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Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 1 1. INTRODUCTION The topographic conditions in Norway are favorable for the development of hydropower and more than 99% of annual production of electrical power in Norway is generated from hydro. Underground powerhouses and unlined tunnels have been constructed starting from the end of World War I in 1919. High-pressure unlined tunnels and shafts have been the preferred best solution for cost and time effective construction of hydropower. Thus the expensive lining with steel penstock and concrete embedment is avoided. From the valuable experience gained through the design, construction and operation of tunnels in the past 100 years in Norway, unlined pressure tunnels have been developed reaching 1046m hydrostatic head for Nye-Tyin Hydropower Project being a world record for its high hydrostatic head as exceeds 1,000 m in unsupported unlined pressure tunnel. Figure 1 shows the development of high head unlined tunnels and shafts in Norway. The concept of constructing unlined pressure tunnel and shaft is based on the principle that the rock itself shall resist the water pressure during water transfer. It is essential that the minimum principal rock stress in the rock mass should be higher than the water pressure with regard to safety against hydraulic fracturing and uplift. A safe construction is highly dependent upon the design based on adequate vertical rock cover and side-cover near side valleys with regard to the rock mass quality. At the very beginning when unlined high- pressure shafts and tunnels were introduced, an evaluation based on a simple equilibrium state of stress was used. The principle for this was that the weight of the rock cover above the tunnel should exceed the water pressure induced inside throughout the tunnel or shaft in-order to avoid hydraulic jacking and uplift. The Norwegian rule of thumb design approach method has been widely applied for common case in which a tunnel is near to the side of valley. It considers both the overburden and side-cover to avoid the risk of hydraulic fracturing. Snowy mountain design creation was also introduced in Australia as a consequence of that the side cover was found less effective compared to the vertical rock cover to secure that the tunnel or shaft has the required confinement. Parallel to the revision of the rule of thumb, a new better simulation model was presented with the established standard design chart tools based on a finite element model (FEM) and the concept was that no-where along the unlined pressure tunnel and shaft should the internal water pressure exceed the minor principal stress in the surrounding rock mass. Analysis using numerical models is one of the modern design approaches, which in use widely at present to carry out qualitative, stability and Pressure design in unlined tunnels and shafts Dawit Tadesse B. NTNU, Trondheim, Norway Eivind Grøv SINTEF/NTNU, Trondheim, Norway ABSTRACT: Unlined tunnels and underground powerhouses have been constructed in Norway starting from the end of World War I in 1919. From the valuable experience gained through the design, construction and operation of tunnels in the past 100 years in Norway, unlined pressure tunnels have been developed reaching 1046 m hydrostatic head for Nye-Tyin hydropower project being a world record at present. In this paper, the possibility to develop high pressure unlined tunnel and shaft with even higher static heads has been looked at being exemplified with the Nye-Tyin hydroelectric project. In this regard, different design principles and approaches have been applied being based on empirical, deterministic, numerical analyses as well as using other sources of design principles to ensure safety against hydraulic fracturing and uplift. Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 2 support analysis in addition to its vital use in the verification of the above deterministic design approaches. This paper evaluates the possibility to develop ultrahigh head in unlined tunnels in general and particularly for the exemplified project for higher hydrostatic head based on the outcome of the empirical, deterministic and numerical analysis and recommendations have been proposed for further conclusions on this thesis. The Nye-Tyin Hydropower project is located in Årdal, Norway. It has a hydrostatic head of 1047 m and operates at an installed capacity of 380 MW and discharges 2 times 20 m3/s with an average annual production of 1398 GWh. Figure 1. Development of Norwegian unlined high- pressure tunnels and shafts 2. DESIGN APPROACHES & PRINCIPLES 2.1 The “First Design Criteria” Summarizing the experience from early unlined pressure shafts, Vogt (1922) states that the