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February, 2017
Wolkite, Ethiopia



1. INTRODUCTION .............................................................................................................................................. 3
1.1 Sources of Energy ................................................................................................................................... 3
Energy – Physical Bases and Measuring Units ..................................................................................................... 3
2 Hydropower and Its Developemnt ................................................................................................................... 5
2.1 Advantages and Disadvantage of Hydropower .............................................................................................. 5
2.2 Hydropower Potential and Its Development in Ethiopia ................................................................................ 5
3 Estimation of Water Power Potential............................................................................................................... 6
3 1 Water Power Potential ................................................................................................................................. 6
3 3 Load Predictions and Demand Assessment ................................................................................................. 11
4.0- Classification and Types of Hydropower Development ............................................................................... 15
4.1 Classification and Basis ......................................................................................................................... 15
4.2 Site Selection, Layouts and Arrangements:.................................................................................................. 18
4 3 Storage and Pondage .................................................................................................................................. 20
5. Water Conveyance Structurer................................................................................................................... 23
5.1 Intakes and Head Race ............................................................................................................................... 23
5.2 Water Hammer, Surge Tanks and Forebays ................................................................................................. 58
5.3 PENSTOCK ............................................................................................................................................ 73
6 Hydraulic Machines (Hydraulic turbines and their selection ........................................................................... 82
6.1 General ...................................................................................................................................................... 82
6.2 Classification ........................................................................................................................................ 82
6.3 Characteristics of Turbines .................................................................................................................... 83
6.4 Procedure in preliminary selection of Turbines ..................................................................................... 86
6.5 Runaway Speed.......................................................................................................................................... 88
6.6 Turbine scroll case ................................................................................................................................ 88
6.7 Draft Tubes .......................................................................................................................................... 90
6.8 Cavitation in Turbine & Turbine Setting ...................................................................................................... 92
7. POWER PLANT STATIONS: Conventional type of Power Stations ................................................................ 95
7.1 COMPONENTS OF HYDROPOWER PROJECTS ................................................................................................ 95
7.2 POWER HOUSE ............................................................................................................................................ 96
8. UNDER GROUND POWER HOUSE .............................................................................................................. 108
8 .1 Location of underground power stations ............................................................................................. 108
8.2 Arrangements of underground power stations....................................................................................... 109
8.3 Comparing above–ground and underground power house stations (Basics for.............................................. 111
comparison of power station alternatives)........................................................................................................ 111
8.4 The functions of the powerhouse complex ............................................................................................ 112
8.5 The power House complex ................................................................................................................... 112
8.6 Overall Plant layout ............................................................................................................................. 113



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
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
 N (ewton)
 force x dis tan ce N .m  J (oule)
Work 
 power x time J
s  J  W .s

Energy = available potential to work J (oule)

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

Table 1.1: Energy and Related Terms

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
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

Joule Metric SI-unit 1 J = 1 watt-second
= 1 Newton meter (NM)
Kilowatt-hour Very common; disadvantage: 1 kWh = 3.6 x 106 Ws
= 3.6 x 106 J

mixing up the time units 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

Horse power Obsolete 1 PS = 736 W

Horse power 1 HP = 746 W
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
Table 1.3 Internationally Recommended Prefixes for SI Units



2 Hydropower and Its Developemnt

2.1 Advantages and Disadvantage of Hydropower
Hydropower has the following advantages over other sources:
i) Hydropower has a 'perpetual' source of energy, while thermal power has a depletable fossil fuel source.
Besides hydropower doesn't consume the water.
ii) Running cost of hydropower plant is very low compared to thermal and nuclear plant.
iii) Hydropower plants can be brought in to operation in few minutes while thermal & nuclear power plants lack this
capability. Thus hydropower plants are particularly useful in taking up short period peak loads in a power grid
iv) Efficiency of hydropower system is very high (90-95%), while thermal power plants have low efficiency, as low
as 40%.
v) Hydropower development also provides secondary benefit such as recreation, fishing, flood control etc, where
storage is contemplated.
Some of the disadvantages of hydropower development are:
i) It is capital intensive & therefore rate of return is low.
ii) The gestation period is long. This period is low for thermal power plants.
iii) Hydropower is dependent on natural flow of streams. Since this is very variable the dependable or firm power is
considerably low compared to total capacity.
2.2 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.



3 Estimation of Water Power Potential

3 1 Water Power Potential
It is essential to assess the inherent power available from the discharge of a river and the head available at the site
before any power plant is contemplated.
The gross head of any proposed scheme can be assessed by simple surveying techniques, where as hydrological data
on rainfall and runoff are essential in order to assess the available water quantities. The following hydrological data
are necessary:
a) The daily, weekly or monthly flow over a period of several years, to determine the plant capacity & estimated
b) Low flows, to assess 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?
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.
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)
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:
P    (Q  H )

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)

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.

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)

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
Figure 3.3: Definition Sketch of Load Curve
Maximum demand determines the size of Time
the plant and its cost.

Highest instantaneous value of demand is, strictly speaking, the peak load or peak demand. Generally, however,
peak load is defined as that carried at intensity greater than 4/3 times the average load intensity.

Base Load is the total load continuously exceeded, where as the average load is the area under the curve divided by
the time.

Load factor is the ratio of average load to the peak load and is expressed as a daily, weakly, monthly or yearly
value. The area under a load curve is energy (KWh) and it can be plotted to obtain energy consumption curve. Thus
the load factor can also be defined as:

Load Factor = energy consumed (say during 24 hrs)

(max. demand) * 24 hrs.

Max. load - determines plant capacity

Load factor - gives an idea of degree of utilization of capacity. Thus an annual load factor of say 0.4 indicates that
the machines are producing only 40% of their yearly maximum production capacity.

Capacity factor: also called plant use factor or plant factor

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%


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.


Utilization factor = Quantity of water actually used for power production

Quantity of water that is available in the river

For assumed constant head

Utilization factor = Power utilized

Power available
For hydroelectric plants, this factor varies from 0.4 to 0.9 depending on plant capacity, load factor & storage.

Load Duration Curve

This is a curve of load vs percentage of time this load or higher occurs. It is usually plotted for long duration such as
a year.

Firm Power

0% 100%
Figure 3.4: Definition Sketch of Firm Power

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

Annual load factor = Area under curve

Area of rectangle corresponding to max. demand during the year



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

Secondary Power

Primary Power 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
0% 100%
(without storage)

Figure 3.6: Increased Firm Power by Pondage

3 3 Load Predictions and Demand Assessment

Base Load - Peak Load

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



- Traffic.
A typical load curve, daily load curve is shown in Figure 3.7.
Load (MW)

Day-time Night-time

6 1 1 2 6
Fig. 3.8 Typical Daily Time (hrs)
2 Load Curve 8 4

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.

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

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 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

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.

 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:
Given: Q=50 m³/s Find: Power, P
H=5 m Work, A for t=7,000h/year

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



4.0- Classification and Types of Hydropower Development

4.1 Classification and Basis

Hydropower plants could be classified on the basis of

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



Load (MW)



Time (months)
Figure 4.1: Place of hydropower in a power system.
3) Classification based on plant capacity
Classification based on plant capacity changes with time as technology improves. Thus we have the following
classification according to Mossonyi, and present day trend classification.
According to Mossonyi Present day classification
i) Midget plant up to 10 KW i) Micro hydrpower < 5 MW
ii) Low capacity < 1000KW ii) Medium plant 5 to 100 MW
iii) Medium capacity < 10,000KW iii) High capacity 100 to 1,000 MW
iv) High capacity > 10,000KW iv) Super plant above 1,000 MW

Thus must hydropower plants in Ethiopia may be classified as medium to high.

4) Classification based on head
The most popular & convenient classification is the one based on head on turbine. On this basis:
i) Low head plants < 15m
ii) Medium head plants 15-50m
iii) high head plants 50-250m
iv) very high head plants > 250m
The figure may vary depending on the country standard

5) Classification based on constructional features (layouts)

i) Run-off-river plants (low to medium head plants)

a) Block power plant b) Twin block plant c)Island plant d) pier head plant e) Submersible
Figure 4.2: Run-off-River Plant Arrangement

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



Figure 4.3: Valley Dam Plant Arrangement

iii) Diversion canal plant

Figure 4.4: Diversion Canal Plant Arrangement

iv) High head diversion plants



Figure 4.4: High Head Plant Arrangement

v) Pumped Storage Plant

Figure 4.5: Pumped Storage Plant Arrangement

4.2 Site Selection, Layouts and Arrangements:

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



Additional structures are

- deflector or skimmer walls
- forebay
- service bridge
- river training walls
- sediment trap and flushing sluices, where necessary
4.2.2 Valley dam plants (medium to high head plants)
 The dominant feature is the dam which creates the required storage ( to balance seasonal fluctuation) and
necessary head for the power house.
 Power house is located at the toe of the dam
 Water flows through the penstock embedded in the dam & enters the power house.
 Sometimes the power house is not immediately at the toe of the dam but at some distance ( eg. the Koka power
plant). This arrangement is more expensive (due to longer conveyance) and is used only when it offers
advantages such as extra head due to advantageous topographical conditions.
Important components of a valley dam plant
1.- The dam with its appurtenance structures like spillway, energy dissipation arrangements etc.
2.- The intake with racks, stop logs, gates & ancillaries
3.- The penstock conveying water to the turbine with inlet valve & anchorage.
4.- The main power house with its components.
4.2.3 Diversion canal plant
 The distinguishing feature is the presence of power canal that diverts the water from the main stream channel.
 The power house is provided at suitable location along the stretch of the canal
 The water often flowing through the turbine is brought back to the old stream.
 Diversion canal plants are generally low head or medium head plants.
 They don't have storage.
 Pondage requirement is met through a pool called forebay located just u/s of the power house.
Ways of developing required head
i) The flatter slopes of power canal and the absence of meander, by reducing length, helps in providing head.
Let distance from A to B along main river be 15km
>> average slope of main river be 1 in 500
:. Total head difference b/n A & B = 30m.
Let length of power canal be 8km
>> average slope of power canal be 1 in 800
:. Level difference b/n A & forebay = 10m
:. Difference b/n forebay & B = 30-10 = 20m
ii) If the river has a natural fall, diverting the water from u/s side of the fall & locating the power house at the d/s side
of the fall provide the required head.
iii) In inter-basin diversion, water may be diverted from a higher level river to a lower river through a diversion canal
to the power house located at the lower river.
Main structures of the diversion canal plant:
1) Diversion weir with its appurtenant structures.
2) Diversion canal intake with its ancillary works such as sills, trash racks, skimmer wall, sluice, settling basin,
disiltting basin, disilting canal, silt exclusion arrangement is needed in some sediment laden streams.
3) Bridges and culverts of the canal.
4) Forebay & its appurtenant structures.



