C arhu a qu ero H y d r o e l e c t ri c
Engrs Wat., Marit.
Ing F. Rossinelli, Eudng G. P. &has, BScEng, PhD, FICE, and
D. G. Wardle, BScEng, ACGI, DipHE (Delft), MICE
I This Paper describes the project organiz-
ation, technical definition studies, detailed
design, construction and commissioning
of the Carhuaquero Hydroelectric Project.
The project was designed and built by an
international consortium of companies
with international funding. It is situated
within a zone of high seismic activity in
the Peruvian Andes foothills at about
1000 m above sea level. The Chancay River,
a steep mountain torrent with seasonal
flows that range from 5 m3/s to 1000 m3/s,
provides the power flows, up to 135 m3/s in
the first (75 MW) phase. The topography is
rugged and the narrow Chancay valley
bears evidence of landslides.
During project definition, fundamental
alterations were made to the layout pro-
posed in the feasibility study-the basis
for the design and construction contracts.
The dam was relocated further upstream,
thereby substantially increasing the
reservoir capacity. The headrace tunnel
was changed from free surface to full flow,
with substitution of a headpond by a surge
shaft, and the surface penstock was
replaced by a pressure shaft and tunnel.
The possibility of raising the ultimate
installed capacity from 75 MW to 125 MW
was also identified.
Power flows pass through a large de-
sander, with an automatic flushing
system, to the nominally unlined headrace
tunnel, which is 13 km long and 33-33 m
in diameter. This connects to the surge
shaft, valve chamber and high pressure
shaft and tunnel. The power station con-
tains three 25 MW, vertical axis Pelton
turbines, generating under 500 m head.
Power is supplied to the national grid at
the northern coastal city of Chiclayo
through 220 kV, 82 km long, transmission
lines.
Introduction
This paper describes the project organization,
technical definition studies and detailed design
of the Carhuaquero Hydroelectric Project in
Peru. From the feasibility study to completion
and commissioning, the project took 12 years to
execute, which, although undesirable, was not
unusual for an underdeveloped country such as
Peru with a variety of economic, climatic and
physical problems. These and noteworthy
aspects of the project are covered in the Paper.
Proje c t Proc. Instn Civ.
&Energy, 1994,
106, Mar., l-24
Energy Board
Paper 10143
Background Ordinary Meeting
2. Peru (Fig. 1) is divided into three regions : 5.30 p.m., Tuesday,
the more populated, arid, Pacific coastal strip 10 May 1994
intersected by narrow fertile, irrigated valleys
fed by river basins seasonally flushed with Written discussion
heavy rainfall peaking in March (Table 1); the closes 24 May 1994
generally cold, wet high Andes; and the vast,
hot and humid Amazonian rain forest extend-
ing into Colombia, Brazil and Bolivia.
3. Recently, there has been a surge in
migration of the indigenous population from
the impoverished mountain regions to the
major cities including Lima, Chiclayo and
Arequipa. This has accentuated the demand for
new energy and infrastructure developments to
meet the aspirations of the migrants and to
encourage incipient domestic industry.
4. Electroperu was established in 1972 to
operate and develop the public electricity
supply system with an installed capacity in
December 1986 of 2605 MW (Table 2). A grid
system at 220 kV, 60 Hz, links the centre to the F. Rossinelli,
Engineering
north of Peru (Fig. 1).
Maintenance Manager,
Operations Directorate,
Electroperu SA
Feasibility study
5. The 75 MW Carhuaquero project was
identified in the 1960s within a multi-purpose
development including Tinajones irrigation
scheme. It is situated on the southern side of
the Chancay River in the Andean foothills
82 km east of the coastal city of Chiclayo
(population 500 000). With the oil crises of the
197Os, Electroperu embarked on a substantial
increase in hydroelectric generation. The plan
included the Carhuaquero project to provide
power for industrial development in Lam-
G. I? Sims,
bayeque department as well as to feed into the
Director and Chief
grid. Electroperus investigation organization,
Civil Engineer,
INIE, prepared a feasibility study as the basis
EPD Consultants Ltd
for arranging the financing, design and con-
struction of the project. The feasibility work,
conducted mainly as a desk study, was com-
pleted within 12 months.
6. The feasibility report envisaged a run-of-
river scheme (Fig. 2) incorporating the follow-
ing: a reservoir providing daily storage; an
18 m high concrete spillway dam combined
with an intake and adjacent desander (Fig. 3);
a I3 km long free surface flow headrace tunnel
(Fig. 4) ending in an underground head-pond
8 m wide, 15 m high and 350 m long; a 1.9 m D. G. Wardle,
diameter surface steel pressure pipeline; and Associate Director
a surface power-station containing three and Civil Engineering
25 MW, horizontal axis Pelton turbine generator Consultant, EPD
sets. Consultants Ltd
 I
Contractual arrangements
7. Tendering was based on the feasibility
study. Contracts for design, construction and
financing were awarded by Electroperu in May
1980 to an Anglo-Swedish consortium compris-
ing Engineering and Power Development Con-
sultants (EPD), Skanska and ASEA (now ABB)
(Fig. 5). Both EPD and ASEA signed lump sum
contracts with provisions for escalation or
negotiated changes. Skanskas contract was on
a target cost/remeasured basis. A solidarity
agreement protected Electroperu from inter-

Piura

Chiclayo

75 MW
Hydra-electric
Project

I+
PACIFM: OCEAN

- Rivers
Scale of km
0 500 1000
I I ----I\
National boundaries

v v Central Northern Grid,

220 kV. 60 Hz

Fig. 1. Carhuaquero
location map
 CARHUAQUERO
HYDROELECTRIC
PROJECT

Table 1. Chancay River mean monthlyflows at Carhuaquero (m3/s) (approximately 27years of monthly data)