first and foremost requirement for a pressure tunnels was that leakages have to be avoided and it was understood that an unlined tunnel is safe when the weight of the rock overburden is greater than the water pressure. According to Vogt (1922), the main risk of unlined pressure tunnels and shafts is bad rock masses with weathered zone, joints etc. Hence, the best solution of avoiding leakage is to place the tunnel as deep into the rock mass as possible. In Norway, before the rule of thumb method was introduced, the general design rule for the required overburden thickness was expressed as follows by the Equation 1: h > C . H, (1) For the inclination of the unlined shaft/tunnel varies between 310 and 470, with 450 at the most common. For every point of the tunnel where h is vertical depth of the point studied (in m), H is static water head (in m) at the point of studied and C is a constant, which was 0.6 for valley side inclinations up to 350 and increased to 1.0 for valley side inclination of 600. The results of this method of analysis are presented in section 3. 2.2 The Norwegian Rule of Thumb The Norwegian rule of thumb method developed some forty years ago by prof. Selmer-Olsen (1970), has been widely applied in common case for the tunnels or shafts sited in valley sides. It considers both vertical cover and the steepness of the slope of the adjacent valley side and assumes that, the minimum in- situ principal stress should exceed the water pressure at any point to avoid the risk of hydraulic fracturing. The method accounts for gravitational rock stresses only, but in many cases considerable tectonic and residual stresses also exist. In Norway the design criteria for high pressure water tunnels and shafts have been revised and improved continuously as more experience has been gained from completed projects and hence this method of criterion for confinement is still in use in prefeasibility studies. The rule was expressed as shown in Figure 2 and the Equation 2: L > γw.H γ r.cosα .F , (2) Where, γw is density of water, γr is density of rock-mass, α is the inclination of the shaft h is vertical depth of the rock cover to the study Figure 2. Norwegian rule of thumb criterion for confinement Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 3 point, H is static water head at the point studied and F is factor of safety. Following some failures of unlined tunnels near the valley side, a new rule of thumb was introduced by Bergh and Dannevig (1987), which directly take in to account the inclination of the valley side. L > γw.H γ r.cosβ .F , (3) Where L is shortest distance between the surface and the point studied (m), β is average inclination of valleyside and H, F, γw, γr are as earlier (shown in figure 2) Limit equilibrium between the rock weight and water pressure defined using the following simple equation for a potential displacement towards a free surface as defined below in Figure 3 indicates necessary rock cover: L H ≥ 1 γ r.cosβ , (4) Where L is shortest distance between the surface and the point studied (m), H is static water head at the point studied, β is average inclination of valley side and γr is density of rock-mass. Bergh-Christensen and Dannevig (1971) described the possibility to comprehend the agreement with the imperial data by plotting L/H-ratios for unlined pressure shaft against inclination of valley side and the limit curve as presented in Figure 4. The probability of leakage problem will arise when the project falls below the limit. Filled points indicate tunnels or shafts where leakage has been observed. In Nye Tyin HEP the highest water pressure is 10.47 MPa. For the analysis of hydraulic fracturing, three study points has been chosen along the tunnel alignment. These are located at positions bearing potential risk where hydraulic fracturing will occur such as where there is small rock cover, weakness or fault zones and the highest water pressure available. The chosen studied points for the exemplified project for Nye-Tyin HEP is presented below in Figure 5. 2.3 The Snowy Mountain criterion Unlined tunnels and shafts were located for many years by ensuring that the static head or water pressure inside the tunnel was at least equal to the weight of the rock mass cover vertically from the pressure waterway adding an adequate factor of safety. It was simplified to provide rock cover at least half of the head considering the density of rock is normally at least twice that of water (Benson, 1887). This criterion was found not sufficient while it comes to waterways in valley side and it was recognized during the development of the Figure 3. Limit equilibrium condition. Study point at Power station 11 + 750 Study point 9 + 782 Study point 8 + 076 Figure 5. Location of study points chosen along