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Hydro-Turbine Main Shaft Axial Seals of

Elastic Polymer Principle and Practice

By Guojun (Gary) Ren, Applications Engineer, Ph.D. P. Eng
Ken Ogle, Engineering Director, C. Eng
Thordon Bearings Inc. Canada


ABSTRACT

The main shaft seal in a hydro-turbine is one of the key components of the turbine system. Ideally, the seal
should seal completely but due the size of typical units such an arrangement is prohibitively expensive.
The main shaft seal therefore functions not to eliminate leakage but more to control the leakage to an
acceptable amount. The requirements on such seals include, but are not limited to, effective operation,
long wear life, easy maintenance and low initial cost. The main shaft seal often operates under harsh
working conditions. Two key challenges for the design are that the seal must provide high wear
resistance against abrasives within the water and be able to operate at high rubbing velocities with low
leakage.

Seals of elastic-polymer prevail in terms of combined benefits to meet these requirements. They are
economical, non-brittle and able to provide a long service life comparable to or longer than non-
polymer seals in abrasive water environments. With careful design of factors such as seal surface finish,
seal profile, installation and water pressure balancing, leakage rates comparable to or less than from
other materials can be achieved.

There are generally two main types of seals in widespread service, differentiated by the orientation of the
sealing face to the shaft axis -- these are radial and axial seals. For the larger shaft diameters (over 1000
mm), axial type seals are receiving more preference in recent years and after a brief overview of the
different types, this paper focuses on axial seals only and discusses their working principle, design
criteria and a case study.


1.0 Overview on main shaft seals

Perhaps the simplest and probably the oldest sealing effort is the labyrinth. The seal rings surfaces are
often lined with white metal and depending on speed and shaft size there are small gaps from 0.2 to
0.4mm between the rotating shaft and the stationary seal rings. Obviously true sealing is not achieved
but for small machines operating at low pressures acceptable leakage can be achieved. Labyrinth seals
however are not frequently used for these applications.

Next in simplicity for a radial type seal is a stuffing box and these are still often used. When compressed,
the soft packing material expands within the housing of the stuffing box and closes the clearance between
the shaft and housing. Leakage rates are usually low however there are two main shortcomings for the
stuffing box arrangement. First, abrasive silt in the water can become imbedded into the packing
material and then scratch the shaft surface which then compromises the sealing efficiency. Second, it is
necessary to maintain proper compression on the packing material so frequent manual adjustments of the
gland follower are required during operation. Nowadays, stuffing boxes are usually applied to only small
and middle size turbines.

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Another commonly used radial seal is a carbon ring seal. This is a segmented shaft seal with carbon
rings comprised of individual arc segments. There is a variety of designs for this type of seal and the
general concept is to achieve some balance of water pressure between the rings to acquire a low leakage.
One of the leakage paths in this type of seal is at the segment joints. The leakage for a segmented radial
seal can vary from low to high depending on shaft size, number of rings per seal set, number of segments
per ring, sealed water pressure and vibration. Drawbacks for segmented carbon seals are that they have
poor resistance to abrasive wear and the material is brittle.

For shafts greater than 1000 mm, or when the sealed water pressure exceeds 1.0MPa, an axial type of seal
arrangement is recommended. These are sometimes referred to as mechanical seals or face seals.

Mechanical face seals are also used as hydro-turbine main shaft seals. Traditional material for this type of
seal is carbon with stainless steel or bronze as the mating surface. Carbon sizes are limited however and
for large shaft diameters the carbon ring needs to be segmented. These seals tend to be relatively
expensive and the large shaft sizes of hydro-turbines often make their cost uneconomical.

A variation of a flexible face seals where the sealing surface is a flat rubber ring and the mating surface is
steel or other metal, has found many applications in Russia. The rubber ring can be held with a clamping
ring bolted on either the outside or inside diameter. This design however has proved to be somewhat
unreliable, especially for abrasive laden waters. See references 6, 7, 8.

