HWRE 3141: Hydropower Engineering

5. WATER CONVEYANCE STRUCTURES

5.1 Intake 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.

• A water intake must be able to divert the required amount of water into the
power canal or into the penstock without producing a negative impact on the
local environment and with the minimum possible head loss.
• The intake serves as a transition between a stream that can vary from a trickle
to a raging torrent, and a controlled flow of water both in quality and quantity.
Its design, based on geological, hydraulic, structural and economic
considerations, requires special care to avoid unnecessary maintenance and
operational problems that cannot be easily remedied and would have to be
tolerated for the life of the project.

• A water intake designer should take three criteria into consideration:

– Hydraulic and structural criteria common to all kind of intakes
– Operational criteria, e.g. percentage of diverted flow, trash handling,
sediment exclusion, etc- that vary from intake to intake
– Environmental criteria, fish diversion systems, fish passes-
characteristics of each project.

5.2 Functions of Intakes

The main functions 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 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. Provisions of trash racks at the entrance achieve this function.
iv) To exclude heavy sediment load of the river from interring the conveyance
system. Special devices such as silt traps and silt excluders are used to control &
trap the silt.

5.3 General Classification of Intakes:

• The intake supplies water directly to the turbine via a penstock (power
intake or forebay)
• The intake supplies water to other waterways power canal, flume, tunnel,
etc- that usually end in a power intake (conveyance intake)

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• The scheme doesn't have any conventional intake, but make use of other
devices, like siphon intakes

Figure 5.1: Power intake or forebay

Figure 5.2: Conveyance intake

5.4 Conventional Classification 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

ii) Run - of - river intakes

The component parts are
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 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 silt loaded rivers.

Figure 5.3: Run - of - river intakes

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iii) 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 5.4: Arrangement of canal intake

iv) Dam intakes

 For valley dam plants, the intake structure is provided usually in the body of the
dam.
 The penstocks are embodied in the dam.
 The main features of such an intake are:
 a trash rack structure in front of the dam
 a bell mouth inlet horizontal or inclined alignment
 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.

Figure 5.5: Dam Intake

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iv) Tower Intakes

In multipurpose reservoirs built for irrigation, drinking water abstraction, flood
regulation, etc- the water can be withdrawn through towers with multiple level ports,
permitting selective withdrawal from the reservoirs vertical strata.
 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 through the pressure conduit is controlled by vertical uplift gates.
 The structure should be strong enough to withstand hydrodynamic, earthquake,
wind, etc.

Figure 5.6: Tower intake designed to withdraw water at different levels

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

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vi) The French or Drop intake

• is essentially a canal built in the streambed, stretching across it and covered
by a trash rack with a slope greater than the streambed slope
• the trash rack bars are oriented in the direction of the stream flow
The Drop Intake is improved by placing the bars as cantilevers to avoid the
accumulation of small stones commonly entrained by the water.

Figure 5.8: Drop Intakes

vii) The Coanda type screen

• is an advanced concept of the drop intake, incorporating the Coanda effect,
well known in the ore separation industry, to separate fish and debris from
clean water
• essentially it consists of a weir with a downward sloping profiled surface of
stainless steel wire screen mesh on the downstream side and a flow collection
channel below the mesh as in the drop intake

5.5 Basic principles of selection and location of intake sites

•
Intakes from streams should be located, wherever possible on the concave side
of the bend.
• The effectiveness of the intake in preventing sediment entry increases with the
sharpness of the bend.
• Intakes from straight reaches can be made favorable by artificially forcing the
water to follow a curved path.
• The location of the intake should consider submergence, geotechnical
conditions, environmental considerations, especially those related to fish life,
sediment exclusion and ice formation
• The orientation of the intake entrance to the flow is a crucial factor in
minimizing debris accumulation on the trash rack, a source of future
maintenance problems and plant stoppages. The best position of the intake is
with the screen at right angles to the spillway so; that in flood seasons the flow
carries the debris over its crest.
• The intake should not be located in an area of still water, far from the
spillway, because the eddy currents common in such waters will entrain and
accumulate trash at the entrance. If for any reason the intake entrance should
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be parallel to the spillway, it is preferable to locate it close to the spillway so

the debris can be pushed away and carried away by the spillway flow.
• The water intake should be equipped with a trash rack to minimize the
amount of debris and sediment carried by the incoming water; a settling basin
where the flow velocity is reduced, to remove all particles of critical sizes; a
sluicing system to flush the deposited silt, sand, gravel and pebbles with a
minimum of water loss; and a spillway to divert the excess water.