the tunnel/shaft alignment Figure 4. Unlined pressure shaft/tunnel in valley side with various inclinations, β Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 4 Snowy Mountains project in Australia. The side cover is found less effective compared to the vertical rock cover to secure that the tunnel or shaft has the required confinement Brekke (1987). The Snowy mountain criterion for the confinement is defined by the following equations: h ≥ γw.H γ r , (5) Lh = 2h, (6) Where, h is vertical rock cover (m), Lh is horizontal rock cover (m), γw is unit weight of water, γr is unit weight of the rock mass and H is static water head at the point studied (m). Figure 6. Snowy Mountains Criterion for confinement 2.4 Design Charts based on FEM Hence, the rule of thumb and snowy mountain creations represent gross oversimplification, to compensate for this; a better simulation model was produced. It was a set of two-dimensional standard design charts based on the use of a numerical finite element model (FEM). It represents a useful tool at the feasibility stage of a project and makes it possible to find a preliminary location of the pressure tunnel or shaft, a location that in many cases turns out to be the final one. The basic principle of the finite element method for this purpose is to find the location, which for all parts of the shaft fulfills the Equation 7 Nilsen (1993): σ3 > H. γw, (7) Where σ3 is minor principal stress, γw is unit weight of water mass and H is static water head at the point studied (m). Design charts of the same type presented by Broch (1985) were produced and the diagrams cover valley side inclinations between 140 and 750, and a variety of rock stress configurations and rock mass properties. However, in case very high water head or complex geology, FEM- analysis more exactly adjusted to the actual topography and the rock mass conditions are suggested and often applied (Broch, 1985). The required rock cover is estimated by transferring the scheme to topographical models adapted to local actual conditions. However, special attention has to be paid any significant geological factors that may be presented during in determining the final siting of scheme. When it comes to the exemplified project Nye Tyin HEP, the design charts may only be suitable for the representative study point selected at the location of the power station, which directly considers the valley side inclination. In his thesis, Belayneh (2013) suggested that using this analysis method will lead to errors as the in-situ actual topography with the inclination of the valley side 170 befitted very simplified and idealize with regard to the topography condition used in the model. It is also known that the design chart obtained with the finite element method is based on the assumption that the rock mass type like bedding, foliation, or jointing on in-situ stress distribution and magnitude is usually not taken in to account. A factor of safety 1.3 is used and the result of this analysis is presented in detail in the following section 3. Figure 7. Standard design chart based on FEM for static head of 1047 m study point at power station Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 5 2.5 Numerical Analysis A comprehensive 2-dimensional finite element (Phase2) calculation has been performed and the aim was to analyses the minimum principal rock mass stress situation in the vicinity of the pressure tunnel and to compare it with the water pressure of the exemplified project of the Nye Tyin Hydropower project. It is also performed for verification and comparison of the analysis done by the analytical, theoretical and empirical design principles and approaches used in the previous sections. For this purpose, three representative study points have been chosen along the tunnel alignment as shown in Figure 5. These are located where it is assumed to be the most likely places that hydraulic fracturing will occur such as small rock cover, weakness and fault zones and highest water pressure to be intended in side the tunnel or shaft. The input parameters for the evaluation of hydraulic fracturing along the tunnel are found from laboratory test results and in-situ measured stresses of the exemplified project. The generalized Hoek-Brown failure criterion (Hoek, 2012) has been used to estimate the required input data. It has been necessary to introduce a horizontal in-situ stress field, which the horizontal stress consists of a tectonic component in addition to the gravity stress induced by gravity alone. The input data and parameters used for the analysis are presented in Table 1 and Table 2 respectively. Table 1. Input parameters used for the model simulation Description Sym. Value Measured in-situ Magnitude of rock stresses Orientation of