Civil Engineering

Guidelines for
Planning and Designing
Hydroelectric Developments

Volume 2
Waterways

Division II.Design
Part A. Waterways

Approved for publication by the Energy Division of the

American Society of Civil Engineers

Published by the
American Society of Civil Engineers
345 East 47th Street
New York, New York 10017-2398
ABSTRACT
Civil Engineering Guidelines for Planning and Designing Hydroelectric Develop-
ments was prepared under the auspices of the Hydropower Cornmittee of the ASCE
Energy Division. The Guidelines is divided into five volumes, The first volume con-
cerns the planning and designing of dams and related topics, and environmental
issues. Volume 2 discusses the design of waterways including such elements as
intakes, tunnels and shafts, penstocks, surge tanks, and gates. Volume 3 covers the
design of powerhouses and related tapias. While the first three volumes deal with
conventional hydroelectric projects, the fourth volume is concerned with the plan-
ning, designing, and construction of small-scale hydroelectric projects. The last vol-
ume provides information on the planning, designing, operation and maintenance of
elements concerned with pumped storage. This volume ends with a discussion on
different aspects of tidal power including design and construction considerations.
Thus, the Guidelines provides comprehensive coverage and the necessary infor-
mation on the type and depth of studies needed for developing and designing
hydroelectric projects.

The material presentad in this publication has been prepared in accordance with
generally recognized engineering principies and practices and is for general infor-
mation only. This information should not be used without first securing competent
advice with respect to ils suitability for any general or specific application,
The contents of this publication are not intended to be and should not be construed
to be a standard of the American Society of Civil Engineers (ASCE) or the Electric
Power Research Institute (EPRI) and are not intended for use as a reference in pur-
chase specifications, contracts, regulations, statutes, or any other legal document.
No reference made in this publication to any specific method, product, process, or
service constitutes or implies an endorsement, recommendation, or warranty thereof
by ASCE or EPRI, sponsors of the work.
ASCE and EPRI make no representation orwarranty of any kind, whether expressed
or implied, concerning the accuracy, completeness, suitability, or utility of any infor-
mation, apparatus, product, or process discussed in this publication, and assume
no liability therefor.
Anyone using this information assumes all liability arising from such use, including
but not limited to infringement of any patent or patents.

Copyright 1) 1989 by the American Society of Civil Engineers.

All Rights Reserved.
Library of Congress Catalog Card No. 89-045882
Series ISBN 0-87262.725-X
Volume ISBN 0.87262-727-6
Manufactured in the United States of America.
 FOREWORD

Civil Engineering Guidelines for Planning and Designing Hydroelectric Developments was prepared by
the Hydropower Committee of the ASCE Energy Division. The committee's work on the Guidelines
received substancial financial support from the Electric Power Research Institute (EPRI), without which
the preparation of these Guidelines would have been impossible.

The Guidelines began in response to the formulation of the purpose of the Hydropower Committee at the
meeting in Houston, Texas, in October 1983, when the committee was reactivated. The purpose of the
committee as restated in 1983, was to "investigate and disseminate information on all phases of hydro-
electric power." At the time there was a noticeable gap between the state of the art and the literature.
There was a need for a comprehensive document that pulled together the widely recognized hydro-related
design information using appropriate text and referentes.

Because of the small initial membership of the Hydropower Committee, the original intent was merely a
civil engineering hydroelectric design symposium involving publication of state-of-the-art papers.
Additional papers would be added later to clase apparent information gaps. However, as more members
joined the committee, the objective and scope of the Guidelines grew. Membership reached almost 40 —
the largest ever for the Hydropower Committee and among the highest of all technical committees in the
Energy Division. In early 1986, the outline of the Guidelines was finalized, and the work of writing a
completely new document began in eamest.

The objective of the Guidelines is to provide material that is useful to an engineer having 5 to 10 years
experience and basic knowledge of the design of hydroelectric developments. The Guidelines provide
comprehensive coverage and the necessary information on the type and depth of studies needed for
developing and designing a successful hydroelectric project.

The Guidelines emphasizes the planning and design of the "powertrain," which includes the intakes,
power conduits, powerhouses, and associated elements. The intent was to include the technology and
practices that have developed during the past 25 years, but also to recognize precedent designs of earlier
periods, especially that alter World War II.

The text is arranged so that engineers can add their own notes in the margins. QuarkXPress electronic
publishing software was used to lay out all of the pages of the Guidelines. Many of the authors' original
drafts were printed using IBM-compatible computers, and the files were converted to a Macintosh for-
mat. Equations were created using a Macintosh software program.

The Hydropower Committee intends to publish a revision to the Guidelines early in 1991. To this end, a
form is enclosed that allows readers to order this revision or to offer comments, corrections, or additions.

Recognition is due to the Hydropower Committee members, especially those who remained active con-
tributors until completion of the Guidelines and dedicated many hours of their personal time to this
undertaking. Recognition is also due to the organizations, both public and private, that supported the par-
ticipation of the committee members, allowing them to attend meetings and providing the office assis-
tance required for the chairmen and control members to administer related committee activities.

James Birk and Charles Sullivan of EPRI were instrumental in the successful completion of the work by
recognizing the committee's capability to develop the Guidelines and by securing the necessary funding

ASCE/EPRI Cuides 1989

 FOREWORD — Continued

Douglas Morris, EPRI Project Manager, monitored and directed the EPRI-related activities of the com-
mittee and contributed significantly in the review of the Guidelines.

Philip M. Batch, who served as Energy Division Contact Member of the committee until his death in
1986, provided substantial contributions and support for the project. As the new contact member and
Executive Committee Chairman during 1984, Don Matchett continued to provide support for the
Hydropower Committee's work and for the Guidelines. Special recognition goes to Tom Logan, who
under contract with EPRI, spearheaded preparation of the Guidelines with great devotion. By organizing
meetings, communicating directly with the authors, and arranging for the review, editing, and typesetting
of the Guidelines, Tom contributed greatly to the successful completion of this monumental project. Joe
Carnero assisted Tom in organizing the material and provided valuable expertise in editing and format-
ting the Guidelines.

Finally, special gratitude is due to Arvids Zagars. Without his dedicated leadership, the Guidelines would
not have been written. Arvids established the inicial concept and provided the direction that guided the
authors. He served as committee chairman for the entire period during which the Guidelines were written.
In addition, he authored several major chapters and provided valuable input to many other chapters on
which his name does not appear as a contributor.

Respectfully submitted, ASCE Hydropower Committee

Edgar T. Moore, P.E.

Hydropower Committee Chairman 1989

ASCE/EPRI Guides 1989

 ASCE ENERGY DIVISION EXECUTIVE COMMITTEE CONTACT MEMBERS

Donald Matchett, P.E., Stone & Webster Engineering Corp., Denver, Colorado
Philip M. Botch, RE., P.M. Botch and Associates, Bellevue, Washington

ASCE CONTROL GROUP MEMBERS, 1984-1988

Arvids Zagars, RE., Chairman, ASCE Hydropower Development Committee, Harza Engineering Co., Chicago,
Illinois
R.A. Corso, P.E., Federal Energy Regulatory Committee, Washington, D.C.
Garith Grinnell, Stone and Webster Engineering Co., Denver, Colorado
Edgar Moore, P.E., Harza Engineering Co., Chicago, Illinois
Sydney Steinbom, RE., Steinbom Associates, Seattle, Washington

EPRI PROGRAM MANAGER

Douglas I. Monis, EPRI, Palo Alto, California

EDITOR AND TECHMCAL COORDINATOR

Thomas H. Logan, P.E., Consultant, 1310 Wadsworth Blvd., Suite 100, Lakewood, Colorado 80215

PUBLISHING COORDINATOR

Joe Carnero, P.E., Consultant, 2240 Harlan Street, Denver, Colorado 80214

TYPESETTERS

John Cruise and A. Celeste Velasquez, 330 East 10th Avenue, #810, Denver, Colorado 80203
 CONVENTIONAL HYDROPOWER SUBCOMMITTEE MEMBERS

Thomas H. Logan, Chairman, Consultant, Lakewood, Colorado

Divyendu Narayan, Vice Chairman, New York Power Authority, White Plains, New York
Thomas Ahl, Chicago Bridge and Iron, Na-Con, Oak Brook, Illinois
Bruce Ainsworth, Black & Veatch, Kansas City, Missouri
Robert Auerbach, Consultant, Lakewood, Colorado
George L. Buchanan, Hydro Engineering Projects, TVA, Knoxville, Tennessee
Kin Chung, Gilbert Commonwealth, Jackson, Michigan
Brian W. Clowes, Corps of Engineers, Portland, Oregon
James Conwell, Bureau of Reclamation, Sacramento, California
Luther Davidson, Bureau of Reclamation, Denver, Colorado
Jerry Dodd, Consultant, Englewood, Colorado
Shou-shan Fan, Federal Energy Regulatory Commission, Gaithersburg, Maryland
Nolan J. Folden, Corps of Engineers, Portland, Oregon
John Gulliver, St. Anthony Falls, Minneapolis, Minnesota
Peter Ludewig, New York Power Authority, New York, New York
Richard Mittelstadt, Corps of Engineers, Portland, Oregon
Edgar Moore, Harza Engineering Co., Chicago, Illinois
Bruce Moyes, Bureau of Reclamation, Denver, Colorado
Lucien J. Mroczkiewicz, Corps of Engineers, Portland, Oregon
Clifford A. Pugh, Bureau of Reclamation, Denver, Colorado
Paul M. Ruchti, Bureau of Reclamation, Denver, Colorado
Janis Straubergs, Ebasco Services, Inc., Bellevue, Washington
Richard D. Stutsman, Pacific, Gas & Electric Co., San Francisco, California
Arvids Zagars, Harza Engineering Co., Chicago, Illinois
 ORGANIZATIONS THAT PROVIDED CONTINUOUS SUPPORT FOR
COMMITTEE MEMBER PARTICIPATION IN PREPARATION OF THE GUMELINES

Harza Engineering Company (Support for 11 adruinistrative activities of the Committee Chairman)
Chicago Bridge and Iron Company
Dames and Moore
Electric Power Research Institute
Gebhard Engineers
Mead and Hunt, Inc.
New York Power Authority
Northeast Utilities Service Company
Pacific Gas and Electric Company
Steinbom Associates
Stone and Webster Engineering
Bureau of Reclamation
U.S. Army Corps of Engineers
Federal Energy Regulatory COMMiSSi0E1
Tennessee Valley Authority
Ott Water Engineers

OTHER PARTICIPATING ORGANIZATIONS

R.W. Beck
Black and Veatch
Duke Power Company
Ebasco Services, Inc.
Caen Commonwealth
Richard Hunt and Associates
Southem Company Services
The SNC Group
Ray Toney and Associates
University of Minnesota, St. Anthony Falls Hydraulic Laboratory
University of Wisconsin-Milwauicee
 CIVIL ENGINEERING GUIDELINES FOR
PLANNING AND DESIGNING HYDROELECTRIC DEVELOPMENTS

VOLUME 1. PLANNING, DESIGN OF DAMS AND VOLUME 4. SMALL-SCALE HYDRO

RELATED TOPICS, AND ENVIRONMENTAL
DIVISION I. PLANNING
CONVENTIONAL HYDRO Chapter 1. Small-Scale Hydropower Perspectives
DIVISION I. PLANNING Chapter 2. Development of Level and Scope of Study Plan
Chapter 1. Development of the Study Plan Chapter 3. Site Evaluation
Chapter 2. Load-Resaurce Analysis Chapter 4. Hydrologic Data
Chapter 3. Hydrologic and Geologic Studies Chapter 5. Estimating Plant Capacity and Power Omput
Chapter 4. Estimating Power Potential Chapter 6. Power System Use and Connection Requirements
Chapter 5. Power Plant Sizing Chapter 7. Operation and Maintenance
Chapter 6. Power Plant Cosi. Estinnates Chapter 8. Environmental Issues
Chapter 7. Economic Evaluation of Hydropower Projects Chapter 9. Institutional Issues
Chapter 8. Environmental Impacts and Pertinent Legislation Chapter 10. Project Schedule
Chapter 9. Glossary of Hydropower Planning Terms Chapter 11. Cost Estimares
DIVISION II. DESIGN Chapter 12. Economic Analysis
PART A. DAMS AND RELATED TOPICS DIVISION U. DESIGN
Chapter 1. Dams Chapter 1. Storage, Diversion, and Appunenant Structures
Chapter 2. Spillways Chapter 2. Waterways
Chapter 3. Outlets Chapter 3. Power Plants
*Chapter 4. Diversions Chapter 4. Substation and Transmission Unes
Chapter 5. Reservoirs DIVISION III. CONSTRUCTION
Chapter 6. Geologic Investigations *Chapter 1. Construction Contracts
PART D. ENVIRONMENTAL Chapter 2. Acceptance Tests
Chapter 1. Environmental Issues and Mitigative Approaches

VOLUME 5. PUMPED STORAGE

VOLUME 2. WATERWAYS AND TIDAL POWER
CONVENTIONAL HYDRO PUMPED STORAGE
DIVISION II. DESIGN DIVISION 1. PLANNING
PART B. WATERWAYS Chapter 1. General Concepts
Chapter 1. Intalces Chapter 2. Environmental Issues and Public Acceptance
Chapter 2. Power Canals and Tailraces Chapter 3. Planning
Chapter 3. Tunnels and Shafts DIVISION II. DESIGN
Chapter 4. Penstocks PART A. RESERVOIRS
Chapter 5. Steady Flow in Cosed Conduits Chapter 1. Reservoirs
Chapter 6. Transients and Surge Tanks PART B. WATERWAYS
Chapter 7. Hydraulic Models Chapter 1. Intakes and Outlets
Chapter 8. Gates and Valves *Chapter 2. Tunnels, Shafts, and Penstocks
*Chapter 3. Hydraulies
Chapter 4. Transients
PART C. POWERHOUSES AND RELATED TOPICS
VOLUME 3. POWERHOUSES AND Chapter 1. Powerhouses
RELATED TOPICS Chapter 2. PurnpiTurbines and Plant Operation
DIVISION III. OPERATION AND MAINTENANCE
CONVENTIONAL HYDRO Chapter 1. Operation and Maintenance
DIVISION II. DESIGN
PART C. POWERHOUSES AND RELATED TOPICS TIDAL POWER
Chapter 1. Powerhouses Surface and Underground Chapter 1. Introduction
Chapter 2. Hydraulic Turbines and Related Topics Chapter 2. Basics of Tidal Power
Chapter 3. Electrical Engineering Chapter 3. Preliminary Design Considerations
Chapter 4. Transmission Unes and Switchyards Chapter 4. Construction Considerations
Chapter 5. Project Description
Chapter 6. Significant Tidal Ranges
*Not included in 1989 edition.
 NOTICE TO READERS OF THE GUIDELINES

The Hydropower Comrnittee of the Energy Engineering Division of ASCE has prepared these Guidelines
in a format that allows easy revision and updating. It is the intention of the committee to provide a revi-
sion, in January 1991. The cosí of tris revision will be that of reproduction and mailing.

If you wish to make corrections or additions, or wish to receive the 1991 revision, picase fill out the form
below and return it to:

ASCE EY-DIVISION, HYDROPOWER COMMTITEE

Attention: E.T. Moore, Jr.
Room 1700
150 South Wacker Drive
Chicago, Illinois 60606

❑ 1 wish to receive the 1991 revision to the Guidelines.

Name
Company
Mailing Address: Street
City
State Zip
Tel:

❑ My comments, corrections, or additions are attached.

 GLOSSARY OF HYDROPOWER TERMS - 1989*

* This glossary was assembled and edited by Tom Logan and Joe Carriero from nine of the better glos-
sanies available (USBR, COE, BPA, ASCE, ASME, IEEE, EEI, AWWA, and ANL). It is not "approved"
by the Hydropower Development Committee for use because it has net been distributed for approval at
the time of the publication of these Guidelines.

