HE 3161: HYDROPOWER ENGINEERING-I SET BY: YOHANNES H.

COURSE OUTLINE
Course Name: Hydropower Engineering-I Academic Year: 2011/12
Course Code: HE- 3161 Semester :I
Prerequisite : HE - 2135, HE-2142 Credit Hours : 3-2-2-1 (3cr.hr)
Instructor : Mr Yohannes H. . Section : G3HWRE-A,B,C,D

AIMS AND OBJECTIVES:

 To introduce the layout and components of hydropower Schemes
 To Plan ,design and analysis of the different hydropower scheme
 To Construct and supervise hydropower schemes
CONTENT: Source of energy, hydropower potential, status and development in Ethiopia, estimation
of firm and secondary power, load prediction, demand assessment, classification and types of
hydropower development, site selection, layouts for each type and capacity computation, water
conveyance structure, intakes, canals, tunnels, water hammer analysis, surge tanks, penstocks, Fore
bays anchors, hydraulic turbines.

1. INTRODUCTION
1.1 Sources of Energy
1.2 Merits and Demerits of Hydropower
1.3 Hydropower status in the world
1.4 Hydropower potential and status in Ethiopia
1.5 System of Measurements
1.6 Planning Criteria for the energy Production
2. ESTIMATION OF WATER POWER POTENTIAL
2.1 Water power potential
2.2 Firm and Secondary power
2.3 Load prediction and Demand Assessment
3. CLASSIFICATION AND TYPES OF HYDROPOWER
DEVELOPMENT
3.1 Classification of Hydropower Scheme
3.2 Site selection, Layouts and Arrangements
3.3 Plant Capacity Determination
3.4 Storage and Pondage
4. ESSENTIAL COMPONENTS OF HYDROPOWER SCHEMES
4.1 Water Control Structures: Dams, Barrages and weirs
4.2 Reservoirs, storage and Backwater zone
4.3 Intakes
1. 4.4 Trash racks and Skimmers
2. 4.5 Entrance loss, Rack loss, Gate loss
3. 4.6 Air Entrainment and Vortex Formation at Intakes
4. 4.7 Settling Basins

5. WATER CONVEYANCE STRUCTURES

5.1 Intakes, Canals and Tunnels
5.2 Water Hammer Analysis
5.3 Surge Tanks
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5.4 Forebays and its design Guidlines

5.5 Penstock joints, supports, Anchors and Valves

6. HYDROPOWER MACHINES
6.1 Classification of Turbines
6.2 Characteristics of Turbines
6.3 Procedure in Preliminary Selection of Turbines
6.3 Draft Tubes, Draft Heads
6.4 Dimensioning of Turbines
6.5 Generators and Governors

A. MODE OF EVALUATION
1. Assignment & Quiz……………………....25%
2. Mid Term Exam..………………………....25%
3. Final Exam……….……………………….50%
100%
B. GRADE ASSESSMENT
1. M ≥ 91% …………. ...A+ 6. 50 % < M ≤ 58%................... C
2. 85 % < M ≤ 90 % ……..A 7. 40 % < M ≤ 50%....................D+
3. 76 % <M ≤ 85 % ..........B+ 8. 30 % < M ≤ 40%....................D
4. 67 % < M ≤ 76% ...........B 9. 0 % ≤ M ≤ 30%...................F
5. 58 % < M ≤ 67%............C+
C.CONSULTATION HOUR
1. Monday, 4:00-5:15P.M
2. Thursday, 4:00-5:15P.M
OFF NO-

D.REFERENCE
1. Water power by Mosonyi, Volume-I, II
2. Hydraulic Structures by P.Novak et al
3. Water power Engineering by Barrows
4. Water power Engineering by Dandaekar and Sharma
5. Water power and Hydraulic structures, by Varshney
6. Engineering and Design of Hydropower by US Army Corps of Engineers
7. Any related books and Internet sources

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HYDROPOWER ENGINEERING

1. INTRODUCTION

1.1 Sources of Energy

The following two major sources of power generation may be identified on the basis of present day
importance:

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

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.
Physical Term Unit
Force = mass x acceleration kg .m
2
 N (ewton)
s
 force x dis tan ce N .m  J (oule)
Work 
 power x time J
s  J  W .s
s

Energy = available potential to work J (Joule)

 W att 
kg .m m Joule
 work / time . 
Power  s2 s s
 force x velocity

Table 1.1: Energy and Related Terms

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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).