major principal- stress σ1 σ2 σ3 Dir. Inc. 31.2MPa 25.8 MPa 19.9 MPa N110W N870E Laboratory tested: Uniaxial Compressive Strength Young’s Modulus (lab.) Poisson’s ratio Estimated/assumed: Horiz. by Vertical stress ratio Young’s Modulus (rock mass) Rock mass unit weight σci E ν σh/ σv Erm ϒ 92.6 MPa 31400 MPa 0.203 0.5 15700 MPa 0.0279MN/m3 *In-situ stresses measured by 3D overcoring Table 2. Estimated input parameters used for the model DescriptionValue Filed Stress type: Total Stress Ratio (in plane) Total Stress Ratio (out-of- plane) Locked-in hor. stress (in-plane) (MPa, Comp+) Locked-in hor. stress (out-of-plane) (MPa, Comp+) Estimated for rock mass based on Hoek- Brown Failure Criterion: Geological Strength index (GSI) Constants (s) from RocLab Constants (a) (RocLab) Material Constant (mb(peak)) 0.55 0.59 0 0 79 0.096 0.5 13.22 The numerical approach of analysis compensates the completely neglected effects of stress due to the topographic and tectonic stress unlike the deterministic design approaches used in evaluation of hydraulic fracturing. The effect of topography is very dominant in the stress regime in the lower part of the unlined pressure tunnel of the project that was analyzed. This result revealed when the modes were built. Figure 8 shows the effect of the topography on the stress regime. The analysis by numerical modeling revealed a conservative result for up to hydrostatic head up to 1100 m with a factor of safety 1.3 against hydraulic fracturing. Moreover, the result of numerical analysis shows fairly good degree of correlation between the simulation results and what was actually found in the existing project unlined tunnel and shaft. Figure 9 shows the minimum principal stress (σ3) of the mode and the water pressure (γw.H) for the study point at location of chainage 11+750 (power house). Figure 8. Effect of topography is very dominant on the stress regime. Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 6 Increasing the static head on the Nye Tyin HEP will increase the water pressure inside the tunnel and consequently large rock mass cover will be required. The geological restrictions are the main challenges in the development unlined high-pressure tunnels and shafts. It is essential to understand the geologic conditions along the tunnel alignment, relative to the hydraulic forces that will be applied during operation. With respect to the geology condition at Nye Tyin Hydroelectric project, increasing head will have a challenge in related to the existing minor weakness zone on the top of the mountain plateau above the power station location even though it does not intersect the underground powerhouse as well as the tunnel (Lilleland, 2002). Figure 10 shows the result of the model considering the effect of the joint near to the power station. 3. RESULTS, COMPARISONS AND DISCUSSIONS The first and foremost requirement for a pressure tunnel or shaft is that leakages have to be avoided by providing adequate overburden which has a weight greater than the water pressure. This method was used In Norway before the rule of thumb method was introduced and in this paper, the method gives surprisingly a conservative result of the possibility to develop ultrahigh head in unlined tunnels/shafts up to static head of 1137 m with a factor of safety 1.3 for the exemplified project Nye Tyin HEP. In fact, this method does not consider side valley cover requirement for confinement, the topographic effect on stress, and the existence of considerable tectonic stresses. The Norwegian rule of thumb has been widely applied in cases for tunnels and shafts sited in valley sides. It considers both vertical cover and the steepness of the slope of the adjacent valley side. The method assumes that, the minimum in-situ principal stress should exceed the water pressure at any point to avoid the risk of hydraulic fracturing. The analysis of this method indicated a static head of more than 1427 m with a factor of safety 1.3 being feasible to develop for the Nye Tyin HEP. The method accounts for gravitational rock stresses only but in many cases considerable tectonic and residual stresses also exist. Hence the effect of required increased confinement should be disregarded where the valley is undergoing tectonic extensions. This method of criteria for confinement is still used in prefeasibility studies. The Snowy Mountains for confinement requirement was recognized during the development of the Snowy Mountains project in Australia. The side cover is found less effective compared to the vertical rock cover to secure that the tunnel/shaft has the required confinement. This method has fairly similar results as the Norwegian rule of thumb method with some more conservative result on the side cover. Maximum water pressure of 16.77 MPa