ASCE/EPRI Cuides 1989

 GLOSSARY OF HYDROPOWER TERMS
Adverse water conditions. Water conditions that limit
the production of hydroelectric power, either because of
low water supply or reduced gross head or both.
Sometimes called critical water conditions.
Afterbay. See Tailrace.
Alternating Current (ac). An electric current that peri-
odically reverses its direction of flow, as contrasted with
Direct current, which travels in only one direction.
Anadrornous fish. Fish, such as salmon, that migrate up
rivcrs from the sea to spawn in fresh water.
Annual costs. As distinguished from Capital costs,
those expenses associated with the yearly operation of a
hydropower facility, including maintenance, replace-
ment, administration, insurance, taxes, lease payments,
dcbt service, etc.
Appraisal study. A preliminary feasibility study made
to determine whether a detailed Feasibility study is
warranted. Also called a Reconnaissance study.
Armature. That pan of an electric rotating machine that
includes the main currcnt-carrying winding in which the
clectromotive force produced by magnetic flux rotation
is induced; it may be rotating or stationary.
Availability. The percentage of time a plant is available
for power production.
Average annual flow. The rate at which water flows
through a conduit or channel, determined by averaging
daily measurements of this rate over the course of a
year; normally expressed in cubic feet per second (ft3/s)
or cubic meters per second (m3/s).
Availability.
Average availability (also Hydrologic availability).
The ratio of the average capacity of a hydroelectric
plant in the peak demand months to its rated capacily.
This ratio accounts for variations in streamflow and
head.
Mechanical availability. The ratio of the number of
days in total period minus days out of service due to
maintenance and forced outages, to the number of
days in the total period. (See also Outages).
Average load. The hypothetical constant load over a
specifled time period that would produce the same ener-
gy as the actual load would produce for the same period.
0-1
Average water conditions. Precipitation and runoff
conditions which provide water for hydroelectric power
development approximating the average amount and
distribution available over a long time period, usually
the period of record.
Avoided cost. The estimated sum of money that would
have been spent on the lowest cost alternative general-
ing plant that would be used if the small hydro project
did not exist; used in setting power prices.
Axial hydraulic thrust. In single-stage and multistage
pumps, the surnmation of unbalanced impeller (orces
acting in the axial direction.
Backup. Reserve generating capacily of a power system.
Backwater. Water level controlled by either a down-
stream reservoir, a channel restriction, or a stream con-
fluence that affects the tailwater level of an upstream
plant.
Band. The shroud ring at the bottom of a Francis runner
to which the blades are attached.
Banki turbine. (See Crossflow turbine.)
Base load. The minimum clectrical system load over a
given period of time.
Benefit-cost ratio (B/C). The ratio of the present value
of the benefit stream to the present value of the project
cost stream used in economic analysis.
Beneflts (Econornic). The increase in economic value
produced by a project, typically representad as a time
stream of value produced by the gcncration of hydro-
electric power.
Bifurcation. Division finto two branches.
Black start. The stanup of a power plant without an
extcmal clectrical supply.
Blade. That pan of a rotating fan or propeller arm that
has an airfoil shape.
Block loading. A generating plant is said to be block
Ioaded when its output is increased or decreased in dell-
nite steps without regard to following a particular load
shape. A generating plant cardes a block load when its
output is maintained at a fixed level for an extended
period of time.
ASCE/EPRI Guides 1989
Bottom deck. Lower part of the headcover of a
hydraulic turbine.
British thermal unit (Btu). The quantity of heat energy
rcquired to raise the temperature of 1 pound of water 1
dcgree Fahrenheit, at sea level.
Bucket. A cup on the rim of a Pelton wheel against
which water impinges.
Bulb turbine. An axial flow turbine situated in a
straight-through water passage. The generator is
enclosed in a streamlined watertight bulb located in the
water passageway on either the upstream or the down-
stream side of the runner.
Bulb unit-turbine generator. A unit consisting of a
horizontal shaft hydraulic turbine and close coupled
gcnerator that are both enclosed in a single steel water-
tight bulb located directly in the water passage.
Bulkhead gate. A gate installed at the entrante of a
fluid passage and used to dewater the passage for
inspection and maintenance. Almost always opened or
closcd undcr balanced pressure.
Bus. An electrical conductor that serves as a common
connection for two or more electrical circuits. A bus
may be in the form of rigid bars, either circular or rect-
angular in cross section, or in the form of stranded -con-
ductor overhead cables held under tension.
Busbar. An electricconductor in the form of rigid bars,
located in switchyards or powcr plants, serving as a
common connection for two or more electrical circuits.
Capability. The maximum load which a generator, tur-
bine, transmission circuit, apparatus, station, or system
can supply under specified conditions for a given time
interval, without exceeding approved limits of tempera-
ture and stress.
Peaking capability. The maximum peak load that can
be supplied by a generating unit, powerplant, or
power system in a stated time period. It may be the
maximum instantaneous load or the maximum aver-
age load over a designated interval of time.
Sometimes called peaking capability.
Capacity. The load for which a generator, turbine, trans-
former, transmission circuit, apparatus, station or system
is rated. Capacity is also used synonymously with capa-
bility. For definitions pertinent to the capacity of a reser-
voir to store water, see Reservoir storage capacity.
Assured system capacity. The depcndable capacity of
system facilities available for serving system load
ASCE/EPRI Cuides 1989
after allowance for required reserve capacity, includ-
ing the effect of emergency interchange agreements
and firm power agreements with othcr systems.
Dependable capacity. The load-can-ying ability of a
station or system under adverse conditions for the
time interval and period specified when rclated to the
characteristics of the load to be supplied. The depend-
able capacity of a system includes net firm power
purchases.
Equivalent thermal capacity_ The amount of thcrmal
generating capacity that would carry the same amount
of system peak load as could be canied by a given
hydroelectric plant.
Hydraulic capacity. The maximum flow which a
hydroelectric plant can utilizo for energy.
Installed capacity. The sum of the capacities in a
powerplant or powcr system, as shown by the name-
plate ratings of similar kinds of apparatus, such as
generating units, turbines, or othcr equipment.
Overload capacity. The maximum load that a gener-
ating unit or other device can carry for a specified
period of time under specified conditions when oper-
ating beyond its normal rating but within the limits of
the manufacturer's guarantee, or, in the case of expi-
ration of the guarantee, within safc limits as deter-
mined by the owner.
Peaking capacity. The maximum peak load that can
be supplied by a generating unit, powerplant, or
power system in a stated time period. It may be the
maximum instantaneous load or the maximum aver-
age load over a designated interval of time.
Sometimes called peaking capability.
Rated capacity. The electrical load for which a gener-
ator, turbine, transformer, transmission circuit, electri-
cal apparatus, powerplant, or power system is rated.
Reserve generating capacity. Extra generating capac-
ity available to meet unanticipated demands for
power or to genérate power in the event of loss of
generation resulting from scheduled or unscheduled
outages of regularly used generating capacity.
Sustained peaking capacity. Capacity that is support-
ed by a sufficient amount of energy to pcnnit it to be
fully usable in meeting system loads.
Capacitor. A dielcctric devicc that momentarily absorbs
and stores electrical energy.
Capacity factor. The ratio of the energy that a plant
produces to the energy that would be produced if it were
operated at full Capacity throughout a givcn period,
usually a year. Sometimes called the Plant factor.
Capacity interchange. In power pooling, transactions
resulting from the assignment by participating utilities
of reserve or excess generating capacity for common use.
G-2
Capacity value. That portion of the at-site or at-market
value of electric power which is assigned to capacity.
Capital cost. Costs associated with the development
and construction of a hydropower facility, including
land, structures, improvements, power generation and
transmission equipment, engineering, administrative
fecs, legal fees, financing costs, and contingencies.
Capitalize. To convert into an equivalent capital sum.
To compute, appraise, or estimate the present value of.
Capital recovery factor. A factor used to convert a
one-time investment into an equivalent annual cost at a
given interest rate for a specified period of time.
Cascade. An arrangement of separate devices so that
they multiply the effect of each individual device.
Cash flow. The net profits of a business plus the charges
of the accounting period for depreciation, depletion,
amortization, and extraordinary charges to reserves not
paid in case.
Cavitation. The formation of voids within a body of
moving liquid (or around a body moving in a liquid)
when the local pressure is lower than the vapor pressure,
and the particles of Iiquid fail to adhere to the bound-
aries of the passageway. These voids fin with vapor and
thcn collapse, causing pitting of metal on turbine blades.
Central station service. Electric service supplied from
an electrical system rather than by self-generation.
Charge/discharge ratio. The ratio of the average
pumping load on a pump/turbine unit to its rated gener-
ating output.
Circuit breaker. Any switching device that is capable
of closing or interrupting an electrical circuit.
Civil works. All heavy construction work associated
with claras, tunnels, canals, conduits, penstocks, power-
house structures, access roads, bridges, and site
improvements.
Cogeneration. The use of waste hcat to drive turbine
gencrators for electricity generation. Also, the use of
low-pressure exhaust steam from an electric generating
plant to heat an industrial process or a space.
Coincident demand. Any demand that occurs simulta-
neously with any other demand; also the sum of any set
of coincident demands.
G-3
Cold reserve. Reserve generating capacity available for
service but not in operation.
Combined cycle. An electric power plant consisting of
a series of combustion turbines with heat extractors on
their exhausts.
Combustion turbine. An electric power plant consist-
ing of natural gas or distillate oil-fired jet engines con-
nected to a generator.
Conduit. A pipeline, tunnel, or canal used for the con-
veyance of water.
Conservatory storage. That portion of the water stored
in a reservoir that is impounded for later use. The terco
"conservation storage" is synonymous with active stor-
age. Conservation storage is the portion of a reservoir's
live storage that is normally conserved for beneficial use
at-site or downstream, but does not include any live
storage space reserved exclusively for flood control.
Costs (economic). The stream of value required to pro-
duce the project output. In hydro projects this is oftcn
limited to the management and construction cost
required to develop the power plant, and the administra-
tion, operations, maintenance, and replacement costs
required to keep the power plant in service.
Critical period. The multiple-month period when the
limitation of hydroelectric power supply due to the
shortage of available water is most critical with rcspect
to system load requirements, as determined from an
analysis of the historical streamflow record. The reser-
voir begins the critical period full; the available storage
is fully drafted at one point during the period; and the
critical period ends when the storage has complctcly
refilled.
Critical speed. The angular speed at which a rotating
shaft becomes dynamically unstable with large lateral
amplitudes, due to resonance with natural frequencies of
lateral vibration of the shaft.
Critical streamflow. The amount of strcamflow avail-
able for hydrocicctric power generation during the most
adverse streamflow period. See also Strearnflow.
Critical water conditions. Water conditions limiting
the production of hydroclectric power, either because of
low water supply or reduced gross head or both. Also
sometimes called adverse water conditions.
Crossflow turbine. A hydraulic machine that convcrts
hydraulic energy to mcchanical energy by aIlowing
ASCE/EPRI Gu i des 1988
water to flow in one side, then out the other side of a
cylindrical turbine runner.
Crown. The top portion of a Francis runner to which
the blades are attached.
Cumulative impact study. A study of the net environ-
mental impact of two or more hydro projects on the
same river system.
Current (electric). The rate of flow of electric charge
through a conductor or circuit. Measured in amperes.
Cycle efficiency. The ratio of the generating output of a
pumped- storage plant to its pumping energy input.
Includes motor, pump, turbine, and generator efficiency
losses and water conduit head losses.
Cycling. Power plant operation to meet the intermediare
portion of the load (9 to 14 hours per day).
Dam. A structure for impounding water.
Dead storage. The portion of a storage basin or reser-
voir that cannot be used for temporary water storage.
Debt service. Principal and interest payment on the dcbt
used to finance the project.
Demand. The rate at which electric energy is delivered
to or by a system or to a piece of equipment.
Demand factor. The ratio of the maximum demand of a
system, or part of a system, to the total connected load
of the system, or part of the system, under considera-
tion.
Dependable capacity. The expected load-carrying abil-
ity of a hydropower plant under specified conditions.
Deriaz turbine. A diagonal-flow turbine with a pro-
peller runner whose blades are adjustable and the axis of
the blades is at an angla with the axis of the shaft.
Design head. The Head at which the Runner of a tur-
bine is designed to provide the highest efficiency.
Measured in feet or meters.
Dewatering. Removing or draining water from an
enclosure or a structure.
Diffuser. A duct, chambcr, or section in which a high-
velocity, low-pressure stream of fluid (usually air) is
converted into a low-velocity, high-pressure flow.
ASCE/EPRI Cuides 1989
Direct current (dc). Electricity that flows continuously
in one direction, as contrastad with Alternating
current.
Disk friction loss. Energy loss in a machine due to
hydraulic friction between the liquid and the rotating
faces of the runner.
Discharge. The rate of water flow through, over, or
around water control facilities. The Tate of flow is mea-
sured by stream gap or calculated from predeterrnined
rating tables. The term may be applied to the rate of
flow from each individual source (such as a particular
turbine) or to the algebraic summation from all individu-
al sources (which would be the total rato of flow). Total
discharge is synonymous with outflow.
Rated discharge. Turbina discharge at rated head,
with wicket gates in fully open position.
Discharge ring. A turbine component located below
the runner and stay ring. It provides the foundation for
the machine, and lower bearing surface for the wicket
gatas.
Discount rate. Interest rate used in the economic eval-
uation of a project to account for the time value of
money.
Dispatching. The operating control of generating units,
transmission Enes, and other facilities, including assign-
ing of generator outputs as needed, controlling mainte-
nance and switching operations, and scheduling energy
transactions with othcr
Distributor. Components (spiral case, headcover, stay
ring, and discharge ring) of a turbine whose purpuse is
to contain and guide the water from inlet to exit.
Diversion structure. A structure bunt to divert or alter
the course of a stream of water.
Diversity. The difference among individual electric
loads resulting from the fact that the maximum demands
of customers do not all occur at the same time.
Diversity factor. Ratio of the sum of the individual
maximum demands of the various subdivisions of a sys-
tem, or part of a system, to the maximum demand of the
whole system, or pan, under considcration.
Draft. The withdrawal of water from a reservoir.
Draft tube. A conduit that carnes water from a reaction
turbine runner or crossflow turbine runner to the tailrace.
Designed to maximize head utilization by the turbine.
G-4
Drag. In hydraulics, those forces that oppose motion
due to shear stress or the object's form.
Drainage area. The area of land draining to a stream or
power plant. Sometimes called catchment area.
Drawdown. The distante that the water surface eleva-
tion of a storage reservoir is Iowered as a result of the
withdrawal of water to meet some project purpose (i.e.,
power generation, flood control space, irrigation
demand, etc.).
Duration curve. A curve of quantities plotted in
descending sequential order of magnitude against time
intervais for a specified period. The coordinates may be
absolute quantities or percentages
Eddy. The vortex motion of a fluid. Flow is usually
opposite the main flow direction.
Efficiency. The ratio of energy developed by a machine
to the energy supplied to it.
Efficiency, turbine. Accounts for hydraulic friction and
eddy losses through the spiral case, stay ring, wicket
gatos, runner, and draft tube of a turbine, as well as the
kinetic energy of the water at draft tube exit that has not
been converted into useful work by the turbine.
Efficiency, inechanical. Ratio of the power available at
the shaft to that exerted on the runner for a turbine (vice
versa for a pump). It accounts for bearing and disk fric-
tion, and the drag on the runner in the clearance spaces.
Efficiency, overall. Accounts for all the system efficien-
cies, hydraulic, turbine, generator, and transformar.
Efficiency, volumetric. The ratio of the quantity of
water that produces useful work to the total quantity of
water supplied to a turbine (vi= versa for a pump). It
accounts for the loss of efficiency due to water leaking
past the runner through clearance spaces without doing
any useful work or being pumped.
Electric power system. Physically connected electric
generating, transmission, and distribution facilities oper-
ated as a unit under one control.
Encroachment. The reduction in generating head at a
hydroelectric project caused by a risa in tailwater eleva-
tion resulting from the backwater effects of a down-
stream reservoir.
G-5
Energy. That which does or is capable of doing work. It
is measured in terrns of the work it is capable of doing;
electric energy is usually measured in kilowatt-hours.
Average annual energy. The average amount of ener-
gy generated by a hydroelectric project or system
over the period of record or representative period oí
record.
Dump energy. Energy generated in hydroelectric
plants by water that cannot be stored or conservad
and which energy is in excess of the necds of the
electric system producing the energy.
Firm energy. Electric energy which is intended to
have assured availability to the customer to meet any
or all agreed upon portion of his load requirements.
Fuel displacement energy. Electric energy generated
at a hydroelectric plant as a substitute for energy
which would otherwise have been generated by a
thermal-electric plant.
Nonfirm energy. Electric energy having limited or no
assured availability.
Off-peak energy. Electric energy supplied during
periods of relatively low system demands.
On-peak energy. Electric energy supplied during
periods of relatively high system demands.
Primary energy. Hydroelectric energy which is avail-
able from continuous power. Primary energy is firm
hydroelectric energy.
Pumping energy. The energy requircd to pump water
from the lower reservoir to the upper reservoir of a
purnped-storage project.
Secondary energy. All hydroelectric energy other
than primary energy. Secondary energy is gcnerally
marketed as non-fi rrn energy.
Energy value. That part of the market value of electric
production assigncd to energy generation.
Erection bay area. The part of a powerhouse that pro-
vides laydown space for assembIy and disassembly of
the turbine and generator. It is used during construction
and for major maintenance operations. Sometimes
called assembly or service bay.
Erosion. Surface destruction of a material by the abra-
sive or the corrosiva action of a moving fluid. Oftcn
accelerated by salid partidas in suspension.
Escalation. The estimated incrcase in costs or revenues
over a futura period of years, usually cxpressed as or
derived from an annual percentagc rale.
Exciter. An electrical device that supplies direct excita-
tion to the generator field during startup of the unit. It
may be a rotating shaft-mounted type, or a static rcctifi-
er type.
ASCE/EPRI Cuides 1989
Exemption. Special roles that perrnit FERC to waive
the requirement that a project be licensed under the
Federal Power Act if it meets certain capacity, project
type, land ownership, and environmental criteria.
Exports. Electric power which is transferred from a
given power system to another (usually adjacent) power
system. Export power must be included in the given
power system 's loads.
Factor.
Availability factor. The ratio of the time a machine or
equipment is ready for or in service to the total time
interval under consideration.
Capacity factor. The ratio of the average load on a
machine or equipment for the period of time consid-
ered, to its capacity rating.
Hydrologic availability (also average availability).
The ratio of the average capacity of a hydroelectric
plant in the peak demand months to its rated capacity.
This ratio accounts for variations in streamflow and
head.
Load factor. The ratio of the average load over a des-
ignated period to the peak-load occurring in that peri-
od.
Plant factor. The ratio of the average load on the
plant for the period of time considered to the aggre-
gate rating of all the generating equipment installed
in the plant.
Power Factor. The ratio of kilowatts to kilovolt-
amperes, which is indicative of a generator's ability
to deliver reactive power in addition to real power
(kilowatts).
Feasibility study. An investigation performed to formu-
late a hydropower project and definitely assess its desir-
ability for implementation.
Federal Energy Regulatory Commission (FERC).
The agency of the Department of Energy that licenses
non-federal hydropower projects and regulates intcrstate
transfer of electric energy. Formerly the Federal Power
Commission (FPC).
Federal register. A daily Federal government publica-
tion containing all new Federal regulations, proposed
regulations, adminsitrative notices, and other docu-
ments. Available by subscription from the General
Services Administration.
Finite element method. A method for determining the
behavior of a structure from a knowledge of the behav-
lar, under load, of its components. In this method a
structural system is considered an assembly of a finito
number of finite-size components, or elements. These
are assumed to be connected ro each other only at dis-
ASCE/EPRI Guides 1989
crete points called nodes. From the characteristics of the
elements, such as their stiffness or flexibility, the charac-
teristics of the whole system can be derived. Thus, the
in-tunal stresses and strains throughout can be computed,
and both static and dynamic behavior can be predicted.
Firm capacity. See Dependable capacity.
Firm energy. The energy generating ability of a
hydropower plant in a specified time period and under
adverse hydrologic conditions.
Fish ladder. An artificial waterway composed of a
series of stepped pools allowing fish to ascend a vertical
gradient, usually built at one end of a dam.
Fishscreen. Barrier installed to divert the downstrcam
migrating fish into a safe bypass.
Flashboards. Temporary structures installed at the top
of claras, gases, or spillways for the purpose of tem-
porarlly raising the pool elevation, and hence the gross
head of a hydroelectric generating plant, thus increasing
power output. Normally, flashboards are removed either
at the end of the water storage season, or during periods
of high stream- flow.
Flexibility. The characteristics of a generating station or
group of stations, which permits shaping the energy pro-
duced to fit a desired load shape or operating plan.
Flood frequency curve. A curve that displays the
exceedance frequency of floods for a range of peak flow
values.
Flood storage capacity. That portion of the rescrvoir
capacity reserved for the temporary storage of floodwa-
ters to reduce downstream flow.
Flow—duration curve. A curve of flow values plotted
in descending arder of magnitude against time intervals,
usually in percentages of a specified period. For exam-
ple, the curve might show that one year, a river flows at
500 ft3/s or more 10 percent of the time, and at 100 ft3/s
or more 80 percent of the time.
Forced outage. The shutdown of a generating unit for
an emergency.
Forced outage rate. The percent of a scheduled gener-
ating time that a unit is unable to generare because of
forced outages caused by mechanical, electrical, or
other faiIures.
G-6
Forced vortex. The rotation of a fluid, moving as a
solid, about an axis where every particle of the fluid has
the same angular velocity.
Forebay. The impoundment immediately aboye a dam
or hydroelectric plant intake structure. The terco is appli-
cable to all types of hydroelectric developments
storage, run-of-river and pumped-storage).
Forran drag. The drag resulting from the shape of a body
relative to the motion of the fluid stream.
Fossil fuels. Coal, oil, and natural gas.
Francis turbine. A Reaction turbine suitable for oper-
ating at medium heads.
Free vortex. Rotation of a fluid where each particle
moves in a circular path with a speed varying inversely
as the distance from the center.
Frequency. The number of recurrences of a peri odie
phenomenon in a unit of time.
Full-gate discharge. The discharge through a turbine
when the turbine wicket gates are wide open,
Gate. A closure device in which a leaf or closure mem-
ber is moved across the fluid from an extemal position
to control the flow of water.
Gate-squeeze condition. The operating condition of a
turbine with the wicket gates closed while maintaining
maximum design spiral-case pressure.
Gauging station. A particular site on a stream, canal,
lake, or reservoir where systematic observations of
streamflow or other hydrologic data are obtained.
Generating unit. A single power-producing unit con-
sisting of a turbine, generator, and related equipment.
Generation. The act or process of producing electric
energy from other forms of energy; also, the amount of
electric energy so produced.
Generator. A machine that converts mechanical energy
into electrical cnergy.
Generator speed. The rotating speed of the rotor com-
ponent of the generator, normally expressed in number
of revolutions per minute (rpm).
Gigawatt (GW). One million kilowatts.
Gigawatt-hour (GWh). One million kilowatt-hours.
G--7
Governor. The device which measures and regulares
turbine speed by controlling wicket gate angle to adjust
water flow to the turbine.
Gravitational constant (g). The rate of acceleration due
to gravity, approximately 32.2 ft/s2.
Gravity dam. A concrete dam that has sufficient mass
to be inherently stable under all extemally applied loads.
Gross generation. The total amount of electric energy
produced by a generating station or stations.
Guard Gate. A gate that operates fully open or closed
and functions as a secondary device for shutting off the
flow of water in case the primary closure device
becomes inoperable. Guard gates are usually operated
under balanced pressure, no-flow conditions, except for
closure in emergencies.
Head. The difference in eIevation between two water
surfaces. Normally measured in feet or meters.
Critical head. The hydraulic head at which the fulI-
gate output of the turbine equals the generator rated
capacity (full-gate referring to the condition where
the turbine wicket gates are wide-open, thus permit-
ting maximum flow through the turbine). 13clow criti-
cal head, the full-gate turbine capability will be less
[han the generator rated capacity. Aboye critical head,
generator rated capacity can bc obtained at a dis-
charge less than full-gate dischargc. At many older
plants, generators have a continuous overload rating.
At [hese plants, critical head is dcfincd as the head at
which full-gate output of the turbine equals the gcner-
ator overload capacity. In reeent practice, the term
critical head is used to refer only to operating pro-
jects. For planning and design purposes, the torra
`rated head' is used to describe the same head condi-
tions.
Design head. The head at which the turbine will
operate to give the best overail cfficiency under vari-
ous operating conditions
Gross head. The differcnce of elcvations between the
water surfaces of the forebay and tail nace under spec-
ified conditions.
Net head. The gross head, lcss all hydraulic losses
except [hose chargeable to the turbine.
Rated head. Technically, the head at which a turbine
at rated speed will dclivcr rated capacity at specified
gate and efficiency. Howevcr, for planning and design
purposes, rated head is identical to critical head.
Head, gross (H). The difference in elevation between
the headwater surface aboye and the tailwater surface
below a hydroelectric power plant, under specificd con-
ditions.
ASCE/EPRI Guides 1989
Head, net. Normally used in the context of head avail-
ability to the turbine. It is equal to the gross head minus
hydraulic losses in the waterways as the water passes
from headwater to tailwater.
Head, operating. Difference in elevation between the
water surface forebay and tailrace with allowances for
velocity heads.
Head, suction. The head that a pump must provide on
the inlet side to raise the liquid from the supply well to
the level of the pump.
Head Bate. A closu re device built in an intake to control
inflow to the penstock, canal, or turbine inlet.
Head losses. The various energy losses sustained as
water flows from the headwater to the tailwater. Head
losses through the turbine are normally accounted for in
the turbine efficiency.
Ileadcover. Stationary top part of a hydraulic turbine.
Headrace. An open channel for conducting water to a
power plant.
Headwater. Water upstream of a dam or powerhouse.
Headwater benefits. The benefits brought about by the
storage and release of water by a reservoir project
upstream. Application of the term is usually in reference
to benefits realized at a do wnstream hydroelectric
power plant.
Headwater project. A storage reservoir located in the
upper reaches of a river basin.
Heat rate. A measure of generating station thermal effi-
ciency, generally expressed as BTUs per net kilowatt-
hour. It is computed by dividing the total BTU content
of the fuel bumed (or of heat released from a nuclear
reactor) by the resulting net kilowatt-hours generated.
Hertz. Cycles per second.
Homologous. Having the same relative position, pro-
portion, value, or stmcture.
Hot reserve. Reserve generating capacity in operation
but not in service.
House turbine. A turbine installed to provide a source
of power to the powerhouse.
Hydraulic capacity. The maximum flow which a
hydroelectric plant can use to gencrate energy.
ASCE/EPRI Guidcs 1989
Hydraulic head. A measure of energy or pressure,
expressed in terms of the height of a column of water.
Hydraulic loss. The loss in energy due to flow (friction
and form loss).
Hydraulic turbine. A machine that converts the energy
of an elevated water supply into the mechanical energy
of a rotating shaft.
Hydroelectric plant (hydro or hydropower plant). An
electric power plant containing turbine generators driven
by falling water.
Hydroelectric generator. An electric rotating machine
driven by a hydraulic turbine that transforms mechanical
power into electric power.
Hydroelectricity. Electric power produced by hydro-
electric generators.
Hydrograph. A graphical representation of the varia-
tions of the flow of a stream at a given station plotted in
chronological order, usually with time as the abscissa
and flow as the ordinate.
Hydrologic availability (also Average availability).
The ratio of the average capacity of a hydroelectric plant
in the peak demand months to its rated capacity. This
ratio accounts for variations iu streamflow and head.
Impeller. The rotating member of a turbine, blower, fan,
axial or centrifugal pump, or mixing apparatus.
Imports. Electric power which is transferred into a
power system from another (usually adjacent) power
system. Impon power is usually considered to be a gen-
erating resource.
Impoundments. Bodies of water created by erecting a
barrier to flow, e.g. dams and diversion structures.
Impulse turbine. A turbine that uses the kinetic energy
of a high-velocity water jet to produce power.
Induction generator. A nonsynchronous alternating-
current generator that is driven aboye synchronous
speed by externa] sources of mechanical power, normal-
ly best suited to small hydroelectric plants.
Inflow. The rate or volume of water that flows into a
reservoir or forebay during a specified period.
Installed capacity. The total of the capacities shown on
the nameplates of the generating units in a hydropower
pl ant.
G-8
Intake. A structure to divert water into a conduit lead-
ing to the power plant.
Interconnection. A transmission line joining two or
more power systems allowing power produced by one
system to be used by another.
Internal rate of return. The discount rate that results in
the Net present worth of a project being zero. Used in
thc cconomic cvaluation of a project.
Intertie. See Interconnection.
Intervention. A formal action taken by a person or
group to ensure that its interesas are addressed by FERC
in the course of reviewing a license or exemption appli-
cation.
Jet. A fluid stream issuing from an orifice or nozzle.
Journal. That pan of a shaft in contact with and sup-
ported by a bearing.
Kaplan turbine. A propeller turbine in which the angle
of the blades to the flow can be adjusted.
Kilovolt (kV). One thousand volts.
Kilovolt-ampere (kVA) rating. The output (in kW) of a
generator divided by the power factor.
Kilowatt (kW). One thousand watts.
Kilowatt-hour (kWh). The amount of electrical energy
involved with a one kilowatt demand over a period of
one hour. Equivalent to 3,413 Btu of heat energy.
Labyrinth seal. A minimum leakage seal that offers
resistance to fluid flow while providing radial or axial
clearance; a labyrinth of circumferential touch points
that provide for successive expansion of the fluid.
Laminar flow. Streamline flow of an incompressible
viscous Newtonian fluid without turbulence in which all
particles of the fluid moya in distinct and separate lines.
Leaf. The elliptically shaped section of a wicket gata.
Leakage loss. Energy loss resulting from liquid leaking
from a high-pressure zona of a machine lo a low pres-
sure zone.
License. Approval from the Federal Energy Regulatory
Commission to develop and operate a hydroelectric pro-
ject for a specified period of time.
G-9
Line compensation. The balancing out of line
impedance.
Line impedance. The resistance to the flow of altemat-
ing current that is analogous to the electrical resistance
of direct current.
Load (electrical). The amount of electrical power
drawn from a power line, generator, or other power
source.
Load (mechanical).
I. The weight supported by a structure.
2. The mechanical force applied to a body.
Load, average (electrical). The hypothelical constant
load over a given time period that would produce the
same energy output as the actual loading produced.
Load, base. The pan of the total load of an electrical
power system that is applied, where possible, by the
most efficient connected generating stations. Minimum
load of a power generator over a given period of time.
Load center. The point at which the loads of a given
arca are assumed to be concentratcd for purpose of anal-
ysis.
Load, connected. The sum of the continuous ratings of
the load-consuming apparatus connected to the system
or pan of the system under consideration.
Load. The amount of electric power delivered at a given
point.
Base load. The minimum load in a stated period of
time.
Intermediate load. That portion of the load between
the base load and the peaking portion of the load.
Interruptible load. Electric power load which may be
curtailed at the supplier's discretion, or in accordance
with a contractual agreement.
Peak load. The maximum load in a stated period of
time. The peaking portion of the load is that portion
of the load that occurs for less than cight hours per
day.
Load curve. A curve showing power (kW) supplicd,
plotted against time of occurrence, and illustrating the
varying magnitude of the load during the period cov-
ered.
Load diversity. The difference between the sum of two
or more individual peak loads and the coincident or
combined maximum load.
ASCE/EPRI Cuides 1989
Load duration curve. A curve showing the total time,
within a specified period, during which the load equalled
or exceeded the power values shown.
Load factor. The ratio of the average load during a des-
ignated period to the peak or maximum load occurring in
that period.
Load, peak (electrical). Maximum load consumad or
produced by a unit or group of units in a stated period of
time.
Load rejection. A fault condition that rapidly decreases
the electrical load on the generating unit to no load.
Normally causad by either a fault in the utility transmis-
sion system with which the generating unit is intercon-
nected or a malfunction within the generating unit or its
auxiliarles. The capability to shut down the turbine in
such a way as to avoid damage due to overspeed or
waterhammer is important when load rejection occurs.
Load-resource analysis. A year-by-year comparison of
expected power loads with existing and scheduled gener-
ating resources, which is undertaken to determine when
additional generating resources will be required.
Log boom. A device used to prevent larga objects float-
ing on the water surface from entering an area. Normally
used upstream of an intake or spillway.
Loss.
Consumptive loss. Water that is removed from a
rescrvoir and not subsequently returned to down-
stream flow. Examples are evaporation and with-
drawals for irrigation and water supply.
Electric system loss. Total electric energy loss in the
electric system. It consists of transmission, transfor-
mation, and distribution losses, and unaccounted-for
energy losses between sources of supply and points of
delivery.
Energy loss. The difference between energy input and
output as a result of transfer of energy between two
points (see also Line loss).
Head loss. Reduction in generating head due to fric-
tion in the water passage to the turbine: includes
trashrack, intake, and penstock friction losses. Line
Loss. Energy loss and power loss on a transmission or
distribution line.
Nonconsumptive loss. Water that is unavailable for a
specific project purpose but which is included in
downstream flow from a project. Examples are losses
due to scepage, turbine leakage, and the operation of
navigation and fish passage facilities.
Power loss. The difference between power input and
