NB/T 10337-2019Specification for Preparation of Pre-feasibility Study Report for Hydropower Projects (English PDF)

Foreword

This document was issued on 30 December 2019 by the National Energy Administration of the PRC and takes effect on 1 July 2020.

It is a NB/T standard: recommended rather than compulsory, but it is the text a Chinese reviewer applies when assessing a submission.

It is classified under ICS 27.140, Chinese classification P59.

It replaces DL/T 5206-2005, which is superseded.

This specification was revised by the drafting group in accordance with the Notice of the National Energy Administration on Issuing the 2015 Development and Revision Plan of Energy Sector Standards (Guo Neng Ke Ji [2015] No. 283), after extensive investigation and research, careful summarization of practical experience and wide solicitation of opinions.

The main technical contents of this specification are: basic requirements, summary, project purpose and construction necessity, hydrology and sediment, engineering geology, project scale, land acquisition and resettlement, environmental protection and soil and water conservation, project layout and structures, electromechanical engineering and hydraulic steel structures, construction planning, estimate of investment, economic evaluation, and conclusion and suggestions.

The main technical changes in this revision are: a new chapter Basic Requirements has been added and the General Provisions revised; contents on pumped storage power stations have been added; appendices giving the contents for preparation of the pre-feasibility study report for hydropower stations and for pumped storage power stations, and the engineering characteristics table of pumped storage power stations, have been added.

In this revision the chapter Project Construction Necessity has been renamed Project Purpose and Construction Necessity, Hydrology has become Hydrology and Sediment, Project Planning has become Project Scale, Environmental Protection has become Environmental Protection and Soil and Water Conservation, and Comprehensive Evaluation and Conclusion has become Conclusion and Suggestions.

This specification is under the administration of the National Energy Administration, is proposed and routinely managed by China Renewable Energy Engineering Institute, and its specific technical contents are interpreted by the Nengyuan Hangye Shuidian Guihua Shuiku Huanbao Biaozhunhua Jishu Weiyuanhui (energy industry standardization technical committee for hydropower planning, reservoirs and environmental protection). The chief development organization is China Renewable Energy Engineering Institute.

1 Scope

NB/T 10337-2019 fixes the content and form of the pre-feasibility study report for hydropower projects - new, rebuilt and expanded schemes, including pumped storage - replacing DL/T 5206-2005. The pre-feasibility study is the first formal engineering document of a hydropower project: it establishes that the project is needed, that a technically sound scheme exists, and that it can be justified economically, so that the owner and the authorities can decide whether to fund the full feasibility study. The regulation sets the general provisions, including the list of matters the study must demonstrate, then specifies chapter by chapter what the report must contain. It covers the summary; hydrology and the flood and sediment analysis; engineering geology at the reservoir and the dam and powerhouse sites; the necessity of the project and its tasks and scale, including the normal water level and installed capacity; the comparison of dam sites, dam types and project layouts; the preliminary design of the main structures; electromechanical and metal structures; construction planning; land acquisition and resettlement; environmental impact and soil and water conservation; labour safety and energy conservation; investment estimation; and economic evaluation. For each chapter the regulation states the depth of analysis required and the drawings and tables that must accompany the text. It applies to hydropower projects in China.

1.0.1 This specification is formulated with a view to standardizing the principles, work content and depth requirements for the preparation of pre-feasibility study reports for hydropower projects.

1.0.2 This specification is applicable to the preparation of pre-feasibility study reports for new, reconstructed and extended hydropower projects.

1.0.3 The pre-feasibility study of a hydropower project shall demonstrate the necessity of project construction and preliminarily demonstrate the feasibility and economic efficiency of the project, serving as the decision basis and working foundation for carrying out the feasibility study of the project.

1.0.4 The pre-feasibility study of a hydropower station shall be based on the approved river hydropower planning and basin comprehensive planning; the pre-feasibility study of a pumped storage power station shall be based on the site selection planning of pumped storage power stations approved by the State.

1.0.5 In addition to this specification, the preparation of pre-feasibility study reports for hydropower projects shall comply with the current relevant standards of the State.

2 Basic Requirements

2.0.1 The main content and depth of the pre-feasibility study report shall meet the following requirements. Item 1: the comprehensive utilization requirements shall be basically determined and the project development tasks shall be proposed.

