CVX4240 – Unit 2 Session 07: Theory of Turbines

LESSON 07 Theory of Turbines

AIM: To introduce the basic theory behind the performance of hydraulic

machines with a particular emphasis on turbines.

OBJECTIVES: The student should be able to select the correct hydraulic machinery
(turbines) to suit the requirements of a particular job, and specify its
overall design.

7.1 Introduction:

Turbines have been used for centuries to convert freely available

mechanical energy from rivers and wind into useful mechanical work,
usually through a rotating shaft. Whereas the rotating part of a pump is
called the impeller, the rotating part of a hydro-turbine is called the
runner. When the working fluid is water, the turbomachines are called
hydraulic turbines or hydro-turbines. When the working fluid is air, and
energy is extracted from the wind, the machine is properly called a wind
turbine. The word windmill should technically be applied only when the
mechanical energy output is used to grind grain, as in ancient times (Fig.
7-1). However, most people use the word windmill to describe any wind
turbine, whether used to grind grain, pump water, or generate electricity.
In coal or nuclear power plants, the working fluid is usually steam; hence,
the turbomachines that convert energy from the steam into mechanical
energy of a rotating shaft are called steam turbines. A more generic name
for turbines that employ a compressible gas as the working fluid is gas
turbine. (The turbine in a modern commercial jet engine is a type of gas
turbine.)

In general, energy-producing turbines have somewhat higher overall

efficiencies than do energy-absorbing pumps. Large hydro-turbines, for
example, achieve overall efficiencies above 95 percent, while the best
efficiency of large pumps is a little more than 90 percent. There are
several reasons for this. First, pumps normally operate at higher
rotational speeds than do turbines; therefore, shear stresses and frictional
losses are higher. Second, conversion of kinetic energy into flow energy

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CVX4240 – Unit 2 Session 07: Theory of Turbines

(pumps) has inherently higher losses than does the reverse (turbines).
You can think of it this way: Since pressure rises across a pump (adverse
pressure gradient), but drops across a turbine (favorable pressure
gradient), boundary layers are less likely to separate in a turbine than in a
pump. Third, turbines (especially hydro-turbines) are often much larger
than pumps, and viscous losses become less important as size increases.
Finally, while pumps often operate over a wide range of flow rates, most
electricity-generating turbines run within a narrower operating range and
at a controlled constant speed; they can therefore be designed to operate
most efficiently at those conditions. In the United States, the standard AC
electrical supply is 60 Hz (3600 cycles per minute); thus most wind, water,
and steam turbines operate at speeds that are natural fractions of this,
namely, 7200 rpm divided by the number of poles on the generator,
usually an even number. Large hydro-turbines usually operate at low
speeds like 7200/60 = 120 rpm or 7200/48 = 150 rpm. Gas turbines used
for power generation run at much higher speeds, some up to 7200/2 =
3600 rpm!

As with pumps, we classify turbines into two broad categories, positive

displacement and dynamic. For the most part, positive-displacement
turbines are small devices used for volume flow rate measurement, while
dynamic turbines range from tiny to huge and are used for both flow
measurement and power production. We provide details about both of
these categories.

Fig. 7-1A restored windmill in Brewster, MA, that was used in the 1800s
to grind grain. (Note that the blades must be covered to function.)
Modern “windmills” that generate electricity are more properly called
wind turbines.
© Visions of America/JSohm/Photodisc/Getty Images

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CVX4240 – Unit 2 Session 07: Theory of Turbines

7.2 General Layout of a Hydroelectric Power Plant:

Figure 7-2 shows a general layout of a hydroelectric power plant which

consists of:
(i) A dam constructed cross a river to store water
(ii) Pipes of large diameter called penstocks, which carry water under
pressure from the storage reservoir to the turbines. These pipes are
made of steel or reinforced concrete
(iii) Turbines having different types of vanes fitted to the wheels
(iv) Tail race, which is a channel which carries water away from the
turbines after the water has worked on the turbines.

i
Fig.7-2 General Layout of a Hydroelectric Power Plant

7.3 Definitions of Heads and Efficiencies of a Turbine:

Gross head: The difference between the head race level and tail race level
when no water is flowing is known as gross head, Hg.

Net head: It is also called effective head and is defined as the head
available at the inlet of the turbine. When water is flowing from head race
to the turbine, a loss of head due to friction between the water and the
penstock occurs. Although there are other losses also such as loss due to
bends, pipe fittings, loss at the entrance of penstock etc.., yet they are
having small magnitudes as compared to head loss due o friction. If hf is
the head loss due to friction between penstocks and water then, net head
on turbine is given by,

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CVX4240 – Unit 2 Session 07: Theory of Turbines

H = Hg-hf .