Month Jan. Feb. Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec. Annual
Maximum 46.9 93.2 155.3 110.7 50.8 30.0 18.8 18.7 34.3 41.8 56.0 44.8
Mean 23.8 31.7 51.7 49.5 30.1 16.2 10.0 7.3 8.9 17.5 20.0 17.5 23.7
Minimum 5.3 94 18.7 14.2 10.2 5.6 5.1 4.0 3.0 3.8 4.9 5.3

consortium disputes. The contracts were
administered and the works supervised by
Electroperu and its appointees. All documents,
official discussions and meetings were in
Spanish.
8. Many subcontractors were also involved.
For instance, EPD used local consultants and
experts in specialist fields including seis-
mology, material analysis and hydraulic model
testing. Skanska shared about 30% of its work
with local companies. The supply and erection
of the turbines and the hydromechanical
equipment was provided by Kvaerner Brug of
Norway. Other suppliers included:
communications-Electrisk Bureau (Finland);
desander flushing equipment-Bieri
(Switzerland); and transmission lines-Balfour
Beatty Power (UK). Later, owing to Peruvian
credit difficulties, the supply and erection of
the transmission line was separated from the
original contract and was completed by a
Peruvian-Argentine joint venture.
9. Since the tender documents had been
based on the feasibility study rather than on a
fully developed tender stage design, the design
consultant, EPD, was required to produce,
within three months of the start of the contract,
an Interim report to review the findings of the
feasibility study. This was followed by a
Definitive report which, in Peruvian practice,
corresponds broadly to tender design but
requires greater detail. The work required
further site investigations and consideration of
alternatives, together with comprehensive
designs, reports and specifications embracing
civil, mechanical and electrical aspects. The
Definitive report was the means by which
Electroperu approved the project layout; it also
became the basis for construction design and
detailing which proceeded concurrently.
Interim report
10. To minimize difficulties in the tight pro-
gramme, EPD started work in April 1980,
before contract signature. Two factors helped :
most basic data were derived from the feasi-
bility study; for cost estimation purposes,
prices were already known from the draft con-
tracts.
Hydrology
11. The Chancay flows in a narrow, steep-
sided valley with stream bed gradients up to 1
in 25. Flows at Carhuaquero depend not only on
the Chancay but also on water diverted from
adjacent headwater catchments (Fig. 6), and
they are used for irrigation downstream. The 27
years of monthly flow data (Table 1) include, in
the later years, the water diverted from the
Chotano; the Llaucano diversion is planned for
future construction to boost irrigation flows.
The flow duration curve (Fig. 7) derived for the
feasibility study is based on monthly flow data
(including the Chotano diversion) but, as only
daily regulation would be available in Carhua-
quero reservoir, EPD developed a slightly lower
curve on which to base energy calculations.
The proposed 75 MW, three set station requires
19.5 m3/s maximum flow which is available for
50% of the time.
12. A minimum daily flow of 3.9 m3/s is
available 95% of the time (the firm flow).
Flood flows (Fig. 8) were reviewed by reference
to hourly peak flow data available from the
nearby Tinajones irrigation scheme-
1000 m3/s is the 1000 year flood peak.
13. Sediment transport data given in the
feasibility study were based on the earlier
Tinajones studies for suspended load (average
600 me/l) and on theoretical calculations of
particle sizes and river discharges for bed load
(average 1150 mg/l). These figures are com-
parable with other Andean rivers.
Geology
14. The feasibility study geological work
comprised a desk study of earlier reports, while
more detailed information became available
Table 2. .??lectroperu installed capacity (1986)
Type of station Size of units Total capacity
>lOMW <lO MW MW %
Number Total Number Total
MW MW
Hydroelectric 44 1900 147 39 1939 74
Thermal 80 475 503 191 666 26
2605 100
Electrical energy generation = 700 kWh/inhabitant, Peru (cf. 5300 kWh/inhabitant,
UK).
 Dam and intake

:allendar-Hamilton

Dam, intake and

desander site
(feasibility study)

708 000 704ooo 696 000 public road 692 000

Scale of km
0 1 2 ?j 4 5
1 I I I I

A Indicates project triangulation points

Elevations in metres above mean saa level

Fig. 2. Project layout

 Headrace tunnel
---_______-.-_._____

I nipe

from the results of core drilling as the project deemed prudent to classify the project within Fig. 3. Feasibility
proceeded. the most active zone in the Peruvian seismic Study: dam, intake
15. The rock in the project area, sum- risk map. Two earthquakes were defined: the and desander
marized in Table 3, is mainly Tertiary volcanic, design earthquake with an annual risk of 5% ;
consisting of a sequence of volcanic cones the maximum credible earthquake, as given in
buried by debris from later eruptions. The most Table 4.
common rock types encountered during tunnel- 19. Problems identified for later study
ling were strong coarse andesitic agglomerate included the following.
and andesite. A wide variety of agglomerates
(a) The dam and intake would be founded on
and tuffs also occur, whose composition
massive andesite on the right bank but on
includes rhyolite, dacite and trachyte. A bedded
increasing depths of alluvium towards the
series of weaker rocks occur within the typi-
left bank.
cally poorly bedded volcanics, comprising tuff,
siltstone, shale and limestone.
16. The bedrock has a gentle southerly dip.
Table 3. Major rock types
Multidirectional steeply dipping jointing and
fracturing is common. The tunnels are
Rock rype Density:
occasionally intersected by narrow shear and
kg/m3
fault zones, and by areas of brecciation and
disturbance.
17. In-situ rock stresses over the project immersion in
area have been influenced by unloading
attributable to recent rapid erosion of the
deeply incised river valleys. The region is tec-
tonically active, and the seismic data infer a Agglomerate 2520
roughly east-west orientation of major prin- Andesite 2410-2680
cipal stresses. l Limestone
Rhyolite Tuff 2460-2510
18. Following general seismic studies com-
Dacite Tuff 2560-2550
missioned from specialist consultants, it was
 \
La Cartel
..^I,^., I I Tupala
VIllP A Playita Seca
valley

, 4 Puy;aJep \

Surge Elevation: m
Intake tunnel Shaft -1000
Reservoir normal /

h
maximum operating Desander
level 871-5 m Surface
A Free surface headrace tunnel ffeasibility study) - 900
r / Underground forebay pressure
pipeline
(feasibility
study)
- 800

I - 700
Valve
chamber
/I
4400 m 8700 m - 600
.-,4- Drill and blast tunnel
I-
TBM tunnel
600 m