A direct improvement of segmented carbon as a sealing face is the use of an elastic polymer. Thordon
SXL combines the major advantages of carbon and a soft elastomeric material such as rubber. Thordon
SXL can be easily machined to required sizes and exhibits high resistance to abrasive wear. Thordon
Bearings Inc. has successfully designed SXL radial segmented seals that have been installed to shafts
ranging from 300 mm to 2000 mm; however preferred shaft sizes for this variety of seal are normally
from 400 mm to 1000 mm.

Axial segmented seals are mainly applied to large shaft diameter. Thordon Bearings Inc. has successfully
designed and installed axial seals of SXL material up to 4000 mm in diameters.


2.0 Working principle of axial turbine shaft seal of elastic polymer

Although operating principles of a hydro-turbine axial seal may appear similar to those of smaller
traditional mechanical face seals such as fitted to pumps etc, the size disparity between the two
applications causes practical operation of the seals to differ considerably.

The flatness of the sealing surfaces in small mechanical seals is at a level of several light bands (one light
band is 0.3m) and consequently the friction coefficient and friction heat are very low, and there is
virtually no visible leakage past the seal.

Due the much larger size of hydro-turbine seals, such level of sealing surface flatness cannot be
economically achieved. Installation conditions tend to less friendly and the general nature of machine
operation tends to harsher working conditions. Rather than microscopic lightband flatness, the sealing
surface unevenness is macroscopic waves. While this unevenness is beneficial for hydrodynamic film
formation and consequent low operating friction, it is also the cause of leakage past the seal.

Theoretically, only a very small fraction of the two mating surfaces will be in contact for a new seal
installation and then as the machine operated, the seal surfaces would undergo commissioning wear and
the contact areas would gradually grow until they became continuous.
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Only a few microns of relative movement are required to significantly change the sealing conditions and
in practical service, the sealing surfaces are constantly being realigned to each other consequent to
positional and dimensional changes in any of the machinery parts from, notably, varying temperatures,
water pressures and even geological movement or settling. The sealing surfaces are therefore constantly
playing catch-up trying to wear into continuous flat sealing surfaces.

Within the contact patches only boundary, or even dry, lubrication can exist and it is in these regions
where the majority of the heat within the seal is produced. Between the intermittent contact patches are
gaps in the sealing effect. In these transient regions between contact patches, hydrodynamic water-
wedges of differing size, geometry and slopes are developed.

Practical observations show that even when there is significant water flow across the sealing face there
are still significant amounts of heat created by friction within the seal. The conclusion can be that the
global tribological conditions on the sealing face are so complex that they range from dry, through
boundary, mixed and full hydrodynamic lubrication, to direct cross-flow water path leakage.

Practice shows that leakage of axial seals is realistically unavoidable. Some leakage must occur to
remove frictional heat and prevent seal from overheat. While it may be desirable to have zero leakage
(where the leakage evaporates), as with smaller mechanical seals on pumps etc, practical economics
require that the seal merely maintain leakage within an acceptable level.

The leakage rate depends on many factors, most of which can be qualified but cannot be easily quantified.

The abrasive resistance relies on two basic properties of the elastomer. These are elasticity and high
tensile strength. In case solid particles trapped into between wear surfaces, they do not imbed into the
body of the material and become a physical cutter. They deform the elastic surface locally and keep
rolling between sealing faces until escaping the seal. This working mechanism had been confirmed by
observations from elastomeric bearings and seals.


3.0 Major Factors Influencing Leakage

- Size
Hydro-electric equipment is typically large. The machining tolerance for the casing into which the
polymer face ring gets installed may also be subsequently large, both on dimension and surface finish.
This variance adds unevenness to the installed sealing surface. The polymer sealing ring is commonly
fastened into its casing with bolts. This results in localized deformation in the vicinity of the fasteners
with consequent distortion of the sealing surface. Large seal rings are manufactured from segments and
any mismatch at a segment joints will result in increased leakage. Many springs are required to distribute
the loading force around the (large) circumference. Since it is common for springs coming from any
single manufacturer and from same batch to have a spring constant deviation up to 20%, it must be
expected that the spring forces will vary resulting in varying contact conditions around the seal.