output as a result of transfer of energy between two
ASCE/EPRI Guides 1989
points (sometimes referred to as "Capacity Loss")
(see also Line loss).
Transmission Loss. Same as line loss.
Low-head hydropower. Hydropowcr that operates with
a head of 66 feet (20 m) or less.
Manifold. A section of stecl pipeline that divides flow
from a single penstock into several smaller penstocks
that feed multiple turbine generator units.
Margin. The difference between the net system generat-
ing capability and system maximum load requirements
including net schedule transfers with other systems.
Market value. The value of power at the load centcr as
mcasured by the cosí of producing and delivering equiv-
alent altemative power to the market.
Marketability. The generating output of a proposed
powerplant is marketable if it can be used in the system
load and the fixed and variable costs of the plant can be
recovered with interest within an appropriate period of
time.
Mass curve. A cumulative plot of rescrvoir inflow ver-
sus time.
Mechanical loss. Encrgy loss due to mechanical friction
between fixed and moving parts, e.g., rubbing or sliding
friction between a rotating shaft and its bearing.
Megawatt (MW). One thousand kilowatts.
Megawatt-hours (MWh). One thousand kilowatt-
hours.
Meridional. Marked with Unes in the plane of the axis.
Meridional plane. A plane containing the runner axis.
Mili. One tenth of one cent.
Minimum discharge.
Project minimum discharge. The minimum flow that
must be released from a project in order to meet envi-
ronmental or other non-power water requirements.
Turbine minimum discharge. The minimum permis-
sible discharge through a turbine.
Mitigation measure. Any type of feature (i.e., stmc-
tural, operational, etc.) incorporated into the dcsign of a
hydro project to reduce environmental impact.
G-10
Momentum. The quantity of motion possessed by a
body. It is measured by the product of the mass of the
body and its velocity.
Multiple-purpose reservoir. A reservoir planned to
operate for more than one purpose.
Multipurpose river basin program. A program for the
development of a river with a dam and related structures
that serves more than one purpose, such as hydroelectric
power, irrigation, water supply, water quality control,
and fish and wildlife enhancement.
Municipal preference. FERC rule for deciding between
competing applications for project licenses by which
municipal developers receive priority over nonmunicipal
developers, al other criteria being equal.
Natural frequency. The frequency at which a body will
oscillate if disturbed from its equilibrium position.
Net present worth. The difference between the present
worth of benefits and the present worth of costs over the
life of the project.
Net positive suction head. The minimum suction head
required for a pump to operate; depends on the liquid
characteristics, total liquid head, pump speed and capac-
ity, and impeler design. Abbreviated NPSH.
Newton. The unit of force in the SI system. One Newton
is the force required to impart to a mass of 1 kg, an
acceleration of 1 m/s2.
Notice of Intent. Formal notice that a competing appli-
cation for a license or preliminary permit will be filed.
By filing a Notice of Intent, a competing applicant rnay
Pile the actual application after the deadline specified in
the public notice of the initial application.
Notice period. A specified period of time during which
the public must be notified of an application pending
before FERC. Interventions and Notices of Intent must
be filed during the notice period.
Nozzle. A control valve that directs flow onto the runner
of a Pelton or Turgo impulse turbine.
Nuclear Power. Power released from the heat of nuclear
rcactions, which is converted to electric power by a tur-
bine generator unit.
Operating policy (operating rule curves). The tcchni-
cal operating guide adopted for water resources projects
to ensure that authorized output of the project is
G-11
achieved. Usually in the form of charts and graphs of
reservoir release rates for various operational situations.
Operation factor. The ratio of the duration of the actual
service of a machine or equipment to the total duration
of the period of time considered.
Outage. The period during which a generating unit,
transmission line, or other facility is out of service.
Forced outage. The shutting down of a generating
unir, transmission line, or other facility for emergency
reasons.
Maintenance outage. The removal of a generating
unit from operation for required maintenance.
Scheduled outage (planned outage). The shutdown of
a generating unit, transmission line, or other facility
for inspection or maintenance in accordance with a
predetermined schedule.
Output factor. The ratio of the actual energy output, in
the period of time considered, to the energy output that
would have occurred if the machine or equipment had
been operating at its full rating throughout its actual
hours of service during the period.
(In) Parallel. Severa] units whose a-c frequencies are
equal and which operate synchronously as part of the
same electric system.
Pascal. A unit of pressure equal to a force of 1 Newton
acting uniformly over an area of 1 square meter.
Peak demand months. The rnonth or months of highest
power demand.
Peak load. The maximum load in a stated period of time.
Peaking. As distinguished from run-of-rivcr, a typc of
hydro project that uses its reservoir as a storage facility,
releasing water to generare power only when power is
needed (usually during peak demand periods).
Peaking capacity. That part of a system's capacity that
is operated during the hours of highest powcr demand.
Peaking units. Usually old low-efficicncy units, gas tur-
bines, diesel engines, or pum ped storage hydroelectric
units used primari]y during [he peak load periods.
Pelton turbine. An impulse hydraulic turbine nomially
used for high-head hydroelectric plants, but sometimes
suitable for moderate hcads at smaller hydro sitos. The
turbine works on the impact of high-velocity jets of
water on a series of buckets fixed around thc edgc of the
runner.
ASCE/EPRI Cuides 1989
Penstock. The high-pressure conduit extending from the
first upstrcam water surface to the turbine.
Period of record. The historical period for which
streamflow records exist.
Pitting. Corrosion of metal surfaces caused by local
chemical action.
Plant (station).
Base load plant. A power plant normally operated at
a constant load.
Conventional hydroelectric plant. A hydroelectric
power plant utilizing falling water only once as it
passes downstream, as contrasted to either a pump-
back or pumped-storage plant, which recirculates all
or a portion of ihe streamflow during the production
of electric power.
Combined cycle plant. An electric power plant con-
sisting of a series of combustion turbines with heat
extractora on their exhausts.
Combustion turbine plant. An electric power plant
consisting of natural gas or distillate oil-fired jet
engines connected to a generator.
Energy displacement plant. A power plant (usually
hydroclectric), whose output is used to displace gen-
eration from existing high- cost thermal plants.
Fossil-fuel plant. An electric power plant using fossil
fuels (coal, Iignite, oil, or natural gas) as its source of
energy.
Nuclear power plant. An electric generating station
using the energy from a nuclear reactor as its source
of power.
Peak load (peaking) plant. A power plant which is
normally operated to provide power during maximum
load periods.
Pondage plant. A hydroelectric plant with sufficient
storage to permit daily or weekly shaping of stream-
flows.
Power plant (powerplant). A generating station
where prime movers (turbines), electric generators,
and auxiliary equipment for producing electric energy
are located.
Pump-back hydroelectric plant. An on-stream
pumped-storage projcct. This type of plant utilizes a
combination of natural streamflow and pumped water
as its source of energy.
Pumped-storage hydroelectric plant. A hydroelectric
power plant that generates electric energy by utilizing
water pumped into a storage reservoir, usually during
off-peak periods. The two major types of pumped-
storage hydroelectric plants are purnpback and off-
strcam pumped-storagc plants.
Run-of-river plant. A hydroelectric power plant
that uses pondage or the flow of the stream as it
occurs.
ASCE/EPRI Guides 1989
Steam-electric plant. An electric power plant that
uses steam as the motive force of its prime
movers. Steam plants can be either nuclear or fos-
sil fuel fired, or they can utilize geothermal cner-
gY•
Storage plant. A hydroelectric plant constructed
at a reservoir that provides storage.
Thermal plant. An electric power plant which
derives its energy from a heat source, such as
combustion, geotherrnal water or steam, or nucle-
ar fission. Includes fossil-fuel and nuclear steam
plants and combustion turbine and combined
cycle plants.
Plant factor. The ratio of the average load to the
installed capacity of the plant, expressed as an annu-
al percentage. (See Capacity factor.)
Pondage. Water stored behind a dam used for daily
or weekly regulation of the flow of a river.
Power. The time rate of transferring energy.
Electrical power is measured in kilowatts. The term
is also used in the electric power industry to mean
inclusively both capacity (power) and energy.
Continuous power. Hydroelectric power available
from a plant on a continuous basis under the most
adverse hydraulic conditions contemplated. Same
as prime power.
Fir►n power. Power intended to have assured
availability to the customer to meet all or any
agreed upon portion of his load requirements.
Interruptible power. Power made available under
agreements which permit curtailment or cessation
of delivery by the supplier.
Nonfirm power. Power which does not have
assured availability to the customer to mcet his
load requirements.
Prime power. Same as continuous power.
Seasonal power. Power gencrated or made avail-
able to customers only during certain seasons of
the year.
Power, dump. Hydroelectric power in cxcess of
load requirements that is made availablc by surplus
water.
Power, firm or primary. The power that a plant can
be expected to deliver 100 percent of ihe time.
Power, generating station auxiliary. The powcr
required for operation of the generating station auxil-
iarles.
Power, prime. The maximum potential power con-
stantly available for transformation into electric powcr.
G-12
Power benefits. The monetary benefits associated with
the output of a hydroelectric plant.
Power, surpius or secondary. AH power in excess of
firm power.
Power factor. The phase relationship between altemat-
ing current and voltage. A power factor of 1 indicates
that peak current and voltage cycles are synchronized. A
power factor lower than 1 indicates that inductive or
capacitive effccts have displaced the synchronization of
current and voltage cycles. Low power factor reduces the
efficiency of power transmission.
Power values. Annualized unir costs of constructing and
operating the thermal altemative to a hydroelectric plant.
At-market (or at-load center) value. The value of
power at the market as measured by the cosí of pro-
ducing and delivering equivalent altemative power to
the market.
At-site value. The value of power at the site of the
hydro- electric plant as measured by the at-market
value minus the cosí of transmission facilities and
Iosses from the hydroelectric plant to the load center.
The amount of power at the site is more than the
amount of power at the market due to transmission
Iosses.
Capacity value. That part of the at-site or at-market
power value which is assigned to capacity.
Energy value. That part of the at-site or at-market
power value which is assigned to energy.
Fuel displace:nent value. The value of electric energy,
usually hydro, which may be substituted for energy
generated in a fuel-electric plant, in terms of the hiere-
mental cosí of producing the energy in the fuel-electric
plant.
Power pool.
Reservoir power pool. That portion of a reservoir's
storage capacity which is allocated to the storage of
water for power production.
Electric Power Pool. Two or more interconnected
electric power systems that are coordinated to supply
power in the most economical manner for their com-
bined loads.
Powerhouse. A structure that houses the turbines, gener-
ators, and associated control equipment.
Preliminary permit. A permit granted by FERC for a
particular project site, giving the holder priority status for
filing an application for a license or exemption. A pre-
liminary permit may be granted for a torro of up to 36
months, and is not renewable. Obtaining such a permit is
an optional step in the licensing process.
G-13
Pressure rise. The operating condition of a pump tur-
bine corresponding to a full load rejection and a rapid
wicket gate closure.
Pressure shaft. A vertical or inclined conduit excavat-
ed in rock and capable of carrying water under pres-
sure. In underground hydroelectric projects it replaces
the penstock.
Prime mover. The engine, turbine, waterwhecl, or
similar machine that converts a natural source of ener-
gy into mechanical encrgy.
Project sponsor. The entity controlling the hydro site
and promoting construction of the facility.
Propeller. A bladed device that rotates on a shaft to
produce a useful thrust in the direction of the shaft
axis.
Propeller blade. Onc of two or more plates radiating
out from the hub of a propeller turbine.
Propeller turbine. An axial flow reaction turbine, i.e.,
the flow moves parallel with the axis of the turbine
shaft. The turbine runner is similar to a ship's propeller
and the turbine is used for low- and ultralow-head
hydro projects. If the angle of the blades to the flow
can be adjusted, the turbine is called a Kaplan turbine.
Pump. A machine driven by a prime mover and used
to move fluids from a Iow to a high pressure level.
Pumped storage. A method of encrgy storage in
which low-cost electrical energy produced during low
demand periods is used to pump water finto an clevated
reservoir from which water is released during high
demand periods to supply high-value electrical energy.
Pumped storage hydroelectric plant. A power plant
where power is produced during peak load periods by
using water previously pumped from a lower reservoir
to an upper reservoir during off-peak periods.
Pumping. The operation of a pump turbine in the
pump cycle with the wicket Bates in the position corre-
sponding to maximum gate torque.
Pump prime. The conditions associated with starting
(priming) the pump against closed wicket gafes.
Pump shutoff. The operating condition for a pump
turbine con-esponding to the release of the pressurized
air after a pump start.
ASCE/EPRI Guides 1989
Pumpaurbine. A hydraulic machine that can be used
altennately as a pump and prime mover (turbine).
Rally rate. The maximum allowable rate of change in
output from a power- plant. The ramp rate is established
to prevent undesirable effects due to rapid changes in
loading or, (in the case of hydroelectric plants), discharge.
Race. A channel transporting water to or away from
hydraulic machinery, as in a power house.
Rake. A toothed device for removing debris from
trashracks.
Rated head. The net hydraulic head at which the tur-
bine produces the generator's rated output. Normally
measured in feet or melers.
Rated output. The power output at which a turbine or
generator is rated; Chis normally corresponds to the out-
put at the selected design point of head and flow.
Normally measured in kilowatts (kW) or megawatts
(1").
Rate of return on investment. The interest rate at
which the present worth of annual benefits equals the
present worth of annual costs.
Reaction turbine. A generic term for hydraulic turbines
in which water enters the runner under pressure and
interacts with the turbine runner in such a way that the
hydraulic energy is converted to kinetic energy in the
turbine shaft. Reaction turbines include Francis, fixed-
blade propeller, Kaplan, and semi-Kaplan. Crossflow or
Banki turbines work on a combination of impulse and
rcaction principies. Pclton and Turgo turbines are
impulse turbines.
Reconnaissance study. A preliminary feasibility study
dcsigned to ascertain whether a full feasibility inves-
tigation is warranted. Also called an Appraisal study or
prcfcasibility study.
Reregulating reservoir. A reservoir located down-
strcam from a hydroelectric peaking plant, that has suf-
ficient capacity to store the fluctuating discharges from
the peaking plant and to release them in a relatively uni-
form manner downstream.
Reserve. The additional capacity of a power system that
is used to cover contingencies, including maintenance,
forced outages, and abnormal loads.
Cold reserve. Thermal generating capacity available
for service but not maintained at operating tempera-
tu re.
ASCE/EPRI Guides 1989
Hot reserve. Thermal generating capacity maintained
at a temperature and condition which will permit it to
be placed into service promptly.
Spinning reserve. Gcnerating capacity connected to
the bus and ready to take load. It also includes capaci-
ty available in generating units which are operating at
less than their capability.
Standby reserve. Reserve capacity which can be
placed on-line in a matter of minutes. Includes hot
reserve capacity, combustion turbines, and most idle
hydroelectric capacity.
System required reserve. The system reserve capacity
needed as standby to insure an adequate standard of
service.
Reserve equipment. Installed equipment in excess of
that required to carry peak load.
Reservoir storage.
Active storage. The portion of the live storage capaci-
ty in which water normally will be stored or with-
drawn for beneficial uses, in compliance with operat-
ing agreements or restrictions.
Conservation storage. That portion of the water
stored in a reservoir that is impounded for later use.
Synonymous with active storage. Conservation stor-
age is the portion of a reservoir's live storage that is
normally conserved for beneficial use at-site or
downstream but does not include any live storage
space reserved exclusively for flood control.
Dead storage. The volume of a reservoir which is
below the luyen of the lowest outlet and cannot be
evacuated by gravity.
Flood control storage space. Reservoir storage space
that is kept available for impounding potencial flood
flows. Exclusive flood control storage space is evacu-
ated as soon as streamflows recede to the point when
storage releases can be made without exceeding chan-
nel bankfull capacity. Seasonal flood control storage
space is discussed under joint use storage.
Inactive storage. The portion of the live storage
capacity from which water normally will not be with-
drawn, in compliance with operating agreements or
restrictions.
Joint Use storage. Storage space that is used for
flood control for part of the year and to impound con-
servation storage during the remainder of the year.
Live storage. The volume of a reservoir exclusive of
dead and surcharge storage capacity. Pondage.
Reservoir storage capacity of limited magnitude, that
provides only daily or weckly regulation of stream-
flow.
Power storage. Conservation storage that is regulated
for hydroelectric power generation.
G-14
 Seasonal storage. Reservoir storage capacity of suffi-
cient magnitude to permit carryover from the high
flow season to the low flow season, and thus to devel-
op a firm flow substantially greater than the minimum
natural flow.
Storage capacity. The volume of a reservoir available
to store water.
Resonance. That point at which the resulting amplitude
of oscillation of a physical system becomes large when
the frequency of the excitation equals a natural frequen-
cy of the system.
Revenue. The income earned by a hydroelectric project.
Revenue stream. All the incoming monies generated by
a hydroelectric project over time.
Reversible pump/turbine. A hydraulic prime mover
that operates as a pump in one direction of rotation, and
as a turbine in the opposite direction of rotation.
Through design trade-offs, good efficiencies can be
achieved in both modes of operation.
Reversible unit. The combination of a motor/generator
and pump/turbine.
Riprap. Large stones or concrete placed for the purpose
of protecting a slope from water erosion.
Rotor. The rotating inner portion of a generator consist-
ing of windings surrounding the field poles, which are
dovetailed to the periphery of a laminated core.
Rule curve. A curve or family of curves indicating how
a reservoir is to be operated under specific conditions to
obtain best or predetermined results. Rule curves can be
designated to regulate storage for flood control,
hydropower production, and other operating objectives,
as well as combinations of objectives.
Run-of-river. A type of hydro project that releases
water at the same rate as the natural flow of the river
(outfiow equals inflow).
Runaway speed. The speed (in rpm) of the turbine run-
ner undcr the condition of full open gate but no electri-
cal load occurs when the hydro unit is tripped off the
fine while the unit is generating.
Runner. The part of a hydraulic turbine that transforms
the pressure and kinetic energy of the water into useful
work. As the water flows through the turbine, it changes
direction, which creates a force on the runner and causes
it to rotate.
G-15
Runner blades. The propeller-like vanes of a hydraulia
turbine that convert the kinetic energy of the water into
mechanical power.
Runoff. The portion of precipitation that runs over the
land surface and forms Streamflow.
Scheduled outage. The shutdown of a generating unit
for planned maintenance.
Scroll case. A spiral waterway normally made of cither
reinforced concrete or steel that guides water to the run-
ner of a reaction turbine.
Seasonal diversity. Diversity betwecn two or more
power systems when their annual peak loads occur dur-
ing different seasons of the year.
Secondary energy. Nondependable energy from a hydro
project that may not be available al times because of low
water conditions.
Sequential streamflow routing (SSR). The chronologi-
cal routing of streamflows through a project or system of
projects in order to define a project's firm yield, its ener-
gy or peaking power output, or its performance undcr
specified operating criterio.
Series capacitors. A bank of capacitors connected in
series with an electric power transmission Une that is
used to control the rnagnetic component of line
im ped anee.
Service area. Territory in which a utility system is
required to (or has the right to) supply or make available
electric service to ultimate consumers.
Service outage. The shutdown of a generating unit,
transmission Ene, or other facility for inspection, mainte-
nance, or repair.
Servomechanism. An automatic feedback control sys-
tem for mechanical motion; it applies only to those sys-
tems in which the controlled quantity or output is
mechanical position or one of its derivatives (vclocity,
acceleration, etc.).
Servomotor. The electric, hydraulic, or other type of
motor that serves as the final control element in a ser-
vomechanism; it receives power from the amplifier ele-
ment and drives the load with a linear or rotary motion.
Settling basin. A chamber designed Lo remove sediment
from water by providing quicscent conditions that allow
sediment to fall to the floor of the chamber. Thcy are
ASCE/EPRI Guides 1989
used in cases where sediment would otherwise block
watcrways or damage the turbine.
Shear-pin-failure condition. The operating condition
of a turbine with the wicket gates in a nearly closed
position with only two gates interacting because an
obstruction is wedged between them.
Shunt capacitors. Capacitors connecting from a power
line to a grounded connection, usually designed to
reduce that part of the electric current causing a poor
power factor.
Slide gate. A hydraulic gate that operates in vertical
guides and has no wheels, rollers, or other friction-
rcducing devices. Normally, such a gate must be opened
or closed under balanced head conditions.
S'idee gate. A vertical-shaft Slide gate often used for
passing water through a dam. Manual or motor- operat-
cd floor stands are used to raise and lower sluice gates.
Small hydropower. Hydropower installations that are
15,000 kW (15 MW) or less in Capacity.
Spare equipment. Equipment complete or in parts, on
hand for repair or replacement.
Spear. The needle inside the nozzle for a Pelton turbine.
Specific speed. A factor used to compare hydraulic
characteristics of turbines or pumps.
Speed increaser. A mechanical device installed between
the generator and the turbine that permits the generator to
operate at a highcr speed. They are used on low-head pro-
jects to reduce the size and cost of the generator.
Speed ring. See Stay ring.
Spherical value. A heavy-duty valve generally used for
penstock shutoff purposes on high-head projects. The
valvc body consists of a rotating sphere that provides a
full port in the open position. Double seals of a
retractable type are generally provided.
Spill. The discharge of water through gates, spillways,
or conduits which bypasses the turbines of a hydroelec-
tric plant.
Spillway. An outlet from a reservoir or section of a dam
designed to release surplus water that is not discharged
through a turbine or other outlet works.
Spillway design flood. The pattern of flood inflow
(hydrograph) used to size the spillway gates and
ASCE/EPRI Guides 1989
determine the required freeboard for dam design pur-
poses.
Spinning reserve. Generating units operating at no load
or at pardal load with excess capacity readily available
to support additional load.
Spiral case. A steel-lined conduit connected to the pen-
stock or intake conduit that evenly distributes water
flow to the turbine runner.
Standby equipment. Generating equipment not normal-
ly used but available, through a permanent connection,
to replace or supplement the usual source of supply.
Station use. Energy power used in a generating plant as
necessary in the production of electricity. It includes
energy consumed for plant light, power, and auxiliarles
regardless of whether such energy is produced at the
plant or comes from another source.
Stator. The stationary outer portion of a generator con-
sisting of a frame, laminated magnetic core, and arma-
ture windings that carry heavy currents and high volt-
ages.
Stator armature. A stator that includes the main cur-
rent-carrying winding in which electromotive force pro-
duced by magnetic flux rotation is induced; it is found in
most ac machines.
Stay ring. A structural part of a hydraulic turbine that
contains the stay vanes and to which the spiral case and
headcover are attached.
Stay vanes. Curved, airfoil-shaped, stationary surfaces
located between the spiral case and wicket gates in a
hydraulic turbine whose purpose is to induce a prerota-
tion or prewhirl to the Huid to reduce the relative veloci-
ty to the runner. They also serve as columns that aid in
supporting the generator weight and thc loads associated
with the intemally pressurized machine.
Steam plant. An electric power plant that uses steam as
the motive force of its prime movers. Steam plants can
be either nuclear or fossil fuel-fired, or they can use
geotherm al energy.
Stiffness. The ratio of a steady force acting on a
deformable elastic medium to the resulting displacement.
Stilling basin. The arca on the downstream side of a spill-
way where water velocity is reduced to prevent erosion
damage to hydraulic structures or the natural riverbed and
banks.
G-16
Stoplog. See Bulkhead gate.
Storage draft. Stored water released from a reservoir
during a specified interval of time, thereby lowering the
elevation of the water surface in the reservoir.
Storage project. A project with a reservoir of sufficient
size to permit carryover from the high-flow season to the
low-flow season, and thus to develop a firm flow sub-
stantially more than the minimum natural flow. A stor-
age projcct may have its own powerplant or may be used
only for increasing generation at some downstream
plant.
Storage reservoir. The volume behind a dam used to
storc water.
Streamflow. The rate at which water passes a given
point in a stream, usually expressed in cubic feet per
second.
Average strearnflow. The average rate of flow at a
givcn point during a specified period.
Critical streamflow. See Critical streamflow.
Depleted streamflow. Streamflow which has been
adjusted to remove existing or projected withdrawals
or diversions for irrigation or municipal and industrial
water supply.
Maximum streamflow. The maximum rate of flow at
a given point during a specified period.
Median streamflow. The rate of flow at a given point
for which there are equal numbers of greater and less-
er flow occurrences during a specified period.
Minimum streamflow. The minimum rate of flow at a
given point during a specified period.
Natural streamflow. Streamflow at a given point of
an uncontrolled stream, or regulated streamflow
which has been adjusted to eliminate the effects of
reservoir storage or upstream diversions.
Regulated streamflow. The controlled rafe of flow at
a given point during a specified period resulting from
reservoir operation.
Streamline. A line that is everywhere parallel to the
direction of fluid flow at a given instant.
Stress. Force per unit arca as for a solid material resist-
ing compression, tension, or external forces.
Stress concentration factor. A factor expressing the
ratio of the greatest stress in the region of stress concen-
tration to the corresponding nominal stress.
Stress raiser. A notch, hole, or other discontinuity in
contour or structure that causes localized stress concen-
tration.
G-17
Submergence. The elevation of the runner or impeller
relative to the tailwater elevation to mitigale the effects
of cavitation.
Surge tank. A hydraulic structure designed to control
pressure and flow fluctuations in a penstock or tunnel
It functions as a reservoir that temporarily stores or
raleases water to the turbine.
Surplus power. Generating capacity that is not needed
in the system when it is avaiiable.
Switchyard. A concentration of electrical equipment
which connects two or more electric circuits through
switches, sclectively arranged in order to permit a cir-
cuit to be disconnected or to change the electric connec-
tion between the circuits. In a hydrodectrie projcct, the
switchyard is the point at which the energy generated at
the project is connected to the distribution system
Switchgear. The switches, breakers, and other devices
used for opening or closing electrical circuits and con-
necting or disconnecting generators, transformers, and
other equipment.
Synchronous condenser (capacitor). A synchronous
motor running without mechanical load and drawing a
large leading current, like a capacitor, used to improve
the power factor and voltage regulation of an ac power
system.
Synchronous generator. An ac generator whose oper-
ating speed is fixed by the frequency of the electrical
system to which it is interconnectcd.
Synchronous machine. An ac machine whose average
speed is proportional to the frequency of the applied or
generated voltage.
Synchronous motor. A synchronous machine that
transforms ac electric power finto mechanical power,
using field magnets excited with direct current.
Synchronous speed. The speed of rotation of a syn-
chronous machina; in rcvolutions per second. It is equal
to twice the frequency of the alternating current in hertz
divided by the number of polos in the machine.
System (electric). Electric power generation, transmis-
sion, distribution, and other facilities operated as an
integral unit.
System reserve. The capacity, in equipment and con-
ductora, installed on the system in excess of that
rcquired to carry the peak load.
ASCE/EPRI Guides 1989
Tailrace. A channel for conducting water away from a
power plant after it has passed through it. Sometimes
called an afterbay.
Tailwater. Water surface downstream of the power-
house.
Tailwater elevation. The elevation of the water surface
downstream from a dam or hydroelectric plant
Tailwater rating curve. The curve that depicts tailwa-
ter clevation at different streamflows.
Tap. A connection from one transmission line to anoth-
er or to a substation.
Thermal plant. An electric power plant which derives
its energy from a heat source, such as combustion,
geotherrnal water or steam, or nuclear fission. Includes
fossil-fuel and nuclear steam plants and combustion tur-
bine and combined cycle plants.
Thrust. The reaction to a compressive force on a rod.
Thrust bearing. A bearing that supports the entire
weight of both the rotating parts of a vertical-shaft tur-
bogenerating unit and the maximum hydraulic thrust
developed by the turbine.
Tie line. A transmission line connecting two systems.
Timber crib dam. A dam constructed of timber crib
eells filled with rock bailan and covered with sheathing
on the water side to minimize leakage.
Time zone diversity. The diversity between systems in
different time zones resulting from time differences as it
affects the demand for power.
Torque. The tuming moment exerted by a tangential
force acting at a distante from the axis of rotation or
twist.
Torque converter. A device for changing the torque
speed or mechanical advantage between an input shaft
and an output shaft.
Torsion. A twisting deformation of a solid body about
an axis in which linos that were initially parallel to the
axis becomes helices.
Torsional vibration. A periodic motion of a shaft in
which the shaft is twisted about its axis in one direction
and then in the other. This motion may be superimposed
on rotational or other motion.
ASCE/EPRI Guides 1989
Transformen. An electromagnetic device uscd to
change the voltage of ac electricity.
Transmission. The transporting or conveyance of elec-
tric energy in bulk to a convenient point, where it is sub-
divided for delivery to the distribution system. Also
used as a generic term to indicate the conveyance of
electric energy over any or ail of the paths from source
to point of use.
Transmission fines. The wire or cable system used to
conduct electric power.
Transient. That period during which events are chang-
ing with time.
Trashrack. A rack or screen of parallel bars installed to
prevent debris from entering the turbinc.
Tubular turbine. An axial-flow, propeller turbine that
may have a vertical, horizontal, or inclined shaft.
Turbidity. The extent to which water has become
clouded as a result of suspended scdiments.
Turbine. A machine which, in the case of a hydroelec-
tric plant, converts the encrgy of water to mechanical
energy.
Turbine classes. Modem hydraulic turbines are divided
into two classes: impulse and reaction turbines.
Impulse turbine. Has one or more free jets that dis-
charge into an aerated space and impinge on the
buckets of the runner. Has a means of controlling the
rate of flow, housing, and a discharge passage.
Reaction turbine. Has a water supply case, a mecha-
nism for controlling the quantity of water and for dis-
tributing it equally over the entire runner intake, and
a draft tube. The water supplies energy to the runner
in kinetic form.
Francis turbine. A reaction turbine having a run-
ner with a largo number of fixed buckets, usually
nine or more, to which the water is supplied in a
whirling radial direction. It can be designed for
operating heads ranging from 50 to 2,000 feet.
Adjustable-blade propeller turbine (Kaplan). A
reaction turbine having a runner with a small num-
ber of blades, usually four to eight, to which the
water is supplied in a whirling axial direction. The
blades are angularly adjustable in the hub.
Fixed-blade propeller turbine. A reaction turbine
having a runner with a small number of blades,
usually four to eight, to which the water is sup-
plied in a whirling axial direction. The blades are
rigidly fastened to the hub.
G-18
Turbine—generator. The primary components of a
hydro unit. See Turbine and Generator.
Turbine runner. The central rotating component of a
hydraulic turbine that converts hydraulic energy to
mechanical energy. Otherwise known as the turbine
wheel. It normally consists of a series of curved vanes,
blades, or buckets attached to a central rotating hub.
Turbining. The operation of a turbine or a pump turbine
with the wicket gates in a position corresponding to
maximum gate torque.
Turbomachine. A device in which energy transfer
occurs between a flowing fluid and a rotating elernent
due to dynamic action, and results in a change in pres-
sure and momentum of the fluid.
Turgo turbine. An impulse turbine used at the lower
end of the high hydraulic head rango. The turbine works
on the impact betwecn high-velocity water jets and the
runner blades. The jets are directed onto the surface of
the turbine runner at an angle to the runner shaft.
Unwatering. Dewatering.
Uprating. Increasing the generating capacity of a
hydropower plant by either replacing existing equip-
ment with new equipment or improving the existing
equipment.
Usable storage. That portion of the gross storage that
may be used for an authorized purpose.
Utilization factor. The ratio of energy output to avail-
able energy within the capacity and characteristics of
the plant.
Valve. A closure device for controlling the flow of
water.
Vane. A flat or curved surface exposed to a flow of
fluid so as to be forced to move or to rotate about an
axis, to rechannel the flow, or to act as the impeler.
Vertically integrated system. A power system that
combines generation, transmission, and distribution
functions.
Voltage (circuit). The electric potential difference
between -conductors or between conductors and ground,
usually exprcssed in volts (V) or kilovolts (kV).
Volute. A spiral casing for a centrifugal turbomachine
lesigned so that spced will be converted to pressure
without shock.
G-19
Vortex. A flow with closed streamlines.
Vortex line. A line drawn through a fluid such that it is
everywhere tangent to the vorticity.
Vorticity. For a fluid flow, a vector equal to the curl of
the velocity of flow.
Water conditions.
Adverse water conditions. Water conditions limiting
the production of hydroelectric power, either because
of low water supply or reduced gross head or both.
Also sometimes called critical water conditions.
Average water conditions. Precipitation and runoff
conditions which provide water for hydroelectric
power development approximating the average
amount and distribution available over a long time
period, usually the period of record.
Critical water conditions. Same as Adverse Water
Conditions.
Median water conditions. Precipitation and runoff
conditions which provide water for hydroelectric
development approximating the median amount and
distribution available over a long time period, usually
the period of record.
Waterhammer. Pressure changes in a pressure conduit or
pen.stock that are caused by the flow vatiation with time.
Water passage. Conduits that convey water to and from
the turbine runner. They include the scroll case, distribu-
tor, and draft tube.
Waterwheel. A vertical wheel on a horizontal shaft that
is made to revolve by the action or weight of water on or
in containers attached to the rim.
Watt (W). The rate of energy transfer equivalent to 1
ampere under a pressure of 1 volt at unity power factor.
Wear. Deterioration of a surface due to material
removal caused by relative motion betwecn it and anoth-
er part.
Wearing rings. Replaceable rings installed in the casing
or impeler (runner), or both, to take the wcar resulting
from rotation of the impeller, grit, and other abrasives in
the liquid.
Wheeling. The transfer of power and energy from one
utility over the transmission system of a second utility for
delivery to a third utility, or to a load of the first utility.
Wicket gates. Adjustable vanes that surround a reaction
turbine runner and control the arca available for water to
enter the turbine.
ASCE/EPRI Cuides 1989
 MEASUREMENT CONVERSIONS

