DEBRE TABOR UNIVERSITY

Module for

(For Third year Water Engineering students)

Prepared by:
Afera H &
Ch. V. S. S. Sudheer,

Department of Hydraulics
&
Water Resources Engineering

Faculty of Technology
Department of Hydraulics& Water Resources Engineering
COURSE OUTLINE
Course Name : Hydropower Engineering I
Course Code : HE 3161
Prerequisite : HENG 2133

Academic Year : 2007

Semester
: II
Credit Hours : 3 3 4

1. Introduction
1.1. Sources of Energy
1.2. Merits and Demerits of Hydropower
2. Development of Hydropower
2.1. Hydropower Status in the World
2.2. Hydropower potential & Status in Ethiopia
3. Estimation of Water Power Potential
3.1. Water Power Potential
3.2. Firm and Secondary Power
3.3. Load Prediction and Demand Assessment
4. Classification and Types of Hydropower Development
4.1. Classification and Basis
4.2. Site selection ,Layouts and Capacity Computation
4.3. Storage and Pondage
5. Water Conveyance Structures
5.1. Intakes, Canals and Tunnels
5.2. Water Hammer Analysis
5.3. Surge Tanks
5.4. Forebays
5.5. Penstocks
5.6. Anchors
6. Hydropower Machines
6.1. Classification
6.2. Impulse, Momentum and Power of a Turbine
6.3. Design Consideration for Hydraulic Machines
6.4. Types of Turbines
6.5. Draft Tubes, draft Heads
6.6. Dimensioning of Turbines
6.7. Generator and Governors
REFERENCES:
1.
2.
3.
4.
5.

Water Power by Mosonyi, Vol. I & II

Hydraulic Structures by Novak
Water Power Engineering by Barrows
Water Power Engineering by Dandaekar & Sharma
Hydropower Structures by Varshney and Others

Following are some of the points and conversions which are useful:
1 m = 100 cm = 1000 mm
1 ft = 12 in = 0.3048 m = 30.48 cm
1 in = 2.54 cm
1 yd = 3 ft = 0.9144 m
1 ft2 = 0.0929 m2
1 sq metre (1 m2) = 10, 000 cm2
1 litre = 1000 cm3 = 1 m3
Mass density = mass / volume
Weight density = weight / volume
Electrical Energy:
In SI the units of electrical energy are J, kJ and kilowatt hours kWh. In Imperial, the unit of
electrical energy is the kWh and 1 kWh = 3600 kJ
Force:
Vector quantity, a push or pull which changes the shape and/or motion of an object
In SI the unit of force is the newton, N, defined as a kg-m / s2 .
Weight:
The gravitational force of attraction between a mass, m, and the mass of the Earth
In SI weight can be calculated from. Weight = F = mg , where g = 9.81 m/s2
Work
Scalar quantity, equal to the (vector) product of a force and the displacement of an object. In
simple systems, where W is work, F force and s distance. W = F X S
In SI the unit of work is the joule, J, or kilojoule, kJ and 1 J = 1 N-m.
Energy
Energy is the ability to do work, the units are the same as for work; J, kJ, and ft-lb
Power
A scalar quantity, equal to the rate of doing work. In SI the unit is the Watt W, kilo Watt or
Horse Power (h p)
1W=1J / s and 746 W = 1 h p
i

CHAPTER - I
INTRODUCTION
1.1 Sources of Energy:
The following two major sources of power generation may be identified on the basis of present
day importance. They are Conventional sources and Unconventional sources
a) Conventional sources
i) Thermal power
ii) Hydropower
iii) Thermo-nuclear power
b) Unconventional sources
i) Tidal power
ii) Solar power
iii) Geothermal power
iv) Wind power
v) Wave power
vi) Depression (solar) power
1.2 Energy Physical Bases and Measuring Units
Derivation:
Energy can be described as potential for work, which may be withdrawn if needed. The
source for any kind of energy on earth is the sun. This is also valid for nuclear and fossil fuel when
taking into account the genesis of the earth.
Table 1.1: Energy and Related Terms
Physical Term
Force = mass x acceleration

Unit

kg
s

force x dis tan ce

Work
power x time

Newton

N m J oule
J
s J W.s
s

Energy = available potential to work

Joule

work / time
Power
force x velocity

kg.m m Joule
.
Watt
s
s2 s

With the definition of power, one can state whether a defined energy reserve is transformed
slowly or fast: If the transformation is fast ( for instance burning with open flame), the power is high;
in case of slow transformation ( for instance burning in living organism), the power is low despite an
equal energy credit.
Units:
As the different energy forms are convertible into each other, the energy can be measured in
the units of physical work. The previous heat units (such as calorie, British Thermal Unit, etc. ) do
not, in their definition, refer to the mechanical heat equivalent (detected through experiments by J.P
Joule, 1818- 1889).
Table 1.2: Energy Units and Conversions

Energy

Unit

Application

Joule

Metric SI-unit

Kilowatt-hour

Very common; disadvantage:

mixing up the time units
second and hour
Obsolete
Obsolete
Non- metrical; used in the
Anglo- American area.
Various Btu are in use
Which differ only slightly
Metric SI-unit

1 kWh = 3.6 x 106 Ws

= 3.6 x 106 J

Obsolete

1 PS = 736 W

Calorie
Coal equivalent
British thermal unit

Watt
Power

Conversion
1 J = 1 watt-second
= 1Newton meter (NM)

Horse power
(metric)
Horse power
(English)

1 cal = 4.1868 J
1 kg SKE = 29.3 x 106 J
1 Btu = 1 055 J
= 2. 93x10-4 kWh

1W 1

J
m
1 N
s
s

1 HP = 746 W

(But, in general it is highly recommended to use the unit of S).

Table 1.3 Internationally Recommended Prefixes for SI Units

Prefix symbol

Prefix

kilo

mega

giga

tera

peta

exa

Factor by which
the unit is
multiplied

103

106

109

1012

1015

1018

CHAPTER - II
HYDROPOWER AND ITS DEVELOPMENT
2.1 Advantages and Disadvantage of Hydropower
Hydropower has the following advantages over other sources:
i. Hydropower has a 'perpetual' source of energy, while thermal power has a depletable fossil fuel
source. Besides hydropower doesn't consume the water.
ii. Running cost of hydropower plant is very low compared to thermal and nuclear plant.
iii. Hydropower plants can be brought in to operation in few minutes while thermal & nuclear power
plants lack this capability. Thus hydropower plants are particularly useful in taking up short period
peak loads in a power grid system.
iv. Efficiency of hydropower system is very high (90-95%), while thermal power plants have low
efficiency, as low as 40%.
v. Hydropower development also provides secondary benefit such as recreation, fishing, flood control
etc, where storage is contemplated.
Some of the disadvantages of hydropower development are:
i. It is capital intensive & therefore rate of return is low.
ii. The gestation period is long. This period is low for thermal power plants.
iii. Hydropower is dependent on natural flow of streams. Since this is very variable the dependable or
firm power is considerably low compared to total capacity.
2.2 Worldwide development
The status of hydropower with respect to the total power generation varies considerably from country to
country. Developing countries need affordable energy to:
Increase agricultural productivity;
Deliver basic educational and medical services;
Establish adequate water supply and sanitation facilities, and
Build and power new job-creating industries
Worldwide, only 15.2% of the technically possible hydroelectric energy was developed by 1990.
The following table gives hydroelectric generation in 1990.
Table 2.1: Hydroelectric Generation in 1990 (in TWh/year).
Continent
Africa
Asia
Australia/Oceania
Europe
North America
Latin America
USSR
World

Technical Potential (1)

1344
4212
203
836
969
3486
2950
14000

Generated in 1990 (2)

50
387
38
483
573
380
223
2134

(2) as % of (1)
3.7
9.2
18.7
57.8
59.1
10.9
7.6
15.2

According to UN estimates in 1981, the total world hydropower production will have risen to 80% by
year 2020. It seems that this target will not be achieved. Hydropower is the most important source

energy next to thermal power, and about one quarter of the world's power requirement is at present
derived in this way.
2.3

Hydropower Potential and Its Development in Ethiopia

Although there is no recorded history, the use of waterpower in Ethiopia in its non-electric
form is estimated to exist since long period of time. It has been used in the water mills, and such
practice is still under use in some rural areas of the country. The water power use in its more effective
form, i.e. electricity generation, came to existence in the beginning of 1930's, when Abasamuel
hydropower scheme is commissioned in 1932. This station was capable of generating 6MW and
operational up to 1970. In Ethiopia, by 1990, about 94% of the energy requirement satisfied through
the traditional energy sources, and the remaining 6% through modern sources such as fuel oil, gas
and electricity.
According to Ministry of Mines and Energy, in 1990 the energy total requirement in Ethiopia
was estimated at 177.6 TWh per year of which 76.1% from wood, 16.1% agricultural by-product,
5.3% from fuel oil and 1.1% from electricity, 0.8% from charcoal and 0.6% through others. The
energy is used in the sectors of domestic in the town and rural areas, industry, service, agriculture and
transport.
The 1.1% contribution of electrical energy of the total energy requirement is derived mainly
from hydropower. This is used mainly for domestic use in the towns, industries and services. Table
2.2 summarizes the hydropower status in Ethiopia. As can be observed, Ethiopia has got substantial
hydropower potential from which less than 2% has been utilized, and the remaining should be
developed at small to large scale so that source of energy for various uses can be replaced by this
more environmentally friendly alternative source.
Table 2.2 Potential, Developed and Generated Hydropower in River Basins of Ethiopia1

Basin

Potential Sites in MW
Category
<40 40>60 Total
60

Tech.
HP
(GWh/y
r)

%of
Tota
l

Plant

Commission
Year

Installe
d
(MW)

Aver.
(GWh
/yr)

Tis Abbay
Fincha
Tis Abbay
(new)

1953
1973
2000

11.5
100
73

68
617
450?

Sor2
Dembi1
Yadot1

1990
1991

5
0.71
0.35

43.83
2.8
1.2

Abbay

GhibeOmo
BaroAkobo
GenaleDawa
TekezeAngereb
WabiShebele

Awash
1

74

11

44

129

78 880

48.9

16

20

35 000

22.7

17

21

41

18 900

11.7

18

31

9 300

5.8

11

20

6 000

4.2

16

5 400

3.4

Melka
Wakena

1988

153

560

33

35

4 500

2.8

Abasamuel4

1970

15

1990

Data has been obtained from Solomon(1998), WAPCOS (1995), Fitjer (1990) and summarized together
Small hydropower stations operating as self contained system (SCS)
3
Note that in Solomon(1998), Fitjer (1990), reported annual production is beyond physically impossible magnitude
4
Currently not operational
2

Koka
Awash II
Awash III
Rift
Valley
Lakes
Danakil
Ogaden
Ayisha
Total

800

0.5

173

25

10

300

159,300

100

1960
1966
1971

43.2
32
32

110
165
165

456.8

1,748

CHAPTER - III
ESTIMATION OF WATER POWER POTENTIAL
3.1

Water Power Potential:

It is essential to assess the inherent power available from the discharge of a river and the head
available at the site before any power plant is contemplated. The gross head of any proposed scheme can
be assessed by simple surveying techniques, where as hydrological data on rainfall and runoff are
essential in order to assess the available water quantities. The following hydrological data are necessary:
a) The daily, weekly or monthly flow over a period of several years, to determine the plant capacity &
estimated output.
b) Low flows, to asses the primary, firm, or dependable power.
The potential or theoretical power in any river stretch with a difference in elevation H is
computed from:
Pp Q H
Which is a power that can be required for useful work by overcoming friction loss in watts.
Where,
H = head in m
Q = discharge of streams in m3/s
Pp= Potential (theoretical) power of the stream in KW
g = .g/1000 = 9.81 KN/m3
Actually, g varies between 9.768 m/s2 at equator to 9.83 m/s2 at the poles according to latitude
and local condition i.e. altitude, it varies between -0.2 to 0.4 cm/s2 in average -0.31 cm/s2 per 1000
m above sea level, see Mosonyi, E. (1987). Generally an average value of 9.81m/s2 is used.
The above equation neglects the difference in kinetic energy term. In low land rivers, with
large magnitude of discharge and low head as in the runoff plants, neglecting the energy from this
term may mean neglecting significant energy term.
From the above relationship:
Pp= .Q.H (KW) = 9.81 Q.H (KW)
Since
1 hp = 736 Watts
Pp= 13.33 Q.H (hp)
The hydraulic power P is given by
P = . .Q.H = 9.81 .Q.H (KW)
Where = is the total efficiency
If the river course is divided in to a number of n stretches, the total power can be described by:
n

P (Q H )
1

From the available stream flow data, one can obtain flow duration curve of the stream for a given site by
plotting the discharge against the percentage duration of the time for which it is available.

Discharge Q(m 3/s)

Similarly, power duration curve can be plotted since power is directly proportional to the discharge and
available head.

Average flow

December

January

Power (Kw)
Discharge Q (m 3/S)

Fig.3.1: Stream flow hydrograph

100%
Percent of time for flows equaled or exceeded

Figure 3.2 Flow\Power duration curve (Power scale multiplying factor = 9.81 .H)
Potential power resources can be characterized by values according to the discharge taken as a basis of
computation. The conventional discharges are Q100, Q95, Q50, Qm. Thus we have,
i) Minimum potential power: designated Pp100, computed from the minimum flow that is available for
100% of the time (365 days or 8760 hrs.)
ii) Small potential power: computed from the flow available for 95% of the time.
This represented by Pp 95
iii) Median potential power: is computed from the flow available for 50% of time.
This is represented by Pp 50.
iv) Mean potential power: is computed from the average of mean yearly flows for a period of 10 to 30
years. This is designated as Ppm and is also known as gross power potential.

Technically Available Power:

Evaluation of technically available power from the available power is significance. According to
Mossony the losses subtracted from the Pp values represents an upper limit of utilization.
Losses = Conveyance loss + plant losses
In general, the plant losses are due to entrance, rack, generator, turbine
According to F.I. Nestruck,
Conveyance efficiency = 70% & Overall plant efficiency = 80%
Total multiplying factor = 0.56 to be used with average potential power Pp 50.
Therefore, technically available power Pa = 0.56 Pp 50. The multiplying factor depends up on the
type of development. i.e. run-of-river plant, high head plant, etc.
Nestruck also suggested that a coefficient of 2.5 to be used for estimating the potential average
water power from the 95% potential water power i.e. Pp 50 = 2.5 Pp 95.
Waterpower is also characterized by annual values of potential energy in a river i.e. by quantities
of work expressed in Kilowatt hors & named as E95, E50, Em, etc.
The maximum potential energy of a river section is thus:
Emax.= 8760 Pm KWh
The upper value of net power capable of being developed technically is computed from the
potential waterpower by introducing reduction factors to account for losses in conveyance & in energy
conversion.
The EEC puts the factor to be about 0.75 to 0.80. Thus
Pm net = (7.4 to 8.0) Qm H (KW) for = 10
Where Qm is arithmetic mean discharge.
Therefore, Em net = 8760 Pm net (KWh)
3.2

Firm and Secondary Power/ Electrical Load on Hydro-turbines

The power demand is defined as the total load, which consumers choose, at any instant of time,

to connect to the supplying power system.

Load curve

Peak Load

Load (MW)

Average Load

Base Load

12
Time

18

24

Figure 3.3: Definition Sketch of Load Curve

Maximum demand of the power determines the size of the plant and its cost. Highest
instantaneous value of demand is, strictly speaking, the peak load or peak demand.
Generally, however, peak load is defined as that carried at intensity greater than 4/3 times the
average load intensity.
Base Load is the total load continuously exceeded, where as the average load is the area under the
curve divided by the time.
Load factor is the ratio of average load to the peak load and is expressed as a daily, weakly, monthly or
yearly value. The area under a load curve is energy (KWh) and it can be plotted to obtain energy
consumption curve. Thus the load factor can also be defined as:
Load Factor = energy consumed (say during 24 hrs)
(max. demand) * 24 hrs.
Max. load - determines plant capacity
Load factor - gives an idea of degree of utilization of capacity. Thus an annual load factor of say 0.4
indicates that the machines are producing only 40% of their yearly maximum production capacity.
Capacity factor: also called plant use factor or plant factor
Capacity factor =

Average output of plant for a given period of

Full plant capacity
Energy actually produced
Energy that a plant is capable of producing at full capacity.

e.g.- If a plant with capacity of 100 MW produces 6,000,000 KWh operating for 100 hrs, its capacity
factor will be

Hence Capacity Factor =

6,000,000 = 0.6 or 60%

100,000*100

The capacity factor for hydroelectric plant is generally between 0.25 & 0.75.
If the peak load = plant capacity, then capacity factor = load factor.
If the plant is not used to its full capacity, then load factor capacity factor.
Thus in the above example if the max. load was 75 MW instead of 100 MW then
L.F. = 6,000,000 = 0.8 or 80% against 60% C.F.
75,000*100
Utilization factor =

Quantity of water actually used for power production

Quantity of water that is available in the river

For assumed constant head

Utilization factor =

Power utilized
Power available
For hydroelectric plants, this factor varies from 0.4 to 0.9 depending on plant capacity, load factor &
storage.
Load Duration Curve:
This is a curve of load vs percentage of time this load or higher occurs. It is usually plotted for
long duration such as a year.

