tinued during excavation and following concreting and
grouting.
886
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The first filling of the pressure tunnel should be done
sıowly, in steps, in a controlled manner over a period of
15 to 20 days. The water level at each step should be
hel constant for 1 to 2 days while leakage measurements
d
and piezometer reading s are made. A slow build-up of
external pressure during the early stages will help
reduce the losses at the later stages.
in conclusion, to design, build, and opera te successfully
pressure tunnels and shafts in what are of ten hostile
environments, a greater amount of effort and cost in
exploration, design, and probably in construction will
have to be expended. This is the challenge to the geo-
technical and hydro engineers both of this generation and
the following.
REFERENCES
American Iron & Steel Inst. & steel Plate FabricatorsAsso.
Ine. (1981). Steel penstocks and tunnel liners.
steel plate Engineering Data, Vol. 4.
Bergh-Christensen, J. and Dannevig, N.T. (1971).
ıngeni~rgeologiske vurderinger vedr~rende ufôret
trykksjakt ved mauranger kraftverk. Unpubl. rept.
Geoteam AlS, Oslo.
Bergh-Christensen, J. and Kj~lberg, R. (1982). Investi-
gation for Norway's longest unlined pressure shaft.
Water Power & Dam construction, April 1982, 31-32.
Broch, E. (1982a). The development of unlined pressure
shafts and tunnels in Norway. Proc. ISRM symposium
on Rock Mechanics: Caverns and Pressure Shafts,
545-554, Aachen.
Broch, E. (1982b). Designing and excavating underground
powerplants. Water Power & Dam Construction, April
1982, 19-25.
Buen, B. and Palmstr~m, A. (1982). Design and super-
vision of unlined hydro power shafts and tunnels
with head up to 590 meters. Proc. ISRM Symposium
on Rock Mech.: Caverns and Pressure Shafts, 567-574,
Aachen.
Selmer-Olsen, R. (1970). Experience with unlined pres-
sure shafts in Norway. Proc. Intl. Symp. on Large
Permanent Underground Openings, 327-332, Oslo.
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Seventh Panamerican Conlerence

Swanson, D.T. (1981). Prestressed concrete pressure t1

tunnels. Proc. 1981 Rapid Excavation and Tunneling
Conf., San Francisco. Vol. 1, 519-531, Soc. Min. ~
Eng., A.I.M.E., N.Y. ~,.

Geotechnical Contributions to Aretic

Resource Development
Norbert R. Morgenstern-

SYNOPSIS
The major geoteehnieal problems eneountered when dealing with perma-
frost and with freezing ground are reviewed and reeent developments
in resolving these problems are summarized. Examples of design eon-
siderations are described that inelude ereep in frozen slopes and
soil-strueture interaetion analyses of ripelines and well easings
subjeeted to thaw subsidenee.

INTRODUCTION
While the Arctic regions of North America are rich in
minerals and hydro-power, the main thrust of development
in recent years has been associated with the exploration
and production of oil and natural gas. On land the
geotechnical engineer must confront the implications of
frozen ground while offshore the need to design
structures against massiye horizontal loads due to ice
forces creates novel problems and solutions. For this
overview of geotechnical contributions to arctic resource
development it is convenient to take 1973 as a starting
point.
At that time, the design of the Alyeska pipeline was
well-advanced and the subsequent years witnessed the
successful construction of this pivotal project with
start-up in early 1977. A discussion of some of the major
design and construction issues is given by Liguori, Maple
~/ and Heuer (1979). From a geotechnical perspective, this
project forced several significant advances. Terrain
<, ;.::~' i .••
:' ~,'\":'

analysis for route location was relied on to a greater

Donald U. Deere degree than in any previous northern project. The
techniques for site investiqation in arctic terrain

(1) Professor of Civil Engineering, University of Alberta, Edmonton,

Alberta, Canada, T6G 2G7

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889