--00 -
9
@
A - A B - B c - c D-D
Power statron
Drill and blast Drill and blast Bored tunnel Bored tunnel, Concrete lined Steel lined
runner elevatron
tunnel, tunnel, full concrete lmrng pressure shan pressure tunnel
370.9 m
concrete Invert full concrete lining where necessary
where necessary

Tunnels and shafts have rock bolts and shotcrete lining where rock conditions dictate

Fig. 4. Longitudinal profile of project

I ELECTROPERU - Supervisor

r---------------- - - - - - - - - - - - - - ____________________----
I 1
I I
I Design Consultant: Civil Contractor: Electrical and Mechanical I
I I
I EPD SKANSKA Contractor: ASEA
I (Lump sum) (Target work, remeasured) (Lump sum) I
I I
I
L -----_ I - - - _ I ---- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - _ I
I t t
Local consultants Local contractors Turbines and hydromechanical
equipment
Kvaerner Brug

I
Local contractors

- - - - Scope of solidarity agreement

Fig. 5. Contractual
a organization

Fig. 6. Catchments above Carhuaquero

5. * .z;
I---- Continental drvide Scale of km
- Isohyets: mm/year
Op
 Table 4. Seismic accelerations

Topography
20. Photogrammetric plots at 1 : 10 000
scale, provided by INIE, confirmed the levels
given in the feasibility study to sufficient accu-
racy for the Interim report. More detailed
surveys were made for access roads, bridge
sites, camps, the intake and power station. The
Fig. 7. Flow-duration (b) The impounded lake might undermine the reconnaissance of the Tupala valley (Fig. 2)
curves near vertical right bank. tunnel adit access road revealed steep terrain
( c ) The headrace tunnel line passed under with cross-slopes of 40 to vertical. The tri-
deep gulleys but, owing to the rugged angulation needed to link the intake area to the
terrain, drilling was uneconomical. power station was complicated by the narrow
(d) The pressure pipeline route crossed a con- valley and steep terrain. In order to obtain suf-
siderable depth of colluvium which provid- ficiently large, well-conditioned triangles, many
ed poor foundations. of the survey points had to be sited on adjacent
Fig. 8. Typical (e) The power station was founded on collu- hillsides at almost inaccessible locations over
Chancay River floods vium. 1000 m above the river.

Turbine g e n e r a t o r s
21. Based on modern design and experience,
Kvaerner Brug offered vertical axis, five-jet
pelton turbines rather than the two-jet, double
overhung, horizontal sets indicated in the feasi-
bility study. The advantages were a higher and
flatter efficiency curve over the whole range of
Date Peak flow: m% operation (Fig. 9), a simplified manifold
7( March 1983 784 arrangement, fewer inlet valves, easier disman-
April 1977 431 tling of the turbine runner, and a slightly lower
April 1973 385 setting giving increased head and reduced
spacing between sets. The changes gave
increased output worth about LJS$270 000 per
annum and capital cost savings of about US$2.2
million.
3
E
2 5t Electricity supply system
P
LL
22. The feasibility study viewed Carhua-
quero in relation to its immediate load zone of
Chiclayo and Pacasmayo but, as the northern
and Lima systems were to be linked, EPD reass-
essed the scheme within this wider context.
During high flows, surplus output from Carhua-
quero can supply the grid, thus saving fossil
31
fuel elsewhere; during low flows, a local energy
deficit can be supplied from the grid. Typical
daily load curves are shown in Fig. 10.
23. Of the alternative transmission schemes
considered in the feasibility study, a single
. circuit 220 kV line to Chiclayo was confirmed
as the most suitable. The security of a second
circuit was rejected on grounds of cost and the
high reactive power generated. The Carhua-
I(
24 6 12 18 24 6 12 18 24 6 12 quero line is provided with single pole auto-
Time reclosing, compatible with the existing grid.
Project layout studies
91-
24. The following three feasibility study
recommendations came under particular
review.
(a) The 75 MW installed capacity appeared :
unduly conservative in relation to the B Two jets, 450 rprn; horizontal
C Two jets, 514 rpm, horizontal
flow-duration curve.
(b) The free flow headrace tunnel, capacious 85 I I I I I I 1 I I I
underground head-pond and overflow 6 a IO 12 14 16 18 20 22 24 26
Output: M W
channels did not appear to compare well
with a full flow tunnel and surge shaft
which would save water, increase energy
and give better operation, particularly for required owing to the dry period firm Fig. 9. Turbine
peak lopping. power from Carhuaquero when used for efficiency curves
( c ) The steel, surface-mounted pressure pipe- peak-lopping purposes.
lines were reviewed on the basis that a ( c ) Net present value analysis was made to
concrete-lined, pressure shaft and tunnel obtain the equalizing discount rate for Car-
might be cheaper. huaquero against thermal generation, cal-
25. Installations of three, six and nine culated over a 40 year life.
25 MW sets were studied (using 20 m3/s, 31. Heavy fuel oil costs in 1980 (Table 8)
40 m3/s and 60 m3/s discharges). This showed when adjusted to July 1979 prices, indicated
that the optimum was five or six sets for exist- that US$135/t would be appropriate, leading to
ing flows, while with the later Llaucano diver- fuel costs of about 0.046 US$/kWh. In Peru in
sion, seven or eight sets would become 1980, electricity generation costs were about
worthwhile. Budgetary constraints influenced 0.09 US$/kWh but, because of subsidy, sales
Electroperu in deciding to limit Carhuaquero were at 0.03 US$/kWh. The conservative value
Stage 1 to three sets (75 MW) and Stage 2 to of 0.04 US$kWh was adopted for study pur-
five sets (125 MW). poses and applied to the average annual energy
26. The headrace study compared the pre- available (Table 9) to obtain the fuel benefits.
viously recommended free flow tunnel with a 32. Capital costs of typical fossil fuel fired
full flow alternative. Lined invert and fully generating plant in 1980 are shown in Table 10,
lined tunnels, with the necessary surge shaft, and US$llOO/kW installed was adopted for cal-
were considered. Costs are compared in Tables culation. The firm flow of 3.9 m3/s would Fig. 10. Typical daily
5 and 6. The lined-invert, full-flow tunnel was provide about 48 MW, giving a firm power load curves, Chiclayo
recommended, with full lining where necessary. benefit of US$52.8 million. area
27. The pressure pipeline was estimated to
be slightly cheaper than the shaft and tunnel.
The potential difficulty with anchor-block foun-
dations and the greater security against earth-
quake when underground meant that further 1
study was required for the definitive design.
28. The reservoir, dam, intake, desander
and surface power-station arrangements given
in the feasibility study were accepted subject to
review for the definitive design.