Efficiencies of a turbine
(a) Hydraulic efficiency (𝜂𝑕 ) – It is defined as the ratio of power given by
the water to the runner of a turbine (runner is a rotating part of a
turbine and on the runner vanes are fixed) to the power supplied by
the water at the inlet of the turbine. The power at the inlet of the
turbine is more and this power goes on decreasing as the water flows
over the vanes of the turbine due to hydraulic losses as the vanes are
not smooth. Hence, the power delivered to the runner of the turbine
will be less than the power available at the inlet of the turbine. Thus,
mathematically, the hydraulic efficiency of a turbine is written as,
power delivered by water to the runner
𝜂𝑕 =
power supplied at inlet
Power delivered to runner = 𝜌𝑄 𝑣𝑤1 𝑢1 − 𝑣𝑤2 𝑢2
Power supplied at inlet = 𝜌𝑔𝑄𝐻

(b) Volumetric efficiency (𝜂𝑚 ) – the volume of the water striking the
runner of a turbine is slightly less than the volume of the water
supplied to the turbine. Some of the volume of the water is
discharged to the tail race without striking the runner of the turbine.
Thus the ratio of the volume of the water actually striking the runner
to the volume of water supplied to the turbine is defined as
volumetric efficiency. It is written as,
volume of water actually striking the runner
𝜂𝑣 =
volume of water supplied to the turbine

(c) Mechanical efficiency (𝜂𝑚 ) – The power delivered by water to the

runner of a turbine is transmitted to the shaft of the turbine. Due to
mechanical losses, the power available at the shaft of the turbine is
less than the power delivered to the runner of a turbine. The ratio of
the power available at the shaft of the turbine to the power delivered
to the runner is defined as mechanical efficiency. Hence,
mathematically, it is written as,
power at the shaft of the turbine
𝜂𝑚 =
power delivered by water to the runner

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CVX4240 – Unit 2 Session 07: Theory of Turbines

(d) Overall efficiency (𝜂𝑂 ) – It is defined as the ratio of power available at

the shaft of the turbine to the power supplied by the water at the inlet
of the turbine. It is written as,
power at the shaft of the turbine
𝜂𝑂 =
power supplied at inlet
𝑃
𝜂𝑂 =
𝜌𝑔𝑄𝐻

7.4 Classification of Turbines According to Energy at Inlet:

Turbines are subdivided into “impulse” and “reaction” machines. In the

impulse turbines, the total head available is first converted into the
kinetic energy. This is usually accomplished in one or more nozzles. The
jets issuing from the nozzles strike vanes attached to the periphery of a
rotating wheel. Because of the rate of change of angular momentum and
the motion of the vanes, work is done on the runner (impeller) by the
fluid and, thus, energy is transferred. Since the fluid energy, which is
reduced on passing through the runner is entirely kinetic, it follows that
the absolute velocity at outlet is smaller than the absolute velocity at inlet
(jet velocity). Furthermore, the fluid pressure is atmospheric throughout
and the relative velocity is constant except for a slight reduction due to
friction.

In the reaction turbines, the fluid passes first through a ring of stationary
guide vanes in which only part of the available total head is converted
into kinetic energy. The guide vanes discharge directly into the runner
along the whole of its periphery, so that the fluid entering the runner has
pressure energy as well as kinetic energy. The pressure energy is
converted into kinetic energy in the runner (the passage running full)
and, therefore, the relative velocity is not constant but increases through
the runner. There is, therefore, a pressure difference across the runner.

A parameter which describes the reaction turbines is the “degree of

reaction”. It is derived by the application of Bernoulli’s equation to the
inlet and outlet of a turbine, assuming ideal flow (no losses). Thus, if the
conditions at inlet are denoted by the use of suffix 1 and those at outlet by
suffix 2, then,

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CVX4240 – Unit 2 Session 07: Theory of Turbines

𝑝1 𝑣12 𝑝2 𝑣22
+ =𝐸+ +
𝜌𝑔 2𝑔 𝜌𝑔 2𝑔

where, E is the energy transferred by the fluid to the turbine per unit
weight of the fluid. Thus,
𝑝1 − 𝑝2 𝑣12 − 𝑣22
𝐸= +
𝜌𝑔 2𝑔

