Journal of Mechanical Science and Technology

Numerical analysis and design optimization of the spiral casing configuration

--Manuscript Draft--

Manuscript Number: MEST-D-18-02563

Full Title: Numerical analysis and design optimization of the spiral casing configuration

Article Type: Original Paper

Keywords: Design; Flow Uniformity; Free Vortex; Optimization; Spiral Casing

Abstract: A spiral casing is an important component of Francis hydro turbine for even distribution
of kinetic energy along stay vane and guide vane. The fluid flow around the runner is
dependent on the flow condition of the spiral casing. The various configuration of the
spiral casing like a free vortex, accelerating and decelerating are considered for the
numerical analysis in this study. The flow has the free vortex pattern in each cross-
section of every spiral casing configuration. The circulation (rvθ =Ct) magnitude is
changing with a cross-section in accelerating and decelerating, but it is constant
throughout each cross section in a free vortex. The accelerating type has the highest
tangential velocity at the outlet of the casing. The secondary flow vortices arise in the
accelerating and decelerating type due to the vast difference between the centrifugal
force and pressure gradient. The free vortex has the uniform primary flow better than
accel-erating and decelerating type. In this study, the optimization of the casing is
performed to maximize its performance. The improvement of the casing to overcome
the drawbacks of the traditional casing shape.

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Journal of Mechanical Science and Technology 00 (2010) 0000~0000

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Numerical analysis and design optimization of the spiral casing configuration

Ujjwal Shrestha1, Zhenmu Chen2, Hyunkyoo Cho3 and Young-Do Choi4*
1
Graduate School of Mechanical Engineering, Mokpo National University, Muan-gun, 58554, Korea
2
College of Mechanical and Electrical Engineering, Wenzhou University, Zheijang, China
3
Department of Mechanical Engineering, Mokpo National University, Muan-gun, 58554, Korea
4
Department of Mechanical Engineering, Institute of New and Renewable Energy Technology Research, Mokpo National University, Muan-gun, 58554,
Korea
(Manuscript Received 000 0, 2009; Revised 000 0, 2009; Accepted 000 0, 2009)

----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Abstract

A spiral casing is an important component of Francis hydro turbine for even distribution of kinetic energy along stay vane and guide
vane. The fluid flow around the runner is dependent on the flow condition of the spiral casing. The various configuration of the spiral casing
like a free vortex, accelerating and decelerating are considered for the numerical analysis in this study. The flow has the free vortex pattern
in each cross-section of every spiral casing configuration. The circulation (rvθ =Ct) magnitude is changing with a cross-section in acceler-
ating and decelerating, but it is constant throughout each cross section in a free vortex. The accelerating type has the highest tangential
velocity at the outlet of the casing. The secondary flow vortices arise in the accelerating and decelerating type due to the vast difference
between the centrifugal force and pressure gradient. The free vortex has the uniform primary flow better than accelerating and decelerating
type. In this study, the optimization of the casing is performed to maximize its performance. The improvement of the casing to overcome
the drawbacks of the traditional casing shape.
Keywords: Design, Flow Uniformity, Free Vortex, Optimization, Spiral Casing
----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