- Surface finish of seal ring
The characteristics of the material mean that a sealing face of elastic polymer cannot be machined or
lapped to a very fine level of finish and flatness. Precise machining of such material is expensive and
since the material may deform afterwards would be somewhat pointless. A typical surface finish is
1.6m and depending on the size of sealing ring, the surface waves can be up to 0.25mm. Even with a
mating metal surface that is perfectly flat, gaps between the surfaces can therefore be as wide as 0.5mm.
This is a huge gap from a sealing viewpoint and causes leakage.
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- Thermal expansion and water swell
Polymer materials generally have higher coefficients of thermal expansion than metals. Differential
expansion or contraction therefore occurs between the various parts when operating temperatures change.
These differential dimension changes can cause small localized or global deformations of the polymer.

Many polymer materials can absorb water over time and this often causes a swell of the polymeran
increase in its bulk volume. While the volume increase may be very slow, its effects are similar to a
thermal expansion and water swell of the polymer will also result in localized and/or global deformation
of the polymer ring.

- Centrifugal force
The operation of the machine imparts rotary motion to the water being sealed with resultant centrifugal
forces. Since these forces always act away from the shaft axis, they can encourage or discourage leakage
across the seal face depending on the sealing direction. It is normal for the seal arrangement to be such
that leakage across the seal is towards the shaft i.e. for centrifugal forces on the water to act against
leakage flow.

- Continuous Surface Wear
As discussed previously, theoretically the surfaces could eventually wear until they were perfectly flat
against each other but microscopic changes in the operating conditions prevent this from ever reaching
completion. The surface unevenness and distortion results in leakage, provides a semblance of
hydrodynamic lubrication and the leakage itself removes heat generated and prevents seal from overheat.

- Static Leaking Path
As mentioned before axial seals consist of numbers of segments installed into machined steel groove
(housing). Static leaking path includes all possible leaking paths other than dynamic sealing face. The
main static leaking path is the joints of segments.

All above factors all influence the amount of leakage and they themselves constantly change during the
service life of the seal. There are also unpredictable influences and since the main influencing factors are
themselves changing over time, making a precise estimation of a leakage rate is impossible.

Field experience however does indicate that this seal type can maintain leakage rates at most installations
to within acceptable levels. Records show the leakage can vary from 10 to 90 L/min. A similar design
with smaller diameter has a lower level leakage than the large.

Leakage rates for polymer axial face seals in large size are comparable to, or less than, those for similar
size carbon seals. The elastic polymer material possesses much greater resistance to abrasive wear than
carbon and since in reality most turbine water contains abrasive particles to some extent, the advantages
of a material such as Thordon SXL are self-evident.


4.0 General overview of design and arrangements

A typical axial turbine seal consists of the same several basic components no matter how they may be
actually configured in any given design. These are the seal holder (usually is stationary), the static seal,
load spring, polymer sealing surface, mating surface and cooling water injection with throttle valve,
Figure -1 shows a common arrangement.


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Small relative movement is required vertically between the static seal and the seal holder to compensate
for wear in the dynamic seal and it is important that materials here are chosen carefully to ensure
corrosion debris, or other, does not interfere with that sliding action.

The springs need to be carefully selected in number, stiffness and strength to provide optimum contact
pressure evenly distributed around the sealing surface.

When using a polymer sealing face there are some additional points that the designer must consider from
the start of the design process. The seal holder should provide a shoulder to support the outside diameter
of the polymer seal ring. This shoulder confines the seal ring from outward expansion and maintains the
segments properly in position while limiting local stresses from the fastening bolts. It is preferred to put
the polymer seal ring into the seal holder as the stationary ring while the mating metal surface rotates with
the turbine shaft.

The area ratio A A /
1
(Figure -2) has a large influence on pressure balancing of the seal and must be
carefully selected at the discretion of turbine/seal designer(s). For high head turbines, this ratio should be
smaller than for lower head machines.