ACCELERATION

Unit ft/s2 mis2

1 Foot per second squared (ft/s2) 1 0.3048

1 Meter per second squared (mis2) 3.2808 1

AREA

Unit ft2 m2 ha Acre mil

1 Square foot (ft2) 1 0.0929 9.2903x10-6 2.2956x 10-5 3.587x10-8

1 Square meter (m3) 10.7639 1 1x10-4 2.4711x10-5 3.8610x10-7
1 Hectare (ha) 1.0764x105 10,000 1 2.4711 3.8610x10-3
1 Acre 43,560 4046.85 0.4047 1 1.5625X10-3
1 Square ralle (mil) 2.7878x107 2.5900x106 259 640 1

ENERGY

Unit Btu kcal hph kWh

1 Joule (J) 1 0/376 9.481x10- 2.389x104 3.725x10-7 2.778x10-7

1 Foot-pound (ft-lb) 1.356 1 1.285x10-3 3.239x104 5.051x10-7 3.766x10-7
1 British thermal unit (Btu) 1,055 777.9 1 0.252 3.929x10-4 2.930x10-4
1 Kilocalorie (kcal) 4,086 3,087 3.968 1 1.559x10-3 1.163x10-3
1 Horsepower-hour (hph) 2.685x106 1.980x106 2,545 641.4 1 0.7457
1 Kilowatt-hour (kWh) 3.6x106 2.655x106 3,413 860.1 1.341 1

FORCE

Unit dyn N lbf kgf kip

1 Dyne (dyn) 1 1.0x10-5 2.248x10-6 1.020x10-6 2.248x10-10

1 Newton (N) 100,000 1 0.2248 0.1020 2.248x10-4
1 Pound (lbf) 414,800 4.448 1 0.04536 0.001
1 Kilogram (kgf) 980,700 9.807 2.205 1 2.205x10-3
1 Kip 4.448x109 4,4-48 LOCO 453.5 1

M-1
 MEASUREMENT CONVERSIONS - Continued

LENGTH

Unit in ft m km mi

1 Inch (in) 1 0.0833 0.0254 2.540x10-5 1.5782x10-5

1 Foot (ft) 12 1 0.3048 3.048x10-4 1. 8939x10-4
1 Meter (m) 39.3710 3.2808 1 0.001 6.2136x104
1 Kilometer (km) 39,370 3,280.84 1,000 I 0.6212
1 Mile (mi) 63,360 5,280 1,609.36 1.6093 1

MASS

Unit lb kg Metric slug Slug Metric ton Long ton

1 Pound (lb) 1 0.4536 0.0462 0.0311 4.536x104 446.4x10-4

1 Kilogram (kg) 2.205 1 0.1020 0.0685 0.001 9.842x 10-4
1 Metric slug 21.62 9.807 1 0.6721 0.0098 0.0096
1 Slug 32.17 14.59 1.490 1 0.0146 0.0144
1 Metric ton 2,205 1,000 102.0 68.52 1 0.9842
1 Long ton 2,240 1,016 103.7 69.63 1.016 1

POWER (Rate of Energy Flow)

Una Btu/h ft-lb/s hp kW

1 Btufflour (Btu/h) 1 0.2161 3.929x10-4 2.920x10-4

1 Foot-poundisecond (ft-lb/s)4.628 1 1.818x10-3 1.356.104
1 Horsepower (hp) 2,545 550 1 0.7457
1 Kilowatt (kW) 3,413 737.6 1.341 1

1 Watt ----- 1 J/s.

1 kW is generated by 11.81 ft3/s of water failing 1 foot (at 100% efficiency) or by 0.102 m3/s falling
1 meter (at 100% efficiency).

PRESSURE

Unit Pa H20 ft Hg in lb/in2 atm

1 Pascal (Pa) 1 3.3456x10-4 2.9533x104 1.4504x104 9.8692x10-6

1 Foot of water @39.4 °F (H20 ft) 2,989 1 0.88275 0.43352 0.0295
1 Inch of Mercury (Hg in) 3,386 1.13282 1 0.4911 0.03342
1 Pound per square inch (1b/m2) 6,894.757 2.30671 2.03625 1 0.068046
1 Atmosphere (atm) 101,325 33.89945 29.92471 14.69595 1

1 Pa = 1 N/m2 = 10 dyne/cm2.
M-2
 MEASUREMENT CONVERSIONS — Continued

RATE OF FLOW

Unit gallmin ft3/s Mgal/d m3ls

1 U.S. gallon per minute (gallmin) 1 0.00223 0.00144 6.3 1 x 10-5

1 Cubic foot per second (ft3/s) 448.8 1 0.6463 0.02832
1 Million U.S. gallons per day (Mgal/d) 694.4 1.547 1 0.0438
1 Cubic meter per second (m3/s) 15,850 35.31 22.82 1

1 U.S. gallon per minute for 1 year = 1.614 acre-ft.

1 ft3/s 1.98 acre-ft/d = 724 acre-ft/yr.

TEMPERATURE

Unit °F °C K °R

x degrees Fahrenheit (°F) x (5/9)(x — 32) (519)(x + 459.67) x + 459.67

x degrees Celsius (°C) (9/5)x + 32 x x + 273.15 (9/5)x + 491.67
x Kelvins (K) (9/5)x — 459.67 x — 273.15 x (9/5)x
x degrees Rankine (°R) x — 459.67 (5/9)(x — 491.67) (5/9)x x

*TURBDIE SPECIFIC SPEED (Ns)

Ns (U.S.) Ns (Metrichp) Ns (kW)

117., (U.S. customary units) 1 0.225 0.263

Ns (Metric hp units) 4.45 1 1.16
N, (kilowatt units) 3.81 0.86 1

1 Metric horsepower = 75 kg-m/s

npla
Ns .Turbine specific speed — H5/4

where:

n = rotational speed, in rpm,

P = power output of turbine, and
H = hydraulic head on turbine.

* Specific speed is a fundamental concept used in correlating turbine characteristics. It now appears in
many different forms, though current efforts are directed toward a unified system of units (dimensionless
form). In Chapter 2, "Hydraulic Turbines and Related Topics" (Conventional, Division II, Pan C), the
various formulations and conversion factors are addressed.

M-3
 MEASUREMENT CONVERSIONS — Continued

VELOQTY

Unit ft/d km/h ft/s mi/h m/s

1 Foot per day (ft/d) 1 1.27x10-5 1.157x10-5 7.891x10-6 3.528x10-6

1 Kilometer per hour (km/h) 78.740 1 0.9113 0.6214 0.2778
1 Foot per second (ft/s) 86.400 1.097 1 0.6818 0.3048
1 Mile per hour (mi/h) 126.700 1.609 1.467 1 0.447
1 Meter per second (m/s) 283,500 3.600 3.281 2.237 1

VOLUME

Unit L gal ft3 m3 acre-ft

1 Liter (L) 1 0.264 0.035 0.001 8.11x10-7

1 U.S. gallon (gal) 3.785 1 0.134 0.00379 3.07x10-6
1 Cubic foot (ft3) 28.317 7.48 1 0.02832 2.30x10-5
1 Cubic meter (m3) 1000 264 35.315 1 8.11x10-4
1 Acre-ft (acre-ft) 1,233,500 325,851 43,560 1,233.48 1

1 U.S. gallon = 231 in3 = 0.83 Imperial gallons,

1 L = 1,000 cm3 = 1.05 quarts = 1,000 grams of water.
1 Barre! = 42 U.S. gallons.
1 ft3 of water = 62.4 lb.

SI PREMIES AND SYMBOLS

Multiplication factor Prefix Symbol

1,000,000,000,000,000,000 = 1018 exa E

1„000,000,000,000,000 = 1015 peta P
1,000,000,000,000 = 1012 tera T
1,000,000,000 = 109 giga O
1,000,000 = 106 mega M
1,000 = 103 kilo k
100 = 102 hecto h
10 = 101 deka da
0.1 = 10-1 deci d
0.01 = 10-2 centi c
0.001 = 10-3 mili m
0.000,001 = 10-6 micro P.
0.000,000,001 = 10-9 nano n
0.000,000,000,001 = 10-12 pico p
0.000,000,000,000,001 = 10-15 femto f
0.000,000,000000,000,001 = 10-18 atto a

M-4
 ABBREVIATIONS AND SYMBOLS

ac Altemating current (adj. & noun) H Head

A Ampere Hz Hertz
Ah Ampere hour hp Horsepower
et al. And others h Hour
app. Appendix Hydro Hydroelectric power
avg. Average pH Hydrogen-ion concentration
AVR Automatic voltage regulator
in Inch
bbl Barrel IDF Inflow design flood
B/C Benefit-cost ratio i.d. Inside diameter
BEP Best efficiency point
J Joule
cal Calorie
Ca Cauchy number kV Kilovolt
cm Centimeter kVA Kilovolt-ampere
ch. Chapter kW Kilowatt
ft3/min Cubic foot per minute (also cfm) kWh Kilowatt-hour
ft3/s Cubic foot per second (also cfs)
CH Conventional hydro L Liter

°C Degree Celsius max. Maximum

°F Degree Fahrenheit M.H.W.L. Maximum high water level
de Direct current (adj. & noun) M.W.S. Maximum water surface
D.O. Dissolved oxygen MW Megawatt
DOB Dynamic operating benefit MWh Megawatt-hour
dyn Dyne m Meter
Mgal/d Million gallons per day
ed. Edition mi Mile
EL Elevation (SI) mi/h Mile per hour (aLso mph)
El. Elevation (in-lb) min. Minimum
E, Euler number min Minute (time)

F.S. Factor of safety NPSH Net positive suction head

fig. Figure N Newton
Q Flow No. Number
ft Foot # Number (for reinforcing bar sizes)
ft-lb Foot-pound
e.g. For example U Ohm
Fr Fraude number O&M Operation and maintenance
oz Ounce (avoirdupois)
gal Gallon o.d. Outside diameter
g Gram
g Gravitational constant p. Page
pp. Pages

AS--1
PPm Parts per million ASCE American Society of Civil Engineers
Percent ASTM American Society for Testing and
PVC Polyvinal chloride Materials
lb Pound ASME American Society of Mecbanical
lbf Pound-force Engineers
P Power AWWA American Water Works Association
PH Powerhouse ANL Argonne National Laboratories
PRV Pressure reducing value BPA Bonneville Power Authority
PMF Probable maximum flood BLM Bureau of Land Management
PMP Probable maximum precipitation BOM Bureau of Mines
PS Pumped storage USBR Bureau of Reclamation (Water and
PSP Pumped storage plant Power Resources Service)
PSPH Pumped storage powerhouse DOE Department of Energy
USDI Department of the Interior
Re Reynolds number EEI Edison Electric Institute
rpm Revolution per minute (also rev/min) EPA Environmental Protection Agency
rps Revolution per second (also rev/s) EPRI Electric Power Research Institute
FERC Federal Energy Regulatory
s Second (time) Commission
SSR Sequential streamflow routing HEC Hydrologic Engineering Center
sp. gr. Specific gravity ICOLD International Congress on Large Dams
N, Specific speed (turbine) TRFE Institute of Electrical and Electronic
System efficiency Engineers
NEPA National Environmental Policy Act
i.e. That is NWS National Weather Service
kip Thousand pounds NERC North American Electric Reliability
T.B.M. Turning bench mark CounciI
NRC Nuclear Regulatory Commission
UGPH Underground powerhouse PVC Public Utility Commission (state)
PURPA Public Utility Regulatory Polioles Act
vs. Versus REA Rural Electrification Association
vert. Vertical SCS Soil Conservation Service
Volt TVA Tennessee Valley Authority
VA Volt ampere COE U.S. A rmy Corps of Engineers
USCOLD U.S. Congress on Large Dams
Watt FWS U.S. Fish and Wildlife Service
We Weber number
wt Weight

a Year (SI)
yr Year (in/lb)

AS-2
 CONVENTIONAL HYDRO GUIDELINES
VOLUME 2. WATERWAYS
CONTENTS

DIVISION II. DESIGN

PART B. WATERWAYS

Chapter 1. Intakes
A. General
B. Intake losses
C. Smaller penstock entrantes based on value engineering studies
D. Intake shapes for low-head turbines
E. Intake submergence problems
F. Environmental concems
G. Intake maintenance problems
H. References
Chapter 2. Power Canals and Tailraces
A. Purpose
B. Design considerations
Chapter 3. Tunnels and Shafts
A. Design considerations for locating and lining pressure tunnels and shafts
B. Stabilization of tunnel and shaft excavations
C. Concrete tunnel and shaft liners
D. Steel tunnel and shaft liners
E. References
Chapter 4. Penstocks
A. General
B. Types of penstocks
C. Alignment
D. Design criteria
E. Material requirements
E Welding requirements
G. Allowable stresses
H. Economic diameter formula
I. Joint couplings
J. Wye branches
K. Minimum thickness
L. Stiffened/nonstiffened penstocks
M. Bends, reducers, and expansions
N. Support types
O. Anchor blocks
P. Stress analysis
Q. Hillside stability

ASCE/EPRI Guides 1989

 DIVISION II. DESIGN — Continued

R. Vibrations
S. Corrosion
T. Protective coatings
U. Standpipes and air valves
V. Penstock access
W.Penstock shutoff system
X. Specifications for fabrication, inspection, and testing
Y. Construction specifications
Z. Special features for penstocks
Chapter 5. Steady Flow in Closed Conduits
A. Background
13. Hydraulic computations
C. Friction losses
D. Form losses
E. Velocity effects
F. References
Chapter 6. Transients and Surge Tanks
Chapter 7. Hydraulic Models
A. Why model studies are performed
B. Hydraulic versus mathematical modeling
C. Hybrid models
D. When a model is needed
E. Favorable benefits of modeling
E Where hydraulic modeling is done
G. Cost of hydraulic modeling
H. Types of structures typically modeled
I. How studies are performed
J. Similitude relationships
K. Model limitations
L. Modeis of hydraulic machinery
M. References
Chapter 8. Gates and Valves
A. Types of intake gates
B. Spillway gates
C. Conditions dictating the type of gate
D. Gate categories and design data
E. Multiple outlets versus single outlets
E Throttling and guard gates and valves
G. References
 CHAPTER 1. INTAKES
CONTENTS
Section Page

A. General 1-1
1. Introduction 1-1
2. Intake types 1-1
3. Possible problems 1-2
B. Intake losses 1-5
C. Smaller penstock entrances based on value engineering studies 1-5
D. Intake shapes for low-head turbines 1-6
E. Intake submergence problems 1-6
F. Environmental concems 1-12
1.Reservoir stratification 1-12
2. Fish passage through turbines 1-12
G. Intake maintenance problems 1-12
1.Trashrack maintenance 1-12
2. Sediment accumulation and passage 1-12
3. Ice buildup on trashracks and other intake structures 1-13
H. References 1-13

FIGURES
Figure

1-1 Intake at gravity dam — Shasta Dam, Sacramento River, California 1-2
1-2 Arch dam intake — Mossyrock Dam, Cowlitz River, Washington 1-3
1-3 Free standing intake — Chief Joseph Dam, Columbia River, Washington 1-4
1-4 Intake at tunnel portal — Angat Power Station, Angat River, Phillipines 1-4
1-5 Typical high-head penstock entrance design 1-7
1-6 Comparison of a shortened intake (No. 4) with a typical intake for a bulb turbine installation 1-8
1-7 Free-surface vortex at Nimbus Dam 1-9
1-8 Closeup of free—surface vortex at Nimbus Dam 1-9
1-9 Raft system used to break up vortex at Nimbus Dam 1-10
1-10 Definition sketch for submergence parameters 1-10
1-11 Vortex strength scale for intake study 1-11

CRED1TS

The "Intakes" chapter was written by:

Clifford A. Pugh, P.E.