Firm Power
0%

100%

Figure 3.4: Definition Sketch of Firm Power

Area under load duration curve = total energy production during the period. Thus
Annual load factor =

Area under curve

Area of rectangle corresponding to max. demand during the year

Firm Power: Also called primary power is the power which always ensured to a consumer at any hour
of the day and is thus completely dependable power. Such a power corresponds to the minimum stream
flow and is available for all times.

Secondary Power
Primary Power
0%

Firm Power
(for run-off river plant)
100%

Figure 3.5: Definition Sketch of Firm/Primary and Secondary Power

Firm power can be increased by use of pondage (storage).

Increased firm power

Firm Power
(without storage)
0%

100%

Figure 3.6: Increased Firm Power by Pondage

3.3
3.3.1

Load Predictions and Demand Assessment

Base Load - Peak Load

Power is needed for a variety of purposes, such as domestic, commercial, industrial,

municipal, agricultural, public transport etc. The energy demand (local, regional, transregional) is
subject to considerable temporal fluctuations. These variations could be from hour to hour within a
day, from day to day within a week/month, from month to month within a year, etc.
These seasonal fluctuations depend on:
- Weather, season;
- Vacation times;
- Cyclical business activity.
Daily fluctuations are due to:
- Rhythm of work time and free time;
- Weather;
- Traffic.

Load (MW)

A typical load curve, daily load curve is shown in Figure 3.7.

Day-time

12

Night-time

Time (hrs)

18

24

Fig. 3.8 Typical Daily Load Curve

At certain times the demand may reach the highest value, known as the peak-load. This maximum
demand usually determines the size of a plant. Generally, the peak-load is defined as that part of the
load carried at intensity greater than 4/3 times the mean load intensity.
To cover the fluctuating energy demand, the following types of power plants are
interconnected to each others and work together:
-

Base load power stations (coal, oil, nuclear and run-of-river scheme power stations);
Average load power stations (temporary, gas and reservoir power stations);
Peak load power stations (pumped storage and peak load hydro power stations).

Base load power stations having high utilization times, they produce electric energy on a very
economical basis. The energy prime costs of peak load power stations are higher due to shorter
utilization times; their emphasis lies on instant availability. These differences affect considerably the
price of base load and peak load power.
3.3.2

Load Prediction

For the installation of a new power plant or for the expansion of the existing power plant, it is
necessary to estimate the total amount of load that would be required to be met for various purposes.
The economics of the installation or expansion of a power plant calls for the correct prediction or
forecasting of the power demand.
Load forecasting may be done either for short-term (< 5 years), or medium-term (around 10 years), or
long-term (> 20 years) periods. The short-term forecasting is usually done for operation planning of
existing power plants, while the medium-term forecast is the basis for expansion program of power
generation facilities. The long-term forecast helps in the formulation of the countrys perspective plan
for power generation.
There are three basic load forecasting techniques:
Trend analysis
End-use analysis
Econometric analysis
Each of the forecasting methods uses a different approach to determine electricity demand during
a specific year in a particular place. Each forecasting method is distinctive in its handling of the four

basic forecast ingredients: the mathematical expressions of the relationship between power demand
and the factors which influence or affect it the functions; the factors which actually influence the
power demand (population, income, price, etc.) the independent variables; power demand itself
the dependent variables; and how much power demand changes in response to population, income,
price, etc., changes the elasticities.
Trend Analysis:
Trend analysis extends past growth rates of power demand into the future. It focuses on past
changes or movements in demand and uses them to predict future changes in the demand.
The advantage of trend analysis is that it is simple, quick and inexpensive to perform. It is
useful when there is no enough data to use more sophisticated methods or when time and funding do
not allow for a more elaborate approach.
The disadvantage of trend analysis is that it produces only one result future power demand.
It doesnt help analyze why power demand behaves the way it does, and it provides no means to
accurately measure how changes in energy prices or government policies, for instance, influence the
demand.
End-Use Analysis:
The basic idea of end-use analysis is that the demand for power depends on what it is used for
(the end-use). For instance, by studying historical data to find out how much power is used for
individual electrical appliances in homes, then multiplying that number by the projected number of
appliances in each home and multiplying again by the projected number of homes, an estimate of
how much power will be needed to run all household appliances in a geographical area during any
particular year in the future can be determined.
Using similar techniques for power used in business and industry, then adding up the totals
for residential, commercial, and industrial sectors, a total forecast of power demand can be derived.
The advantage of end-use analysis is that it identifies exactly where power goes and how
much is used for each purpose.
The disadvantage of the end-use analysis is that it assumes a constant relationship between
power and end-use, for example, power used per appliance. But, in actual case, energy saving
technology or energy prices will undoubtedly change with time, and the relationship will not remain
constant. End-use analysis also requires extensive data.
Econometric Analysis:
Econometric analysis uses economics, mathematics, and statistics to forecast power demand.
It is a combination of trend analysis and end-use analysis, but it does not make the trend analysts
assumption that future power demand can be projected based on past demand. Moreover, unlike enduse method, it can allow for variations in the relationship between power input and end-use.
Econometric analysis uses complex mathematical equations to show past relationships
between demand and the factors which influence the demand. For instance, an equation can show
how power demand in the past reacted to population growth, price changes, etc. For each influencing

factor, the equation can show whether the factor caused an increase or decrease in a power demand.
The equation is then tested and fine tuned to make sure that it is a reliable a representation as possible
of the past relationships. Once this is done, projected values of demand-influencing factors
(population, income, prices) are put in to the equation to make the forecast.
The advantage of econometric analysis is that it provides detailed information on future levels
of power demand, why future power demand increases or decreases, and how power demand is
affected by all the various factors. In addition, it is flexible and useful for analyzing load growth
under different scenarios.
The disadvantage of econometric forecasting is the assumption that the changes in the power
demand caused by changes in the factors influencing that demand remain the same in the forecast
period as in the past. However, this constant elasticity assumption is hard to justify in reality.
Note:

Load forecasts should be interpreted as rough indications of the reasonable range of possible
outcomes of power growth, rather than precise computations of future power consumption.

Often it is necessary to develop a range of load growth projections that reflect the uncertainty
associated with many of the factors that influence load growth. Then, the mid-range forecast will
be used as the basis for planning and the high and low growth scenarios will be utilized for
sensitivity studies.

Exercise problems:
Example 1:
Given: Q=50 m/s
H=5 m
tot=0.8
Solution
Power, P

Find: Power, P & Work, A for t=7,000 h/year

P = . .Q.H
P = 0.8*(1000kg/m*9.81m/s)*50.0m/s*5m
= 1962 KW
= 1.962 MW
Work, A, for a yearly operation of 7000 hrs
A = P*t
A =1962 KW*7000h
= 13.7*106 KWh
= 13.7 GWh
Example 2:
Given: Two stations sharing a common load
- one is base load station
- the other is stand by station
Base load station characteristics:
Installed capacity = 25 MW
Yearly output = 125*106 KWh

Take a peak of 22.5 MW

Standby station characteristics
Installed capacity = 30 MW
Yearly output = 10.5*106 KWh
Peak load taken by stand by station = 15 MW
Station works for 2500 hrs/year
Determine (1) Annual load factor for both
(2) Plant use factor for both
(3) Capacity factor for both
Solution
Base load station
Total energy generated per year = 125*106
Capacity of the station = 25*103 KW
Maximum demand = 22,500 KW
i) Annual load factor = total units generated = 125*106
peak demand * 8760
22500*8760
= 0.634
= 63.4%
ii) Plant use factor = max. demand
= 22,500 = 0.9 = 90%
station capacity
2,500
iii) Capacity factor

= average demand
capacity of the station
average demand = 125*106 KWh
= 14269 KW
8760 h
:. capacity factor = 14269/2500 = 0.57 = 57%
Standby station
i) annual load factor = 10.5*106 / (15,000*2500) = 0.028 = 28%
ii) plant use factor = 15*103 / 30000 = 0.5 = 50%
iii) average demand = 10.5* 106 / 2500 = 4200 KW
capacity factor = 4200/30000 = 0.14 =14%
Example 3:
A run-off-river plant operates as a peak load plant with 20% weekly load factor, and all its capacity is
firm capacity. What will be the minimum flow in the river so that the station may serve as a base load
station given that:
Installed capacity of generator = 10,000 KW
Operating head = 15m
Plant efficiency = 80%
Estimate the daily load factor of the plant if the stream flow is 15m3/s.

Solution :
When the plant operates as a peak-load plant with 20% load factor, the total energy generated for one
week will be
10,000*0.20*7*24 = 33.6 * 104 KWh
If Q is min. flow necessary for plant to run as abase load, the power P developed will be.
P = 9.81 n Q H KW
= 9.81*Q*15*0.8
= 117.6 Q KW
Total generated per week = 117.6 Q * 7 * 24 = 1.98*104 * Q KWh.
:. Q = 33.6 * 104 = 16.97 m3/s min. flow in the river.
1.98 * 104
If the stream flow is 15m3/s, the power developed = 117.6 Q
Total generated in 24 hrs = 1764*24 = 42336 KWh
:. Daily load factor =

42336 = 0.1764 = 17.64%

10000*24

CHAPTER - IV
CLASSIFICATION AND TYPES OF HYDROPOWER DEVELOPMENT
4.1Classification and Basis
Hydropower plants could be classified on the basis of
Location & topographical features
Presence or absence of storage
The range of operating heads
The hydraulic features of the plant
Operating features etc.
A complete understanding of the type requires information under all such categories. All the
above classification basis are not mutually exclusive.
1) Classification based on hydraulic features:
The basic hydraulic principle governs the type.
i) Conventional Hydro-plants
Use normally available hydraulic energy of the flow of the river.
Run-of river plant, diversion plant, storage plant
ii) Pumped storage plants
Use the concept of recycling the same water.
Normally used with areas with a shortage of water
It generates energy for peak load, and at off-peak periods water is pumped back for future use.
A pumped storage plant is an economical addition to a system which increases the load factor of
other systems and also provides additional capacity to meet the peak load.
iii) Unconventional Hydro-plants
a) Tidal power plant
Use the tidal energy of the sea water.
Very few have been constructed due to structural complication.
b) Wave power plant
c) Depression power plant
Hydropower generated by diverting an ample source of water in the natural depression
Water level in the depression is controlled by evaporation
2) Classification on the basis of operation:
Based on actual operation in meeting the demand one can have:
isolated plant - operating independently (not common now a days)
interconnected in to grids
Thus in a grid system, a power station may be distinguished as a base load plant or peak load
plant. Hydropower plants are best suited as peak load plants, because hydropower plants can start
relatively quickly and can thus accept load quickly.

Load (MW)

Hydropower

Nuclear

Thermal
Time (months)
Figure 4.1: Place of hydropower in a power system.

3) Classification based on plant capacity

Classification based on plant capacity changes with time as technology improves. Thus we have the
following classification according to Mossonyi, and present day trend classification.
According to Mossonyi
Present day classification
i) Midget plant up to 10 KW
i) Micro hydrpower < 5 MW
ii) Low capacity < 1000KW
ii) Medium plant 5 to 100 MW
iii) Medium capacity < 10,000KW
iii) High capacity 100 to 1,000 MW
iv) High capacity > 10,000KW
iv) Super plant above 1,000 MW
Thus must hydropower plants in Ethiopia may be classified as medium to high.
4) Classification based on head
The most popular & convenient classification is the one based on head on turbine. On this basis:
i) Low head plants < 15m
ii) Medium head plants 15-50m
iii) high head plants 50-250m
iv) very high head plants > 250m
The figure may vary depending on the country standard
5) Classification based on constructional features (layouts)
i) Run-off-river plants (low to medium head plants)

a)Block power plant

b)Twin block plant c)Island plant

d) pier head plant e) Submersible plant
Figure 4.2: Run-off-River Plant Arrangement

ii) Valley dam plants (medium to high head plants)

Figure 4.3: Valley Dam Plant Arrangement

iii) Diversion canal plant

Figure 4.4: Diversion Canal Plant Arrangement

iv) High head diversion plants

Figure 4.4: High Head Plant Arrangement

v) Pumped Storage Plant

Figure 4.5: Pumped Storage Plant Arrangement

4.2 Site Selection, Layouts and Arrangements:
4.2.1 Run-off-river plants (low to medium head plants)
The normal flow of the river is not distributed
There is no significant storage
A weir or barrage is built across a river & the low head created is used to generate power. It also acts
as a controlled spilling device.
The power house is normally in the main course of the river
Preferred in perennial rivers with moderate to high discharge, flat slope, little sediment and stable
reach of a river.
Water enters the power house through an intake structure incorporating some or all of the
following.
1.- Entrance flume separated by piers and walls for each machine unit.
2.- Turbine chamber: scroll case with turbine
3.- Concrete or steel draft tube
4.- Power house building
Additional structures are
- deflector or skimmer walls
- forebay
- service bridge
- river training walls
-

sediment trap and flushing sluices, where necessary

4.2.2 Valley dam plants (medium to high head plants)

The dominant feature is the dam which creates the required storage ( to balance seasonal fluctuation)
and necessary head for the power house.
Power house is located at the toe of the dam
Water flows through the penstock embedded in the dam & enters the power house.

Sometimes the power house is not immediately at the toe of the dam but at some distance ( eg. the
Koka power plant). This arrangement is more expensive (due to longer conveyance) and is used only
when it offers advantages such as extra head due to advantageous topographical conditions.
Important components of a valley dam plant
1.- The dam with its appurtenance structures like spillway, energy dissipation arrangements etc.
2.- The intake with racks, stop logs, gates & ancillaries
3.- The penstock conveying water to the turbine with inlet valve & anchorage.
4.- The main power house with its components.

4.2.3 Diversion canal plant

The distinguishing feature is the presence of power canal that diverts the water from the main stream
channel.
The power house is provided at suitable location along the stretch of the canal
The water often flowing through the turbine is brought back to the old stream.
Diversion canal plants are generally low head or medium head plants.
They don't have storage.
Pondage requirement is met through a pool called forebay located just u/s of the power house.
Ways of developing required head
i) The flatter slopes of power canal and the absence of meander, by reducing length, helps in providing
head.
Let distance from A to B along main river be 15km
>> average slope of main river be 1 in 500
:. Total head difference b/n A & B = 30m.
Let length of power canal be 8km
>> average slope of power canal be 1 in 800
:. Level difference b/n A & forebay = 10m
:. Difference b/n forebay & B = 30-10 = 20m
ii) If the river has a natural fall, diverting the water from u/s side of the fall & locating the power house
at the d/s side of the fall provide the required head.
iii) In inter-basin diversion, water may be diverted from a higher level river to a lower river through a
diversion canal to the power house located at the lower river.
Main structures of the diversion canal plant:
1) Diversion weir with its appurtenant structures.
2) Diversion canal intake with its ancillary works such as sills, trash racks, skimmer wall, sluice, settling
basin, disiltting basin, disilting canal, silt exclusion arrangement is needed in some sediment laden
streams.
3) Bridges and culverts of the canal.
4) Forebay & its appurtenant structures.

4.2.4 High head diversion plants

High head is developed by:
i)diverting the river water through a systems of canals and tunnels to a downstream point of the same
river.
ii) Diverting the water through canals and tunnels to a point on another river which is at much lower
level.
The main feature here is complicated conveyance system & relatively high head compared to the
diversion type.
There may be two situation concerning storage situation
a) A diversion weir to create pondage ( and no storage). Here like run-off-plant the power production is
governed by the natural flow in the river.
b) Storage may be provided on the main river at the point of diversion. (This second situation is
advantageous since the fluctuation in reservoir level does not materially affect the head and the power
output can be adjusted by the controlled flow release from the reservoir. Eg. Fincha & Melka Wakana
power plants)
Main Components of high head diversion plants:
1) Storage or diversion weir with appurtenant structures
2) The canal/tunnel
3) The head race either open cut or tunnel.
4) Forebay/surge tank
5) Penstock
6) Power house
7) The tail race
v) Pumped Storage Plant
Pumped storage plant is suitable where:
the natural annual run-off is insufficient to justify a conventional hydroelectric installation
it is possible to have reservoir at head & tail water locations.
This kind of plant generates energy for peak load, & at off peak period water is pumped back for
future use. During off peak periods excess power available from some other plants in the system is used
in pumping back water from the lower reservoir.
Various arrangements are possible for higher and lower reservoirs:
i)
Both reservoirs in a single river
ii)
Two reservoirs on two separate rivers close to each other and flowing at different elevations
iii)
Higher reservoir an artificially constructed pool and the lower reservoir on natural river
iv)
The lower reservoir in a natural lake while the higher is artificial
Another way of classifying is as pure pumped storage scheme and mixed plant scheme (total
generation>pumping and higher reservoir on a natural system).
The most important basis of pumped storage plant is the relative arrangements of turbines and pumps
- four units -pump, motor, generator, turbine
- three units- pump, generator, turbine
- two units-generator, turbine>reversible pump-turbine installation

4.3 Storage and Pondage

Storage is provide to balance seasonal fluctuation by building reservoir dams. Pondage is provided
through balancing reservoir or forebay for short term fluctuations (daily or hourly)
1.- Reservoir (storage) capacity
Reservoir capacity is determined by means of mass curve procedure of computing the necessary capacity
corresponding to a given inflow and demand pattern. Reservoir capacity has to be adjusted to account for
the dead storage, evaporation losses and carry over storage.
Storage
(1)
Dam
(2)
Appurtenant Structure: Intake and Spillage Structures:
Spillage Structure:
Spillway (5)
Intake:
Service Intake (3) and Bottom Outlet (4)
Surveillance Structure (in Dam, in Foundation as well as Valley Sides)
Diversion
(6)
Service Road
(7)

Figure 4.6 : Reservoir Components

Dead storage
This is a storage capacity of the reservoir provided to accommodate the deposition of silt in the
reservoir. It is expected that the dead storage space will eventually fill up with sediment at which time
one says the dam has served its full purpose.The life of a reservoir is dependent on the silting capacity of
the reservoir. Provisions for flushing out silt through deep seated bottom outlets/sluices is made in most
dams. However this has a limited effectiveness.
Evaporation Loss
Provision should be made for evaporation since it is an important loss item actual evaporation
rate depends upon location & meteorological factors. In arid and semi-arid regions at least 2 to 2.5m of
depth should be added as a rule of thumb.

