materials

Review
Common Failures in Hydraulic Kaplan Turbine Blades and
Practical Solutions
Waleed Khalid Mohammed Ridha 1 , Kazem Reza Kashyzadeh 2, * and Siamak Ghorbani 1

1 Department of Mechanical Engineering Technologies, Academy of Engineering, Peoples’ Friendship

University of Russia (RUDN University), 6 Miklukho-Maklaya Street, 117198 Moscow, Russia
2 Department of Transport, Academy of Engineering, Peoples’ Friendship University of Russia
(RUDN University), 6 Miklukho-Maklaya Street, 117198 Moscow, Russia
* Correspondence: [email protected]; Tel.: +98-912-076-86-70

Abstract: Kaplan turbines, as one of the well-known hydraulic turbines, are generally utilized
worldwide for low-head and high-flow conditions. Any failure in each of the turbine components can
result in long-term downtime and high repair costs. In a particular case, if other parts are damaged
due to the impact of the broken blades (e.g., the main shaft of the turbine), the whole power plant
may be shut down. On the other hand, further research on the primary causes of failures in turbines
can help improve the present failure evaluation methodologies in power plants. Hence, the main
objective of this paper is to present the major causes of Kaplan turbine failures to prevent excessive
damage to the equipment and provide practical solutions for them. In general, turbines are mainly
subjected to both Internal Object Damage (IOD) and Foreign Object Damage (FOD). Accordingly, this
paper presents a state-of-the-art review of Kaplan turbine failures related to material and physical
defects, deficiencies in design, deficits in manufacturing and assembly processes, corrosion failures,
fatigue failure, cavitation wear, types of cavitation in hydro turbines, hydro-abrasive problems, and
hydro-erosion problems. Eventually, the authors have attempted to discuss practical hints (e.g.,
nanostructured coatings) to prevent damages and improve the performance of Kaplan turbines.

Keywords: hydropower; Kaplan hydro turbine; turbine blade; internal object damage; foreign object
damage; nanostructured coatings

Citation: Khalid Mohammed Ridha,

W.; Reza Kashyzadeh, K.; Ghorbani,
S. Common Failures in Hydraulic 1. Introduction
Kaplan Turbine Blades and Practical Turbine is the most essential mechanical component of any hydropower generating
Solutions. Materials 2023, 16, 3303.
unit. This device converts the kinetic energy of running water into the rotary motion
https://doi.org/10.3390/ma16093303
required to turn a generator, and then generates electricity. According to the published
Academic Editor: Enrique Casarejos reports, cavitation [1–3], silt erosion [4–7], and fatigue [8–11] are the common reasons for
damages to hydro turbines, specifically Kaplan turbines. Since the finding of the first
Received: 7 March 2023
type of hydro turbine (Francis) in 1848 [12], the erosion of hydraulic machines due to
Revised: 15 April 2023
cavitation and solid particles has been challenging for engineers involved in the design,
Accepted: 19 April 2023
construction, operation, and maintenance of HPPs. Moreover, cavitations, including tip
Published: 23 April 2023
clearance cavitation [13] and tip vortex cavitation [14], might take place in hydro turbines
due to the presence of hard particles such as feldspar and quartz. This is associated with the
fact that the pressure inside the hydro unit frequently drops low enough to equal the vapor
Copyright: © 2023 by the authors. pressure of water [15]. In addition, the bubbles generated in the region of gas- or vapor-
Licensee MDPI, Basel, Switzerland. filled cavities affect the flow stability, resulting in vibration of the hydro unit [16]. Other
This article is an open access article consequences of the cavities may be noise emission, shock waves, and micro jets [17]. Thus,
distributed under the terms and when the leakage flow exits the blade tip gap, a flow jet can be produced [18]. Additionally,
conditions of the Creative Commons when the flow jet departs from the suction side and interacts with the freestream flow at a
Attribution (CC BY) license (https:// separation line, a tip vortex is produced [19]. As a result, the tip leakage vortex is made,
creativecommons.org/licenses/by/ which affects cavitation, flow instabilities, erosion, and noise [20].
4.0/).

Materials 2023, 16, 3303. https://doi.org/10.3390/ma16093303 https://www.mdpi.com/journal/materials

Materials 2023, 16, 3303 2 of 37

Hydroelectric power plants have been investigated due to their capacity to adapt to
changes in the use of electrical power networks by Alligne’ et al. [21]. Hydraulic machinery
was subjected to off-design operation to keep up with this shifting demand. Hence, under
specific circumstances, the swirling flow leaving the runner of a Francis turbine may operate
as an excitation source for the entire hydraulic system. In fact, the main aim of this study
was to determine how the location of the full load excitation source affected the stability
of the system. Branko has carried out noise sampling, signal processing, and analysis as
part of the vibro-acoustic diagnostics of turbine cavitation [22]. These were looked at in a
series of prototype and model tests at several weak points in the practice. After that, new
methods and advancements were made. These methods allowed for the early detection of
negative impacts on turbine operation and the extraction of data on cavitation specifics.
Nicolet et al. found that when a hydro turbine had to be turned off quickly, it put too much
stress on the wicket gates and caused the head, discharge, speed, and torque to swing
wildly, which led to breaking the safety pin [23]. Based on these findings, if the turbine
shuts down for no reason, it could hurt the moving parts and the operating instruments
that are connected to them. Two hydropower facilities’ runner blade deformation was
examined by Gagnon and Leonard [24]. They reported that load rejection causes the most
fatigue damage in both situations. Hydro turbine erosion caused by solid particles is also
called sand erosion, silt erosion, or hydro-abrasive wear [25–27]. Moreover, mechanical
wear caused by water sediment is a major global HPP operation and maintenance issue.
Hydraulic turbine components exposed to sediment-filled water can wear out and cause
sudden power plant shutdowns. In other words, the dynamic action of silt and water
flow impacting on the solid surfaces of hydraulic components leads to this damage [28].
Runner blades, nozzles, guide vanes, ring liners, and inlet valve seals, etc., are those parts
of the hydro turbine that are unfavorably influenced by residue [29]. Deterioration in
the operation and functioning of HPPs because of the sediment effect causes catastrophic
problems not only for turbine performance, but may also lead to complete collapse of the
power plant. For example, vibration associated with mechanical wear might cause cracking
and collapse in these power plants’ foundations and infrastructure. Additionally, as a
result, the plant’s output efficiency gradually decreases [30]. In general, various factors
influence the growth of hydraulic machinery’s sediment wear process, including particle
mean velocity, mass, concentration of abrasive particles in a liquid flow, grain size, and
particle collision angle on the surface of the turbine blades [31]. The documents available
in the factories indicate that most of the hydraulic turbine parts are made of stainless steel
with high hardness. Additionally, most types of hydro turbines include low-carbon super
martensitic stainless steel 13Cr-4Ni-(Mo) rotor blades and guide vanes [32,33], but this
does not protect the main parts from water sediments, particularly the runner blades and
guide vanes. In this regard, three ways have traditionally been considered to overcome
water sediment damage, including the design improvement of hydraulic components,
development of a new wear-resistant alloy, and component coating [1]. A coating can be
defined as a thin film formed or deposited on the surface of a component made of another
material that is similar to the mechanical properties of the matrix and has good corrosion
and wear resistance [34,35]. Surface coating technology is an effective way to enhance the
silt wear resistance properties of different components of hydro turbines by modifying
their surfaces. In this regard, hard metallics, carbides, borides, oxides, carbonitrides, metal-
ceramics (cermet), silicide, and non-metallic materials have all been employed to resist wear
damage in various coating systems. Such coatings can be made by reinforcing ready-to-use
coating materials or by fabricating in situ coatings (by mixing multiple powder precursors
in the desired ratio) with the help of a suitable heat source [1]. Under heavy silt conditions,
the most preferable characteristics of a protective coating are cavitation, abrasion, erosion,
and corrosion resistance; strong bonding to the substrate; vibration damping; and easy
applicability at the site.
Despite conducting extensive research in the recognition and development of contem-
porary techniques to reduce the effects of mechanical wear in the damaged components
Materials 2023, 16, 3303 3 of 37

of turbines, the current research describes some methods, allowing the deployment of
coatings with nanochemical composition and extraordinary properties to improve func-
tional performance. Nanostructured coatings have recently attracted attention due to the
possibility of synthesizing materials with unique qualities such as high hardness, tough-
ness, and wear resistance, which make them technologically attractive for a variety of
industrial applications. This paper discusses the various types of wear to which mechanical
equipment is exposed, as well as the technological methods to prevent it, especially the
coating techniques with nanomaterial.

2. Structure of the Kaplan Hydraulic Turbine

A hydro turbine is a rotating machine that converts the energy of flowing water
into rotating shaft energy. In other words, it is a wheel-like structure attached to the
shaft, and the wheel begins to rotate when it is impacted by water flow [36]. Based on
the fundamental method of utilizing water energy, turbines for small-scale hydropower
projects are classified as either impulse turbines or reaction turbines [37]. Reaction turbines
(e.g., Kaplan, Francis, and Archimedes Screw) are typically utilized in non-mountainous
areas with relatively low heads and large flow rates. On the other hand, impulse turbines
are designed for medium-to-high heads and low flow rate applications (e.g., Pelton, Turgo,
and Cross-flow) [38].
Kaplan turbines are generally utilized across the world. In fact, the main idea of manu-
facturing the cost-effective and small Kaplan turbines was for individual use. Additionally,
due to the large number of this type of turbine in industries, it is the main focus of the
present research.

Kaplan Hydraulic Turbine

The Kaplan turbine is classified as a reaction turbine, and it is a propeller-type water
turbine that has movable edges; Viktor Kaplan, an Austrian teacher, invented it in 1913.
The operational head of water ranges from 10 to 70 m and the power generation from 5 to
200 MW [39]. From its apparent head of 34.65 m, the Kaplan turbine foundation is said to
provide the highest power, and each of the ten 4.8 m wide sprinters at the Tacoma Power
Plant (Venezuela) will produce 235 MW. Kaplan turbines are currently more popular due to
their dual regulating function, which allows them to operate under a variety of hydraulic
circumstances. Kaplan turbines can save more time and resources in the construction of
power plants than higher-head turbines since they have a smaller excavation depth and
require less earth excavation [40,41]. Figure 1 depicts a side view of the hydropower plant
and the main parts of the Kaplan turbine [42]. The main parts of the Kaplan turbine are:
spiral casings; stay ring and stay vanes; guide vanes; runner blades; and draft tube.
All the mentioned components of a hydraulic turbine suffer from different variations
in operational regimes, which lead to the turbine’s failure and even to a catastrophic
consequence. Before starting to analyze different damages in hydraulic turbine, we have
provided some different types of historical failures and their possible sources of origin or
reasons of failure in Table 1. As shown in this table, the main reason why turbines fail,
especially the moving parts, is due to how the turbine is being used. Most of the time, the
main parts of turbines are made to be very resistant to wear, but that does not mean they
cannot get broken. Additionally, cavitation is one of the main causes of turbine damage,
especially in reaction type turbines, and usually causes the turbine to vibrate, which leads
to fatigue cracking and runner blade damage. However, there are a lot of different cases
that result in the failure of hydraulic turbines. These cases are also reviewed and discussed
in Section 3 in the appropriate subsection according to the reason for the failure.
Materials 2023, 16, x FOR PEER REVIEW 4 of 38

Materials 2023, 16, 3303 4 of 37

that result in the failure of hydraulic turbines. These cases are also reviewed and discussed
in Section 3 in the appropriate subsection according to the reason for the failure.

(a)

(b)
Figure1.1.(a)
Figure (a)Side
Side view
view of of
thethe hydropower
hydropower plant
plant andand (b) main
(b) the the main
partsparts of Kaplan
of Kaplan turbine
turbine [42]. [42].
Materials 2023, 16, 3303 5 of 37

Table 1. A brief overview of catastrophic failures in hydraulic turbines.

Hydropower Plant and

Turbine Type Description
Occurrence Year
Turbine rated power 22 MW, head 19 m, and They reported that due to design flaws, the turbine
Kaplan
speed 150 rpm accident in Russia, 1960. blades fractured, and the power plant shut down [43,44].
Analysts claimed that when system unpredictability is
Turbine accident, Hydroelectric station, Zvornik, combined with complacency or the assumption that the
Kaplan
in former Yugoslavia in 1975. problem has already been solved, design implications
become considerably more difficult [43].
Turbine accidents at Ozbalt hydropower plant,
Kaplan The main cause of failure is not printed.
former Yugoslavia, 1976.
Because of its high discharge, the Kaplan turbine is
Iron gate hydropower plant prone to cavitation and damage to the runner blades.
Kaplan
(Romania and Serbia), 1984. This is because the water pressure around the turbine is
always very low [45].
The turbine over speed signal was recorded and the
emergency stop level closed the guide vanes. Therefore,
emergency closure at over speed, a more severe initial
A turbine broke down in Sweden in 1986. Kaplan condition, was enough to result in an accident [46]. In
this regard, inadequate design and lack of calculation of
difficult operational requirements lead to serious
accidents.
Cavitation phenomena and high hydraulic loads caused
the runner blades on the No. 5 Kaplan turbine to wear
Gezhouba hydropower plant (China), 1989. Kaplan
out. The root area is usually the high-stress area and it is
easy for the crack to initiate [47].
Turbine piston rod No. 3 was damaged. A crack started
Shuikou hydropower plant (China), 2006. Kaplan as a defect and continued to spread as fatigue set in as a
result of cyclic loading [48].
For the safety of the hydropower plant, the speed of the
synchronous generator should stay constant. This will
keep the frequency almost the same. The second turbine
worked in an area that is not recommended (between
200 MW and 400 MW of power with a head of water of
210 m), which caused strong dynamic loads and
Sayano-Shushenskaya hydropower plant vibrations. The rotating speed was controlled by the
Francis
(Russia), 2009. speed governor. The turbine cover was unfastened
because of Unit No. 2’s avalanche-like increase in
vibrations. The turbine cover flew up from the stator
flange because several bolts came loose due to
vibrations, and some had fatigue wear of up to 80–95%.
The hydraulic unit was then separated, along with its
turbine wheel [49].
Runner blade damages and structural cracks due to
Haditha hydropower plant (Iraq), 2012. Kaplan
vibration and the effect of cavitation [50].
Damage to the blade and separation of the water
The USA turbine accident. Kaplan
column [46].
Ice Harbor hydropower plant, turbine No. 2. Kaplan Blade damage and water column separation [51–56].
Modification and extension work to increase the
capacity of the Gordon M. Shrum Generating
Significant losses occurred due to the disruption in the
Station on the Peace River in northern British Kaplan
design of hydropower facilities [57].
Columbia, Canada, from 261 MW to 305 MW for
each unit 1 to 5 at GSM., 2009.
Materials 2023, 16, 3303 6 of 37

3. Various Damages in Hydraulic Turbines

In its simplest form, failure can be defined as any change in a machinery part or
component that results in its inability to execute its intended function satisfactorily [58].
Machines are the core of every production line. Failure of the equipment carries a huge
cost, which is not limited to wasting money and time on directly repairing equipment, but
also includes the cost of unused equipment and the cost of lost unemployment benefits.
To avoid excessive losses and limit business disruptions due to damaged machinery and
equipment, it is necessary to investigate the causes of equipment failure. Machines fail for a
variety of reasons. Some of these causes are due to material and physical defects, assembly,
and manufacturing flaws, while others are due to external and operational factors. In the
following, a detailed description of them will be given.