4.2.4 High head diversion plants

High head is developed by:
i)diverting the river water through a systems of canals and tunnels to a downstream point of the same river.
ii) Diverting the water through canals and tunnels to a point on another river which is at much lower level.
The main feature here is complicated conveyance system & relatively high head compared to the diversion type.
There may be two situation concerning storage situation
a) A diversion weir to create pondage ( and no storage). Here like run-off-plant the power production is governed by
the natural flow in the river.
b) Storage may be provided on the main river at the point of diversion. (This second situation is advantageous since
the fluctuation in reservoir level does not materially affect the head and the power output can be adjusted by the
controlled flow release from the reservoir. Eg. Fincha & Melka Wakana power plants)
Main Components of high head diversion plants:
1) Storage or diversion weir with appurtenant structures
2) The canal/tunnel
3) The head race either open cut or tunnel.
4) Forebay/surge tank
5) Penstock
6) Power house
7) The tail race

v) Pumped Storage Plant

Pumped storage plant is suitable where:

 the natural annual run-off is insufficient to justify a conventional hydroelectric installation
 it is possible to have reservoir at head & tail water locations.
This kind of plant generates energy for peak load, & at off peak period water is pumped back for future use. During
off peak periods excess power available from some other plants in the system is used in pumping back water from
the lower reservoir.

Various arrangements are possible for higher and lower reservoirs:

i) Both reservoirs in a single river
ii) Two reservoirs on two separate rivers close to each other and flowing at different elevations
iii) Higher reservoir an artificially constructed pool and the lower reservoir on natural river
iv) The lower reservoir in a natural lake while the higher is artificial

Another way of classifying is as pure pumped storage scheme and mixed plant scheme (total
generation>pumping and higher reservoir on a natural system).

The most important basis of pumped storage plant is the relative arrangements of turbines and pumps
- four units -pump, motor, generator, turbine
- three units- pump, generator, turbine
- two units-generator, turbine>reversible pump-turbine installation

4 3 Storage and Pondage



Storage is provide to balance seasonal fluctuation by building reservoir dams. Pondage is provided through
balancing reservoir or forebay for short term fluctuations (daily or hourly)
1.- Reservoir (storage) capacity

Reservoir capacity is determined by means of mass curve procedure of computing the necessary capacity
corresponding to a given inflow and demand pattern. Reservoir capacity has to be adjusted to account for the dead
storage, evaporation losses and carry over storage.
Storage (1)

Dam (2)

Appurtenant Structure: Intake and Spillage Structures:

Spillage Structure: Spillway (5)

Intake: Service Intake (3) and Bottom Outlet (4)

Surveillance Structure (in Dam, in Foundation as well as Valley Sides)

Diversion (6)

Service Road (7)

Figure 4.6 : Reservoir Components

Dead storage

This is a storage capacity of the reservoir provided to accommodate the deposition of silt in the reservoir. It is
expected that the dead storage space will eventually fill up with sediment at which time one says the dam has served
its full purpose.The life of a reservoir is dependent on the silting capacity of the reservoir. Provisions for flushing out
silt through deep seated bottom outlets/sluices is made in most dams. However this has a limited effectiveness.

Evaporation Loss



Provision should be made for evaporation since it is an important loss item actual evaporation rate depends upon
location & meteorological factors. In arid and semi-arid regions at least 2 to 2.5m of depth should be added as a rule
of thumb.

Carry over storage

Sometimes it may be required to carry over some of the live storage to the next year as a safety measure. This carry
over storage is determined by analyzing the storage requirement for a sequence of two or three consecutive dry

2) Pondage Capacity

Pondage is provided to cater for short term fluctuations.

- For run-of-river plants the pondage is provided by the main weir on its side.
- For diversion canal plants, the pondage is provided at the end of the canal in the form of forebay reservoir. Reasons
for short term fluctuations are:
i) Sudden increase or decrease in load on the turbine. The pondage would provide the extra water when needed and
retain excess water when not needed.
ii) The load and thus the water demand may be steady but the supply may undergo a change. Breaches in the supply
canal may lead to this.

Pondage capacity is determination for varying inflow is similar to storage capacity determination.

If hourly inflows for a typical day are known, one can calculate the average hourly requirement and determine the
total maximum cumulative departures from the average over a 24 hour period. This will then be the pondage needed
to equalize the daily flow fluctuations



5. Water Conveyance Structurer

5.1 Intakes and Head Race
5.1.1 Water Intake, Inlet Structures
The intake is a structure constructed at the entrance of a power canal or tunnel or pipe through which the flow is
diverted from the source such as a river or reservoir. It is an essential component of hydropower schemes and
provided as an integral part or in isolation from the diversion, weir or dam. 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. Types of Intakes

Intakes are conveniently classified in to the following types depending on the power plant type and its layout.
i) Run - of - river intakes
ii) Canal intakes
iii) Dam intakes
iv) Tower intakes
v) Shaft intakes
vi) Intakes of special type
i) Run - of - river intakes
The component parts are
 bell mouth entrance guarded by R.C or still grid forming the trash rack structure.
 Control gate situated immediately d/s of the bell mouth entry
 Upstream of the gate may be provided with stop-log groves for provision of access to the gate for repair.
 special de-silting arrangement may be provided in silty rivers.

ii) Canal Intakes

 water is admitted in to the diversion canal.
 silt excluders or silt-traps are usually essential components of such intakes.
 the inlet invert level of the intake is raised to form a sill so as to prevent entry of rolling bed load.
 A skimmer wall ( a diaphragm which extends below the water surface) abstracts the floating material from
interring in to the canal.
 Trash racks are also fitted at the entrance.
 Vertical lift gate with motorized operation are used to control the flow.



Figure 5.1: Example of canal intake layout

Basic principles governing selection of diversion site from streams:

1. Intakes from streams should be located, wherever possible on the concave side of the bend.
Figure 5.2: Spiral flow in river 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

Typical layouts Figure 5.3: In a bend






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

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 Trash racks and Skimmers

Debris carried in the incoming water can have adverse impacts on a hydropower scheme in that:



 It can obstruct flow along the conveyance structures, interrupting power generation or causing the water
to overflow and possibly undermine the structures.
 It can cause rapid deterioration of the penstock or turbine or cause a catastrophic failure, such as rupture
of the penstock through a sudden blockage of flow through the nozzle (in the case of impulse turbines)
or fracture of the runner blades (in the case of reaction turbines).

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

i) Trash Racks:
A trash rack intercepts the entire flow and removes any large debris, whether it is floating, suspended, or swept
along the bottom. Frequently, it is located in the intake structure to prevent debris from entering the water
conveyance system. It can also be placed just before the inlet to the penstock to remove smaller debris as well as
other trashes which may have entered the water conveyance system downstream of the intake.

A trash rack is made up of one or more panels, each generally fabricated of a series of evenly spaced parallel
metal bars. The bars are parallel and evenly spaced because a rake is commonly used to clear the debris off the
rack. In this case, it is essential that the teeth of the rake mesh into the parallel bars without binding so that the
rake can be pulled along the bars easily to scrape off accumulated debris.

Trash racks can be installed by sliding them into grooves in the concrete walls of the intake, canal, or forebay
structure. They should be removable and not permanently set in concrete.

Bars on a trash rack before the inlet to the penstock should be spaced no closer than is necessary to remove
debris which might be detrimental to the 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.

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. 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:

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.

Figure 5.8 Losses due to change of flow


b) The losses due to sudden contraction of the area at the inlet section is given by:
he  K                5.2

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:
he  0.3                5.3



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:
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:
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. 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.

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

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.




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

5.1.2 Settling Basins

The water drawn from a river for power generation may carry a suspended sediment particles. This silt load may
be composed of hard abrasive materials such as quartz and will cause damage or wear to the hydro-mechanical
elements like turbine runners, valves, and penstocks. To remove this material a structure called settling basin
should be constructed, where the velocity of the flow will be reduced resulting in settling out of the material,
which has to be periodically or continuously flushed out.

In order to satisfy the requirement for a good hydraulic performance the basin is divided into three main zones:
inlet zone, settling zone, and outlet zone.
Inlet Zone:
The main function of the inlet is to gradually decrease the turbulence and avoid all secondary currents in the
basin. This is achieved by decreasing the flow velocity through gradually increasing the flow cross-section, i.e.,
by providing gradual expansion of the width and depth (see figure 5.12).
To achieve optimum hydraulic efficiency and effective use of the settling zone, the inlet needs to distribute the
flow uniformly over the cross-section of the basin. To achieve uniform flow distribution, the following
techniques, in addition to the provision of gradual expansion, may be adopted at the inlet zone:
 Use of submerged weir
 Use of baffles
 Use of slotted walls




Flushing flume
Power canal

Flushing sluice

Inlet Settling zone Outlet

zone zone

Power canal
Flushing flume

Section A-A


Collection tank
Figure 5.12: Settling basin Flushing flume
a) For continuous flushing b) For intermittent flushing
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

% Sieve passing

60 60% removal ratio


20 dl

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

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:
R  100 %  5.10
In the above example (Fig.5.13), the removal ratio is 60%

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



Figure 5.14. Settling velocity in stagnant water plotted against the density of silty water and the particle
diameter (After L.Sudry)

The so-called horizontal-flow settling system is usually applied at power developments. For this system the
dimensions of the settling basin may in principle be determined by two computational methods depending
on whether to neglect or to take into account the turbulence effect.