Carry over storage

Sometimes it may be required to carry over some of the live storage to the next year as a safety
measure. This carry over storage is determined by analyzing the storage requirement for a sequence of
two or three consecutive dry years.
2) Pondage Capacity
Pondage is provided to cater for short term fluctuations.
- For run-of-river plants the pondage is provided by the main weir on its side.
- For diversion canal plants, the pondage is provided at the end of the canal in the form of forebay
reservoir. Reasons for short term fluctuations are:
i) Sudden increase or decrease in load on the turbine. The pondage would provide the extra water when
needed and retain excess water when not needed.
ii) The load and thus the water demand may be steady but the supply may undergo a change. Breaches in
the supply canal may lead to this.
Pondage capacity is determination for varying inflow is similar to storage capacity
determination.
If hourly inflows for a typical day are known, one can calculate the average hourly requirement and
determine the total maximum cumulative departures from the average over a 24 hour period. This will
then be the pondage needed to equalize the daily flow fluctuations.

CHAPTER - V
WATER CONVEYANCE STRUCTURES
5.1 Intakes and Head Race
5.1.1 Water Intake, Inlet Structures
The intake is a structure constructed at the entrance of a power canal or tunnel or pipe through
which the flow is diverted from the source such as a river or reservoir. It is an essential component of
hydropower schemes and provided as an integral part or in isolation from the diversion, weir or dam.
5.1.1.1 Functions of Intakes
The main function are:
i) To control flow of water in to the conveyance system. The control is achieved by a gate or a
valve.
ii) To provide smooth, easy and vortex or turbulence free entry of water in the conveyance system
which is to minimize head loss. This can be achieved through providing bell-mouth shaped
entrance.
iii) To prevent entry of coarse river born trash matter such as boulders, logs, tree branches etc.
Provision of trash racks at the entrance achieve this function.
iv) To exclude heavy sediment load of the river from interring the conveyance system. Special devices
such as silt traps and silt excluders are used to control & trap the silt.
5.1.1.2 Types of Intakes
Intakes are conveniently classified in to the following types depending on the power plant type and its
layout.
i) Run - of - river intakes
ii) Canal intakes
iii) Dam intakes
iv) Tower intakes
v) Shaft intakes
vi) Intakes of special type
i)Run - of - river intakes
The component parts are
bell mouth entrance guarded by R.C or still grid forming the trash rack structure.

Control gate situated immediately d/s of the bell mouth entry

Upstream of the gate may be provided with stop-log groves for provision of access to the gate for
repair.

special de-silting arrangement may be provided in silty rivers.

ii) Canal Intakes

water is admitted in to the diversion canal.

silt excluders or silt-traps are usually essential components of such intakes.

the inlet invert level of the intake is raised to form a sill so as to prevent entry of rolling bed load.

A skimmer wall ( a diaphragm which extends below the water surface) abstracts the floating
material from interring in to the canal.

Trash racks are also fitted at the entrance.

Vertical lift gate with motorized operation are used to control the flow.

Figure 5.1: Example of canal intake layout

Basic principles governing selection of diversion site from streams:
Intakes from streams should be located, wherever possible on the concave side of the bend.
Figure 5.2: Spiral flow in river bends

A
Spiral flow

Ground/bottom flow

Movement of bedload

Surface flow

Figure 5.2: Spiral Flow

Section A-A

1. The effectiveness of the intake in preventing sediment entry increases with the sharpness of the
bend.
2. Intakes from straight reaches can be made favorable by artificially forcing the water to follow a
curved [path.
Weir

Bend

Canal
Gate

Figure 5.3: In a bend

a) With de-silting canal b) Without de-silting

d) bottom guide vanes

c) Curved lateral branch

e) Surface guide vanes

Figure 5.4: In straight reach

iii)

Dam intakes

Figure 5.5: Example of a dam intake

for valley dam plants, the intake structure is provided usually in the body of the dam.
the penstocks are embodied in the dam.
the main features of such an intake are
I.A trash rack structure in front of the dam. a bell mouth inlet horizontal or inclined alignment.
II.A control gate installed either at or after the bell mouth. Cage-shaped intakes resting against the face of
the dam and supported on slab cantilevered from the dam provide larger area of entry than the
penstock intake area, thus reducing entrance losses.
III.Multi-level water are also some times used in dam intakes.

iv)

Tower Intakes

Figure 5.6: Tower Intake

Used when it is not convenient to provide the simple intake directly on the u/s face of the dam.
Also used when there are wide fluctuations in water level.
Tower may be connected with main dam through a bridge when the tower is near the dam
Flow in to the tower is controlled by a number of gates to close or open the ports at various levels.
Flow through the pressure conduit is controlled by vertical uplift gates.
The structure should be strong enough to withstand hydrodynamic, earthquake, wind, etc.

v)

Shaft intakes
This is a vertical shaft that carries water to the penstock tunnel. It consists of the following.
The entrance structure with trash rack and rounded inlet.
The vertical shaft followed by an elbow and transition connecting the shaft with the tunnel.
The intake gate (cylindrical) and sometimes a stop-log closure.

Figure 5.7: Shaft Intake

5.1.1.3 Trash racks and Skimmers
Debris carried in the incoming water can have adverse impacts on a hydropower scheme in that:
It can obstruct flow along the conveyance structures, interrupting power generation or causing
the water to overflow and possibly undermine the structures.
It can cause rapid deterioration of the penstock or turbine or cause a catastrophic failure, such as
rupture of the penstock through a sudden blockage of flow through the nozzle (in the case of
impulse turbines) or fracture of the runner blades (in the case of reaction turbines).

It is therefore essential that the quantity of debris which enters the conveyance system of a
hydropower scheme be minimized. This can be achieved with the help of trash racks and skimmers.
i)

Trash Racks:
A trash rack intercepts the entire flow and removes any large debris, whether it is floating,
suspended, or swept along the bottom. Frequently, it is located in the intake structure to prevent debris
from entering the water conveyance system. It can also be placed just before the inlet to the penstock to
remove smaller debris as well as other trashes which may have entered the water conveyance system
downstream of the intake.
A trash rack is made up of one or more panels, each generally fabricated of a series of evenly
spaced parallel metal bars. The bars are parallel and evenly spaced because a rake is commonly used to
clear the debris off the rack. In this case, it is essential that the teeth of the rake mesh into the parallel
bars without binding so that the rake can be pulled along the bars easily to scrape off accumulated
debris.
Trash racks can be installed by sliding them into grooves in the concrete walls of the intake,
canal, or forebay structure. They should be removable and not permanently set in concrete.
Bars on a trash rack before the inlet to the penstock should be spaced no closer than is necessary
to remove debris which might be detrimental to the turbines operation. Otherwise, head losses may be
high and the rack may fill up quickly with debris. With a Pelton turbine, the space between bars usually
is not more than half the nozzle diameter (or a quarter, if spear valve is used) to prevent the nozzle
from choking. For Francis turbines, the space between bars should not exceed the distance between the
runner vanes.
The approach velocity of flow should be kept within such limits that it will not cause damage to
the rack structure. A design approach velocity of 0.5 m/s is usually used. If a trash rack is located
immediately in front of the inlet to a penstock and the penstock velocities are significantly higher than
0.5 m/s, the trash rack can be built in a circular area to increase the area of the trash rack and
correspondingly decreases velocity through it.
Cleaning of the trash racks can be performed either manually (for small schemes) using manual
rake or mechanically (for large schemes) using automatic cleaning machines. The trash rack is usually
placed vertical or near vertical (< 25o from the vertical). Placing the trash racks in an inclined position
makes the cleaning easy apart from giving less resistance to flow.
Clogging of racks is objectionable on account of the operational trouble and loss of energy
production involved, and of the unbalanced load created on the rack causing partial or total damage
thereof. Allowing for partial clogging, racks are generally designed to withstand a head ranging from 1
to 2 m under normal conditions and from 4 to 5 m under exceptional circumstances.
ii)
Skimmers:
A skimmer wall is an obstruction placed at the water surface, usually at an angle to the stream
flow which skims floating debris from the passing water. If the water level changes markedly as, for
example, at the intake of stream, the skimmer can be a floating piece of timber secured at both ends. If
changes in water level are small, a fixed skimmer can be used.
Because some debris usually passes under the skimmer, a trash rack is still necessary. However,
a skimmer reduces the frequency with which the trash rack has to be cleaned.
Skimmer walls are made, for the most part, of reinforced concrete with a service bridge on top.
They are designed usually for a horizontal pressure of 1000 kg/m 2 acting on the submerged surface.

5.1.1.4 Losses in Intakes

The intake losses include entrance loss, trash rack loss and head gate loss.
Entrance Losses
These comprises of :
a) Loss due to change in direction is given by:
2

Vf
V2
he
C
2g
2g

5.1

Where V is velocity in the diversion canal

Vf is velocity of flow in the main river
C is a constant which depends on the off-take angle of the diversion canal.
According to Mossonyi, C is equal to 0.8 for 300 off-take angle and 0.4 for 900 off-take angle.
Vf
V

Figure 5.8 Losses due to change of flow direction

b) The losses due to sudden contraction of the area at the inlet section is given by:
V2
5.2
he K

2g
Where K is a constant, which depends on the shape of the entry.
K=0.03 for bell-mouthed entry
K=1.3 for sharp cornered entry.
In cases of the inlet having a sill constructed with curved abutments and piers, the head loss
(he), is given by:
V2
5.3
he 0.3

2g
V f2
V2
Therefore, maximum total entrance loss = 1.3
C
(5.4)
2g
2g
Rack Losses:
There are numerous expressions available for predicting head loss across trash racks. One such
expression (after Kirschmers) is:

t
hr K t
b

4/3

Va
sin
2g

5.5

Where, Kt is trash rack loss coefficient (a function of bar shape), t is bar thickness, b is spacing
between bars, Va is approach velocity, and is angle of inclination of bars with the horizontal.

Figure 5.9:

Rack losses

Gate Losses:
Head loss due to gates (at part gate opening) is given by:
2

1 Q

5.6
h g

2 g C d A
Where, Q is flow in the canal or conduit, A is area of gate opening, and Cd is
discharge coefficient which varies between 0.62 and 0.83.

5.1.1.5Velocity Through Trash Racks

Velocity should be sufficiently low to avoid high head loss and should be sufficiently high to
avoid large intake and trash rack cross section. The following are suggested limiting entrance
velocities:
i)
Justin and Creager formula:
V 0.12 2 gh
(5.7)
h =head from center line of gate to normal water surface
ii)
Mosonyi's formula to eliminate eddies and vortices:
V 0.075 2 gh
(5.8)
3
iii)
U.S.B.R's criterion: permissible velocity in the range of 0.6 to 1.5 m /s
5.1.1.6 Air Entrainment and Vortex Formation at Intakes
Air entrainment is due to development of vortices and also due to partial gate opening that
facilitates hydraulic jump formation. Effects of air entrainment are: Additional head losses, reduction in
discharge and drop in efficiency of turbines. Minimizing vortex formation and avoiding hydraulic jump
formation help in preventing air entrainment.
A vortex which forms at the inlet to power conduit occasionally can cause troubles by itself. It
can induce loss of turbine efficiency, possible cavitation, surging caused by the formation and
dissipation of vortices, and flow reduction as air replaces part of the water through the inlet. It can also
draw floating debris into the conduit. Thus, it is necessary to prevent formation of vortices at intakes
and air entrainment.
Vortices are formed due to the following factors:
i)
Hydraulic jump formation
ii)
Velocities at intakes
iii)
Submergence at intakes
iv)
Geometry of approaching flow at intakes
Designing for a low velocity into the conduit and increasing submergence of the inlet can help
prevent the formation of vortices. Flow approaching the intake asymmetrically is more prone to vortex
formation than symmetrical flow. It is therefore important that flows upstream of the inlet area be as
straight and uniform as possible.

For the condition of no vortices at intakes (after J. B. Gardon):

Ys 0.545V D
for symmetrical approach
Ys 0.725V D

Ys

for asymmetrical approach

Where, Ys is necessary submergence depth, V is

velocity at inlet to the canal, and D is diameter of
the conduit.
Figure 5.10: Sketch of submergence depth arrangement
Another remedy to vortex formation is provision of a floating raft or baffle which disrupts the angular
momentum of the water near the surface.
5.1.1.7 Inlet Aeration
Intakes normally have a bulk head gate at the front and a control gate inside on the downstream
side. An air vent is always provided just downstream of a control gate. The functions are:
i)
to nullify vacuum effect, which could be created when the penstock is drained after control gate
closure.
ii)
Intake gates operate under conditions of balanced pressure on both sides of the gate. Thus the
conduit is required to be filled with water through a by-pass pipe. The entrapped air is therefor
driven out through the air vent.
Qa
Air vent

Control gate
Bulk head

Figure 5.11: Air Vent Arrangement

Size of the air vent: There are several recommendations
1/ 2
Qa 400Ca p
(5.9)
1.
Where Qa
= Discharge of air in cumecs a= Area of vent pipe in m2 C=Constant ~7
p
=Pressure difference between the atmosphere and pressure in the penstock in kg/cm 2
2.
4th Congress on Large Dams (ICOLD)
Area of air vent =10% of control gate area
3.
USBR design guide: Capacity of air vent = 25% of conduit discharge
5.1.2

Settling Basins
The water drawn from a river for power generation may carry a suspended sediment particles.
This silt load may be composed of hard abrasive materials such as quartz and will cause damage or
wear to the hydro-mechanical elements like turbine runners, valves, and penstocks. To remove this
material a structure called settling basin should be constructed, where the velocity of the flow will be
reduced resulting in settling out of the material, which has to be periodically or continuously flushed
out.
In order to satisfy the requirement for a good hydraulic performance the basin is divided into
three main zones: inlet zone, settling zone, and outlet zone.

Inlet Zone:
The main function of the inlet is to gradually decrease the turbulence and avoid all secondary
currents in the basin. This is achieved by decreasing the flow velocity through gradually increasing the
flow cross-section, i.e., by providing gradual expansion of the width and depth (see figure 5.12).
To achieve optimum hydraulic efficiency and effective use of the settling zone, the inlet needs
to distribute the flow uniformly over the cross-section of the basin. To achieve uniform flow
distribution, the following techniques, in addition to the provision of gradual expansion, may be
adopted at the inlet zone:

Use of submerged weir

B

Use of baffles
L

Use of slotted walls

Flushing flume

A
Power canal

W
Flushing sluice
Settling zone

Inlet
zone

Outlet
zone

Power canal
Flushing flume

Section A-A
W

Collection tank

Flushing flume
a) For continuous flushing

b) For intermittent flushing

SectionB-B

Figure 5.12: Settling basin

Settling Zone:
This is the main part of the basin where settling of the suspended sediment is supposed to take
place. The dimensions of this zone can be determined through calculations (see sections below).
Outlet Zone:
This is a kind of transition provided following the settling zone to facilitate getting back the
flow into the conveyance system with the design velocity by gradually narrowing the width and depth.
The outlet transition may be more abrupt than the inlet transition.

Note: The cross-section of a settling basin is usually tapered at the bottom forming a sedimentcollecting flume, built with a gradient in the direction of flow.
Design of Settling Basins
The hydraulic design of settling basins is broadly outlined in the following:
1.

Exploration of sediment conditions, involving the quantitative and qualitative analysis of

sediment carried by the river. As regards to wear of the hydraulic machinery, suspended sediment is
of significance, since the bulk of the bed-load moving along the bottom can be effectively
prevented from entering the canal by a well-designed intake.

2.