Construction programme
29. The feasibilty study construction period
of 54 months was reduced to 45 months in the
contracts. The most critical items were the
access roads and bridges, and the headrace
tunnel.

Scheme economics A Feaslbllity estimates for 1990

30. An economic assessment of the 75 MW
Stage 1 scheme was carried out as follows. B Curve C plus 20 MW Increase for
20 - cement works
(a) Costs (Table 7) were derived from contract C Actual load for northern system,
prices. north of Chimbote, 1990
(b) Benefits were the fossil fuel costs saved
with Carhuaquero operating, together with
0 t
4 0
I 1
12
I
16
I
20
J
24
the capital costs of the thermal plant not Hours of the day
Table 5. Capitalized head loss savings using full flow headrace tunnel*

-free surface tunnel

* Prices at July 1979; Cost of energy 0.04 US$/kWh; Discount rate 10%; Life 40 years.
For comparative purposes only, in this table the full flow tunnel has been assumed to be lined throughout.

Table 6. Capital costs of tunnels with forebay

07 surge shaft

-full flow tunnel,

lined invert

-full flow tunnel,

fully lined

Table 7. Estimated scheme costs (VS$ million) (base date July 1979)

Item Feasibility study Stage 1 scheme

Headrace tunnel hydraulics Free surface flow Full flow

Maximum discharge 21 m3/s 19.5 m3/s*

Civil engineering works 63.7 54.3t

Electrical and mechanical 52.2 52.9
engineering works

Totals 115.9 107.2

* Slightly smaller flow needed owing to reduced head losses.

t Includes lined invert tunnel.

Table 8. Heavy fuel oil costs in 1980

Location Fuel oil cost:

uswt

USA 110-120
Panama 150-152
Peru (for international sale) 149.5
Peru (for local sale) 76
 33. Allowing for the timing of costs and Table 9. Average annual energy available
benefits, discounted cash flows were prepared
that considered energy benefits alone and with Scheme Maximum Average Annual energy available
firm power benefits added (Fig. 11). The equal- discharge : discharge:
m3/s m/s Fully lined Lined invert
ising discount rates obtained, 13% and 18%
respectively, were robust and confirmed project tunnel : tunnel:
GWh GWh
economic viability.
Feasibility study 21.0 16.8 516 -
Definitive design scheme
34. With the Interim report accepted, defini- Stage I scheme 19.5 15.4* 540t 540
tive design work proceeded. The urgent topics
for study were * The slight reduction from the feasibility study scheme is attributable to the use
of daily rather than monthly mean flows for the flow-duration curve; a further
(a) items on the critical path, namely accesses reduction is attributable to the lower required flow for the same power output.
and the headrace tunnel t The increase over the feasibility study scheme is attributable to reduced head
(b) consideration of the geological site investi- loss.
gation results
( c ) revision of the intake area layout.

Access to site Table 10. Capital costs of fossil fuel fired plant
35. A main road into the mountains (Fig. 2) in 1980
existed on the right bank of the Chancay. The
river valley is steep sided and the road is Station type Unit cost of
unpaved, narrow and tortuous; furthermore, installation:
the site was on the opposite bank. To provide US$jkW
temporary access to the intake area (Fig. 12), a
Callendar-Hamilton bridge was erected on Medium speed diesels 1000-1100
abutments consisting of massive boulders. Slow speed diesels 1400-1600
Coal fired steam plant 930
36. An old, left-bank road, partially
destroyed by landslides, was reopened to the
power-house area, and a second Callendar -
Hamilton bridge was provided nearby, founded
partly on the piers of a previous bridge. A tor- (f) that the reservoir volume was small,
tuous route up the steep hillside (Fig. 17) was thereby creating a possibility of rapid silt-
located to give a 10% gradient for the 400 m ation
climb to the head of the pressure pipeline and (g) that there was a danger that the reservoir
the bottom of the 30% gradient to the top of the water would destabilize the toe of the
surge shaft. 100 m high, vertical, right-bank hillside
37. A 9 km access road to a Tupala tunnel formed of alluvial material
adit was found impractical : not only would a (h) that it would be extremely difficult to
bridge have been needed over the river, but sec- arrange the main road diversion on the
tions of the road would have required extensive right bank.
ground stabilization works and the construc-
39. About 500 m upstream of this location,
tion of short tunnels, or overhanging half- the Chancay passed through a deep 2 m wide
tunnels, excavated in rock precipices. The high
gorge in solid rock. This site had been rejected Fig. 11. Economics of
cost of this road and the time needed for its by INIE because it had been feared that solu- Stage I scheme
construction resulted in reconsideration of the
tunnelling methods.