A
Spiral flow

Ground/bottom flow

Surface flow Movement of bed load

A
Section A-A

Figure 5.9: Spiral flow

Weir

Bend

Canal
Gate

In a bend With de-silting canal

Without de-silting canal Curved lateral branch

Figure 5.10: Typical Layouts of intakes

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a) Bottom Guide vanes

b) Surface Guide Vanes

Figure 5.11: Bottom and surface guide vanes

Intake Protection:

Figure 5.12: Protecting the intake location from flood damage

Sufficiently high velocity of water is necessary to flush sediments in the head race
channel/tunnel

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Figure 5.13: Unsuitable position for intake because of surface level reduction due to
seasonal variations of flow or scouring or river-bed over time

Figure 5.14: Intake located upstream of natural and artificial weirs

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Intake cross sections and dimensions

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5.6 Mechanical Equipment

5.6.1 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
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a trash rack is located immediately in front of the inlet to a penstock and the penstock
velocities are significantly higher than 0.5 m/s, the trash rack can be built in a circular
area to increase the area of the trash rack and correspondingly decreases velocity
through it.

Cleaning of the trash racks can be performed either manually (for small schemes)
using manual rake or mechanically (for large schemes) using automatic cleaning
machines. The trash rack is usually placed vertical or near vertical (< 25o from the
vertical). Placing the trash racks in an inclined position makes the cleaning easy apart
from giving less resistance to flow.

Clogging of racks is objectionable on account of the operational trouble and loss of

energy production involved, and of the unbalanced load created on the rack causing
partial or total damage thereof. Allowing for partial clogging, racks are generally
designed to withstand a head ranging from 1 to 2 m under normal conditions and from
4 to 5 m under exceptional circumstances.
ii) Skimmers:
A skimmer wall is an obstruction placed at the water surface, usually at an angle to
the stream flow which skims floating debris from the passing water. If the water level
changes markedly as, for example, at the intake of stream, the skimmer can be a
floating piece of timber secured at both ends. If changes in water level are small, a
fixed skimmer can be used. Because some debris usually passes under the skimmer, a
trash rack is still necessary. However, a skimmer reduces the frequency with which
the trash rack has to be cleaned.

Skimmer walls are made, for the most part, of reinforced concrete with a service
bridge on top. They are designed usually for a horizontal pressure of 1000 kg/m 2
acting on the submerged surface.

5.7 Losses in Intakes

The intake losses include entrance loss, trash rack loss and head gate loss.
Entrance Losses
These comprises of:
a) Loss due to change in direction is given by:
2
V2 Vf
he  C
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 angles and 0.4 for 900 off-
take angles.
Vf


V

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Figure 5.15: Losses due to change of flow direction

b) The losses due to sudden contraction of the area at the inlet section is given by:
V2
he  K
2g
Where K is a constant, which depends on the shape of the entry
K = 0.03 for bell-mouthed entry
K = 1.3 for sharp cornered entry.
c) Rack Losses:
There are numerous expressions available for predicting head loss across trash racks.
One such expression (after Kirschmer’s) is:
4/3
t Va 2
hr  K t   sin 
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.

If the grill is not perpendicular but makes an angle b with the water flow (b will
have a maximum value of 90º for a grill located in the sidewall of a canal), there will
be an extra head loss, as by the equation.
Va 2
h  sin 
2g

Figure 5.16: Rack losses

d) Gate Losses:
Head loss due to gates (at part gate opening) is given by:
2
1  Q 
h g   
C A
2g  d 
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.
e) Velocity Through Trash Racks

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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
h =head from center line of gate to normal water surface
ii) Mossonyi’s formula to eliminate eddies and vortices:
V  0.075 2 gh
iii) U.S.B.R's criterion: permissible velocity in the range of 0.6 to 1.5 m/s
The trashrack is designed so the approach velocity (Va) remains between 0.60 m/s
and 1.50 m/s. The total surface of the screen will be given by the equation:
1 t b Q
S  
K 1  b  V a sin 