2.0.1 Item 2: the necessity of project construction shall be demonstrated.

2.0.1 Item 3: the main hydrological parameters and results shall be basically determined.

2.0.1 Item 4: the regional tectonic stability of the project shall be evaluated; the main geological conditions of each alternative dam site and powerhouse site scheme shall be preliminarily investigated and analyzed, and a preliminary evaluation shall be made of major geological problems affecting the viability of the project scheme.

2.0.1 Item 5: the representative dam site and powerhouse site shall be preliminarily selected.

2.0.1 Item 6: the normal pool level of the reservoir shall be preliminarily selected.

2.0.1 Item 7: the installed capacity of the power station shall be preliminarily selected, and the rated head of the units and the reservoir operation mode shall be tentatively proposed.

2.0.1 Item 8: the project rank and the grade of the main structures shall be preliminarily determined; the representative dam type, project layout and types of the main structures shall be preliminarily compared and tentatively determined.

2.0.1 Item 9: the type, number and main parameters of the units, the main electrical connection scheme and the other main electromechanical equipment and its arrangement shall be preliminarily compared and tentatively determined.

2.0.1 Item 10: the scale, type and arrangement of the hydraulic steel structures and dam-passing facilities shall be tentatively proposed.

2.0.1 Item 11: the external access scheme shall be preliminarily selected; the construction diversion scheme and the dam construction material sources shall be preliminarily compared and tentatively determined; the construction methods of the main works and the general construction layout shall be tentatively proposed, and the controlling construction period shall be proposed.

2.0.1 Item 12: the range of land acquisition shall be tentatively proposed, the physical inventory of land acquisition shall be preliminarily investigated, the preliminary resettlement plan shall be proposed and the compensation cost of land acquisition and resettlement shall be estimated.

2.0.1 Item 13: the environmentally sensitive constraints on project construction shall be identified, the environmental impact of project construction shall be preliminarily evaluated, and the feasibility of project construction shall be demonstrated from the environmental perspective.

2.0.1 Item 14: the main quantities of construction and installation works and the quantities of equipment shall be proposed.

2.0.1 Item 15: the investment of the project shall be estimated.

2.0.1 Item 16: a preliminary economic evaluation shall be carried out.

2.0.1 Item 17: the technical and economic conditions of the project shall be synthesized and conclusions and suggestions shall be proposed.

2.0.2 The depth of scheme comparison in the pre-feasibility study of a hydropower project shall be controlled at three levels: tentatively proposed, preliminarily compared and tentatively determined, and preliminarily selected. Major issues affecting the viability of the project shall be studied with emphasis and clear conclusions shall be reached.

2.0.3 For particularly important large hydropower projects or hydropower projects with complex conditions, the work content and depth shall be expanded and deepened with respect to the relevant issues. For hydropower projects of smaller scale and simpler construction conditions, they may be simplified.

2.0.4 Where new technologies having a major influence on the feasibility and economic efficiency of the scheme are adopted in the project design, their feasibility shall be preliminarily demonstrated.

2.0.5 The contents for preparation of the pre-feasibility study report for hydropower stations shall comply with Appendix A of this specification; the contents for preparation of the pre-feasibility study report for pumped storage power stations shall comply with Appendix B of this specification.

3 Summary

3.0.1 The summary shall include the overview of previous work, project purpose and construction necessity, project construction conditions, project scale, project construction scheme, main conclusions, drawings, tables and attachments.

3.0.2 The overview of previous work shall briefly describe the geographical location of the project and the results and approval opinions of the planning of the river concerned; for a pumped storage power station, the results and approval opinions of the site selection planning shall be briefly described. The basis, purpose and process of the pre-feasibility study work and an outline of the project shall also be briefly described.

3.0.3 The project purpose and construction necessity shall briefly describe the project development tasks, the present status and medium- and long-term development planning of the power system in the power supply area of the project, and shall propose the conclusion on the necessity of project construction.

3.0.4 The project construction conditions shall briefly describe the natural geographical conditions, hydrology and sediment, engineering geology, land acquisition and resettlement, environmental impact and transportation conditions of the project.

3.0.5 The project scale shall briefly describe the reservoir characteristic water levels, the installed capacity of the power station, the energy indicators and the other comprehensive utilization benefits.