Head, Hydraulic Equipment Section
Bureau of Reclamation
Division of Research
Denver, Colorado 80225

ASCE/EPRI Guides 1989

 CHAPTER 1. INTAKES
A. GENERAL

1. Introduction

Intakes for power generation serve to provide hydraulically efficient water inlets to the Introduction
water passages leading to the powerhouse. The passages may consist of concluías embedded
in dams, excavated as tunnels, constructed as free-standing penstocks, or as short concrete
passages between intakes constructed integrally with the powerhouses.

Except for integral powerhouse intakes, which are discussed in Volume 3, Chapter 1,
"Powerhouses — Surface and Underground," the hydraulic requirements for the inlet
geometry of the intakes is basically the same for all types of conduits connecting to the
intakes. Consequently, the hydraulic requirements for an intake built integrally with a dam
is the same as for an intake constructed separate from the dam; i.e., a free-standing intake
tower or intake structure built against a rock face in extension of the power tunnel portal.

2. Intake Types Intake types

The following intake types have been used in connection with hydropower developments:

a. Intakes integral with powerhouses (see Small—Scale Hydro Guidelines, Volume 4)

b. Intakes incorporated in concrete dams — gravity or arch dams (figs. 1-3 and 1-4)
c. Separate intake towers for project developments with either concrete or embankment
dams; the Hoover Dam intakes are an example
d. Separate intake structures built at the power conduit portals (figs. 1-3 and 1-4)

Type a and b intakes are dictated by the project concept. Low-level, run-of-river develop-
ments dictate the need for an intake built integrally with the powerhouse. In this case, the
intake also functions as the dam (in narrow valleys) or as a part of the dam for develop-
ments built on streams that are wider than the powerhouse is long. Integral intake power-
houses are shown in chapter 1 of volume 3.

The type b intake is one of the most economical because it does not require a special struc- Intakes in
ture except, perhaps, for the inlet portion, which is built integrally with the dam (mostly concrete dams
arch dams). However, for high dams, the necessary provisions for developing a hydrauli-
cally acceptable inlet and for the gate and trashrack guides can become quite costly. In the
case of gravity dams, the gate slots are incorporated within the dam.

Type c intakes are used when the powerhouse is separate from the dam and located along
the river bank and when the type d intake is not feasible. This type of intake can present
structural design problems in earthquake-affected zones. In addition, this type of intake
may dictate greater power conduit lengths than other types.

1-1 ASCE/EPRI Guides 1989

 Gafe has,
structure; : Roodwoy
----- -(1107750
Control '•Hoist gallery
cárter- 25 0 50 100 150

SCALE PF FEVz

---:Inspechon
Main unil golleries
Iroshrock-
28' pipe--- :Penstock

-Origino! ground surloce

Figure 1-1. — Intake at gravity dam — Shasta Dam, Sacramento River, California.
Courtesy USBR.

Intakes at In most cases, the type d intake is preferable to the type c intake for the following reasons:
tunnel portal
• The power conduits are shorter.
• Fewer problems in structural design because the structure may, for a substantial part of
its height, be constructed against rock and, thus, gain lateral support.

Such intakes can also be incorporated in embankment claras. However, in that case, they
may require relatively long and deep approach channeis, including relatively high retaining
walls to retain the adjoining fin.

3. Possible Problems

Intake Serious problems can occur if an intake structure is not properly designed and operated.
problems For example, entrained air can cause turbine vibration and power surges; the penstock can
be damaged if the intake gate is opened fully on an empty conduit; and the accumulation of
debris can cause structural failure by creating a differential load across the structure.

This chapter addresses factors that should be considered in the design of intakes. Design
criteria, examples, approaches, and applicable references are included.

ASCE/EPRI Guides 1989 1-2

 Pio o( ole
17"

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doN

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(lowimv." porwer pool !1 770.0)

RaiSerepor
mooh-rom foceoffrofe Mol

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Poslawir d lgo~ fe.-

4,14*1 see 8-8.,AfIl2152

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Figure 1-2. — Arch Dam intake, Mossyrnek Dam, Cowlitz River, Washington.
Courtesy Harza Engineering Co.

1-3 ASCE/EPRI Cuides 1989

 3

Figure 1-3. — Free-standing intake — Chief Joseph Dam, Columbia River, Washington.

r E 222(0
me+ llood purchwipc • el 2:909.
Mem . 21100

\ Aiawrncd&zndrnaO• ai
Ecistwg pound

E 200 07' - `

hbrrnal detwodavn Dec,4 r4

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are~
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lanw garel Tu-r.nei concrere
I.,45rn<rre
ct•-rre fe LONGITUDINAL SECT-ION
ecake 0 17 PO 30 40 SO hOeferer cOrie

"Ith

Figure 1-4. —Intake at tunnel portal — Angat Power Station, Angat River,
Phillipines. Courtesy Harza/EDCOP.

ASCE/EPRI Cuides 1989 1-4

 B. INTAKE LOSSES

An intake must be designed to minimize the hydraulic entrance loss caused by acceleration Minimizing
of the water and eddy losses at the trashracks and gate guide recesses. This is achieved by intake losses
limiting the trashrack velocity based on the net area (excluding trashrack bars) to between
2.5 ftis (on small intakes with closely spaced bars) and 5.0 ft/s (on larger intakes with wide
bar spacing). The distribution of boundary pressure varíes with both the ge,ometry of the
intake and the Reynolds number in such a complex manner that experimental measurement
represents the only accurate means of analysis [Rouse, 1948]. Additional information on
intake losses can be found in Chapter 5, "Steady Flow in Closed Conduits."

It is important to maintain optimum hydraulic performance while minimizing the size,

complexity, and cost of the structure (including associated gates, bulkheads, accessory
equipment, and trashracks).

C. SMALLER PENSTOCK ENTRANCES BASED ON

VALUE ENGINEERING STUDIES

In 1967, a value engineering team from the Bureau of Reclamation (USBR) concluded that Value
low-velocity penstock entrances could be smaller than convencional bellmouth designs engineering
(based on high-velocity conduit entrance design) without sacrificing the basic functions studies
[USBR, 1966]. Subsequent model tests for the Grand Coulee Third Powerplant [Rhone,
1974] verified the team's conclusions and provided information for economical design of
other low-velocity conduit or penstock entrances. The Grand Coulee studies were for a
dam with a vertical face and horizontal penstocks. Further design criteria were developed
for a dam with a sloping face and inclined penstock in the Aubum Dam penstock entrance
studies [Pugh, 1982].

The following penstock entrance design criteria were developed from the Grand Coulee Intake design
Dam and Aubum Dam model studies: criteria

1. Ratio of intake area to penstock arca = 1:1

2. Aspect ratio at rectangular intake = 1.5V:1.0H
3. Curves at the top and bottom of the intake consisting of compound radii
4. A transition from a rectangular intake to a circular penstock in about 1 penstock
diameter

Figure 1-5 shows a penstock for Aubum Dam designed according to the aboye criteria.
Dimensions on this figure are given in terms of the penstock diameter, therefore, they can
be applied to other similar penstock entrances. Model studies indicated that entrances
designed according to these criteria actually have lower intake losses than larger more
expensive penstock entrance designs.

Intake and transition losses for a horizontal intake were about 0.08 penstock velocity Intake loss
heads. For an inclined penstock the intake loss coefficient was 0.10. An average entrance coefficients
loss coefficient (4) of 0.15 can be used for design purposes if specific model tests are not
performed. The trashrack adds an additional 0.05 to the intake loss coefficient. The intake
loss coefficient including the intake and transition is defined as:

1-5 ASCE/EPRI Guides 1989

 Hd
KL— v 2)
1, 28)
where:

Hd = head loss, and

V = average penstock velocity.

D. INTAKE SHAPES FOR LOW-HEAD TURBINES

Intake For low-head hydropower, the intake shape is dependent on the turbine type. For bulb and
shapes — rim generator turbines, the velocity head in the intake is low (about 1 percent of the total
low-head head). A short, simplified intake having a top radius equal to the runner diameter and side
radii equal to 0.20 percent of the runner diameter yields low intake losses and provides an
even flow distribution to the runner [Pugh, 1983]. Such a shortened intake can reduce struc-
tural costs by up to 10 percent (fig. 1-6). Shortened intake also reduces the risk of vortex
problems and trashrack vibrations because the flow is more evenly distributed across the
intake.

Loss The intake loss coefficient for a bulb or rim generator turbine (4) is about 0.20. However,
coefflcíent Chis is a very small loss because the velocity head at the end of the intake curves is only
about 1 percent of the total head.

An uneven flow distribution at the trashrack in front of the intake can cause trashrack vibra-
tion problems. The shortened intake (No. 4) shown on figure 1-6 has even flow distribution
from top to bottom. The intake with the longer top curve (No. 1) tends to concentrate the
flow along the top of the intake.

E. INTAKE SUBMERGENCE PROBLEMS

Submergence Air-entraining vortices decrease turbine efficiency, pull floating debris into the turbine (or
problems onto the trashrack), and cause rough turbine operation.

Figures 1-7, 1-8, and 1-9 show a free-surface vortex at Nimbus Dam Power Plant. The
angle of the approach flow as well as inadequate submergence contributed to development
of this vortex.

Predictin g Vortex formation and strength depend on many factors, such as approach flow geometry,
vortex intake flow pattem, velocity, intake size and geometry, and submergence. Accurate vortex
formation prediction methods cannot be developed because site-specific influences are substantial. A
hydraulic model study should be conducted if submergence is not adequate or if the
approach flow angle is severe. Empirical relationships are available to predict tendencies
for vortex problems [Gordon, 1970; Blaisdell, 1983].

= CF (1-2)

ASCE/EPRI Cuides 1989 1-6

 S=0.159
Detall X Ir Air vent

S-0.159

Trashrack
AP'•
c9,0
lntake
structure —Axis of dam
r Reference
Trashrack plane
Detall Y
Reference
plane ,4ir vent
R=.140 1 Penstock
Trashrack Penstock ~.4D
fitting line
Diameter of
penstock=D
Gate house not shown)
SECTION 8-8
Roller-mounted gate
End of dam concrete
-cr of penstock

( PI Compound reducing bend

PROFILE

R=.133
P.
PC &PC-
Reference 111 41
.11111
k-- I Begin stee I
plane penstock R=.140
Reference
I 111110 111111 plane R=1.9D
8
. Penstock

PC. ..111911.,„ DETAIL X

P.T. pC 7:
Detall Z Concrete transition from
R=.1330
rectangular to circular
sec-tion
SECTION A-A

Reference
R=.133D plane--1

Guides

DETAIL Z DETAIL Y
Figure 1-5. — Typical high-head penstock entrance design. Auburn Dam model study.

1-7 ASCEJEPR1 Guides 1989

 1NTAKE I

1NTAKE 4

1 l_i11-1 - _ 111_1 I _111=1 1 1-

11FH1-111E11H11=1 111 m m I-111111-111-111-In11=111=1-
1-11E-1-111E111-111=111111E1 I H NE111E11E11H-11111iEf 1 1111111=111=111=111=111111=111=ffi=
7-111-E111E-111111=1-111_111E1 1z1 I 1E111E111=111=11111111111111115 11111-E111-Z1 I 1E1 I I-111- II
„.111=111=1-111=111-11Hif=111-11111-111=111=11171117.11111-.11 111111111=-1111=
Figure 1-6. — Comparison of a shortened intake (No. 4) with a typical intake (No. 1)
for a bulb turbine installation.

where:

S = submergence required to prevent vortex formation,

d = penstock diameter,
V = average intake velocity, and
F = Froude number.

Required C' is an empirical coefficient that was found to be approxirnately 1.70 for symmetrical
submergence approach flow and 2.20 for lateral approach flow. Other guidelines [Gulliver, 1986] indi-
cate that vortices may cause problems for Froude numbers greater than 0.5 or if Sld is less
than 0.6. Figure 1-10 is a definition sketch for intake submergence parameters.

Anti-vortex If available submergence is inadequate or questionable, antivortex devices can be used

devices Some antivortex devices currently in use include rafts and fixed lattice walls [Johnson,
1972]. For low-head, run-of-river power plants, injector shafts are sometimes used to pro-
mote movement of floating debris to the trashrack and to prevent vortex formation by
increasing surface currents [Bisay et al., 1979]. Appropriate antivortex devices are site spe-
cific and could require a model study. Figure 1-9 shows a raft system used at Nimbus Dam
to break up a vortex.

Vortex Denny and Young [1957] proposed a vortex strength scale to standardize vortex observa-
strength scale tions in model studies. Durgin and Hecker [1978] laten modified these classifications, as
shown on figure 1-11. This scale is recommended to classify vortices during model stud-
ies. The vortex strength may be affected by model scale effects as well as the geometric
and flow parameters mentioned aboye.

ASCE/EPRI Guides 1989 1-8

 Figure 1-7. — Free-surface vortex at Nimbus Dam.

Figure 1-8. — Closeup of free-surface vortex at Nimbus Dam.

1-9 ASCE/EPRI Guides 1989

 Figure 1-9. — Raft system used to break up vortex at Nímbus Dam.

GENERAL CON, I GURAT ION OF AN INTAKE

Figure 1-10. — Definition sketch for submergence parameters.

ASCE/EPRI Guides 1989 1-10

VORTEX
TYPE

1
s? INCOHERENT SURFACE SWIRL

2 SURFACE DIMPLE;
COHERENT SWIRL AT SURFACE
—7----47

3 DYE CORE TO INTAKE;

COHERENT SWIRL THROUGHOUT
WATER COLUMN

4 VORTEX PULLING FLOATING

TRASH, BUT NOT AIR

5 VORTEX PULLING AIR

BUBBLES TO INTAKE

0 AIR BURGLES

6 FULL AIR CORE

TO INTAKE

Figure 1-11. — Vortex strength scale for intake study.

ASCE/EPRI Guides 1989

 F. ENVIRONMENTAL CONCERNS

1. Reservoir Stratification

Reservoir Withdrawal of water from thermally stratified reservoirs influences the reservoir and the
stratification downstream water quality. Reservoir stratification is a complex subject. Positioning of
multiple-level intakes can be studied using a mathematical model such as CE—QUAL—R1
[COE, 1982] or WQRRS [HEC, 1973; COE, 1986]. These models are complex and require
experience. Field data should be obtained to verify the results. The proceedings of a work-
shop on design and operation of selective withdrawal intake structures [COE, 1986] is a
good reference. Figure 1-5 shows an intake structure having multiple-level intakes.

Fish passage 2. Passage of Fish

Passage of fish through turbines may result in substantial mortalities. Initially, a field sur-
vey of the fishery should be done to identify types, numbers, and development stage of
species. Note that new impoundments may modify the fishery. Few general publications
are available [Bell, 1973]; however, publications on specific species may be found. Field
data help guide the design and may, for example, show the times and places where fish are
not prevent and, thus, where screening would not be required. Coordination should be
maintained with the fishery agencies involved because their design criteria and fish control
methods are site-specific. Critical factors include power plant type (diversion to power
canal, run-of-river, deep reservoir, pump storage), species and development stage, water
quality, debris load, winter operation, and sedimentation. Shallow intakes have numerous
fish control altematives (drum screens, passive screens, louvers, traveling screens, pressure
screens, and behavioral controls). Deep intakes have fewer fish control options (traveling
screens, pressure screens, and behavioral controls). Several publications are available to
aid in the design of fish control and diversion structures: [CEA, 1984; ASCE, 1986; Stone
and Webster, 1986].

G. INTAKE MAINTENANCE PROBLEMS

I. Trashrack Maintenance

Trashrack Trashracks in deep reservoirs are genera.11y trouble-free because trash only accumulates
maintenance during initial filling. Altemately submerged and dry trashracks require more maintenance.
For shallow installations where the trashrack can be raked, the structure should be designed
for about 5 feet of differential head. Submerged trashracks should be designed for 20 feet
of differential head [Johnson, 1985].

2. Sediment Accumulation and Passage

Sediment Sediment may accumulate in the reservoir and block the flow path to the intake or pass
through the turbine causing abrasion damage. Intakes should be positioned high enough to
prevent sediment intake for more than 100 years in deep reservoirs, according to results of
reservoir sedimentation analysis [Strand, 1982]. Sediment related problems are common at
power diversion structures and run-of-river sites. Hydraulic model studies are useful in
evaluating site-specific solutions. Natural stream curvature may be used to control bedload

ASCE/EPRI Guides 1989 1-12

in shallow rivers [Ferrese, 1975]. Sediment exclusion structures such as undersluice tun-
nels and vortex tubes generally require wasting water. Settling basins are another option
[Pemberton, 1971]; however, they usually require a substantial amount of space and peri-
odic dredging. Allowing sediment to pass through the turbine and incurring additional
costs in the turbine maintenance is sometimes Iess expensive than settling basin construc-
tion and maintenance.

3. Ice Buildup on Trashracks and other Intake Structures

In cold regions ice buildup presents difficulties. The problems include blocking trash- Ice
racks, additional headloss in the approach channel, elevated tailwater in the exit channel buildup
and thrust on the structure or gates [DeGuise, 1960]. Ice buildup on trashrack bars general-
ly occurs when the trashrack is exposed to the atmosphere. This can be avoided by sub-
merging the trashrack. However, if frazil ice is present in nm-of-the-river plants, ice will
still accumulate on the trashrack. An ice cover can be created to reduce frazil ice produc-
tion by reducing flow velocities upstream from the intake and using ice booms to contain
the ice cover [DeGuise, 1960].

H. REFERENCES

ASCE, Design of Water Intake Structures for Fish Protection, 1986.

Bell, M.C., Fisheries Handbook of Engineering Requirements and Biological Criterio,
U.S. Army Corps of Engineers, North Pacific Division, February, 1973.
Bisay, E., Taubmann, K.C., and Fischer, P., "Improvement in Transport of Floating
Debris," Water Power and Dam Construction, pp. 41-45, November, 1979.
Blaisdell, F.W., "Discussion of Intakes and Outlets for Low-Head Hydropower," Journal
of the Hydraulics Division of the American Society of Civil Engineers, pp. 1,406-1,408,
November 1983.
Durgin, W.W., and Hecker, G.W., "The Modeling of Vortices at Intake Structures," Joint
Symposium IAHR, ASME, Fort Collins, Colorado, 1978.
CEA, "Fish Diversionary Techniques for Hydroelectric Turbine Intakes," Research Report
149—G-339, January, 1984.
COE (U.S. Army Corps of Engineers), Environmental Laboratory, CE—QUAL—R1: A
Numerical One-Dimensional Model of Reservoir Water Quality, Corps of Engineers
Instruction Report No. E-82-1, April 1982.
COE, Proceedings, C.E. Workshop on Design and Operation of Selective Withdrawal
Intake Structures, Corps of Engineers Misc. Paper HL-86, Vicksburg, Mississippi, May
1986.
DeGuise, Y., "Formation of Ice and its Effects on Production of Hydroelectric Plants," pre-
sented at Canadian Electric Association Eastem Zone Meeting, Quebec, January 1960.
Denny, D.F., and Young, G.A.J., "The Prevention of Vortices and Swirl at Intakes,"
Transactions, IAHR, Lisbon, Portugal, 1957.
Ferrese, R., and Pemberton, E.L., "Design Considerations to Control Diversion of

1-13 ASCE/EPRI Guides 1989

Sediment at Intake Structures of Main Canas," presented at the Ninth Congress of Irrigation and Drainage,
Moscow, U.S.S.R., 1975.
Gordon, J.L., "Vortices at Intakes," Water Power, pp. 137-138, London, England, April 1970.
Gulliver J., Rindels A.J., and Lindbloom K.C., "Designing Intakes to Avoid Free-Surface Vortices," Int. Water
Power and Dam Construction, September 1986.
ITEC (Hydrologic Engineering Center), "Water Quality for River-Reservoir Systems (WQRRS)," U. S. Army
Corps of Engineers, October 1973, revised October 1982.
Johnson, P.L., Hydraulic Model Study of the Forebay Reservoir lnlet-Outlet Structure for Mt. Elbert Pumped-
Storage Power Plant, Bureau of Reclamation Report No. REC—ERC-72-5, January 1972.
Johnson, P.L., "Hydro Power Intake Design — Criteria and Experience," ASCE Hydraulics Division Specialty
Conference, Lake Buena Vista, Florida, pp. 949-955, Augnst, 1985.
Pemberton, E.L., and Lara, J. M., A Procedure to Determine Sediment Deposition in a Stilling Basin, Bureau of
Reclamation, August 1971.
Pugh, C.A., Penstock Entrance Research Auburn Dam Entrance, Bureau of Reclamation Report No.
GR-82-8, Denver, August 1982.
Pugh, C.A., Hydraulic Model Studies of Bulb Turbine Intakes, Bureau of Reclamation Report No.
REC—ERC-82-14, Denver, March 1983.
Rhone, T. J., Hydraulic Model Studies for the Penstock for Grand Coulee Third Power Plant, Bureau of
Reclamation Report No. REC—ERC-74-12, Denver, August 1974.
Rouse, H., Elementary Mechanics of Fluids, John Wiley and Sons, New York, 1948.
Stone and Webster Engineering Corp., Assessment of Dcwnstream Migrant Fish Protection Technologies for
Hydroelectric Application, EPRI Report No. AP4711, August 1986.
Strand, R.I. and Pemberton, El., Reservoir Sedimentation, Bureau of Reclamation Technical Guideline,
October 1982.
USBR, "Value Engineering Study — Penstock Entrances," Value Engineering Team No. 1, Phase 1 Report,
Bureau of Reclamation, Denver, 1966.

