Design of Tunnel Plugs For Hydropower Projects

10/8/21, 10:58 AM Design of Tunnel Plugs for Hydropower Projects - Hydro Review
Design of Tunnel Plugs for Hydropower

Projects
Project Activity  World Regions  Technology / Equipment  Dams & Civil  Regulation / Policy 
By Hydro Review Content Directors - 6.1.2017
Environmental
More 
Though they are an important part of the dam construction process, tunnel plugs are an
oft-overlooked part of a project’s design.
By Chongjiang Du
Diversion tunnels and access adits to power tunnels at hydropower projects must be
closed with concrete plugs prior to initial reservoir impounding. The primary
responsibility of these plugs is to provide a barrier against reservoir water throughout
the life of the project.
Although the volume of concrete used and costs associated with the plug are
insignificant in comparison to the total project costs, the plug is an important,
permanent element that should receive proper consideration during a project’s design.
However, the schedule for plug construction is usually tight because its construction
typically takes place when the project is approaching completion.
Current design practices draw upon decades of observation and practice, but there is no
consistent nor unified design criteria or engineering practice for tunnel plugs. This article
will draw upon the author’s experience to explicate the subject, with the goal of
providing guidance in the design of tunnel plugs for hydroelectric facilities.
Positioning and structural features

The positioning of tunnel plugs is primarily governed by functional and operational
requirements, while economic considerations are rarely a critical factor in the decision-
making process because of the limited concrete volume and related works. Some
secondary factors – such as the completion schedule, access requirements, water table
level and local geological conditions – could occasionally affect the positioning of the
plugs.
Generally speaking though, common practices dictate that:
https://www.hydroreview.com/world-regions/design-of-tunnel-plugs-for-hydropower-projects/#gref 1/11
For a diversion tunnel, the plug should be arranged in the abutments beneath the
dam, near the dam axis;
For permitting
Project Activity utilization of a diversionTechnology
World Regions tunnel as /aEquipment
headrace, sediment sluicing
Dams & Civil  or Regulation / Policy 
 
flood discharge tunnel, the plug should be located immediately upstream of the
intersection of the diversion tunnel with the vertical/inclined shaft and water
Environmental
conductor tunnel; and
More  access adit to the power tunnel, the plug should be arranged at the immediate
For an
junction with the power tunnel.
Design of Tunnel Plugs for Hydropower Projects
In the latter two cases, additional concrete should be placed for the necessary hydraulic
profile at the junction with the main tunnels. Given the primary requirements to safely
retain the reservoir, a number of concrete outlines may be chosen. In practice, two types
of tunnel plugs are frequently applied at hydro facilities:
Solid concrete plug with or without a grouting gallery (see Figure 1 on page 73); or
Gated concrete plug (see Figure 2, page 73).
The shape of the plug, its contact with the surrounding rock and its stability are the most
important design features for providing stability and favorable hydraulic conditions. For
better plug action and cutting the seepage path along the concrete/rock interface, it is
generally recommended to enlarge the tunnel into a conical shape with the narrow end
facing downstream, then fitting it with a wedge-shaped key. Another advantage of this
“bottle plug” key is that some possible minor gap at the concrete/rock interface caused
by concrete shrinkage could be closed.
The key should be provided at the concrete/rock interface and within concrete to ensure
effective plug action by providing adequate bearing of the plug concrete on the tunnel
lining or plug concrete/tunnel lining on the surrounding rock. The keyway should have a
minimum depth of 0.45 m. At a minimum the key should be constructed at the bottom
and side walls of the plug, in case the construction schedule is tight.
For a tunnel excavated by tunnel boring machine, the depth of the key becomes a
question of the required mechanical support. For a tunnel excavated by drill-and-blast
method, the key should be 1 to 2 m deeper, depending on the blasting techniques and
design.
The key in a diversion tunnel can be excavated before or after the diversion period,
depending on the construction schedule. If the key is excavated before diversion, the
keyway should be filled up with lean concrete to ensure the smooth flow of water during
the diversion period. The lean concrete should be removed before placing the plug
concrete.
The plug should be constructed as a monolithic structure with no transverse joint. To
facilitate grouting, a gallery may be arranged in the plug. Adequate provisions should be
Environmental
made for dewatering during construction. The concrete plug may be placed in lifts. To
ensure proper bonding between two successive lifts of concrete, chipping or roughening
More 
the joints should be performed, along with provisions for suitable dowels. For gated
concrete plugs, reinforcement is generally required.
Typical design criteria for tunnel plugs