5.8 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 cavitations,
surging caused by the formation and dissipation of vortices, and flow reduction as air
replaces part of the water through the inlet. It can also draw floating debris into the
conduit. Thus, it is necessary to prevent formation of vortices at intakes and air
entrainment.
Vortices are formed due to the following factors:
i) Hydraulic jump formation
ii) Velocities at intakes
iii) Submergence at intakes
iv) Geometry of approaching flow at intakes
Designing for a low velocity into the conduit and increasing submergence of the inlet
can help prevent the formation of vortices. Flow approaching the intake
asymmetrically is more prone to vortex formation than symmetrical flow. It is
therefore important that flows upstream of the inlet area be as straight and uniform as
possible.
For the condition of no vortices at intakes, the following empirical relations may be
used:
Ys  0.30 V D for symmetrical approach
Ys  0.40 V D for asymmetrical approach
Ys
Where, Ys is necessary submergence depth,
V D
V is velocity at inlet to the canal,
D is diameter of the conduit.
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Figure 5.17: Sketch of submergence depth arrangement

Another remedy to vortex formation is provision of a floating raft or baffle which
disrupts the angular momentum of the water near the surface.

5.9 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 therefore driven out through the air vent.

Qa
Air vent

Control gate

Bulk head Figure 5.18: Air

Vent Arrangement

Size of the air vent: There are several recommendations

1. Q a  400C a ( P)1 / 2
Where Qa = Discharge of air in cumecs
a = Area of vent pipe in m2
C = Constant (normally with a value of 0.7)
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

5.10 Settling Basins

The water drawn from a river for power generation may carry 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, gates 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.

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B
L

Flushing flume
A A
Power canal

W
Flushing sluice

Inlet Settling zone Outlet

zone zone
B

Power canal
Flushing flume

Section A-A

W W

Collection tank
Flushing flume
a) For continuous flushing b) For intermittent flushing

Section B-B
SectionB-B

Figure 5.19: Settling basin

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.

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

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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.
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.

5.11 Design of Settling Basins

The design principle of settling basin must consider the following points:
1. The settling basin must have length and width dimensions which are large
enough to cause settling of the sediments but not so large that the basin is over
expensive and bulky.
1. It must allow for easy flushing out of deposits, undertaken at sufficiently
frequent intervals.
2. Water removed from the flushing exit must be led carefully away from the
installation. This avoids erosion of the soil surrounding and supporting the
basin foundations.
3. It must avoid flow turbulence caused by introduction of sharp area changes or
bends, and they must avoid flow separation.
4. Sufficient capacity must be allowed for collection of sediment.

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 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
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Very high head >100m; dl = 0.01 to 0.025m in diameter

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

Degree of removal
100

90
80
70
60% removal ratio
% Sieve passing

60
50

40
30
dl
20

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

Figure 5.20: Example of removal ratio

Instead of using the limit particle size, the degree of removal is frequently defined by
the removal ratio, which is the ratio of concentrations after and before settling,
expressed in percentages. If the concentration of the raw water is C, and that of
clarified water is specified as the permissible value Cp, the required removal ratio is
obtained as:
Cp
R  100 (%)
C
In the above figure the removal ratio is 60%
3. Having determined the basic data as suggested 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).

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.

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Figure 4.21: Settling velocity in stagnant water plotted against the density of silt
loaded water and the particle diameter (After L.Sudry)
 The silt particles begin to collect, fall and the lightest ones will fall at the end of
the basin:

 After a period of time the collection tank will be full. The lightest particles still
fall at the end of the basin:

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5.11.1 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
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:
D
t

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
Eliminating t from the last two equations two relations can be established between the
six parameters governing the hydraulic design:
Q  W DV 

DV 
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 or experimentally. 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
Where, d is the equivalent diameter of the smallest sediment particle to be settled in
mm and a is a constant given as:
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a  0.36 , for d l  1 mm
a  0.44 , for 0.1 mm  d l  1 mm
a  0.51, for d l  0.1 mm
[Modern tendency is to use V =0.4 to 0.6 m/s]
Depth of basin should be specified considering that long and/or wide basins are
economical than deep ones. The depth of settling basins in waterpower projects is
generally between 1.5 and 4 m with flow-through velocities not higher than 0.5 m/s.
Hence W and L can be computed.
Check
From Q=DWV gives V=Q/WD
and from L=V*t gives V=L/t
Therefore, Q/WD = L/t gives Q*t = WDL (Water conveyed to tank = Volume of tank)

5.11.2 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 (4.11) 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)
The coefficient  may be computed from:
0.132

D
Accordingly, the second row of equation (5.14) can be modified for the settling length
as:
DV D 3 / 2V
L  1/ 2 (m)
   V D   0.132 V
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 
  
 
 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.