Design neglecting the effect of turbulence (simple settling theory):

Here, the effect of turbulent flow upon settling velocity is neglected. Three basic relations may be written for the
determination of the required basin dimension.

Denoting the depth of the basin by D and its width by W, the discharge passing through the basin is:

Q  W DV                 5.11
Where, V is the flow-through velocity.

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

 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 waterpower projects is generally between 1.5 and 4 m with flow-through velocities not
higher than 0.5 m/s. Hence W and L can be computed.
From Q=DWV  V=Q/WD
And from L=V*t  V=L/t

Therefore Q/WD = L/t  Q*t = WDL

Water conveyed to tank = Volume of tank

Design considering the effect of turbulence:

Owing to the retarding effect of turbulent flow on subsiding particles, settling is slower in flowing water. A more
accurate investigation of the basin is thus by considering the retarding effect of turbulence into consideration.

By using a lower settling velocity     , equation (5.14) obviously yields greater values for the length of the
basin. The reduction in the settling velocity   is related to the flow-through velocity by:



    V (m / s )  5.16
The coefficient  may be computed from:
  ( 5.17)
Accordingly, the second row of equation (5.14) can be modified for the settling length as:

D 3 / 2V
 1/ 2 (m)  5.18
   V D   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)

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.



5.1.3 Head Race

Head race may be a power canal, a pressure tunnel, or a pipe, which in most cases conveying water from intake
structure to surge tank, forebay or pressure shaft, depending on the arrangement of the scheme. 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
 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

To reduce resistance to flow and possible seepage, the masonry surface shall be plastered.
 In addition to the commonly used lining materials discussed above, other materials such as
bituminous mixtures, soil-cement, wood, clay, chemical sealant, shotcrete, and impermeable
membranes are also sometimes used to line power canals

 In special circumstances where the canal alignment is through a terrain having seasonally high water
table or where the soils are not freely draining, under-drainage should be provided in order to protect
the lining from damage due to uplift pressures.

 Due to temperature variations and shrinkage, cracks may be developed in canal linings and may result
in appreciable leakage from the canal. In order to minimize these effects, it is necessary to provide
contraction joints in the lining at suitable intervals (usually 3 to 8 m).



Canal Design

Canal design involves determination of the following:

- Carrying capacity, velocity of water in the canal & roughness coefficient of the canal surface
- Canal slopes
- Cross-sectional profile of the canal
i) Carrying Capacity and Velocity
For the hydraulic design, the discharge is computed from continuity equation as Q=V.A. The mean velocity, V,
is determined from any of the continuity equations. The roughness coefficient is specified from the bed material

A Chezy's equation
V  C RS
Several equations are available to determine the value of C.
i) Bazin's formula C Where m is roughness factor
ii) Maning's Formula C  R1 / 6 Where n is Maning's roughness coefficient
1 2 / 3 1/ 2
The Chezy-Maning equation VR S  MR 2 / 3 S 1 / 2 Use Tables for M & 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
Some designers prefer this formula for V and given by: V  CR 0.7 S 0.5 , C

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



Table 5.1 provides permissible velocity ranges.

Maximum velocity Minimum velocity

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:
G0  700
0 
Where G0 =Silt load carrying capacity of canal in Kg/m3
V= mean velocity (m/s)
0 =  if >2 mm/sec
= 2 if 2 mm/sec
 = settling velocity in silt water (mm/sec)



R = hydraulic radius
S = bed slope
900 RS
For approximate values: G0 
 0  1.25

Find the actual G (sediment load ) and compare it with G0. If G > G0 there will be deposition. If G < G0, there
will be no deposition. The formulae are valid for:
1) Canal free from aquatic growth
2) Q is between 0.2 and 150 m3/s
3) V > 0.3 m/s
4) < 10 mm/sec

1) According to M.M. Grishing, approximate Vmin is given by: Vmin  AQ 0.2

Where A is coefficient, which is f () and Q is design discharge.
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
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 canals Rock muck from careful blasting 0.045
Very coarse rock muck 0.060
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

iv) Cross-sectional Profile

The material in which the canal is constructed generally dictates its cross-sectional profile. The common cross-
sections used for canals are described in the following paragraphs.

A semi-circular cross-section is the most efficient profile because, for a given canal slope and cross-sectional
area, it conveys the maximum flow. However, this form is impractical to excavate. It is therefore used primarily
with materials which lend themselves to this shape. Examples are prefabricated concrete, sheet metal, and wood-
stave sections.

A trapezoidal cross-section is the most widely used profile for both lined and unlined canals excavated in earth.
If the canal is unlined, the maximum side slope is set by that slope at which the material will permanently stand
under water. The magnitude of the side slope of a lined trapezoidal canal depends on the nature of the material
on which the lining will rest, but usually steeper than unlined canals. In general, it should be nearly equal to the
angle of repose of the natural soil so that no earth pressure is exerted on the back of the lining. The banks of a
lined canal resting on almost any free-draining material requires slopes not steeper than 1:1.

For a trapezoidal canal with a given side slope, the most efficient cross-section is one in which a semi-circle can
be inscribed in the wetted area. For this section, it can be shown that the length of either sloping side of the
wetted area is half its top width.
Canal material Side slope (V:H)
Firm rock 1:1/4
Fissured and disintegrated rock 1:1/2
Clay 1:3/4
Clayey loam 1:1
Loam 1:3/2
Sandy loam 1:2
Sand 1:3
Lining 1:1
Table 5.4 Suggested side slopes for trapezoidal canals

A rectangular cross-section is often most appropriate when excavation is undertaken in firm rock. It is also
commonly used when the canal incorporates properly constructed masonry walls. Use of a rectangular canal
reduces the excavation required. For the most efficient rectangular cross-section, the width of the canal is twice
the depth of the wetted area and, like a trapezoidal section, is a section in which a semi-circle can be inscribed.

Freeboard Allowance:
Freeboard is provided above the design water level for safety purposes. For earth canal the lower limit is 35 cm
and the upper limit is 140 cm. Generally the free board = [0.35+1/4h] m. Where h is depth of flow. Allowances
should be made for bank settlements. For lined canals, the top of the lining is not usually extended for the full
height of the free board. Usually it is extended to 15cm to 70cm above the design water level.



Water Loss in Power Canals

Water losses are due to
a) seepage
b) evaporation
c) leakage at gates
Generally b) and c) are generally of minor importance. Seepage losses from earth canal may be described
according to the following procedures:

1) Davis and Wilson

q P 3
h (q in m³/sec-km)
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



3) A.N. Kostyakov (USSR): q Q q in m³/sec-km
Values of C
a) for soils of high permeability, C  %
Q 0.5
b) for soils of moderate permeability, C  %
Q 0.4
c) for soils of low permeability, C  %
Q 0.3

1. Design a settling basin for high-head power station using the simple settling theory. The basin should
serve to remove particles greater than 0.5mm diameter from the water in which the sediment is mainly
sand. Let the design discharge be 5m³/s and assume an initial value of 3.2m for the basin depth. Take the
water sediment mixture density to be =1.064
2. A power canal with a slope of 0.0001044 and R=1.76 m is unlined with coarse sand bed material.
Determine the safe velocity in the canal if the heaviest bed load in the original canal of the course is
G=0.34kg/m³. The water carries silt with an average diameter of 0.08 mm. Assume d m=2.00 mm as size
of bed material and h=2.5m.
3. Determine the seepage loss from a power canal constructed in a sandy soil of medium fineness by the
Davis and Wilson, Etchevery and Kostyakov methods discussed. The following data are given:

Trapezoidal canal: bottom width, b= 10.0 m

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

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. Classification of Tunnels

In addition to the above classification tunnels may be classified on the basis of shape, alignment and design

Shape: Tunnels are either circular or non-circular in shape.

Circular tunnels: are most suitable structurally. They are more stable when the internal pressure is very high.
Non-circular tunnels: have a flat floor, nearly vertical or gently flaring walls and an arching roofs. The horse-
shoe shape is the most popular and convenient from the point of view of construction.

Commonly adopted shapes:

a) Circular shape b) Horseshoe shape C) D-

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

Lining: Lining is a protective layer of concrete, R.C. or steel on the inner surface of the tunnel and it is an
important aspect in classification of tunnels. Thus tunnels may be lined, unlined or partially lined. Tunnels in
good, sound rock may left unlined.

Lining of tunnels is required:

i) For structural reasons to resist external forces particularly when the tunnel is empty and when the strata
is of very low strength.
ii) When the internal pressure is high, i.e. above 100m
iii) When reduction in frictional resistance and therefore the head loss is required for increasing capacity
iv) For prevention or reduction of seepage losses
v) For protection of rock against aggressive water

Pressure tunnels: are classified according to pressure head above the soffit of the tunnel. Accordingly:

- Low-pressure tunnels (H < 10 m)

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

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

Low Head Tunnels

 The trimmed rock surface may be sufficient by only sealing visible fissure with concrete or cement mortar or
granite layer
 Full lining my be warranted only if external rock load or aggresiviety or water head loss reduction justify it .

Medium head Tunnels

 A water tight lining concrete is almost always needed since seepage is more likely to occur under increasing
 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
 r hr
Using a factor of safety of , H  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
 To reduce construction costs, relatively high velocities (higher than in open channels) are permitted in
The following velocities are suggested:
Very rough rock surface-------------- 1 to 2,0 m/s
Trimmed rock surface -------------- 1.5 to 3.0 m/s
Concrete surface----------------------- 2 to 4.0 m/s
Steel lining------------------------------ 2.5 t0 7 m/s

The permissible velocity depends upon the sediment load carried by the water. The maximum values in the
above recommendation apply when the sediment is of the silt fraction. For water carrying sharp edged sand in
significant quantity, Vmax = 2 to 2.5 m/s even in lined section.
 Size of tunnels cannot be reduced arbitrarily. Requirements of pass ability limit the maximum size.
Minimum size of Tunnel: Circular, 1.8 m
Rectangular, 2m x 1.6m. 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.