Tunnel plugs are significant engineering structures. They are characterized mechanically
by their own stress states and hydraulically by water pressure and flows. The design
criteria should be worked out considering both of these requirements.
Diverse design criteria are used by varying individuals and agencies, but in general plugs
should be designed using the following principals and requirements. The plug:
Is a permanent element and should be designed using the same criteria as the
corresponding water-retaining structures, such as the dam or power intake;
Should be reliable and stable during the project life;
Should be resistant to hydrofracturing of surrounding rock;
Should be able to prevent excessive seepage passing through the plug and adjacent
rock mass;
Should be strong enough to withstand the actual pressure; and
Should be safe against sliding within the structure.
The concrete plug can function as a water barrier when it tightly bonds to its surrounding
rock, forming an integral mass. Behavior of the plug is closely related to its surrounding
rock mass. Therefore, it is necessary to thoroughly treat the surrounding rock mass and
concrete/rock interface so as to get good rock conditions and to eliminate as many small
water-bearing fractures as possible
Moreover, caution is urged over the design interface between the temporary work and
permanent structure because diversion tunnels and adits are designed and constructed
as temporary works, whereas the concrete plug is a permanent structure. This, it is often
necessary to treat the surrounding rock.
Hydrofracturing
Hydrofracturing is an event that produces fractures in a sound rock while hydrojacking or
uplift by the opening of existing cracks of joints due to high-pressure water. This
phenomenon is well-documented. Eliminating the risk of hydrofracturing is a
fundamental task for the engineer involved in the design of tunnels and tunnel plugs. A
number of criteria have been developed to guide the selection of the minimum cover to
prevent hydrofracturing, of which one generally accepted is the Norwegian cover
criterion.1
The minimum allowable depth of cover shall be as follows:
Equation 1
Design of
Environmental
Tunnel Plugs
for
More 
Hydropower
Projects
where:
Hr is required rock cover (m);
FShy is factor of safety for hydrofracturing;
Hw is static water head (m);
w is unit weight of water (kN/m³);
r is unit weight of rock (kN/m³); and
is slope angle of the mountain.
This equation will provide a factor of safety of 1.3 against uplift or hydraulic jacking.
Checks using this equation should consider both lateral and vertical cover and make sure
there are no major interconnected discontinuities or significant deformable zones near
the plug.
In practice, the hydrofracturing check for the plug can be omitted in many cases. These
include when the plug is located in the abutment beneath the dam (hydrofracturing will
not occur) and when the plug is located in an access adit at the junction with the power
tunnel (the hydrofracturing check was performed during design of the tunnel). When in
doubt, the hydrofracturing check should be performed.
Determination of plug length

Determining the proper plug length is an essential part of the design work. It is
unanimously accepted that the static load from water pressure can be considered as only
load for the plug design. The plug should be designed for the maximum reservoir level,
or the full supply level plus water hammer, depending on which is critical.
A safety factor should be designated to cover any imperfections and uncertainties in the
acquisition of parameters, in construction and other rare situations. Water pressure
acting on the plug, depending on the project, varies from low head (10 m) to very high
head (above 1,000 m). Other actions – such as rock stresses, groundwater pressure and
grouting pressure – are insignificant. Earthquake loading – even in the event of a major
earthquake – is not critical for plugs deep underground of 30 to 50 m or more because
the acceleration is significantly lessened and the required factor of safety is low for the
transient conditions. However, seismic loads could become important if the plugs are
located near the tunnel inlet or outlet in a strong seismic region. In addition, water
hammer caused by major earthquakes should be checked.
Environmental
More 
Plugs should be so designed that their lengths satisfy the criteria described earlier. There
are two primary categories of principals to determine the length of the tunnel plugs,
namely:
Punching shear failure mode, in which the plug should have sufficient structural
capacity to carry the static load from the water pressure; and
Hydraulic failure mode, in which the plug should satisfy the requirements in terms of
hydraulic gradient within concrete, at the concrete/rock interface, and through the
rock mass.
In the past, many empirical formulas were used to determine the plug length:
Should not be less than the excavated diameter of the tunnel.2 If the tunnel is not
circular, the equivalent diameter Deq should be used;
For low head projects, should be equal to 2 to 2.5 times the excavated diameter of
the tunnel used;3
Should be equal to 2% to 5% times the static water head for high head projects;4
and
The required plug length Lreq = mHwDeq, where the coefficient m=0.0125 to 0.02.
Nevertheless, the following practice is becoming more prevalent in today’s designs. First,
candidate lengths are calculated using the methods described below. Then, the candidate
with the largest length is adopted as the final plug length. It should be noted that the
finite element method is not deemed necessary to be used in the determination of plug
length because of its complexity.
Hydraulic gradient
Concrete plugs are designed to provide a barrier to axial water flow. This function
requires that the plug has a low hydraulic permeability. The interface between the plug
and rock should be sufficiently sealed. Unfavorably oriented geological structures are
avoided at the location for the plug or sealed by grouting. The maximum linear hydraulic
gradient along the plug axis – that is, the ratio of water head to plug length – can be
considered as a measure of leakage. Higher gradients may lead to unacceptably high
leakage, piping or downstream erosion. The values can be used to determine the
required plug length.
For an individual tunnel plug, the required plug length is then determined using the
following formula:
Equation 2
Design
of
Project Activity  World Regions  Tunnel
Technology / Equipment  Dams & Civil  Regulation / Policy 
Plugs
Environmental for
Hydropower
More  Projects
Regrettably, not much attention has been paid to the hydraulic gradient requirements in
the design of tunnel plugs. Thus it is strongly suggested to take into account this
criterion in the design.
Shear friction along concrete/rock interfaces