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Figure 5.22: 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
(4.17) can be modified for Stokes range as:
gd 2   s  w 
  
18   
 w 

5.11.3 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.

5.12 Gates and valves

In every hydropower scheme some components, for one reason or another
maintenance or repair to avoid the runaway speed on a shutdown turbine, etc should
be temporary isolated. Some of the gates and valves suited to the intakes for hydro
systems include the following:
 Stop logs made up of horizontally placed timbers
 Sliding gates of cast iron, steel, plastic or timber
 Flap gates with or without counterweights
 Globe, rotary, sleeve-type, butterfly and sphere valves
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Almost without exception the power intake will incorporate some type of control gate
or valve as a guard system located upstream of the turbine and which can be closed to
allow the dewatering of the water conduit. This gate must be designed so it can be
closed against the maximum turbine flow in case of power failure, and it should be
able to open partially, under maximum head, to allow the conduit to be filled.

5.13 Head Race

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

5.13.1 Canals
Canals are appropriate choice when the general topography of the terrain is moderate
with gentle slopes. However, when the ground is very steep and rugged, it becomes
uneconomical to construct canals as it follows longer distances and/or needs provision
of cross-drainage works and deep cuts and fills at a number of appropriate locations.
In such cases, it is advisable to go for tunnels or pipes. The choice, in fact, has to be
made based on economic analysis. Where the topography of the region presents
special formations, the alternating use of open-canal and open-surface tunnel sections
may ensure the most economical development.

The tracing of a power canal should closely follow the contour lines of the terrain.
Based on the topographic conditions, a canal may be constructed through cuts, over
fills, and in cuts-and-fills as shown in Figure below.

A 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.

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

Figure 5.23: Canal Sections

5.13.2 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:

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 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 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.

Brick and masonry are another most frequently used type of power canal lining
materials. 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.

Other materials like bituminous mixtures, soil-cement, wood, clay, chemical sealant
are used for canal lining.

5.13.3 Design and dimensioning

Canal design involves determination of the Carrying capacity, velocity of water in the
canal, canal slopes & roughness coefficient of the canal surface.

The flow conveyed by a canal is a function of its cross-sectional profile, its slope, and
its roughness. Natural channels are normally very irregular in shape, and their surface
roughness changes with distance and time. The application of hydraulic theory to
natural channels is more complex than for artificial channels where the cross-section

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is regular in shape and the surface roughness of the construction materials - earth,
concrete, steel or wood - is well known, so that the application of hydraulic theories
yields reasonably accurate results.
The manning formula is widely used to compute the capacity of conveyances
AR 2 / 3 S 1 / 2 A5 / 3 S 1/ 2
Q  
n nP 2 / 3
Where n is Manning’s coefficient
S is the hydraulic gradient, which normally is the bed slope. Alternatively
2
 QnP 2 / 3  2
= 
Qn 
S   
 A5 / 3   AR2/3

 
Equation (4.20) shows that for the same cross-sectional area A, and channel slope S,
the channel with a larger hydraulic radius R, delivers a larger discharge. That means
that for a given cross-sectional area, the section with the least wetted perimeter is the
most efficient hydraulically. Semicircular sections are consequently the most
efficient. A semicircular section however, unless built with prefabricated materials, is
expensive to build and difficult to maintain. The most efficient trapezoidal section is
the half hexagon; whose side slope is 1 v. 0.577 h. strictly this is only true if the water
level reaches the level of the top of the bank. Actual dimensions have to include a
certain freeboard (vertical distance between the designed water surface and the top of
the channel bank) to prevent water level fluctuations over spilling the banks.
Minimum freeboard for lined canals is about10 cm, and for unlined canals this should
be about one third of the designed water depth with a minimum of fifteen centimeters.
One way to prevent overflow of the canal is to provide spillways at appropriate
intervals; any excess water is conveyed, via the spillway, to an existing streambed or
to a gully.