can be safe against hydraulic fracturing based on this method of analysis for the Nye Tyin, which is hydrostatic head of 1677 m with 1.3- safety factor. Both methods, Snowy Mountain and Norwegian rue of thumb reinforce that the pressurized water tunnel and shaft for Nye Tyin HEP is placed deep enough laterally and vertically. Hence, neither methods are actually considering the effect of tectonic horizontal stresses and topographic conditions on the stress regime. The comparison of depth of minimum cover specified by vertical, Snowy Mountain and Norwegian rule of thumb are in good agreement with the results, while the vertical criterion is not to the safe side relative to the Figure 9. σ3 and water pressure for the study point at location of powerhouse Figure 10. σ3 considering the weakness zone and joints near to the study point at chainage 11+873 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 7 numerical analysis. For preliminarily layout in terms of minimum requirements, it appears that the Norwegian and Snowy Mountain criteria are very useful tools. Two-dimensional standard design charts based on the use of a numerical finite element model (FEM) has given a solution to compensate the completely neglected effect of tectonic horizontal stresses and topographic conditions on the above deterministic approaches. The basic principle of the finite element method for this purpose is to find the location, which for all parts of the shaft ensure that no-where along the unlined pressure tunnel or shaft should the internal water pressure exceed the in-situ minor principal stress in the surrounding rock mass. This method is a useful tool at the feasibility stage of the project and it makes it possible to find a preliminary location of the pressure tunnels and shafts; a location that in many case turns out to be the final one. The analysis based on this method indicated that the existing unlined pressure tunnel and shaft at Nye Tyin could handle a maximum static head of 1140 m with a factor of safety 1.3, which is a conservative result with respect to the above deterministic approaches. However, The result tends to be mesh-dependent and error can arise when selecting the boundary conditions of the domain of interest. Besides, using this analysis method will lead to errors, as the in-situ topography is very simplified and idealize with regard to the topography condition used in the model. Finally, comprehensive 2-dimensional finite element calculation using Phase2 has been performed and the aim was to analyze the minimum principal rock mass stress situation in the vicinity of the pressure tunnel and to compare it with the induced water pressure inside the tunnel and shaft. The maximum static head that can be utilized for the existing unlined high-pressure tunnel and shaft at Nye Tyin hydropower project is 1097 m with 1.3 factors of safety. The analysis shows fairly good degree of correlation between the simulation results and the in-situ situation of the existing unlined tunnel. The author believes that the use of numerical analysis with profound knowledge of the geological conditionof the area will give best result in the design of ultrahigh head of unlined tunnels and shafts while having shortcomings of that it requires rock mass parameters such as in-situ stress ratios that will be a problem to obtain, especially at the design stage when there is no in-situ measured rock mass stresses. The advantage of this analysis is that the influence to stress distribution of the valley side inclination, of major continuities, and rock with different properties can be as certain. Table 3 shows the summarized results of the different design approaches for their maximum static head that can be developed with safety of factor above 1.3 against hydraulic fracturing and uplift. Table 3. Comparisons and results of analysis *A 1.3 factor of safety used and the actual project static Head is 1047 m 4. CONCLUSION The geological restrictions are the main challenges in the development ultrahigh head in unlined tunnels and shafts. It is essential to understand the geologic conditions along the tunnel alignment, relative to the hydraulic forces that will be applied during operation. Generally the rock should be sound and massive with a high intact tensile strength and low permeability in order to use unlined high-pressure tunnels and shafts. Development of the design criteria for unlined pressure tunnels and shafts has proved the need for more rational and comprehensive design approach. Empirical and deterministic analyses have been established, and design charts prepared for use of preliminary feasibility studies. A numerical design approach has been developed for qualitative thorough design analysis. Based on the outcome of these design