The shear friction against sliding along the concrete/rock interface is a commonly
accepted criterion for determining the plug length. The required length is derived on the
basis of the primary principal Vn â‰¥ FSsf – Vu, in which Vn is the shear-friction
resistance of the concrete-rock interface, FSsf is a factor of safety against sliding, and Vu
is the water load acting on the plug.
The shear friction resistance includes two primary contributions: frictional resistance and
cohesion. The frictional resistance depends on the effective weight of the concrete plug.
Because the weight of the concrete plug is comparably small, it is usually neglected and
taken as a safety margin. Thus the equation becomes:
Equation 3
Design of
Tunnel Plugs for
Hydropower
Projects
where:
c is the cohesion intercept (kN/m²); and
Pu is the perimeter of the plug at the concrete-rock interface in unit length in

compression (m²).
A is the cross sectional area of the plug (m²).
In practice, the factor of safety FSsf = 1.5 to 3.0 has been used by various individuals
and agencies. The author recommends the use of values specified by the U.S. Army
Corps of Engineers,6 with FSsf = 2.0, 1.7 and 1.3 for usual, unusual and extreme load
cases, respectively, the same as that for the design of gravity dams. Special attention
should be paid to the perimeter of the plug Pu. Only the part of total perimeter P in
compression can be taken into account in the calculation. For a tunnel with quadratic
shape, the whole upper face may not be in compression and should be ruled out. If the
tunnel has a circular/arch upper face, the upper 120-degree area should be subtracted.
Concrete or rock shear at plug circumferential area

The punching shear of the plug through concrete or rock mass at the plug
Project Activityarea
circumferential  isWorld Regions
another  Technology
frequently / Equipment
used criterion Dams & Civil
for the determination of plug Regulation / Policy 
length:
Environmental
Equation 4
More 
Design of
Tunnel Plugs for
Hydropower
Projects
where:
FSsh is factor of safety against shear failure;
[] is design shear strength of concrete or rock mass (kN/m²), whichever is less; and
Peff is effective perimeter of the plug at circumferential area in unit length (m²).
The design shear strength of concrete can be derived from ACI-350: = 0.170 – and FSsh
= 1.4, in which fc’ is the concrete compressive strength measured by crushing cylindrical
concrete specimens and =0.75 is the strength reduction factor. The project-specific shear
strength of rock mass obtained on the basis of field and laboratory tests is recommended
to be used. In the absence of project-specific data, shear strength may be used. The
effective perimeter of the plug depends on the construction quality, usually Peff =(0.80 ~
1.0)P.
Grouting
Grouting the surrounding rock mass and concrete/rock interface is a primary step for
concrete plug construction. The purpose of grouting is to improve the quality of the rock
mass, reduce seepage and leakage, prevent piping and downstream erosion, and ensure
better shear friction and shear resistance by filling fissures and voids in the surrounding
rock and at the concrete/rock interface.
Curtain grouting
For the plugs of diversion tunnels located beneath the dam, curtain grouting surrounding
the plugs should be performed. The ring curtain grout fan should be extended to the
grout curtain at the dam’s foundation, forming a seepage cutoff to effectively increase
the length of seepage path around the plug. This also decreases seepage passing
through the rock mass.
Consolidation grouting
In poor rock mass with a high permeability, consolidation grouting should be performed
to improve the bearing rock and to reduce seepage. The necessity, extent and details of
the consolidation grouting should be individually determined according to the local
geological conditions. Consolidation grouting should be conducted either prior to the
placement of the plug concrete or after the concrete gains the required strength. The
latter is preferred, if the construction schedule permits.
Contract grouting and backfilling grouting
Environmental
A backfilling grouting system containing feed and return pipes, vent headers and outlets
should be installed prior to placing plug concrete. Water stops should be installed at the
More 
upstream and downstream end of the plug. Through the pre-installed grouting system,
the cavities in the overt area can be backfilled with a grout pressure of 3 to 5 bars at
three to seven days after placing the plug concrete. It should be noted that backfilling
grouting is not performed at many projects, while the cavities and voids in the overt area
are filled during the contact grouting.
Regardless, the concrete plug should be contact-grouted thoroughly to ensure full