Intake area layout

38. The feasibility study intake area layout (a) Energy and firm power benefits
80- 64 Energy value: 4 cents US/kWh
presented several difficulties, namely
z (b) Energy benefits
(a) that many major structures were close
0 Energy value: 4 cents US/kWh
together with little working space a4. - W
(b) that the dam was founded partially on rock 2
and partially on alluvium F
( c ) that it would be difficult to arrange the E
8
river diversion in the confines of the bed 2a O-
(d) that it would probably be difficult to
P I - : : - . - - : -
balance the flows between the desander
channels, owing to the curvature at the
-40
intake. 10 12 14 16 18 20
( e ) that the flood gully crossed the desander Discount rate: %
 707 000

0 50 100

Fig. 12. Intake area layout

tion passages would form through a white joint
infill material. Subsequent investigation proved
the rock to be mainly a grey, widely jointed,
fine to coarse, andesitic agglomerate with
inclined bands of closely jointed, andesitic lava.
The white joint infilling was either calcite or
zeolite. Unconfined compressive strength in
both materials was about 100 MPa. Per-
meability was generally low except in some
shear zones. It was concluded that, with suit-
able foundation treatment, this gorge would
provide a better dam site. Many other advan-
tages accrued (Fig. 12).
(a) The dam and intake, desander, tunnel
portal, access bridge and river diversion
sites were all separately located, thus pro-
viding better working spaces.
(b) The river diversion was simplified using a
diversion tunnel from upstream of the dam
to the Cirato River, a downstream tributary
of the Chancay.
(4 The operating level of the reservoir would
be 20 m higher, thus increasing the head
and energy output.
(4 There was a better desander layout.
(4 The box culvert could be arranged to
provide vehicle access to the headrace
tunnel for maintenance.
(fi The flood gully could discharge over the
box culvert.
&I The reservoir provided 50% more live
storage and an eightfold increase in dead
storage.
@I Much of the toe of the right-bank hillside
would be unaffected by reservoir water.
The main road diversion could be effected
by a new cutting, the old road providing
access to the dam crest.
40. The hydraulic functioning of the major
structures was modelled at the National
Hydraulics Laboratory in Lima; the diversion
works, intake and dam were at 1 : 40 scale and
the desander at 1 : 20 scale.
41. The diversion tunnel was designed for
320 m3/s, a three-year flood, so the upstream
cofferdam was designed with a reinforced
downstream slope in the expectation of over-
topping.
Reservoir area
42. The unsurfaced Santa Cruz main road is
on the right bank of the Chancay. About 2000 m
upstream of the dam, the road is located at the
foot of a cliff on top of a concrete retaining wall
standing in the river bed. In view of the diffi-
culty and cost of realigning the road, the level
at this point was accepted as the control for the
maximum level in the reservoir.
43. In view of the unstable nature of the
banks on both sides of the river, the geomor-
phology of the reservoir was examined using
1 : 55 000 air photographs, oblique air photo-
graphs, surface photographs and site inspec-
tion. The steep river gradient and its shape
suggest a youthful stage of erosion, modified
by successive down-cutting in response to
regional uplifting.
44. The valley was blocked in recent times
by a substantial natural dam formed several
kilometres downstream. The sediments depos-
ited in the resulting lake blocked the original
river bed which ran to the left of the Andesite
hill forming the left abutment of the dam.
45. The valley slopes are being eroded by
gullying on the higher slopes and by erosion on
the lower slopes, as evidenced by the pattern of
truncated shoulders at river level. Upper parts
of the slopes are steep and further small fail-
ures may occur. The lacustrine deposits of silt
and clay blocking the earlier river bed have sta-
bilized at a slope of about 45 where they are
protected by colluvium. Elsewhere, they stand
vertically up to 25 m high and are protected by
a sloping beach at the toe.
46. The reservoir is small, and its effect on
the stability of the adjacent hillsides is not
expected to be severe; however, regular inspec-
tions by qualified personnel have been recom-
mended.
Dam and buried valley
47. The dam (Fig. 13) is designed as an arch
(base width 7 m) spanning the narrow gorge. It
was checked for normal, emergency and
extreme loads, the latter including the
maximum credible earthquake forces. It carries
the spillway of three 7 m wide by 9 m high
radial gates capable of passing 1000 m3/s at
maximum flood level. At dam crest level the
gorge was widened to 31 m to accommodate the
spillway. At lower levels, the gorge is concrete
lined and acts as the stilling basin with an
outlet sill to retain a water cushion. The centre
gate discharges directly into the gorge, but
flows from the two side gates are directed to
impinge against each other, thus providing
energy dissipation.
48. To avoid forming solution passageways
through soluble rock, the permeability in sheer
fracture zones in the dam abutments was
reduced by grouting.
49. The steep slopes rising above the dam
crest by about 30-50 m required terracing and
rock stabilization measures.
50. To the left of the present gorge and dam
site, a former river valley, about 20 m deeper
than the present valley, has been infilled by
lacustrine deposits. This natural fill dam has
very flat slopes, so although seepage was
expected, it would not be to the extent that
grouting was considered necessary. Also,
natural fine sediment deposition in the
reservoir over the project lifetime would further
reduce the permeability. Provision was made,
however, to add fill with reverse filter charac-
 872 maximum Radial gate
flood level 7 m wide x 9 m h!gh

-. \, Original ground
\\ line
Plan Cross-section

Scale of m
0 10 20 30
L A - -
Upstream elevation

Fig. 13. Dam teristics on the downstream slope, in case
seepage should prove excessive or harmful.
Intake, intake tunnel and desander
51. To aid in excluding sediments from the
power flows, the intake (Fig. 14) is located close
Fig. 14. Intake to the dam. It has an invert level 4 m higher
than the spillway crest, and the left bank spill-
way gate will be left partly open whenever
there is adequate flow in the river. Annual
flushing of the reservoir should also be possible
during high flow periods to reduce deposited
sediments. The intake location is a compromise
between a solution that is the best hydrauli-