On the basis of theory and practical experience, the necessary degree of removal should be
determined. Usually, the sensitivity of plant installations, particularly the hydraulic machines,
requires that a marginal (critical) grain size dcr is not exceeded. Generally, Francis and Pelton
turbines are subject to greater wear and tear ( form of blades, higher flow velocities) than Kaplan
turbines with comparably bigger discharges and lower heads. Consequently, the sand trap/settling
basin must be dimensioned in such a way that grains with diameters bigger or equal to d l (limit
particle size) must be settled. It should be noted, however, that no standard values or specifications
have yet been developed
For medium head = (15-50m);
For head up to 100m;
Very high head >100m;

dl = 0.2 to 0.5mm in diameter

dl = 0.1 to 0.2mm in diameter
dl = 0.01 to 0.025m in diameter

For the limit particle sizes mentioned above, the lower limits should be used if the sediment
fractions contain sharp-edged quartzite grains.

% Sieve passing

100

Degree of removal

80
60

60% removal ratio

40
20

dl

0
0.001

0.01
0.1
1
10
Particle size (mm) (Log scale)

100

Figure 5.13: Example of removal ratio

Instead of using the limit particle size, the degree of removal is frequently defined by the removal
ratio, which is the ratio of concentrations after and before settling, expressed in percentages. If the
concentration of the raw water is C, and that of clarified water is specified as the permissible value
Cp, the required removal ratio is obtained as:
Cp
5.10
%
R
100
C
In the above example (Fig.5.13), the removal ratio is 60%

3.

Having determined the basic data as suggested in above, one can proceed to establish settling
velocity of the smallest fraction, i.e., of the limit particle size to be removed. This can be
established theoretically (Stoke's law) or by experiments (Sudry graph).

Figure 5.14. Settling velocity in stagnant water plotted against the density of silty water and
the particle diameter (After L.Sudry)
The so-called horizontal-flow settling system is usually applied at power developments. For
this system the dimensions of the settling basin may in principle be determined by two
computational methods depending on whether to neglect or to take into account the turbulence
effect.
Design neglecting the effect of turbulence (simple settling theory):
Here, the effect of turbulent flow upon settling velocity is neglected. Three basic relations may
be written for the determination of the required basin dimension.
Denoting the depth of the basin by D and its width by W, the discharge passing through the
basin is:

Q W DV

5.11

Where, V is the flow-through velocity.

The second equation expressing the relation between the settling velocity , the depth of the
basin D, and the settling time t is:
t

5.12

Finally, the length of the basin will be governed by the consideration that water particles
entering the basin and sediment particles conveyed by them with equal horizontal velocity should only
reach the end of the basin after a period longer than the settling time. Thus, even the smallest settling
particle may reach the bottom of the basin within the settling zone. In other words, the retention period
should not be shorter than the settling time. The required length of the basin is thus:

L V t

5.13

Eliminating t from the last two equations (equation 5.12 and 5.13), two relations can be
established between the six parameters governing the hydraulic design:
Q W DV

DV
L

(5 .14 )

Obviously a solution of the problem is not possible unless four of the six quantities are known.
The discharge Q is usually known. The settling velocity is defined by the initially specified
degree of removal and, as mentioned previously, can be established by calculation (see equation
5.19/20) or experimentally (Figure 5.14). The highest permissible flow-through velocity V should also
be specified, considering that particles once settled should not picked up again. According to Camp, the
critical flow-through velocity is estimated from:

V a dl

m / s

5.15

Where, d is the equivalent diameter of the smallest sediment particle to be settled in mm and a
is a constant given as:

a 0.36 ,

for d l 1 mm

a 0.44 ,

for 0.1 mm d l 1 mm

a 0.51,
for d l 0.1 mm
[Modern tendency is to use V =0.4 to 0.6 m/s]
Depth of basin should be specified considering that long and/or wide basins are economical
than deep ones. The depth of settling basins in waterpower projects is generally between 1.5 and 4 m
with flow-through velocities not higher than 0.5 m/s. Hence W and L can be computed.
Check
From
Q=DWV

V=Q/WD
And from
L=V*t

V=L/t
Therefore

Q/WD = L/t

Q*t
= WDL
Water conveyed to tank
= Volume of tank

Design considering the effect of turbulence:

Owing to the retarding effect of turbulent flow on subsiding particles, settling is slower in
flowing water. A more accurate investigation of the basin is thus by considering the retarding effect of
turbulence into consideration.
By using a lower settling velocity , equation (5.14) obviously yields greater values for
the length of the basin. The reduction in the settling velocity is related to the flow-through velocity
by:

(m / s)

5.16

The coefficient may be computed from:

0.132

( 5.17)
D
Accordingly, the second row of equation (5.14) can be modified for the settling length as:

DV
D 3 / 2V
1/ 2
( m)
V D 0.132 V

5.18

This shows a larger settling basin is required, when compared with simple settling theory. In the
computation if the result provides negative value in the denominator, it indicates that no settling takes
place in the basin; hence dimension should be modified.
Theoretically, the following equation can be used to estimate the settling velocity:

4 gd

3 Cd

s w

1/ 2

5.19

Where, d and s, respectively, are the diameter and specific weight of the sediment particle, w is
specific weight of water, and Cd is the coefficient of drag and is a function of particle Reynolds
number R = d/, being the kinematic viscosity of the water.

Figure 5.15: Drag coefficient of spheres as a function of particles Reynolds number (note =v)
The drag coefficient in the Stokes range (R < 0.1) is given by Cd = 24/R, and equation (5.19)
can be modified for Stokes range as:

gd 2

18

s w

5.20

Removal of Sediments from Settling Basins

There are different techniques for removing sediment deposits in settling basins:
Manual or mechanical removal of deposited sediments after the basin is de-watered.
Flushing of deposited sediments through an outlet provided at the bottom, often called flushing
sluice.
When the water flow through the basin is halted, it will cause interruption in power generation.
However, this is not an acceptable solution, and instead a continuous power generation should be
facilitated during cleaning of settling basins. Continuous operation can be ensured by one of the
following methods:
i) Providing two or more parallel basins (some can be cleaned while others are operating).
ii) Adopting continuous flushing, by admitting excess water into the basin. An inflow exceeding the
water demand by about 10 % may be admitted continuously into the basin and used for flushing
the sediment accumulating at the bottom.
5.1.3 Head Race
Head race may be a power canal, a pressure tunnel, or a pipe, which in most cases conveying
water from intake structure to surge tank, forebay or pressure shaft, depending on the arrangement of
the scheme.
5.1.3.1 Canals
Canals are appropriate choice when the general topography of the terrain is moderate with
gentle slopes. However, when the ground is very steep and rugged, it becomes uneconomical to
construct canals as it follows longer distances and/or needs provision of cross-drainage works and deep
cuts and fills at a number of appropriate locations. In such cases, it is advisable to go for tunnels or
pipes. The choice, in fact, has to be made based on economic analysis. Where the topography of the
region presents special formations, the alternating use of open-canal and open-surface tunnel sections
may ensure the most economical development.
The tracing of a power canal should closely follow the contour lines of the terrain. Based on the
topographic conditions, a canal may be constructed through cuts, over fills, and in cuts-and-fills as
shown in Figure below.

Figure 5-16: Canal Sections

A very important feature of an open canal is its vulnerability to damage from such
sources as landslide and rock falls, and from storm water runoff crossing its path. The cost of
protection from these eventualities and their associated repair costs must be included in an estimation
of the canal cost.

Canal Lining
Power canals may be lined or unlined. The lined canals are usually lined with impervious
material such as concrete, masonry, or clay.
Canal lining might be carried out to:
Reduce seepage losses
Reduce canal surface roughness
Prevent the growth of weeds
Reduce damage caused by erosion, rodents, and livestock
Reduce the required volume of excavation
Permits the use of rectangular x-section
Concrete Lining:
This is the most extensively used material in power canal lining. It is mostly used with
trapezoidal cross sections. The excavation of a canal for a thin, unreinforced concrete lining is
similar to that of an earth canal. It should be done carefully to ensure that the lining conforms
closely to the desired profile when it is completed; otherwise, the lining will require more material
than expected. The foundation should be adequately compacted and moistened before the concrete is
placed. The necessity of moistening the foundation is to prevent the sub-grade from absorbing
moisture from the freshly laid concrete making it weak and porous.
Concrete sections of a lining can be hand-formed at the site. If the side slopes exceed 1 in 1,
form works may be necessary to hold the concrete in place until it sets. The thickness of the concrete
lining may range from 10 to 20 cm, depending on the quality of the concrete and the soil conditions.
In preparing concrete for lining a canal, it is important to use the minimum amount of water
needed for workability. Excess water will cause the concrete to slump and not stay on the canal side
slopes. A mixture of a 1:3:4.5 (cement : sand : gravel) volume proportion is adequate for lining a
power canal.
Brick or Stone Masonry:
This is another most frequently used type of power canal lining. Use of stone masonry permits
savings by reducing the quantity of cement required as compared to concrete lining. Masonry lining
consumes only about 25 30 % of the amount of cement required for poured concrete. Whether
brick or stone is used depends on their relative availability and cost.
With masonry linings, a rectangular canal section is often used. In this case, the sides of the
canals are constructed as retaining walls to counteract the lateral forces of either the earth backfill or
the water within the canal.
In the construction of a power canal lined with masonry, the excavation must allow for the
thickness of the lining. Before the lining is placed, the canal bottom and sides should be properly
compacted to avoid future settling and cracking of the lining. They should also be wetted slightly to
prevent the mortar from drying too fast.
To reduce resistance to flow and possible seepage, the masonry surface shall be plastered.
Note:
In addition to the commonly used lining materials discussed above, other materials such as
bituminous mixtures, soil-cement, wood, clay, chemical sealant, shotcrete, and impermeable
membranes are also sometimes used to line power canals
In special circumstances where the canal alignment is through a terrain having seasonally high
water table or where the soils are not freely draining, under-drainage should be provided in order
to protect the lining from damage due to uplift pressures.

 Due to temperature variations and shrinkage, cracks may be developed in canal linings and may
result in appreciable leakage from the canal. In order to minimize these effects, it is necessary to
provide contraction joints in the lining at suitable intervals (usually 3 to 8 m).
Canal Design
Canal design involves determination of the following:
- Carrying capacity, velocity of water in the canal & roughness coefficient of the canal surface
- Canal slopes
- Cross-sectional profile of the canal
i)
Carrying Capacity and Velocity
For the hydraulic design, the discharge is computed from continuity equation as Q=V.A.
The mean velocity, V, is determined from any of the continuity equations. The roughness
coefficient is specified from the bed material type.
A
Chezy's equation
V C RS
Several equations are available to determine the value of C.
87
i)
Bazin's formula
Where m is roughness factor
C
m
1
R
1
ii)
Maning's Formula
Where n is Maning's roughness coefficient
C R1 / 6
n
1
The Chezy-Maning equation V R 2 / 3 S 1 / 2 MR 2 / 3 S 1 / 2 Use Tables for M & n.
n
0.00281 1.811
41.65

S
n
C
iii)
Kutter Formula
in English units
n
0.00281
1
41.65

S
R

iv)
The Agroskin formula C 17.72K log R
When using Maning's n,
- add 0.001 to the values of the Table if the water carries small amount of silt
- add 0.002 if the bed load is heavy
B) Forch-Heimer Formula
Some designers prefer this formula for V and given by:

V CR 0.7 S 0.5 ,

1
n

Apart from the hydraulic computations, the flow velocities in the canal or other water conduits
in general are determined according to economic point of views (investments, head losses, wear and
tear of material, danger of erosion and silting). The velocity must be high enough to prevent
sedimentation. It has to be low enough to prevent bed erosion for unlined- and wear by abrasion for
lined-canals.Lowering the velocity keeps the head loss over the length of the canal to a minimum;
however, it increases the cost necessary to construct the canal as the cross-sectional area increases
when the velocity lowers. Table 5.1 provides permissible velocity ranges.

Maximum velocity
Minimum velocity
Vmin (m/s)
Bed Material
Vmax (m/s)
Sand
0.4
Sandy loam
0.6
Loam
0.6
To keep any sediment
Clayey loam
0.8
from settling out, the
Clay
2.0
minimum velocity in a
Gravel
3.0
canal should not be less
Masonry
3.5
than 0. 3 m/s.
Asphalt
4.0
Concrete
5.0
Table 5.1 Permissible flow velocities in a canal
As stated above, in unlined canals flow velocities are limited by the resistance of the
bed material to erosion. In unlined canals flow velocities are limited by resistance against wear.
Maximum Velocities
Critical bottom velocity (w.r.t. erosion) is given by:
Vb 2d
Strenberg:
for d is particle size in meters, =4.43
Maximum permisible mean velocity according to Bogardi and Yen is given by:
V 22.9d m4 / 9 S s 1
Where dm is mean particle size and Ss is specific gravity of particles.
Minimum Velocities
There are various recommendations for non silting velocity
1) According to Ludin
If Vmin >0.3 m/sec, there will be no silting (for silty sediments)
Vmin >0.3 to 0.5 m/sec, there will be no silting (for sandy sediments)
2) According to R.C. Kennedy
Non-scouring and non silting velocity is given by: V Ch 0.64
Where h is depth of water in meters and C is coefficient varying from 0.54 to 0.7, depending on silt
load.
3) According to E.A: Zamarian, the requirements for silting or non-silting of unlined canal is given by:
V RSV
G0 700
0

Where G0 =Silt load carrying capacity of canal in Kg/m3

V= mean velocity (m/s)
0 = if >2 mm/sec
= 2 if 2 mm/sec
= settling velocity in silt water (mm/sec)
R = hydraulic radius
S = bed slope
900 RS
For approximate values:
G0
0 1.25

Find the actual G (sediment load ) and compare it with G0. If G > G0 there will be deposition. If G <
G0, there will be no deposition. The formulae are valid for:
1) Canal free from aquatic growth
2) Q is between 0.2 and 150 m3/s
3) V > 0.3 m/s
4) < 10 mm/sec
1) According to M.M. Grishing, approximate Vmin is given by:
Vmin AQ 0.2
Where A is coefficient, which is f () and Q is design discharge.
< 1.5
1.5 - 3.5 >3.5
For (mm/sec)
A
0.33
0.44
0.55
Table 5.2: Coefficients of velocity
ii)

Roughness coefficient
As water flows in a canal, it losses energy in the process of sliding past the walls and bed
material. The rougher the material, the more frictional loss and the greater the head drop or slope
needed for a given velocity. The roughness coefficient, n, for various canal materials are given in Table
5.3 below.
iii)

Power Canal Slopes

In plain areas use slope between 5 to 20 cm/km (0.005 to 0.02 %). In mountainous areas slopes
are as steep as 1 to 2 m/km. The canal bed slope can also be estimated using the Mannings equation:
n 2V 2
S 4/3
R
The slope found from the above equation should nearly coincide with the available natural
topography. Otherwise, a different slope should be computed by choosing other values for the velocity
within the permissible limit until a satisfactory result is obtained.
Canal material
Roughness coefficient
Clay, with stones and sand
0.020
Gravelly or sandy loam
0.030
Earth canals
Lined with coarse stones
0.040
Medium coarse rock muck
0.037
Rock muck from careful
0.045
Rock canals
blasting
0.060
Very coarse rock muck
Brickwork, well pointed
0.015
0.017
Masonry canals Normal masonry
Coarse rubble masonry
0.020
Smooth cement finish
0.010
Concrete, unplastered
0.015
Concrete canals
Coarse concrete
0.018
Irregular concrete surfaces
0.020
Planed, well jointed boards
0.011
0.012
Wooden canals Unplanned boards
Older wooden canals
0.015
Table 5.3 Values of roughness coefficient n for different canal materials

iv) Cross-sectional Profile

The material in which the canal is constructed generally dictates its cross-sectional profile. The
common cross-sections used for canals are described in the following paragraphs.
A semi-circular cross-section is the most efficient profile because, for a given canal slope and
cross-sectional area, it conveys the maximum flow. However, this form is impractical to excavate. It is
therefore used primarily with materials which lend themselves to this shape. Examples are
prefabricated concrete, sheet metal, and wood-stave sections.
A trapezoidal cross-section is the most widely used profile for both lined and unlined canals
excavated in earth. If the canal is unlined, the maximum side slope is set by that slope at which the
material will permanently stand under water. The magnitude of the side slope of a lined trapezoidal
canal depends on the nature of the material on which the lining will rest, but usually steeper than
unlined canals. In general, it should be nearly equal to the angle of repose of the natural soil so that no
earth pressure is exerted on the back of the lining. The banks of a lined canal resting on almost any
free-draining material requires slopes not steeper than 1:1.
For a trapezoidal canal with a given side slope, the most efficient cross-section is one in which a
semi-circle can be inscribed in the wetted area. For this section, it can be shown that the length of either
sloping side of the wetted area is half its top width.
Canal material
Side slope (V:H)
Firm rock
1:1/4
Fissured and disintegrated rock
1:1/2
Clay
1:3/4
Clayey loam
1:1
Loam
1:3/2
Sandy loam
1:2
Sand
1:3
Lining
1:1
Table 5.4 Suggested side slopes for trapezoidal canals
A rectangular cross-section is often most appropriate when excavation is undertaken in firm
rock. It is also commonly used when the canal incorporates properly constructed masonry walls. Use of
a rectangular canal reduces the excavation required. For the most efficient rectangular cross-section,
the width of the canal is twice the depth of the wetted area and, like a trapezoidal section, is a section in
which a semi-circle can be inscribed.
Freeboard Allowance:
Freeboard is provided above the design water level for safety purposes. For earth canal the
lower limit is 35 cm and the upper limit is 140 cm. Generally the free board = [0.35+1/4h] m. Where h
is depth of flow. Allowances should be made for bank settlements. For lined canals, the top of the
lining is not usually extended for the full height of the free board. Usually it is extended to 15cm to
70cm above the design water level.
Water Loss in Power Canals
Water losses are due to
a)
seepage
b)
evaporation
c)
leakage at gates
Generally b) and c) are generally of minor importance. Seepage losses from earth canal may be
described according to the following procedures:

1) Davis and Wilson

C
(q in m/sec-km)
P3h
10,000
Where C = coefficient depending on soil type and lining (see Table 5.5 below)
P = wetted perimeter of canal in m
H = depth of water in m
q

Canal
Lined

Unlined

Lining or soil type

C
Concrete lining 75 to 100mm thick
1
Clay lining, compacted, 150 mm thick
4
Light bituminous lining
5
Clay lining, compacted 75 mm thick
8
Thin lining of asphalt or cement mortar
10
In loam
12
In loamy silt soil
15
In silty soil
20
In sandy silt soil
25
In silty sand soil
30
In fine sand
40
In sands of medium fineness
50
In sandy gravel
70
Table 5.5: C parameter for seepage computation

2) B.A. Etchivery gives specific seepage coefficient based on measurements on American irrigation
canals. Higher values apply for newly constructed channels.
Material
Slightly pervious loam
Loam of moderate permeability
Pervious loam or silt
Gravely or sandy loam
Loose sand
Gravely sand
Gravel
Coarse gravel

3) A.N. Kostyakov (USSR):

Specific seepage (m/day-m)

0.08 - 0.11
0.11 - 0.15
0.15 - 0.23
0.23 - 0.30
0.46 - 0.53
0.61 - 0.76
0.76 - 0.91
0.91 - 183
Table 5.6: Specific seepage of canals
q

C
Q
100

q in m/sec-km

Values of C
3 .4
Q 0 .5

b) for soils of moderate permeability, C

1 .9
Q 0 .4

a) for soils of high permeability, C

c) for soils of low permeability, C

0 .7
Q 0 .3

Exercises
1. Design a settling basin for high-head power station using the simple settling theory. The basin
should serve to remove particles greater than 0.5mm diameter from the water in which the
sediment is mainly sand. Let the design discharge be 5m/s and assume an initial value of 3.2m
for the basin depth. Take the water sediment mixture density to be =1.064
2. A power canal with a slope of 0.0001044 and R=1.76 m is unlined with coarse sand bed
material. Determine the safe velocity in the canal if the heaviest bed load in the original canal of
the course is G=0.34kg/m. The water carries silt with an average diameter of 0.08 mm. Assume
dm=2.00 mm as size of bed material and h=2.5m.
3. Determine the seepage loss from a power canal constructed in a sandy soil of medium fineness
by the Davis and Wilson, Etchevery and Kostyakov methods discussed. The following data are
given:
Trapezoidal canal:

bottom width, b= 10.0 m

Water depth, D=2.5m
Side slope 2H: 1V
Mean velocity =0.5m/s
Effective size of soil particle, dm=0.1mm
Permeability coefficient, k=1x10-5 m/s

5.1.3.2 Tunnels
5.1.3.2.1 General
Tunnels are underground conveyance structures constructed by special tunneling methods
without disturbing the natural surface of the ground. In many modern high head plants, tunnels form an
important engineering feature.
In the headrace of water conveyance sytem, tunneling is popular because of the following
reasons:
i) It provides a direct and short route for the water passage thus resulting in considerable saving in cost
ii) Tunneling work can be started simultaneously at many points thus leading to quicker completion
iii)Natural land scape is not disturbed
iv)Tunneling work has become easier with development techniques of drilling and blasting and new
mechanical equipment
v) Development of rock mechanics and experimental stress analysis has given greater confidence to
engineers regarding stability of tunnels.
Tunnels of hydropower projects fall into two categories: water carrying tunnels and service tunnels.
a) Water carrying tunnels : These include head race or power tunnels, tail race tunnels or diversion
tunnels. Flows in water tunnels are usually under pressure (pipe flow), but sometimes free-flow
(open channel flow) can be experienced, especially, in tailrace tunnels. The design of free-flow
tunnels follow the same principles as used in the design of open canals.
- Head race tunnels: are tunnels that convey water to the surge tank. These are pressure tunnels
- Tail race tunnels: could be free flowing or pressure tunnels depending on the relative position of
turbine setting and tail water level.
- Diversion tunnels: are constructed for the purpose of diverting the stream flow during construction
period. Normally they are not of high pressure but should have sufficient flood carrying capacity.
Such tunnels either plugged with concrete or converted in to some use such as spillway tunnel at
the completion of the project.
b) Service tunnels: These may be:
- Cable tunnels: to carry cables from underground power house to the switch yard
- Ventilation tunnels: fitted with fans at the open end to supply fresh air to the underground
- Access or approach tunnels: this is a passage tunnel from surface to underground power house.
5.1.2.2.2 Classification of Tunnels
In addition to the above classification tunnels may be classified on the basis of shape, alignment
and design aspects.
Shape: Tunnels are either circular or non-circular in shape.
Circular tunnels: are most suitable structurally. They are more stable when the internal
pressure is very high.
Non-circular tunnels: have a flat floor, nearly vertical or gently flaring walls and an arching
roofs. The horse-shoe shape is the most popular and convenient from the point of view of construction.

Commonly adopted shapes:

a) Circular shape

b) Horseshoe shape

C) D-shape

Figure 5.15: Tunnel shapes

Alignment: A name tunnel indicates a very small bottom slopes, i.e. tunnels are aligned nearly
horizontal. Shaft is a tunnel with vertical alignment or inclined shaft when it is steeply inclined to the
horizontal. It is very crucial to investigate in detail the geology of the strata through which a tunnel
would be passing. Sound, homogenous, isotropic, and solid rock formations are the most ideal ones for
tunneling work. However, such ideal conditions are rarely present, and rather the rock mass exhibits
various peculiarities. There may be folds, faults, joint planes dipping in a particular direction, weak
strata alternating with good strata, etc. Thus, the alignment of a tunnel should be fixed keeping in view
these phenomena. The alignment, for instance, should as far as possible avoid major fracture planes.
Design Aspects: Aspects of lining, pressure condition, etc., can be considered to identify different
types of tunnels.
Lining: Lining is a protective layer of concrete, R.C. or steel on the inner surface of the tunnel and it is
an important aspect in classification of tunnels. Thus tunnels may be lined, unlined or partially lined.
Tunnels in good, sound rock may left unlined.
Lining of tunnels is required:
i)
For structural reasons to resist external forces particularly when the tunnel is empty and when
the strata is of very low strength.
ii)
When the internal pressure is high, i.e. above 100m
iii)
When reduction in frictional resistance and therefore the head loss is required for increasing
capacity
iv)
For prevention or reduction of seepage losses
v)
For protection of rock against aggressive water
Pressure tunnels: are classified according to pressure head above the soffit of the tunnel. Accordingly:
-

Low-pressure tunnels
(H < 10 m)
Medium pressure tunnels (10 m < H < 100 m)
High-pressure tunnels
(H > 100 m)

In the case of low-pressure tunnels the tunnel surface may frequently be left unlined except for visible
fissures. A watertight lining is usually required for tunnels operating under medium and high heads.
Seepage is more likely to occur as the head increases, water may leak through the smallest fissures and
cracks. Moreover, under high-pressure it may penetrate the otherwise watertight rock and render it
permeable.

Low Head Tunnels

The trimmed rock surface may be sufficient by only sealing visible fissure with concrete or cement
mortar or granite layer
Full lining my be warranted only if external rock load or aggresiviety or water head loss reduction
justify it .
Medium head Tunnels
A water tight lining concrete is almost always needed since seepage is more likely to occur under
increasing head.
If the lining is only for water sealing purposes, and no load is carried by it, the permissible internal
water pressure head is determined by the depth of overburden and the quality of the rock.
Let

hr = depth of overburden rock

r = specific weight of the rock
w = specific weight of water.
H = Internal pressure head of water.

Then for equilibrium: w H r hr

With w = 1 ton/m3, we have

H r hr

h
Using a factor of safety of , H r r m

Recommended factor of safety = 4 to 6.

With r = 2.4 t/m3 to 3.2 t /m3 and using lower values for good quality rock, one gets H = ( 0.4 to 0.8)
hr
High Head Pressure Tunnels
Usually steel lining is used (R.C. Concrete lining not satisfactory )
The steel lining is embedded in concrete filling the annular space b/n the steel lining & the rock. In
order to provide proper contact b/n rock and concrete and b/n steel lining & concrete, all voids are
filled by grouting with comment mortar.
The profile of the Pressure tunnel should be such that the roof should always be at least 1 to 2m
below the hydraulic grade line
Saddles should be provided with dewatering provisions and summits should be provided with
outlets or shafts.
To reduce construction costs, relatively high velocities (higher than in open channels) are permitted
in tunnels.
The following velocities are suggested:
Very rough rock surface-------------- 1 to 2,0 m/s
Trimmed rock surface -------------- 1.5 to 3.0 m/s
Concrete surface----------------------- 2 to 4.0 m/s
Steel lining------------------------------ 2.5 t0 7 m/s
The permissible velocity depends upon the sediment load carried by the water. The maximum
values in the above recommendation apply when the sediment is of the silt fraction. For water carrying
sharp edged sand in significant quantity, Vmax = 2 to 2.5 m/s even in lined section.

Size of tunnels cannot be reduced arbitrarily. Requirements of passability limit the maximum size.
Minimum size of Tunnel: Circular, 1.8 m
Rectangular, 2m x 1.6m.

5.1.3.2.3 Tunnel Design Features

In addition to the general discussion in above, as design features alignment, geometric shape,
longitudinal slope, flow velocity, head loss, rock cover (overburden), lining requirements (also coupled
with stress analysis), and economic x-section come in to play.
Alignment:
In aligning water tunnels, the following points should be taken in to account:
Length of the tunnel: as much as possible short route should be followed
Location of surge tanks & adits: the alignment should provide convenient points for surge tanks &
adits.
Rock cover (overburden): sufficient rock cover should be available along the alignment
Discontinuities: the alignment should, if possible, avoid crossing of weakness zones, joint planes,
etc. If crossing of these features is unavoidable, suitable direction of crossing should be considered.
Rock quality: good quality of rock mass should be sought in aligning the tunnel
Geometrical Shape:
The choice of the cross-sectional profile of a tunnel depends on:
Hydraulic considerations
- Circular is preferable
Stability considerations
- Circular is preferable
Convenience for construction
- Horseshoe is preferable
Available tunneling equipment - If drilling rigs are available, a horseshoe cross-section has to be
adopted.
Longitudinal Slope:
The minimum slope for a pressure tunnel is limited on the basis of dewatering requirements.
And also the longitudinal profile of the tunnel should be such that the roof remains below the hydraulic
pressure line by 1 to 2 m. Likewise, the tunneling method and the equipment employed for
transportation of the excavated material (rail or wheel transport) can limit the maximum slope possible
to provide. The usual practice is to keep the slope of power tunnel gentle till the surge tank and then
steeper (even vertical) for the pressure shaft.
Flow Velocity:
The allowable velocities in tunnels depend upon whether it is lined or unlined. In unlined
tunnels, a velocity of 2 to 2.5 m/s is the upper limit, while in concrete lined tunnels 4 to 5 m/s is often
employed. The velocities for the pressure shafts, which are generally steel lined, are usually higher than
that in the power tunnel. The normal range of velocities is between 5 to 8 m/s.
Rock Cover (overburden):
For pressure tunnels, it is obvious that the overburden on the roof of the tunnel serves to balance
the effect of upward force due to internal pressure. The required depth of overburden may vary for
lined and unlined tunnels.

In the case of unlined tunnels, the entire internal water pressure is resisted by the overburden
rock pressure. Where a steep valley side constitutes the overburden above the tunnel, the rule of thumb
equation, H=(0.4 to 0.8)hr has to be modified and given by:
1 r
hw
L cos
w
Where L is the shortest distance between the ground surface and the studied point of the tunnel
(or shaft) and is the average inclination of the valley side with the horizontal (see figure below).

r L cos w h w
hw
hr

Figure 5.16

Overburden requirement in a steep valley side

In the case of concrete or steel lined tunnels, the linings are usually designed to carry part or
full load of the internal water pressure, and the above equations, given for unlined tunnels, are modified
accordingly in determining the required overburden depth. For detail see section on stress analysis
Head Loss:
Head losses in tunnels can be computed using Mannings, Darcy-Weisbach, or Hazen-Williams
formulas.
lv 2
R4/3
2
Darcy-Weisbach formula: h f l v
2 g Deq

Manning formula:

Hazen-Williams formula (rarely used):

hf n2

h f 6.84

l v 1.85
C 1.85 Deq

1.17

Where, hf is head loss due to friction, L is tunnel length, V is mean velocity of flow, R is
hydraulic radius, Deq is equivalent diameter ( Deq 4A / ), A is area of the tunnel x-section, n is
Mannings roughness coefficient, is Darcy-Weisbach friction factor (can be obtained from Moody
diagram), and C is Hazen-Williams roughness coefficient.
Optimum X-section:
The optimum x-section of a tunnel or a shaft is one for which the sum of tunnel construction cost and
the economic loss due to head loss is minimum.

Cost

Total cost

Economic
loss

Construction
cost
X-section

Figure 5.17 Optimum tunnel cross-section

For a quick initial estimate of the diameter of pressure tunnels, the empirical formula suggested
by Fahlbusch can be used:
For concrete-lined tunnels:

D 0.62 Q 0.48

For steel-lined tunnels:

D 1.12

5.1.3.2.4
1

Q 0.45
H 0.12

Stress Analysis and Lining

Lining deigned to resist the full internal pressure without support from the surrounding rock
i.e. no load sharing.
Internal water pressure, P = w H
If w = t/m3 & H in m
Then P = 0.1 H kg/cm2
For circular lining, if = lining thickness (cm)
D = the internal diameter (cm)
Then the maximum stress developed is the tangential stress

1m
P

D
Figure 5.18: Tunnel Section

Then for equilibrium

2 1 P D 1
or preferably
2
p D

Then if a is allowable stress in lining, then

PD
2

For R.C. lining

i) 2 ast A st P . D

Where Ast in cm/m

A st

PD
x 100
2 ast

P .D
2

ii) If no reinforcement, since the tensile stress in homogenous concrete is usually limited to 10 kg/cm,
PD
then
Where = thickness of concrete lining in cm.
10 kg / cm 2
2

II

Lining designed assuming load sharing between rock & lining

r
r1
r2
st

b-c
This is a more realistic approach. Referring to the following schematic sketch
Figure 5.19: Schematic sketch of lining and displacement

st = Radial displacement of steel

If P1 = Load transferred to the rock, then P P1 = load carried by the steel lining
Tangential stress in an annular steel lining of radius r and thickness under load (P P1) will be:
st

P P1 D

D is internal diameter

Unit radial strain = 2 st st

2r

st E st

E st

st
st
r

st
P P1 D
P P1 r 2

st
r
2
E st

The radially fissured annular concrete layer is subjected to an internal pressure P2

P2 = P1

r1
r2

Theoretical investigations & experiments show that

C

r
P1
r1 l n 2
EC
r1

The radius of the cross-section excavated in rock expands under load P2 by an amount r
r

1 m 1
1 m 1

r2 P2

r1 P1
Er m
Er m

Er = modulus of elasticity of the rock

=

1
, where = Poisson ratio of the rock

Since
1 b 2 r st b c
1 2 r c st
1 2

r2 p p1 r 2
P1
1 m 1

r
p

r
l
.

1 1
1 n
Er m
Ec
r
E

1 st

P1 = P , where = load distribution factor

P1= Load carried by rock.
Now, assuming r r1,
r
r r m 1 Pr 2
Pr 2
1 2 P
ln 2

E st
r1 E r m E st
EC

Simplifying & Rearranging:

E st 1 2

P r r

E r2 E st m 1
1 st
ln

E c r r1 E r r m
1

Checking purposes

This equation is useful for checking purposes for a given . For designing by trial & error, is assumed
& is computed.
Load carried by steel P-P1 = P P = ( 1-)P
Compute st 1 PD must be sta
2

For direct design purposes we use the following

We had : 1 2 c r st
r
r
r m 1 st r
1 2 P
ln 2

E
r
E
m
E st

c
1
r

rearranging simplifying and putting in sta for st ,

2
sta E st 1

r
1

P E st
r2 E st m 1
ln

Ec
r1 E r m

then

1 Pr
E sta

varies from 0 to 1
If 1 no lining is required
If 0 entire load is carried by lining
Normal values : Est = 2.1 x 106 kg/cm2
Est
10
Ec

Ec = 2.1 x 105 kg/cm2

The value of E is insensitive to . Therefore an average value of m=6 is used

The value of 1 2 depends up on workmanship
For carefully executed work with grouting,

1 2

= 0.5 to 1 mm. (see examples)

5.1.3.2.5 Tunneling Methods

There are two commonly used types of tunneling techniques:
Conventional Drill and Blast
Use of tunnel boring machines (TBM)
Conventional Drill and Blast Method:
In this method of tunneling is used, the main equipment used is the so-called drilling jumbo or drilling
rig, which performs the main operation. The following are the main sequences to be followed during
excavation of each round:
i)
Drilling
ii)
Charging
iii)
Blasting
iv)
Ventilating
vi)
Scaling
vi)
Mucking and hauling
vii)
Tunnel supporting

Drilling is carried out by the percussion method. The principle is to force a drill rod with a suitable drill
bit against the tunnel face, generate a stroke in order to obtain rock spalling, then rotate the rod before
it is once again forced against the hole and a new stroke is generated. The power for the drilling thrust
and rotation is transmitted by hydraulic systems.
In tunneling, blast hole diameters of 45 to 50 mm are most common. Medium size tunnels
(about 40 m2) may require about 60 to 70 drill holes. The length of the drill holes usually varies from 3
to 5 m.