3.0.6 The project construction scheme shall briefly describe the dam site, powerhouse site, project layout, dam type and main structures, number and type of units, main electrical connection scheme, hydraulic steel structures, external access, construction diversion, construction materials, construction period, land acquisition and resettlement, environmental protection and soil and water conservation, estimate of investment and economic evaluation.

3.0.7 The main conclusions shall provide a comprehensive evaluation with respect to the necessity of project construction, the project construction conditions and technical feasibility, and the project benefits and economic indicators, and shall propose conclusive opinions.

3.0.8 The engineering characteristics table of hydropower stations shall comply with Appendix C of this specification; the engineering characteristics table of pumped storage power stations shall comply with Appendix D of this specification.

3.0.9 The attachments to the summary shall mainly include: the approval documents of the river hydropower planning and basin comprehensive planning, or the approval documents of the site selection planning of the pumped storage power station; supporting documents on land acquisition and resettlement; and supporting documents on environmental protection.

3.0.10 The drawings attached to the summary shall mainly include: the project geographical location map, the engineering geological plan and sections, the general project layout, the general construction layout, the sketch of the land acquisition range, and the distribution map of environmentally sensitive targets in the project area.

3.0.11 The tables attached to the summary shall mainly include the engineering characteristics table and the general construction schedule.

4 Project Purpose and Construction Necessity

4.1.1 The river planning shall outline the work on river hydropower planning and basin comprehensive planning, the planning results and the main review conclusions, and shall describe the implementation of the planning and the implementation plan for the next step.

4.1.2 The site selection planning of pumped storage power stations shall outline the planning work, the planning results and the main review conclusions, and shall describe the implementation of the planning.

4.2.1 The project purpose shall describe the requirements of the basin comprehensive planning and river hydropower planning for the tasks to be undertaken by the project, analyze and demonstrate, in combination with the actual situation of the project, the requirements of power generation and other comprehensive utilization on the project, and propose the project development tasks.

4.2.2 For a pumped storage power station, analysis shall be carried out from the aspects of system needs such as peak regulation, valley filling, energy storage, frequency regulation, phase modulation, emergency reserve and black start, and the project development tasks shall be proposed.

4.3.1 The preparation of the report shall analyze and propose the design level year.

4.3.2 The preparation of the report shall outline the economic and social characteristics and development needs of the region concerned, the energy resources and their development planning, and the present status and development planning of the power system, and shall preliminarily demonstrate the power supply area.

4.3.3 The preparation of the report shall describe the historical pattern of electricity consumption growth and the present power supply and demand situation in the power supply area, and shall propose the forecast results of the load level and load characteristics in the design level year.

4.3.4 The preparation of the report shall describe the electric power market analysis method and the basic data used and propose the conclusions of the electric power market analysis. For a pumped storage power station, the reasonable scale of pumped storage in the power system shall be proposed through comprehensive analysis, and the market space for new pumped storage power stations shall be analyzed.

4.4.1 The preparation of the report shall discuss the energy development strategy, energy conservation and emission reduction requirements, regional energy resources, electric power development planning and the electric power market, and preliminarily analyze and demonstrate the necessity of hydropower development; it shall analyze the regional hydropower planning and the characteristics of the hydropower resources of the basin, and describe the necessity of developing the river on which the project is located.

4.4.2 The preparation of the report shall outline the power generation benefits of the project, analyze its position and role in the power system and in the cascade development of the basin, discuss its contribution to regional economic and social development, analyze its economic competitiveness, describe its social and environmental benefits, and demonstrate the necessity of project construction.

4.4.3 For hydropower projects with comprehensive utilization tasks, the role and benefits of each comprehensive utilization shall be analyzed item by item and the necessity of comprehensive development shall be demonstrated.

4.4.4 For reconstruction and extension projects, the operation of the original project shall be described, the role and benefits of the capacity and energy output after reconstruction or extension in the power system shall be analyzed, and the necessity of the project shall be demonstrated from aspects such as rational utilization of resources.

4.4.5 For a pumped storage power station, the needs for safe, stable and economic operation of the power grid shall be discussed, the role and benefits of the designed station in grid operation, accommodation of new energy and the like shall be analyzed, and the necessity and urgency of project construction shall be demonstrated.

4.5.1 The drawings attached to the project purpose and construction necessity shall mainly include: the project geographical location map; the schematic diagram of river cascade development, or the distribution map of planned pumped storage sites; the longitudinal profile of river cascade development; and the geographical wiring diagram of the present and long-term power system in the power supply area.