Figure -1: Typical arrangement of a turbine axial seal




Figure - 2: Area balance Ratio


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The typical segment design of a turbine axial seal is quite simple. The cross section of the segments is
rectangular in shape with a circumferential water groove offset a little from the mid-diameter. Holes for
the fastening bolts and injection water inlets usually pass from the water groove through to the opposite
side of the part, see Figure -3.

The circumferential central water groove divides the sealing face into two concentric sealing faces, A
and B. To limit the amount of abrasives introduced to the seal, it is normal to feed the water groove with
filtered injection water at a pressure higher than the turbine water and this injection water then
proportionally passes across both surfaces A and B. The pressure difference across face A is the
differential between injection and turbine pressures whereas across B the drop is from injection pressure
to zero (atmosphere pressure). In order to promote more injection water flow into turbine rather than
becoming leakage, sealing face A on the turbine water side is always narrower than the sealing face B on
the leakage side. Various designs use different ratios for the faces A to B, but as a rule of thumb the
width ratio B/A is typically between 1.3 and 2.0. It is rare to see a ratio greater than 2.0 in design
practice. Larger ratios tend towards lower external leakage, but also tend towards overheating the wider
sealing face B.

















It is preferable to make the ring in one piece but for large designs such may be impractical and the ring is
constructed from segments. Simple segments placed tightly end to end would at first seem suitable and
tight end butts would suitably restrict direct leakage. Any cooling of the segments however would cause
thermal shrinkage and opening of the butt joints which could quickly lead to excessive leakage simple
butt-joined size to size segments can therefore only be used when operating temperatures are clearly
defined with only small deviations.

A challenging part of seal segment design therefore is the inter-segment join and this is typically
configured to maintain acceptable leakage while accommodating thermal expansion and contraction of
the material.

To ensure there is no direct leak path at the segment ends, some sort of an overlapped joint is
recommended. The overlap design should also provide a means to accommodate thermal expansion or
contraction of the segments in the circumferential direction. Commonly used overlaps are simple
overlapping and fork type overlapping as shown in, Figure -4.

Figure - 3: Segment cross section of an axial turbine seal ring



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For fork type overlaps it is possible to continue the central groove through the joint (not shown).












5.0 Balancing water and pressure control

With consideration of continuously varying friction between machine parts, fluctuating temperatures and
pressures of both injected and sealed water, any precise calculations of force balancing for an axial seal
quickly become quite complicated.

Figure 5 illustrates the major forces acting on the free-body of the seal (seal holder and elastic polymer
seal ring together).
S
F is the total spring force,
f
F is the net friction force from all interactive parts, W is
the total gravitational weight and
C
F is the solid interactive contact force between the seal mating
surfaces.
1
p is the turbine water pressure to be sealed -- note that
1
p is usually not equal to the head
pressure since the head pressure is usually already reduced by some intermediate labyrinth type seals.
2
p is hydraulic pressure in the seal water groove and as a rule of thumb,
1
2
) 15 . 1 1 . 1 ( p p ~ .

For design purposes, it is assumed that the pressure distribution across the 2 seal faces is linearly
distributed between the higher and lower pressure regimes.





















Figure -5: Forces acting on axial turbine seals



Figure -4: Segment joint with overlapping

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The hydraulic force tending to open the seal is:

4
1
3 2 2
2 1
2 2
) (
A
p
A p A
p p
F
o
+ +
+
=

And the hydraulic force tending to close the seal is:

L
F =
1 1
p A

The solid contact force between seal ring and mating ring should be

o f S L C
F F W F F F + + =

By using the solid inter contact force, the inter contact pressure can be estimated as

4 2
A A
F
p
C
C
+
=

With accurate determination of all forces, the contact force could be effectively be controlled at zero to
avoid frictional losses without any increased leakage penalty, however in practice the friction and
hydraulic forces cannot be precisely predicted.

The essence for a good design is to investigate the possible hydraulic and friction force scenarios and try
to keep the contact force as low as possible. From field experience, keeping this contact pressure at about
50kPa (0.5bar) or lower yields satisfactory operation.