casing has the hydraulic function in the Francis hydro turbine

1. Introduction
performance via maintaining uniform pressure distribution at
Hydropower is the clean and renewable source of energy. the inlet of stay vane.
The contribution of the hydropower is enormous in the renew- Spiral casing connects the upstream water reservoir through
able energy. According to international hydropower association, penstock pipe to the runner. It is 3600 turn to direct the water to
1267 GW has installed worldwide until 2017 [1]. Francis hydro the stay vane and guide vane [4]. Due to the decreasing cross-
turbine is most widely preferred turbine for the extraction of the section of a spiral casing, the circumferential and radial velocity
hydro potential. The better performance of the hydro turbine components of fluid increases from inlet to tongue of casing [5].
can achieve by improving the internal flow field. Due to the Hence, the spiral casing gives rise to the nozzle effect. The spi-
drastic enhancement of the computational fluid dynamics tech- ral casing is categorized on its cross-section area (circular or
niques, the precise and accurate prediction of the flow field is elliptical) and cross-section radius distribution from an inlet to
possible in turbomachinery. Numerical analysis is more com- the tongue. Kurokawa and Nagahara [6] had studied the flow in
mon in use to predict the performance of turbomachinery, ra- different types of the spiral casing (free vortex, accelerating, de-
ther than experimental methods to reduce time and cost [2]. celerating) theoretically and experimentally to determine the
The fluid flow through the component of Francis hydro tur- optimum spiral casing configuration. In accelerating type of
bine is a complex phenomenon due to the curvilinear trajectory spiral casing, the cross-section area from the inlet to mid half of
[3]. Although there is extensive literature regarding flow field the casing decreases drastically, and after then the decrease is
in Francis hydro turbine components, it is very difficult to un- infinitesimal to enhance the tangential velocity of fluid towards
derstand the flow pattern throughout spiral casing. The spiral stay vane. In decelerating type, the reduction of a cross-section
from the mid half to tongue of casing is significant to obtain
†
This paper was recommended for publication in revised form by Associate Editor smooth transition for fluid flow pattern. In the free vortex type,
000 000-please leave blank.
*
Corresponding author. Tel.: +82 61 450 2419, Fax: +82 61 452 6376
casing a cross-section area decrease linearly with the curvature
E-mail address: ydchoi@mokpo.ac.kr. of casing maintaining free vortex.
© KSME & Springer 201087
0000 U. Shrestha et al. / Journal of Mechanical Science and Technology 00 (2010) 0000~0000

Spiral casing with minimum pressure loss and uniformity in- Rt  r

By

360qi
dex is considered as efficient design. Shyy and Vu [3] explained i   Ct dR (5)
the fluid flow structure and losses in various components of a Q R
R0
turbine. Launder and Spadling [7] used the RANS equation For the rough estimation of integral part of the Eq. 5, the ge-
with k-epsilon turbulence model to solve high Reynolds num- ometry of casing cross section is considered shown in Fig. 1.
ber fluid flow. The head loss in the turbomachinery occurs due
to the flow separation, secondary flow, and wall friction. The Table 1. Design Specification of Francis hydro turbine.
energy loss in the spiral casing occurs due to the secondary flow Parameters Value
generated by flow curvatures and viscous force [6]. Besides the Total Head. H 90 m
energy loss, the water hammering effect prevails in the spiral
Flow Rate, Q 125.4 m3/s
casing. Price [8] studied about the Dartmouth casing failure,
Rotational Speed, N 180 min-1
and the reason for the failure was stress generated from the wa-
ter hammering.
Maji and Biswas [9, 10] performed the numerical simulation
to determine the flow pattern, velocity field and pressure distri-
bution in spiral casing via Peterov Galerkin finite element
method. All the numerical simulations were conducted in the
free vortex type of spiral casing with a circular cross-section.
Desai et. al. [5] had performed the comparison between circular
and elliptical cross-section spiral casing performance. Nakkina
P R, Prakash K A and Kumar G S [11] conducted the numerical
studies in the various configuration of the casing with circular
and elliptical cross section.
Fig. 1. Cross section of the spiral casing.
2. Casing Design and Numerical Methods
2.1 Casing Design
The spiral casing design depends on the head and flow rate
of the turbine. The spiral casing design process is adopted from
Kovalev [12], Krishna [13] and Wang & Wei [14]. The basis of
the casing design is the consideration of the constant circulation.
The inlet velocity of the hydro turbine is necessary for the de-
sign of the casing. The design specification of Francis hydro
turbine is shown in Table 1, which is used for designing spiral
casing. The velocity of water can be calculated by Eq. (1).

V0  k H , 0.8  k  1 (1)

The radial velocity of the spiral casing should constant for

the axisymmetric inflow. The tangential/peripheral velocity
contributes on the circulation flow.
Fig. 2. Computational domain with boundary conditions.
Q 2
vr  (2)  By  2
2 Re B    ( R  Rt )  r
2
(6)
 2 
v R  Ct  Constant (3)
Rt  r
By
The discharge from each cross section of the spiral casing is 
R0
2
dR  2 [ Rt  r  Rt ( Rt  2r )] (7)

represented by Eq.(4):
From solving Eqs. (5) and (7), we get the each cross section
Rt  r radius of spiral casing. Finally, the rough estimation of the

 v B dR
qi  (4) spiral casing cross section radius can be determined by:
 y
R0
i i 720 Ct
Considering the central angle for the each cross section of ri   2Rt ,C (8)
spiral casing. C C Q
 U. Shrestha et al. / Journal of Mechanical Science and Technology 23 (2009) 1261~1269