Intake gate - _
Access

Sectlon A-A

Scale of m
0 5 10
I I
tally but is expensive to construct, and a least-
cost solution with poor hydraulics.
52. After it has passed the trash rack at the
intake-maximum velocity 0.4 m/s (0.7 m/s in
Stage 2)-the power flow is accelerated to enter
the intake tunnel and pass to the desander (Figs
15 and 16) where it is decelerated to 0.2 m/s or
less in the desander settlement channels. Thus,
the majority of sediment particles of 0.2 mm
diameter or greater should deposit in the
correct location and not before. The sediment
collected can be discharged periodically by the
opening of hydraulically activated gates set in
the bottom of each channel. The system, manu-
factured by the Bieri company, has been used
elsewhere in Peru for the heavily silt laden
rivers of the Andes. The sand discharge chan-
nels, which are epoxy coated to resist erosion,
discharge to the Chancay.
53. The free surface flow intake tunnel and
the desander are, from a hydraulic point of
view, part of the reservoir so that throughflow
is determined by turbine demand without the
need for regulating controls at the intake area.
The use of the deepest flow available minimizes
the velocity through the desander, thus
reducing the sediment load in the power flow,
and maximizes the head on the sets, thus gener-
ating extra energy.
Headrace tunnel
54. Since the feasibility study, fuel costs
had increased relative to construction costs;
therefore, the optimum headrace tunnel dia-
meter increased. Also, the Tupala adit,
intended to provide two working faces, had
been found to be impracticable, but the original
drill and blast tunnel excavation method would
have taken too long when working from the two
ends alone. Accordingly, Electroperu agreed to
the provision of a tunnel boring machine
(TBM), the first in Peru, for excavation of about
two-thirds of the tunnel from the downstream
end. The replacement of the massive, under-
ground head-pond by the much smaller surge
shaft was beneficial to the programme. The
TBM not only proceeded twice as fast as drill-
and-blast methods but also gave a smoother
finish, thus minimizing friction losses in oper-
ation.
55. Before tunnel construction could be
started, it was necessary to fix the tunnels line
and levels. The full flow configuration had
freed the tunnel level from absolute dependence
on the reservoir level, flow capacity, friction
losses or head-pond level-the essential cri-
teria being that the soffit should always be
drowned at the intake and be below the hydrau-
lic grade line, even under future flows. At the
intake end, the dam location was still being
investigated, so the level was set for the lowest
upstream water level which could reasonably
be foreseen, based on the feasibility layout. At
the surge shaft end, the level could be any-
where below the lowest surge which could
occur under Stage 2 operation, provided that
the gradient was not so steep as to cause diffi-
culties in construction or operation. This level
was actually determined by the existence on the
precipitous hillside of a small platform with
adequate working space from which to con-
struct a tunnel portal.
56. The tunnel line was selected to give ade-
quate cover where it passed under the deep
valleys of La Cartel, Tupala and Playita Seca
(Table 11). Initially, this was based on the 1 in
10 000 survey maps but was spot checked later
by trigonometric means when the project tri-
angulation was established.
57. Although it had been normal Peruvian
practice to provide a full concrete lining for
hydroelectric tunnels, Electroperu accepted the
recommendation to use a nominally unlined
headrace tunnel (Fig. 4). The decision was
based on three main criteria
(a) it promised a potential capital cost saving
estimated at US$lO million
(b) the headrace tunnel construction time
would be cut by several months
( c ) the overbreak could give important bene-
fits in reducing frictional losses.
58. Tunnel support design was based on the
assessment of geotechnical parameters in situ,
including the Q factor developed originally by
the Norwegian Geotechnical Institute.* The
application of this method was complicated
because the designer did not have a site-based
tunnel engineer and because there was a sub-
stantial delay between the excavation of the
tunnel and the installation of the permanent
support. Consequently, the original support
design became inappropriate. To overcome
this, the permanent support requirements for
the tunnel were redefined in the light of the
following
(a) the tunnel geological log
(b) the assessment of & at frequent intervals
(c) the physical properties of the rock encoun-
tered
(d) the nature of the joint infill : i.e. expansive
or not
( e ) the summary of construction progress
(f) the instrumentation data, including tunnel
diameter and extensometer readings.
59. The drill and blast tunnel has concrete
invert lining to provide a suitable running
surface for maintenance vehicles entering the
tunnel by way of the desander. A rock trap is
constructed at the downstream end of the
tunnel. Man access is provided adjacent to the
control valve, and machines could enter the
tunnel by removal of the valve itself.
 0@1 0
Scale of m