ASCE/EPRI Guides 1989 1-14

 CHAPTER 2. POWER CANALS AND TAILRACES
CONTENTS

Section Page

A. Purpose 2-1
1.Power canals 2-1
2. Tailraces 2-1
B. Design considerations 2-1
1.Design objectives and procedures 2-1
2. Basic criteria 2-2
3. Alignment 2-2
4. Basic geometry 2-3
5. Design of transitions 2-3
6. Calculation of head losses 2-3
7. Economic analysis 2-4
8. Ice 2-5
9. Linings 2-5
a. Purpose 2-5
b. Types 2-7

FIGURES

Figure

2-1 General layout of diversion canal type plant 2-2

2-2 Typical transitions for subcritical flow. 2-6
2-3 Economic site of power station as determined by costs of power canal 2-6

CREDITS

The "Power Canals and Tailraces" chapter was written by:

Bruce Ainsworth, P.E.

Black and Veatch
P.O. Box 8405
1500 Meadow Lake Parkway
Kansas City, Missouri 64114

ASCE/EPRI Guides 1989

 CHAPTER 2. POWER CANALS AND TAILRACES
A. PURPOSE

1. Power Canals

A power canal serves Lo convey water from the reservoir to the turbine intake. In some Power canal
instances, the canal will convey water to a forebay which immediately precedes the turbine
intake. There may be a headworks located at the reservoir to control the flow into the
power canal or to provide for dewatering of the power canal to facilitate repairs. The use of Use
power canals was common during the early days of hydropower development in the United
States. Their most common usage then, as today, is at a river with a steep gradient or natu-
ral falls. The water flowing in the power canal bypasses the steep reach or falls and is con-
veyed to a turbine intake downstream to make full utilization of the available head.

Power canals have proven to be an economical means to alter the gradient of the river to
benefit hydropower production. Although penstocks or humels could be used to produce
the same results, power canals are more economical with favorable topographic conditions.
A major technical disadvantage is that they often require considerable maintenance to con-
trol vegetation and sediment deposition. Their cost may also be excessive if they require a
substantial number of bridges or flumes to provide for road, railroad, or stream crossings.
Project expansion is also limited unless the power canal is initially oversized. Use of power
canals results in portions of the natural river that are completely or partially dewatered cre-
ating opposition for both esthetic and environmental reasons.

2. Tailraces Tailrace

The tailrace conveys water from the draft tube of the powerhouse to the downstream chan-
nel. As with the power canal the tailrace enables maximum head utilization at a site. Often
the power canal and tailrace are used together to develop the full head as shown on figure
2-1. The basic design principies presented in this section apply to both power canals and
tailraces, and each will be generally referred to as canals.

B. DESIGN CONSIDERATIONS

1. Design Objectives and Procederes General

As with any design problem, the objective of the design of a canal is to determine the size
and configuration that meets the criteria for the least cost. This generally involves an itera-
tive approach. As discussed subsequently, certain of the criteria will be basic or general in
nature while other criteria will be project specific. The cost determination usually is not
limited to construction costs alone but often includes an economic analysis of costs and
benefits. The basic steps in design or analysis of a canal are:

• Establish criteria
• Align layout
• Establish basic geometry

2-1 ASCE/EPRI Guides 1989

 Figure 2-1. — General layout of diversion canal type plant. 1. Weir, 2. intake, 3.
power canal, 4. forebay, 5. power station, 6. tailrace.

• Design transitions
• Calculate head losses
• Perform economic analysis

Basic 2. Basic Criteria

criteria
• Velocity (V): 3 to 6 ft/s for unlined canals

• Freeboard (F): 0.1 depth (0.9 + 0.1V2/2g) but not Iess than 1 foot

• Alignment: For curves the ratio of the radius of the curve (ra) to width of channel (b)
should be 3 or greater

• Transition angles: tan 0 = 1/3F

• Design flow: project specific

• Design headloss: project specific

Alignment 3. Alignment

Basic To the maximum extent possible the alignment of the canal should be straight. Changes in
geometry direction should follow the basic criteria outlined previously. The alignment must be coor-
dinated with other project features including the headworks, turbine intake, draft sube,
mads, and transmission systems_ Existing facilities or natural features may also impact the
alignment.

ASCE/EPRI Guides 1989 2-2

4. Basic Geometry

The most efficient hydraulic section is one with the greatest hydraulic radius, which is
equal to the atea divided by the wetted perimeter. A semicircle is thus the most efficient.
Since canals are excavated, a semicircular construction is usually impractical, and a trape-
zoidal section is employed as it approximates the shape of the semicircle. The most effi-
cient proportions of a trapezoidal section is given by the formula.

b=tan4)/2 (2-1)

where:

b = bottom width,
D = depth of flow, and
= angle of side slope with the horizontal.

Given the design flow and the velocity criteria, the geometry of the canal can be estimated.
Estimates of construction costs can then be made and the geometry modified as appropri ate
to minimize costs. The volume of excavation, stability of the banks, and freeboard criteria
all influence the economic selection of the basic geometry. Normally for case of construc-
tion, the basic geometry should be constant for the entire length of the canal. However,
specific site conditions may require modifications to the basic geometry to develop an eco-
nomical design.

5. Design of Transitions

Transitions are required to alter the basic canal geometry to accommodate bridges, fumes, Design of
headworks, or the turbine intake and draft tube. Sidewall angles for transitions should fol- transitions
low the basic criteria outlined previously. It is important to check if the transition requires a
change in state of flow, from subcritical to supercritical or vice versa. Special design con-
siderations are required at such a change. In general, transitions should be as smooth and
gradual as possible to minimize turbulence and hydraulic losses. Rounded corners are
preferable to sharp edges.

6. Calculation of Head Losses Calculation

of head losses
The calculation of head losses in a canal is based upon the following general equation.

HL . hf + (2-2)

where:

HL = the total head loss, energy loss,

hf = the loss due to frictional resistance, and
ht = the loss due to transitions or changes in direction.

2-3 ASCE/EPRI Guides 1989

Friction Friction loss, hf, is generally calculated by Manning's equation.
losses
R 2/3S 1/2
1. 49
y— n

where:

V = velocity,
R = hydraulic radius,
S = slope of the energy gradient, and
n = Manning's roughness coefficient.

The slope, S, is equal to the friction loss, hf, divided by the length of the channel, L. Thus,
the form of the equation can be revised as follows.

2v 2 L
hf = n 4/3 (2-4)
2.2 R
Estimates of appropriate n values may be obtained from Chow.

Transition losses, hr, are calculated by the following equation.

CV 2 (2-5)
h i = 2g2

Transitions include expansions, contractions, and piers or obstructions. Average safe design
values for various types of transition are presented below.

Transition C (contraction) C (expansion)

Warped 0.10 0.20

Cylinder-quadrant 0.15 0.25
Simplified straightline 0.30 0.50
Square-ended 0.30 0.75

Examples of these transitions are presented on figure 2-2.

Economic 7. Economic Analysis

analysis
Economic design of power canaLs must consider the following cost factors:

• Construction cost
• Maintenance cost
• Value of power and energy due to hydraulic losses

ASCE/EPRI Guides 1989 2-4

Economic analysis may be performed on a present worth or annual cost basis. The design
objective is thus to obtain the configuration which minimizes the total cost. Severa! trial
designs are analyzed and a curve developed to select the economical design. A sample
curve of this type of analysis, including the optimum location of the powerhouse, is shown
on figure 2-3.

8. Ice Ice

In cold climates, the formation of ice in the canal could interfere with the hydro plant oper-
ations. Ice can develop in the form of sheet ice or anchor and frazil ice. Frazil or anchor ice
are formed within the flowing water and when placed in contact with trashracks can cona-
pletely clog a turbine intake. The most effective means to control anchor or frazil ice in a
canal is to allow an ice sheet to form. This sheet insulates the water below and prevents the
supercooling which forms the ice crystals necessary to forro frazil or anchor ice. Typically,
average velocities of less than 1.5 ft/s are required to allow the ice sheet to form. The ice
sheet will increase the wetted perimeter, thus reducing the hydraulic radius by approxi-
mately 50 percent. The discharge through the canal is thus reduced by about 30 percent.

9. Linings Purpose of
linings
a. Purpose. Canals are lined for one or more of the following reasons:

I. Reduction of the roughness coefficient. The slope necessary for the conveyance of a
given discharge at a given cross-section is flatter, or else the discharge conveyed at a
given slope is greater in a lined canal than in a similar earth canal.

2. Increase of the permissible velocity. In order to reduce the cross-section of a canal,

the permissible velocity in a lined canal may be increased severa! times up to a cer-
tain limit without using a steeper slope, and aboye that, by increasing the slope as
well. Lining protects the canal against erosion at a flow of great velocity.

3. Reduction and/or prevention of seepage.

4. increasing the slope of the banks which reduces the area occupied by the canal. A
steeper slope is also a better hydraulic solution.

5. Partial lining around the water surface for protection against wave action. To deter-
mine the width of the lining, the fluctuation in the operational water level and the
slope of the sides must be known. The safety margin of the lining aboye the highest
and below the lowest operational water level is govemed by the width of the water
surface, the depth of the canal, the prevailing direction of wind, and by navigation if
any. In canals of average dimensions, lining should reach to 2.5 feet aboye the high-
est and to 3.0 feet below the lowest water level. In large canals, the protected part
may be much wider. It is advisable to apply a steeper slope at the protected part
because that reduces the area to be lined. Thus, the width affected by fluctuations in
the operational water level is less and, in addition; waves do not reach as high as on
gentle slopes.

2-5 ASCE/EPRI Cuides 1989

 \
Figure 2-2. — Typical transitions for subcritical flow.

j -----
„,....----
or..e.
,i
-- 1
...l - -1
r I
i,
.....^"

Figure 2-3. — Economic site of power station as determined by costs of power canal.

ASCE/EPRI Guides 1989 2-6

b. Types. — The types of linings are as follows: Types of
linings
1. Stone paving, without cementing materials, as:

• Riprap
• Simple stone paving
• Stone pavement upon a gravel or crushed stone draining layer
• Rock fill

These linings protect against erosion, but do not reduce seepage or friction. Maximum
average velocities are 6 to 7 ft/s.

2. Stone and brick linings layed up in cement mortar, as: Stone and
brick
• Simple pavements
• Pavements upon a grave! or crushed stone (spalls) layer
• Cemented rockfill

These linings reduce seepage, without however improving roughness appreciably.

Maximum average velocity from 7 to 12 ft/s.

3. Concrete linings m power canals are most extensively used. Concrete linings meet Concrete
the three basic requirements mentioned in the introduction. They engender little fric- linings
tion, protect against erosion and prevent (reduce) seepage. Maximum velocities up to
40 ft/s. There are two main types of concrete lining:

• The concrete lining poured in sito

• The living of prefabricated slabs

2-7 ASCE/EPRI Guides 1989

 CHAPTER 3. TUNNELS AND SHAFTS
CONTENTS

Section Page

A. Design considerations for locating and lining pressure shafts and tunnels 3-1
1. General — reasons for lining tunnels and shafts 3-1
2. Geologic factors affecting lining considerations tunnel and shaft location 3-2
a. Stratigraphy and lithography 3-2
b. Rock attitude and condition 3-3
c. Presence of swelling clays or squeezing ground 3-5
d. Location of water table and perrneability of rock at site 3-6
e. Sources of extemal water pressure on tunnel liner 3-6
f. Elasticity and deformation characteristics of in situ rock 3-6
3. Topographical and geometrical factors affecting tunnel and shaft location 3-7
a. Proximity of conveyance structure to ground surface 3-7
b. Steepness and stability of valley slopes 3-7
c. Depth of rock mass overlying and surrounding conveyance structure 3-9
B. Stabilization of tunnel and shaft excavations 3-18
1. Introduction 3-18
2. General considerations for installation of permanent support systems to achieve stable openings......3-18
3. Determining support requirements 3-21
a. General considerations 3-21
b. Determination of support requirements using the NGI method 3-23
c. Determination of support requirements using Terzaghi's loadings 3-32
4. Steel support design 3-33
C. Concrete tunnel and shaft liners 3-38
1.Reasons for adopting a concrete liner 3-38
2. Design of concrete lining for intemal pressure to control leakage 3-39
3. Analysis and design of concrete linings for extemal loadings 3-44
4. Grouting behind concrete tunnel liner 3-49
5. Tunnel excavation and lining configurations for pressurc tunnels 3-50
6. Defining rock characteristics for computational purposes 3-51
D. Steel tunnel and shaft liners 3-53
1. Reasons for adopting a steel liner 3-53
2. Analyusis and design of steel liners for intemal pressure 3-55
3. Analysis and design of steel liners for externa' pressure 3-61
4. General design considerations 3-70
5. Fabrication and construction details 3-73
a. Material 3-73
b. Bends 3-74
c. Grout considerations 3-74
d. Welds and welding 3-75
E. References 3-78
1. Section A references 3-78
2. Section B references 3-78
3. Section C references 3-79
4. Section D references 3-79

ASCE/EPRI Guides 1989

 CONTENTS — Continued

APPENDIXES

Appendix Page

A Developing equation for elastic interaction analysis of reinforced concrete tunnel liner 3-81
B Developing equation for elastic interaction analysis of steel tunnel liner with concrete backfill 3-85
C Checking effect of steel liner out of roundness on buckling analysis 3-90
D Program to determine critical external buckling pressure for ring-stiffened tunnel liner using
Jacobsen 's formulae 3-94

TABLES

Table

3-1 Parameters for 24 specimens of representative rocks 3-14

3-2 Support recommendations for tunnels in rock (20 to 40 ft in diameter) 3-24
3-3 Comparison of Terzaghi and Deere rock loads for tunnels supported with steel sets 3-25
3-4 Recommended tunnel roof support measures for ranges of rock mass qualify, Q 3-26
3-5 Suggested lengths and spacings for rock reinforcement in tunnels 3-30
3-6 Rock class descriptions and predicted rock load 3-35
3-7 Parameters for 25 specimens of representative rocks 3-52
3-8 Steel costs for preliminary studies 3-74

EXHIBIT

Exhibit

3-1 ExampIes of preliminary analysis to determine adequacy of existing cover and need
to install a watertight liner 3-15

FIGURES
Figure

3-1 Gravity-slip surfaces in steel-walled canyon in massive, crystallinc rocks 3-8

3-2 Strike valley in inclined sediments 3-8
3-3 Excessive tunnel leakage into a permeable strata can cause instability in the colluvial deposit 3-9
3-4 Portal developed in unfavorable dipping rock strata 3-10
3-5 Stress at roof or crown of circular opening in relation to Poisson's ratio of rock 3-12
3-6 Boundary stress concentration for circular openings 3-13
3-7 Determination of minimum distance from tunnel to valley side 3-17
3-8 Ground reaction curve concept 3-19
3-9 Typical tunnel excavation and lining configurations 3-20
3-10 Rock bolting in fissured rock around underground openings 3-31
3-11 Gravity effects on jointed rock stability 3-32
3-12 Zones most affected by swelling 3-34

A SCE/EPRI Gui des 1989 ii

 CONTENTS — Continued

FIGURES

Figure Page

3-13 General arrangement of imaginary links 3-36

3-14 Sample determination of link properties 3-37
3-15 Bar stress versus bar spacing to maintain crack width < 0.008 inch 3-41
3-16 Stress in reinforcing bars for various tunnel radii, rock moduli, and intemal pressures 3-43
3-17 Potential rock load configurations 3-45
3-18 Potential loading configurations in steeply inclined, jointed rock 3-46
3-19 General arrangement of confinement points offering passive resistance 3-48
3-20 Arrangement of analogous hinged compression member to stimulate passive
resistance at rock wall 3-48
3-21 Determining point at which steel Iiner can be terminated in massive, competent rock 3-54
3-22 Determining where steel lining can share load with surrounding rock 3-56
3-23 Equations of elastic compatibility 3-57
3-24 Ratio of pressure carried by steel liner to total intemal pressure for varying
values of rock modulus and of liner thickness to tunnel radius (3 sheets) 3-58
3-25 Amstutz's 1970 curves for unstiffened liners, yield stress = 27,000 lb/in2 3-62
3-26 Amstutz's 1970 curves for unstiffened liners, yield stress = 35,000 lb/in2 3-63
3-27 Amstutz's 1970 curves for unstiffened liners, yield stress = 50,000 lb/in2 3-64
3-28 Amstutz's 1970 curves for unstiffened liners, yield stress = 100,000 lb/in2 3-65
3-29 Amstutz's buckling pattem 3-66
3-30 Amstutz's equations for determining critical extemal buckling pressure 3-67
3-31 Amstutz's equation for determining critical extemal buckling pressure for steel liner
with stiffeners 3-69
3-32 Extemal drain details for steel tunnel liner 3-71
3-33 Altemative extemal drain details 3-72
3-34 Example of steel-lined penstock tunnel configuration 3-76
3-35 Sample tunnel details with steel liner 3-77

CREDITS

This "Tunnels and Shafts" chapter was written by:

Edgar Moore, P.E.

Vice President and Chief Civil Engineer
Harza Engineering Co.
150 So. Wacker Drive
Chicago, Illinois 60606-4174

Acknowledgments:

Jerry Dodd, P.E., Consultant, 5884 S. Hanover Way, Englewood, Colorado 80111
Richard C. Acker, P.E., Harza Engineering Co.
Arvids Zagars, P.E., Harza Engineering Co.

iii ASCE/EPRI Cuides 1989

 CHAPTER 3. TUNNELS AND SHAFTS
A. DESIGN CONSIDERATIONS FOR LOCATING AND LINING
PRESSURE SHAFTS AND TUNNELS

1. General Reasons for Lining Tunnels and Shafts Reasons for

providing
A tunnel lining should be considered for one or more of the following reasons: tunel liners

a. The tunnel alignment requires that zones of weak rock or fault zones must be Provide
crossed where the long time stability requires a reinforced concrete lining in addi- rock support
tion to rockbolts or steel supports.
b. The tunnel traverses very permeable rock strata such as karstic limestones; opon Control
jointed igneous rock formations; highly fracturad basalts, or basalt flows with leakage
interbedded volcanic ash deposits or flow breccia; or coarse-grained, weakly
cemented sandstone strata, where leakage as seepage out of the tunnel could be
severe or create slope instabilities in the adjacent terrain. Consideration should be
given to using a steel liner or, in the case of a low-pressure tunnel, a concrete liner
with the necessary reinforcement to control leakage.
c. When a tunnel has been excavated by drilling and blasting, econorrac factors may Reduce
require that head loss due to friction be reduced to the minímum practica!, requiring friction
a smooth wall lining. An unreinforced concrete lining can be considered. losses
d. High-velocity flow, such as in a diversion tunnel, could damage the tunnel periphery Prevent
and cause rockfalls due to erosion or rock plucking. A shotcrete lining could be con- flow damage
sidered for protection. However, if when the tunnel is dewatered the shotcrete lining
could be subjected to externa! water pressure that could cause local inward blow-
outs of the lining, destroying its continuity, consideration should be given to using a
formed concrete liner.
e. Joint in-fill material or fault gouge could be dissolved or eroded by running water Prevent
resulting in progressive instability of blocks in the periphery of the tunnel along the erosion
walls or roof. If such a condition is encountered over an extensive arca, a concrete
liner should be considered. If such a condition is very limited in extent, local treat-
ment can be adopted involving removal and backfilling with anchored concrete
plugs. Shotcrete is not a viable altematíve because it cannot be successfully applied
to rocks containing swelling clay minerals or to rock masses intersected by swelling
clay carrying seams, gouges or other weakness zones. Its use is also limited for
applications in the presence of plastic clays and for uncemented, sugary sandstones.
f. Wherc external groundwater pressure exceeds intemaI water pressure, extemal pres- Provide stabil-
sure washes joint 1111 material and fault gouge into the tunnel creating instability of ity to jointed
jointed rock around tunnel periphery. A concrete linar should be considered. rock mass
g. When in situ rock stresses are low and there is insufficient rock mass aboye the tun- Prevent
nel or shaft to gencratc rock stresses that at any point along the tunnel or shaft will hydraulic
exceed the expected ínternal water pressure, a watertight liner should be provided to jacking
prevent hydrofracturing or hydraulic jacking in the joints of the surrounding rock
mass could lead lo unacceptable leakage. A steel liner should be considered.

3-1 ASCE/EPRI Guides 1989

Evaluation As can be seen from the aboye Iist, the type and condition of the rock traversed, the method
criterio by which the tunnel is excavated, the configuration of the adjacent topography plus the use
for which the tunnel is constructed should be carefully evaluated to determine if a shotcrete
lining, a cast-in-place concrete lining, or a steel liner should be adopted.

Where a tunnel can be located in massive, tight, competent rock with adequate rock cover
and excavation is carried out with a tunnel boring machine or when smooth wall blasting
techniques are used, consideration could be given to using the tunnel unlined with spot
bolting.

Tunnel boring Tunnel boring machines should ideally be considered when the following conditions exist:
machines
considered a. The tunnel lengths are quite long and aboye the breakeven point of conventional
versus excavation. The breakeven point is generally in the order of two kilometers
Breakeven (1.2 mi) for a full face tunnel boring machine. This considera purchase of a used
length machine. Used machines are available ín the United States to diameters of 10
meters. The most common size is in the order of 5 meters.
Rock strength b. Rock compressive strength is less than 25,000 lb/in2 and greater than 700 lb/in2.
Joint spacing c. Rock is fairly massive with joint spacing greater than 1 foot and little or no fault
gouge is to be encountered.
Water inflows d. Major water inflows will not be encountered that will create electrical problema and
pumping and mucking problema, especially in argillaceous rocks.
Steering e. Subparallel to parallel discontinuities will not be encountered that will cause serious
problems steering problems.

Geologic 2. Geologic Factors Affecting Lining Considerations and Tunnel and Shaft Location
factors/
Loca ting tun- a. Stratigraphy and Lithalogy. — A knowledge of the rock characteristics as represented
nels requires by the rock types and classifications is useful in identifying where tunnels should most
knowledge of appropriately be located to avoid the need for extensive support and/or the need for either a
rock types concrete liner or a steel liner.

Define The designer must have the geologic units defined in profile along potential, altemative
geologic units tunnel routes to be able to select the most technically and economically feasible location.
in profile For example, where the tunnel will traverse beds of sedimentary rock composed of
interbedded sandstones, shales and siltstones, it is preferable to locate the tunnel within a
unit of massivc, wcll-cemented sandstone rather than in a weaker unit. As an example, a
weaker unit could be a sandstone unit composed of thinly bedded sandstones, mudstones,
Locate tunnel and siltstones interspersed with shaly partings or, say, ihin beds of severely weathered
in best clayey sandstone. Thin beds of weak material interrupt the vertical continuity of the unit
geologic unit and inhibit the practicality of preserving the ground arch in the roof of the tunnel, control-
ling yield or loosening of material in the tunnel crown. Very poorly cemented, sugary sand-
stone units such as the White, St. Petersburg sandstone unit encountered in the St. Paul-
Minneapolis ama offer a similar type of problem.