2.5 Free Vortex fore, in the present study ANSYS CFX 18.1 [15, 16] commer-
Accelerating cial code is adapted for the numerical analysis. The Shear Stress
Transport (SST) turbulence model is considered for the calcu-
Cross section Radius (m)

2 Decelerating
lation in this study because it is generally used for high Reyn-
1.5 olds number flow and correct prediction of boundary layer sim-
ulation. The computational domain of three-dimensional spiral
1 casing is presented in Fig. 2 with an indication of the boundary
condition. The boundary condition set to the upstream velocity
0.5 at the inlet and static pressure at an outlet of the spiral casing.

0 2.3 Validation Test

0 30 60 90 120 150 180 210 240 270 300 330 360
Angle The grid dependency test for the Fig. 2 design was conducted
Fig. 3. Cross section radii distribution to spiral casing. to show the independence of mesh number with the simulation.
The mesh number of 3x105 and y+ value of 92 is selected for
92
the analysis as shown in Fig. 4.
The further verification of the current CFD analysis method
Flow Uniformity (%)

91.6
was performed by comparing with the experimental result
91.2 adapted from Kurokawa and Nagahara [6]. The normalized ra-
dial velocity, vr/V0 and normalized peripheral velocity, vθ/V0 are
90.8 calculated from the analysis at section VV from φ =0° to φ =
360 °as indicated in Fig. 5. The numerical analysis is performed
90.4
at Reynolds number, Re = 3x105 for free vortex casing which
90 shape was referred to that of Kurokawa and Nagahara [6]. The
0 300000 600000 900000
normalized radial and peripheral velocities from the experiment
Number of Nodes in Casing
are shown good association with the numerical analysis which
Fig. 4. Grid dependency test for numerical analysis. is presented in Fig. 6. Beside that the CFD analysis satisfy the
relation from Eq. (10). The total gauge pressure at the inlet is
2432.1 Pa, and a sum of static and dynamic pressure is 2433.03
Pa.

V0d
Re  (9)


a) b)
p0 
V02  pT 0 (10)
2
Fig. 5. Different measurement section of casing (referred from Kurokawa
and Nagahara [6])
0.3 1.5

2.2 Casing Parameterization Normalized Peripheral Velocity

0.25 1.25
Normalized Radial Velocity

The parametric design for the spiral casing is dependent on the

cross-section radii. The casing shape design is considered as the 0.2 1
function of cross section radius. There are exactly 12 cross-sec-
tion radii for controlling the shape of the casing as indicated in 0.15 0.75
Fig. 3. Each radius is 30° apart from each other. The parametric
T
design of casing shape is represented by d  [ri , l ] . 0.1
Computational Radial Velocity
0.5
Experimental Radial Velocity

2.3 Numerical Modelling 0.05 Computaional Peripheral Velocity 0.25

Experimental Peripheral Velocity
The computation of the spiral casing is performed excluding
0 0
stay vanes because influence in the flow field from the stay 0 50 100 150 200 250 300 350
vane is irrelevant with the flow field around casing [10]. The Angle (φ)
different configuration of the spiral casing (free vortex, accel-
erating and decelerating) is considered for the analysis. There- Fig. 6. Comparison of CFD and experimental result along the section VV
for free vortex of spiral casing.
0000 U. Shrestha et al. / Journal of Mechanical Science and Technology 00 (2010) 0000~0000