3.1. Internal Object Damage (IOD)

These types of damages are internal in the sense that an external factor does not
cause the damage. Furthermore, diagnosing this type of damage is very difficult and
must be conducted using special equipment and high experience. For example, the cavity
created under the surface of the part due to the wrong casting process cannot be seen and
recognized by the eye, and this damage can significantly reduce the strength of the part. In
the following is a complete description of this type of defect in the field of turbine blades.

3.1.1. Material and Physical Defects

A hydro turbine is an important part of any power plant that works at its best by
keeping its operating conditions stable. After a few years of operation, hydro turbine
performance and efficiency may decline for several reasons, one of which is material and
physical defects. Material and physical defects are flaws in the raw materials that make up
a product, such as problems with the supplier, problems at the time of delivery, problems
caused by improper storage, and so on [59]. In addition, the handling and production
of materials can lead to material flaws. Many deviations in physical characteristics are
brought on by the presence of material flaws and impurities. Moreover, material flaws
and impurities change the hardness and other physical properties in certain places. In
this way, one of the most common worries is damage near the spot where the welds are
being performed. Additionally, the welding process parameters will change the physical
properties of the material in the welding area. Stainless steel is used in many parts of
hydroelectric plants, especially turbines that must work in environments that are both
corrosive and erosive. In this regard, the martensitic series are used to make parts with
high mechanical strength and moderate wear and corrosion resistance. Additionally, the
austenitic series are used when better corrosion resistance is needed, even though their
mechanical strength is lower [60]. The stable chromium oxide barrier that forms on stainless
steels makes them very resistant to wear and corrosion. For example, Francis and Kaplan
turbines’ runners were made of martensitic (16% Cr and 5% Ni) steel, which contains a
tiny amount of austenitic iron, up to 1972. Even though the wires were made of the same
materials as the runners, some issues still appeared. The issue was that after normal cooling
to 50 ◦ C, where the transition from austenitic to martensitic should have taken place for the
given composition of Cr/Ni steel, the weld compound was completely austenitic. The cause
of this deviation was discovered because nitrogen (Ni) was added to the electrodes’ mantel
to create a more flexible austenite weld deposit and reduce the risk of weld cracking during
cooling after stress relieving up to 580 ◦ C and then cooling to a martensitic [61–63]. Among
all stainless steels, since 304 and 316 stainless steels have a lot of chromium and nickel,
they are very resistant to destructive phenomena, such as erosion, wear, and corrosion.
This is why they are widely used to manufacture blades for hydro turbines. In fact, 304
and 316 stainless steels are in the austenitic grade class. Austenitic grade stainless steels
have a structure that makes them non-magnetic and prevents heat treatment from making
them harder. Tables 2 and 3 show, respectively, the chemical composition and mechanical
properties of these stainless steels [64].
Materials 2023, 16, 3303 7 of 37

Table 2. The chemical composition of SS304 and SS316 [64].

(wt%)
Grade
Cr Ni Mn Si Mo C N S P Fe
SS304 18.18 8.48 1.75 0.57 0.2 0.051 0.05 0.005 0.028 Base
SS316 18 10 2 0.75 1.66 0.08 0.1 0.03 0.045 Base

Table 3. The mechanical properties of SS304 and SS316 [64].

Grade Tensile Strength (MPa) Hardness (Brinell)

SS304 500–700 215 max HB
SS316 400–620 149 max HB

As an important part of a hydroelectric generating set, the turbine runner is not only
the core of energy conversion, but also affects the hydraulic performance and reliability
of the whole set. Large turbine runners are hard to move around because of traffic, so
most of them are put together and welded at the unit’s installation site after each blade is
made at the factory. High temperatures in areas near the welding zone can cause flaws in
the metal used to manufacture the turbine’s runner blades because it is hard to perform
heat treatment in the field [65]. Once the problems are bad enough, the turbine will start
to shake more, and cavitation at the water outlet on the back of the blade will make
the working face wear out faster. This significantly reduces the turbine’s power output
efficiency. Additionally, the operation of the turbine unit poses significant potential risks
to safety. Because hydraulic turbines are so big and it is hard to obtain data on faults, not
many scholars have investigated how to find surface defects on turbine runner blades and
other related topics.
A penstock rupture at a small hydropower facility in Poland in December 1997 is an
example of this type of accident. The investigations on the material tests of the ruptured
penstock shell revealed that the main structure of the material was pearlitic/ferritic with
non-metallic inclusions. In addition, due to the decreased tensile strength (40–50%) of the
welded seams in the penstock shell compared with the raw material of the penstock, as
well as the tool delivering little heat on the material in the weld joints, it led to microcracks,
gas bubbles, oxides, and cold droplets in the first fusion region of the raw material [66].
Moreover, it is claimed that if the material defects happen in the zone where the runner
frequency coincides with the dynamic pressure, excitation frequencies may accelerate to
the fatigue process, leading to blade vibration and damaging the blade [67]. Arrington has
written about the crack in the steel penstock at the Oneida station hydroelectric plant and
the break in the lower needle valve body at the Bartlett dam in the United States [68]. If the
inspection is carried out at an early stage, the use of materials with early defects that lead
to lower quality will be reduced. Failures of any part of turbo equipment usually start in a
critical zone with a high concentration of stress, such as a metallurgical discontinuity or
an area with a lot of wear. In any case, material defects in turbine parts will speed up the
process of failure [8,69]. The auxiliary shaft of the 105 MW Kaplan turbine failed. This failed
shaft was positioned inside the turbine runner and was connected to the turbine blades. Its
primary duty was to turn the Kaplan blades in the flow direction to obtain maximum turbine
efficiency. The hydraulic turbine had been operational for approximately 12 years [70].
The failure study revealed that the main reasons for the crack initiation and subsequent
fracture propagation were a stress concentration placed near the failed shaft and frequent
load changes. They proposed non-destructive inspection of the auxiliary shaft materials,
considering variable material compositions, to detect cracks and material damage [70].
Material and physical defects are essentially controlled during the manufacturing stages of
the turbine and its components, so that the manufactured turbine parts meet the standards
required by the hydropower plant. However, it is necessary to preserve the properties of
intact turbine components during the assembly and installation phases [71,72]. A key step
Materials 2023, 16, 3303 8 of 37

in preventing damage during operation is choosing the right material for the turbine and
the best way to make it. Typically, improper coatings and welding joints change the metal’s
characteristics, which can cause material defects. After many reviews, it can be concluded
that a big problem that can become a cause of turbine failure is the hydro turbine’s assembly,
which is connected to several components and welding joints [73].

3.1.2. Deficiencies in Design

Design flaws are undesirable characteristics of a product or system that arise as a result
of the design process. This procedure includes the creation of the initial concept, the defini-
tion of the general configuration, and details in design (i.e., selection and specification of
materials and manufacturing processes) [74,75]. Inadequate dimensions, such as thickness
and radius, functional limitations, and a failure to anticipate service conditions, etc., are all
examples of design flaws. Because these types of design flaws are frequently red herrings,
the previous explanation on material faults also applies to them [76]. A part is not always
imperfect just because it was designed and made with less-than-ideal features. Hydro-
electric turbines are designed to transform the energy associated with moving water into
mechanical energy. This is accomplished using a series of metal blades that are connected
to a central shaft. As experience has taught us, we must teach the new hydro generation
that many power plants have had problems and accidents, some of which have resulted in
death and significant financial costs. A lack of effective design and review procedures, or in
the case of small plants, lack of proper design, is one of the reasons for these incidents [77].
One of the accidents at a hydropower plant because of design flaws was at the Stugun
hydropower plant, located in the north of Sweden [46]. Various tests were conducted due
to the renovation of the generator and the turbine. Preliminary observations indicated
that a reverse water hammer had broken the runner blade and head cover. To perform a
comprehensive analysis, a reconstruction, redesign, adjustment, or enlargement design
should be reviewed. An incident occurred during commissioning testing at the Akkats
rebuild plant in Sweden in 2002 [46,78]. Although extensive repairs were made, it was
only able to regain 80% of its generation capacity. During a load rejection, the guide vanes
rapidly close. Therefore, water column separation collapsed and caused the lifting of the
runner with 700 tons of shaft and generator rotor. In this case, all steps of design had to be
conducted carefully again.
Tata power company’s Bhira installation was India’s first pump storage facility, opened
in 2002 [46]. Because of its unstable properties, the pump turbine generated penstock
resonance during trial operation, resulting in penstock rupture and the deaths of four
individuals. Unexpected challenges may have been avoided if the above-mentioned design
and review procedures had been followed [46]. A dangerous runner lifting occurred in
2003 at Tianhuangping pumped storage power station, Zhejiang Province, China, the
first such reported incident during load acceptance [79]. At this time, unit No. 2 was
synchronized and operated in a turbine mode for trial operation. In this plant, water was
conveyed to six 300 MW reversible reaction turbines through two headrace tunnels of 7 m in
diameter, which branched in front of the powerhouse into three penstocks with a diameter
of 3.2 m. Each of the six tailrace tunnels had a diameter of 4.4 m. Connecting three 7 m
diameter penstocks to one makes the hydraulic properties more unstable. Simultaneous
load rejection is particularly hazardous; three units passing through an unstable zone at
the same time can cause unanticipated surging [46]. It was not addressed in the feasibility
study or general design; it should have been addressed in the detailed design (following
bidding) and verified during commissioning and operation.
Another major problem was Serbia’s Bajina Basta pump-turbine system. To achieve
economic, social, technical, and environmental success, the design, building, and op-
eration of any hydroelectric plant require numerous details to be effectively conceived,
accurately executed, and carefully coordinated. After bidding, the highest head pumped
storage station at the time was meticulously reviewed by the design team, and they also
studied manufacturers’ data; eventually, all design stages were approved [51]. The Sayano-
 operation.
Another major problem was Serbia’s Bajina Basta pump-turbine system. To achieve
economic, social, technical, and environmental success, the design, building, and
operation of any hydroelectric plant require numerous details to be effectively conceived,
accurately executed, and carefully coordinated. After bidding, the highest head pumped
Materials 2023, 16, 3303 9 of 37
storage station at the time was meticulously reviewed by the design team, and they also
studied manufacturers’ data; eventually, all design stages were approved [51]. The
Sayano-Shushenskaya power station catastrophe is one of the most serious hydropower
Shushenskaya power
plant disasters. station catastrophe is one
The Sayano-Shushenskaya damofinthe mostnear
Russia, serious hydropower
Sayanogorsk, plant
collapsed
disasters. The Sayano-Shushenskaya dam in Russia, near Sayanogorsk, collapsed catas-
catastrophically, as shown in Figure 2, flooding the turbine hall and killing 75 people [52].
trophically,
Accordingly,as shown
turbineinNo.
Figure 2, flooding
2 was repaired the turbine
from hall to
January and killing2009,
March 75 people
and a [52].
new
Accordingly, turbine No. 2 was repaired from January to March 2009, and a new automatic
automatic control system was installed to slow or speed up the turbine to adjust output
control system was installed to slow or speed up the turbine to adjust output to changes
to changes in power demand [53]. It seems that this adjustment, modification in project
in power demand [53]. It seems that this adjustment, modification in project design, and
design, and parameters were not applied in commissioning and trial operations [46,51,54].
parameters were not applied in commissioning and trial operations [46,51,54]. Despite
Despite careful design procedures, the dangerous water hammer was not detected during
careful design procedures, the dangerous water hammer was not detected during the
the design stages; fortunately, preventing the machine from running into the unstable
design stages; fortunately, preventing the machine from running into the unstable zone
zone problem was achieved, but the system remains on the verge of disaster if the control
problem was achieved, but the system remains on the verge of disaster if the control system
system fails. The water hammer was the source of hydraulic force, which had ruined the
fails. The water hammer was the source of hydraulic force, which had ruined the turbines
turbines and generators as in an explosion. From a fluid mechanics and hydraulics
and generators as in an explosion. From a fluid mechanics and hydraulics perspective, the
perspective, the authors believe that reverse water hammer is a much more likely source
authors believe that reverse water hammer is a much more likely source of such a force.
of such a force.

Figure 2. Sayano-Shushenskaya hydropower plant after accident [52].

Figure 2. Sayano-Shushenskaya hydropower plant after accident [52].

3.1.3.Deficits
3.1.3. DeficitsininManufacturing
Manufacturingand andAssembly
AssemblyProcesses
Processes
Kaplanturbines
Kaplan turbinesareare commonly
commonly utilized
utilized in low-water
in low-water headhead and large-capacity
and large-capacity hy-
hydropower
dropower projects
projects [71]. [71].
VariousVarious
static static and dynamic
and dynamic pressure pressure
loads are loads are to
applied applied
Kaplanto
Kaplan turbines.
turbines. The net
The net head andhead
flowand
rateflow rate passing
passing throughthrough
the runner the determine
runner determine the
the static
static pressure
pressure load. Moreover,
load. Moreover, dynamicload
dynamic pressure pressure load
is created byisthecreated by the
rotor–stator rotor–stator
interaction or
interaction
other or otherdynamic
less common less common dynamic
phenomena suchphenomena such as
as vortex rope, tipvortex
vortex,rope,
andtip
Vonvortex,
Karmanand
Von Karman
vortices [70]. vortices [70].
Manufacturing
Manufacturingis aisseries of processes
a series to convert
of processes raw materials
to convert into valuable
raw materials intoproducts
valuable
inproducts
the market. Manufacturing
in the processes can
market. Manufacturing be divided
processes can into two basic
be divided intotypes:
two processing
basic types:
operations
processingand assemblyand
operations operations.
assembly There is a strong
operations. correlation
There between
is a strong material
correlation selec-
between
tion and the
material manufacturing
selection process. They could
and the manufacturing be They
process. said to be elements
could be said to of be
theelements
universalof
set called
the the Design
universal Process.
set called Casting,
the Design CNC machining,
Process. Casting, CNC and machining,
forging are and the most common
forging are the
fabrication techniques for hydro turbines. CNC machining technology
most common fabrication techniques for hydro turbines. CNC machining technology is currently used byis
most majorused
currently turbine
by manufacturers
most major turbine around the world. CNC
manufacturers milling,
around grinding,
the world. CNCpolishing,
milling,
and static and dynamic balancing of the turbines are all part of the process. CNC machining
is both performed on the body of the runner at once and on the blade/buck of the run-
ner separately and then welded together with the other runner components [71,73,80–82].
Other manufacturing methods, including turning, forging, rolling, bending, and welding,
are used to make the remaining components, e.g., spiral casing, head cover, guide vanes,
and draft tube.
Manufacturing deficiencies are one of the most common causes of equipment fail-
ures that operate under normal operating conditions. They can occur when a product’s
Materials 2023, 16, 3303 10 of 37

manufacturer utilizes the wrong material or when proper quality controls are not imple-
mented at the manufacturing facility. A significant volume of blades, which are basically
just cast, is causing a major manufacturing challenge. The stage of initial crystallization
of the liquid metal, which causes internal tensions and alloying element segregation, is
critical. The fatigue properties of stainless cast steel are substantially affected by casting
defects, resulting in damage to the hydraulic turbine’s main components. For example,
turbine runner fatigue properties have received a lot of attention in recent years. However,
this renewed interest is due to a combination of factors. One of them is that power plant
owners want turbines with a longer lifespan. Another reason is that continuous demand to
increase turbine performance and the development of numerical methods tends to push
new runner designs closer to the cutting edge of material limits, and this, in turn, demands
a better understanding of materials’ behavior. Finally, the importance of cracking events
is exacerbated by the pressure put on the plant operator to increase the availability of
turbine-generator units. In the past, repairs could be conducted on a regular basis dur-
ing scheduled downtime, but as this downtime becomes increasingly limited, there is
less opportunity to repair cracks without production loss [83,84]. Due to the presence of
welding discontinuity and high thermal stress, welded joints of turbine runners are one
of the most critical sections of hydro turbines. In fact, temperature cycles, solidification,
cooling distortion, and residual stresses can cause discontinuities of different types and
sizes in welded joints. Mechanical assembly is another method that can be used to link
two (or more) parts in a junction that can be disassembled easily. Traditional methods
in this category include the use of threaded fasteners (i.e., screws, bolts, and nuts). The
uncertainty of the mechanical assembly process usually brings great challenges to product
quality control and assurance [85]. Some researchers believe that assembly process errors
are a major source of defects and reduce product margins. In addition to the above, the
most serious problem in hydropower facilities is equipment vibration, which is caused by
mistakes in the mechanical assembly process. Failure of the equipment due to vibration
causes shut down, and sometimes even a disaster in hydropower plants [86,87]. Addition-
ally, one of the Kaplan turbine damages is rubbing. Due to the small tip, the blade tip may
contact the stationary wall due to high radial forces, normally caused by unbalanced or
fluid instabilities [88]. Unbalance can be of mechanical or hydraulic origin, and it could
happen due to non-correct assembly of the rotating series, especially of the runner blades
or the generator poles.