The following table defines for the most common canal sections the optimum profile
as a function of the water depth y, together with the parameters identifying the profile.
Wetted Hydraulic Top Water
Channel Section Area
Perimeter Radius Width Depth
A
P R T d
Trapezoidal: half hexagon 1.73 y2 3.46y 0.500y 2.31y 0.75y
Rectangle: half square 2 y2 4y 0.500y 2y y
2
Triangle: half square Y 2.83y 0.354y 2y 0.500 y
Semicircle 0.5 πy2 πy 0.500y 2y 0.250 πy

Once the canal profile has been selected it is easy to compute its maximum discharge.

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
Rock canals Medium coarse rock muck 0.037

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Rock muck from careful 0.045

blasting 0.060
Very coarse rock muck
Brickwork, well pointed 0.015
Masonry canals Normal masonry 0.017
Coarse rubble masonry 0.020
Smooth cement finish 0.010
Concrete, unplastered 0.015
Concrete canals
Coarse concrete 0.018
Irregular concrete surfaces 0.020
Planed, well jointed boards 0.011
Wooden canals Unplanned boards 0.012
Older wooden canals 0.015

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. The Table below 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

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 (with respect to erosion) is given by:
Strenberg: Vb   2d for d is particle size in meters,   =4.43
Maximum permissible mean velocity according to Bogardi and Yen is given by:
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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.

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:

5.13.4 Tunnels
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 system, 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 landscape is not disturbed
iv) Tunneling work has become easier with development techniques of drilling and
blasting and new mechanical equipment (Tunnel Boring Machines)
v) Development of rock mechanics and experimental stress analysis has given greater
confidence to engineers regarding stability of tunnels.

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Hydropower tunnels serve as service tunnels in addition to water carrying tunnels

The Water carrying tunnels include head race or power tunnels, tail race tunnels and
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 follows the same principles as used in the
design of open canals.

Service tunnels include 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 and access or approach tunnels used as a passage tunnel from
surface to underground power house.

The shape of a tunnel can be circular, D-shaped and horseshoe shaped. Circular
tunnels are most stable structurally. They are more stable when the internal pressure is
very high.

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

Figure 5.24: Commonly adopted tunnel shapes

Tunnels are aligned nearly horizontal when used as head race, access and tailrace
tunnel. Shaft and pressurized tunnels are steep with vertical alignment or 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.

Lining of tunnel can be done with plain concrete, fiber reinforced concrete, R.C. or
steel in the case of pressure shafts.
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
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
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In the case of low-pressure tunnels the tunnel surface may frequently be left unlined
except for visible fissures. A watertight lining is usually required for tunnels operating
under medium and high heads. Seepage is more likely to occur as the head increases,
water may leak through the smallest fissures and cracks. Moreover, under high-
pressure it may penetrate the otherwise watertight rock and render it permeable.
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

5.13.5 Tunnel Design Features

In addition to the fore mentioned general discussion, as design features alignment,
geometric shape, longitudinal slope, flow velocity, head loss, rock cover
(overburden), lining requirements and economic x-section are mst important.

Alignment:
In aligning water tunnels, the following points should be taken in to account:
 Length of the tunnel: as much as possible short route should be followed
 Location of surge tanks & adits: the alignment should provide convenient points
for surge tanks & adits.
 Rock cover (overburden): sufficient rock cover should be available along the
alignment
 Discontinuities: the alignment should, if possible, avoid crossing of weakness
zones, joint planes, etc. If crossing of these features is unavoidable, suitable
direction of crossing should be considered.
 Rock quality: good quality of rock mass should be sought in aligning the tunnel

Geometrical Shape:
 The choice of the cross-sectional profile of a tunnel depends on:
 Hydraulic considerations: Circular is preferable
 Stability considerations: Circular is preferable
 Convenience for construction: Horseshoe is preferable
 Available tunneling equipment :

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
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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 in use. 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

hw
hr

Figure 4.25: 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.
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Head Loss:
Head losses in tunnels can be computed using Manning’s, Darcy-Weisbach, or Hazen-
Williams formulas.
2
Manning formula: h f  n 2 lv4 / 3
R
2
Darcy-Weisbach formula: h f   l v
2 g Deq

Hazen-Williams formula (rarely used): h f  6.84 l v1.85

1.17
C 1.85 Deq
Where, hf is head loss due to friction, L is tunnel length, V is mean velocity of flow, R
is hydraulic radius, Deq is equivalent diameter ( Deq  4A /  ), A is area of the tunnel
x-section, n is Manning’s roughness coefficient,  is Darcy-Weisbach friction factor
(can be obtained from Moody diagram), and C is Hazen-Williams roughness
coefficient.