do

Fig. 15. Desander: plan

Fig. 16. Desander: sections

Sand discharge
channel

Section A-A

Slide
Slide

Normal maximum Minimum water

Sand discharge
channel

Section B-B
Scale of m
0
L--!L21
Pressure waterways Table 11. Rock cover to headrace tunnel*
60. The Interim study left unresolved
whether or not to adopt a surface pressure pipe- Low cover point Static Vertical Horizontal
line or a pressure shaft and tunnel (Fig. 17). (distance from head : cover : cover :
Geological investigations (Fig. 18) revealed that upstream portal) m m m
there was a deep zone of rock weathering
around the central part of the pipeline route La Cartel (5.3 km) 61 100 300
Tupala (9.4 km) 89 60 2300
and that the lower part of the steep slope was Playita Seca (11.5 km) 105 156 300
covered with colluvial material up to 20 m deep.
Accordingly, the pipeline would present diffi- * Maximum vertical cover about 1000 m (3.4 km from the upstream portal).
cult anchor block foundation conditions and
would require expensive drainage provisions.
By contrast, the horizontal pressure tunnel
would be excavated in a massive agglomerate,
with excellent tunnelling conditions. The pres- 64. Access to the pressure shaft is by means
sure shaft would pass mostly through a varied of an inspection cage lowered by winch through
sequence of tuffs and lavas but with a zone of a hatch provided at the upper bend within the
mudstones and shales towards the top. The valve chamber (Fig. 4). Access to the pressure
shaft and tunnel could be entirely steel lined or, tunnel is through manholes in the pressure
where possible, concrete lining could be pipes within the power station.
adopted. With optimized diameters, the capital
costs and head losses of the three options were
calculated (Table 12), whereupon the partly
Power station area
steel-lined pressure shaft and tunnel were
65. No major change was made to the power
recommended. The relative novelty of the pro-
station area plan (Fig. 19) except to provide for
posed solution was unacceptable initially and
the future extension to five sets. The discharge
Electroperu ordered work to proceed on the canal joins the Chancay by way of a standard
surface pipeline. During clearance for the pipe-
USBR energy dissipator downstream of a
line route, trial pits were excavated and, at the
natural rock sill, thus lowering the set centre-
middle anchor block location, the colluvium
line and maximizing the head on the station.
was not considered a suitable foundation. An
When the river flows exceed 580 m3/s (1 in 25
independent review panel established by
year case), the Pelton buckets are drowned and
Electroperu endorsed the recommendation to
the station has to close down temporarily.
construct a partially steel-lined pressure shaft
66. The power station is founded on well-
and tunnel. compacted and dense alluvium containing boul-
61. Perhaps the most important decision in
ders up to 2 m in diameter and reaches 20 m
respect of the shaft and tunnel arrangement is
depth overlying rock. To handle seismic condi-
the extent of the steel tunnel liner. A liner is tions more easily, the power station (Fig. 19) is
needed wherever the internal water pressure
divided structurally into separate blocks where
exceeds the confining stresses in the surround.
there are significant changes in the cross-
ing rock mass. Apart from the obvious dis-
section or foundation depth.
advantage of uncontrolled loss of water, the
67. The design of the distributor (Fig. 19)
additional forces exerted on the surfaces of
was dominated by the need to allow for relative
joints could affect adversely the stability of the
underground works or the adjacent hillside. movement between the power station, on allu-
vium, and the pressure tunnel lining, in solid
The approach adopted was that of measuring
the minor in-situ principal stress, and if this rock. Finite-element analysis was used to
adjust the distributor geometry to permit
exceeded the pressure in the tunnel by an ade-
12 mm relative movement in any direction and
quate margin, no steel lining was needed.
62. No satisfactory method exists for taking
account of residual tectonic stress in the calcu-
lation of the in-situ stress, hence it was mea-
sured directly. A CSIRO hollow intrusion cell
was used in an over-coring technique. The Table 12. Pressure pipeline or pressure shaft and tunnel alternatives
measured in-situ principal stresses ranged from
23 & 7 MPa to 6 k 1.5 MPa. Alternative Comparative Head
63. Measured bearings and dips were con- cost: losses :*
sistent with the topography. The calculated US$ million m
lithostatic overburden pressure is 9 MPa, sug- 6.99 8.92
Surface pressure pipeline
gesting that the in-situ stress field is influenced Pressure shaft and tunnel-fully steel lined 13.83 6.83
by tectonic movement, perhaps associated with Pressure shaft and tunnel -partly steel lined 6.56 6.73
the active subduction nearby of the Nazca Plate
beneath the South American Plate. * At maximum discharge for three set (75 MW) station.
 to calculate the forces on the power station
resulting from seismic activity.
68. Extensive slope protection measures
were needed on the steep hillside above the
power station. Drainage from the area is carried
in gullies on either side of the power station,
which is a cheaper solution than would have
been possible for the surface pipeline route.
Transmission line route
69. The power-station substation is about
1000 m downstream on the opposite bank of the

ZV transmission Iirie/(l
Pressure
/ tunnel \ ,iv., \

Power
station
3xmv

Scale of m
0 200 400 600 600 1000
1 I I I I I

Fig. 17. Power

Station area
 Surge shaft
LWZl Andesitic agglomerates/tuffs esl Calcareous mudstone
cz] Rhyolitic tuft @JJ Porphyritic lavas
Chancay (Fig. 17), the closest level space of suf-
ficient size. Each unit generator transformer
steps up from 10 kV to 220 kV, with an individ-
ual circuit to the substation.
70. The 82 km single circuit 220 kV trans-
mission line route from Carhuaquero to the Chi-
clayo substation, where it joins the grid, was
selected by a reconnaissance and tacheometric
survey. It passes over irregular terrain until it
reaches the cultivated lands on the outskirts of
Chiclayo. Many of the towers were located on
high points to enable the spans to be increased,
the maximum span being about 880 m. Many of
these high points were found to be ancient look-
out sites of pre-Colombian civilizations. The
line also had to cross an area containing many
large unexcavated burial mounds. The authori-
ties declared these as areas of special archae-
ological interest, and about 190 tower
foundations had to be carefully investigated by
archaeologists before permission was granted
to construct the line.
Construction and commissioning
Sources of construction materials
71. Ordinary Portland cement was obtained
locally from Pacasmayo, 180 km from the
project. Sulphate resisting cement, for use in
the underground works, and natural pozzolana
(volcanic ash), for use in pressure grouting,
came from works near Lima (840 km away).
72. The river Chancay provided a readily
available source of boulders and river sand for
concrete aggregates. The rock spoil excavated
and shale
Fig. 18. Pressure
shaft and tunnel:
geological section
from both the dam and the tunnels was not
used as aggregate because it was generally not
sufficiently strong.
73. Most reinforcement bars were obtained
locally, but 25 mm diameter reinforcement had
to be transported over 2000 km from a steel mill
near Arequipa.
74. Specialist materials from overseas,
usually procured from Europe, included con-
crete admixtures, geotextiles and waterproofing
elements. Imported materials, including all the
construction machinery and the permanent
plant, were landed at the port of Paita, about
280 km from the project. Explosives were
obtained locally, and ANFO was used for the
drill and blast tunnels.
Roads, camps, water supply and drainage
75. As the site was in a remote area, exten-
sive new infrastructure was required, which
took about one year to develop. Several tempo-
rary camps and offices were constructed
catering for up to 200 staff and their families,
and about 1500 technicians and workers. The
permanent staff are housed in Chiclayo. The
project roads, constructed of roller-compacted
fill with gravel surfacing, required a pro-
gramme of continuous maintenance to regrade
the running surface, reduce dust and repair
occasional flood damage. Where required,
gravity retaining walls, incorporating Cyclo-
pean concrete in accordance with a local design,
were used.
76. Water for both potable and construction
use was abstracted from the Chancay and
 treated by a plant of modular design, using
back-flushing filters. During the wet season,
when sediment concentrations were very high,
filter wells near the river were also used
together with a large settling lagoon to help
remove the sediment. The treated water was
pumped about 5 km to the camps, using galva-
nized steel pipes placed directly on the ground
which avoided the cost of excavating trenches
in the hard ground.
77. Storm water, collected around struc-
tures, project facilities and along roads, dis-

0
,....5O
Scale of m Section A-A

\\ : : ;