3.2. Foreign Object Damage (FOD)

Surface engineering is one of the most relevant current fields of research. The events
that occur on the surface (i.e., wear, corrosion, cavitation, erosion, and stress concentration)
create regions prone to crack nucleation, which under static or dynamic loading will
eventually lead to component and structure failures [89–91]. FOD is the result of things
being ingested into hydropower plants, and it is a great concern as it can lead to damage to
the main elements of hydro turbines (where small debris and loose objects cause damage to
manufactured equipment). It has been estimated that FOD costs the electrical power sector
billions of dollars annually in damaged equipment and reduced efficiency of electrical
power plants. In general, wear rate is determined by the geometry of the interacting
surfaces, the type of interaction, material properties, load and surface pressure, ambient
temperature, humidity, atmosphere, surface properties, and relative velocities between
interacting surfaces [92].

3.2.1. Corrosion Failures

Damage to hydropower plants is often the result of corrosion and mechanical wear.
The loss of materials as a result of a chemical or electrochemical reaction with the environ-
ment is known as corrosion (materials suffer a loss of mass and strength when corrosion
occurs). Corrosion has become a constantly evaluated cost that is assumed to occur, and it
is always factored into production costs in many sectors [93].
Materials 2023, 16, 3303 11 of 37

The corrosion phenomenon is abundantly seen in industrial parts such as intakes,

penstocks, isolation valves, scroll cases, wicket gates, turbine runners, draft tubes, spill
ways, and radial gates. Figure 3 illustrates this destructive phenomenon in turbine blades
Materials 2023, 16, x FOR PEER REVIEW 11 of 38
that led to failure. Often, the first point of attack is at or near the Heat Affected Zone
(HAZ) adjacent to the weld regions. The corrosion resistance of a material is perhaps the
most aspect
critical critical aspect in whether
in determining determining whether
it is suitable it isapplication
for a certain suitable orfornot.
a certain
In prac- application or not.
In practice, corrosion rate can be calculated using thickness data sep-
tice, corrosion rate can be calculated using thickness data gathered at more than two gathered at more than
arate
two times [94]. times [94].
separate

Figure
Figure 3. Failure
3. Failure due todue to the corrosion
the corrosion of Kaplan
of Kaplan turbine. turbine. Commented [РКЗК1]: This
In the following, a detailed description of the most common types of corrosion, which own photo and therefore, th
In the following, a detailed description of the most common types
of corrosion, which
is mainly related to hydropower plants, and especially the Kaplan turbine, is discussed.
moved, and the number of r
is mainly related to hydropower plants, and especially the Kaplan turbine, is discussed.
updated.
Uniform Attack
Uniform
Uniform Attack
corrosion is a type of corrosive attack in which the damaged areas are evenly
distributed across the attackedis
Uniform corrosion material.
a typeBecause the assault
of corrosive happens
attack throughout
in which the en-
the damaged areas are evenly
tire exposed surface, uniform corrosion can quickly leave vast amounts of material unus-
distributed across the attacked material. Because the
able [95]. The corrosion of steel structures in freshwater flows is a significant concern in
assault happens throughout the
entire exposed surface, uniform corrosion can quickly
hydraulic engineering. The high level of dissolved oxygen in water, its hardness, and ac- leave vast amounts of material
unusable
tivity, which[95]. The corrosion
are governed of steel structures
by the hydrogen-ion concentration in(PH),
freshwater flows
and the effect of is
thea significant concern
products
in hydraulicof living fouling organisms’
engineering. physiological
The high level ofactivity,
dissolveddetermine
oxygenthe corrosion
in water, its hardness, and
mechanism. The penstock is used to drain water from the source to the powerhouse hydro
activity, which are governed by the hydrogen-ion concentration
turbine. This is the most critical portion of micro hydro, because it transfers the water’s
(PH), and the effect of
the products
potential of living
energy into kinetic fouling
energy [96]. organisms’ physiological
Another essential activity,
part of the Kaplan determine
turbine is the corrosion
mechanism.
the draft tube, whichThe connects
penstock theiswater
usedturbine
to drain
exhaustwater from
to the theThe
tailrace. source
waterto the powerhouse hydro
canal
that transports
turbine. Thistheis
water
theoutmostof the turbine portion
critical is known as ofthe tailrace.
micro It transfers
hydro, the kinetic
because it transfers the water’s
energy of the water at the turbine’s outflow to static pressure and is normally found near
potential energy into kinetic energy [96]. Another essential
the turbine outlet [97]. The most typical type of wear that attacks these sections of hydro
part of the Kaplan turbine is
the draft tube, which connects the water turbine exhaust
turbines is uniform corrosion. Stainless steels, which are used to make hydropower plant to the tailrace. The water canal
that transports
components, the water
are complex alloysoutthat of the turbine
contain not only is Cr known
and Ni asastheirthemain
tailrace.
alloyingIt transfers the kinetic
elements,
energy of butthe
alsowater
Mo, Mn, atC,the
N, turbine’s
Ti, and otheroutflow
elements.to These elements
static pressure can precipitate
and is normally found near
in the form of secondary particles, such as carbides, nitrides, and sulfides, depending on
the turbine outlet [97]. The most typical type of wear
their solubility. The existence of such secondary particles in the microstructure can have
that attacks these sections of hydro
aturbines
significantis uniform
impact on thecorrosion. Stainless
final component’s steels,
mechanical which areand
characteristics used to make
corrosion re- hydropower plant
components,
sistance [98–101]. are complex
An example alloys
of this is thethat
damagecontain
to a 48not
MWonly Kaplan Crdraft
andtube Ni atasa their main alloying
hydropower
elements, plant in theMo,
but also CzechMn, Republic.
C, N,InTi,thisand
turbine, flowelements.
other is entered through
Thesea elements
spiral can precipitate
casing, passes through a runner, and finally leaves through the draft tube, which trans-
in the form of secondary particles, such as carbides, nitrides,
forms dynamic pressure to static pressure [98]. The user inspects the draft tube, which is
and sulfides, depending on
their solubility. The existence of such secondary particles
a steel weldment embedded in reinforced concrete, yearly. After a visual inspection indi- in the microstructure can have
a significant
cated impact on testing
cracks, a non-destructive the final component’s
approach mechanical
was used to validate characteristics
their presence. Dur- and corrosion
ing the repair process
resistance [98–101]. of theAndraft tube, every
example ofhigh-temperature
this is the damage activity (i.e.,
to awelding
48 MW and Kaplan draft tube at
grinding) produced fracture progression. Horynová et al. have performed a basic metal-
a hydropower
lographic plantrevealed
analysis, which in thetheCzech
presence Republic. In this
of an intermediate turbine,
phase flowthe
that lowered is entered through a
spiral casing,
material’s ductility.passes through
Heat treatment hasabeen
runner,
used toand finally
eliminate this leaves
phase, but through
it is precip-the draft tube, which
transforms
itated dynamic
again during pressure
the welding to static
process [98]. Thepressure [98].
failed parts of The usertube
the draft inspects
were re-the draft tube, which
placed as illustrated
is a steel weldment in Figure 4, and the failed
embedded material wasconcrete,
in reinforced sent to a laboratory
yearly.forAfter addi- a visual inspection
tional analysis to determine the cause of the failure and its mechanism.
indicated cracks, a non-destructive testing approach was used to validate their presence.
During the repair process of the draft tube, every high-temperature activity (i.e., welding
and grinding) produced fracture progression. Horynová et al. have performed a basic
metallographic analysis, which revealed the presence of an intermediate phase that lowered
the material’s ductility. Heat treatment has been used to eliminate this phase, but it is
precipitated again during the welding process [98]. The failed parts of the draft tube were
 casing, passes through a runner, and finally leaves through the draft tube, which
transforms dynamic pressure to static pressure [99]. The user inspects the draft tube,
transforms dynamic pressure to static pressure [99]. The user inspects the draft tube,
which is a steel weldment embedded in reinforced concrete, yearly. After a visual
which is a steel weldment embedded in reinforced concrete, yearly. After a visual
inspection indicated cracks, a non-destructive testing approach was used to validate their
inspection indicated cracks, a non-destructive testing approach was used to validate their
presence. During the repair process of the draft tube, every high-temperature activity (i.e.,
presence. During the repair process of the draft tube, every high-temperature activity (i.e.,
welding and grinding) produced fracture progression. Horynová et al. have performed a
Materials 2023, 16, 3303 12 of 37 a
welding and grinding) produced fracture progression. Horynová et al. have performed
basic metallographic analysis, which revealed the presence of an intermediate phase that
basic metallographic analysis, which revealed the presence of an intermediate phase that
lowered the material’s ductility. Heat treatment has been used to eliminate this phase, but
lowered the material’s ductility. Heat treatment has been used to eliminate this phase, but
it is precipitated again during the welding process [99]. The failed parts of the draft tube
it is precipitated
replaced againin
as illustrated during
Figurethe
4, welding
and the process [99]. Thewas
failed material failed parts
sent to aoflaboratory
the draft tube
for
were replaced as illustrated in Figure 4, and the failed material was sent to a laboratory
were replaced
additional as illustrated
analysis in Figure
to determine 4, and
the cause thefailure
of the failedand
material was sent to a laboratory
its mechanism.
for additional analysis to determine the cause of the failure and its mechanism.
for additional analysis to determine the cause of the failure and its mechanism.

Figure 4. (a) Replacement of draft tube and (b) individual sheets after removal from the draft tube
Figure4.4. (a)
Figure (a) Replacement of
of draft
drafttube
tubeand
and(b)
(b)individual sheets
individual after
sheets removal
after from
removal the the
from draft tube
draft
[99].
[99].
tube [98].
After performing a comprehensive analysis of the chemical composition and
Afterperforming
After performing a comprehensive
a comprehensive analysis
analysis of the chemical
of the chemical compositioncomposition and
and studying
studying the microstructure of the failed parts, they reported that the failure was due to
the microstructure
studying of the failed
the microstructure ofparts, they parts,
the failed reported
theythat the failure
reported that was due towas
the failure intercrys-
due to
intercrystallite corrosion resulting from unsuitable chemical composition and
tallite corrosion resulting
intercrystallite corrosionfrom unsuitable
resulting chemical
from composition
unsuitable and microstructure
chemical composition [98].
and
microstructure [99]. In this case, replacing the failed parts and using protective coatings is
Inmicrostructure
this case, replacing the
[99]. In failed
this case,parts and using
replacing protective
the failed coatings
parts and usingisprotective
the most coatings
commonis
the most common solution for corrosion control. Isolating the reactive structural elements
solution
the most forcommon
corrosion control.for
solution Isolating thecontrol.
corrosion reactiveIsolating
structuralthe
elements
reactivefrom environmental
structural elements
from environmental corrosives is the main function of the protective coatings, and these
corrosives is the main function
from environmental corrosivesof the protective
is the coatings,
main function of and
the these materials
protective occupy
coatings, anda very
these
materials occupy a very small fraction of the total volume of a system.
small fraction
materials of thea total
occupy very volume of a system.
small fraction of the total volume of a system.
Pitting Corrosion
Pitting
PittingCorrosion
Corrosion
Pitting corrosion is a corrosion
Pitting localized form of corrosion by which holes, or cavities, are
Pitting corrosionisisaalocalized
localizedform
formofofcorrosion
corrosionby bywhich
whichholes,
holes,ororcavities,
cavities,are
are
produced on the metal
produced surface as shown in Figure 5. Because it is more difficult to detect
producedon onthe
themetal
metalsurface
surfaceasasshown
shownininFigure
Figure5.5.Because
Becauseititisismore
moredifficult
difficulttotodetect
detect
and anticipate,and
thisanticipate,
type of corrosion is more harmful than uniform corrosion damage.
and anticipate,thisthistype
typeofofcorrosion
corrosionisismore
moreharmful
harmfulthan
thanuniform
uniformcorrosion
corrosiondamage.
damage.
Therefore, a small and narrow pit with minimal metal loss can lead to the complete
Therefore, a small and narrow pit with minimal metal loss can lead to the complete
Therefore, a small and narrow pit with minimal metal loss can lead to the complete
destruction of an engineering
destruction system
of an [103]. system [102].
engineering
destruction of an engineering system [103].