ASCE/EPRI Guides 1989 3-2

The initial site reconnaissance should be made in the company of an experienced engineer- Visit site with
ing geologist to obtain an accurate interpretation of the rock observed at the site. Simple experienced
hand samples extracted with a geologist's hammer can provide very useful information in engineering
the early stages of project studies. Hand samples of all major rock units should be collected geologist
in the initial site reconnaissance, if possible, from outcroppings of rock units that will be
encountered at tunnel grade. Collect hand
samples
Surficial examination of sandstone unit outcroppings can sometimes be very misleading as
to the quality of the sandstone unit when its exposed surface has been "case hardened." Inspection
This occurs when the evaporation of mineral-bearing water solutions has cemented the sur- of surface
face coating giving the unit the appearance of a very hard, well cemented sandstone. The outcroppings
interior, however, may exhiba characteristics of a very poorly cemented, friable sandstone.
The most common cementing agents in sedimentary rocks such as sandstone, binding the Case
grains together, are silica or siliceous cement; calcium carbonate or calcareous cement; iron hardening
oxides; and clay or argillaceous cement. Siliceous cement is the most resistant to weather-
ing and water action. Sandstone or siltstones containing high percentages of clay minerals Cementing
or clay cements (argillaceous sandstones and siltstones) are susceptible to air or water slak- agents
ing and will crumble into granular particles when immersed in water. Immersing a hand
sample in water overnight will give a quick indication of slaking potential. Water slaking

Claystones and mudstones may contain bentonitic clay minerals which slake when dried Dispersive
and expand and squeeze when in contact with water. They may also exhibit characteristics erodible clays
of dispersive erodible clays when immersed in running water, resulting in piping and ero-
sion. The Brushy Basin Member of the Morrison Formation encountered through most of
Colorado exhibits these characteristics.

Soluble limestones where solution effects are advanced and well developed present prob- Soluble
lems for both the construction and the operation of the tunnel. Solution channels are com- limestones
monly filled with water, soft clays, and saturated silts that can flow into the tunnel heading,
greatly affecting the rate of advance and cost of construction. A watertight lining is general-
ly required to prevent excessive leakage out of the pressure tunnel. Due to variable and low
values of the modulus of deformation, a steel liner will most likely be necessary. It should
be designed to carry the full intemal pressure without assistance from the surrounding rock.

Basan flows with interbedded volcanic ash deposits and/or flow breccia at the contact Contact
between successive lava flows can be very permeable and present problems similar to solu- between
ble limestones. Surface streams flowing over basalt flows sometimes dísappear under- basalt flows
ground to flow along the contact zones. Deposits of soft clays and silts can be encountered
at the contact between flows that if traversed by a tunnel, can present problems for both the Flow along
excavation and support of the tunnel. A watertight lining is required through the more contact zones
porous zones to prevent excessive leakage out of the pressure tunnel.

As can be seen from the examples presented aboye, the physical characteristics of the rock
units along the tunnel route must be carefully determined so that the tunnel can be located
in those units that provide the most favorable characteristics for tunneling.

b. Rock Attitude and Condition. — Knowledge of the rock attitude as measured by the ori-
entation (strike) and inclination (dip) of bedding planes; foliations and principal joint sets

3-3 ASCE/EPRI Cuides 1989

Orientation in the absence of bedding planes; the amount of local structure as measured by the degree
and inclination of folding and faulting present in the ama; and the thickness of rock beds (or strata), rock
of bedding units or foliations or the spacing of principal joint sets in the absence of identifiable bed-
planes and ding planes must be obtained from field exploration. This information has an important
joint sets bearing on the type and amount of permanent support required to stabilize the tunnel exca-
vation. It is important in determining the best location for tunnels or shafts to minimize
support requirements and tunnel lining requirements.

Evidente of The amount of folding pmducing synclinal and anticlinal formations is indicative of the
folding and intensity of jointing that can be expected in the affected rock strata. The frequency, width
discontinuities and spacing of faults and shear iones identified in rock outcroppings may be indicative of
the expected width of intensively fractured rock zones or zones of breccia and gouge that
can be expected at tunnel grade.

Avoid crossing In locating a tunnel, care should be taken to avoid as much as possible the need to closely
faults at near parallel or to cross faults and shear zones from a near-parallel alignment. When possible,
parallel faults should be crossed as close as possible to 90 degrees to minimize the length of the
alignments intersection.

Degree of Additional important information is obtained from the conditions of the rock as measured
weathering by the degree of weathering and alteration that has occurred along joints or faults at and
and alteration near tunnel depth. This will also influence the type and amount of permanent support
must be required. The kind of joint in-filler material present and the type of gouge material present
determined in faults crossing the tunnel alignment will affect the practicality of preserving the ground
arch over the tunnel, especially when this in-filler material is clay. In general, steeply dip-
ping strata daylighting at the surface facilitate the penetration of weathering action similar
to the presence of open jointing in folded rock strata or units which penetrate up to the sur-
face. From an engineering point of view, weathered rocks are generally much less compe-
tent than original rocks, and the changes in rock properties caused by weathering effect the
procedures that must be followed in tunneling, particularly at relatively shallow depths and
in tunnel portal areas. Weathering at depth requires active movement of groundwater of
surface derivation containing oxygen and carbon dioxide. The commonest kind of chemi-
cal breakdown during weathering yields clay minerals. Argillization is a process whereby
rocks are converted by weathering or hydrothermal alteration to clay mineral aggregates.
Argillization Argillization produces one of the most treacherous of alI conditions encountered in under-
produces ground excavation by reducing previously competent rocks to practically incoherent
treacherous squeezing and swelling aggregates of clay minerals when exposed to the atmosphere or
conditions groundw ater.

Development Where the rock is nearly horizontally bedded or the strike is parallel to the axis of the tun-
of ground arch nel, the tunnel should be located such that it can be driven parallel to and within the most
competent rock strata where favorable ground arching action can be expected to develop in
the rock over the roof of the tunnel. In addition, if the tunnel is following the strike of a
horizontal or slightly dipping strata and there is some structure present, i.e., folding of the
rock strata, it may be preferable to locate the tunnel in an anticline where less intense tec-
tonic pressures are expected. It should be recognized, however, that working under an anti-
Synclines clinal fold may result in driving the tunnel along a possible destressed zone beneath the
arch and the decompressed rock may present roof stability problems. Synclines subject the

ASCE/EPRI Guides 1989 3-4

tunnel to over-pressures from both sides and act as sumps for the accumulation of water in
permeable rock strata which can cause problems during construction.

Anisotropism in rocks is the characteristic of exhibiting different properties in different Anisotrophy

directions. In particular, it relates to the difference in compressive and tensile strengths that
can be measured in rock in different directions. This is particularly true of sedimentary
rocks and some metamorphic and igneous rocks. Sedimentary rocks generally give a higher
compressive strength in the direction normal to the bedding planes than in the direction
parallel with the bedding planes. When the bedding planes of sedimentary rocks are steeply Steeply
dipped or standing almost vertically, each individual stratum must act as a girder in span- inclined strata
ning the tunnel opening. The more steeply the strata are inclined, the greater mutual sup-
port will develop between them. The usual disadvantage of such stratification is the gener-
ally poor efficiency of blasting operations and large amount of overbreak.

The dip angle becomes critica' for using tunnel boring machines when it is 10 degrees to Adverse
15 degrees off the axis of the tunnel. This causes difficulties in steering and maintaining conditions
tunnel alignment and when subparallel to parallel discontinuities exist, such as shale part- affecting use
ings between thinly bedded rock strata, it can lead to overbreak over the machine which of TBM
wedges the machine and stops progress. Other adverse conditions effecting the utilization
of a TBM (tunnel boring machine) are the presence of fault gouge, squeezing rock, intense
jointing, intense weathering, strong inflows of water and extremely strong rock.

c. Presence of Swelling Clays or Squeezing Ground. — Swelling clays may be encoun- Swelling clays
tered comprising much or all of the filling material of fissures, joints, searns, gouges, and
more complex discontinuities of rock rnass such as faults and shear zones. The thickness of
the clay fillings can vary from 1 mm in joints up to severa" meters in complex zones. Pressures may
Additionally, some bentonitic mudstone strata (in the range of 2 to 5 ft thick) (Morrison necessitate
Formation, Colorado) have been encountered altemating with sandstones and siltstones heavy
over a total depth in the order of 300 feet. The swelling, pressure, especially if unbalanced reinforcement
along the liner, may necessitate heavy reinforcement in a concrete liner along with a need
to provide a thicker concrete liner.

Where possible, tunnels should be located out of bentonitic mudstone strata. Shafts cross- Avoid
ing expansive, horizontally bedded strata create a lesser problem due to the fact that exter- placing heavy
nal pressure will be more closely balanced and, if necessary, heavy reinforcement can be reinforcement
provided and easily embedded in a vertical shaft concrete lining. Heavy reinforcement in in crown
the crown of a horizontal tunnel usually results in irregular concrete voids and zones of
weakness for possible leakage in the tunnel roof. This can only be corrected with a careful
program of remedia" grouting, which is expensive and not always completely

Squeezing ground is plastic material that moves into an underground opening primarily Squeezing
because of pressures exerted by loads of overlying rock. Severa' kinds of natural materials ground
are prone to squeezing. Many of these materials are rich in clay minerals. Closely sheared
and altered rocks containing abundant micaceous minerals and clay minerals are materials Convergente
most likely to squeeze. Squeezing ground requires that convergence measurements be should be
taken and convergence monitored after the tunnel has been excavated. Installing a pelma- monitored
nent reinforced concrete liner in squeezing ground is not a simple manen The permanent Placing
concrete lining

3-5 ASCE/EPRI Guides 1989

 concrete lining should ideally be placed when the rate of convergence has diminished con-
siderably or convergence has terminated.

Locate water d. Location of Water Table and Permeability of Rock at Site. An important considera-
table tion in Iocating tunnels is in determining the location of the existing water table relative to
the tunnel invert and determining the permeability of the jointed rock mass through which
Tunnel below the tunnel must penetrate. A tunnel constructed in an extremely folded, jointed, and perme-
water table able rock mass below the established water table may act as a drain or a sump during con-
can act as a struction, accumulating large water inflows which could be seasonal in variation, especial-
sump ly if very permeable strata acting as aquifers are connected to surface water charging
sources or in the presence of intensive jointing penetrating to the surface. Water draining
Affects hito the tunnel could wash out joint in-filler material creating instability of jointed rock
construction blocks around the periphery of the tunnel. Extensive grouting and extensive tunnel support
may be necessary to reduce water inflow and stabilize the tunnel periphery.

Permanent In addition, a complex scheme of sumps and pumplines or even drainage adits may be
drainage needed to temporarily reduce inflow sufficiently to permit a steel liner with concrete back-
fill to be placed. Drainage adits with extensive unes of drain holes extending below the
steel liner may be needed to pennanently reduce the expected extemal water pressure act-
ing on the steel liner when the tunnel is dewatered for inspection and maintenance.

When the rock unit is fairly massive with widely spaced, tight joints and is relatively
impervious, the position of the water table is of little importance.

Water e. Sources of External Water Pressure on a Steel Tunnel Liner. — The source of the
pressure tests extemal water pressure can be either from reconstituted groundwater following completion
must be made of tunnel construction or from water in a high-pressure, unreinforced, concrete-lined power
at operating conduit upstream of the grout curtain at the end of the steel tunnel liner that has gradually
pressures migrated through or around the grout curtain to reach the steel liner. To determine the in
situ permeability and potential for migration of water at high pressure, it is imperative that
water pressure tests be made in exploratory drill holes at tunnel depth. The holes should be
oriented to intercept the maximum number of existing joints and the water pressure tests
for water take should be carried out at pressures equal to the maximum expected operating
pressures.

Deformation f. Elasticity and Deformation Characteristics of In Situ Rock. — The amount of outward
characteristics or radial defoxmation to be expected in the tunnel liner under interna' pressure loading is
dependent upon the deformation characteristics of the rock at the site. Rock deformability
as measured in laboratory specimens is defined by the modulus of elasticity and Poisson's
ratio. In the field, some difficulty is usually experienced in determining these properties
because of many reasons. For example, the degree of jointing may vary from place to place
from very closely spaced to very widely spaced, tight jointing. In addition, if joint in-filling
Influencing is present and consists of plastic clays, it will have an important effect. Funhermore, when
factors the tunnel parallels horizontal bedding planes and envelops several beds, the dcformation
characteristics could be different in the vertical and horizontal directions due to the normal
anisotropic properties common to sedimentary rocks. Construction methods (blasting tech-
niques in particular) will also influence the in situ deformation characteristics due to the
depth of fracturing created around the periphery of the tunnel.

ASCE/EPRI Guides 1989 3-6

Radial jacking tests perforrned in the excavated tunnel can be used to estimate the in situ Determining
deformation characteristics of the surrounding rock and give fair accuracy if carefully in situ
done. Geophysical methods usually give poor accuracy. An excellent evaluation of instru- deforma tion
menta and methods to determine in situ modulus is presented in [Pratt and Voegele, 1984]. characteristics

Short, pilot sections of full-size tunnel have been excavated, instrumented, concrete lined,
filled with water, and pressure tested on very large, costly tunnel projects to determine
more accurately the deformation characteristics of the surrounding rock, the potencial for
hydrofracturing, and the need for a steel liner.

Obviously considerable experience and judgment should be exercised in evaluating labora- Evaluating
tory and field tests and detennining the design values to be used in different reaches of the test results
tunnel. For preliminary studies of tunnel routes use should be made of existing data for
rock of similar type and condition.

When a reinforced concrete liner is necessary for reasons previously explained, it can be Concrete
seen that the need for and the necessary amount of reinforcing steel is determined by the reinforcing
deformational characteristics of the in situ rock. It is therefore an important consideration
in locating the tunnel. Whenever possible, the tunnel should be located in the most compe-
tent and massive rock units.

3. Topographical and Geometrical Factors Affecting Tunnel and Shaft Location Topographical
factors
a. Proximity of Conveyance Structure to Ground Surface. — An economic study compar-
ing cut and cover construction with tunnel construction will usually indicate that it is Limits on
cheaper to consider cut-and-cover construction when the centerline of the tunnel is within cut-and-cover
11/2 to 2 diarneters of the ground surface. Generally, the uppermost rock units will be more construction
weathered and less competent than deeper lying rocks and present more problems in
obtaining a stabilized tunnel excavation.

Unless geometry requires otherwise, it is good practice to locate the tunnel to maintain at least Mínimum
one and one-half diameters of competent rock aboye the roof arch of the tunnel. Competent is rock cover
here considered as rock that can be stabilized with spot rock bolts to pattem rock bolts,
shotcrete and wire mesh without the need to resort to extensive use of steel supports.

b. Steepness and Stability of Valley Slopes. — When tunnels are to be located in abutment Restrictions
rock to parallel a river or the associated river valley, they should be located far enough in locating
back into the abutment to be in a stable zone of rock. They should be located out of the tunnel
zone of open rellef jointing adjacent to steep valley walls and outside of the zone of gravity
slip surfaces which would be daylighting in the valley floor.

Geologic cross sections should be carefully drawn on accurate topography in locating a Geologic
tunnel to avoid problems associated with the steepness and stability of valley slopes. cross sections
Preferably the geologic cross sections should be based on mapped outcroppings and on a necesary
combination of vertical and inclined boreholes with continuous core logging. This informa-
tion can be used to locate and define rock units, recognized shear zones and faults and prin-
cipal joint sets.

3-7 ASCE/EPRI Cuides 1989

Slip surfaces Highly competent crystalline igneous and metamorphic bed rocks (fig. 3-1) may contain
in igneous and slip surfaces which are not easily observed. These slip surfaces which can be inclined at
metamorphic angles of 25° to 30° from the horizontal commonly reveal slickensides and narrow, dis-
rocks continuous lenses of crushed rock.

Figure 3-1. — Gravity-slip surfaces in steep-walled canyon in massive, crystalline

rocks. [Wahlstrom, 1973].

Slip surfaces Gravity slip surfaces are more readily expected along steeply dipping foliations or bedding
in sedimentary plane contacts in sedimentary rock (fig. 3-2).
rocks

)0010;
• • ..9%."",,,"~".•••

ti
47

Figure 3-2. — Strike valley in inclined sediments. A layer of sandstone aboye a layer
of shale creates a particularly unstable slope configuration. [Wahlstrom, 1973].

Leakage In the presence of open jointing and fissures in the bedrock, an unlined tunnel or leaking
problems tunnel could add to the instability along the slip surfaces by causing an increase in weight
through saturation of permeable strata, causing a pressure buildup along a transverse joint
system, and by lubrication of the slip plane surface.

When deep or colluvial terrace deposits are overlying bedrock along a relatively steep con-
tact surface (fig. 3-3), excessive tunnel leakage into a permeable strata or aquifer could
lead to instability of the terrace material. Water exiting from the aquifer could lubricate the
Slide failure contad between the terrace material and bedrock and saturate large portions of the terrace
deposit material, leading to an increase in pore water pressure in those materials. A slide
failure could result, blocking the river or access road or causing serious damage to existing
structures.

ASCE/EPRI Guides 1989 3-8

 Figure 3-3. — Excessive tunnel leakage finto a permeable strata can
cause instability in the colluvial deposit.

If possible, tunnel portals should not be located where the dip of the bedding planes or Tunnel portal
major joint planes is downward toward the portal, where the strike of the bedding or joint location
planes is at or near 90 degrees with the axis of the tunnel, or where the sliding resistance
between bedding planes or along joint surfaces is extremely low (fig. 3-4). The excavation
for the portal will undercut bedding planes provoking a large-area slide failure or creating a
potential for a gravity block slide failure at some time in the future unless a very extensive Stabilizing
and expensive rock anchor scheme is adopted. If this situation cannot be avoided, consider- portals
ation should be given to cxtcnding the tonel portal structure out away from the slope with
cut and cover construction to permit constructing a stabilizing, backfill embankment sec-
tion against the slope over the tunnel outlet.

If there is a considerable depth of overburden and slope debris at the portal ama, the poten-
tial for creating an unstable slope by using an open cut to arrive at the rock face should be
carefully investigated. It may be preferable to construct a stabilizing berm in front of the Portal
steep talus slope and carefully tunnel through the soft materials using steel ribs with con- construction
tinuous steel liner plates or forepoling and breasting to control possible subsidence. can be critica!
Opening and stabilizing tunnel portals can sometimes have an important bearing on the
overaLl construction time for the tunnel, so some caution should be exercised in locating
and orienting tunnels at portal sites.

c. Depth of Rock Mass Overlying and Surrounding Conveyance Structure. — When the
overall rock quality and joint tightness indicate that a tunnel needs no special support other
than spot bolting or pattem bolting, and may be used unlined or with only an unreinforced
concrete lining for hydraulic reasons, there are two important checks that must be made to Adequate
ensure the integrity of the tunnel as a water conveyance conduit. These checks deal with rock cover
the necessary vertical rock cover to prevent hydrojacking, which could lead to excessive
leakage, and the necessary lateral rock cover to prevent a blowout. If either of these checks
indicate a deficiency in cover exists, the tunnel location should be modified appropriately,
if possible, or a steel liner should be considered.

3-9 ASCE/EPRI Cuides 1989

 % PRINCIPAL
JOINT SETS

11 ik. TC JI

PRINCIPAL JOINT SETS

/I. ll

SECTION A—A
Figure 3-4. — Portal developed in unfavorable dipping rock strata. Well-developed jointing and low s'id-
ing resistance along joint surfaces or bedding planes offers potential for serious instability.

ASCE/EPRI Guides 1989 3-10

To eliminate the possibility of causing hydrojacking in the tunnel periphery along horizon-
tal or near horizontal joints, the topographical or geometrical conditions to be fulfilled are
that there should always be enough rock mass aboye the shaft (or tunnel) to generate rock Internal
stresses that at any point exceed the internal water pressure. To prevent hydrofracturing in water pressure
general, the interna' water pressure should not exceed the minor principie stress in the sur-
rounding rock mass and, to prevent hydrojacking along vertical or near vertical joints inter-
secting the tunnel excavation, the interna' water pressure should not exceed the in situ hori-
zontal rock stress normal to the plane of the joint.

The relation between horizontal and vertical stress for no lateral deformation in a massive
rock with no horizontal prestressing due to tectonic forces, and that obeys Hooke's law and
is isotropic and homogeneous with respect to its elastic properties, is given by:

S ( (3-1)
h — 1 - -V ' Sv )
or

S h =MSv (3-2)
where:

y = Poisson's ratio,
M = v/(1 v),
Sh = horizontal stress in rock at depth,
Sv = vertical compressive stress in rock, assumed to be equal to = Wr h,
Wr = unit weight of rock in pounds per cubic foot, and
h = depth of rock cover aboye tunnel soffit in feet.

The theoretical tangential stress, al, at the roof or crown of a circular excavation is given by:

at (Sh + Sv ) -2(S, - Sh ) (3-3)

lir

at = 3 Sh - S v or at = S, (3M - 1) (3-4)

The theoretical tangential stress, as, at the side or horizontal springline of a circular tunnel
excavation is given by:

crs = ( Sh + Sv ) + 2( Sv ) (3-5)
or

as = 3Sv — Sh or s = Sv (3 — M) (3-6)

Figure 3-5 shows the relationships between y, M, and ai . The theoretical tangential stress
at the roof or crown of a circular tunnel excavation is crt

3-11 ASCE/EPRI Guides 1989

 2.0
en> 1.8
O 1.6
z
o 1.4
1.2
z
O
u_ 1.0
0.8
cn 1
L1J
0.6
II
0.4
0.2
17-
C.7 -0.2
—0.4
1—
-0.6
—0.8
—1 0
0 01 02 03 04 0.5
y, POISsON'S RATIO
Figure 3-5. — Stress at roof or crown of circular opening
in relation to Poisson's ratio.

Figure 3-6 shows the theoretical tangential stress, a0, along the periphery of an upper
quadrant of a circular tunnel excavation in rock for various values of M. The value crt is
Initiation of the special case of cr at the top of intrados of the opening. It can be observed that the rock
cracking is in tension for Poisson's ratios less than y 7-- 0.25, with M < 1/3. If the capacity of the
rock to take tensile stress is ignored, cracks will occur as soon as internal water pressure
develops. In addition to showing representative rock strengths, table 3-1 indicates a range
of Poisson's values obtained for 24 rock samples. They range from 0.08 to 0.46.

Residual If residual stresses are present at depth due to tectonic or orogenic effects, the horizontal
stresses rock stress will not be related simply to the overlying weight of rock. The components of
stress are additive and the stresses at depth will be the sum of the stresses due to both the
weight of the rock and to the tectonic disturbance. The stress field must then be determined
by in-sito field measurements. It is only in a region of recent sedimentation, such as the
Mississippi Delta where the theory of elasticity can be used to predict that Sh= 114Sv,
where M= v/(1 y).

In most cases, the existing stress field results from a combination of stresses due to tectonic
or orogenic disturbances and to the weight of the overlying rock. M can then only be deter-
mined from the maximum and minimum principal stresses measured in-situ at the tunnel
location as represented by 8„ and S h. A hydraulic fracture will follow the path of least resis-
tance; i.e., a direction perpendicular to that of the minimum principal stress, so hydrofrac-
turing would be expected to initiate in the roof of the tunnel when the vertical stress is the
maximum principal stress and to initiate at or near the horizontal springline when a hori-
zontal stress oriented nearly perpendicular to the tunnel axis is the maximum principal
Stress.

ASCE/EPRI Guides 1989 3-12

 5

3 O

,1 13-
M = 1
...
doo f

Ne'

O
o

—1
1 I 1 1 I

1 1
/ /
ttt
/ /
--MSy

44I
Figure 3-6. — Boundary stress concentration for circular openings.

In most cases the tensile strength of the rock would be ignored in determining the need for
a watertight liner, due to presence of joints and fractures, knowledge that the rock was
anisotropic and involved units of thinly bedded sedimentary rocks or stratified metamor-
phic rocks, where the bond between beds or strata is weak, or in general contains recog-
nized planes of weakness.

When the intensity of the stress field at tunnel depth can be determined a preliminary anal-
ysis can be made to determine the adequacy of the existing cover and the need for a water-
tight liner, Two examples are provided in exhibit 1.