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

Longitudinal Slope:
The minimum slope for a pressure tunnel is limited on the basis of dewatering requirements. And also the
longitudinal profile of the tunnel should be such that the roof remains below the hydraulic pressure line by 1 to 2
m. Likewise, the tunneling method and the equipment employed for transportation of the excavated material (rail
or wheel transport) can limit the maximum slope possible to provide. The usual practice is to keep the slope of
power tunnel gentle till the surge tank and then steeper (even vertical) for the pressure shaft.

Flow Velocity:
The allowable velocities in tunnels depend upon whether it is lined or unlined. In unlined tunnels, a velocity of 2
to 2.5 m/s is the upper limit, while in concrete lined tunnels 4 to 5 m/s is often employed. The velocities for the
pressure shafts, which are generally steel lined, are usually higher than that in the power tunnel. The normal
range of velocities is between 5 to 8 m/s.

Rock Cover (overburden):

For pressure tunnels, it is obvious that the overburden on the roof of the tunnel serves to balance the effect of
upward force due to internal pressure. The required depth of overburden may vary for lined and unlined tunnels.

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



 r L cos    whw


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 4/3
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

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

Economic Construction
loss cost




Figure 5.17 Optimum tunnel cross-section

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

For concrete-lined tunnels: D  0.62 Q 0.48

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

 
Figure 5.18: Tunnel Section

Then for equilibrium 2   1 P D1

or preferably 2  pD  

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

2 a

For R.C. lining

i) 2 ast Ast  P.D  Ast 
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
 10 kg / cm 2 Where  = thickness of concrete lining in cm.

II Lining designed assuming load sharing between rock & lining



This is a more realistic approach. Referring to the following schematic sketch

b 2



Figure 5.19: Schematic sketch of lining and displacement
 st = Radial displacement of steel

If P1 = Load transferred to the rock, then P – P1 = load carried by the steel lining
Tangential stress in an annular steel lining of radius r and thickness  under load (P – P1) will be:
 st 
P  P1 D D is internal diameter
Unit radial strain = 2  st   st  E st 
 st
2r r st
st P  P1 D P  P1  r 2
 st  E st   st 
r 2 E st 
The radially fissured annular concrete layer is subjected to an internal pressure P2
P2 = P1
Theoretical investigations & experiments show that
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
= , where  = Poisson ratio of the rock




  1  b  2  r  st    b  c
1  2  r  c  st
1  m 1  P1  r2   p  p1  r 2
1  2    r1 p1  r1 l n      .
Er  m  Ec  1   st  
r E
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     2 
1  st  1 
P r r  Checking purposes
E st   r2  E st   m  1 
1 ln     
E c r  r1  E r r  m 
This equation is useful for checking purposes for a given . For designing by trial & error,  is assumed &  is

Load carried by steel P-P1 = P – P = ( 1-)P

Compute  st  1 PD must be  sta
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
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
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) Tunneling Methods

There are two commonly used types of tunneling techniques:

 Conventional “Drill and Blast”
 Use of tunnel boring machines (TBM)

Conventional “Drill and Blast” Method:

In this method of tunneling is used, the main equipment used is the so-called drilling jumbo or drilling rig,
which performs the main operation. The following are the main sequences to be followed during excavation of
each round:
i) Drilling ii) Charging
iii) Blasting iv) Ventilating
vi) Scaling vi) Mucking and hauling
vii) Tunnel supporting

Drilling is carried out by the percussion method. The principle is to force a drill rod with a suitable drill bit
against the tunnel face, generate a stroke in order to obtain rock spalling, then rotate the rod before it is once
again forced against the hole and a new stroke is generated. The power for the drilling thrust and rotation is
transmitted by hydraulic systems.

In tunneling, blast hole diameters of 45 to 50 mm are most common. Medium size tunnels (about 40 m2) may
require about 60 to 70 drill holes. The length of the drill holes usually varies from 3 to 5 m.

Once the drilling operation is completed, charging of the drill holes with explosives will be performed. There
are different types of explosives, the most common one being dynamite.

If the holes close to the planned contour of the tunnel are too heavily loaded with explosives, a considerable
“over-break” and a rough, uneven contour may result. This over-break greatly increases the need for scaling and
tunnel support. If the tunnel is unlined, it will also greatly increase the head loss. In order to minimize the over-
break in the walls and roof of the tunnel, reduced charges are used close to the contour.

In rock blasting the main principle is to break the rock and push the rock fragments towards a free surface. In a
tunnel the degree of confinement of the blast volume is far higher than in a quarry. In order to obtain a
satisfactory result from a tunnel blast it is, therefore, necessary to include the so-called “cut” in the blast hole
design. These consist of holes of larger diameter than the blast holes and are usually left unloaded.

After blasting the round, ventilation has to be carried out to lower the concentration of blasting fumes to a
satisfactory level. The fans are usually started just after the explosion. It is very seldom possible to enter the
working face area until 15 minutes after the blast, but this depends on the ventilation capacity.



After each blast round, scaling (removing loose rocks from the roof and walls of the tunnel) is done for the sake
of safety. For small tunnels the scaling is made directly from the muck pile, in larger it is often carried out from
the wheel loader.

The selection of equipment for mucking and hauling largely depend on the cross-sectional area and the gradient
of the tunnel. For tunnels with cross-sections smaller than 16 m2, the only alternative for transportation is rail
transport system. In larger tunnels, wheel transport system shall be used. For wheel transport in cross-sections
between 16 and 30 m2 “niches” are required every 100 to 150 m for the purposes of loading and turning trucks.

A major restriction for the rail transport alternative is that the maximum gradient has to be less than 2%. For
wheel transport gradients up to 15% may be tolerated.

Use of Tunnel Boring Machines (TBM):

A tunnel boring machine (TBM) is a complex and very advanced piece of machinery designed to excavate the
entire cross-section in a single operation without the use of explosives. Tunnels with diameters of about 1.8 m to
more than 11 m have been excavated with tunnel boring machines.

TBM consists of a wheel cutter head fitted with teeth or rollers to cut or spall the rock. The wheel is slightly
smaller than the bore of the tunnel and is equipped with disc-cutters to produce the designed bore. The wheel is
forced against the tunnel face by hydraulic jacks and is made to rotate. As excavation proceeds, the rock-cuttings
are picked up in buckets attached around the rim of the wheel and are discharged on to a conveyor belt
incorporated with the machine as shown in Figure 5.20.

The diameter of the cutters is normally within the range of 45 to 50 cm, and the total number of cutters varies
from 20 for smallest machines to more than 70 for the largest.

Figure 5.20: Typical sketch for TBM tunneling

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

 For long tunnels (> 3 km) the excavation time and the costs in many cases are considerably lower due to a
higher advance rate combined with reduced requirement for tunnel support and ventilation.



 The tunnel will have a circular profile with a smooth contour, which is of particular importance in reducing
head loss in unlined water tunnels.
 Potential problems due to blast vibrations are eliminated, especially in populated areas.
 Less number of “adits” is required.

There are, however, some limitations in connection with the use of TBM in tunneling. These include:
 Initial cost of the machine is high
 Requires detail geological investigation than the D & B alternative
 Less flexible than Conventional D & B technique in tackling stability problems.
Tunnel Supports
A basic philosophy in tunneling is that the extent of installed tunnel support should reflect the actual rock
conditions. In good quality rock the self-supporting capacity of the rock mass should be used to its advantage,
and the amount of tunnel support kept at a minimum. In poor quality rock the design of support should be based
on a sound understanding of the character and extent of the stability problem.

The various geological factors which may influence the stability are:

 The degree of jointing and their character

 Weakness zones and faults
 Rock stresses
 Groundwater inflow

Tunnel support may be installed either at the working face (immediate support), or behind the face (permanent
support). Whenever possible the design for the immediate support should be chosen which makes it possible to
act later as permanent support.

The following support methods are the most commonly used in hydropower tunneling today:
 Rock bolting
 Shotcreting
 Grouting
 Concrete lining
Rock Bolting:

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

Figure 5.21: Principle of rock bolting



Rock bolting in tunnels is carried out according to one of the following two main principles:
 Spot bolting of individual, unstable blocks
 Systematic bolting of a section of the tunnel in a definite pattern

On average, the length of rock bolts in water tunnels is 1.5 to 4 m and the diameter is 16 to 25 mm. Rock bolting
is usually used for an immediate support near the tunnel face.

A shotcrete is a quick-setting concrete plaster shot at rock surfaces pneumatically. It creates the best possible
rock support condition, which makes it an economical, rapid, and effective means of providing tunnel support. In
practice the shotcrete is placed in 5 cm layers until a desired thickness is attained.

The use of steel fibres in the concrete mix has an effect of increasing the strength of the shotcrete. For an
immediate support in areas of heavily jointed rock masses or in areas of high rock stresses, steel fibre reinforced
shotcrete is commonly used.

Figure 5.22: Principle of shotcreting

In many cases, the shotcrete is combined with rock bolting for use as a permanent support. A combination of
steel fibre reinforced shotcreting and systematic rock bolting can replace concrete lining alternative, provided
that water inflow and active gouge material in the discontinuities are minimal or absent.

A general restriction in the use of shotcrete is in areas with water leakage. The main restriction, however, is
where weakness zones contain swelling clay (smectite). If shotcrete is applied on such zones, there will be no
room for expansion of the swelling clay, and high swelling pressure will be activated when the zones are
exposed to water. This may easily destroy the shotcrete lining.

A grout is a mixture of cement and water forced in to rocks around the tunnel periphery. Grouting may be
performed ahead of the tunneling face (pre-grouting) or behind the tunneling face (post-grouting). Pre-grouting



is necessary in areas where groundwater inflow makes tunnel driving difficult (see Figure 5.23). Probe holes are
drilled ahead of the tunnel face to perform permeability testing before deciding the necessity of pre-grouting.
Post-grouting is done to improve the stability of the rock mass behind the tunnel face.

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

5.2 Water Hammer, Surge Tanks and Forebays

5.2.1 Water Hammer

A sudden change of flow rate in a large pipe line (due to value closure ) may involve a great mass of water
moving with in the pipe walls. The force resulting from changing the speed of the water mass causes a pressure
rise in the pipe with a magnitude several times greater than the normal static pressure in the pipe. This
phenomenon is commonly known as water Hammer because of the noise & vibration with which it is sometimes
accompanied. The excessive pressure only fracture the pipe water unless it is properly analyzed & accounted for
in the design of the pipe line.