contact at the concrete/rock interface. For this purpose, holes of 50 mm to 76 mm in
diameter should be drilled 30 cm to 50 cm deep into rock in the crown portion. The pipes
of contract grouting should be inserted into the holes and introduced into the gallery or
tunnel downstream. The contact grouting should be performed prior to the initial
reservoir impounding as the temperature of the plug concrete drops to a stable
temperature, but at least 1.5 months after concrete placement when a post-cooling
system is not installed. To reduce the lapsed time for dropping the concrete’s
temperature, the installation of a post-cooling system is strongly suggested.
For curtain grouting and consolidation grouting, fan holes are required to be drilled into
the rock mass through concrete. The grout holes should be staggered. In addition, holes
should be drilled at the downstream end of the plug to ensure that any seepage that
bypasses the plug is released to the tunnel in a controlled manner.
Temperature control
Because the plug concrete belongs to mass concrete, temperature control during
concrete placement is necessary to determine the time when the contact grouting
commences. Due to the outlines of the plug and its boundary conditions, no section-
through crack may occur in transverse and longitudinal directions as demonstrated by
construction practices in normal conditions. Like other mass concrete structures, the
temperature control measures for the plug concrete usually include:
Using low-heat cement and/or shrinkage-compensating concrete;
Reducing the cement content;
Project
Using Activity
fly ash or World
 other Regions 
pozzolan; Technology / Equipment  Dams & Civil  Regulation / Policy 
Lowering the placement temperature by pre-cooling;

Environmental
Placing concrete in low temperature seasons; and
More 
Post-cooling using cooling pipes embedded into the concrete.
It should be noted that the post-cooling system, as illustrated in Figure 3, is not used in
most plugs, although it is preferable – especially if the pre-cooling of concrete is not
carried out. Precautions should be taken due to the fact that concrete strength at an
early stage will be decreased by using fly ash or other pozzolan, which may influence the
construction schedule. Thermometers can be installed into the plug concrete to monitor
temperature variations.
Shrinkage-compensating concrete for tunnel plugs

The application of shrinkage-compensating concrete has become increasingly more
common in the construction of concrete plugs during recent years. This type of concrete
is made with an expansive cement or expansive component system, which creates an
autogenous volume expansion of concrete to compensate for possible shrinkage while
cooling.
In this regard, magnesium oxide-based concrete is to be highlighted.7 MgO concrete is

made by adding lightly burnt MgO powder to the concrete mix, which exhibits some
autogenous volume expansion that can effectively compensate for volume shrinkage
while temperatures drop, and for the autogenous volume shrinkage of Portland cement
itself.
With this property, the risk of gap formation at the overt of the tunnel plug is decreased
or even avoided, so that the bonding of concrete to the surrounding rock and the
seepage resistance is improved. As a result, the temperature control can be simplified,
and post-cooling may not be necessary. Therefore, it is highly advisable to construct
tunnel plugs using the shrinkage-compensating concrete.
Concluding remarks
The criteria for the design and construction of tunnel plugs are summarized. In
determination of the plug length, the method and formulas provided in this article should
be used. Grouting the surrounding rock and concrete/rock interface as well as
temperature control for the plug concrete construction are emphasized.
Notes
1Benson, R.P., “Design of Unlined and Lined Pressure Tunnels,” Tunnelling and
Underground Space Technology, Volume 4, No. 2, 1989, pages 155-170.
2“Design and Construction of Tunnel. Plugs – Code of Practice. (First Revision),” Bureau
of Indian Standards, 2004.
3Gan, W.X., “Design of plugs for hydraulic tunnels” (in Chinese), Yangtze River, Volume
32, No. 5, 2001, pages 34-36.
4Bergh-Christensen, J., E. Broch, and A. Ravlo, “Norwegian high pressure concrete
plugs,” in Norwegian Hydropower Tunnelling II, Norwegian Tunnelling Society Publication
Environmental
No. 22, 2013.
More 
5Benson, R.P., “Design of Unlined and Lined Pressure Tunnels,” Tunnelling and
Underground Space Technology, Volume 4, No.2,1 989, pages 155-170.
6“Gravity Dam Design,” Engineer Manual EM 1110-2-2200, U.S. Army Corps of