In the equation, the first term on the right-hand side represents the drop
of static pressure in the fluid across the turbine, whereas the second term
represents the drop in the velocity head. The two extreme solutions are
obtained by making either of these two terms equal to zero. Thus, if the
pressure is constant, so that 𝑝1 − 𝑝2 , then 𝐸 = 𝑣12 − 𝑣22 2𝑔and such a
turbine is purely impulsive. If, on the other hand, 𝑣1 − 𝑣2 , then𝐸 =
𝑝1 − 𝑝2 𝜌𝑔and this represents pure reaction. The intermediate
possibilities are described by the degree of reaction (R), defined as,
R = Static pressure drop / Total energy transfer

But the static pressure drop is given by,

𝑝1 − 𝑝2 𝑣12 − 𝑣22
=𝐸−
𝜌𝑔 2𝑔
so that,
𝑝1 − 𝑝2
𝑅= 𝐸
𝜌𝑔

𝑣12 − 𝑣22
𝑅 =1−
2𝑔𝐸

Substituting from Euler’s equation for, = 𝑣𝑤1 𝑢1 𝑔, we obtain,

𝑣12 − 𝑣22
𝑅 =1−
2𝑣𝑤1 𝑢1

Ex:- Impulse turbine – Pelton wheel

Reaction turbine – Kaplan, Francis

Impulse turbines (Pelton wheel)

The Pelton wheel is an impulse turbine in which vanes, sometimes called
buckets, of elliptical shape are attached to the periphery of a rotating

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CVX4240 – Unit 2 Session 07: Theory of Turbines

wheel, as shown in Figure 7-3. One or two nozzles project a jet of water
tangentially to the vane pitch circle. The vanes are of double-outlet
section, as shown in Figure 7-4, so that the jet is split and leaves
systematically on both sides of the vane. In this way the end thrust on the
bearings and the shaft is eliminated.

F
Fig. 7-3 Arrangement of a Pelton Wheel

Fig. 7-4 Velocity Triangles for a Pelton Wheel

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CVX4240 – Unit 2 Session 07: Theory of Turbines

The total head available at the nozzle is equal to the gross head less losses
in the pipeline leading to the nozzle. If it is equal to H, then the velocity of
jet issuing from the nozzle is,
𝑣 = 𝐶𝑣 2𝑔𝑕

where𝐶𝑣 is the velocity coefficient and its value is between 0.97 and 0.99.
The total energy transferred to the wheel is given by Euler’s equation:
𝐸 = 𝑣𝑤1 𝑢1 − 𝑣𝑤2 𝑢2 𝑔
[for pumps this is 𝐸 = 𝑣𝑤2 𝑢2 − 𝑣𝑤1 𝑢1 𝑔]
but, as shown by the velocity triangles in Figure7-4, the peripheral vane
velocity at outlet is the same as that at inlet,
𝑢1 = 𝑢2 = 𝑢

So that, 𝐸 = 𝑢 𝑔 𝑣𝑤1 − 𝑣𝑤2

However,
𝑣𝑤2 = 𝑢 − 𝑣𝑟2 cos 180 − 𝜃 = 𝑢 + 𝑣𝑟2 cos 𝜃

and, 𝑣𝑟2 = 𝑘𝑣𝑟1 = 𝑘 𝑣1 − 𝑢

where, k represents the reduction of the relative velocity due to friction.

Thus,
𝑣𝑤2 = 𝑢 + 𝑘 𝑣1 − 𝑢 cos 𝜃 and 𝑣𝑤1 = 𝑣1 ,

so that,
𝐸 = 𝑢 𝑔 𝑣1 − 𝑢 − 𝑘 𝑣1 − 𝑢 cos 𝜃 = 𝑢 𝑔 𝑣1 − 𝑢 1 − 𝑘 cos 𝜃

This equation shows that there is no energy transfer when the vane
velocity is either zero or equal to the jet velocity. It is reasonable to expect,
therefore, that the maximum energy transfer will occur at some
intermediate value of the vane velocity. This may be obtained by
differentiation as follows:
𝐸= 1 − 𝑘 cos 𝜃 /𝑔 𝑣1 𝑢 − 𝑢2

Therefore, for a maximum,

𝑑𝐸 𝑑𝑢 = 1 − 𝑘 cos 𝜃 /𝑔 𝑣1 − 2𝑢 = 0

Hence, 𝑣1 − 2𝑢 = 0 𝑢 = 𝑣1 2

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CVX4240 – Unit 2 Session 07: Theory of Turbines