Once the drilling operation is completed, charging of the drill holes with explosives will be
performed. There are different types of explosives, the most common one being dynamite.
If the holes close to the planned contour of the tunnel are too heavily loaded with explosives, a
considerable over-break and a rough, uneven contour may result. This over-break greatly increases
the need for scaling and tunnel support. If the tunnel is unlined, it will also greatly increase the head
loss. In order to minimize the over-break in the walls and roof of the tunnel, reduced charges are used
close to the contour.
In rock blasting the main principle is to break the rock and push the rock fragments towards a
free surface. In a tunnel the degree of confinement of the blast volume is far higher than in a quarry. In
order to obtain a satisfactory result from a tunnel blast it is, therefore, necessary to include the so-called
cut in the blast hole design. These consist of holes of larger diameter than the blast holes and are
usually left unloaded.
After blasting the round, ventilation has to be carried out to lower the concentration of blasting
fumes to a satisfactory level. The fans are usually started just after the explosion. It is very seldom
possible to enter the working face area until 15 minutes after the blast, but this depends on the
ventilation capacity.
After each blast round, scaling (removing loose rocks from the roof and walls of the tunnel) is
done for the sake of safety. For small tunnels the scaling is made directly from the muck pile, in larger
it is often carried out from the wheel loader.
The selection of equipment for mucking and hauling largely depend on the cross-sectional area
and the gradient of the tunnel. For tunnels with cross-sections smaller than 16 m2, the only alternative
for transportation is rail transport system. In larger tunnels, wheel transport system shall be used. For
wheel transport in cross-sections between 16 and 30 m2 niches are required every 100 to 150 m for
the purposes of loading and turning trucks.
A major restriction for the rail transport alternative is that the maximum gradient has to be less
than 2%. For wheel transport gradients up to 15% may be tolerated.
Use of Tunnel Boring Machines (TBM):
A tunnel boring machine (TBM) is a complex and very advanced piece of machinery designed
to excavate the entire cross-section in a single operation without the use of explosives. Tunnels with
diameters of about 1.8 m to more than 11 m have been excavated with tunnel boring machines.
TBM consists of a wheel cutter head fitted with teeth or rollers to cut or spall the rock. The
wheel is slightly smaller than the bore of the tunnel and is equipped with disc-cutters to produce the
designed bore. The wheel is forced against the tunnel face by hydraulic jacks and is made to rotate. As
excavation proceeds, the rock-cuttings are picked up in buckets attached around the rim of the wheel
and are discharged on to a conveyor belt incorporated with the machine as shown in Figure 5.20.
The diameter of the cutters is normally within the range of 45 to 50 cm, and the total number of
cutters varies from 20 for smallest machines to more than 70 for the largest.

Figure 5.20: Typical sketch for TBM tunneling

Compared to conventional D & B tunneling technique, TBM tunneling has the following advantages:

For long tunnels (> 3 km) the excavation time and the costs in many cases are considerably lower
due to a higher advance rate combined with reduced requirement for tunnel support and ventilation.
The tunnel will have a circular profile with a smooth contour, which is of particular importance in
reducing head loss in unlined water tunnels.
Potential problems due to blast vibrations are eliminated, especially in populated areas.
Less number of adits is required.

There are, however, some limitations in connection with the use of TBM in tunneling. These include:
Initial cost of the machine is high
Requires detail geological investigation than the D & B alternative
Less flexible than Conventional D & B technique in tackling stability problems.
Tunnel Supports
A basic philosophy in tunneling is that the extent of installed tunnel support should reflect the
actual rock conditions. In good quality rock the self-supporting capacity of the rock mass should be
used to its advantage, and the amount of tunnel support kept at a minimum. In poor quality rock the
design of support should be based on a sound understanding of the character and extent of the stability
problem.
The various geological factors which may influence the stability are:
The degree of jointing and their character
Weakness zones and faults
Rock stresses
Groundwater inflow
Tunnel support may be installed either at the working face (immediate support), or behind the
face (permanent support). Whenever possible the design for the immediate support should be chosen
which makes it possible to act later as permanent support.
The following support methods are the most commonly used in hydropower tunneling today:
Rock bolting
Shotcreting
Grouting
Concrete lining

Rock Bolting:
A rock bolt is a steel bar, which is inserted into a hole drilled in a rock to improve the rock
competency. The distant end has a device which permits it to firmly anchored in the hole and the
projecting end is fitted with a plate which bears against the rock surface (see Figure 5.21). The bolt is
placed in tension between the anchor and the plate, thereby exerting a compressive force on the rock.

Figure 5.21: Principle of rock bolting

Rock bolting in tunnels is carried out according to one of the following two main principles:
Spot bolting of individual, unstable blocks
Systematic bolting of a section of the tunnel in a definite pattern
On average, the length of rock bolts in water tunnels is 1.5 to 4 m and the diameter is 16 to 25
mm. Rock bolting is usually used for an immediate support near the tunnel face.
Shotcreting:
A shotcrete is a quick-setting concrete plaster shot at rock surfaces pneumatically. It creates the
best possible rock support condition, which makes it an economical, rapid, and effective means of
providing tunnel support. In practice the shotcrete is placed in 5 cm layers until a desired thickness is
attained.
The use of steel fibres in the concrete mix has an effect of increasing the strength of the
shotcrete. For an immediate support in areas of heavily jointed rock masses or in areas of high rock
stresses, steel fibre reinforced shotcrete is commonly used.

Figure 5.22: Principle of shotcreting

In many cases, the shotcrete is combined with rock bolting for use as a permanent support. A
combination of steel fibre reinforced shotcreting and systematic rock bolting can replace concrete
lining alternative, provided that water inflow and active gouge material in the discontinuities are
minimal or absent.
A general restriction in the use of shotcrete is in areas with water leakage. The main restriction,
however, is where weakness zones contain swelling clay (smectite). If shotcrete is applied on such

zones, there will be no room for expansion of the swelling clay, and high swelling pressure will be
activated when the zones are exposed to water. This may easily destroy the shotcrete lining.
Grouting:
A grout is a mixture of cement and water forced in to rocks around the tunnel periphery.
Grouting may be performed ahead of the tunneling face (pre-grouting) or behind the tunneling face
(post-grouting). Pre-grouting is necessary in areas where groundwater inflow makes tunnel driving
difficult (see Figure 5.23). Probe holes are drilled ahead of the tunnel face to perform permeability
testing before deciding the necessity of pre-grouting. Post-grouting is done to improve the stability of
the rock mass behind the tunnel face.

Figure 5.23: Principle of pre-grouting in a water-bearing zone

5.2
Water Hammer, Surge Tanks and Forebays
5.2.1 Water Hammer
A sudden change of flow rate in a large pipe line (due to value closure ) may involve a great mass
of water moving with in the pipe walls. The force resulting from changing the speed of the water mass
causes a pressure rise in the pipe with a magnitude several times greater than the normal static pressure
in the pipe. This phenomenon is commonly known as water Hammer because of the noise & vibration
with which it is sometimes accompanied. The excessive pressure only fracture the pipe water unless it
is properly analyzed & accounted for in the design of the pipe line.
The determination of Water Hammer pressure is amenable to mathematical analysis. Practical
problems may, however, be of considerable complexity owing to the many variables involved. Here,
we will consider only elementary class. In this regard the simplest procedure is to regard the water as
incompressible & the pipe as rigid (The so-called rigid Water-Column theory).
The assumption is obviously not very realistic but can lead to reasonable estimations in the
certain cases. The more realistic situation is the one that takes the elasticity of the water & the pipe in
to account (The Elastic Water Column Theory )

5.2.1.1 Rigid Water Column Theory

Assumptions: 1. Pipe is rigid
2. fluid is rigid
Considering a pipe line of uniform cross sectional area A, length L, connected to a reservoir (or
surge tank).
hw
hw

Hs=static head

Figure 5.24: Schematic diagram of water hammer pressure in pipe

The pressure increase swings the normal HGL from CD to EF. Since the pressure the reservoir
surface is atmospheric & hence constant the positive swing results in back flow from the pipe to
reservoir. As the water flows back in to the reservoir it crates partial vacuum condition in the pipe &
the pressure in the pipe swings in the negative direction. Thus, induces the reservoir water to flow back
in to the pipe . But the value being partially closed, much of the water is again retarded giving rise to
positive swing of pressure again. Thus, a valve closure brings about pressure oscillations. The
maximum additional water hammer pressure head hw can be determined from Newtons 2rd law.
Mass of water retarded = . A. L
Pressure force at the valve = P. A

p . A . A . L .

t

h w g L

t
L v
Note:- Instantaneous Closure large pressure rise !
hw
g t
Thus the total head @ the valve = Hs + hw
L v
= Hs
g t
Considering friction and local loss, the total head becomes
2
L v
L
v
Hs
k

D
2 g g t

If the retardation is known, the above equation can be solved.

Eg. If steady flow velocity V0 is reduced to zero @ a uniform rate during tc, then the max. pressure
head @ the value due to water hammer will be

L 0 v0 L v0

g t c
g tc
Now, Considering that the pressure wave is propagated from the valve to the reservoir with a
speed c, the time required for the pressure wave to travel from B to A is L/c. In this time, the mass
brought to rest is .A.L. thus:
hw

0 v0
p.A A L

t/c

p max c v 0
& hwmax

p max
c vo

g
g

The above is sufficient for estimating pressure rise for rapid value closure i.e. when t c 2 l , when
c

tc

use

2L
the reflected negative pressure reduces the pressure rise at the value. In such cases one can
c
p
2L 1

.
p max
c
tc

5.2.1.2 Elastic Water Column Theory

This takes the effect of compressibility of the water column in the pipe & the dilation of the
pipe under high pressure in to consideration. Thus, for sudden valve closure, it is assumed that all the
kinetic energy of the water is converted to the strain energy of the water (compression) & strain energy
of the pipe (tensile )
In real world friction is present
In absence of friction
L dv
hW h

g dt

wave dies away.

V
. x
g
t
p C VO
p

1.

For complete closure, v vO .

Time of travel of wave is, t L c

Considering the two cases

Fluid volume diminished =

Pipe distended

D2
1
p .
L
K
4
D3
V
. L . P
4 TE

where K p / V

Combining

Vtotal

1
D2 L
D
p

.
4
T .E
K

thus L V A

1
D
3
L L p

T . E
K
p c v0
_____ Allevi expression
1
c
D
1

k
K T .E
5

where k , for pipes free to move longitudinally

4

= (1 2) , anchored both ends against longitudinal movement.

= ( 1 5 ) , for pipes with exp. Joint.
= 1 if longitudinal stress in the pipe is neglected.
= poisons ratio, for common pipe material
= 0.25
For detailed design, one has to consider the following additional factors.
i)

ii)
iii)

The effect of friction in the penstock.

- Friction is major factor which dampness the pressure oscillation . Incorporation of
frictional effects helps to decrease the water hammer pressure.
The interaction b/n the size effect & the water hammer effect
The branching of the penstock This further complicates the problem. In general more
advanced analysis (Schynder-Bergeron, Finite Diffrence, Integration) & package soft ware
are available.

5.2.2 Surge Tanks

5.2.2.1 General
The surge tank, also called the expansion chamber, is a structure which forms an essential part
of the pressure conduit conveyance system whenever such system is long. Surge tanks may be
considered essentially as a forebay close to a machine. Their primary purpose is protection of long
pressure tunnel in medium and high head plants against high water hammer pressure arising from
sudden rejection or acceptance of load, The surge thank converts these high frequency, high pressure
transients (water hammer) in to low frequency low pressure, mass oscillation.
It is located between the almost horizontal or slightly inclined pressure conduit and the steeply
sloping penstock/pressure shaft. It is designed either as a chamber excavated in the mountain or as a
tower raising high above the surrounding terrain (see Figure 5.24).

Figure 5.24:

Typical Arrangements of Surge Tanks

5.2.2.2 Functions of Surge Tanks

The surge tank serves the following purpose
-

It provides a free reservoir surface close to the discharge regulation mechanism. This will cut short
& limit the conduit length liable to water hammer.
- It supplies the additional water required by the turbine during load demand (and during starting up)
until the conduit velocity has accelerated to the final steady state level.
- It sores water during load rejection i.e closure until the conduit velocity has decelerated too the new
steady state condition.
- It ensures that the water level oscillation following small and large load changes are dissipated
rapidly.
5.2.2.3 Types of Surge Tanks
Surge tanks may be classified according to :
Material of construction, example. Concrete or steel
a)
Location relative to terrain
- underground surge tank (excavated surge tank, see Figure 5.25)
- over ground surge tank ( Free standing surge tank, see Figure 5.24)

Surge Tank

Pressure Tunnel

Power House

Figure 5.25: Underground Surge Tank and Power House

b)
Location in the hydraulic system
- Upstream surge tank (u/s to the power house ) on the headrace tunnel (see Figures
5.25 and 5-26).
- Downstream surge tank on the tailrace tunnel(see Figure 5-26).

Figure 5-26: Downstream Surge Tank

c)

Hydraulic functioning & cross-sectional shape

The most useful classification is on the basis of their shape, which also determines their hydraulic
characteristic. A usually followed classification is as follows:

Simple surge tanks

Restricted orifice (or throttled) surge tanks
Differential surge tanks
Surge tanks with expansion chambers and others

a) Simple surge tank

b) Restricted orifice surge tank

c)

Differential surge tank

d) Surge tanks with expansion chambers

Figure 5-27: Surge Tank Types

5.2.2.4

Design Consideration of Surge Tank

The hydraulic design of surge tank concerns with two main aspects.
a) Its height
b) Its cross-sectional area.
These aspects are decided up on with the view to fulfilling the following criteria:

The surge tank must be locates so that the positive & negative water hammer pressures are kept
within acceptable limits.
The tank must be stable i.e. water surface oscillation must be damped out
The tank must accommodate maximu upsurge & lowest down surge

5.2.2.5 Height
The total height of the surge tank should be such that both the maximum up-surge and downsurge is contained within the surge tank height. Worst conditions should be considered to determine the
height.
For up-surge, the worst conditions are:
- Instantaneous total closure
- Reservoir level at its maximum
For down-surge, the worst conditions are:
- Instantaneous total opening
- Reservoir level at its minimum
The lowest possible level of down surge must be sufficiently above the conduit top level by a
certain height h (see Figure 5.28) in order to avoid vortex formation at entrance to the
penstock/pressure shaft.
In general, the total height of the surge tank would be (see Figure 5.28):

H tan k Z1up Z1 down H live Z 0 h

Z1up
HRWL
Hlive
LRWL
Z0
Z1 down

Pressure tunnel

Figure 5-28: Surge Tank Height

In order to determine the surge height and thus necessary tank height, etc., it is necessary to
carry out water hammer analysis and determine corresponding surge heights under various closure and
opening (load rejection and acceptance) conditions.
5.2.2.5.1 Surge analysis in surge tank (simple surge tank):
Closure

Surge Tank +z

Max upsurge level

z1
t
Reservoir

Zo

At, Qo

As

-z

Penstock or
Pressure shaft

L
Q1

Figure 5-29:

Damped surge oscillations instantaneous closure

Continuity equation
V At A s

dz
Q1
dt

A V Q1
dz
t
1
dt
As

Momentum equation (The dynamic equation)

2
At steady state z o L v o (if only friction loss is considered)

2 gd

If at time, t, the water level is higher than that at steady state, a deceleration head is being
applied to the pipe line.
2
i.e. L V z

2 gd

Denote FT L

2 gd

h FT V 2 z

L dv
g dt

(Wave theory, rigid column theory)

If surge tank throttle loss is considered

FS VS2 FT V 2 z

L dv
. 2
g dt

1 & 2 could be combined to give 2nd order d.e. but not analytical solution.
5.2.2.5.2 Undamped Oscillation
If Q1 = 0 & friction is ignored, (Undamped oscillation, complete valve closure) equation (1) &
(2) become.
A
dz
t V 3
dt
AS
dv g

Z 4
dt
L

differentiating (3) w.r.t. time

A
d 2z
t
2
dt
AS

dv
dt

Substituting dV/dt from (4)

A
d 2z
t
2
dt
As

g
z 0 5
L

This is the deferential equation for a frictionless surge tank oscillation. The equation is a linear
homogenous 2nd order d.e. With constant coefficients undamped simple harmonic motion (SHM).
c.f. with SHM
d 2z
r 2Z 0
dt 2

Z C1 cos

where

2 t
2t
C 2 Sin
T
T

T = 2/r = 2

g At
.
L As

where T is period of oscillation

L AS
.
g At

For frictionless tunnel Z = 0 @ t = 0

t = T/4 , Z=Zmzx,

dz
0.
dt

Thus, Z C 2 sin 2t
T

dz
2
2t
C2
cos
dt
T
T

Hence,

and

A
dz
V T
dt
AS

V = A s C 2 2 cos 2t
AT

When t = 0, V = Vo and Vo = As C 2 2
AT

Substituting for T,

C 2 VO
Z VO

L AT .
g AS
L AT
g AS

sin

2t
T

The maximum amplitude , Zmax, is obtained from

Z mzx

At any time, t
2t
T
2t
V VO cos
T
Z Z max sin

V0

L AT
g AS

5.2.2.5.3

Damped oscillation

No general solution of the d.e. can be given since the velocity changes its sign after every half cycle
Numerical Solution
Finite difference method of solution
Consider general case of surge tank with a available area. Take a finite interval t during
which V changes by V & Z change by Z
L V
Z m FT Vm / Vm / FS VS / VS 0 1
g t

Dynamic equation:

Continuity equation: Vm AT As ,m

Z
Qm 2
t

Where m indicates the average value in the interval

As,m the average area of the surge chamber between Z & Z + Z
a) Solution by successive estimates.
In each time interval estimate V , then, Vm Vi V
2

and from (1) calculate

Zm Zi

hence Z is calculated, noting that Vs =

Z
t

Subscripts i indicates values at the beginning of the time interval which are known.
Qm is known since the discharge is prescribed.