The determination of Water Hammer pressure is amenable to mathematical analysis. Practical problems may,
however, be of considerable complexity owing to the many variables involved. Here, we will consider only
elementary class. In this regard the simplest procedure is to regard the water as incompressible & the pipe as
rigid (The so-called rigid Water-Column theory).

The assumption is obviously not very realistic but can lead to reasonable estimations in the certain cases. The
more realistic situation is the one that takes the elasticity of the water & the pipe in to account (The Elastic
Water Column Theory ) Rigid Water Column Theory

Assumptions: 1. Pipe is rigid

2. fluid is rigi
Considering a pipe line of uniform cross sectional area A, length L, connected to a reservoir (or surge tank).




Hs=static head


Figure 5.24: Schematic diagram of water hammer pressure in pipe

The pressure increase swings the normal HGL from CD to EF. Since the pressure the reservoir surface is
atmospheric & hence constant the positive swing results in back flow from the pipe to reservoir. As the water
flows back in to the reservoir it crates partial vacuum condition in the pipe & the pressure in the pipe swings in
the negative direction. Thus, induces the reservoir water to flow back in to the pipe . But the value being
partially closed, much of the water is again retarded giving rise to positive swing of pressure again. Thus, a valve
closure brings about pressure oscillations. The maximum additional water hammer pressure head hw can be
determined from 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
L v
= Hs 
g t
Considering friction and local loss, the total head becomes
 L  v
L v
 Hs   k 
 D  2 g g t

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

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

L  0  v0  L v0
hw     
g  c 
t 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
2l 2L
The above is sufficient for estimating pressure rise for rapid value closure i.e. when t c  , when tc 
c c
the reflected negative pressure reduces the pressure rise at the value. In such cases one can use
p 2L 1
 .
 p max c tc 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 .
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 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 General

The surge tank, also called the expansion chamber, is a structure which forms an essential part of the pressure
conduit conveyance system whenever such system is long. Surge tanks may be considered essentially as a
forebay close to a machine. Their primary purpose is protection of long pressure tunnel in medium and high –
head plants against high water hammer pressure arising from sudden rejection or acceptance of load, The surge
thank converts these high frequency, high pressure transients (water hammer) in to low frequency low pressure,
mass oscillation.

It is located between the almost horizontal or slightly inclined pressure conduit and the steeply sloping
penstock/pressure shaft. It is designed either as a chamber excavated in the mountain or as a tower raising high
above the surrounding terrain (see Figure 5.24).



Figure 5.24: Typical Arrangements of Surge Tanks 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. Types of Surge Tanks

Surge tanks may be classified according to :

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
- 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:
 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 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 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
- 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



Z1 down

Pressure tunnel

Figure 5-28: Surge Tank Height

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

Surge Tank +z Closure

Max upsurge level
At, Qo Zo As T

Penstock or
Q1 Pressure

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)

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
i.e.  L V   z 

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. Undamped Oscillation

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
 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 g At
 r 2Z  0 where r .
dt 2 L As
2 t 2t
Z  C1 cos  C 2 Sin where T is period of oscillation
T = 2/r = 2 .
g At



For frictionless tunnel Z = 0 @ t = 0

t = T/4 , Z=Zmzx, dz  0.
Thus, Z  C 2 sin 2t
dz 2 2t and
 C2 cos dz A
 V T
dt T T dt AS
Hence, V = A s C 2 2 cos 2t

When t = 0, V = Vo and Vo = As C 2 2
L AT .
Substituting for T, C 2  VO
g AS
L AT 2t
Z  VO sin
g AS T

The maximum amplitude , Zmax, is obtained from Z mzx  V0
g AS
At any time, t
Z  Z max sin
V  VO cos
T 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
Continuity equation: Vm AT  As ,m  Qm                2
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
 Z 
and from (1) calculate Zm   Zi  
 2 
hence Z is calculated, noting that Vs = Z
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.


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).

t  A V 
From (2) Z  Vi AT  T  Qm           3
AS ,m  2 

Where Vm  Vi  V
Also (1) becomes.
L V t  V 
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   Q m  Qm )  0

As1  4   2 


FR  L AT  F A Q 
    t   FR Vi  S T2 m   V  Z i
 
4  gt 4 As , m  As   A 

FR   FS  T   FT 
 
AT Q  F    S

 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 

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:


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

Qo gAt
Z max  r

The first down surge

Z 2  
 7 
1  K 0 
 3 
For a sudden 100% load demand, maximum down surge

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
oscillation  .



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

According to Thoma, the limiting x-sectional all for small oscillation is given by:
ASc 
V02 At Lt
2 g Po H 0
m 
2 where Po = hf =Zo

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

Assuming   1 m 1 n Maning's n
m2 R 4 3
R – tunnel hydraulic radius
AS  ( 1.5 to 1.8) ASC (stable tank)
2 43 2 3
m R At m D
ASC  
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 General

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



Figure 5.31 General Arrangement of a Forebay. 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. 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.


HYDROPOWER ENGINEERING MODULE 2017 Design Guidelines for a forebay

The location of the forebay is primarily governed by topographic conditions, yet of course, the geology of the
site should also be considered. The site of both the forebay and the powerhouse should be selected
simultaneously with a view to ensuring the shortest possible penstocks/pressure shafts. The entire basin of the
forebay may be either excavated in rock or constructed above the terrain, enclosed by embankments and
retaining walls.

The size of a forebay vary depending on the sediment content of the water conveyed in the power canal and
whether it is to serve for storage. To be most cost-effective, the forebay must be of a size adequate to fulfill its
function, neither significantly larger nor smaller. It is not advisable to design the forebay as a settling basin if the
suspended sediment is fine to cause no damage to the turbines.

A gradual transition section should be provided between the power canal and the forebay basin. In the case of
wide forebays, baffle piers are usually constructed at the basin inlet in order to ensure even distribution of flow
to the basin.

The bottom of the forebay basin should be provided with a proper slope to enable periodical flushing of the silt

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.




5.3.1 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

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 better 1- Difficulty in inspection

structural storability.
2. Pipe is protected from high temperature fluctuations 2- Possibility of sliding on step slopes
3. Conservation of natural land escape 3- Difficulty in maintenance
4. Protection from slides , storms & sabotage. 4- Expensive for loge diameter in rocky soils.

Exposed penstocks: supported on piers or saddles.

Advantages Disadvantages
1- Ease in inspection of defects & maintenance 1- Direct exposure to weather effect
2- Economy in rocky terrain & large diameters. 2- Development of longitudinal stress due to support and
anchorage, thus requiring expansion joints
3- Stability is insured with proper anchorage
When the situation warrants, partly buried system, may be adopted which combines the advantages of both

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
Q D 2 Q0
Therefore: A 0   D  1.128
v0 4 v0
Head losses
i) Frictional head loss => h f   L v
D 2g
ii) other local losses h f c  k where k = local loss coefficient
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
Economic Construction
loss cost

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)

H 0.65
P - hp transmitted by the pipe
H – net head e the end of the penstock is m.
v  0.125 2 gH v – Optimum velocity

3) Donald’s formula
D  0.176  
4) Fahlbusch (2982)
D  0.52 H 0.17 P  H 0.43

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
For all other closure t c  2 L , the max pressure rise at the valve
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
 
The design pressure, p=H




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

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
D   a  0.07 H 
t  1)   (1 to 3)mm
2   a  0.13H 

The ASME gives the formula for thickness as t  pr
 0.15
 a  0.6 P
Where t in cm
p pressure in kg/cm2
r internal radius in cm
a design stress in kg/cm2
 joint efficiency factor
0.15cm is allowance for corrosion

In case where the negative water column gradient falls below the penstock center line, there is danger of collapse
of the penstock due to external atmospheric pressure. The external pressure pe likely to result in collapse may be
computed from the formula by Mayer
3EI 24 EI
pe   kg / cm 2
r3 D3
I =moment of inertia of x-section of the pipe ring t m3
E =modulus of elasticity of steel
Introducing a S.F. , Pe  1 2 t  n=2 for burried pipes; n=4 for exposed pipes
 
  D
 Pe
t  D3

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 diameter of the pipe is the
same as the external diameter of the pipe. The plain end of each pipe can thus be pushed into the collar or
„socket‟ in the next as shown in Figure 5.35.

A good seal is required between each pipe section, and this is

achieved by either providing a rubber seal or special glue
called solvent cement, depending up on the material of which
the pipes are made.
Figure 5.35 Spigot & socket joints

Spigot and socket joints are generally used to join ductile iron, PVC, concrete, and asbestos cement pipes.

Mechanical Joints:
Mechanical joints are rarely used on penstocks because of their cost. One important application of it is for
joining pipes of different material or where a slight deflection in the penstock is required that does not warrant
installing a bend.



Figure 5.36 Mechanical joints

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

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

5.3.7 Penstock Supports and Anchors

Slide blocks, anchors, and thrust blocks all serve the same basic function – to constrain movement of the
penstock. Different terms are used with these structures simply to indicate which specific function they serve,
and this is discussed in the following paragraphs, see Figure 5.32 for the sketches.

Slide Blocks:
A slide block, also called supporting pier, carries the weight of pipe and water, and restrains the pipe from
upward and sideway movements, but allows it to move longitudinally. In most cases the spacing between slide
blocks are assumed equal to the length of each pipe.

If the penstock is buried, slide blocks are unnecessary, rather instead the pipe is laid in a trench on a bed of sand
or gravel of consistent quality, with no big stones which could cut into the pipe or cause stress concentrations on
the pipe wall.

Forces that act on slide blocks include:

Weight of the pipe and enclosed water. As slide blocks do not resist longitudinal forces, only the component of
the weight perpendicular to the pipe will be considered.
Friction forces on the blocks. This is due to the longitudinal movement of the pipe over the blocks caused by
thermal expansion and contraction.



Weight of the block itself.