Unit Application Conversion

1 J = 1 watt-second
1. J a) M
= 1 Newton meter
oule etric SI-
(NM)
unit

Kilowatt-hour Very common; disadvantage: 1 kWh = 3.6 x 106 Ws

mixing up the time units = 3.6 x 106 J
Energy

second and hour

Calorie Obsolete 1 cal = 4.1868 J
Coal equivalent Obsolete 1 kg SKE = 29.3 x 106 J
British thermal unit Non- metrical; used in the 1 Btu = 1 055 J
Anglo- American area. = 2. 93x10-4 kWh
Various Btu are in use
Which differ only slightly
Watt Metric SI-unit J m
1W  1 1 N
s s
Power

Horse power Obsolete 1 PS = 736 W

(metric)
Horse power 1 HP = 746 W
(English)
Table 1.2: Energy Units and Conversions

It is recommended to use the unit of SI.

K M G T P E Prefix symbol
kilo mega giga tera peta exa Prefix
103 106 109 1012 1015 1018 Factor by which the unit
is multiplied
Table 1.3 Internationally Recommended Prefixes for SI Units

Hydropower and Its Developemnt

1.2 Advantages and Disadvantage of Hydropower
Hydropower has the following advantages over other sources:

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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.

1.3 Hydropower status in the world

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.

Continent Technical Potential (1) Generated in 1990 (2) (2) as % of (1)

Africa 1344 50 3.7
Asia 4212 387 9.2
Australia/Oceania 203 38 18.7
Europe 836 483 57.8
North America 969 573 59.1
Latin America 3486 380 10.9
USSR 2950 223 7.6
World 14000 2134 15.2

Table 2.1: Hydroelectric Generation in 1990 (in TWh/year).

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.
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1.4 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.

Basin Potential Sites in MW Tech. %of Plant Commissi Installe Aver.

Category HP Tota on Year d (GWh
<4 40- >6 Tota (GWh/ l (MW) /yr)
0 60 0 l yr)
Abbay 74 11 44 129 78 880 48.9 Tis Abbay 1953 11.5 68
Fincha 1973 100 617
Tis Abbay 2000 73 450?
(new)
Ghibe- 4 - 16 20 35 000 22.7
Omo
Baro- 17 3 21 41 18 900 11.7 Sor1 1990 5 43.82
Akobo Dembi1 1991 0.71 2.8
Genale- 18 4 9 31 9 300 5.8 Yadot1 1990 0.35 1.2
Dawa
Tekeze- 11 1 8 20 6 000 4.2
Angereb
Wabi- 9 4 3 16 5 400 3.4 Melka 1988 153 560
Shebele Wakena
Awash 33 2 - 35 4 500 2.8 Abasamue 1970 6 15
l3 1960 43.2 110
Koka 1966 32 165
Awash II 1971 32 165

1
Small hydropower stations operating as self contained system (SCS)
2
Note that in Solomon(1998), Fitjer (1990), reported annual production is beyond physically impossible magnitude
3
Currently not operational
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Awash III
Rift 7 - 1 8 800 0.5
Valley
Lakes
Danakil - - - - - -
Ogaden - - - - - -
Ayisha - - - - - -
Total 17 25 10 300 159,30 100 456.8 1,748
3 0
Table 1.2 Potential, Developed and Generated Hydropower in River Basins of Ethiopia4

2. Estimation of Water Power Potential

2.1 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, weakly 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 γ = ρ.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
according to local condition i.e. altitude, varies between -0.2 to –0.4 cm/s2 in average -0.31 cm/s2 per
1000m above sea level, see Mosonyi, E. (1987). Generally an average value of 9.81m/s2 is used.

4
Data has been obtained from Solomon(1998), WAPCOS (1995), Fitjer (1990) and summarized together
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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= γ.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 = η. γ.Q.H = 9.81 η.Q.H (KW)

Where η = 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. Similarly, power
duration curve can be plotted since power is directly proportional to the discharge and available head.
Discharge Q(m 3/s)

Average flow

January December

Fig.3.1: Stream flow hydrograph

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

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0 100%
Percent of time for flows equaled or exceeded
Figure 3.2 Flow\Power duration curve (Power scale multiplying factor = 9.81 η.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

( 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.

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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 γ = 10

Where Qm is arithmetic mean discharge.

Therefore, Em net = 8760 Pm net (KWh)

2.2 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

Average Load
Load (MW)

Base Load

0 6 12 18 24
Time

Figure 2.3: Definition Sketch of Load Curve

Maximum demand 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

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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

Average output of plant for a given period of
Capacity factor = _____________________________________________
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

C.F. = 6,000,000 = 0.6 or 60%

100,000*100

The capacity factor for hydroelectric plant is generally b/n 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.