Once the solid contact force is calculated, the required cooling water flow rate can be estimated from

T C
V F
Q
p
C
A

=

Water flow, Q is in s m /
3
, where
p
C - Specific heat of water =4180Nm/kg-C, - density of water=
1000kg/m^3, AT temperature rise allowance (5degC), V rubbing speed of sealing face (m/s), and
- coefficient of friction (0.1 to 0.15).

The throttle valve in the water injection system is an important component and its characteristics should
be carefully chosen as it can provide a degree of self-adjustment to the injection water pressure. The
pressure drop through the throttle valve is proportional to the flow rate so assuming the injection water
pump maintains a constant supply pressure, the pressure after the throttle valve is then related to the
flowrate. If for some reason the leakage across the seal should increase then the pressure drop through
the throttle valve will correspondingly also increase. The pressure of injection water at the seal is
therefore decreased and the force balance on the seal is altered so the closing forces predominate. Lower
water pressure and a closed seal both act to reduce the water leakage until conditions at the seal become
re-balanced. Similarly, the reverse occurs should the leakage reduce.

Injection water pressure must be carefully selected to maintain sufficient leakage through the seal for
cooling purposes through the whole turbine operating range.

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6.0 Case study of performance of a carbon axial shaft seal retrofitted with Thordon SXL

Towards the end of 2003 Thordon Bearings Inc (TBI) were contacted by the operators of one of the
largest hydro-electrical power plants in the world in connection with retrofitting the seal on one of their
operating Francis-type vertical turbines. The existing seal was an axial face type using a segmented
carbon ring with average diameter 4000mm. The seal leakage was high and the segments were suffering
from severe abrasive wear from sand in the water. The segmented carbon seal is very brittle and there
was concern about the extreme care required when performing maintenance work.




















Figure-6a shows the arrangement of the original seal. Two carbon rings, each comprised of many small
segments, were installed into two separate grooves of the steel carrier ring.

Figure-6b shows the modified arrangement suggested by TBI. The two carbon rings and their steel
carrier were replaced by a single ring of profiled SXL material. The SXL ring comprised of only six
segments.

A major consideration of the proposed change was that the original steel ring was about 400kg in weight
while the SXL sealing ring was less than 100kg, a difference of over 300kg to the balancing conditions of
the seal. Thordons engineers carefully examined the force balance conditions. The study indicated
that changes to the original springs would be unnecessary as calculations indicated the existing spring
force would be sufficient to keep the sealing face closed.

The seal was installed by the end of 2005 and the plant engineers had created a detail plan to test the
seals performance during re-start of the turbine and in service. Accordingly, the seal was tested under
different conditions. As the turbine was re-started, the leakage rate and temperature increase of leakage
water were carefully recorded for still stand condition, runner operating at 15 rpm and at full speed (90
rpm), all results were satisfactory.

The cooling water pressure, water supply flow, leakage rate and temperature increase were all then
carefully monitored for the next year, during first two months the reading were taken daily and for the
months thereafter, the reading interval was extended to twice a week. Initial feedback from the plant
Figure 6a Figure 6b


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engineers were that conditions all seemed satisfactory and the leakage was less than from the previous
carbon seal. The original seal leaked about 140 L/min.

After some time, the operators again contacted TBI with concerns that the leakage rate had further
reduced. While delighted that the leakage was small they were concerned that was perhaps too low. And
would compromise the longevity of the seal as they thought perhaps it would overheat.

With review of the temperature rise within the injection water and its outlet temperature, TBI advised that
it seemed the seal was not overheating and operation of the machine should continue.
Leakage rates continued to fluctuate a little but were always considerably less than from the previous
carbon seal. Figure -7 was measured leakage data from 20. December 2005 to 02 Aug. 2006. The water
temperature was measured during the same period of time. Inlet water is the water injected into central
groove of seal and outlet water is the leakage water. The record is presented in Figure -8.

The cooling water flow was kept constantly at 240 L/min with a pressure at 3.0 bars. The leakage is about
4% to 38% of this injection water. This means there was significant counter flow into turbine and
effectively block abrasive from entering into seal.