3. Result and Discussion per unit area [17, 18].

3.1 Flow Analysis of Different Casing Configuration
 
1
n
J ABS  n
dA (12)
Initially, the fluid flow from the various type of spiral casing A
A
has numerically studied. The pressure, the radial and peripheral
The n in the Eq. 12 represents the normal direction to the cross
velocities have investigated for the selection of good casing con-
section area.
figuration. The major concern in the spiral casing is the second-
In Fig. 12, the secondary vortex intensity distribution of different
ary flow occurrence while flowing towards the distributor. Sec-
configuration of a casing is shown. The secondary vortex inten-
ondary flow occurs in the casing due to the curvature, continu-
sity indicates an occurrence of the secondary vortex. The sec-
ous reduction of the cross section area, no-slip boundary along
ondary vortex intensity is very high in the accelerating type cas-
the walls and opening at the exit in a circumferential direction
ing at r/R0 > 0.2 and high probability of occurring secondary
[11].
vortex in accelerating type casing. The secondary vortex inten-
Fig. 7 explain about the normalized total pressure distribution
sity of free vortex and decelerating type casing under desirable
in section HH. The pressure distribution is quite similar through-
range.
out the casing 0° < φ < 360°. The constant distribution of the
pressure indicates that fluid flow in the casing follows free vor-
Free Vortex Accelerating Decelerating
tex phenomena as in Eq. 3. The circulation in free vortex type 0.2
casing is same throughout the casing, but circulation value
changes according to cross section for accelerating and deceler- 0.0

Normalized Total Pressure

ating type casing.
p p -0.2
Normalized total pressure = T 2 T 0 (11)
V0 -0.4
2
-0.6
The tangential velocity distribution in different types of cas-
ing configuration is shown in Fig. 8. The tangential velocity in -0.8

the accelerating type casing is more compare to others two. In

-1.0
accelerating type casing, tangential velocity increase with in- 0.9 1.0 1.1 1.2 1.3 1.4
creasing in φ. The tangential velocity in the decelerating type is R/R0
considerably low, which implies that the pressure gradient is Fig. 7. Distribution of normalized total pressure in section HH at φ = 295°
minimum.
The secondary flow in the free vortex type casing is low com- Free Vortex Accelerating Decelerating
2.0
pared to decelerating and accelerating. The secondary flow phe-
1.8
nomenon in the accelerating and decelerating type casing are in
Normalized Tangential Velocity

1.6
different nature. According to Figs. 9 and 10, the secondary flow
through decelerating and accelerating type is quite different. In 1.4

the decelerating type of casing, the reduction rate of cross sec- 1.2

tion radius is small in φ < 180°. Due to the small change in the 1.0

radius, an imbalance between the radial pressure gradient and 0.8

centrifugal force is high. Therefore, the occurrence of secondary 0.6
flow can been seen in 90° < φ < 180°. 0.4
Similarly, in accelerating type casing, the reduction rate of 0.2
cross section radius is small in φ > 180. The imbalance of the 0.0
radial pressure gradient and centrifugal force is found in φ > -0.3 -0.2 -0.1 0.0 0.1 0.2 0.3
y/R0
200°. The difference between radial force and centrifugal force
is very high at φ > 270°. The high difference in radial pressure Fig. 8. Distribution of normalized tangential velocity in section VV at φ =
gradient and centrifugal force generate the twin vortices at φ = 295°
270° in accelerating type casing. The strong twin vortex occurs
in the accelerating type casing at φ > 270° because the radial a) b) c) d)
velocity is negative which implies flow is in an outward direc-
tion in accelerating type casing. The radial velocity distribution
is indicated in Fig. 11.
The secondary vortex intensity, JnABS is useful to elaborate the
flow field in the casing. It can explain the reason for secondary Fig. 9. Behavior of secondary flow on cross section of decelerating type of
flow occurrence. It is quantified by the area integral of vorticity spiral casing at a) φ = 0° b) φ = 90° c) φ= 180° d) φ = 270°.
 U. Shrestha et al. / Journal of Mechanical Science and Technology 23 (2009) 1261~1269

a) b) c) d) 3.2 Loss Analysis of Different Casing Configuration

The flow uniformity and loss analysis are good ways to de-
termine the performance of the casing. Eqs. 13-15 define the
flow uniformity and loss analysis in casing respectively [19].

u  u  dA
2


Fig. 10. Behavior of secondary flow on cross section of accelerating type
 1 (13)
of spiral casing at a) φ = 0° b) φ = 90° c) φ= 180° d) φ = 270°. 2. A.u
A

ptotal
Free Vortex Accelerating Decelerating
ploss  (14)
pT 0
0.80
ptotal
H loss  (15)
0.70
 gH
Normalized Radial Velocity