0 50 100
11 11 11 1 I
Scale of m

Plan

Fig. 19. Power

station
charged to gullies by way of open stone-pitched
channels connected to buried corrugated steel
pipes at road crossings. Concrete fords were
used where streams and gullies intersected the
roads. It was recognized that these drainage
facilities would require regular maintenance.
Sewage was treated by aeration and settlement
before discharge to the Chancay.
78. There were no telephone lines to the
project site so a radio link was used between
the site and Chiclayo.
Tunnel boring machine
79. A 3.8 m diameter Atlas Copco Jarva
TBM was selected. The machine was about
150 m long and was assembled at the headrace
tunnel downstream portal area (Fig. 20).
80. The generally dry and hard rock condi-
tions did not require either a protective hood or
facilities for bolting or shotcreting close to the
face, and there was no requirement for advance
probing and grouting. The machines single
disk cutters were designed to drive in rock with
an unconfined compressive strength of about
30-300 MPa. The cutters applied a load of
about 100 kN. Tunnel spoil ranged in size
between 0.1 mm and 50 mm. The TBM drove
8 km of tunnel at an average advance rate
of 94 m/week; this compared with the 5 km
driven by drill and blast at an average rate of
41 m/week. The TBM recorded maximum
penetration rates of 718 m/month and 65 m in
one 24 hour day.
81. The TBM met the drill and blast tunnel
at chainage 4.4 km (Fig. 4) with an accuracy of
150 mm. Compared with the drill and blast
drive, the TBM caused virtually no damage to
the rock, as strikingly demonstrated at the
breakthrough point (Fig. 21).
El NiGo
82. In the early months of 1983, the nor-
mally dry coast of northern Peru suffered
several weeks of torrential rainfall. This was
associated with an unusually deep penetration
of the warm Pacific ocean current, El Nifio, into
the normally cold waters on the western sea-
board. An analysis of historical rainfall data
suggested a 50 year return period for this
event. Areas of northern Peru were devastated
by the heavy rainfall. Project installations
under construction were damaged, including
the powerhouse which was partly buried under
a mud slide. Roads were destroyed and the
camps were cut off for several weeks. The
upstream cofferdam was overtopped but the
dam was sufficiently advanced not to suffer
major damage. A smaller cofferdam was con-
structed later to complete the dam. Based on
these experiences, drainage and slope protec-
tion measures were considerably strengthened.
Delays during construction
83. The preliminary construction works
began in 1980, and by the end of 1981, most of
the project infrastructure was in place. Excava-
tions for the permanent excavations also began
in 1981; the headrace tunnel drives were started
in February (upstream) and April (downstream)
Fig. 20. Tunnel
boring machine
Fig. 21. Junction of
TBM tunnel with drill
and blast tunnel
1981. Construction activity peaked during 1982
when up to 1000 workers were employed at site.
84. Unfortunately, the works had to be
halted in early 1983 as a result of a shortage of
funds to cover the extra construction costs
arising from necessary layout changes and the
devastation caused by the El Nifio floods, The
works remained effectively paralysed until
1986, although some sporadic construction
work and general maintenance were effected
during this period, including completion of the
remaining 1.4 km of headrace tunnel. Full pro-
duction did not recommence until late 1987.
The project was completed by the end of 1988,
apart from some finishing works and the trans-
mission line which were completed in 1990. The
effective construction period was about five
years during a total contract period of just over
10 years.
Commissioning
85. Commissioning of the works in 1990
was supervised directly by Electroperu and
started with an experimental filling of the
reservoir (Fig. 22), tunnels and shafts. As a
safety precaution, the tunnels and shafts were
filled over a two-week period. Initially, the total
leakage from the tunnels was about 100 l/s, but
this reduced to about half within a month.
Small seepage into the head of the drainage
tunnel soon dried up. The tunnels and shafts
were then dewatered equally slowly and
inspected in detail. Minor remedial works were
required in the headrace tunnel, comprising
short sections of extra rockbolting and shot-
Crete and the treatment of a few isolated clay
filled joints. The concrete linings in the pres-
sure tunnel and shaft were found to be in good
condition. The tunnels and shafts were then
refilled to permit the electromechanical plant to
be commissioned.
86. The filled reservoir was satisfactory
apart from the need to relocate short sections of
the public road away from the reservoir sides
where some sloughing was observed. The spill-
way gates were opened to simulate an extreme
flood condition and the stilling basin was found
to work efficiently, as predicted by the hydrau-
lic model tests. The observed seepage through
the infilled, buried valley to the left of the
dam was within the predicted limits, with the
flows and piezometric levels stabilizing as
expected.
Dewatering and inspection after one years
operation
87. The scheme was dewatered for inspec-
tion in August 1991, after one years operation,
chiefly because of the design of the nominally
unlined headrace tunnel. Emptying the tunnels
and shafts took four days, and first access to
the upstream end of the headrace tunnel was
available on the second day.
88. In general, all structures and plant were
in very good working condition and no major
structural instability was observed. The effect
of sand erosion on the runner buckets and spear
nozzles could be seen but was slight, and repair
Fig. 22. Carhuaquero
dam and intake from
the reservoir

Fig. 23. Desander,

looking downstream
is likely to be less frequent than previously
anticipated. The desander (Fig. 23) is fulfilling
its function and, in comparison with other
schemes in Peru, the Carhuaquero experience is
considered encouraging.
89. For minor scaling of rock or shotcrete
linings in the headrace tunnel, the rock trap
(Fig. 4) had proved entirely adequate. However,
a small rockfall, about 30 m3, did take place,
seemingly as a result of the dewatering itself.
The whole tunnel has now withstood as severe
a test as it is ever likely to get, with the result
that after repairs have been effected, no further
dewatering should be needed for at least five
years.
Acknowledgements
90. The Authors thank both Electroperu for
permission to publish this Paper, and Mr P. G.
Davies, formerly EPD liaison engineer on site,
for the preparation of valuable background
material.
References
1. PRICE JONES A. and SIMS G. P. Measurement of in
situ stresses for a hydroelectric scheme in Peru.
ISRM Symp. on Design and Performance of
Underground Excavations, Cambridge, 3-6 Sept.
1984. British Geotechnical Society, London, 1984.
2. B A R T O N N., L I E N R. and L U N D E J. Engineering clas-
sification of rock masses for the design of tunnel
support. Rock mechanics, 1974,6, No. 4,189-236.