Engineers, Washington D.C., 1995.
7Du, C., “A Review of magnesium oxide in concrete,” Concrete International (ACI),

Volume 27, No. 12, 2005, pages 45-50.
Chongjiang Du is a concrete and dams expert with Lahmeyer International GmbH.
â— Peer Reviewed This article has been evaluated and edited in accordance with
reviews conducted by two or more professionals who have relevant expertise. These
peer reviewers judge manuscripts for technical accuracy, usefulness, and overall
importance within the hydroelectric industry.
Hydro Review Content Directors

The Hydro Review content team brings you the latest in Hydropower news. Learn about recent
developments in the industry and stay knowledgeable in your field.
   
RESOURCES
About Hydro Review

Contact Us
Advertising
Magazine Article Archive
Environmental
RSS Feeds
Hydro Hall of Fame
More 
Women with Hydro Vision
Hydro FAQs
Hydropower Projects
CLARION ENERGY MEDIA
ESI Africa
Hydro Review
Power Engineering
Power Engineering International
POWERGRID International
Renewable Energy World
Smart Energy International
POWER & ENERGY EVENT SERIES
DISTRIBUTECH International
Enlit Asia
Enlit Australia
Enlit Europe
Enlit Africa
HYDROVISION International
Indian Utility Week
POWERGEN India
POWERGEN International
Privacy Policy
Copyright © 2019 - 2021

Design of Tunnel Plugs For Hydropower Projects - Hydro Review

Uploaded by

Copyright:

Available Formats

Design of Tunnel Plugs For Hydropower Projects - Hydro Review

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Design of Tunnel Plugs For Hydropower Projects - Hydro Review

Uploaded by

Copyright:

Available Formats

10/8/21, 10:58 AM Design of Tunnel Plugs for Hydropower Projects - Hydro Review

Design of Tunnel Plugs for Hydropower

Positioning and structural features

Generally speaking though, common practices dictate that:

Gated concrete plug (see Figure 2, page 73).

Typical design criteria for tunnel plugs

Should be reliable and stable during the project life;

Should be resistant to hydrofracturing of surrounding rock;

Should be strong enough to withstand the actual pressure; and

Should be safe against sliding within the structure.

The minimum allowable depth of cover shall be as follows:

Hr is required rock cover (m);

FShy is factor of safety for hydrofracturing;

Hw is static water head (m);

w is unit weight of water (kN/m³);

r is unit weight of rock (kN/m³); and

is slope angle of the mountain.

Determination of plug length

Design of Tunnel Plugs for Hydropower Projects

Shear friction along concrete/rock interfaces

c is the cohesion intercept (kN/m²); and

Pu is the perimeter of the plug at the concrete-rock interface in unit length in

A is the cross sectional area of the plug (m²).

Concrete or rock shear at plug circumferential area

FSsh is factor of safety against shear failure;

Design of Tunnel Plugs for Hydropower Projects

Regardless, the concrete plug should be contact-grouted thoroughly to ensure full

Using low-heat cement and/or shrinkage-compensating concrete;

Reducing the cement content;

Lowering the placement temperature by pre-cooling;

Shrinkage-compensating concrete for tunnel plugs

In this regard, magnesium oxide-based concrete is to be highlighted.7 MgO concrete is

6“Gravity Dam Design,” Engineer Manual EM 1110-2-2200, U.S. Army Corps of

7Du, C., “A Review of magnesium oxide in concrete,” Concrete International (ACI),

Chongjiang Du is a concrete and dams expert with Lahmeyer International GmbH.

Hydro Review Content Directors

About Hydro Review

CLARION ENERGY MEDIA

POWER & ENERGY EVENT SERIES

Copyright © 2019 - 2021

You might also like