Figure 5. Details of the metal surface damaged due to pitting corrosion [104].
Figure5.5.Details
Figure Detailsofofthe
themetal
metalsurface
surfacedamaged
damageddue
duetotopitting
pittingcorrosion
corrosion[103,104].
[104].
In general, when metal surfaces, such as high-strength stainless steel, are exposed to
Ingeneral,
general,when
whenmetal
metalsurfaces,
surfaces,such
suchasashigh-strength
high-strengthstainless
stainlesssteel,
steel,are
areexposed
exposedtoto
corrosive attack inInsevere environments, pitting corrosion can occur. This form of
corrosiveattack
corrosive attack in severe
in severe environments,
environments, pittingpitting corrosion
corrosion canThis
can occur. occur.
formThis form of
of corrosion
generally occurs when a small area is affected by the environment and becomes anodic.
Meanwhile, a cathode is formed in another part of the metal. This causes a sort of galvanic
corrosion that starts on the metal’s surface, but can progress downwards and finally lead to
structural failure. This is especially true for dynamically loaded structures [105]. Intakes,
penstocks, isolation valves, scroll cases, wicket gates, turbine runners, draft tubes, spillways,
radial gates, and upriver dam nosing are all susceptible to this type of corrosion.
The hydroelectric power station Ashta-1 has 45 turbines and is located on the Drin
River in Albania. Each turbine and its generator are housed in a module, with five modules
 anodic. Meanwhile, a cathode is formed in another part of the metal. This causes a sort of
galvanic corrosion that starts on the metal’s surface, but can progress downwards and
finally lead to structural failure. This is especially true for dynamically loaded structures
[105]. Intakes, penstocks, isolation valves, scroll cases, wicket gates, turbine runners, draft
tubes, spillways, radial gates, and upriver dam nosing are all susceptible to this type of
Materials 2023, 16, 3303 13 of 37
corrosion.
The hydroelectric power station Ashta-1 has 45 turbines and is located on the Drin
River in Albania. Each turbine and its generator are housed in a module, with five
forming
modulesa forming
block with a shared
a block with awater
shared intake
water[106].
intakeIn[106].
this In
equipment, the Kaplan-type
this equipment, the Kaplan-
runner with awith
type runner diameter of 1.3 of
a diameter m1.3
andmtheandrunner cap covering
the runner cap coveringthe shaft face face
the shaft are made
are madeof
Nickel Aluminum Bronze (NAB) alloy, means CuAl10Fe5Ni5-C, according
of Nickel Aluminum Bronze (NAB) alloy, means CuAl10Fe5Ni5-C, according to EN 1982 to EN 1982 [107].
Additionally, standardstandard
[107]. Additionally, austenitic stainlessstainless
austenitic steel 1.4301steelis 1.4301
used for is the
usedrunner ring
for the (X5CrNi
runner ring
18(X5CrNi
10). Corrosion
18 10). Corrosion was discovered on most of the runners and runner capsaonly
was discovered on most of the runners and runner caps only fewa
months after after
few months the turbines werewere
the turbines installed. As As
installed. shownshown in in
Figure
Figure 6a,6a,
tubercles
tuberclesofofcorrosion
corrosion
products
productsup uptoto7 7mm
mminindiameter
diameterhadhadformed,
formed,and andthere
therewaswassome
somematerial
materiallosslossbeneath
beneath
them, even though the material met the specification and followed
them, even though the material met the specification and followed the recommendation the recommendation
related
relatedtotothe
theratio
ratioofofaluminum
aluminumand andnickel
nickelcontent
contentfor foroptimum
optimumstability
stabilityagainst
againstselective
selective
corrosion.
corrosion. Figure 6a depicts the normal tubercle distribution on one of therunner
Figure 6a depicts the normal tubercle distribution on one of the runnerblades,
blades,
whereas
whereasFigure
Figure6b6bdepicts
depictsa aclose-up
close-upview.
view.This
Thisisisdespite
despitethe thefact
factthat
thatthe
therunner
runnerrings
rings
were not damaged.
were not damaged.

Figure6.6.(a)
Figure (a)The
Thetypical
typicalpattern
patternofoftubercles
tubercleson
ona arunner
runnerand
and(b)
(b)close-up
close-upview
view[106].
[106].

InInanother
anothercase,
case,after
afteronly
onlyone
oneandanda ahalf
halfyears
yearsofofoperation
operationatata asound
soundpower
powerplant
plant
ononthe
theMeuse
Meuse near Roermond
Roermondcity, city,the
theNetherlands,
Netherlands,pitting corrosion
pitting corrosion appeared
appearedon the four
on the
Kaplan turbine blade surfaces, made of austenitic stainless steels, as illustrated
four Kaplan turbine blade surfaces, made of austenitic stainless steels, as illustrated in in Figure
7 [108,109].
Figure The most
7 [108,109]. The common pittingpitting
most common corrosion causescauses
corrosion are cracks in theinsurface
are cracks layer,
the surface
scratches
layer, and small
scratches chips,
and small non-uniform
chips, non-uniform stress, defective
stress, metal
defective substrate,
metal turbulent
substrate, fluid
turbulent
Materials 2023, 16, x FOR PEER REVIEW
flow,flow,
fluid non-uniform
non-uniformprotective coating,
protective andand
coating, chemical
chemicalattack on on
attack thethe
protective
protective 14 of 38
coating.
coating.In
Inother
otherwords,
words,these
theseare
arethe
themain
maincauses
causesofoffailure.
failure.

Figure7.
Figure 7. Deposits
Deposits and
and pitting
pitting visible
visible at
at aa turbine
turbine blade
blade and
and the
the runner
runner ring
ring in
in aa hydroelectric
hydroelectricpower
power
plant [108].
plant [108].

3.2.2.
3.2.2. Fatigue
Fatigue Failure
Failure
Fatigue
Fatigue is
is aa failure
failuremechanism
mechanismthatthatinvolves
involves the
the cracking
cracking of
ofmaterials
materials and
and structural
structural
components
componentsdue dueto to cyclic
cyclic loading
loading (e.g.,
(e.g., stress,
stress, strain,
strain, deformation,
deformation, and
and thermal,
thermal, etc.) [110].
According to Murakami and other scholars in the field of failure analysis of industrial
components, fatigue is responsible for 80 to 90% of fractures [111–119], and fatigue cracks
are most formed at geometrical discontinuities such as machining holes, notches, slots,
gross-sectional transitions, and so on [120]. Fatigue cracks start at the location of the
Materials 2023, 16, 3303 14 of 37

According to Murakami and other scholars in the field of failure analysis of industrial
components, fatigue is responsible for 80 to 90% of fractures [111–119], and fatigue cracks
are most formed at geometrical discontinuities such as machining holes, notches, slots,
gross-sectional transitions, and so on [120]. Fatigue cracks start at the location of the highest
local stress/strain in the component and are almost always superficial before growing
inside the component. In cases where there is a notch in the initial geometry of the part,
this will usually be in a notch position. Moreover, the simultaneous effects of macro-
notches and flaws (e.g., cracks) significantly affects the stress/strain concentration [121]. A
crack’s “lifecycle”, which culminates in fatigue failure of a cyclically loaded component,
is divided into five stages: crack initiation, microstructurally short crack propagation,
mechanically/physically short crack propagation, protracted crack propagation, and final
structure fracture [122]. Since most industrial parts are under the effect of dynamic and re-
peating loads, the occurrence of fatigue phenomenon in the industry is inevitable [123–128].
In this regard, large industries such as petrochemical and power plants are not excluded.
Accordingly, material fatigue is a turbine failure mode. The turbine components that are
subjected to alternating or cyclic stress below their yield strength fail progressively by
cracking [82]. For this reason, the fatigue properties of turbine runners have received a lot
of attention in recent years. Runner blades experience increasing dynamic strains due to the
greater operating range of turbines due to changes in the use of electrical networks [129].
Since blade fatigue cracking is one of the predominant degradation mechanisms, designers
need to ensure that the runner will endure its expected lifespan without cracking. On
the other hand, as numerical tooling improves and the demand for improved turbine
performance grows, new runner designs are being pushed closer to the materials’ limits. In
addition to the above-mentioned points, the demand on the plant operator to maximize
the availability of turbine-generator units exacerbates the importance of cracking incidents.
Repairs could formerly be conducted on a regular basis during scheduled downtime, but
as this downtime becomes increasingly limited, there is less opportunity to patch cracks
without affecting production [81].
The most important factors contributing to the decrease in fatigue are likely to be
constructive, technological, and operational. These factors are as follows [130]:
Materials 2023, 16, x FOR PEER REVIEW 15 of 38

• Constructive factors—shape and dimensions of the part and assembling method.

• Technological factors—material and the surface quality.
•• Operational factors—loading type, short-term overloads and underloads, jerks, load
frequency, temperature,
frequency, temperature, and
and chemical
chemical influence
influence of
of the
the environment.
environment.
incidence
Kaplan turbines have numerous blades in their runner that can adjust their incidence
flow angle to provide good performance at all operating positions. To reach this
flow angle to provide good performance at all operating positions. To reach this goal, goal, aa
complicated control mechanism placed inside the hub and the shaft changes the angle,
complicated control mechanism placed inside the hub and the shaft changes the angle, as as
shown in Figure
shown in Figure 8.8.

Figure 8. An overview of single blade control system [8].

In November 1995, production of a special turbine started: a 204 MW rated output

Kaplan turbine ZZA315-LJ-800 moveable propeller with a specific speed of 22.6, an 8 m
runner diameter, a 47 m rated head, and a rated speed of 107 rpm at Shuikou hydropower
Materials 2023, 16, 3303 15 of 37

Figure 8. An overview of single blade control system [8].

In
In November
November 1995,
1995, production
production ofof aaspecial
specialturbine
turbinestarted:
started: aa 204
204 MW
MWratedratedoutput
output
Kaplan
Kaplan turbine
turbine ZZA315-LJ-800
ZZA315-LJ-800 moveable
moveable propeller
propeller with
with aa specific
specific speed
speed ofof 22.6,
22.6, an
an 88 m
m
runner diameter, a 47 m rated head, and a rated speed of 107 rpm at Shuikou
runner diameter, a 47 m rated head, and a rated speed of 107 rpm at Shuikou hydropower hydropower
plant
plant(Minjiang
(Minjiangriver in Fujian
river province,
in Fujian China).
province, After starting
China). up, the turbine
After starting up, thewas observed
turbine was
to
observed to be badly vibrating on 10 February 2000 [131]. Additionally, the oil levelthe
be badly vibrating on 10 February 2000 [131]. Additionally, the oil level in in oil
the
collection groove
oil collection decreased
groove decreasedgreatly. Upon
greatly. Uponopening
opening the housing,
the housing,thethecentral
centralaxis
axisofofthe
the
piston
pistonrod
rodwas
wasfound
foundto tohave
havebroken
brokenatatthe
thejoint
jointof
ofthe
the M540
M540 nut
nut with
with the
the crosshead
crossheadfalling
falling
into the cone, as shown in Figure
into the cone, as shown in Figure 9a. 9a.

Figure9.9.Fractured
Figure Fracturedpiston
pistonrods:
rods:(a)
(a)nut
nutstructure
structureand
and(b)
(b)retainer
retainerring
ringstructure
structure[8].
[8].

The nut
The nutstructure
structurewas was replaced
replaced withwith aaretainer
retainerring
ringstructure
structureafterafterthe
theaccident,
accident, butbut
five years
five years later,
later,onon1616March
March2006,2006,thetheretainer
retainerring
ringstructure
structuresimilarly
similarlyfailed
failedatatthe
thesame
same
positionasas
position thatthat demonstrated
demonstrated in Figure
in Figure 9b. A comprehensive
9b. A comprehensive investigation investigation
was performed, was
including
performed, dynamic
includinganalysis of position
dynamic analysis rodsoftoposition
identifyrods
the design problem
to identify the[131].
design A problem
detailed
analysis
[131]. A of the twoanalysis
detailed cases revealed
of the two thatcases
the fractured
revealedareas exhibited
that the fatigue
fractured failure
areas due
exhibited
Materials 2023, 16, x FOR PEER REVIEW
to cyclicfailure
fatigue loads. due The tomost probable
cyclic loads. reason
The most wasprobable
the blades’ unsteady
reason was the pressure
blades’loads.16 ofAs
unsteady 38
they convert fluid energy to mechanical energy, the blades are
pressure loads. As they convert fluid energy to mechanical energy, the blades are subjected to tremendous
hydraulic
subjected topressures.
tremendous Thehydraulic
hydraulicpressures.
pressure The on the bladespressure
hydraulic causes torque
on the on the causes
blades blade
pivot,
torquewhich
control on theisblade
system. transferred
Furthermore, to the
pivot, which theisother parts
transferred
blade torques of
to the system
are other
uneven in
partsandthe blade-control
of unsynchronized
the system in the system.
blade-
across
Furthermore,
the board [8,131]. the blade torques are uneven and unsynchronized across the board [8,131].
Another
Another casecase of
of fatigue
fatigue failure
failure involved
involved aa 35.5
35.5 MW
MW Kaplan
Kaplan turbine
turbine runner
runner blade
blade inin
Romania.
Romania. The damage occurred, as shown in Figure 10, in one of the turbines from the
The damage occurred, as shown in Figure 10, in one of the turbines from the
hydropower
hydropower plant’splant’s cascade,
cascade, which
whichworked
workedatataahigher
higherheadheadthanthanthethe others,
others, according
according to
to the investigation of the operating conditions [132]. The metallographic
the investigation of the operating conditions [132]. The metallographic observations and observations
and calculations
calculations conducted
conducted led led to the
to the conclusion
conclusion that
that thethecracking
crackingofofthe the blade
blade began
began and and
developed
developed from fromthe thestress
stressconcentration
concentrationlocatedlocatedbetween
between the blade
the blade and
andthethe
blade
bladeflange in
flange
the leading-edge direction.
in the leading-edge direction.

Figure 10. The cracked runner blade of a 35.5 MW Kaplan turbine in Romania [132].
Figure 10. The cracked runner blade of a 35.5 MW Kaplan turbine in Romania [132].

In summary, material, structure, loading, and operating circumstances are the four
categories of parameters that determine the fatigue life of hydro turbines. However, other
forms of failure modes, such as cavitation, erosion, and swallowed bodies, are briefly
discussed to expose the comprehensive failure mechanisms in hydro turbines.
 In summary, material, structure, loading, and operating circumstances
categories of parameters that determine the fatigue life of hydro turbines. How
forms of failure modes, such as cavitation, erosion, and swallowed bodies
Materials 2023, 16, 3303 16 of 37
discussed to expose the comprehensive failure mechanisms in hydro turbines

3.2.3. Cavitation
In summary, Wearstructure, loading, and operating circumstances are the four
material,
categories of parameters
Cavitation wearthatisdetermine the fatigue
the process life of hydro turbines.
of progressive However,
degradation ofother
a materia
forms of failure modes, such as cavitation, erosion, and swallowed bodies, are briefly
repeated nucleation, growth, and violent collapse of cavities in a liquid flow
discussed to expose the comprehensive failure mechanisms in hydro turbines.
material. Cavitation in hydraulic machinery has undesirable effects su
3.2.3. Cavitation excessive
instabilities, Wear vibrations, machine performance loss, noise, material d
otherCavitation
problems wear [13,133].
is the process of progressive
Cavitation degradation
causes excessive of apressure
material due to the
pulsations, da
repeated nucleation, growth, and violent collapse of cavities in a liquid flowing near
runner and turbine channels. As a result, the water turbines’ total operatin
the material. Cavitation in hydraulic machinery has undesirable effects such as flow
drops, and
instabilities, repairvibrations,
excessive expensesmachine
rise. Itperformance
is possible when
loss, noise,vapor bubbles
material damage, areand formed
at a problems
other constant[13,133].
temperature. Bubbles
Cavitation grow ifpressure
causes excessive the pressure falls
pulsations, below the
damaging the liquid
runner and turbine channels. As a result, the water turbines’ total
vapor pressure at the same time. The destructive phenomenon of cavitation operating efficiency
drops, and repair expenses rise. It is possible when vapor bubbles are formed in a liquid
atimportant issue in the
a constant temperature. reaction
Bubbles grow ifturbines forfalls
the pressure decades,
below thewhich
liquid’smust be consid
saturated
design
vapor stages
pressure (e.g.,
at the sameFigure
time. The11 destructive
demonstrates the damage
phenomenon in has
of cavitation turbine
been parts
an important issue
cavitation in the reaction
phenomenon turbines
[134]). Thefor decades,
runner whichdesign
blade must beinfluences
considered in cavitatio
the design stages (e.g., Figure 11 demonstrates the damage in turbine parts due to the
and development, as well as the operating conditions such as the machine s
cavitation phenomenon [134]). The runner blade design influences cavitation inception and
[135]. Accordingly,
development, as well as thethe most conditions
operating commonsuch types ofmachine
as the cavitation
settinginlevel
a Kaplan
[135]. tur
follows. the most common types of cavitation in a Kaplan turbine are as follows.
Accordingly,

Figure 11. Damage in turbine part due to cavitation phenomenon [134].