Substitute Z

in to (2) yielding Vm

If the two values of Vm agree V is correct. Otherwise adjust V & repeat until agreement is
achieved, then proceed to next time interval.
OR
Estimate

and proceed in a similar fashion. (Preferable if chamber has variable area)

Hence in both cases time variation of Z is obtained.

b) Direct solution of equations (1) & (2).
A V

From (2) Z t Vi AT T
Qm 3
AS ,m

Where Vm Vi V
2

Also (1) becomes.

A
L V
t
V

Zi
Vi AT T V Qm FT Vi
.
g t
2 As ,m
2
2

Fs
( AT2
As1

2
V 2
V

2
Vi Vi V
2 AT Vi
Qm Qm ) 0
4
2

Rearranging

F A Q
AT
FR

t FR Vi S T2 m

4
4 As , m
As

g t

V Z i

FR FS

F
AT
Q
V i t M t FR Vi 2 S2 Qm 2Vi AT Qm 0
2 AS ,m
ZAS ,m
As

AT

AS

FT

This is the form

a V 2 bV C 0

b 2 4ac
2a

is therefore determined explicitly in each successive time step

position Z is obtained from (3) .

& corresponding

Note that if V becomes negative, (i.e. on the down surge) the negative values of F R is used. As
with most F.D. methods, t should be small (because of use of average values in interval). A 10 second
time interval gives a sufficiently accurate solution.
c) Other solution methods
For sudden load rejection or demand by use of dimensionless parameters method developed by
calme & Gaden ( one of several ) can be followed. This method can be summarized as:
Maximum up surge:

Z max

where

for K

K2
2
1 K 0 0 .
3

Z
Z mzx .

K 0

0 .7

or

Z max
1 K 0 ;
3

max

where K o

2 gd

P0
Z mzx

1 0.6 K 0

(head loss in tunnel,

coefficient in v)

Z max

Qo
AS r

gAt
L AS

The first down surge

Z 2

1
7

1 K 0
3

For a sudden 100% load demand, maximum down surge

Z max
1 0.125 K 0

5.2.6

for K

0 .8

Cross-sectional Area (Stability Consideration)

Characteristic oscillation in the surge tank damped by hydraulic friction in the conduits.
1
Amplitude of oscillation
.
AS
Figure 5.30 Oscillation Characteristics Related to Cross-sectional Area

The required cross-sectional area of a surge tank is determined based on stability considerations
for the surge oscillations in the tank. Stability conditions of the surge system were established by
Thoma. He stated that in order to prevent the development of unstable oscillations the cross-section of
the surge tank should exceed a certain critical magnitude.
According to Thoma, the limiting x-sectional all for small oscillation is given by:
ASc

V02 At Lt
2 g Po H 0

where

Po = hf =Zo

Ho = H-hf = net head on turbine neglecting turbine loss.

Assuming

1
m2 R4 3

Maning's n & R tunnel hydraulic radius

m 1 n
10

ASC

AS ( 1.5 to 1.8) ASC

m 2 R 4 3 At
m2 D 3

2g H o
160 H o

(stable tank)

for m=85; n=0.0118; Asc=45D10/3

For large amplitude of oscillation, the Thoma formula was modified by Ch Jaeger as
AS *

L At
2 g H o

m 2 R 4 3 At
2g H 0

*
2
43
or AS m D = 170.482 Z max

160 H o

H0

* = non constant factor of safety =1+ 1.0482Zmax/Ho

Z o V0

L At
g AS

(undamped friction loss)

5.2.7 Forebays
5.2.7.1 General
A forebay, also called a head pond, is a basin located at the end of a power canal just before the
entrance to the penstock or pressure shaft. It acts as a transition section between the power canal and
the penstock. It is formed simply by widening the power canal at the end. Figure 5.31 shows typical
forebay.

Figure 5.31

General Arrangement of a Forebay.

5.2.7.2

Functions of a Forebay
A forebay serves the following purposes:

It can serve as a balancing reservoir. Water is temporarily stored in the forebay in the event of a
rejection of load (turbine closure) and the stored water will be withdrawn from it when the load is
increased (turbine opening). In the case of low-head power plants, the forebay may even provide daily
pondage for the plant. It can serve as a final settling basin where any water borne debris which either
passed through the intake or was swept in to the power canal can be removed before the water passes
into the turbine. In this case, the forebay must be large enough to reduce flow velocities sufficiently for
settling to occur and to accommodate the sediment which accumulates between cleanings. It can serve
to distribute evenly the water conveyed by the power canal among the penstocks, where two or more
penstocks are provided.
5.2.7.3 Components of a Forebay
The following are the main components of a forebay:
-

the basin
used to store water and sediment (if any)

the spillway
used to dispose excess water that might enter the forebay

the bottom outlet

used for flushing out of the sediment stored in the basin as well as for de-watering the forebay
and the power canal for maintenance
-

the penstock inlet

serves in controlling flow into the pressure conduit and in preventing floating debris from
entering the conduit. It also provides smooth transition between the basin and the conduit.
5.2.7.4 Design Guidelines for a forebay
The location of the forebay is primarily governed by topographic conditions, yet of course, the
geology of the site should also be considered. The site of both the forebay and the powerhouse should
be selected simultaneously with a view to ensuring the shortest possible penstocks/pressure shafts. The
entire basin of the forebay may be either excavated in rock or constructed above the terrain, enclosed
by embankments and retaining walls.
The size of a forebay vary depending on the sediment content of the water conveyed in the
power canal and whether it is to serve for storage. To be most cost-effective, the forebay must be of a
size adequate to fulfill its function, neither significantly larger nor smaller. It is not advisable to design
the forebay as a settling basin if the suspended sediment is fine to cause no damage to the turbines.
A gradual transition section should be provided between the power canal and the forebay basin.
In the case of wide forebays, baffle piers are usually constructed at the basin inlet in order to ensure
even distribution of flow to the basin.
The bottom of the forebay basin should be provided with a proper slope to enable periodical
flushing of the silt deposited.
A bottom lining of the forebay basin is required in soils where large seepage is expected. As
concrete lining of large basins is very expensive, a less costly solution of clay lining is usually adopted.
The smoothed bottom of the basin is covered with plastic clay to a thickness of 20 to 50 cm. The cover
is compacted in several layers and is protected against disturbance due to soaking and wave action by a
layer of gravel or crushed stone.

The spillway is usually an ogee type with stilling basin. If the discharge to be taken care of is
great and if, at the same time, prevailing conditions do not permit the construction of a long overflow
weir, water surface regulation within narrow limits can be attained by constructing a siphon type
spillway.
The spillway and the bottom outlet canal should be combined immediately at the foot of the
basin. Water spilling over the spillway crest and through the bottom outlet can be either diverted into a
suitable river bed (if any) in a nearby side valley or conveyed by a special chute.
In designing a forebay tank, it is important to keep the entrance to the penstock fully
submerged. This is to prevent air being drawn in to the penstock because of a vortex which can be
formed if the penstock entrance is closer to the water surface in the basin.
The usual components of the intake such as trashracks, flow control devices (gates or valves),
etc. must be provided at the penstock inlet. It is necessary to install an air vent behind the gate to
prevent damage to the penstock if for some reason the penstock entrance is blocked or the gate is
suddenly closed causing a low pressure inside the conduit which can make it collapse inwards. The air
vent can also help remove air from inside the penstock during startup.
5.3
PENSTOCK
5.3.1 General
The penstock is high pressure pipeline between forebay ( surge tank or reservoirs ) and the
turbine. The design principle of penstocks are the same as that of pressure vessels & tanks but water
hammer effect has to be considered. For short length, a separate penstock for each turbine is preferable.
For a moderate heads & long distances a single penstock is used to find two or more turbines through a
special branching pipe called Manifold.

Figure 5.32: Components of a penstcok

5.3.2 Classification of penstock.
Classification may based on :
1. The material of construction
3. Rigidity of connection and support.

2. Method of support.
3. Number of penstocks

1) Material of construction
Factors for the choice of material are: head, topography & discharge. Various materials used are steel,
R.C., asbestos cement, PVC, wood stave pipes, banded steel, etc. The following factors have to be
considered when deciding which material to use for a particular project:

Required operating pressure

Diameter and friction loss
Weight and ease of installation Accessibility of site
Cost of the penstock
Design life
Availability
Weather conditions

2) Method of support
A penstock may be either buried or embodied underground ( or inside dams) or exposed above
ground surface & supported on piers.
Buried penstocks: are supported on the soil in a trench at a depth of 1 to 1.5m and back filled.
The general topography of the land should be gentle sloping and of loose material.
Advantages
Disadvantages
1.Continuity of support given by the soil provides
1- Difficulty in inspection
better structural storability.
2. Pipe is protected from high temperature fluctuations 2- Possibility of sliding on step slopes
3. Conservation of natural land escape
3- Difficulty in maintenance
4. Protection from slides , storms & sabotage.
4- Expensive for loge diameter in rocky soils.
Exposed penstocks: supported on piers or saddles.
Advantages
Disadvantages
1- Ease in inspection of defects & maintenance
1- Direct exposure to weather effect
2- Economy in rocky terrain & large diameters. 2- Development of longitudinal stress due to support
and anchorage, thus requiring expansion joints
3- Stability is insured with proper anchorage
When the situation warrants, partly buried system, may be adopted which combines the advantages of
both system.
3. Rigidity of connection & Support
There are three possible methods of support ,
a) Rigid pipe support : Here every support is an anchorage so that any movement is checked.
completely. This type is suitable when the temperature audition is moderate.
b) Semi- rigid pipes: Here each member of the pipe line is fixed at one and leaving the possibility of
movement over the other support.
c) Flexible support ( Flexible or loose- coupled pipes): Here expansion joint are introduced between
each adjacent section
4. Number of Penstocks
The number of penstocks used at any particular installation can be single or multiple. The
general trend at older power stations was to use as many penstocks between the forebay/surge tank and
the powerhouse as the number of units installed. The recent trend is to use a single penstock, unless the
size or thickness of the penstock involves manufacturing difficulties.
When a single penstock feeds a number of turbines, special sections called manifolds are used
at the lower end of the penstock to direct flow to individual units. The design of such sections is an
intricate job and has to be analyzed carefully.
The advantages of using a single penstock over the use of multiple penstocks are:
The amount of material required to manufacture is less, making it economical.
The cost of civil engineering components such as penstock supports and anchors is less.

On the other hand, the use of a single penstock means reduced safety of operation and complete
shutdown will become necessary in case of repair. Further more, significant losses are usually
experienced at the manifolds.
In general, the use of multiple penstocks is preferably employed for low-head plants with short
penstocks; whereas for high-head plants requiring long penstocks, provision of a single penstock with
manifold at the end usually proves economical.
5.3.3 Hydraulics
Permissible velocities.
3 to 5 m/s ( no abrasion property settled water) for properly settled water in exceptional cases
up to 5m/s may be tolerated.
Therefore:

Q0
D 2

D 1.128
v0
4

Q0
v0

Head losses
2
i) Frictional head loss => h f L v

D 2g

ii) other local losses h f c k

v
2g

where k = local loss coefficient

Penstock with gradual transition entrance

Open butterfly valve (depending on disk thickness)
Needle valves
Bends (depending on deflection angle)

k
0.10 - 0.20
0.05 - 0.25
0.20 - 0.25
0.05 - 0.15

Net head:
H = Hg - losses where H = net head, Hg = gross head.
For Hg : elevation of water level at the forebay or reservoir at the upstream end, and at d/s end free
tail water level in reaction type turbines (Francis) or elevation of jet nozzle in case of impulse/action
turbine ( Pelton)
5.3.4 Economical Diameter of Penstock
The diameter of the penstock is determined from economic consideration and then checked to see that
acceptable velocities are not exceeded
Two approaches
- Graphical (economic analysis)
- Empirical equations
i) Graphical approach : D f (capital cost, running cost)
If D is small, large hf , reduction in output, loss in revenue. If D1 is large, small hf , greater output ,
larger initial cost .

T o ta l c o s t
C os
t
E c o n o m ic
lo s s

C o n stru c tio n
co st
D ia m e te r

Figure 5.33: Economical Diameter of Penstock

ii) For preliminary design various empirical formula are available
1) SARKARIAS Formula
D

0.62 P 0.43
H 0.65

D penstock diameter (m)

P - hp transmitted by the pipe
H net head e the end of the penstock is m.

2) USBR
v 0.125 2 gH

v Optimum velocity

3) Donalds formula
P
D 0.176
H

4) Fahlbusch (2982)

0.466

0.43

D 0.52 H 0.17 P

5.3.5
-

Structure Analysis of the Penstock

It is necessary to construct pressure grade line

In addition to pressure heads, to water hammer pressure have to be determined

From previous
C

Em

Where

1
1
D

Em
K
TE

For instant closure i.e. t c 2 L

C

Cv o
h
g

For all other closure

hmax

h
C

tc

2L
,
C

the max pressure rise at the valve

C vo 2 L
2vo L
2L

tc
g C tc
g tc

The value of water hammer pressure rise as computed above may be taken at the turbine gate,
reducing to zero at intake or surge tank level. Values at intermediate location may be calculated
assuming a straight line variation
Thus, design head H = static head plus water hammer head.
For thin walled vessels, where D 20
t

pD

2t

The design pressure, p=H

t

PD
2

In the above a ; a = allowable stress

= is coefficient depending on joint type. For welded joint, ( = 0.85 0.95)
For steel used in penstocks usually a factor of safety of 3 to 3.5 is used. Thus for material with
ultimate tensile strength of 3700 kg/cm2; a 1200 kg/cm2
Thus for design purposes,

pD
2 a

For protection against coating deterioration add 1 to 3mm to the above value.
For thick welded piper where D 20 , the following formula giver sufficient accuracy
t

D a 0.07 H
t
1) (1 to 3)mm

2 a 0.13H

pr
The ASME gives the formula for thickness as
t
0.15
a 0 .6 P

Where

t in cm
p pressure in kg/cm2
r internal radius in cm
a design stress in kg/cm2
joint efficiency factor
0.15cm is allowance for corrosion

In case where the negative water column gradient falls below the penstock center line, there is
danger of collapse of the penstock due to external atmospheric pressure. The external pressure p e likely
to result in collapse may be computed from the formula by Mayer
pe

3 EI
24 EI

kg / cm 2
r3
D3

I =moment of inertia of x-section of the pipe ring

E =modulus of elasticity of steel
Introducing a S.F. ,
Pe

1
t
2

t D3

t3
12

m3

n=2 for burried pipes; n=4 for exposed pipes

Pe
2E

For example for complete vacuum, t D3

4 1
0.01D
2 2 10 6

5.3.6 Penstock Joints

Penstock pipes are generally supplied in standard lengths, and have to be joined together on site.
There are many ways of doing this, and the following factors should be considered when choosing the
best jointing system for a particular scheme.
Relative costs
Suitability for chosen pipe material
Ease of installation
Degree of joint flexibility
Methods of pipe jointing fall roughly into four categories:
Flanged joints
Welded joints
Spigot and socket joints
Mechanical joints

Flanged Joints:
Flanges are fitted to each end of individual pipes during manufacture, and each flange is then
bolted to the next during installation as shown in Figure 5.34.
A gasket or other packing material is necessary between Flange joints do not allow any flexibility. They
each flange of a pair. Flange jointed pipes are easy toare generally used to join steel pipes, and
install, but flanges can add to the cost of the pipe. occasionally ductile iron pipes.