Optimum X-section:

The optimum x-section of a tunnel or a shaft is one for which the sum of tunnel
construction cost and the economic loss due to head loss is minimum.

Total cost
Cost

Economic Construction
loss cost

X-section

Figure 5.26: Optimum tunnel cross-section

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

For concrete-lined tunnels: D  0.62 Q 0.48

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

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5.14 Forebays
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 as shown in Figure 4.27.

Figure 5.27: General Arrangement of a Forebay.

5.14.1 Functions of a Forebay

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

5.14.2 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.

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5.14.3 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 varies 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 which does not damage the turbines significantly.
A gradual transition section should be provided between the power canal and the
forebay basin. In the case of wide forebays, baffle piers are usually constructed at the
basin inlet in order to ensure even distribution of flow to the basin.
The bottom of the forebay basin should be provided with a proper slope to enable
periodical flushing of the silt deposited.
A bottom lining of the forebay basin is required in soils where large seepage is
expected. As concrete lining of large basins is very expensive, a less costly solution of
clay lining is usually adopted. The smoothed bottom of the basin is covered with
plastic clay to a thickness of 20 to 50 cm. The cover is compacted in several layers
and is protected against disturbance due to soaking and wave action by a layer of
gravel or crushed stone.
The spillway is usually an ogee type with stilling basin. If the discharge to be taken
care of is great and if, at the same time, prevailing conditions do not permit the
construction of a long overflow weir, water surface regulation within narrow limits
can be attained by constructing a siphon type spillway.
The spillway and the bottom outlet canal should be combined immediately at the foot
of the basin. Water spilling over the spillway crest and through the bottom outlet can
be either diverted into a suitable river bed (if any) in a nearby side valley or conveyed
by a special chute.
In designing a forebay tank, it is important to keep the entrance to the penstock fully
submerged. This is to prevent air being drawn in to the penstock because of a vortex
which can be formed if the penstock entrance is closer to the water surface in the
basin.
The usual components of the intake such as trashracks, flow control devices (gates or
valves), etc. must be provided at the penstock inlet. It is necessary to install an air vent
behind the gate to prevent damage to the penstock if for some reason the penstock
entrance is blocked or the gate is suddenly closed causing a low pressure inside the
conduit which can make it collapse inwards. The air vent can also help remove air
from inside the penstock during startup.

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5.15 Surge Tanks

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

Figure 5.28: General Arrangement of a Surge Tank

5.16 PENSTOCK
The penstock is high pressure pipeline between forebay (surge tank or reservoirs) and
the turbine. The design principle of penstocks is the same as that of pressure vessels
& tanks but water hammer effect has to be considered. For short length, a separate
penstock for each turbine is preferable. For a moderate heads & long distances a
single penstock is used to find two or more turbines through a special branching pipe
called Manifold.

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Figure 5.29: Components of a penstock

5.16.1 Classification of penstock

Classification may based on:
1) The material of construction
2) Method of support.
3) Rigidity of connection and support
4) Number of penstocks

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.

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
 Continuity of support given by the soil provides  Difficulty in inspection
better structural storability.
 Pipe is protected from high temperature  Possibility of sliding on step
fluctuations  slopes
 Conservation of natural land escape  Difficulty in maintenance
 Protection from slides, storms & sabotage.  Expensive for loge diameter in
rocky soils.

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Exposed penstocks: supported on piers or saddles.

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

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 condition 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

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.

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5.16.2 Hydraulic design of penstock

Permissible velocities:
3 to 5 m/s (no abrasion property settled water) for properly settled water in
exceptional cases up to 5m/s may be tolerated.
Q0 D 2 Q0
Therefore: A   D  1.128
v0 4 v0
Head losses:
2
i) Frictional head loss: h f   L v
D 2g
v2
ii) Other local losses: h f c  k where k = local loss coefficient
2g
Penstock Conditions k
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.

5.16.3 Economical Diameter of Penstock (D)

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 – hf (capital cost, running cost)
If D is small, large hf , reduction in output, loss in revenue. If D is large, small hf ,
greater output , larger initial cost.