Leading Edge Cavitation

Among the cavitation types that may develop in a flow around a lifting body, so-
called attached cavitation or leading-edge cavitation is known to be responsible for severe
erosion [136]. It is a very common and complicated type of cavitation that can present
different regimes depending on the hydrodynamic conditions. This type of cavitation
is usually seen attached to the runner blades’ suction side, as shown in Figure 12. They
are formed under operating conditions of high head and inflow incidence angles that are
significantly larger than the design values. Due to the high-pressure difference between the
pressure side and suction side of the runner blade, a leakage flow departs from the high-
pressure region to the low-pressure region. The velocity of the leakage flow is particularly
high and results in a decrease in pressure at the tip clearance. When the pressure drops
below the saturation pressure, tip clearance cavitation generally occurs [18].
 erosion [136]. Itlarger
significantly is a very common
than and complicated
the design values. Duetype to
of cavitation that can present
the high-pressure difference
different regimes depending on the hydrodynamic conditions. This type
the pressure side and suction side of the runner blade, a leakage flow departs of cavitation is
usually seen attached to the runner blades’ suction side, as shown in Figure 12. They are
high-pressure region to the low-pressure region. The velocity of the leakage
formed under operating conditions of high head and inflow incidence angles that are
particularly highthan
significantly larger and
theresults in a decrease
design values. Due to thein pressure at
high-pressure the tipbetween
difference clearance. W
Materials 2023, 16, 3303 17 of 37
pressure
the pressuredrops
side andbelow theside
suction saturation pressure,
of the runner blade, a tip clearance
leakage cavitation
flow departs from generall
the
high-pressure
[18]. region to the low-pressure region. The velocity of the leakage flow is
particularly high and results in a decrease in pressure at the tip clearance. When the
pressure drops below the saturation pressure, tip clearance cavitation generally occurs
[18].

Figure
Figure
Figure 12.12.
12. Leading-edge cavitation
Leading-edge
Leading-edge inthe
theFrancis
cavitation
cavitation in Francis turbine
in theturbine
Francis[137].
turbine [137].
[137].

Tip
TipVortex
VortexCavity
CavityPhenomenon
Phenomenon
Tip Vortex Cavity Phenomenon
This
Thistype
typeofofcavitation
cavitationtakes
takesplace
placeatatthe
thetiptipof
ofthe
theblade,
blade,as asshown
shownin inFigure
Figure13a.13a.The
The
pressure This type
difference of cavitation
between the takes
intake place
and suctionat the
side tip
of of
the the
blade
pressure difference between the intake and suction side of the blade causes flow through blade,
causes as shown
flow through in Figure
the tip
pressure
the clearance. The
difference
tip clearance. velocity
between
The velocity of the
of thewater
the in
intake
water the
in thegap
and could
gapsuction be very
could beside high,
very of which
thewhich
high, is
blade linked to flow
causes
is linked
the
to decrease in pressure. Based on the technical reports of experts in this field and scientific
thethetipdecrease
clearance.in pressure. Based on
The velocity of the
thetechnical
water inreportsthe gap of experts
could be in this
veryfield andwhich
high,
achievements,
scientific if the pressure
achievements, if the drops
pressurebelow the below
drops saturated the vapor pressure,
saturated vapor apressure,
tip clearancea tip
to the decrease
cavitation in pressure. Based on the related
technical reports of experts in this fi
clearance occurs [138].
cavitation Another
occurs [138].type of cavitation
Another type of cavitation to tip clearance
related to tip isclearance
called tip is
scientific
vortex achievements,
cavitation. When the tip if the
clearancepressure
flow drops
leaves the below
gap, a jet the
is
called tip vortex cavitation. When the tip clearance flow leaves the gap, a jet is created.
saturated
created. The jetvapor
leaves pressu
clearance
the
Thesuction
jet leaves cavitation
side
theofsuction occurs
the runner
side of the[138].
blade and Another
creates
runner blade the
andtiptype
vortex.
creates ofthe
cavitation
Thetiptip related
vortexThe
vortex. begins to tip clea
near
tip vortex
the blade’s
callednear
begins leading
tip the
vortex edge, detaches
cavitation.
blade’s leading edge, the
When suction
the tip
detaches side surface
clearance
the suction of the
side flow blade,
surfaceleavesand continues
of the the
blade, gap,
anda jet is
downstream along the runner
continues downstream along blade as shown
the runner bladeinasFigure
shown13b. in Figure 13b.
The jet leaves the suction side of the runner blade and creates the tip vortex. The ti
begins near the blade’s leading edge, detaches the suction side surface of the bl
continues downstream along the runner blade as shown in Figure 13b.

Figure13.
Figure 13.Different
Differenttypes
typesof
oftip-related
tip-relatedcavitation,
cavitation,including
including(a)
(a)tip
tipclearance
clearancecavitation
cavitationand
and(b)
(b)tip
tip
vortex cavitation [138].
vortex cavitation [138].

The Kaplan turbine’s optimal operation is ensured by a twin regulation mechanism.

On-cam operation is possible because of the adjustable distributor and runner blade open-
Figure 13. Different types of tip-related cavitation, including (a) tip clearance cavitation a
ings. The runner is not shrouded since the runner blades are changeable. This indicates
vortex
that therecavitation
is a space [138].
between the revolving hub with the blades and the stationary runner
chamber [138]. Space is also known as a “tip clearance” (see Figure 14). In this regard,
scientists have investigated the tip-leaking vortex that forms in the clearance between the
rotor and the stator of axial hydro turbines. However, many related phenomena remain
unknown. For example, it is still unknown how the clearance size relates to the incidence of
cavitation in the vortex, which can cause severe erosion and damage to turbine blade [139].
 indicates that there is a space between the revolving hub with the blades and the
stationary runner
stationary runner chamber
chamber [138].
[138]. Space
Space is
is also
also known
known as as aa “tip
“tip clearance”
clearance” (see
(see Figure
Figure 14).
14).
In this regard, scientists have investigated the tip-leaking vortex
In this regard, scientists have investigated the tip-leaking vortex that forms in the that forms in the
clearance between the rotor and the stator of axial hydro turbines. However,
clearance between the rotor and the stator of axial hydro turbines. However, many related many related
phenomena remain
phenomena remain unknown.
unknown. For For example,
example, itit is
is still
still unknown
unknown how how the
the clearance
clearance sizesize
Materials 2023, 16, 3303 relates to the incidence of cavitation in the vortex, which can cause severe 18 of 37 and
erosion
relates to the incidence of cavitation in the vortex, which can cause severe erosion and
damage to
damage to turbine
turbine blade
blade [139].
[139].

Figure 14. Gap between the runner blade and the runner chamber [138].
Figure14.
Figure 14.Gap
Gapbetween
betweenthe
the runner
runner blade
blade and
and thethe runner
runner chamber
chamber [138].
[138].

Thewake
The
The wakeofof
wake ofthethe
the distribution
distribution
distribution guide
guide
guide vanes
vanes
vanes provides
provides
provides aa very
a very very non-uniform
non-uniform
non-uniform pressure
pressure field
field field
pressure
inin
inthe the Kaplan
theKaplan turbine
Kaplanturbine
turbinearea,area,
area, resulting
resulting
resulting in
in in repetitive
repetitive
repetitive collapses
collapses
collapsesandandand rebounds
rebounds
reboundsof theof the cavitating
ofcavitating
the cavitating
tip
tip vortices.
vortices. Cavitation
Cavitation erosion
erosion is is obviously
obviously influenced
influenced by
tip vortices. Cavitation erosion is obviously influenced by the vortex’s strength by
the the vortex’s
vortex’s strength
strength and core
and core
and core
size,
size, asas well
well asas its
its course
course and and distance
distance fromfrom
size, as well as its course and distance from solid barriers. solid
solid barriers.
barriers.
AAcavitation
cavitationwas wasidentified
identified at at
a 10 10MW rated power andand 10 m10water headheadKaplan
A cavitation was identified at aa 10 MW
MW rated
rated power
power and 10 mm water
water Kaplan
head Kaplan
turbine. The
turbine. The dimensions
The dimensions
dimensions of of the cavitation
of the
the cavitation were
cavitation wereapproximately
were approximately 200
approximately 200 × 20 mm with
200 ×× 2020 mm a max-
mm withwith aa
turbine.
imal
maximaldepthdepth
of 3 mm of 3located
mm at the at
located suction
the side ofside
suction the blade
of the near
bladethe runner
near the chamber,
runner as
chamber,
maximal depth
demonstrated
of 3 mm
in Figure
located
15. The CFD
at the suction
analysis
side of
revealed
the blade near
the presence
the runnerwith
of a tipofvortex
chamber,
a with
as demonstrated
as demonstrated in
in Figure
Figure 15. 15. The
ThemightCFD analysis
CFD analysis revealed
revealed the
the presence
presence a
ofsame tip vortex
a tiplocation
vortex with
specific shape and intensity, which generate cavitation pitting in the
aa specific
as
specificshape
shape and intensity, which might generate cavitation pitting in the same location
the prototype. and intensity, which might generate cavitation pitting in the same location
as the prototype.
as the prototype.

Figure 15.Cavitation
Cavitation pitting on the suction side of the blade nearrunner
the runner chamber [138], the
Figure 15. Cavitationpitting
Figure15. onon
pitting thethe
suction sideside
suction of the
of blade near near
the blade the chamber
the runner [138], the
chamber right
[138], the
right
image image shows
shows shows the
the partthe part highlighted
highlighted in
in the left the left one with higher magnification.
right image part highlighted inone
the with higher
left one withmagnification.
higher magnification.

Traveling
TravelingBubble
BubbleCavitation
Cavitation
Traveling Bubble Cavitation
This
Thistype
typeofof
ofcavitation
cavitation appears
appearsin in
thethe
form
formof bubbles thatthat
of bubbles
bubbles move along
move the solid
along body.body.
the solid
solid
When
This
the
type
bubbles
cavitation
reach the
appears
vicinity of
in
the
the form of
low-pressure point,
that
they
move
become
along the
visible
body.
When the
When the bubbles
bubbles reach
reach the
the vicinity
vicinity ofof the
the low-pressure
low-pressure point,
point, they
they become visibleIt[140].
[140].
become visible [140].
takes
It the form
takes the of separated
form of bubbles
separated attached
bubbles to the blade’s
attached to the suction
blade’s side near side
suction the mid-chord
near the mid-
It takes
next the
to the form edge,
trailing of separated
as shownbubbles
in Figureattached to the
16a. On the blade’s
suction sidesuction side near
of the blades, the mid-
traveling
chord next
chord next to
to the
the trailing
trailing edge,
edge, as
as shown
shown in in Figure
Figure 16a.
16a. On
On the
the suction
suction side
side of
of the
the blades,
blades,
bubble cavitation can be seen at the rated discharge. This is a severe and noisy type of
cavitation that significantly reduces the machine’s efficiency and that can provoke erosion
if the bubbles collapse on the blade [138,140]. Traveling bubble cavitation depends upon
the water quality. As shown in Figure 16b, each cavitation bubble may leave a pit on the
wall as it collapses.
 erosion if the bubbles collapse on the blade [138,140]. Traveling bubble cavitation depend
upon the water quality. As shown in Figure 16b, each cavitation bubble may leave a p
on the wall
traveling as itcavitation
bubble collapses.can be seen at the rated discharge. This is a severe and noisy
type of cavitation that significantly reduces the machine’s efficiency and that can provoke
erosion if the bubbles collapse on the blade [138,140]. Traveling bubble cavitation depends
Materials 2023, 16, 3303 19 of 37
upon the water quality. As shown in Figure 16b, each cavitation bubble may leave a pit
on the wall as it collapses.

Figure 16. (a) Traveling bubble cavitation and (b) pit overlap and damage due to bubble cavitatio
[141].

Figure16.
16. (a)
(a) Traveling bubble cavitation and
and(b)
(b)pit
pitoverlap and
Figure Vibration is one
Traveling of the
bubble most dangerous
cavitation effects
overlap ofdamage
and damagedue to to
cavitation.
due bubble
In cavitation
addition,
bubble cavitatio
cavita-
[141].
tion [141].
intensity is related to the amplitude of frequency peaks. Because the vibration frequenc
is inversely
Vibrationproportional to mass, the vibration amplitude decreases as the load increase
Vibration isisone
oneofofthe
themost
most dangerous
dangerous effectsof
effects ofcavitation.
cavitation. Inaddition,
In addition, cavitation
cavitation
Additionally,
intensity
intensity isisrelated
relatedwhen
to the
tothe
the turbine of
amplitude
amplitude speed exceeds
offrequency
frequency its design
peaks.
peaks. Becausespeed,
Because the amplitude
thevibration
the vibration frequencyincrease
frequency
and
isis the turbine
inversely
inversely performance
proportional
proportional to mass,decreases.
tomass, thevibration
the vibrationamplitude
amplitudedecreases
decreases asas the
the load
load increases.
increases.
Additionally,
Due to when
Additionally, when
the theturbine
difficulty
the turbine speedexceeds
of speed
repairing exceeds itsdesign
hydropower
its designspeed,
speed,monitoring
units, theamplitude
the amplitude increases
systems
increasesthat detec
and
and the
cavitation turbine
the turbine during performance
operation
performance decreases.
and aid in avoiding harmful circumstances appear to be th
decreases.
bestDueDue to
optiontothe
the difficulty
difficulty
[138]. ofrepairing
of
These repairing hydropowercan
hydropower
cavity phenomena units,
units, monitoring
bemonitoring
reproduced systems
systems
and thatthatdetect
detectobserve
visually
cavitation
cavitation
during model during operation
duringtesting
operation and
in aand aid in avoiding
aid in environmental
suitable harmful
avoiding harmful circumstances
circumstances
laboratory. appear
appear the
However, to be the
to beconditions
the o
best option
best option [138]. These These cavity
cavity phenomena
phenomena can can bebe reproduced
reproduced and and visuallyobserved
observed
apparition[138]. and the intensity of their unwanted consequencesvisually cannot yet be precisel
during model
during model testing
testing in a suitable
suitable environmental
environmentallaboratory.
laboratory.However,
However,the theconditions
conditions of
scaled to the relevant prototype. As a result, unforeseen cavitation difficulties can occu
ofapparition
apparitionand andthe theintensity
intensityofoftheir
their unwanted
unwanted consequences
consequences cannot yet be be precisely
precisely
during
scaled
scaled totypical
to therelevant
the Kaplan
relevant turbineAs
prototype.
prototype. operation.
Asaaresult, Therefore,
result,unforeseen to detect and
unforeseencavitation
cavitation avoid them,
difficulties
difficulties appropriat
canoccur
can occur
detection
during
during typical
typical techniques
Kaplanturbine
Kaplan must
turbine be utilized,
operation.
operation. Therefore,
Therefore, which
todetect
to may
detect be
andavoid
and avoidsimply and successfull
them,appropriate
them, appropriate
implemented
detectiontechniques
detection in
techniques real hydropower
must
must plants.
be utilized,
be utilized, The
which
which may use of
may and
be simply vibrations
be simply
successfullyand pressures
successfullyto detec
andimplemented
incavitation
implemented seems
real hydropower in realto fulfillThe
plants. these
hydropower use requirements
of vibrations
plants. and
The use [142].
ofpressures
vibrationsto and
detect cavitation
pressures toseems
detect
to fulfill these
cavitation requirements
seems [142].
to fulfill these requirements [142].
Hub Vortex Cavitation
Hub
HubVortex
VortexCavitation
Cavitation
This is a sub-category of vortex cavitation [143]. It is observed in the central parts o
This is
is asub-category
a
This gyrating
sub-category of
ofvortex
vortex cavitation
cavitation [143].
[143].ItItisisobserved
observed in
inthe
the central
central parts
partsofof
vortices
vortices away from the liquid flow around the obstacle. The hub vortex cavitatio
vorticesgyrating
gyratingawayawayfrom
fromthe
theliquid
liquidflow
flowaround
aroundthe theobstacle.
obstacle.TheThehubhubvortex
vortexcavitation
cavitation
isusually
isis usually due to a high angle of incidence between the direction of water flow and th
usuallydueduetotoaahigh
highangle
angleofofincidence
incidencebetween
betweenthe thedirection
directionof ofwater
waterflow
flowandandthe
the
blade’s
blade’s leading
blade’sleading
leadingedge.
edge. It
edge.ItItcan
can result
canresult
resultin inthe
in the
theouter
outer
outer edge
edge
edge ofof the
of the
the blade
blade
blade looking
looking
looking aa bit
a bit moth-eaten
bit moth-eaten.
moth-eaten.
Because
Because
Because ofofof
thethe
the designed
designed
designed operating
operating
operating range, range,
range, it usually
it usually
it usuallyappears
appears appears
at the at thehub,
runner’s
at the runner’s runner’sas hub,
as seen
hub, in as see
seen
Figure
in 17.
in Figure
Figure17. 17.