Substituting this value back into E, the expression for maximum energy
transfer is obtained:
𝑣1 𝑣1
𝐸𝑚𝑎𝑥 = 2𝑔
𝑣1 − 2
1 − 𝑘 cos 𝜃
𝑣12
𝐸𝑚𝑎𝑥 = 4𝑔
1 − 𝑘 cos 𝜃

Now, the energy input from the nozzle is the kinetic energy, which per
unit weight of fluid flowing is,
Kinetic energy of the jet = 𝑣12 2𝑔

Thus, the maximum theoretical efficiency of the Pelton wheel becomes

𝜂𝑚𝑎𝑥 = 𝐸𝑚𝑎𝑥 /𝐾𝑖𝑛𝑒𝑡𝑖𝑐𝑒𝑛𝑒𝑟𝑔𝑦𝑜𝑓𝑡𝑕𝑒𝑗𝑒𝑡

𝜂𝑚𝑎𝑥 = 𝑣12 4𝑔 1 − 𝑘 cos 𝜃 / 𝑣12 /2𝑔

𝜂𝑚𝑎𝑥 = 1 − 𝑘 cos 𝜃 /2

Fig.7-5Pelton Wheel Efficiency

Reaction turbines (Francis turbine – mixed flow)

A Francis turbine is a reaction machine, which means that during energy
transfer in the runner (impeller) there is a drop in static pressure and a

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CVX4240 – Unit 2 Session 07: Theory of Turbines

drop in velocity head. Only part of the total head presented to the
machine is converted to velocity head before entering the runner. This is
achieved in the stationary but adjustable guide vanes, shown in Figure 7-
6. It is important to realize that the machine is running full of water,
which enters the impeller on its whole periphery. The guide vane ring
may surround the runner on its outer periphery, in which case the flow of
fluid is towards the runner centre. In such a case, the turbine is known as
an inward-flow type. The alternative arrangement is for the fluid to enter
the guide vanes at the centre and to flow radially outwards into the
runner which now surrounds the guide vanes. Such a turbine is known as
out-flow type.

Fig. 7-6 Francis Turbine

Reaction turbines (Kaplan turbine – axial flow)

The power developed by a turbine is proportional to the product of the
total head available and the flow rate. Therefore, the power required from
a turbine may, within limits, be obtained by a desired combination of

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CVX4240 – Unit 2 Session 07: Theory of Turbines

these two quantities. For a Pelton wheel, in order to achieve high jet
velocities, it is necessary that the total head is large and, consequently, the
flow rate is usually small. However, the Pelton Wheel becomes unsuitable
if the head available is small, so that in order to achieve the desired
power the quantity has to be greater. A Francis-type radial turbine is then
used. Its proportions depend upon the flow rate which must pass
through it. As in the case of pumps, for greater flow rate the size of the
runner eye must be increased, the blade passages become shorter but
wider, and a mixed flow type turbine results. If the process is carried
further, an axial flow turbine is obtained because the maximum flow rate
may be passed through when the flow is parallel to the axis.

Fig. 7-7Axial Flow Turbine and Velocity Triangles

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CVX4240 – Unit 2 Session 07: Theory of Turbines

Figure 7-7 shows that the arrangement of guide vanes for an axial flow
turbine is similar to that for a Francis turbine. The guide vane ring is in a
plane perpendicular to the shaft so that the flow rate through it is radial.
The runner, however, is situated further downstream, so that between the
guide vanes and the runner the fluid turns through a right angle into the
axial direction. The purpose of the guide vanes is to impart whirl to the
fluid so that when it approaches the runner it is essentially of a free
vortex, i.e. the tangential (whirl) velocity is inversely proportional to
radius.

SUMMARY

This lesson provides the fundamental knowledge in turbines for students. Special attention on
impulse turbines and reaction turbines are drawn because those type of turbines are widely
used in industrial applications.

REFERENCES

1. Yunus, A., 2016. Fluid Mechanics in SI units. 3rd ed. Chennai 600116, Tamil Nadu, India:
McGraw Hill Education (India) Private Limited.
2. Douglas, J.F., Gasiorek, J.M., Swaffield, J.A., Jack, L.B. (2011). Fluid Mechanics,
06thedition. Pearson.
3. Bansal, R.K. (2008). A text book of fluid mechanics and hydraulic machines, 09th
edition. Laxmi Publications.

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