Total cost
Cost

Economic Construction
loss cost

X-section
Figure 5.30: Economical Diameter of Penstock

For preliminary design various empirical formula are available

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1) SARKARIA’S Formula

0.62 P 0.43 D - Penstock diameter (m)

D
H 0.65
P - hp transmitted by the pipe
H – Net head e the end of the penstock is m.
2) USBR
v  0.125 2 gH v – Optimum velocity
3) Donald’s formula
0.466
P
D  0.176  
H
4) Fahlbusch (2982)
D  0.52 H 0.17 P  H 0.43

5.16.4 Structural 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

The pressure wave speed C (m/s) depends on the elasticity of the water and pipe
material according to the formula:
Em 1 1 D
C Where  
 Em K TE
For instant closure, the time taken for the pressure wave to reach on the valve on its
return, after sudden closure is tc  2L
C
For instantaneous closure, the pressure wave reaches the valve after its closure the
increase in pressure, in meters of water column, due to the pressure wave:
Cv o Where v0 = the velocity change
h
g
For all other closure 2L the max pressure rise at the valve
tc  ,
C
h 2L C vo 2 L 2vo L
hmax   . 
C tc g C tc g tc

The value of water hammer pressure rise as computed above may be taken at the
turbine gate, reducing to zero at intake or surge tank level. Values at intermediate
location may be calculated assuming a straight line variation

Thus, design head H = static head plus water hammer head.

For thin walled vessels, where D  20
t
pD Where σ = tensile strength of the penstock material
 
2t
At the design pressure, p, the wall thickness is computed by:

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PD
t
2
In the above    a; a = allowable stress
 = is coefficient depending on joint type. For welded joint, ( = 0.85 – 0.95)
For steel used in penstocks usually a factor of safety of 3 to 3.5 is used. Thus for
material with ultimate tensile strength of 3700 kg/cm2; a  1200 kg/cm2

Thus for design purposes, t

pD
2 a
For protection against coating deterioration add 1 to 3mm to the above value.
For thick welded piper where D  20, the following formula gives sufficient
t
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  3
 kg / cm 2
r D3
I =moment of inertia of cross section of the pipe ring t3 m3
12
E =modulus of elasticity of steel
3
Introducing a safety factor, Pe  1  t  n=2 for buried pipes; n=4 for exposed pipes
2  
 D
 Pe
t  D3
2E

For example for complete vacuum, t  D3 4 1

 0.01D
2  2  10 6

5.16.5 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
 Ease of installation
 Suitability for chosen pipe material

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 Degree of joint flexibility

Methods of pipe jointing fall roughly into four categories:

 Flanged joints
 Spigot and socket joints
 Mechanical 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 4.31. 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. Flanged joints do
not allow any flexibility. They are generally used to join steel pipes, and occasionally
ductile iron pipes.

Figure 5.31: 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 4.32.

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 5.32: Spigot & socket joints

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

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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 5.33: 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.

5.16.6 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 34 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.
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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 4.34: 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. 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

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undisturbed soil which provides the reaction force. 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 5.35: Thrust block

Conditions of Stability for Supports and Anchors:
For any penstock support or anchor to be stable and fulfill its intended purpose, the
following conditions must be met:

The structure should be safe against sliding. For sliding not to occur:
 H   V
Where, H and V, respectively, are the sum of all horizontal and vertical forces, and
 is the coefficient of friction between the structure and the ground often assumed as
0.5.

The structure should be safe against overturning. For this condition to be fulfilled, the
resultant force should act within the middle third of the base. In other words,
Lbase
e 
6
Where, e is eccentricity of loading and Lbase is length of the structure base.

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

5.16.7 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 ahead of the turbine, and is named as turbine inlet valve.
The upper valve is sometimes replaced by a gate.

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

The main purpose of turbine inlet valve is to close the penstock while the turbine is
inoperative. It can also act as an emergency shut-off device. This valve cannot be
omitted except under especial case where the penstock supplies a single unit having
installed the penstock inlet valve. The number of turbine inlet valves required at a
power station is governed by the number of turbine units installed, but not by the
number of penstocks, as a single penstock can serve a number of units through a
manifold at the end. There are varies types of valves for use in hydropower
installations. The most frequently applied include:

 Gate valves
 Butterfly valves
 Spherical valves
 Needle valves

The type to be applied should be determined individually for each case after
considering the various factors involved. For details on valves, reference can be made
to hydropower and hydraulic structures textbooks.

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