Figure 17. Extension of hub cavitation around the Kaplan turbine [144].
Materials 2023, 16, x FOR PEER REVIEW 20 of 38

Figure 17. Extension of hub cavitation around the Kaplan turbine [144].
Materials 2023, 16, 3303 20 of 37
As explained before, cavitation causes erosion, vibration, machine efficiency loss, and
noise in hydraulic turbines, depending on the causes of occurrence, such as higher or
lower head than the design step, partial load, or excessive load, and the velocity
As explained before, cavitation causes erosion, vibration, machine efficiency loss, and
component of flow discharge. Even though cavitation erosion has received a lot of
noise in hydraulic turbines, depending on the causes of occurrence, such as higher or lower
attention, accurately predicting the severity and rate of cavitation erosion in hydraulic
head than the design step, partial load, or excessive load, and the velocity component of
turbines is difficult. In fact, cavitation phenomena are still a challenging process to
flow discharge. Even though cavitation erosion has received a lot of attention, accurately
understand because they involve hydrodynamic laws that govern the creation and
predicting the severity and rate of cavitation erosion in hydraulic turbines is difficult. In
collapse
fact, of vapor
cavitation cavities, asare
phenomena well as athe
still material’s response
challenging process totounderstand
repeated pressure
becausepulses
they
induced by these collapses [145].
involve hydrodynamic laws that govern the creation and collapse of vapor cavities, as well
as theInmaterial’s
summary, the main
response to objective
repeated of cavitation
pressure testing
pulses and by
induced inspection is to determine
these collapses [145].
the risk
In summary, the main objective of cavitation testing and inspection is totodetermine
level to overcome any efficiency changes and reduce erosion damage the hydro
turbines.
the In other
risk level words, any
to overcome eachefficiency
type of cavitation is evaluated
changes and in terms
reduce erosion of its to
damage dependence
the hydro
on erosion risk [146].
turbines. In other words, each type of cavitation is evaluated in terms of its dependence on
erosion risk [146].
3.2.4. Hydro-Abrasive Problem
3.2.4.The
Hydro-Abrasive
flow of sediment Problemparticles in rivers is a major challenge for developing
hydropower
The flowplants across particles
of sediment sediment-laden
in riversrivers. Hard challenge
is a major particles such as quartz and
for developing hy-
feldspar can
dropower be found
plants across in abundance inrivers.
sediment-laden rivers Hard
around the world.
particles such The abrasive
as quartz andeffects of
feldspar
these
can beparticles
found incause damage
abundance in hydro
in rivers turbines,
around particularly
the world. in high-
The abrasive and medium-head
effects of these parti-
cles cause damage
hydroelectric powerin hydro
plants.turbines,
Due to particularly
maintenance in expenses
high- and andmedium-head hydroelectric
output losses, this has
power
becomeplants.
a severeDue to maintenance
economic expenses
issue [147]. and output losses,
Hydro-abrasiveness is duethis has become
to suspended a severe
sediments
economic
in the waterissue [147].
that passHydro-abrasiveness
through the turbine, is and
due depending
to suspended onsediments
the impactinconditions,
the water that
the
pass through
particles, whichthe are
turbine,
harderand depending
than on the
the surface impactofconditions,
material the turbinethe particles,
parts, damage which
the
are harder
surface. Thethan the surface
surface material material
is wornofaway,
the turbine parts,
resulting damage the
in geometric surface.
changes andThe surface
efficiency
material is wornand
loss, cavitation away, resultingproblems,
mechanical in geometric changes
higher and efficiency
maintenance loss,availability,
costs, less cavitation and
and
mechanical
loss in energyproblems, higher maintenance
production. costs, less
Figure 18 depicts the availability, and losscases.
above-mentioned in energy produc-
Abrasion in
tion. Figure 18 depicts the above-mentioned cases. Abrasion in hydro
hydro turbine components is complicated, and it is governed by several factors: (1) turbine components
is complicated,
eroding particleandproperties
it is governed by several
such factors: (1) eroding
as concentration, particlehardness,
size, shape, properties mineral
such as
concentration, size, shape, hardness, mineral constituent proportion,
constituent proportion, and toughness, all of which have a direct impact on turbine and toughness, all of
which have
material; (2)a direct
turbineimpact
base on turbine and
material; material; (2) turbineconditions
(3) operating base material;
suchand as (3) operating
velocity and
conditions
impingement such as velocity
angle [4,5]. and impingement angle [4,5].

Figure 18. Hydro-abrasive

Figure 18. Hydro-abrasive effects
effects on
on hydro
hydro turbines.
turbines.

The Chilla hydroelectric project (India), located upstream of Haridwar in the Hi-
malayan foothills, is a run-of-river scheme on the Ganga (this project was completed in
1980–1981). In this facility, there are four Kaplan vertical shaft turbines, each with a capacity
of 36 MW and a design head of 32.5 m at the speed of 187.5 rpm [26]. Water is diverted
to a 14.3 km long, 565 m3 /s capacity lined power channel via a diversion barrage with a
Materials 2023, 16, x FOR PEER REVIEW 21 of 38

The Chilla hydroelectric project (India), located upstream of Haridwar in the

Himalayan foothills, is a run-of-river scheme on the Ganga (this project was completed in
Materials 2023, 16, 3303 21 of 37
1980–1981). In this facility, there are four Kaplan vertical shaft turbines, each with a
capacity of 36 MW and a design head of 32.5 m at the speed of 187.5 rpm [26]. Water is
diverted to a 14.3 km long, 565 m3/s capacity lined power channel via a diversion barrage
head
with regulator locatedlocated
a head regulator 5 km downstream
5 km downstreamof Rishikesh town. Turbine
of Rishikesh components
town. Turbine have
components
been
haveexposed to severe
been exposed abrasion
to severe and erosion
abrasion since since
and erosion the power plantplant
the power was opened [148].[148].
was opened The
high concentration and large size of silt particles from the Ganga cause extensive
The high concentration and large size of silt particles from the Ganga cause extensive damage
to the underwater
damage parts of hydro
to the underwater partsturbine units,turbine
of hydro cooler tubes,
units, drainage pumpdrainage
cooler tubes, impellers, and
pump
valve seats. In the early years of operation, the blades of the Kaplan turbine were found
impellers, and valve seats. In the early years of operation, the blades of the Kaplan turbine to
be extremely eroded and cracked on the trailing side after a few monsoon
were found to be extremely eroded and cracked on the trailing side after a few monsoonseasons [148].
Figure
seasons19[148].
shows extensive
Figure abrasion
19 shows on theabrasion
extensive runner blades
on theand guide
runner vanes,
blades andwhich
guiderequire
vanes,
heavy maintenance and major repairs.
which require heavy maintenance and major repairs.

Figure 19.
Figure 19. Extensive
Extensive abrasion
abrasionon
onKaplan
Kaplanturbine
turbinecomponents,
components,including (a)(a)
including runner blade
runner andand
blade (b)
guide vanes [148].
(b) guide vanes [26].

3.2.5.
3.2.5. Hydro-Erosion
Hydro-ErosionProblem
Problem
Erosion
Erosion can can be classified underunder one
one of
ofseveral
severaltypes
typesofofwear
wearcaused
causedbybythe the impacts
impacts of
of solid
solid andand liquid
liquid particles
particles on on a solid
a solid surface.
surface. In fact,
In fact, the flow
the flow contains
contains particles
particles that
that have
have
enough enough
kinetickinetic
energy energy to corrode
to corrode the metallic
the metallic surface. surface. The mechanism
The mechanism of erosive
of erosive wear is
wear
quiteissimilar
quite similar
to that to
of that of abrasive
abrasive wear, butwear,
in but
the in theofcase
case of abrasive
abrasive wear, wear, the eroding
the eroding agent
agent is much larger in size and the contact angle is smaller [28]. Surface
is much larger in size and the contact angle is smaller [28]. Surface roughening is the initial roughening is
the initial stage of erosion followed by pit formation. This leads
stage of erosion followed by pit formation. This leads to a significant reduction in theto a significant reduction
in the weight
weight of theofmaterial
the material
[17]. [17]. In addition,
In addition, the surface
the surface damaged
damaged by erosion
by erosion makesmakesthe
the condition
condition favorable
favorable forfor cavitation,
cavitation, whichmeans
which meansa acoalesced
coalescedeffecteffect [15].
[15]. Weight
Weight loss loss in
in
turbine
turbine components
components due due toto erosion
erosion depends
depends on on the
the load
load ofofparticles
particles entering
entering thethepower
power
plant.
plant. Two distinct erosion
Two distinct erosion mechanisms
mechanismsarise arisefromfromthe theimpingement
impingement angle
angle of of a particle
a particle on
on
the hydraulic surface. Impact damage occurs when a particle approaches the normal
the hydraulic surface. Impact damage occurs when a particle approaches the normal
surface,
surface,causing
causingthe thesurface
surfaceto tocrack
crackatatfirst,
first, then
then loosen
loosen with
with repeated
repeated impacts,
impacts,andand finally
finally
excavate, as the surface is already cracked and loosened by
excavate, as the surface is already cracked and loosened by the particle and removed the particle and removed by
by another
another impacting
impacting particle.Additionally,
particle. Additionally,similar
similartoto mechanical
mechanical grinding,
grinding, aa particle
particle
approaching
approachingparallel parallelto to
thethesurface would
surface scratch
would and gouge
scratch the surface
and gouge the [149–151]. Erosion
surface [149–151].
damage is commonly defined as the slow disappearance of material
Erosion damage is commonly defined as the slow disappearance of material produced by produced by repeated
deformation and cutting
repeated deformation andactivities [152]. When
cutting activities [152].particles strike the
When particles surface
strike at a small
the surface at a
impingement
small impingement angle, the material is removed by the cutting mechanismshown
angle, the material is removed by the cutting mechanism [153] as [153] inas
Figure 20 [154]. Moreover, the abrasive grits roll and slide when they strike on the surface at
shown in Figure 20 [154]. Moreover, the abrasive grits roll and slide when they strike on
a small impingement angle and cause erosion by abrasion or cutting mechanism [154–156].
the surface at a small impingement angle and cause erosion by abrasion or cutting
mechanism [154–156].
 Materials
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2023,
2023, 16,
16,
16, x FOR
x3303
FOR PEER
PEER REVIEW
REVIEW 22
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22 22 383738

Figure
Figure
Figure 20.
20.
20. Various
Various
Various forms
forms
forms of of
of erosive
erosive
erosive wear
wear
wear mechanisms,
mechanisms,
mechanisms, including
(a)(a)
including
including (a)abrasive/cutting
abrasive/cutting
abrasive/cutting erosion,
(b)(b)
erosion,
erosion,
fatigue
fatigue erosion,
erosion,
(b) fatigue (c) plastic
(c) plastic
erosion, deformation,
deformation,
(c) plastic and
and and
deformation, (d) brittle
(d) brittle fracture
fracture
(d) brittle [154].
[154].
fracture [154].

Various
Various
Various studies
studies
studies have
have
have been
been
been performed
performed
performed inin
in each
each
each ofof
of the
thethe above
above
above mechanisms.
mechanisms.
mechanisms. Overall
Overall
Overall
results
resultsshow
results show
showthat that
thatthe the average
theaverage velocity
averagevelocity of particles,
velocityofofparticles,
particles,theirtheir mass,
theirmass,
mass,the the concentration
theconcentration of abrasive
concentrationofofabrasive
abrasive
particles
particles
particles ininin fluid,
fluid,
fluid, the the
the size
size
size distribution
distribution
distribution ofofof particles
particles
particles and
and
and their
their
their average
average
average grain
grain
grain size,
size,
size, the
the
the shape
shape
shape
ofof the
the particles,
particles, the
the angle
angle of
of impingement,
impingement, the
the time
time interval
interval of of the
the
of the particles, the angle of impingement, the time interval of the attack, and the erosion attack,
attack, and
and the
the erosion
erosion
resistance
resistance
resistance ofofof structural
structural
structural material
material
material allall
all influence
influence
influence thethe
the erosion
erosion
erosion damage
damage
damage process
process
process [157].
[157].
[157]. Silt
Silt
Silt erosion
erosion
erosion
isis designated
designated asas abrasive
abrasive wear.
wear. This
This type
type ofof wear
wear breaks
breaks down
down the
the
is designated as abrasive wear. This type of wear breaks down the oxide layer on the flow oxide
oxide layer
layer onon the
the flow
flow
guiding surfaces
guidingsurfaces
guiding surfacesand and partly
andpartly makes
partlymakes
makesthe the surfaces
thesurfaces uneven,
surfacesuneven,
uneven,which which
whichmay may
mayalsoalso
alsobe be
bethe the originofofof
origin
theorigin
cavitation
cavitation
cavitation erosion
erosion
erosion (see
(see
(see Figure
Figure
Figure 21).
21).
21).