4.5.2 The report shall be accompanied by the table of river planning results, or the table of site selection planning results of pumped storage power stations.

5 Hydrology and Sediment

5.1.1 The watershed overview shall briefly describe the natural conditions of the basin and the characteristics of the river.

5.1.2 The watershed overview shall describe the influence of human activities.

5.2.1 The basic data shall outline the distribution, observation period and location elevation of the rainfall stations related to the project; describe the distribution, observation items, observation period and elevation system of the hydrological stations in the basin; and briefly describe the control characteristics of the design basis stations and reference stations, the measurement methods and accuracy of water level, velocity, sediment and the like, and the compilation of the data.

5.2.2 The basic data shall describe the main problems in hydrological measurement and data compilation at the design basis stations and reference stations, review any changes, and evaluate the quality of the basic data.

5.3.1 The meteorological data shall describe the distribution, location elevation, observation items and observation records of the meteorological observatories and stations in and near the basin.

5.3.2 The meteorological analysis shall outline the meteorological characteristics of the basin and of the region where the project is located, and propose the meteorological statistical results required by the project.

5.4.1 The runoff calculation shall analyze the runoff characteristics, carry out analysis and calculation of the runoff series at the design basis station, analyze its consistency and representativeness, and where necessary restore the data affected by human activities. The annual runoff series and design results at the dam site shall be proposed and the rationality of the results analyzed.

5.4.2 For areas recharged by snow and ice melt water and karst areas, the runoff analysis and calculation shall be carried out in combination with the regional runoff characteristics.

5.4.3 For a pumped storage power station where discharge data are lacking, the runoff results at the dam site may be derived from data such as precipitation in the basin and hydrological atlases, and the rationality of the results shall be analyzed.

5.5.1 The flood design shall analyze the causes and characteristics of floods, collect and investigate historical flood data, demonstrate the consistency and representativeness of the flood series, carry out frequency calculation of the flood series at the design basis station, propose the design flood results and analyze their rationality. Seasonal design flood results shall be proposed according to construction requirements and flood characteristics, and their rationality analyzed.

5.5.2 Where the design flood is derived from rainstorm data, the design rainstorm and the runoff generation and concentration calculation methods shall be described, the rationality of the parameters and results analyzed, and the design flood results proposed.

5.5.3 Where the design flood at the design section is affected by the regulation of upstream cascade reservoirs or the designed power station undertakes downstream flood control tasks, an analysis of the regional composition of floods above the design section shall be carried out, the method of regional composition of the design flood described, and the results of the regional composition of the design flood proposed.

5.5.4 The flood design shall describe the adopted design flood results affected by the regulation of upstream cascade reservoirs.

5.6.1 The sediment design shall analyze the sources and characteristics of sediment above the dam site, calculate the suspended sediment concentration, suspended sediment discharge and bed load discharge of the basin above the dam site, and propose the results of the incoming sediment load to the reservoir and its grain size distribution.

5.6.2 Where human activities have a considerable influence on the sediment design results, sediment design results taking the influence of human activities into account shall be proposed.

5.7.1 The evaporation calculation shall provide the results of the analysis and calculation of evaporation.

5.7.2 The water temperature calculation shall compile statistics of the water temperature characteristic values at the design basis station.

5.7.3 For river reaches with severe ice regime, statistics of the ice regime characteristic values shall be compiled and the influence of the ice regime on the project shall be analyzed.

5.8.1 The establishment of the stage-discharge relationship shall provide the stage-discharge curves under natural conditions at the design sections of the powerhouse and dam areas.

5.8.2 For projects affected by downstream backwater, the affected stage-discharge relationship results at the design sections of the powerhouse and dam areas shall be proposed.

5.9 The planning and design of the hydrological telemetry and forecasting system shall preliminarily demonstrate the necessity of establishing the system, and propose the preliminary planning of the station network and the preliminary system design scheme.

5.10.1 The tables attached to or inserted in the hydrology and sediment part shall mainly include: annual and monthly runoff or rainfall series tables; flood peak and flood volume series tables; hydrograph tables of typical floods and design floods; annual and monthly sediment discharge series tables; and the project hydrological characteristics table, including drainage area, mean annual discharge, and flood peak discharges for the design and check flood standards.