Figure 5.37 Forces on a slide block

Anchor Blocks:
An anchor block consists of a mass of reinforced concrete keyed to the penstock so that the penstock cannot
move in any way relative to the block. It is designed to withstand any load the penstock may exert on it.

Anchors are often used at bends (horizontal and vertical) and before entrance to the powerhouse (see Figure
5.32). They can also be used along long straight sections of penstock, each one next to expansion joint.

Because an anchor is keyed to the penstock pipe and is also frequently located at a bend in the pipe, more forces
act on an anchor than on a slide block. The major forces which act on anchor blocks are the following:

 Weight of the pipe and enclosed water

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

Thrust Blocks:

These are a special form of anchor whose sole

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



Figure 5.38 Thrust block

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

The structure should be safe against sliding. For sliding not to occur:

 H   V

Where, H and V, respectively, are the sum of all horizontal and vertical forces, and  is the coefficient of
friction between the structure and the ground often assumed as 0.5.

The structure should be safe against overturning. For this condition to be fulfilled, the resultant force should act
within the middle third of the base. In other words,
e 
Where, e is eccentricity of loading and Lbase is length of the structure base.

The pressure transmitted to the foundation must be within the safe bearing capacity of the foundation material.
This can be expressed as:
Maximum pressure  V  6 e  Bearing capacity of 
  1     
by the structure  Abase  Lbase  the foundation soil 

5.3.8 Penstock Valves

Valves are usually installed at two places in a penstock. One valve is provided at the upstream end of the
penstock, i.e., at the forebay or immediately after the surge tank, and is called penstock inlet valve, while the
second is provided at the downstream end of the conduit, immediately a head of the turbine, and is named as
turbine inlet valve. The upper valve is sometimes replaced by a gate.

The main purpose of penstock inlet valve is for dewatering of the penstock in case maintenance of the penstock
is required. But, it can be omitted for short penstocks where the closure of the power canal or power tunnel is
possible from the intake.

The main purpose of turbine inlet valve is to close the penstock while the turbine is inoperative. It can also act as
an emergency shut-off device. This valve cannot be omitted except under especial case where the penstock
supplies a single unit having installed the penstock inlet valve.



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.

Jet deflector

Jet separator


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)



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 )
Ns  N 5
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
Where f = frequency cycle/sec ( 50-60 Hz c/s)
p = number of poles  ( divisible by 4 for head up to 200 m )
( divisible by 2 for head above 200 m )



The speed of a turbine is an important parameter of design. The higher the speed, the smaller the diameter
of the turbine runner & the cheaper the generator coupled to the turbine. High speed, however, makes a
turbine more susceptible to cavitation.

The ratio of the peripheral speed , v, of the bucket or vanes at the nominal diameter, D, to the theoretical
velocity of water under the effective head, H, acting on the turbine is called the speed factor or peripheral
coefficient , .
v r
 
2 gH 2 gH

but  in rad/sec;   2N r=D/2


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

 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.

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 )



Ns  N 5
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
Where f = frequency cycle/sec ( 50-60 Hz c/s)
p = number of poles  ( divisible by 4 for head up to 200 m )
( divisible by 2 for head above 200 m )

The speed of a turbine is an important parameter of design. The higher the speed, the smaller the diameter
of the turbine runner & the cheaper the generator coupled to the turbine. High speed, however, makes a
turbine more susceptible to cavitation.

The ratio of the peripheral speed , v, of the bucket or vanes at the nominal diameter, D, to the theoretical
velocity of water under the effective head, H, acting on the turbine is called the speed factor or peripheral
coefficient , .
v r
 
2 gH 2 gH

but  in rad/sec;   2N r=D/2


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

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

6.4 Procedure in preliminary selection of Turbines

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

2. From f calculate N ( or assume ) & computer Ns. From this, the type of turbine can be
N  120


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)
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 7.1 Q for propeller, H in m

N s  100
1 1
3 H

Nominal diameter, D , of pelton wheel D  38
dj  0.542

(dj is diameter of the jet for =0.45 )

Jet ratio given by D , is important parameter in design of pelton wheels.

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

It is not uncommon to use a member of multiple jet wheels mounted on the same shaft so as to develop
the required power.

Hydraulic turbines (runner) is designed for optimum speed & maximum efficiency at design head. But in
reality, head and load conditions change during operation & it is extremely important to know the
performance of the unit at other heads. This is furnished by manufacturer‟s curve.

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



6.5 Runaway Speed

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

Type of runner Runaway speed 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



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 

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

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
 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
, the value of R defining the shape of the spiral case can be determined.
  r0
  

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
qi q area of cross-section at angle i
Ai   0.18 i
v0 H

6.7 Draft Tubes

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

Figure 6.7: Elbow-type draft tube

Figure 6.7: Straight conical draft tube

The straight conical draft tubes are the simplest in design and the most efficient type, but they are rarely
used in actual practice. This is because, for effective recovery of velocity head, the outlet section has to be
many times the inlet section of the draft tube. For smooth eddy-free flow (flow with no separation), the



angle of flare of the tube has to be limited to 4 to 8 degrees. Hence, a considerable long tube is necessary
to achieve the desired result. This increases the depth of excavation of the substructure, making it
uneconomical, and unsuitable from cavitation view point.

The elbow-type draft tube is often adopted, because of the following advantages it offers over the conical

 Minimizes the required depth of excavation

 Directs the flow in the direction of the tail-water flow
 Allows the provision of gate at the outlet of the tube which can facilitate the de-watering of the
turbine for repairs, if necessary.
However from constructional point of view, the elbow draft tube presents more problems. Further more,
the change of shape in the elbow naturally increases the turbulent losses in the draft tube.

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

Elbow type divided in to 3 – parts: vertical, bend, almost horizontal. Draft tubes of large Q & smell H are
mutually designed by model tests.
P1 v12 Pa v22
Between 1 & 3 in Figure 6.7, Ys      HL
 2g  2g
Therefore, P1  Pa  Y   v  v  H 
2 2
1 2

 
s  l 
 2g 2g 
 v2 v2 
H d   d  1  2 
 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.

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

N 
 c  0.0432 s  for Francis
 100 

 Ns 
 c  0.28  0.0024  for propeller
 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

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

5. From f calculate N ( or assume ) & computer Ns. From this, the type of turbine can be
N  120


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)
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 7.1 Q for propeller, H in m

N s  100 3 H
1 1

Nominal diameter, D , of pelton wheel D  38
dj  0.542

(dj is diameter of the jet for =0.45 )



Jet ratio given by m  D , is important parameter in design of pelton wheels.


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

It is not uncommon to use a member of multiple jet wheels mounted on the same shaft so as to develop
the required power.

Hydraulic turbines (runner) is designed for optimum speed & maximum efficiency at design head. But in
reality, head and load conditions change during operation & it is extremely important to know the
performance of the unit at other heads. This is furnished by manufacturer‟s curve.

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



7. POWER PLANT STATIONS: Conventional type of Power Stations

Generally three basic elements are necessary in order to generate power from water: a means
of creating head, a conduit to convey water, and a power plant. To provide these functions,
the following components are used: dam, reservoir, intake conduit or penstock, surge tank
power house, draft tube and tail race.
Main components:
Dam: to create the head necessary to move turbines and impound. Storage is used to
maintain the daily or seasonal flow variations.

Reservoir: Consists of the Water impoundment behind a dam.

Intake: directs water from reservoir in to the penstock Gates or valves are used to shut off
the flow of water to permit emergency unit shut down or turbine and penstock maintenance.
Racks or screens prevent trash and debris from entering the turbine units. Projects that are
required to use water at a selected temperature must have multi-level intakes in order to
control inlet water temperature by mixing waters obtained from different levels.

Penstock: conveys water from the intake structure to the power house and can take many
configurations, depending up on the projects layout. For multi-unit installations it is often
desirable to serve several Units with a single penstock, and manifolds or bifurcation
structures are provided to direct flow to individual units.

Surge tanks: Flow through a penstock can change rapidly during the operation of power
plants. As long as flow is steady and constant, pressure changes on the conveyance conduits
are minimal. However, pressure changes within the conduit become greater as the rate of
change of flow increases. This phenomenon is known as water hammer and is caused by a
change of momentum within the water column. When there is a rapid changes in flow water
hammer effects can become serious. Surge tanks are constructed on the conduit to reduce
momentum changes due to water hammer effects.
Surge tanks are often necessary in medium and high head hydropower projects, particularly
where there is a considerable distance between the water source and power plant. Surge tanks
or chambers can also be provided on the draft tube where discharge conduits are very long.




The power house shelters the turbines, generating Units, control and auxiliary equipments,
and sometimes erection and service areas. The power house location and size is determined
by site conditions and project layout. It could be located within the dam structure adjacent to
it or some distance away from the dam. The power house would be located to economically
maximize available head while observing site physical and environmental constraints.


There are four types of power house configurations (structure), three of which are classified
according to how the main generating unit, are housed: Indoor, Semi-out door, Outdoor and
Indoor: this type of structure encloses all of the power house components under one roof.
Semi-out door: this powerhouse has a fully enclosed generator room. The main hoisting and
transfer equipment is located on the roof of the plant and equipment is handled through
hatches located in the roof.
Outdoor: a generator room is not provided with this type of power house structure.
Generators are enclosed in a weather proof individual cubicles or enclosures and are recessed
in to the floor.
Underground: this type of powerhouse is often used in mountainous areas where there is
limited space available to locate a power plant. It is also used to minimize penstock length in
these areas since the penstock can be located directly below the reservoir. Pumped storage

powerhouses are often located underground in order to shorten the penstock and obtain deep
settings on the turbines.

The selection of powerhouse configuration and structure should be based upon both Fixed
Operation and Maintenance (O&M) costs. The lower capital cost associated with out door
and semi-out door power plants is often offset by increased equipment and Operation and
Maintenance costs. The final selection of powerhouse for any given site would be made after
a detailed cost study, usually performed in the feasibility design stage


The basic requirement of a power house is the functional utility and the aesthetic
requirements. Planning the power house should be harmonious with the surrounding.
A power house of a hydropower may be

i. Surface Over ground power house

ii. Under ground power house

A surface power house has no space limitation where as an Underground power house has



space limitation. The surface power houses need an architectural planning so that they fit in
with the general landscape. If a particular area is affected by landslides and if the underlying
geology is suitable, an underground powerhouse is the obvious choice. For low head power
plant and small scale developments surface power house is the economical choice

Design of the powerhouse is primarily a structural and architectural problem and the size of
the building is governed by the requirements to accommodate the generator, the spiral casing
and the outlet area of the draft tube.