0.60

0.50
Table 2 shows the calculation of the flow uniformity and loss
in a different configuration of the spiral casing. The free vortex
0.40
type casing has the better flow uniformity because of the ab-
0.30 sence of secondary vortex. The pressure loss is low in the ac-
celerating type casing because the inlet pressure is compara-
0.20
tively higher than free vortex and decelerating type casing. The
0.10 head loss is minimum in the decelerating type because the pres-
0.00
sure difference between inlet and outlet of casing are minimum
for it.
-0.10
-0.20 -0.15 -0.10 -0.05 0.00 0.05 0.10 0.15 0.20

y/R0 3.3 Optimization of Casing

Fig. 11. Distribution of normalized radial velocity in section GG at φ = Multi-objective genetic algorithm (MOGA) is used for the
295° optimization of the casing. Genetic Algorithm is a process that
implies the biological evolution theory in a numerical analysis
16
[20]. It pursues to generate better solution from the existing so-
Free Vortex
14
lution. It assumes that the problem of a solution is an individual
Secondary Vortex Intensity (s-1)

Accelerating and can be represented by a set of parameters (chromosomes in

12 the case of genetics) [21]. The better chromosomes procreate
Decelerating
the good-quality offspring, which refers to a better solution for
10
the designated problem [22]. The yielding of the offspring gen-
8 erally occurs via reproduction, crossover, and mutation from
the existing one [23]. Genetic Algorithm is one of the efficient
6
and non-deterministic stochastic methods for optimization.
4 Ebrahimi [24] illustrate the application of the genetic algorithm
for the shape optimization of an airfoil. An optimization algo-
2 rithm is selected from Ebrahimi [24] and Chen [25] in this study
0
with some modification. The objective functions for the opti-
0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0.55 mization of the casing are stated from Eq. 16.
r/R0
Fig. 12. Variation of the secondary flow intensity in different configuration maximize  (d )
of casing. minimize ploss (d )
Table 2. Flow Uniformity and Pressure Loss in different configuration minimize H loss (d ) (16)
of spiral casing. L U
subject to d  d  d
Type Flow uniformity (%) Pressure loss (%) Head loss (%)
where, d  [ri , l ]T ; 1  i  12
Free Vortex 97.14 2.56 0.25

Accelerating 96.84 2.04 0.31 Because the optimization process requires numerous CFD anal-
Decelerating 96.65 2.60 0.22 yses, a response surface method has been used. In this paper,
genetic aggregation method is used because the method has the
0000 U. Shrestha et al. / Journal of Mechanical Science and Technology 00 (2010) 0000~0000

great combination with MOGA. The total 200 samples are lo- Table 4. Result of casing optimization
cated in the design space using optimal space filling method.
Optimal design
After sampling, genetic aggregation has been implemented Initial design
MOGA CFD
with setting criteria shown in table 3. Then, the response surface
Flow uniformity (%) 97.14 97.05 97.03
model for the objective functions γ( d ), Ploss ( d ) and Hloss ( d )
are created. The response surface has the coefficient of determina- Head loss (%) 0.258 0.195 0.19
tion, maximum relative residual, and root mean square error are Pressure loss (%) 2.56 2.09 2.05
99.86%, 9.4%, and 2.34%, respectively. It implies that the gener-
ated response surfaces are highly accurate for the optimization. a) b) c) d)
Fig. 13 shows the comparison between the initial shape and op-
timal shape obtain from genetic aggregation and MOGA. The
comparison of the performance between the original and opti-
mized casing is indicated in table 4. The result obtained from
the genetic aggregation and MOGA is validated with numerical
analysis. The head loss and pressure loss are improved by 27% Fig. 14. Behavior of secondary flow on cross section of optimized spiral
and 20%, respectively, but the flow uniformity is slightly de- casing at a) φ = 0° b) φ = 90° c) φ= 180° d) φ = 270°.
creased from the initial to an optimal shape of the casing.
Figs. 14-15 shows the flow uniformity in the optimized casing 14
has improved a lot. The secondary vortex intensity is compara-
tively low in the optimized casing. The streamline throughout 12
Initial Design

the cross-section of the optimized casing is uniform without any Secondary Vortex Intensity (s-1) Optimal Design
secondary vortices. Fig. 16 shows that the pressure drop at the 10
wall is less in optimized design than original. Due to the low-
pressure drop, a tendency of secondary vortices around the wall 8
is less. The deviation of the pressure through radial direction in
an optimized casing is slightly less than the original one. This 6
indicates that optimized casing is less prone to generating vor-
tices around the wall and circulation flow is more uniform com- 4
pared to the original shape of the casing.
2
Table 3. Setting of the MOGA for optimization