(a)(a) (b)(b)
Figure 21.
Figure Sediment erosion in different parts of hydro turbines, including (a) surface erosion Pelton
Figure21.
21.Sediment
Sedimenterosion
erosioninindifferent
differentparts
partsofofhydro
hydroturbines,
turbines,including
including(a)
(a)surface
surfaceerosion
erosionPelton
Pelton
runner
runner [158]
[158] andand (b)
(b) damage
damage to to runner
runner disk
disk [159].
[159].
runner [158] and (b) damage to runner disk [159].
Dinesh and
Dinesh Bhingole have calculated the efficiency of the Kaplan turbine considering
Dineshand andBhingole
Bhingolehave havecalculated
calculatedthe theefficiency
efficiencyofofthe theKaplan
Kaplanturbine
turbineconsidering
considering
different
different flow conditions such as particle size and silt concentration [160]. In this regard,
differentflow
flowconditions
conditionssuch suchasasparticle
particlesizesizeand
andsilt
siltconcentration
concentration[160]. [160].InInthisthisregard,
regard,
overall
overall efficiency
overall efficiency
efficiency of of software
ofsoftware modifications
softwaremodifications
modifications under
under
under purepurepure
water, water,
water, cavitation
cavitation
cavitation erosion, erosion,
erosion, siltsilt
silt erosion,
erosion,
erosion, and combined
and combined
and combined erosionerosionerosion
at various at various
at various silt parameters
silt parameters
silt parameters is demonstrated
is demonstrated
is demonstrated in Figure in Figure
in Figure
22. In22. 22.
In In
pure
pure
pure
water water
water
flow, flow,
flow,
turbine turbine
turbine
efficiency efficiency
efficiency
is about is about
is 85.90%
about at85.90%
85.90% at at
full
full opening fullofopening
opening
the wicketof ofthethe wicket
wicket
gate. gate.
gate.
Moreover,
Moreover,
Moreover,
in cavitation in cavitation
in cavitation erosion operation
erosion operation
erosion operation conditions, conditions,
conditions,
the efficiency the efficiency
the efficiency
is reducedisby is reduced
reduced by 0.96%
by 0.96%
0.96% compared
compared
compared
with that ofwithwiththat
pure thatofflow.
water ofpure
pure waterflow.
water
Additionally, flow. Additionally,
Additionally,
the efficiency thethe
of silt efficiency
efficiency
erosion of ofsiltsilt
operations erosion
erosion
decreases
operations
operations decreases
decreases as
as the silt parameter as the silt parameter
the silt parameter
increases. increases.
In this case,increases.
maximum In this
Inefficiency case,
this case,drops maximum
maximum efficiency
of 2.47efficiency
pct were
drops
drops of of
observed 2.472.47
at apct pct
silt were
were observed
observed
diameter of 100at at a and
a silt
µm silt diameter
diameter of of
100 100
a silt concentrationµm µm andand
of a silt
a10,000
silt concentration
concentration
ppm. However,of of
in10,000
10,000 ppm.
combined
ppm. However,
erosion,
However, the
in in combined
operation
combined erosion,thethe
efficiency
erosion, is operation
drastically
operation efficiency
reduced
efficiency iscompared
drastically
is drastically reduced
with
reduced the
compared
other operation
compared with
with the the other
conditions. operation
In combined
other operation conditions.
flow withInthe
conditions. In combined
same silt flow
combined flow
parameter, with
with the the same siltsilt
same
the maximum
parameter,
efficiency drop
parameter, the maximum
was 4.31%.
the maximum efficiency drop
efficiency drop was 4.31%. was 4.31%.
Materials 2023,
Materials 16, x3303
2023, 16, FOR PEER REVIEW 2323ofof 38
37

22. Efficiency
Figure 22.
Figure Efficiencytrend
trendof of
software modifications
software under
modifications pure pure
under water,water,
cavitation erosion,erosion,
cavitation silt erosion,
silt
erosion, and combined
and combined erosionsilt
erosion at various at parameters,
various siltincluding
parameters, including
(a) silt (a) silt
size and (b) siltconcentration
size and (b)[160].
silt
concentration [160].
In addition, Weili et al. have applied numerical simulation to investigate the character-
isticsInof addition,
cavitation of Kaplan
Weili turbines
et al. have in pure water
applied and solid–liquid
numerical simulationtwo-phase
to investigateflow [161].
the
They studied the
characteristics of effect of different
cavitation of Kaplan concentrations
turbines in and purediameters
water andonsolid–liquid
velocity, pressure,
two-phase and
particle
flow concentrations’
[161]. They studieddistributive
the effect ofregularity on turbine blade
different concentrations andsurface.
diameters It was
on revealed
velocity,
that, by increasing
pressure, and particle theconcentrations’
sediment concentration distributive and sand diameter,
regularity on turbine the blade
runner abrades
surface. It
more seriously, resulting in decreased turbine efficiency.
was revealed that, by increasing the sediment concentration and sand diameter, the The authors also concluded that
the runner
runner cavitation
abrades performance
more seriously, decreases
resulting with the turbine
in decreased increaseefficiency.
in sand concentration
The authors also and
diameter of the particle. Consequently, this leads to a great
concluded that the runner cavitation performance decreases with the increase in sand decrease in turbine efficiency.
Sangal et al. have
concentration and analyzed
diameter of thetheeffect of different
particle. silt parameters
Consequently, this leadsontothe Kaplan
a great turbine’s
decrease in
efficiency
turbine [6]. TheySangal
efficiency. analyzed thehave
et al. regions
analyzedwith high velocity
the effect and pressure
of different by applying
silt parameters onCFDthe
simulation.
Kaplan It wasefficiency
turbine’s shown that [6]. silt
They erosion
analyzed mainly
the affects
regionsthe withblade
hightips and region
velocity around
and pressure
the trailing edge. This is related to the additional hydraulic
by applying CFD simulation. It was shown that silt erosion mainly affects the blade load and high velocity due to
tips
the circumferential speed and gap flow, respectively. The authors
and region around the trailing edge. This is related to the additional hydraulic load and stated that silt erosion’s
near to
high best efficiency
velocity due to the point is the main reason
circumferential speed forandthegap maximum loss of Kaplan
flow, respectively. turbine.
The authors
Moreover, it was confirmed by Thapa et al. [4], Man [5], and
stated that silt erosion’s near to best efficiency point is the main reason for the maximum Mamata and Saini [157] that
turbine blade erosion depends on different parameters such
loss of Kaplan turbine. Moreover, it was confirmed by Thapa et al. [4], Man [5], and as velocity, operating condi-
tions, impingement angle, surface hardness and morphology, substrates, elastic properties,
Mamata and Saini [157] that turbine blade erosion depends on different parameters such
chemistry, the shape and size of the particles, concentration, and hardness.
as velocity, operating conditions, impingement angle, surface hardness and morphology,
substrates,
4. Practicalelastic properties, chemistry, the shape and size of the particles, concentration,
Solutions
and hardness.
There are many practical solutions proposed by different researchers to prevent Kaplan
turbine failure in terms of different types of failures. As it is related to the materials’ defects,
4. Practical Solutions
soft martensitic stainless steels are commonly used for the manufacturing of hydraulic
There
turbine are especially
parts, many practical solutions
the runner blades proposed
[73]. The by turbine
differentblades
researchers
are weldedto prevent
using
Kaplan turbine failure in terms of different types of failures.
410 Ni Mo filler alloy [162]. Moreover, a post-weld heat treatment is required for this As it is related totype
the
materials’ defects, soft martensitic stainless steels are
of filler alloy to temper the brittle martensite formed in the welded zone and to reduce commonly used for the
manufacturing
residual stresses ofinduced
hydraulic byturbine
the weldingparts, especially the runner
process [163,164]. blades steel
Stainless [73]. has
The become
turbine
blades are welded using 410 Ni Mo filler alloy [162]. Moreover,
almost exclusively the best material for new projects and modifications of hydraulic turbinea post-weld heat treatment
is required
runners for this type
throughout theof filler Because
years. alloy to temper the brittleoffer
these materials martensite formed of
a combination in exceptional
the welded
zone and to high
weldability, reduce residualand
strength, stresses induced
cavitation by the welding
resistance, martensitic process
grades [163,164]. Stainless
of stainless steel,
steel has become almost exclusively the best material for
including 13–16% Chrome and 3–5% Nickel, have been used to a great extent. Austeniticnew projects and modifications
of hydraulic
stainless steelturbine
has high runners
cavitationthroughout
resistance theandyears. Because but
weldability, theseits materials
strength isoffer lower a
combination of exceptional weldability, high strength,
compared with that of martensitic stainless steel. Because of the higher chrome content, and cavitation resistance,
martensitic
austenitic steelsgrades of stainless
(18–20% chrome steel,
and including
3–12% nickel) 13–16%offerChrome and 3–5%
better corrosion Nickel, have
properties than
been used tosteels.
martensitic a great extent. Austenitic
Eventually, during the stainless steel has high
manufacturing cavitationofresistance
and handling any stainless and
weldability,
steel, precautionsbut its strength
should is lower
be taken to avoidcompared with thatTo
contamination. of analyze
martensiticfailurestainless steel.
and identify
Because
its main of the higher
causes chrome parts,
in industrial content, it isaustenitic
necessary steels (18–20%all
to research chrome and 3–12%
the possible causes, nickel)
and
offer
in some cases, in addition to using evidence, the answer can be obtained by rejecting the
better corrosion properties than martensitic steels. Eventually, during
manufacturing
possible causes and handling of any stainless steel, precautions should be taken to avoid
[11,165–168].
contamination. To analyze failure and identify its main causes in industrial parts, it is
Materials 2023, 16, 3303 24 of 37

Additionally, good design of equipment should reflect the high performance and
efficiency of the equipment under difficult operational conditions. In this regard, consid-
ering the past and present situations is very important for the future development of a
structure [169]. For instance, in the case of Serbia’s Bajina Basta pump-turbine system, the
design team discovered a dangerous instability by applying manufacturers’ data, and it
was published for the first time [170]. In this regard, the control system has been modified
to protect the system. The phenomenon was confirmed and published during the trial
operation [171]. In addition to the design and development of low-head hydropower
turbines, the researchers have also paid attention to economic considerations [172] and
control and energy storage [173]. It is also reported that enlargement, redesign, adjustment,
and modification in project design, as well as a special titled Hydraulic Transient Analyses
(HTA), should be analyzed to avoid disaster [52]. All turbine parts must be designed and
constructed to safely withstand maximum stresses during normal operation, runaway,
short circuit conditions, out of phase synchronization, and brake application. In this issue,
the maximum unit stresses of the rotating parts shall not exceed two-thirds of the material’s
yield point [67]. In normal conditions, the safety factor based on the yield point shall not
be less than three for other parts. Additionally, for over-load and short-circuit conditions, a
safety factor of 1.5 on the yield point shall be permitted [174]. Reviewers who understand
the complexity of the project have avoided disasters and problems, mitigated additional
funding, deficiencies, and unforeseen casualties, and optimized the project design. It is also
proposed that the design process should include an interphase between material selection
and the manufacturing process for successful product design [80]. The complicated geome-
try of water turbine blades necessitates the use of specialized manufacturing techniques.
Because of the curved three-dimensional surface geometry of large hydro turbine blades,
deformation is one of the most common flaws during casting. To overcome this problem,
inverse deformation is commonly used to achieve the desired shape for sand molds. On
the other hand, it is difficult to estimate the amount of inverse deformation for different
geometries, and in some cases, it is impossible for complex geometries [175]. Providing a
safe, reliable, and healthy work environment is a requirement for organizations all over the
world, and the best method to achieve this is to eliminate the dangers that are impossible
in continuous process plants and manufacturing units. Quality assurance plays a key role
during the deployment of any new project. Before being installed and physically accepted
in the receiving department, all parts, equipment, controls, and other system components
are evaluated based on the different engineering standards. In addition, before accepting
an item from a vendor, material test results, certificates of compliance, and equipment
test reports are all assessed and archived. Similarly, the systems are examined for poten-
tial flaws in accordance with engineering standards, internal instructions, and general
regulations [176]. Regarding corrosion, some researchers have suggested manufacturing
turbine blades from 13Cr4Ni stainless steel and then heat treating them at high tempera-
tures by quenching and tempering [177]. In this study, the quenching temperature was
about 1050–1080 ◦ C. Moreover, the tempering temperature was in the range of 600–650 ◦ C.
Afterward, a regulated cooling process after tempering was carried out in the furnace to
reduce the possibility of inner stresses and blade deformation. The results of material engi-
neering research proved that this type of steel has a good corrosion resistance in moderately
corrosive environments that are free of chlorides.
A common technique for the repair of hydroelectric runners is metal replacement or
coating, which does nothing to break the natural cycle of corrosion. Coating is a unique way
to modify the surface properties of any substrate to suit an aggressive working environment
for efficient work [178]. In other words, coating is a layer of material that forms naturally
or is deposited synthetically on the surface of a component made of another material with
the goal of improving mechanical properties and corrosion resistance [178]. To improve
the corrosion resistance of component surfaces, different surface engineering techniques,
i.e., thermal spraying, laser cladding, Physical Vapor Deposition (PVD), Chemical Vapor
Deposition (CVD), hardening, and plasma nitriding, have been developed. Thermal
 Materials 2023, 16, x FOR PEER REVIEW 25 of 38

Materials 2023, 16, 3303 25 of 37

resistance [178]. To improve the corrosion resistance of component surfaces, different
surface engineering techniques, i.e., thermal spraying, laser cladding, Physical Vapor
Deposition (PVD), Chemical Vapor Deposition (CVD), hardening, and plasma nitriding,
spraying
have beentechnologies
developed.such as detonation
Thermal sprayingguns, plasma spraying,
technologies High Velocity
such as detonation Oxy-Fuel
guns, plasma
spraying, and cold spraying have already been used commercially on various equipment
spraying, High Velocity Oxy-Fuel spraying, and cold spraying have already been used
components
commercially [179]. Due to their
on various combination
equipment of excellent
components [179].toughness and high
Due to their hardness,
combination of
which are required for corrosion and mechanical wear resistance, the deposition of
excellent toughness and high hardness, which are required for corrosion and mechanicalcarbide
coatings by the HVOF thermal spray process has been widely discussed in the literature
wear resistance, the deposition of carbide coatings by the HVOF thermal spray process has
and applied in the industry, as shown in Figure 23.
been widely discussed in the literature and applied in the industry, as shown in Figure 23.

Figure23.
Figure 23.Alloy
Alloycoatings
coatingsdeposited
depositedby
bythe
theHVOF
HVOFprocess
process[180].
[178].