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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 Firm Power

(for run-off river plant)
0% 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

2.3 Load Predictions and Demand Assessment

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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.

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

Load (MW)

Day-time Night-time

6 12 18 24 6
Time (hrs)

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.
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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 country‟s 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 doesn‟t
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
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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 analyst‟s assumption
that future power demand can be projected based on past demand. Moreover, unlike end-use 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.

Example 1:
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Given: Q=50 m³/s Find: Power, P

H=5 m Work, A for t=7,000h/year
tot=0.8

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

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.
Example 1:
Given: Q=50 m³/s Find: Power, P
H=5 m Work, A for t=7,000h/year
tot=0.8
Solution
Power, P
P = η. γ.Q.H
P=0.8*(1000kg/m³*9.81m/s²)*50.0m³/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
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- 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

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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 THREE
3. Classification and Types of Hydropower Development

3.1 Classification and Basis

Hydropower plants could be classified on the basis of
- Location & topographical features
- Presence or absence of storage

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- 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.

Hydropower
Load (MW)

Nuclear

17
Thermal

Time (months)
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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 3.2: Run-off-River Plant Arrangement

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

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Figure 3.3: Valley Dam Plant Arrangement

iii) Diversion canal plant

Figure 3.4: Diversion Canal Plant Arrangement

iv) High head diversion plants

Figure 3.4: High Head Plant Arrangement

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v) Pumped Storage Plant

Figure 3.5: Pumped Storage Plant Arrangement

3.2 Site Selection, Layouts and Arrangements:

3.2.1 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

3.2.2 Valley dam plants (medium to high head plants)

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 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.
3.2.3 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.
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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.

3.2.4 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.

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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

3.3 Plant capacity Determination

Turbine selection and plant capacity determination require that rather detail information has been
determined on head and possible plant discharge. In theoretical sense, the energy output, E, can be
expressed mathematically as plant output or annual energy in a functional relation as:
E = f(h,q,TW, d, n, Hs, Pmax)
Where h = net effective head
q = plant discharge
TW = tail water elevation
d = diameter of runner
n = generator speed
Hs = turbine setting elevation above tail water
Pmax = maximum output expected or desired at plant
It is seen that there are numerous parameters that can be varied to achieve the best selection. The usual
practice is to base selection on the annual energy out put of the plant and the least cost of that energy
for the particular scale of hydropower installation. Thus one must recognize that determination of plant
capacity requires analyses that vary the different parameters in equation (1.2) while applying economic
analysis.

Limits of use of turbine types

For practical purposes there are some definite limits of use that need to be understood in the selection
of turbines for specific situations. Impulse turbines normally have most economical application at head
above 300 m.

For Francis turbines the units can be operated over a range of flows from approximately 50 to 115%
best efficiency discharge. Below 40%, low efficiency, and rough operation may make extended

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operation unwise. The upper range of flow may be limited by instability or the generator rating and
temperature rise. The approximate limits of head range from 60 to 125% of design head.

Propeller turbines have been developed for heads from 2 to 70m but are normally used for heads less
than 30 m. For fixed blade propeller turbines the limits of flow operation should be between 75 and
100% of best-efficiency flow. Kaplan units may be operated between 25 and 125% of the best
efficiency discharge. The head range for satisfactory operation is from 20 to 140% of design head.

Table 3.1: Minimum technical flow of turbines

Turbine Type Qmin
Francis spiral 30
Francis open flume 30
Semi Kaplan 15
Kaplan 15
Cross flow 15
Pelton 10
Turgo 10
Propeller 65

Determination of number of units

Normally, it is cost effective to have minimum number of units at a given installation. However,
multiple units may be necessary to make the most efficient use of water where flow variation is high.
Factors such as space limitations by geological characteristics or existing structure may dictate larger or
smaller units. The difficulty of transporting large runners sometimes makes it necessary to limit their
size. Larger units require construction in segments and field fabrication with special care. Field
fabrication is costly and practical only for multiple units where the cost of facilities can be spread over
many units. Runners may be split in two pieces, completely machined in the factory and bolted together
in the field. This is likewise costly, and most users avoid this method because the integrity of the runner
cannot be assured.

3.4 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.

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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 3.6 : 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:
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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.

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CHAPTER FOUR

4. ESSENTIAL COMPONENTS OF HYDROPOWER SCHEMES

4.1 Intakes and Head Race

4.1.1 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.