0
Property Value 0.1 0.2 0.3 0.4 0.5 0.6
Number of initial samples 500
r/R0
Maximum number of cycle 25
Number of samples per cycle 100 Fig. 15. Comparison of original and optimized casing vortex intensity
Mutation probability 0.01
0.10
Crossover probability 0.98
Maximum allowable Pareto percentage 95 0.05
Convergence stability percentage 2
0.00
Normalized Total Pressure

2.5
Initial Design -0.05

Optimal Design
2 -0.10
Cross-section Radius (m)

-0.15
1.5
-0.20

1 Initial Design
-0.25

Optimal Design
-0.30
0.5

-0.35
0.8 1.0 1.2 1.4 1.6 1.8 2.0
0
0 30 60 90 120 150 180 210 240 270 300 330 360 R/R0
Angle (φ)
Fig. 16. Comparison of total pressure along HH among original and opti-
mized design at φ = 55°.
Fig. 13. Comparison between original design and optimized design
 U. Shrestha et al. / Journal of Mechanical Science and Technology 23 (2009) 1261~1269
5. Conclusion
CFD simulation has been performed in a free vortex, accel-
erating and decelerating types of the casing. The secondary vor-
tex arises in accelerating and decelerating types of the casing.
The tangential velocity is highest for the accelerating type cas-
ing. The radial velocity is decreasing from the inlet to tongue
for accelerating type casing and increasing from the inlet to
tongue for decelerating type casing. The flow is directed out-
ward in the accelerating type casing near the tongue region be-
cause of negative radial velocity. The total pressure is constant
throughout the radial distance for each cross section. The sud-
den drop of total pressure at the wall of casing causes a rise in
the secondary flow. The pressure drop in the accelerating type
has greater than the decelerating and free vortex. All configura-
tions follow the free vortex phenomenon, expect near the wall
as indicated by total pressure distribution in a radial direction.
The optimization of the casing shape is done with the response
surface generated from genetic aggregation. In this paper, cas-
ing optimization is performed with the objective of flow uni-
formity, head loss, and pressure loss. The optimal casing shape
is obtained using MOGA. The result of from optimization is
highly accurate with 0.02%, 2%, and 2.5% error in flow uni-
formity, head loss, and pressure loss percent respectively.
Acknowledgment
This work was supported by the New and Renewable Energy
of the Korea Institute of Energy Technology Evaluation and
Planning (KETEP) grant funded by the Korean Government
Ministry of Trade, Industry and Energy (No.20163010060350).
Nomenclature
A : Area of cross section
B : Height of guide vane
By : Height of casing cross section
Ct : Circulation
d : Inlet diameter of spiral casing
𝑑 : Design variable
g : Acceleration due to gravity
H : Total head
Hloss : Head loss
𝑛 casing of water turbines, Proceedings of 13th International
𝐽𝐴𝐵𝑆 : Secondary vortex intensity
k : Flow constant
l : Length of casing inlet
N : Rotational speed
n : Normal direction
p : Pressure
p0 : Inlet static pressure of spiral casing
pT0 : Inlet total pressure of spiral casing
ploss : Pressure loss
Q : Flow rate
qi : Discharge through ith cross section
R : Radius from the central axis
Re : Radius of circle formed by trailing edge of stay vane
R0 : Outlet radius of casing
Rt : Radius at center of spiral cross section
Re : Reynolds number
r : Casing cross section radius
ri : Radius of spiral casing ith cross section
u, v, w : Velocity in x, y and z direction
ū : Average velocity
V0 : Inlet velocity at casing
vr : Radial velocity
vθ : Tangential velocity
y : Vertical distance
γ : Flow uniformity index
ν : Kinematic viscosity of water
ρ : Density of water
φ : Central angle
φi : Central angle for ith cross section
ωn : Vorticity in n-direction
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