Furthermore,WC–Co
Furthermore, WC–Co (powders
(powders withwith a bimodal
a bimodal size size distribution
distribution of WCofparticles
WC particleshave
been used to produce a coating by HVOF spraying) coatings have exceptionalexceptional
have been used to produce a coating by HVOF spraying) coatings have hardness
hardness
and excellentandtoughness
excellent toughness
thanks to WC thanks to WCand
particles particles and Co[179–183].
Co binders binders [179–183].
WC–Co coat- WC–
Co coatings,
ings, especiallyespecially with nano-sized
with nano-sized WC particles, WChave particles,
already havebeenalready been successfully
successfully utilized in
utilized in wear-resistant
wear-resistant equipment [184,185]. equipment Recent[184,185].
studies have Recent studies demonstrated
successfully have successfully the
demonstrated
simultaneous the simultaneous
improvement of toughness improvement
and hardness of toughness and
of nanostructured WC–Cohardness
coatings. of
nanostructured helps
Nanotechnology WC–Co coatings.
in the production Nanotechnology
of various structuralhelps inmaterials
the production of various
with various qual-
structural
ities, lightermaterials with various
weight, stronger qualities,and
composites, lighter weight, stronger
self-cleaning surfaces.composites,
Therefore, and self-
instead
ofcleaning surfaces. Therefore,
using conventional coating,instead
nanopowderof using conventional
appears to give coating, nanopowder
better results. appears
New activities
to give
are beingbetter results. New
undertaken activities the
to investigate are performance
being undertaken to investigate
of ceramic the performance
nanomaterials such as
alumina
of ceramic (Al2nanomaterials
O3 ), titania (TiO 2 ), zirconia
such as alumina (ZrO(Al 2 ), 2and
O3), silicon
titania oxide
(TiO2), (SiO 2 ) to improve
zirconia (ZrO2), the and
performance
silicon oxideof steel
(SiO 2) toagainst
improve corrosion and mechanical
the performance of steel wear.
againstThese materials
corrosion are being
and mechanical
used
wear. as These
reinforcements
materialsinare other materials
being used as to prepare thermal in
reinforcements spray
othercomposite
materials coating com-
to prepare
positions [186,187]. Furthermore, despite their excellent properties
thermal spray composite coating compositions [186,187]. Furthermore, despite their such as higher hardness,
higher wear
excellent resistance,
properties lower
such corrosion
as higher rate, andhigher
hardness, good wear
wettability, thermal
resistance, lowerspray deposition
corrosion rate,
ofand
alumina
good and titania composites
wettability, thermal spray has received
deposition less of attention
alumina [188].
andAdditionally,
titania compositeslittle liter-
has
ature is available
received showing[188].
less attention the mechanical
Additionally,blending littleofliterature
nickel with is alumina
availableand/orshowing titaniathe
nanostructured
mechanical blending powders [187]. A
of nickel coating
with mustand/or
alumina provide a continuous
titania barrier powders
nanostructured to a substrate,
[187].
and any flaw
A coating mustmight become
provide a focal point
a continuous for to
barrier substrate
a substrate,degradation
and any and flaw corrosion
might become [189].a
Nanoparticles have recently been used to improve the chemical,
focal point for substrate degradation and corrosion [189]. Nanoparticles have recently mechanical, material, and
metallurgical properties of coatings. Nanocoatings are made
been used to improve the chemical, mechanical, material, and metallurgical properties of up of nanoscale ingredients
or layers that
coatings. are less than
Nanocoatings are100
madenanometers thick. Nanocoatings
up of nanoscale ingredients or are efficiently
layers that areutilized
less thanto
reduce the influence
100 nanometers of a Nanocoatings
thick. corrosive environment
are efficientlydue toutilized
their numerous
to reduce characteristics,
the influencesuch of a
ascorrosive
surface hardness, adhesive quality, long-term use, and high-temperature
environment due to their numerous characteristics, such as surface hardness, corrosion resis-
tance,
adhesiveand to increase
quality, tribological
long-term properties,
use, among others [190].
and high-temperature Moreover,
corrosion nanocoatings
resistance, and to
can also be applied in thinner and smoother thicknesses,
increase tribological properties, among others [190]. Moreover, nanocoatings can allowing for greater flexibility
also be
inapplied
equipment design
in thinner andand lower maintenance
smoother thicknesses,and operating
allowing costs. flexibility
for greater In this regard, organic
in equipment
polymeric
design and coatings
loweroften provide corrosion
maintenance protection
and operating byIn
costs. establishing
this regard, a barrier
organic that isolates
polymeric
the metal from the surrounding environment. However, all polymeric coatings are porous
coatings often provide corrosion protection by establishing a barrier that isolates the metal
to damaging species such as oxygen, water, and chloride particles. This porosity accelerates
from the surrounding environment. However, all polymeric coatings are porous to
the corrosion process and shortens the service life of the polymeric coating. To solve this
damaging species such as oxygen, water, and chloride particles. This porosity accelerates
problem, incorporating inorganic fillers into the polymeric coating formulation can reduce
the corrosion process and shortens the service life of the polymeric coating. To solve this
porosity and increase the composite coating’s lifespan. Compared with the usual filler
partners, inorganic nanoparticles as fillers with very tiny grain sizes and high boundary
volumes offer enhanced barrier qualities [191–193]. Anti-corrosion coatings create a barrier
Materials 2023, 16, 3303 26 of 37

between the host material surfaces and the chemical process that occurs around them.
Wear resistance and hydrophobicity are also provided by anti-corrosion nanocoatings. In
this regard, anti-corrosive coatings increase the service life of metal components by up
to 10 times [194]. As previously indicated, the thermal spray coating technique is one of
the most modern processes. Thermal spraying, arc plasma spraying, and HVOF methods
are used to commercially apply coatings. Compared with other deposition methods, the
High-Velocity Flame Spray (HVFS) procedure offers a diverse approach and is a good
candidate for the deposition of nanostructured composite coatings in terms of materials,
deposition medium, and thickness [194,195]. Most hydro turbine components are subject
to severe corrosion and erosion failure. Therefore, nickel-based coatings deposited by the
HVFS process have been widely used to overcome turbine deterioration. Nickel has been
selected as the candidate of matrix material because it has better fracture toughness than Al
and Ti and is less expensive than Cr and Co. Corundum is referred to as alumina (Al2 O3 ). It
is a white oxide that comes in a variety of forms, including gamma, delta, theta, and alpha.
High hardness, low coefficient of friction, excellent stability, high insulation, good wear
qualities, and transparency are all characteristics of alumina and titania powders [196].
These are used as catalysts, insulators, surface protective coatings, and in composite ma-
terials [197,198]. Additionally, Parida et al. have stated that the mechanical properties of
Ni-TiO2 coatings are extremely reliant on the grain boundary and particle size of the coating
powders [199]. Thereupon, newer composite coatings, including nanocomposites, with
a combination of higher hardness, strength, toughness, and adhesion should be studied
for future applications. Eventually, this will lead to a reduction in the time and cost of
corrective maintenance for hydropower plants. As regards fatigue failure, Doina et al.
have concluded that the hydrodynamic loads on the blade must be reduced to decrease
the peak stress value [132]. They reported that the only way to reduce stress value under
current operating parameters (i.e., discharge, head, speed, and power) is to increase the
number of runner blades. The fracture surfaces were exposed to chemical corrosion after
the breakdown started. The presence of a high number of non-metallic inclusions enhanced
and expedited this occurrence. It should be highlighted that, in today’s world, neither nu-
merical models nor reduced-scale model testing can accurately forecast cavitation incidence
in axial turbines [139]. Zhang et al. have investigated the methods of vortex identification
in hydro turbines [200]. The modern solution to this phenomenon is to typically use the
so-called anti-cavitation lip, which consists of a simple winglet affixed to the tip of the
blades, to reduce cavitation development in axial turbines. Nevertheless, such a remedy
often fails to reduce cavitation erosion, as reported by Kimon and Peter [201]. However,
some researchers, based on the results of CFD analysis, have suggested creating and placing
anti-cavitation lips on the runner blades as a solution to prevent tip vortex. The function
of the lips was confirmed by model measurements in the hydraulic laboratory [138]. The
cavitating core of the vortex was shifted further away from the suction side, and the measur-
ing proved that the anti-cavitation lips’ installation had no effect on the turbine efficiency.
Moreover, this idea was used to modify the prototype runner. After 1500 operating hours,
the function of the anti-cavitation lips was examined, and no cavitation pitting or shadows
Materials 2023, 16, x FOR PEER REVIEW 27 of 38
on the blade or on the lips were found [138]. Figure 24 illustrates this fact.

Figure 24. Kaplan runner equipped with anti-cavitation lips after 1500 operating hours [138].
Figure 24. Kaplan runner equipped with anti-cavitation lips after 1500 operating hours [138].

The design of the runner blade could be altered to avoid tip vortex cavitation pitting.
In this regard, changing the blade’s camber line deflection could help. Another option is
to keep the tip clearance as small as possible, which is about 0.05 percent of the runner
diameter. In addition, anti-cavitation lips are the third method of dealing with tip vortex
cavitation. In fact, with proper design, anti-cavitation lips can significantly minimize tip
Materials 2023, 16, 3303 27 of 37

The design of the runner blade could be altered to avoid tip vortex cavitation pitting.
In this regard, changing the blade’s camber line deflection could help. Another option is
to keep the tip clearance as small as possible, which is about 0.05 percent of the runner
diameter. In addition, anti-cavitation lips are the third method of dealing with tip vortex
cavitation. In fact, with proper design, anti-cavitation lips can significantly minimize tip
vortex cavitation pitting, while having no detrimental impact on the turbine efficiency [39].
One of the clear signs of traveling bubble cavitation is the crackling noise/sound associated
with cavitation, which is reported by experienced engineers. Hence, the beginning of
cavitation is often detected first by this noise rather than by visual observation of the
bubbles [202]. This cavity corresponds to a low incidence angle of flow, and the minimum
pressure is at the impeller throat, depending on the impeller design. Accordingly, one of
the effective solutions is to optimize the runner design. Early detection and treatment of
cavitation phenomena through corrective maintenance is another approach for minimizing
deterioration caused by traveling bubble cavitation and avoiding vibrations that can lead
to significant losses of the material in hydropower plant equipment. A six-blade Kaplan
turbine was studied to determine its efficiency and anticipate the cavity [203]. This study
was the result of a collaboration between the University of Trista in Italy and Coléctor
Turpinchetut in Slovenia. Their goal was to develop a consistent standard and to present
an efficient methodology for the accurate estimation and optimization of hydro equipment
performance. The numerical simulations were performed at one operating point for the
maximal angle of runner blade and nominal head. The results were compared with the
measured sigma break curve and the observation of cavity size on the test rig. Simulations in
the steady state projected a significant but insufficient efficiency level and a modest amount
of cavitation on the runner blades. The shape and size of the projected sheet cavitation
in transient simulations matched the cavitation observed on the test rig. However, the
anticipated efficiency was more accurate, but the value of cavitation, or Thoma number,
where efficiency declined by 1%, was a little too high. The difference in results achieved
using standard and calibrated Zwart model parameters is significant [203,204].
In previous studies, thermal spray coatings have been shown to act as an extraordi-
nary barrier between the sedimentation effect and the surface of hydraulic turbines. The
preference for the thermal spray technique is due to its versatile nature in the development
of a variety of coatings on any surface. The enhanced performance and durability of coated
steel in erosive environments have been shown in various studies [186,205,206]. HVFS is a
thermal spray technique that produces a much superior coating surface, greater upright ad-
hesion, less porosity, and reduced oxide content. Furthermore, the cost associated with this
process is lower than that of other thermal spray techniques [207,208]. Several compositions
of ceramic powders are produced using different methods, such as casting and crushing,
sintering, and crushing, aggregation, particle cladding, and agglomeration. Because of
their unique characteristics of anti-erosion properties, most of the ceramic compositions
are used for the mitigation of the erosion problem. The major components used to make
hard coatings are ceramics such as Al2 O3 , TiO2 , and WC. Rajeev et al. have evaluated the
ceramic coating compositions of Ni-20Al2 O3 and Ni-10Al2 O3 -10TiO2 coated on CA6NM
turbine steel using the HVFS technique [207]. They claimed that adding TiO2 to coatings
improved binding strength and surface roughness. Grewal et al. have used the HVFS
technique to investigate the effects of Ni-Al2 O3 coatings on CA6NM turbine steel [208].
According to their report, adding alumina to nickel improves the mechanical quality of
coating and increases its resistance to erosion. The multi-dimensional composite carbide
coating has been coated on turbine steel by Liu et al. [209] and Lalit and Arora [210]. They
discovered that, compared with conventional coatings, the nanocomposite coating greatly
increases erosion resistance. Vibhu et al. have investigated multi-dimensional Ni-Al2 O3
metal-ceramic coating compositions on CA6NM steel [211]. The scientists discovered that
adding multi-dimensional alumina to the nickel matrix results in a dense coating surface
that improves erosion resistance. Additionally, several scholars have conducted studies on
tungsten carbide-based coatings due to their superior mechanical properties (i.e., hardness
Materials 2023, 16, 3303 28 of 37

and toughness). In addition, for the alleviation of the slurry erosion problem, the use of
WC-10Co-4Cr coatings has been widely suggested [211–215]. However, the high cost of
carbide coating powders makes them unsuitable for most applications. Compared with
conventional coatings, Lima et al. found that the addition of TiO2 nanostructured ceramic
material to the Al2 O3 -13TiO2 coating composition improves fracture propagation resistance
for wear applications [216]. Because of the greater toughness property produced during
the application of the coating, it displayed superior wear performance.
Predicting erosion performance for coatings is more challenging than predicting
erosion performance for bulk materials, where properties such as thermal expansion, bond
strength, residual stresses, and thickness must be considered [217,218]. Typically, engineers
and industry professionals respond to erosion problems by replacing the degraded surface
with a harder one. In this regard, good coating adhesion to the substrate is required for
high energy impacts. Furthermore, while coating erosion tests show steady-state erosion
rates due to microchipping mechanisms, more serious damage mechanisms associated with
coating spallation, such as Hertzian ring-cone cracks, stress wave propagation cracks, and
lateral crack development, can occur depending on the shape of impacting particle [219].
The morphology of crystalline grains in nanodimension modifies the properties of coating
materials (the nanostructured materials have crystal grains with a size smaller than 100 nm).
Thermal-sprayed nanocrystalline coatings with good hardness values are found to possess
better wear performance than their counterparts made from microcrystalline powders. In
this regard, the HVOF technique has been used to create nanocrystalline coatings with low
porosity, higher bond strength, and increased wear properties [220]. By controlling the
deposition temperature, nanostructured coatings can be synthesized by vapor deposition-
based methods, such as PVD or CVD. The fine particles can be prepared by grinding coarse
powders to the desired particle size or by chemical synthesis of liquids and precipitation
of finely dispersed solid phases with desired composition [221]. The primary use of
thermal spray nanocrystalline powder coatings was to improve substrate wear resistance
(i.e., sliding, abrasion, and erosion). Additionally, experiments by scholars based on the
nanocomposite powders of Ti, Mo, C, NiCr, Co, Cr2 O3 , Cr3 C2 , W, titania (TiO2 ), and other
materials to improve wear resistance have yielded promising results [222]. Moreover, it has
also been claimed that these nanocomposite coatings can be used as heat barriers in various
types of power turbines, as photo-catalytic coatings, or as electron emitters. Co-based
superalloy powders, Fe-Al, WC–Co, NiCrC, and Al2 O3 nanocrystalline powders have also
been utilized to improve erosion properties and protect turbine blades [223].

5. Conclusions
Kaplan turbines are often used to optimize the production of hydraulic power. Any
abnormality in the operation of the Kaplan turbine mechanism can lead to its emergency
state and, ultimately, to an accident. Defects in the operation of equipment that threaten
an accident or disruption of the station’s operating schedule, but can be eliminated by the
personnel on duty, must be immediately eliminated in accordance with local instructions.
As a result, more research into the major causes of Kaplan turbine failures could help
in improving the evaluation procedures for power plants. In this critical review, the
research conducted on the common phenomena that can cause damage in Kaplan turbine
was discussed, including material and physical defects, deficiencies in design, deficits
in manufacturing and assembly processes, corrosion failures, fatigue failure, cavitation
wear, types of cavitation in hydro turbines, hydro-abrasive problems, and hydro-erosion
problems, and the practical solutions are given and discussed in detail to solve the above-
mentioned problems.

Author Contributions: Conceptualization, W.K.M.R., K.R.K. and S.G.; methodology, W.K.M.R.,

K.R.K. and S.G.; formal analysis, W.K.M.R., K.R.K. and S.G.; investigation, W.K.M.R., K.R.K. and S.G.;
resources, W.K.M.R., K.R.K. and S.G.; data curation, W.K.M.R., K.R.K. and S.G.; writing—original
draft preparation, W.K.M.R.; writing—review and editing, K.R.K. and S.G.; visualization, W.K.M.R.,
Materials 2023, 16, 3303 29 of 37

K.R.K. and S.G.; supervision, K.R.K. and S.G.; project administration, K.R.K.; funding acquisition,
K.R.K. and S.G. All authors have read and agreed to the published version of the manuscript.
Funding: This research received no external funding.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: All data are reported in the article.
Acknowledgments: This paper was supported by the RUDN University Strategic Academic Leader-
ship Program.
Conflicts of Interest: The authors declare no conflict of interest.

Abbreviations

Mtoe Mega tons of oil equivalent

TWh Terawatt hour
HPP Hydropower Plant
HSMA High Strength Micro Alloy
HT Heat-Treated
HTA Hydraulic Transient Analysis
NAB alloy Nickel Aluminum Bronze alloy
IOD Internal Object Damage
FOD Foreign Object Damage
HAZ Heat-Affected Zone
PVD Physical Vapor Deposition
CVD Chemical Vapor Deposition
HVOF spraying High-Velocity Oxygen Fuel spraying
HVFS High-Velocity Flame Spray

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