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.
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 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:

1. Intakes from streams should be located, wherever possible on the concave side of the bend.
Figure 5.2: Spiral flow inAriver bends Section A-A

Spiral flow

Ground/bottom flow

A Surface flow Movement of bedload

Figure 5.2: Spiral Flow

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

Typical layouts Figure 5.3: In a bend

Weir

Bend

Canal
Gate

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a) With de-silting canal b) Without de-silting c) Curved lateral branch

d) bottom guide vanes e) Surface guide vanes

Figure 5.4: In straight reach

iii) Dam intakes

 for valley dam plants, the intake structure is provided usually in the body of the dam.

Figure 5.5: Example of a dam intake

 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.
ii)a bell mouth inlet horizontal or inclined alignment
iii) 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.
Multi-level water are also some times used in dam intakes.
iv) Tower Intakes

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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).

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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 turbine‟s 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.

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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/m2 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
V2 Vf
he  C                5.1
2g 2g

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
Figure 5.8 Losses due to change of
 flow direction
V

b) The losses due to sudden contraction of the area at the inlet section is given by:
V2
he  K                5.2
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
he  0.3                5.3
2g
V2 V f2
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 Kirschmer’s) is:

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4/3 2
t Va
hr  K t   sin              5.5
b 2g

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 
hg      5.6
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)
iii) U.S.B.R's criterion: permissible velocity in the range of 0.6 to 1.5 m3/s

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.

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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 for asymmetrical approach Ys

Where, Ys is necessary submergence depth, V is V D

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.

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

Qa  400Ca p                   
1/ 2
1. (5.9)
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/cm2
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
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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
 Use of baffles B
L
 Use of slotted walls

Flushing flume
A A
Power canal

W
Flushing sluice

Inlet Settling zone Outlet

zone zone
B

Power canal
Flushing flume

Section A-A

W W

Collection tank
Flushing flume
a) For continuous flushing b) For intermittent flushing
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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 sediment-
collecting 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 dl (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); dl = 0.2 to 0.5mm in diameter

For head up to 100m; dl = 0.1 to 0.2mm in diameter
Very high head >100m; 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.

Degree of removal
100

80
% Sieve passing

60 60% removal ratio

40

20 dl

0
0.001 0.01 0.1 1 10 100
Particle size (mm) (Log scale)

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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
R  100 %               5.10
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.

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

t
D
 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   (5.14)
L 
 

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 water power 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
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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:

    V (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:

D 3 / 2V
L
DV
 (m)  5.18
   V D1 / 2  0.132V

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:

1/ 2
 4 gd   s   w 
    5.19
 3 C d   w 

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)
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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  s  w 
    5.20
18   w 

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.

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CHAPTER FIVE
5. WATER CONVEYANCE STRUCTURES

5.1 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.

5.1.1 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.

(a) In cut and fill (b) In cutting (C) In filling

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

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 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).
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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 C Where m is roughness factor
m
1
R
1
ii) Maning's Formula C  R1 / 6 Where n is Maning's roughness coefficient
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  
iii) Kutter Formula C S n in English units
n  0.00281 
1  41.65  
R S 
iv) The Agroskin formula C  17.72K  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
1
Some designers prefer this formula for V and given by: V  CR 0.7 S 0.5 , C
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.

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Maximum velocity Minimum velocity

Bed Material Vmax (m/s) Vmin (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:
Strenberg: Vb   2d 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

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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.

For  (mm/sec) < 1.5 1.5 - 3.5 >3.5

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 Manning‟s 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
Earth canals Gravelly or sandy loam 0.030
Lined with coarse stones 0.040
Medium coarse rock muck
0.037
Rock muck from careful
Rock canals 0.045
blasting
0.060
Very coarse rock muck
Brickwork, well pointed 0.015
Masonry canals Normal masonry 0.017
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
Wooden canals Unplanned boards 0.012
Older wooden canals 0.015
Table 5.3 Values of roughness coefficient „n‟ for different canal materials
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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.

5.1.2 Water Loss in Power Canals

Water losses are due to
a) seepage
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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 P3h (q in m³/sec-km)
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

Canal Lining or soil type C

Lined 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
Unlined 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 Specific seepage (m³/day-m²)

Slightly pervious loam 0.08 - 0.11
Loam of moderate permeability 0.11 - 0.15
Pervious loam or silt 0.15 - 0.23
Gravely or sandy loam 0.23 - 0.30
Loose sand 0.46 - 0.53
Gravely sand 0.61 - 0.76
Gravel 0.76 - 0.91
Coarse gravel 0.91 - 183
Table 5.6: Specific seepage of canals
C
3) A.N. Kostyakov (USSR): q Q q in m³/sec-km
100
Values of C
3.4
a) for soils of high permeability, C  %
Q 0.5

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1.9
b) for soils of moderate permeability, C  %
Q 0.4
0.7
c) for soils of low permeability, C  %
Q 0.3
5.1.2 Tunnels
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.