approaches, the development of ultrahigh head of unlined tunnel and shaft is possible even for higher static head for Nye Tyin HEP as well as in general. All unlined sections should satisfy confinement criteria in order to avoid hydraulic jacking, unless the consequences of the hydraulic jacking have been reckoned acceptable. The unlined sections should be Design approaches Max. Possible static head, (m) First Design criteria 1137 Norwegian rule of thumb 1427 Snowy Mountain Creation 1677 Design Charts based on FEM 1140 Others 1197 Numerical Analysis 1097 Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 8 located only in rock masses, which are sufficiently durable and sound so as to satisfy long term requirements. It needs to be emphasized that this paper covers only the confinement requirements in general to develop safe ultrahigh head unlined tunnels and shafts against hydraulic fracturing of the main failure mode uplift of the ground surface for the exemplifying Nye Tyin hydroelectric Project. Even though various design approaches has been successfully done for an overall assessment of the possibility to develop ultrahigh head unlined tunnels, detail analysis including local fractures effect has not been assessed with respect to other fundamental mode of failures. These could be such as hydraulic jacking of joints or discontinuities, hydraulic shearing of joints and local crushing or blasting effects on the wall of the tunnel or shaft, as the water head becomes ultra high. REFERENCES Berdal and Palmstrom A., 1987. Norwegian Design and Construction Experience of Unlined Pressure Shaft and Tunnels. (Published in International Conference on Hydropower. Oslo, Norway,): p. 10. Bergh-Christensen, 1971. Engineering Geological Considerations for an unlined pressure shaft at Mauranger Hydro Power Station. 1987. Brekke, T.L.a.R., B.D.,, Design Guidelines for Pressure Tunnels and Shafts.: The Institute. Broch, E., 1985. Unlined high pressure tunnels in areas of complex topography.: Tapir. Broch, E., Hydropower '92: 1992. Proceedings of the.: A.A. Balkema. Broch, E., 1986. Development of Unlined Pressure Shafts and Tunnels in Norway.. International Water Power & Dam Construction. 1975: IPC Electrical-‐Electronic Press. Broch, E. and Lysne, D.K., Hydropower '97: 1997. Proceedings of the 3rd International Conference on Hydropower : Trondheim/Norway/30 June-2 July, 1997: A.A. Balkema. Belayneh D.T, 2013. MSc thesis, High pressure unlined tunnels and shafts exemplified with Nye-tyin HEP, Norwgian University of Science and Technology (NTNU). Grøv E., Bruland, Nilsen, Krishna Panthi, Ming Lu, 2011. Developing future 20 000MW hydro rlrctric power in Norway - Possible concepts and need of resources, , SINTEF Building and Infrastructure. Hoek, E., 2000. Practical Rock Engineering. J. Bergh-Christensen, 1982. Design of Unlined Pressure Shaft at Mauranger Power Plant. ISRM Symposium: p. 6. Lilleland, O., 2002. Under Pressure at Tyin. Tunnel and Tunnelling, 34 London: Lomax, Erskine and Co. Finnes også som: T & T. Lu M., 2011. Numerical Analysis for Rock Engineering, in Rock Engineering AC. p. 29P. Murthy, V.R.K., 1964. Design of Lined and Unlined Pressure Tunnels Incuding [sic] Water-hammer Effects.: University of Florida. Myrvang, A., 1991. Rock Stress and Rock Stress Problems in Norway. Hudson, J.A.: "Comprehensive Rock Engineering", Pergamon Press. Nilsen, B., Palmstrøm A., Engineering Geology and Rock Engineering.: Norwegian Group for Rock Mechanics. Nilsen, B.and Palmstrøm A., Investigation and Tests Engineering Geology and Rock Engineering. 02 NBG- Handbook: p. 24. Nilsen, B. and Palmstrøm A., 1993. Rock Engineering.: Norwegian Institute of Technology, Division of Hydraulic Engineering. R. Benson, Design of unlined and lined pressure tunnels. 1987/1988 Tunnelling Association of Canada Annual Publication. Reidar S. K., Bergh-Christensen J. and Torbjørn Yri, 1998. The New Tyin Hydropower system Engineering Geology Report, NORSKHYDRO ASA. Ripley, B.D., 1987. Design and Performance of Lined and Unlined Pressure Tunnels and Shafts.: University of California, Berkeley. Norwegian Soil Rock Engineering Association, 1985. Norwegian Hydropower Tunnelling.: Tapir Publishers, University of Trondheim. Lu Ming and Brown E. T., 1988. Designing unlined pressure tunnel in jointed rock. International water & dam construction, 40 (11): p. 5. Tunderbridge, G.L., 1986. Hydraulic fracturing - a simple tool for controlling the safety of unlined high pressure shafts and headrace tunnels. Proceedings of the Intemational Symposium on Rock Stress and Rock Stress MeasurementsiStockholm/1-3: p. 7. Proceedings of the World Tunnel Congress 2014 – Tunnels for a better Life. Foz do Iguaçu, Brazil. 9
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