Figure 5.34

Flanged joints

Spigot and Socket Joints:

Spigot and socket joints are made by either fitting a collar to, or increasing the diameter during
manufacture of, one end of each pipe such that the internal diameter of the collar or increased internal
diameter of the pipe is the same as the external diameter of the pipe. The plain end of each pipe can
thus be pushed into the collar or socket in the next as shown in Figure 5.35.
A good seal is required between each pipe
section, and this is achieved by either providing a rubber
seal or special glue called solvent cement, depending up
on the material of which the pipes are made.
Figure 5.35 Spigot & socket joints
Spigot and socket joints are generally used to join ductile iron, PVC, concrete, and asbestos cement
pipes.
Mechanical Joints:
Mechanical joints are rarely used on penstocks because of their cost. One important application
of it is for joining pipes of different material or where a slight deflection in the penstock is required that
does not warrant installing a bend.

Figure 5.36

Mechanical joints

Welded Joints:
Welded joints are used on penstocks made of steel. Steel pipes are brought to the site in
standard lengths, and then welded together on site. One advantage of welding on site is that changes in
the direction of the pipe can be accommodated without preparation of a special bend section. It is
relatively cheap method, but has the drawback of needing skilled site personnel.

Expansion Joints:
A penstock, specially exposed ones, will change in length depending on temperature
fluctuations. If it is fixed the thermal expansion forces are substantial. It is possible to relieve these
forces by incorporating special joints called expansion joints, which allow the pipe to expand and
contract freely.
For short penstocks, provision of a single expansion joint may be sufficient, but for long
penstocks with a multiple anchor blocks expansion joints should be placed below each anchor block.
Another alternative to take care of thermal expansion is to take in to account the forces that result from
it in designing anchors.
5.3.7

Penstock Supports and Anchors

Slide blocks, anchors, and thrust blocks all serve the same basic function to constrain
movement of the penstock. Different terms are used with these structures simply to indicate which
specific function they serve, and this is discussed in the following paragraphs, see Figure 5.32 for the
sketches.
Slide Blocks:
A slide block, also called supporting pier, carries the weight of pipe and water, and restrains the
pipe from upward and sideway movements, but allows it to move longitudinally. In most cases the
spacing between slide blocks are assumed equal to the length of each pipe.
If the penstock is buried, slide blocks are unnecessary, rather instead the pipe is laid in a trench
on a bed of sand or gravel of consistent quality, with no big stones which could cut into the pipe or
cause stress concentrations on the pipe wall.
Forces that act on slide blocks include:
Weight of the pipe and enclosed water. As slide blocks do not resist longitudinal forces, only the
component of the weight perpendicular to the pipe will be considered.
Friction forces on the blocks. This is due to the longitudinal movement of the pipe over the blocks
caused by thermal expansion and contraction.
Weight of the block itself.

Figure 5.37 Forces on a slide block

Anchor Blocks:
An anchor block consists of a mass of reinforced concrete keyed to the penstock so that the
penstock cannot move in any way relative to the block. It is designed to withstand any load the
penstock may exert on it.
Anchors are often used at bends (horizontal and vertical) and before entrance to the powerhouse
(see Figure 5.32). They can also be used along long straight sections of penstock, each one next to
expansion joint.
Because an anchor is keyed to the penstock pipe and is also frequently located at a bend in the
pipe, more forces act on an anchor than on a slide block. The major forces which act on anchor blocks
are the following:

Weight of the pipe and enclosed water

Hydrostatic force on a bend
Friction forces on slide blocks located between the anchor and expansion joint
Thermally induced stresses, when expansion joints are not incorporated
The weight of the anchor block itself

Thrust Blocks:
These are a special form of anchor whose sole
purpose is to transmit forces primarily caused
by hydrostatic pressures at horizontal bends
along a buried penstock to undisturbed soil
which provides the reaction force (see Figure
5.38) . However, if the bend is vertical, an
anchor block is still used if the back filled soil
is not able to resist this force.

Figure 5.38 Thrust block

HE 416: HYDROPOWER ENGINEERING

Conditions of Stability for Supports and Anchors:

For any penstock support or anchor to be stable and fulfill its intended purpose, the following
conditions must be met:
The structure should be safe against sliding. For sliding not to occur:
H V

Where, H and V, respectively, are the sum of all horizontal and vertical forces, and
is the coefficient of friction between the structure and the ground often assumed as 0.5.
The structure should be safe against overturning. For this condition to be fulfilled, the
resultant force should act within the middle third of the base. In other words,
e

Lbase
6

Where, e is eccentricity of loading and Lbase is length of the structure base.

The pressure transmitted to the foundation must be within the safe bearing capacity of
the foundation material. This can be expressed as:
Maximum pressure V
6 e Bearing capacity of
1

by the structure Abase Lbase the foundation soil

5.3.8 Penstock Valves

Valves are usually installed at two places in a penstock. One valve is provided at the
upstream end of the penstock, i.e., at the forebay or immediately after the surge tank, and is
called penstock inlet valve, while the second is provided at the downstream end of the conduit,
immediately a head of the turbine, and is named as turbine inlet valve. The upper valve is
sometimes replaced by a gate.
The main purpose of penstock inlet valve is for dewatering of the penstock in case
maintenance of the penstock is required. But, it can be omitted for short penstocks where the
closure of the power canal or power tunnel is possible from the intake.
The main purpose of turbine inlet valve is to close the penstock while the turbine is
inoperative. It can also act as an emergency shut-off device. This valve cannot be omitted
except under especial case where the penstock supplies a single unit having installed the
penstock inlet valve. The number of turbine inlet valves required at a power station is governed
by the number of turbine units installed, but not by the number of penstocks, as a single
penstock can serve a number of units through a manifold at the end. There are varies types of
valves for use in hydropower installations. The most frequently applied include:
Gate valves
Butterfly valves
Spherical valves
Needle valves.
The type to be applied should be determined individually for each case after considering the
various factors involved. For details on valves, reference can be made to hydropower and
hydraulic structures textbooks.

Chapter 5: Water Conveyance Structures

22

CHAPTER - VI
HYDRAULIC MACHINES
(Hydraulic turbines and their selection)
6.1 General
Hydraulic turbines may be considered as hydraulic motors or prime movers of a water power
development, which convert water energy (hydropower) in to mechanical energy ( shaft power). The
shaft power developed is used in running electricity generators directly coupled to the shaft of the
turbine, thus producing electrical power.
6.2Classification
All types of turbines basically fall in to two categories impulse and reaction turbines.
Impulse turbine:
All the available potential energy is converted in to kinetic energy with the help of contracting
nozzle/s. The water after impinging on the curved vanes or bucket is discharged freely to the
downstream channel (eg. Pelton wheel)
Reaction turbines:
In this type the water enters the turbine in a circumferential direction in to the scroll case and
moves into the runner through a series of guide vanes, called wicket gates. The available energy partly
converted to kinetic energy & substantial magnitude remains in the form of pressure energy (eg.
Francis, Kaplan, Propeller, Bulb, etc)

Figure 6.1: Representation of flow pattern in Kaplan turbine

Turbines may also be classified according to the main direction of flow of water in the runner as
Tangential flow turbine ( pelton wheel)
radial flow
( Francis, Thomson, Girard)
Mixed flow

( modern Francis )
Axial flow turbine of fixed blade ( propeller ) or movable blade ( Kaplan or bulb ) type.
Furthermore, turbines may be classified based on head, discharge, speed, specific speed.

6.3

Characteristics of Turbines

Specific speed: is useful parameter for the selection of turbine for a given condition: It is defined as the
speed at which a geometrically similar runner would rotate if it were so proportioned that it would
develop 1 Kw when operating under a head of 1m , and expressed as ( from dimensional analysis )
P

Ns N
H

where Ns
N
P
H

= Specific speed
= rotational speed. (rpm)
= Power developed (kw)
= effective head (m)

Turbine or synchronous speed: Since turbine & generator are fixed, the rated speed of the turbine is
the same as synchronous speed of the generator. The speed N, for synchronous running is given by :
N 120 f

Where f = frequency cycle/sec ( 50-60 Hz c/s)

p = number of poles ( divisible by 4 for head up to 200 m )
( divisible by 2 for head above 200 m )
The speed of a turbine is an important parameter of design. The higher the speed, the smaller
the diameter of the turbine runner & the cheaper the generator coupled to the turbine. High speed,
however, makes a turbine more susceptible to cavitation.
The ratio of the peripheral speed , v, of the bucket or vanes at the nominal diameter, D, to the
theoretical velocity of water under the effective head, H, acting on the turbine is called the speed factor
or peripheral coefficient , .

but in rad/sec;
Therefore, DN

60 2 gH

2N
60

DN

v
2 gH

2 gH

r=D/2
D and H in m; N in rpm

84.6 H

The following table suggests appropriate values of , which give the highest efficiencies for
any turbine, the head & specific speed ranges & the efficiencies of the three main types of turbine.
Type of rammer
Impulse

Francis

Popeller

0.43 0.48

0.6 0.9

1.4-2.0

Ns
8-17
17
17-30
40 130
130-350
350-452
380-600
600-902

H (m)
>250

25-450
<60

Efficiency (%)
85-90
90
90-82
90-94
94
94-93
94
94-85

Thus in general
Pelton turbines are used for high heads & low discharges
Francis types are used for medium & high head plants (has adjustable guide vanes but the runner is
a disc with fixed passage)
Propeller & Kaplan (Kaplan has adjustable blades) types are used for lows head plants with large
discharges.

Figure 6.3: Application of turbine based on head and specific speed

6.4
Procedure in preliminary selection of Turbines
1. From design Q and H, calculate approximate P that can be generated , P Q H
2. From N 120 f calculate N ( or assume ) & computer Ns. From this, the type of turbine can be
p

suggested
3. Calculate D from:

DN

84.6 H
If D is found to be too large, either N can be increased or more units may be adopted. For
approximate calculations of runner diameter; the following empirical formula may be used (Mosony)
D

Q
a
M

D in m; Q in m3/s;

a = 4.4 for Francis & propeller;

or

a = 4.57 for Kaplan.

for propeller, H in m

7 .1 Q

N s 100 3 H
1

Nominal diameter, D , of pelton wheel

D 38
dj

Jet ratio given by

N in rpm

D
m
dj

0.542

H
N
Q
H

(dj is diameter of the jet for =0.45 )

, is important parameter in design of pelton wheels.

Number of buckets, n b = 0.5 m + 15 ( good for 6<m < 35)

It is not uncommon to use a member of multiple jet wheels mounted on the same shaft so as to
develop the required power.
Hydraulic turbines (runner) is designed for optimum speed & maximum efficiency at design
head. But in reality, head and load conditions change during operation & it is extremely important to
know the performance of the unit at other heads. This is furnished by manufacturers curve.

Figure 6.4: Variation of efficiency w.r.t. % of full load for various turbines
6.5

Runaway Speed
If the external load on the machine suddenly drops to zero (sudden rejection) and the governing
mechanism fails at the same time, the turbine will tend to race up to the maximum possible speed,
known as runaway speed. This limiting speed under no-load, maximum-flow must be considered for
safe design.
Type of runner

Runaway speed
( % of normal speed )

Acceptable head variation

(% of design head)
Minimum

Impulse (Renton)
Fiancs
propeller

6.6

170 - 190
65
200 - 220
50
250 - 300
50
Runaway speed and acceptable head variations

Maximum
125
150
150

Turbine scroll case

A scroll case is the conduit directing the water from the intake or penstock to the runner in
reaction type turbine installation ( in case of impulse wheels a casing is usually provided only to
prevent splashing of water & lead water to the tail race). A spiral shaped scroll case of the correct
geometry ensures even distribution of water around the periphery of the runner with the minimum
possible eddy formations.

a) Francis turbine with steel spiral case

b) Propeller turbine with partial spiral

Figure 6.5:Recommended dimensions of scroll casings (a) full spiral b) partial spiral
This kind of spiral case will generally used in medium and high head installations where
discharge requirement is low. See Figure 6.4 a). Spiral cases with 320<<340 are also considered full.
The design of the shape of the spiral case is governed by the flow requirements. Initial
investigation should be based on the following assumptions:
a)
spiral case of constant height
b)
an evenly distributed flow in to the turbine
c)
no friction losses

Figure 6.6: Typical cross-sections of spiral case

Referring to Fig 6.6 (a) the discharge in section of spiral case defined by angle is
Q
where Q is the total discharge to the runner.
q
2

k
vt
r

where

k 30

gH
N

( from the basic Euler equation for the power absorbed by the

machine) and the discharge through two strip dq is given by

dq vt h0 dr k ho dr

q r0 k ho
R

dr
Q
R
Q

or ln

r
2
ro
z k ho

This shows for given vortex strength, k, a definite relationship exist between Q & R.

The most economical design of a power station substructure and the narrowest spiral case can
be obtained by choosing a rectangular section adjoining the guide vanes (entrance ring) by step
transition ( symmetrical or asymmetrical ) as shown in b.
where cot 1 cot 2
h h0 (r r0 ) h
Q
r
r01 h
2 k

dr
r

r1 H

dr
r

Replacing and integrating

r
R
Q
h0 r0 ln 1 H 0 h0 H 0 ln
2k
r1
r0

Knowing r1 from

,
H h0
r1 0
r0

the value of R defining the shape of the spiral case can be determined.

The height H0 at any angle may be assumed to be linearly increasing from h0 at the nose towards the
entrance. Shape at various is determined by assuming existence of uniform velocity equal to entrance
Q i
velocity,
v0 0.2 2 gH and qi
q
q
Ai i 0.18 i
v0
H

area of cross-section at angle i

6.7

Draft Tubes
A draft tube is a conduit discharging water from the turbine runner to the tailrace. It is employed in
conjunction with reaction type turbines, and has twofold purposes:
To recover as much as possible of the velocity energy of the water leaving the runner, which
otherwise would have gone to waste as an exit loss, thus increasing the dynamic draft head.
To utilize the vertical distance between the turbine exit and the tail-water level, called the static
draft head. In other words, to allow the turbine to be set at higher elevation without losing the
advantage of elevation difference.
The most common is elbow type which minimizes the depth of substructure compared to vertical one,
it also has a desirable effect in directing the flow in the direction of the tail water.

Figure 6.7: Elbow-type draft tube

Figure 6.7: Straight conical draft tube

The straight conical draft tubes are the simplest in design and the most efficient type, but they
are rarely used in actual practice. This is because, for effective recovery of velocity head, the outlet
section has to be many times the inlet section of the draft tube. For smooth eddy-free flow (flow with
no separation), the angle of flare of the tube has to be limited to 4 to 8 degrees. Hence, a considerable
long tube is necessary to achieve the desired result. This increases the depth of excavation of the
substructure, making it uneconomical, and unsuitable from cavitation view point.
The elbow-type draft tube is often adopted, because of the following advantages it offers over
the conical type:
Minimizes the required depth of excavation
Directs the flow in the direction of the tail-water flow
Allows the provision of gate at the outlet of the tube which can facilitate the de-watering of the
turbine for repairs, if necessary.
However from constructional point of view, the elbow draft tube presents more problems. Further
more, the change of shape in the elbow naturally increases the turbulent losses in the draft tube.

Figure 6.9: Recommended dimensions of an elbow-type draft tube (after Mosonyi)

Elbow type divided in to 3 parts: vertical, bend, almost horizontal. Draft tubes of large Q & smell H
are mutually designed by model tests.
Between 1 & 3 in Figure 6.7,
Therefore,

Ys

P1 v12 Pa v 22

HL
2g
2g

v2 v2

P1 Pa

Ys 1 2 H l

2
g
2
g

v12 v 22

H d d

2g 2g

where d = efficiency of the draft tube

In order to aroid cavitation at the exit from the runner the condition

P1 Pv

.( Saturated vapor

pressure is around 0.3 on of water absolutes)

6.8 Cavitation in Turbine & Turbine Setting
Cavitation result is pitting, vibration & reduction in efficiency & is certainly undesirable.
Cavitation may be avoided by suitably designing, installing, and operating the turbine in such a way
that the pressures with is the units are above the vapor pressure of water.
Refering the previous Figures, Ys is the most critical factor in the installation of reaction
turbines.
H H v Ys
a

= cavitation coefficient or plant sigma

Ha - Hv = Hb = barometric pressure ( 10.1 @ see level)
H = effective head.

Ys, max = Hb - c H ( Thomas formula, bottom of turbine setting)

If Ys is negative runners must be below TWL. Where Dc is the minimum (critical) value of at which
cavitation occur.

Ns
c

Franscis runners
75
150
225
0.02
0.10
0.23

300
0.40

375
0.64

Propeller runners
375
600
750
0.64
0.8
1.5

The above may be approximated by

N
c 0.0432 s
100

for Francis

N
c 0.28 0.0024 s
100

for propeller

With an increase by 10% for Kaplan turbines.

The preliminary calculation for the elevation of the distributor above the TWL, Y t is
Yt Ys 0.025DN s0.34

for Francis
Yt Ys 0.025 D for propeller
where D is the nominal diameter of the runner.

1,5
3.5