5.1.3 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.

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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) H
- High-pressure tunnels (H > 100 m)

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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
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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):

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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    whw

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 Manning‟s, Darcy-Weisbach, or Hazen-Williams
formulas.
lv 2
Manning formula: hf  n2
R4/3
l v2
Darcy-Weisbach formula: hf  
2 g Deq
l v1.85
Hazen-Williams formula (rarely used): h f  6.84 1.17
C 1.85 Deq
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 Manning‟s
roughness coefficient,  is Darcy-Weisbach friction factor (can be obtained from Moody diagram), and
C is Hazen-Williams roughness coefficient.

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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.

Total cost
Cost

Economic Construction
loss 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

Q 0.45
For steel-lined tunnels: D  1.12
H 0.12

5.1.3.2.4 Stress Analysis and Lining

1 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 D1

or preferably 2  p  D  
P.D
2

Then if a is allowable stress in lining, then   PD

2 a

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For R.C. lining

i) 2 ast Ast  P.D  Ast 
PD
x100 Where Ast in cm²/m
2 ast
ii) If no reinforcement, since the tensile stress in homogenous concrete is usually limited to 10 kg/cm²,
then PD
 10 kg / cm 2 Where  = thickness of concrete lining in cm.
2

II Lining designed assuming load sharing between rock & lining

2
b
1

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:
P  P1 D
 st  D is internal diameter
2

Unit radial strain = 2  st   st  E st 

 st
2r r st
r
st P  P1 D P  P1  r2
 st  E st   st 
r 2 E st 
The radially fissured annular concrete layer is subjected to an internal pressure P2
r1
P2 = P1
r2
Theoretical investigations & experiments show that
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P1 r 
C  r1 l n  2 
EC  r1 

The radius of the cross-section excavated in rock expands under load P2 by an amount  r
1  m 1  1  m  1
r    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  m 1  P  r   p  p1  r 2
1  2    r1 p1  1 r1 l n  2     .
Er  m  Ec  r1   E 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      
 EC  r1  E r  m  E st  E st  

Simplifying & Rearranging:

E st   1  2 
1 
P r r  Checking purposes

E   r2  E st   m  1 
1  st ln     
Ec r  r1  E r r  m 

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     
 Ec  r1  E r  m  E st

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rearranging simplifying and putting in sta for st ,

   2 
 sta  E st  1 

1  r  then  
1  Pr
P E st  r  E  m 1 E sta
ln  2   st  
Ec  r1  E r  m 
 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

E st
Ec = 2.1 x 105 kg/cm2  10
Ec

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.

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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.

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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
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 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

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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.

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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

A A
B

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 Newton‟s 2rd law.

Mass of water retarded = . A. L

Pressure force at the valve = P. A

 p . A   . A. L .   
 t 
  
hw  g  L  
 t 
L v
hw   Note:- Instantaneous Closure  large pressure rise !
g t
Thus the total head @ the valve = Hs + hw
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L v
= Hs 
g t
Considering friction and local loss, the total head becomes
 L  v
2
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
hw    
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:

 0  v0 
p. A    A L  
 t /c 
 pmax   c v0
 p max c vo
& hwmax  
g g
The above is sufficient for estimating pressure rise for rapid value closure i.e. when t c  2 l , when
c
2L
tc  the reflected negative pressure reduces the pressure rise at the value. In such cases one can
c
p 2L 1
use  .
 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  wave dies away.

In absence of friction
 V
p  . x
hW  h  
L dv
 1. g t
g dt p   C VO
For complete closure, v   vO .

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Time of travel of wave is, t  L c  2

Considering the two cases

Fluid volume diminished =

1  D2
V  p . L where K  p  / V
K 4

 D3
Pipe distended V  . L . P
4 TE

 D2 L 1 D 
Combining Vtotal  p   .
4  K T . E 
thus L  V A

1 D 
L  L p                       3
K T . E 
p   c v0 _____ Allevi expression
1
c
1 D 
 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.
 = poison‟s ratio, for common pipe material
= 0.25
For detailed design, one has to consider the following additional factors.

i) 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.
ii) The interaction b/n the size effect & the water hammer effect
iii) 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
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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 :

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a) Material of construction, example. Concrete or steel

b) 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

c) 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

d) 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:

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 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 down-surge 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
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- 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  Z1down  H live  Z 0  h

Z1up
HRWL

Hlive
LRWL
Z0

Z1 down

Pressure tunnel
h

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):

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Max upsurge level Surge Tank +z Closure

z1
t
Reservoir
At, Qo Zo As -z
T

Penstock or
L Pressure shaft
Q1

Figure 5-29: Damped surge oscillations – instantaneous closure

Continuity equation

A V  Q1
       1
dz dz
V At  As  Q1   t
dt dt As

Momentum equation (The dynamic equation)

2
At steady state  zo   L vo (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.

i.e.  L V   z 
2

2 gd

Denote FT   L
2 gd

L dv
 h  FT V 2  z   (Wave theory, rigid column theory)
g dt
If surge tank throttle loss is considered

.            2
L dv
FS VS2  FT V 2  z  
g dt
1 & 2 could be combined to give 2nd order d.e. but not analytical solution.

5.2.2.5.2 Undamped Oscillation

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If Q1 = 0 & friction is ignored, (Undamped oscillation, complete valve closure) equation (1) & (2)
become.

 t V              3
dz A
dt AS
dv g
 Z              4 
dt L

differentiating (3) w.r.t. time

d 2z A dv
 t
dt 2 AS dt

Substituting dV/dt from (4)

d 2z
z  0            5
A g
2
 t
dt As 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 where g At
 r 2Z  0 r .
dt 2 L As

2 t 2t
Z  C1 cos  C 2 Sin where T is period of oscillation
T T
L AS
T = 2/r = 2 .
g At

For frictionless tunnel Z = 0 @ t = 0

t = T/4 , Z=Zmzx, dz
 0.
dt

Thus, Z  C 2 sin 2t

T
dz 2 2t
 C2 cos and dz A
 V T
dt T T dt AS

Hence, V = A s C 2 2 cos 2t

AT T T

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

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L AT .
Substituting for T, C 2  VO
g AS

L AT 2t
Z  VO sin
g AS T

L AT
The maximum amplitude , Zmax, is obtained from Z mzx  V0
g AS

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

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
Dynamic equation:  Z m  FT Vm / Vm /  FS VS / VS  0      1
g t

Z
Continuity equation: Vm AT  As ,m  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

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and from (1) calculate Z m   Z i  Z 

 2 

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 Z 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  2 

Where Vm  Vi  V
2
Also (1) becomes.
L V t  V 
2
A  
 Zi  Vi AT  T V  Qm   FT Vi   .
g t 2 As ,m  2   2 
Fs  2 V 2   V 
 ( AT2 Vi  Vi V    2 AT Vi   Qm  Qm )  0
2

As1  4   2 

Rearranging

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FR  L AT  F A Q 
    t   FR Vi  S T2 m   V  Z i
 gt 
4  4 As , m  As    AT 
2

FR   FS    FT 
 
AT Q  F    AS  
 V i t  M t   FR Vi 2  S2 Qm  2Vi AT  Qm   0
2 AS ,m ZAS ,m  As 

This is the form

b  b 2  4ac
a V 2  bV  C  0  V 
2a

V is therefore determined explicitly in each successive time step t & corresponding position Z is
obtained from (3) .

Note that if V becomes negative, (i.e. on the down surge) the negative values of FR 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:

2

Z 
max
2 K2
 1  K 0  0 .  for K 
0  0.7  or 
Z max
 1 
1  K 0  ; Z 
max  1  0.6 K 0 
3  3 

  
where Z 
Z
K 0 
P0 where K o         (head loss in tunnel,
Z mzx. Z mzx  2 gd 
coefficient in v²)

Qo gAt
Z max  r
AS r L AS

The first down surge

1
Z 2  
 7 
1  K 0 
 3 
For a sudden 100% load demand, maximum down surge
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
Z max   1  0.125 K 0  for K 
0 
 0.8

5.2.6 Cross-sectional Area (Stability Consideration)

Characteristic oscillation in the surge tank damped by hydraulic friction in the conduits. Amplitude of
1
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:
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ASc 
V02 At Lt
2 g Po H 0
m  2 where Po = hf =Zo

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

Assuming  1 Maning's n
 m 1 n
m R4 3
2

R – tunnel hydraulic radius

10

ASC 
m 2 R 4 3 At

m2 D 3 AS  ( 1.5 to 1.8) ASC (stable tank)
2g H o 160 H o

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

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

L At m 2 R 4 3 At
AS   *  * * = non constant factor of safety =1+ 1.0482Zmax/Ho
2 g H o 2g H 0

or AS   m D = 170.482 Z max
* 2 43
L At (undamped friction loss)
Z o  V0
160 H o H0 g AS

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.