For feasibility studies powerhouse layout dimensioning can be done using theoretical and
empirical relations of the power house components. For final design it so customary for the
turbine and generator manufactures to furnish dimensions for the interiors of the spiral
casing, draft tube, and generator assembly.

The following items of equipment are considered for planning and dimensioning of the
power house:
i. Hydraulic equipment:
i. Turbines
ii. Gate and gate valves
iii. Relief valves of penstocks
iv. Governors
v. Flow measuring equipment
ii. Electrical equipment:
i. Generator
ii. Excitors
iii. Transformers, pumps, cooling systems, connections, funs and plate forms
iv. Switching equipment:
a. Low tension buses
b. Switch board panels
c. Switch board equipment and instruments
d. Oil switching and
e. Reactors
a. High tension system:

a. Buses
b. Oil circuit breakers
c. Lightening arrestors
d. Out going connections
b. Auxiliaries:
a. Storage batteries
b. Station lighting
iii. Miscellaneous equipment:



i. Crane
ii. Work shops
iii. Office rooms
iv. Other facilities,( clinic, Store , etc)

The machine in the power house can be either vertical mounting or horizontal mounting. A
horizontal mounting machine requires more floor space but less height. A vertical mounting
machine requires less floor space but more height. For larger capacity installations, it is ideal
choice to have vertical mounting. In general power houses are oriented differently to
accommodate excavation and site preparation problems.





3.2.3 Components of a power house

A power house can consist three main components in general:
i. Sub- Structure
ii. Intermediate structure and
iii. Super structure
The substructure of a power house is the portion below the turbine level. The super structure
is the foundation of the power house which consists of steel and concrete structures necessary
to form the draft tube, support the turbine stay ring and generator. It also gives
accommodation for drainage facilities, tail water and access galleries to the substructure. The
substructures transmit the load to the foundation.
Horizontal setting has advantage compared to vertical setting in the following aspects:
- Reduction in civil works because of less excavation
- Combination of sub and intermediate structures (only sub structure )
- A smaller height of power house, and
- Use of conical draft tu



The arrangement is also advantageous for easy inspection and accessibility during



Suitable turbines: Horizontal Francis turbine and impulse (diversion type plant)
Two types of layout s are generally used namely with horizontal Francis turbines:
i. A Unit axis parallel to the power house axis
ii. A Unit axis perpendicular to the power house axis

1. Valve
2. Governor
3. Turbine
4. Generator
5. Transformer
6. Control Panel and
switch board



1. Anchor Block
2. Switch board
3. Control Panel
4. Governor
5. Turbine
6. Man hole
7. Fly wheel
8. Generato

Figure 3.6: Unit axis perpendicular to the power house axis

The advantages of unit axis parallel to the power axis are:-
- A better approach to the turbine
- A smaller with to the power house
And its disadvantage:
- The larger space between units, which is unsuitable for the arrangement of
branching pipes in front of the power house
Main advantage of unit axis perpendicular to the power house axis is the smaller space
between units.
In either of the layouts, the control panel and/or switch board can be properly arranged in
different areas. The working bay can be eliminated or provided at one end of the power
house and the valve can be located in the power house or in front of the power house on the
basis of the actual conditions mentioned earlier. The cable ducts and other ducts can be
arranged under the power house floor with out any difficulty.
It should be noted that when the setting elevation is high or the suction head is large, the inlet
of the spiral case is arranged vertically down ward, and when the setting elevation is low or
the suction head is small the inlet of the spiral case is arranged horizontally.

1. Inlet of spiral case
2. Pipe bend
3. Penstock
4. Bend to draft tube



Generally speaking, horizontal Francis turbines are unsuitable for those cases in which the
tailrace level varies greatly during flooding. Generally, a high tailrace level can be prevented
by a water proof wall of a power house, or with a special wall or dyke behind the power
house. In this case a sump wall should be properly provided. THE DIMENSIONS OF POWER HOUSES

The dimensions in the plant are determined by the dimensions of the generating units or by
the dimensions of the spiral case particularly when the head is low.

The width of the working bay is generally equal to about one unit bay, if the unit is planned
to be major overhauled in the power house. If the unit is planned to be major overhauled
outside the power house there can be no working bay in the power house. The width of the
unit bay is so determined that the clearance between the two units or between the unit and the
wall, should be sufficient for the erection and disassembly of the unit, generally, about 2m.
The passageway, for the operators should be 1-1.5 m, and the clearance between the switch
board / control panel and other apparatus should be at least 2m, and that the switchboard and
the wall should be about 0.8m. For the side unit, its unit bay should have an additional width
(about 1m per Units).

The determination of the setting elevation of the turbine is very important for the Power
House design, taking in to consideration the minimum tailrace level and the suction head of
the turbine.

The height of the Power House is mainly determined by over head craning of the heaviest
part of the unit.

3.3.2Preliminary Dimensions Of Power House For Medium And Large Hydro (Reaction
Turbine Installation
1. Unit spacing in terms of discharge (for steel scroll case )

3 Unit spacing in m
Discharge in m /s
25 10
50 13
75 15
100 17
150 20
200 22
250 24



Discharge diameter of runner in Unit spacing in terms of discharge diameter (

m 1 m) 5.5
2 5.1
3 4.7
4 4.4
5 4.2
6 4.0
2. Unit spacing in terms of discharge diameter

Capacity of unit in Crane span in m for operating head in m

1000 KVA 25 50 100 150 200
10 16.2 12.5 10.7 - -
20 - 16.0 13.0 11.6 11.0
30 - 18.3 15.3 13.7 12.5
40 - - 17.1 15.3 14.0
50 - - 18.3 16.5 15.3
60 - - - 17.7 16.5
70 - - - - 18.3

Capacity of unit in Height to crane rail from generator floor in meter of operating head in m
1000 KVA 25 50 100 150 200
10 16.8 12.6 11.1
20 14.8 13.1 12.3 11.5
30 14.4 13.4 12.6
40 15.8 14.4 13.8
50 16.8 15.6 14.4
60 17.8 16.4 15.1
70 18.4 17.4 15.8
80 18.0 16.4

Width and height of the power house in also calculated based on the capacity of the unit and
crane span required.

3. Width of power house

4. Height of the power house



5. Other formulae
i. Unit spacing :
a. width if draft table + wall thickness
b. E + B + Wall thickness

ii. Width of power house:

F+ C+ 2 + 1.85 D3
D3 = discharge diameter

iii. Mosonyi‟s formula :

Unit spacing

⎛ Ns ⎞
⎝ 200 ⎠



Ns = specific speed BAY’S DIMENSION

The three essential bays in a power house complex are:-
i. Unit bay or machine hall
ii. Erection bay
iii. Control room

Machine hall:
Length: the length of the machine hall depends on the number of units and the size of
machine. For vertical alignment machine the centre to centre distance is controlled by the
size of the scroll casing layout. Standard layout indicates a distance of 4.50 to 5.0D, where D
is the turbine out let diameter. Added to this dimension is the minimum clearance of 2 to 3m.
So, the preliminary dimension between centre to centre of two units is 5.0D + 2.5m. For
higher specific speed it can be 4.0D + 2.5 or smaller. Knowing the number of machines, the
total length of the machine hall can be worked out. The additional bay for the erection
loading can be one unit length.

Width: the width of the machine hall is determined by the size and clearance spacing
between the walls – needed as gangway. Since the gangway requirement is of the order of
2.5m, as a first approximation the width of the power house can be presumed to be at least
equal to the centre to center distance of two machines. Unnecessary increase in width will
increase the length of the Electrically Operated Trail (EOT) or Mechanically Operated Trail
(MOT) and the roof structure. In the Machine hall, the generator placing is not exactly at the
centre of the machine hall but towards one side so as to provide enough operation space for
the crane operator.

Height: the height of the Machine hall is fixed by the head room requirement (about 2 to
2.5m) of the crane operation. The hall must have a height which will enable the crane to lift
the rotor of the generator or the runner of the turbine clear of the floor without any
obstruction. To this clearance, space is to be added the depth of crane girder and the head
room for the operating cabin.

Loading and erection bay:

This space is required for unloading or loading heavy machines and for its erection. Small
assembly is also done on the space. The stator of the generator which come in smaller



segments are also assembled on the loading bay. The size of the erection should be sufficient
to keep the larger parts like the rotor of the generating unit.

Control bay:
The control bay houses the control equipment. It can be adjacent to the unit bay as in most
power houses. Signal is sent from the control bay to the operating bay from where the
operation control is achieved. Most of the controls are operated by remote control from the
control bay.

Service crane:
The crane should be designed for such a capacity that it can lift the heaviest component in the
power house. Normally, the heaviest part is the rotor and the stator.

Cable and bus bar:

These are placed in the cable ducts made in the floor of the generator in the bus bar galleries
(cable galleries). High voltage cables should be carried separately.

Switch Yard:
This is the yard with step up transformers. This should be located near the power house. In
most cases switch yards are kept out side the power house.




If there is a gorge and a valley, an underground power house may be economical. Other
factors for choosing under ground power stations are frequent seismic activities landslides
and snow avalanches. An important characteristic of the under ground power plant station is
its flexibility of layout. The shortest possible layout through various feasible alignments can
be draw up with minimum size of pressure conduits and omissions of anchors and valves.
The basic requirement for the feasibility of the underground power house is the availability
of good sound rock at the desired location and depth. Underground power house are also
safer during war attacks.