Figure-7: Measured leakage rate




After one years operation, the turbine was taken apart for inspection by end of 2006.
After opening the seal, the sealing face to the turbine water was clean and since the machining marks
were still visible there had been negligible wear if any. The sealing face on the leakage side however had
several regions that appeared discolored dark and there were some film like material partially adhered /
detached from the seal face. It was immediately suspected (incorrectly) that these were indications of
overheat and seal problems.

Most of the discoloration and the adhering films however were removed with simple cleaning and the
sealing surface then appeared very smooth.


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Figure -8: Measured inlet and outlet water temperature




Figure -9, shows the seal after cleaning. The sealing face on left is the leakage side towards the shaft,
the sealing face to the right is to the turbine water.


Figure 9: Sealing faces after cleaning




The brown coloured film substance taken from the sealing surface was sent to Thordon for composition
study. Thordon tested the content of substance and it was determined 60% of it was organic from the
process water and 40% was SXL material removed from sealing surface.

Precise dimensional measurements of the seal were recorded and only one small section had worn by
0.1mm, wear in other areas was effectively undetectable. Accordingly, it was predicted that the seal
should work for the 20 years requirement.

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In light of the successful installation, the operators similarly changed the seal for one of the sister turbines
in earlier 2007 and now these two turbines are all running satisfactorily.

7.0 Conclusions

A turbine axial shaft seal using elastic polymer offers great advantages to the turbine operator. It provides

1. robust construction
2. fewer segments required for larger sizes
3. simple material manufacture with standard conventional machining techniques
4. reliable operation and long life
5. economical

For reliable and long operation, optimum design must consider all components of the overall arrangement,
force balance, and careful component selection.

Thordon Bearings Inc is pleased to review enquiries from turbine operators, turbine manufacturers,
turbine repairers and seal suppliers for incorporation of Thordon materials to enhance the operating
characteristics of the machinery.
(Feb 09, 2009)


References:

/1/ Crane Packing Company, Packing and Mechanical seals, Norton Grove, Illinois, 1973

/2/ Arne Kjolle, Hydropower in Norway, Mechanical Equipment, Trondheim, Dec. 2001

/3/ N. N. Kovalev, Hydro-Turbines, Design and Construction, Israel Program for Scientific
Translations Jerusalem 1965

/4/ Mark Syer, Sealing the deal for Kaplan turbines, International water and dam construction, March
2006, Progressive Media Markets Ltd

/5/ A. A. Zakharov, Adjustment of a bronze-graphite Turbine shaft seal after repair, Hydro-technical
Construction, Vol. 29, No 4. 1995

/6/ B. B. Aitkeev, Operation of shaft seals in hydroelectric sets of the UCH-KURGAN HPP, Power
Technology and Engineering, Vol. 36, No 2. 2002

/7/ V. Ya. Monchares and A. I. Sitnyanskii, Increase of operational reliability of turbine components
at the VILYUI-2 hydroelectric station, Gidrotekhnicheskoe Stroitelstvo, No. 9, pp, 5-8,
September, 1985

/8/ I. S. Gurbanov, Experience in the operation of hydraulic structure and equipment of hydroelectric
stations, Gidrotekhnicheskoe Stroitelstvo, No. 1, pp, 28-29, January, 1984

/9/ Cheng-Jun Li, Sealing the Shaft , International Water Power and Dam Construction, June 1996,
pp, 26 - 27


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Authors:

Guojun (Gary) Ren is a senior Applications Engineer. Gary worked as an engineer with ThyssenKrupp
Elevator before joining Thordon bearings Inc. in 2001. Gary acquired his Ph.D. of mechanical
engineering from University of Stuttgart in Germany in 1996.

Ken Ogle is the Engineering Director for Thordon Bearings Inc. Previously Ken climbed the ranks as a
sea-going Engineering Officer with the P&O Steam Navigation Company before working as Senior
surveyor in the Technical Investigation Dept of Lloyds Register of Shipping.