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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.

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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.

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Figure 5.32: Components of a penstcok

5.3.2 Classification of penstock.

Classification may based on :

1. The material of construction 2. Method of support.
3. Rigidity of connection and 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 2- Possibility of sliding on step slopes
fluctuations
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

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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.
Q0 D 2 Q0
Therefore: A   D  1.128
v0 4 v0
Head losses
2
i) Frictional head loss => h f   L v
D 2g
2
v
ii) other local losses h f c  k where k = local loss coefficient
2g
k
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Penstock with gradual transition entrance 0.10 - 0.20

Open butterfly valve (depending on disk thickness) 0.05 - 0.25
Needle valves 0.20 - 0.25
Bends (depending on deflection angle) 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 .

Total cost
Cos
t
Economic Construction
loss cost

Diameter

Figure 5.33: Economical Diameter of Penstock

ii) For preliminary design various empirical formula are available

1) SARKARIA’S Formula

0.62 P 0.43 D – penstock diameter (m)

D
H 0.65
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) Donald’s formula
0.466
P
D  0.176  
H
4) Fahlbusch (2982)
D  0.52 H 0.17 P  H 0.43

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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
Em 1 1 D
C Where  
 Em K TE
For instant closure i.e. t c  2 L
C
Cvo
h
g
For all other closure 2L the max pressure rise at the valve
tc  ,
C
h 2L C vo 2 L 2vo L
hmax   . 
C 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
PD
t
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, t

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
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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 pe likely to
result in collapse may be computed from the formula by Mayer
3EI 24 EI
pe  3
 kg / cm 2
r D3
I =moment of inertia of x-section of the pipe ring t3 m3
12
E =modulus of elasticity of steel
Introducing a S.F. ,
3
1 t  n=2 for burried pipes; n=4 for exposed pipes
Pe  2  
  D
 Pe
t  D3
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  Mechanical joints

 Spigot and socket joints  Welded 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

each flange of a pair. Flange jointed pipes are easy to
install, but flanges can add to the cost of the pipe.
Flange joints do not allow any flexibility. They are
generally used to join steel pipes, and 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

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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:
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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

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 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

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,
Lbase
e 
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.

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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
 Needlevalves

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CHAPTER SIX
6. 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 .

6.2 Classification
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)

Figure 6.1: Example of Pelton turbine arrangement (2 nozzles)

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)

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Figure 6.2: 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 5
4
H
where Ns = Specific speed
N = rotational speed. (rpm)
P = Power developed (kw)
H = 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
p
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.

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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 , .
v r
 
2 gH 2 gH

but  in rad/sec; 2N r=D/2


60
Therefore,   DN 
DN D and H in m; N in rpm
60 2 gH 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  Ns H (m) Efficiency (%)

Impulse 0.43 – 0.48 8-17 85-90
17 >250 90
17-30 90-82
Francis 0.6 – 0.9 40 – 130 90-94
130-350 25-450 94
350-452 94-93
Popeller 1.4-2.0 380-600 <60 94
600-902 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

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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
DN
3. Calculate D from:  
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)
1
Q 3
D in m; Q in m3/s; N in rpm
D a  
M 
a = 4.4 for Francis & propeller; a = 4.57 for Kaplan.

or D
7.1 Q for propeller, H in m
N s  100 3 H
1 1
4

H
Nominal diameter, D , of pelton wheel D  38
N
Q
dj  0.542
H
(dj is diameter of the jet for =0.45 )
Jet ratio given by m
D , is important parameter in design of pelton wheels.
dj
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 manufacturer‟s curve.

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

( % of normal speed ) (% of design head)

Minimum Maximum
Impulse (Renton) 170 - 190 65 125
Fiancés 200 - 220 50 150
propeller 250 - 300 50 150
Runaway speed and acceptable head variations

6.6 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

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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 gH
vt  where k  30 ( from the basic Euler equation for the power absorbed by the
r N
machine)

and the discharge through two strip dq is given by

dr Q R Q
dq  vt h0 dr  k ho dr  q  r0 k ho
R
 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.
h  h0   (r  r0 ) h where   cot 1  cot  2

Q dr dr
 r01 h 
r R
r1 H 0
2k r r
Replacing and integrating
Q r   R
 h0   r0 ln  1   H 0  h0  H 0 ln  
2k  r0   r1 

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 velocity, v0  0.2 2 gH and qi  Q i
2
q q area of cross-section at angle i
Ai  i  0.18 i
v0 H

6.7 Draft Tubes

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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.