Most of the power projects that came in Europe after World War –II are underground power
Some of the underground power stations in the world:
- Portage Mountain (Canada) - 2300MW
- Komano (Canada)- 832 MW
- Vianden (Luxembourg) 920MW
- Tddiki (India)- 840MW
- Tekeze Hydropower (Ethiopia)-300MW

8 .1 Location of underground power stations

Depending upon the rock quality, tunneling ease and overall economics, the power houses
may be located in various ways.
1. The whole power house may be totally underground

2. The generator may be in a pit but the super structure may be on the surface

3. Semi-Underground, here the generator may be located on the surface while other
units, such as turbines may be under groun



4. The power house may be placed in a cut where the stable rock exists, the units may be
placed in a cut in the rock

8.2 Arrangements of underground power stations

The type of layout of underground power plants depends largely on the positions of head and
tail water levels, control valves, turbines, generators, transformers, control room, access
shafts and ventilation shaft. The Other factors responsible for the location of such a plant are
the topography, geology and the head to be developed.

According to Mosonyi, the various characteristic types and layouts of the power station could
be described with reference to head and tail water levels as follows.
Characteristics types of under ground power development
i. Upstream Station or head development
ii. Downstream station or tail development
iii. Intermediate station development
iv. Diagonal Tunnel alignment with air cushion surge tank
The upstream station or Head development (Swedish type of development): in this type of
development, the power station is located close to the intake and thus water is directly fed
from the reservoir/forebay to the generating units.

This arrangement is suitable for low head (25-50 m) and high discharge condition in the
continuously sloping or mildly rolling terrains. A surge tank could be provided at the
entrance to the tunnel to protect it from the water hammer during sudden opening and closure
of turbines.

Figure 8.1: The upstream power station or Head development (Swedish type of development)



Downstream Development or Tail race development (Swiss type of development): this type
of Development has its characteristics in a long and nearly horizontal pressure tunnel
together with pressure shafts and a short tail race tunnel. Such a development is most suited
for a rugged terrain and where high heads of the order of several hundred meters can be

Figure 8.2: Downstream or Tail-race development power station arrangement (Swedish type
of development)
Intermediate station Development (Italian arrangement): the characteristics of this type of
arrangement are a long head-race tunnel and a long tail race tunnel. The consequent pressure
variations due to long tunnels are taken care of by surge tank both upstream and downstream
of the power house.

Figure 8.3: Intermediate power station arrangement (Italian type of development



8.3 Comparing above–ground and underground power house stations (Basics for
comparison of power station alternatives)
- An underground power house is more costly than a powerhouse on the surface, implying
that underground powerhouse should be considered only when this solution is the only
option available due to site topography
- In many cases a number of parameters concerning investment costs, risks, operation and
maintenance will have to be considered before a conclusion can be drawn as to
whether the optimum layout of a hydropower plant shall have powerhouse on the
surface or underground
- In some case the assessment of rock conditions will be decisive in determining whether
an underground or a surface powerhouse is the most favorable solution. However, in
general the type, head, and capacity of the power plant and the topography of the
project site provide more important parameters for the decision

Some of the main parameters to be considered in the assessment of the overall plant layout are:
The dam /Reservoir Type: the dam itself creates the head to be utilized in the power plant
and so the waterways will be short. Maximum head for a pure design of this type is restricted
today by feasible dam heights to about 250-300m.

The powerhouse is integrated as part of the dam structure, located on the surface at the foot
or adjacent to the foot of the dam or may be located underground within one of the
mountainsides/abutments. At narrow sites with favorable rock conditions and heads our
40 – 50 m, a concrete arch dam and an underground powerhouse often offer the most cost
effective solution. With less favorable rock conditions a narrow site may not be the best dam
location. In such cases wider sites allowing a surface design may offer an alternative, which
give less total costs even with significantly possible higher dam costs. In suitable topography,
which may allow a penstock and power house on the surface without excavation of excessive
open cuts, surface powerhouse may give the cheapest solution even with excellent rock
The low dam /log water way type: this type of powerhouse layout is characterized by a low
dam where most of the head is created by a long water way releasing water down stream of
natural rapids in the same river basin (Trans-basin diversion). Hydropower plants with heads
of more than 250 m will have some of these characteristics.
A powerhouse located near the intake creates layout with a long tailrace tunnel in
mountainous locations. This design requires long access tunnels and pumping of leakage
water during excavation. On the other hand there is no much risk of losing water from a
pressurized headrace tunnel. Location of the powerhouse in rock near the intake may be
dictated by topography.



8.4 The functions of the powerhouse complex

The overall function of the powerhouse complex of a hydropower plants is to transform the
potential energy of water and head in to electric energy with the highest possible rate of
efficiency under reliable and safe operational conditions.

i. Hydraulic system:
- Intake with trash rack
- Rock trap and stone rack
- Bypass arrangements and energy dissipaters
ii. Generating system:
- Turbines
- Switch gear
iii. Auxiliary systems:
- Power house cranes
- Cooling water system
- Drainage system
- Ventilation
iv. Operational Aspects and Emergencies:
- Emergency chambers for fire risks, floods

8.5 The power House complex

8.5.1 Main characteristics of underground Power plants

Flexibility in powerhouse Location and plant layout:
- Selection of an Underground powerhouse implies great flexibility in the overall plant
layout and location of the powerhouse itself. In principle the powerhouse may be placed
anywhere along the water way, and the surface facilities at the tailrace out let will
require only minor space. Consequently, the alignment of the waterway may be selected
among several options, optimized to topography and geology of the project area and
adjusted to suitable locations of powerhouse, tailrace outlet and adits. Plants of the long
waterway type have the largest degree of flexibility as regards to overall layout and
powerhouse location.
Cost saving potential:
- Comparing the general development layout plan in figure 4.4, the penstock and steel
lining represent notable parts of the construction cost of headrace is stage 1 and 2. The
pressure shaft of stage 2 is shorter than required for the penstock in stage1. In addition
the thickness needed for a steel lining embedded in rock is less. The result is cost saving
for stage 2 due to lower steel weight.
Total plant Efficiency:
- The steel parts are the most costly sections of the headrace. Optimum design gives
higher specific losses in steel parts than in the waterway in general. A surface
powerhouse implies longer steel parts than the underground alternative, thus, by
applying equal optimization criteria for the two options, the underground plant will
achieve the lesser total losses. Consequently, an underground development means higher
total plant efficiency and therefore more effective utilization if the natural resources.



Operational stability:
- Due to long distance from the turbine to the surge chamber, surface plants may be
unsuited for satisfying all technical criteria for stable operation. Plants with
underground powerhouse are more stable than the surface plants.
Deference, operational Reliability and personnel safety:
- As strategic infrastructure, an underground powerhouse is less vulnerable under war
like events than surface option and easier to prefect against sabotage .
Arbaminch University, Department of Hydraulic Eng’g
Structural Design:
- Being completely fixed in its cavern, a powerhouse in the underground can be designed
very efficiently from a structural point of view, as any need for overall support will
easily be provided by the rock confinement. On the contrary, a powerhouse on the
surface may, in order to achieve appropriate safety against sliding or uplift failure,
require larger concrete volumes than what is needed for structural reasons alone.
- Steel lining embedded in rock will have similar advantage. All reactive forces from the
pipe are transferred directly through the concrete surround to the rock. The rock will
prevent any longitudinal movement of the lining and there is no need for expansion
Operation and Maintenance:
- Embedded steel linings need less maintenance than exposal penstocks on the surface,
which are subjected to deteriorating effects from changing temperature, sunshine, storm
and rain and from frost and snow in clod climates. There will be a need to maintain
external corrosion coating, expansion joints, erosion protection etc. While embedded
linings will need maintenance of the inside coating only. Further, lining in rock will be
shorter than surface options.
Conditions for Construction and Erection:
- Excavation for surface powerhouse will normally take less time than the access and
caverns for underground option. Therefore, construction of an underground powerhouse
will normally take longer time than surface alternatives. If the powerhouse including
erection works is on the critical path for project implementation, the construction
schedule may be decisive for the choice of alternatives. In cases with either very larger
dams or long waterway, powerhouse works including erection on commissioning will not
usually be on the critical path for implementation.
Environmental impacts:
- Whether located at surface or underground, the powerhouse itself will hardly cause
serious environmental concerns. It may be assumed though, that an underground plant,
occupying less surface area, will generally get higher environmental merits than a
surface development. It causes less loss of forest or other valuable surface assets than a
surface plant and gives no negative visual impact of a penstock on the hillside.

8.6 Overall Plant layout

An underground hydropower plant will consist of:
i. headrace system with intake tunnel
ii. tailrace system with tailrace tunnel and outlet structure
iii. power house in one or more caverns with a system of tunnels serving various



iv. certain facilities on the surface

The location and alignment of the power plant will depend on the conditions of rock cover,
rock type, access roads, construction adits, (Topography and geological conditions)
- Minimum need for heavy rock support
- Adjusting the vertical alignment to follow favorable strata of sedimentary rocks or
locate the headrace as pressurized tunnel in igneous rock below weaker sedimentary
The general design criterion, which has to be satisfied at any point in an unlined pressurized
tunnel or shaft, is that the minimum principal stress in the adjacent rock mass is higher than
the maximum future water pressure.
The embedded steel lining is the most expensive part of the headrace. Therefore, the
penstock has to be designed as short as possible for the actual head in the geological
formation. The next important task is to determine a suitable location and orientation of the
powerhouse cavern in as short a distance as possible from the end of the unlined part of the
headrace. The most important objectives are to ensure the stability of the powerhouse and
adjacent tunnel system and avoiding leakage directly in to the power house. A “Design as
you go” procedure with the possibility to adjust the relative positions of the two components
after excavation has reached the powerhouse area is a recommendable approach, especially
for low head or medium head development allowing rather short penstocks. At this point a
detailed study should be made of on the system of joints around the powerhouse cavern with
special focus on any risk of intersecting faults. Therefore, the location and final elevation of
the end of the unlined tunnel can be adjusted to minimize the risk of short cut leakage in to
the cavern. To further reduce risk of leakage along the penstock a fan shaped grouting curtain
can be done to cover the cover the concrete surround at the penstock inlet and the adjacent
rock mass.

The necessary length of the steel lining will depend on the head, the rock quality and the
existence of crack systems and possible faults.