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HE 416: HYDROPOWER ENGINEERING

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.
P1 v12 Pa v22
Between 1 & 3 in Figure 6.7, Ys      HL
 2g  2g
Therefore,   Y   v1  v2  H 
2 2
P1 Pa
 
s  2g 2g l 
 
 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 a  H v  Ys   = cavitation coefficient or plant sigma

  
 H 
Ha - Hv = Hb = barometric pressure ( 10.1 @ see level)
H = effective head.

Ys, max = Hb - c H ( Thoma‟s 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.

83
HE 416: HYDROPOWER ENGINEERING

Franscis runners Propeller runners

Ns 75 150 225 300 375 375 600 750 1,5
c 0.02 0.10 0.23 0.40 0.64 0.64 0.8 1.5 3.5

The above may be approximated by

2
 Ns 
 c  0.0432  for Francis
 100 
3
 Ns  for propeller
 c  0.28  0.0024 
 100 
With an increase by 10% for Kaplan turbines.

The preliminary calculation for the elevation of the distributor above the TWL, Yt is

Yt  Ys  0.025DN s0.34
for Francis
Yt  Ys  0.025D for propeller
where D is the nominal diameter of the runner.


 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

4. From design Q and H, calculate approximate P that can be generated , P    Q H

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HE 416: HYDROPOWER ENGINEERING

5. From N  120
f calculate N ( or assume ) & computer Ns. From this, the type of turbine can be
p
suggested
DN
6. Calculate D from:  
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)
1
Q 3
D in m; Q in m3/s; N in rpm
D a  
M 
a = 4.4 for Francis & propeller; a = 4.57 for Kaplan.

or D
7.1 Q for propeller, H in m
N s  100 3 H
1 1
4

H
Nominal diameter, D , of pelton wheel D  38
N
Q
dj  0.542
H
(dj is diameter of the jet for =0.45 )
Jet ratio given by m
D , is important parameter in design of pelton wheels.
dj
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 manufacturer‟s curve.

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

6.6 Runaway Speed

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HE 416: HYDROPOWER ENGINEERING

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 Acceptable head variation

( % of normal speed ) (% of design head)

Minimum Maximum
Impulse (Renton) 170 - 190 65 125
Fiancés 200 - 220 50 150
propeller 250 - 300 50 150
Runaway speed and acceptable head variations

6.6 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:
d) spiral case of constant height
e) an evenly distributed flow in to the turbine
f) no friction losses

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HE 416: HYDROPOWER ENGINEERING

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 gH
vt  where k  30 ( from the basic Euler equation for the power absorbed by the
r N
machine)

and the discharge through two strip dq is given by

dr Q R Q
dq  vt h0 dr  k ho dr  q  r0 k ho
R
 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.
h  h0   (r  r0 ) h where   cot 1  cot  2

Q dr dr
 r01 h 
r R
r1 H 0
2k r r
Replacing and integrating
Q r   R
 h0   r0 ln  1   H 0  h0  H 0 ln  
2k  r0   r1 

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 velocity, v0  0.2 2 gH and qi  Q i
2
q q area of cross-section at angle i
Ai  i  0.18 i
v0 H

6.7 Draft Tubes

87
HE 416: HYDROPOWER ENGINEERING

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.

88
HE 416: HYDROPOWER ENGINEERING

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.
P1 v12 Pa v22
Between 1 & 3 in Figure 6.7, Ys      HL
 2g  2g
Therefore,   Y   v1  v2  H 
2 2
P1 Pa
 
s  2g 2g l 
 
 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 a  H v  Ys   = cavitation coefficient or plant sigma

  
 H 
Ha - Hv = Hb = barometric pressure ( 10.1 @ see level)
H = effective head.

Ys, max = Hb - c H ( Thoma‟s 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.

89
HE 416: HYDROPOWER ENGINEERING

Franscis runners Propeller runners

Ns 75 150 225 300 375 375 600 750 1,5
c 0.02 0.10 0.23 0.40 0.64 0.64 0.8 1.5 3.5

The above may be approximated by

2
 Ns 
 c  0.0432  for Francis
 100 
3
 Ns  for propeller
 c  0.28  0.0024 
 100 
With an increase by 10% for Kaplan turbines.

The preliminary calculation for the elevation of the distributor above the TWL, Yt is

Yt  Ys  0.025DN s0.34
for Francis
Yt  Ys  0.025D for propeller
where D is the nominal diameter of the runner.

90