The role of thumb used for years is to extend a watertight steel liner from the tunnel portals Rule of thumb
to where the rock cover is equal to about 50 percent of the intemal pressure head in feet, for necessary
depending upon the unit weight of the overlying rock, so that the weight downwards equals cover
or just exceeds the internal water pressure. This minimum cover rifle provides safety
against hydraulic jacking along horizontal or near-horizontal joints and can be used as a

3-13 ASCE/EPRI Guides 1989

 Table 3-1. - Parameters for 24 specimens of representative rocks. Unconfined
compressive strength (q,), ratio of compressive to indirect tensile strength
(quIT,) modulus ratio (E/qu)and Poisson's ratio (y). [Goodman, 1980].

q.
Description MPa lb/in2 qUITO *Elq„

Berea sandstone 73.8 10,700 63.0 261 0.38

Navajo sandstone 214.0 31,030 26.3 183 0.46
Tensleep sandstone 72.4 10,500 264 0.11
Hackensack siltstone 122.7 17,800 41.5 214 0.22
Monticello Dam s.s. (greywacke) 79.3 11,500 253 0.08
Solenhofen limestone 245.0 35,500 61.3 260 0.29
Bedfore limestone 51.0 7,400 32.3 559 0.29
Tavernalle limestone 97.9 14,200 25.0 570 0.30
Oneota dolomite 86.9 12,600 19.7 505 0.34
Lockport dolomite 90.3 13,100 29.8 565 0.34
Flaming Gorge shale 35.2 5,100 167.6 157 0.25
Micaceous shale 75.2 10,900 36.3 148 0.29
Dworshak Dam gneiss
45° to foliation 162.0 23,500 23.5 331 0.34
Quartz mica schist schistocity 55.2 8,000 100.4 375 0.31
Baraboo quartzite 320.0 46,400 29.1 276 0.11
Taconic marble 62.0 8,990 53.0 773 0.40
Cherokee marble 66.9 9,700 37.4 834 0.25
Nevada Test Site granite 141.1 20,500 12.1 523 0.22
Pikes Peak granite 226.0 32,800 19.0 312 0.18
Cedar City tonalite 101.5 14,700 15.9 189 0.17
Palisades diabase 241.0 34,950 21.1 339 0.28
Nevada Test Site basalt 148.0 21,500 11.3 236 0.29
John Day basalt 355.0 51,500 24.5 236 0.29
Nevada Test Site tuff 11.3 1,639 10.0 323 0.29

*
E reponed here includes both recoverable and nonrecoverable deformation, mi xed in unknown
proportions.

Hydrojacking minimum cover requirement when the rock is judged to be a fairly massive, tight, compe-
of vertical tent rock. It is not a criteria for avoiding the potencial for hydraulic jacking along vertical
joints or near-vertical joints. The minimum principal rock stress at the periphery of the tunnel
excavation and its orientation must be deterrnined before the need for a watertight liner can
be decided. The reason the rule of thumb has been successful in preventing hydraulic jack-
In situ ing along near-vertical jointing on many past projects is that across most of the United
horizontal States, the in situ principal horizontal stresses at depths due to tectonic effects exceed 0.6
rock stress times the vertical stress.

Hydrofracturing The hydraulic fracturing technique can be used to determine the orientation and magnitude
to determine of in-situ stresses at depth. However, it is important to recognize that a number of simplify-
rock stresses ing assumptions are used in computing stress magnitudes and orientation by hydraulic
fracturing. These include (1) the rock is isotropic and linear elastic, (2) the axis of the bore-
Limita tions hole is a principal stress direction, and (3) the tensile stress of the rock can be determined.

ASCE/EPRI Guides 1989 3-14

Exhibit 3-1. — Examples of preliminary analysis to determine adequacy of existing cover and need to
install a watertight finen
Example No. 1

Massive, horizontal bedded sandstone. No tectonic or

orogenic effect present.

W = 149 pcf, IV = 0.38

r
- 0.613, S = 0.613 S
- H v
W .h 149h
r
1.035h
Sv 144 - 144 =
P.. = 0.434H , where H = hydraulic pressure head and
Pi = internal pressure

Cr; = v
(3M-1) = 1.035h ((3 x 0.613)-1) = 0.868h
0.868h
Safety Factor (S.F.) = 07/Pi -
0.434H
= 2.00 and
17
for S.F. = 1.0, h = 0.5H

Example No. 2

Granitic rock, W r , = 173 pcf,V= 0.20

S /S = 0.5, as determined by in-situ testing due to the

E v
fact that the stress field at the tunnel location
includes the effect of tectonic disturbance.
W .h
r _ 173h
S = = 1.20h
v 144 - 144
5
P i =Internal pressure = %413- 0.434H, where:

H = Maximum normal hydraulic pressure head in feet which

is expected to occur at point being investigated,
during operation of tunnel.

S (3M-1) = 1.20h ((3 x 0.5)-1) = 0.60h

0; = v
The safety factor against hydraulic jacking in vertical or
near vertical joints is obtained from:
0.600h
S.F. = cr/p.-
t 0.434H _ 1.38-
h
H

and if h, the depth of availahle rock cover = 0.5xH, the

5H
Factor of Safety F.S. = 1.38 x 0.u- = 0.69<1.0

In the case of Example No. 2, if S /S = 0.574 the cover

H v
requirement reduces to h = 0.5H.

3-15 ASCE/EPRI Guides 1989

 Some bedded sedimentary rocks are commonly transversely isotropic in the plane of the
beds and anisotropic in the direction perpendicular to the plane of the beds. Metamorphic
rocks, especially schist and slate which contain parallel arrangements of flat minerals such
as mica, chlorite and clay exhibit strength anisotropy. Their strength varies with direction
to the planes of symmetry of the rock structure. These examples are provided to show that
the hydraulic fracturing technique is not applicable to determining in-situ rock stresses in
many cases and its use should be applied judiciously.

Discontinuities A designer should recognize that in the presence of some slight folding of the rock units
offer potential which would produce jointing and some slight movement and permanent displacement
for serious along irregular joint surfaces, or in the presence of more intense folding producing local-
leakage ized zones of destressed, loose rock and possible shear zones, however thin, of intensely
fractured rock, the discontinuities produced in either case offer a potential for serious leak-
age from a tunnel without a watertight lining regardless of the magnitude of measured in-
High-pressure situ rock stresses. For that reason it is imperative that water pressure tests be made at tun-
tests necessary nel grade at pressures equal to the maximum expected operating pressure. The exploratory
dril boles should be located and oriented te intercept suspected discontinuities and to inter-
cept the maximum number of existing joints. The information obtained from the high pres-
sure tests can be used to confirm where a steel liner may be terminated and a concrete liner
u sed.

Evaluate In addition to providing adequate vertical cover, the lateral cover to a sloping valley side
lateral cover must also be checked. A role of thumb for initial consideration is to provide a cover at least
equal to twice the required vertical cover. However, to decide how Glose an unlined tunnel
can be carried to the side of a valley, assuming adequate cover is provided as previousIy
explained, an additional evaluation should be made. It is of particular importance when the
strike of the rock units paralleis the valley side and the strata dip do wnward towards the
valley, daylighting aboye the valley floor. The stability of blocks of rock aboye units that
offer the least resistance to sliding should be investigated as suggested on figure 3-7.
Knowledge of jointing and rock unit characteristics assist in selecting critical blocks for
investigation. Reasonable assumptions should be made for driving forces including the
possible build-up of hydrostatic pressure along a joint, uplift, and sliding resistance along
the joint considering appropriate values for shear and friction for the materials involved.
Shear resistance along the sides of blocks should be ignored. A factor of safety of 2 should
exist to preclude a potential for instability. An excellent reference for obtaining preliminary
values of shear and friction along rock unit contacts is the paper by Link [1969]. A water-
tight lining should be provided where a potential for slope instability or "blow-out" exists.

Rock cracking A knowledge of the magnitude and orientation of in situ principal stresses and of the
and bursts unconfined compressive strength for the rock unit through which the tunnel is penetrating
is useful in determining if cracking and rock bursts can be expected in the tunnel periphery
following excavation. Cracking can occur in unconfined rock during construction, when
the active compressive stress exceeds hall the unconfined compressive strength.
Compressive stress concentrations at the face of the excavation can be as rnuch as 2 to 3
times the value of the maximum principal stress, depending upon the ratio of the maximum
principal stress to the minimum principal stress.

ASCE/EPRI Guides 1989 3-16

 Figure 3-7.— Determination of minimum distance from tunnel to valley side.

Spalling can be controlled by limiting stress concentrations and using pattem rock bolting.
Stress concentrations can be limited by adopting a circular tunnel excavation. Pattern rock
bolting would be applied to the walls in the presence of extremely high in situ vertical
stresses, and to the roof in the presence of an extremely high in situ horizontal stress orient-
ed perpendicular to the axil of the tunnel.

3-17 ASCE/EPRI Guides 1989

 B. STABILIZATION OF TUNNEL AND SHAFT EXCAVATIONS

1. Introduction

Objective The objective of this section is to present design criteria and design procedures for quanti-
fying and dimensioning the amount and type of permanent support necessary to stabilize
tunnel and shaft excavations in accordance with the type and condition of rock units to be
penetrate d.

Reliability The more accurately the rock condition can be depicted along the tunnel through site inves-
tigations, the more reliable the selected support schemes become. Considerable judgment is
required in early stages of design when limited field investigations have been carried out.

Support Use is made of the latest support concepts that have developed in recent years based on
concepts experience accumulated in the construction of a great number of tunnels and underground
cavems. The intent is to provide sufficient information herein to permit the designer to
select the appropriate permanent support concept in accordance with the identified type
and condition of the rock and to properly dimension the support system in accordance with
the estimated rock loading that can develop on the selected support system.

The criteria and procedures to be used in designing a concrete liner or a steel liner are pre-
sented in subsequent sections.

2. General Considerations for Installation of Permanent Support Systems

to Achieve Stable Openings

General In any rock, the stability of an unlined tunnel depends on the relative size of the tunnel
considerations compared with the spacing and condition of the joints or discontinuities in the rock mass. It
also depends on the procedures used in excavating the tunnel and in installing the support
Acceptable system. For purposes of determining support requirements, it will be assumed that the con-
excavation tractor uses acceptable excavation techniques and that the support system is installed a
procedures short time after the heading is excavated and before detrimental loosening of the rock
occurs in the tunnel roof. Properly written construction specifications and quality control
will ensure that the contractor adopts correct procedures.

Ground arch If the tunnel support is not installed within the limited "stand-up" time of the particular
fails upward rock forrnation before the rock in the roof begins to loosen along joint planes due to gravi-
tational forces, the support system will eventually have to carry the "loosened" rock load
that develops as the ground arch aboye progressively fails upward. Eventually the ground
arch stabilizes at some distance aboye the tunnel. The tunnel support must then carry the
weight of the zone of "failed" rock between the crown of the tunnel and the effective arch.
The designer will recognize this beginning near section D-D of the "Ground Reaction
Curve Concept" shown on figure 3-8.

Concrete All support that is necessary for the stabilization of the rock opening is considered as per-
encasement manent support. It is installed for the useful life of the tunnel or shaft. All steel elements
for corrosion are to bc cneased in grout, shotcrete, or a final concrete lining as the case may be lo pro-
protection vide reasonable protection against corrosion damage.

ASCE/EPRI Guides 1989 3-18

 Original Geostress

Ground
Reaction Curve

en u

• e
o 0
.c "cl
e)
o ah a
G
—
J d m
e
o 47/

O 111°.
c >, F
o — Fca .•••
o
Too
Stiff _ • do:.
P ~00" 0"-- 11— í—T oo
Flexible
o
a
a e /LToo
o Deloyed
8 1111.-
O N--Support Recelan Curves
Radias Yield
Figure 3-8. — Ground reaction curve concept. [ASCE, 1975].

The shapes of the tunnel excavations include both circular and horseshoe shapes as shown Tunnel shapes
on figure 3-9. It can be expected that a contractor will prefer to drive a tunnel with a rea-
sonably horizontal floor; therefore, a modified horseshoe shape such as type e on figure
3-9 will be adopted.

The recommended minimum size tunnel excavation is approximately 9 feet in width and Minimum
10 feet in height when steel rib supports are installed. This permits the contractor to use practical size
wheeled equipment for mucking out the tunnel and allows enough space in the roof for a
large-diameter ventilation pipe to the work heading. Smaller tunncl diameters will require
mining techniques with an increase in unit prices.

The permanent support systems that are considered include: Permanent

support
a. Spot bolting only in massive rock systems
b. Pattem bolting with or without the use of chain link mesh
c. Pattern bolting with wire mesh and one or two applications of shotcrete
d. Steel supports with two applications of shotcrete, where the steel supports act in
composite action with the shotcrete
e. A final cast-in-place concrete liner designed to eventually carry all or a major part
of the expected rock loads where squeezing or expansive material is encountered

3-19 ASCE/EPRI Guides 1989

 TYPICAL TUNNEL EXCAVATION AND LINING CONFIGURATIONS
Tunnel Section Area Wetted Hydraulic
Perimeter Radius

TT R2 27TR 0.5R

•
STEEL SUPPORT, TYPICAL,
a. Circular Tunnel WHERE REQUIRED

b. Circular Tunnel

3.5708 R2 7.1416R 0.500R

31.
c. Modified, vertical leg horseshoe tunnel with horizontal invert

éph 3.3172R2 6.5338R 0.5077R

'1.
40
d. Horseshoe Tunnel OPTIONAL INSIDE GEOMETRY FOR SECTIONS C., D. AND E. IS

r
CIRCULAR AS INDICATED OUT OF FUNCTION.

16.26°1
41' 11

■ 0.280 R
3.3546R 2 6.7092R 0.5000R
0.720 R

0.750 R

e. Modified,inclined leg,horseshoe tunnel with horizontal invert

Figure 3-9. — Typical tunnel excavation and lining contigurations.

ASCE/EPRI Guides 1989 3-20

3. Determining Support Requirements

a. General Considerations. Preliminary tunnel support requirements should ideally be Exploratory

estimated from inspection of existing exploratory boreholes which penetrate down to the actas
elevation of the tunnels. Exploratory adits, which reach the actual tunnel alignment, would
be the most useful since they would permit a visual inspection of the actual stratigraphy to
be penetrated. The orientation, condition and spacing of joints could be observed and some
indication of expected water inflow could be obtained.

Several preliminary tunnel support concepts would then be determined on the basis of the Concepts
rock mechanic data obtained during the initial exploration stage. It would be expected that matched to
the actual or final tunnel support schemes would depend on continuous inspection of the conditions
heading excavation and confirmation of or modification to the initial scheme to reflect the
actual conditions being encountered. This is particularly important when the joint orienta-
tion and spacing varies or different rock units are intercepted.

Results of rock mechanic studies carried out in the last decade permit tunnel support Physical
requirements to be determined on the basis of observed physical parameters of the jointed parameters of
rock mass. Initially, the parameters are estimated from a knowledge of regional geology, jointed rock
knowledge of the amount of local folding and faulting, examination of rock core from mass
exploratory dril holes, and inspection of rock outcroppings of rock units determined to
exist at tunnel grade. Once tunneling begins, the parameters must be reevaluated continu-
ously. These parameters include:

1. The number of joints per unit volume Joint intensity/

2. The number of joint sets, including well developed, parallel joints and any random Joint sets
joints
3. The amount of continuity observed in the joints and the representative roughness of Wall roughness
the wall contact along the joints
4. The degree of weathering and alteration as reflected in the type of joint in-fi ling Alteration
material present
5. The amount of groundwater inflow through the joints Joint water/
6. The presence and orientation of sliear zones, clay seams or Ioose open joints cross- Weakness
ing the tunnel excavation, or the presence of squeezing or swelling rock zones/
7. The ratio of the rock strength to the major principal rock stress expected to occur at Rock strength
the tunnel periphery

All of the parameters listed aboye contribute to the behavior of a jointed rock mass. They
can be quantified and used to estimate a preliminary value of the necessary support pres-
sure as explained later.

The designer should recognize that the most satisfactory way lo develop the most appropri- Use of
ate excavation procedure and support scheme for very large tunnels is to excavate a short test section
tunnel section from an access adit for testing purposes. The test section could either be to confirm
along the actual alignment or parallel to and reasonably close by the actual alignment support
where rock conditions are similar. The method of excavation used will have an important scheme
bearing on the support scheme to be adopted, especially where conventional drilling and

3-21 ASCE/EPRI Guides 1989

 blasting techniques would be used in tunnel excavation. Heavy blasting could fracture the
surrounding rock adding, in effect, a random joint set to the number of existing joint sets.

The number of joint sets and joint spacing encountered greatly affects the amount and dis-
tribution of support required. The test section could be used to arrive at a blasting tech-
nique compatible with the rock conditions and the support concept determined from an
evaluation of the existing rock parameters. It may be necessary to adopt a smooth blasting
technique using ring drilling and presplitting to minimize overbreak and fracturing of the
surrounding rock for different rock conditions.

Test section Excavation of the full-size test tunnel will give a good idea of the standup time of the rock
for excavation and the timing required for installing the initial support. It can be used to determine if a top
method heading bench or pilot tunnel should precede the full face excavation to ensure proper and
determination timely stabilization of the ground arch over the tunnel. Ideally, it would be better if a
method of excavation and support can be adopted that permits full-face operations, espe-
cially on smaller tunnels.

The adequacy of the support scheme adopted should be evaluated on the basis of conver-
gence measurements taken after the installation of the support system. The measurements
are carried out by means of a tape or rod extensometer between an array of some 4 to 7
Convergente steel targets attached to the walls and roof of the excavation. Experience obtained in folded
measurements and fractured sedimentary rock formations, for example, has demonstrated that measured
convergence should not exceed 0.6 percent of the tunnel width where shotcrete, wire mesh,
and rock bolis were used for support and should not exceed 1.0 percent of the tunnel width
when steel sets were used for support, and should occur in less than one month to ensure
the continued integrity of the ground arch over the tunnel.

Convergence measurements can be used to determine when a given support scheme is ade-
quate and when additional support is required. Typical profiles of convergence versus time
are shown in [Sulem et al., 1987]. Convergence measurements when compared with a pro-
file for a support scheme that has performed well will indicate whether additional support
is necessary by diverging from the expected profile.

Recognized Currently there are several recognized procedures that can be used to estimate tunnel sup-
procedures port requirements on the basis of the observed physical parameters of a jointed rock mass.
These include:
NGI Method
a. "Engineering Classification of Rock Masses for the Design of Tunnel Support" by
Barton, Lien, and Lunde of the Norwegian Geotechnical Institute, Oslo, Norway
(hereinafter referred to as the NGI method) [Barton et al., 1974].
GCRM b. "Engineering Classification of Jointed Rock Masses" by Bieniawski. Published in
method the Civil Engineer in South Africa, December 1973 (hereinafter referred to as the
GCRM Method) [Bieniawski, 1973].
Simple free- c. In jointed, blocky, hard rock, support requirements can also be predicted in advance
body studies knowing the in situ stresses, the system of discontinuities and the rock properties, by
considering the development of possible deformation and displacement fields
around the tunnel periphery. lnvestigations may be reduced to simple free-body
studies where major joint sets are very nearly perpendicular and parallel to the tun-

ASCE/EPRI Guides 1989 3-22

 nel axis. When the clip and strike of the major joint sets meet the tunnel axis at
obligue angles, a stereographic plot of the intersecting planes can be used to identify
potencial blocks or wedges that may slidc or fall out of the upper periphery of the
tunnel and need to be supported with tensioned, grouted rock bolts. Thcse methods
are described by Goodman, Hoek and othcrs.
d. In very blocky and seamy rock with joint spacing less than 1.0 foot and rock frag- Terzaghi's
ments entirely separated; in crushed, chemically intact rock; in squeezing rock; and estimate of
in swelling rock, where circular steel ribs would be recommended, rock loads can be rock loads
estimated on the basis of Terzaghi's work.
e. When very limited information is available from a few exploratory boreholes and no
outcroppings are encountered in streambeds, railroad cuts, or road cuts and there are
no existing adits or tunnels in the atea, very preliminary studies can be based on
RQD alone. Tables 3-2 and 3-3 are provided for this purpose. When more informa-
tion becomes available, or when tunnel excavation is initiated so that rock condi-
tions at the heading can be observed, the tunnel support scheme should be con-
firmed and refincd in accordance with the other procedures mentioned aboye.

Either the NGI method or the GCRM method may be used at the option of the designer,
depending upon the designer's individual preferente. The classification parameters used in
the NGI method, however, provide a fair approximation of the relative rock block size and
of the shear strength along block contact surfaces. It also considers some measure of active
stress in the rock at tunnel grade. An experienced engineering geologist familiar with the
method should participate in selecting the rock classification parameters.

When adequate information is available, it is suggested that either (a), (c), or (d) aboye be
used, depending upon the conditions encountered, which will generally dictare the method
that is most appropriate. This will be explained in the succeeding sections. It should also be
recognized that combinations of these support systems may be required under certain con-
ditions.

h. Determination of Support Requirements Using the NGI Method. — In rock that varies NGI Method
from hard and intact to very blocky and seamy with joint spacing 1.0 foot, it is recom-
mended that the NGI Method be used as a first approximation to determining the required
support system. The NGI Method permits quantification of the rock mass quality, Q, on the
basis of the observed physical parameters of the jointed rock mass discussed previously,
where,
Quantifying
Q RQD Jr Jw (3-7) rock mass
Jn •Ja ) SRF quality

The designer is encouraged to carefully read Barton et al. [19741 to understand the type of
information needed to correctly determine the most appropriate value for each of the six
parameters and the limitations of the procedure.

RQD = Rock quality designation and is a measure of the number of joints per unit volume. Definitions

Jn = Joint set number and is a measure of the number of joint sets, including well devel-
oped parallel joints and any random joints. It is often affected by foliation and bedding.

3-23 ASCE/EPRI Guides 1989

Table 3-2. — Support recornmendations for tunnels in rock (20 to 40 ft in diameter). [Deere et 1969].

Alternativa Support Systems

Rock Quality Tunneling Method Steel Seta•• Rock Boite. Shotcrete

Excellent*
RQD > 90 A. Boring machine None to ocasional None to occasional. None to °ocasional
light set. Rock load local application.
0.0 to 0.2B.**•
B. Conventional None to occasional None to occasional. None to occasional
light set. Rock load local application
0.0 to 0.3B. 2 to 3 inches.
Good*
75 < RQD < 90 A. Boring machine Ocasional light sets Ocasional to pat. None to occasional
to pattem on 5 to 6 tern on 5 to 6 foot local application
foot center. Rock center. 2 to 3 inches.
load 0.0 to 0.4B.
B. Conventional Light sets, 5 to 6 Pattern, 5 to 6 foot °ocasional local
foot center. Rock center. application 2 to 3
load (0.3 to 0.6)B. inches.
Fair
50 < RQD < 75 A. Boring machine Light to medium Pattern, 4 to 6 foot 2 to 4 inches on
sets, 5 to 6 foot Center. crown.
center. Rock load
(0.4 to 1.0)B.
B. Conventional Light to medium Pattern, 3 to 5 foot 4 inches or more
sets, 4 to 5 foot center. on crown and
center. Rock load cides.
(0.6 to 1.3)B.
Pool.**
25 < RQD < 50 A. Boring machine Medium circular Pattern, 3 to 5 foot 4 to 6 bebes on
sets on 3 to 4 foot center. crown and cides.
center. Rock load Combine with
(1.0 to 1.6)B. bolts.
B. Conventional Medium to heavy Pattern, 2 to 4 foot 6 inches or more
sets on 2 to 4 foot center. on crown and
center. Rock load cides. Combine
(1.3 to 2.0)B. with bolts.
Very pool.*
RQD < 25 A. Boring machine Medium to heavy Pattern, 2 to 4 foot 6 inches or more
(Excluding circular sets on 2 center, on whole section.
squeezing or foot center. Rock Combine with
swelling load 1.6 to 2.2B. medium sets.
ground.)
B. Conventional Heavy circular sets Pattern, 3 foot 6 inches or more
on 2 foot center. center. on whole section.
Rock load (2.0 to Combine with
2.8)B. medium to heavy
sets.
Very poor
(Squeezing or A. Boring machine Very heavy circular Pattern, 2 to 3 foot 6 inches or more
swelling) sets on 2 foot center. center. on whole section.
Rock load up to 250 Combine with
feet. heavy sets.
B. Conventional Very heavy circular Pattern, 2 to 3 foot 6 inches or more
sets on 2 foot center. center. on whole metían.
Rock load up to Combine with
250 feet. heavy sets.

9n good and excellent qUality rock, the Support requirement will in general be minisnal but will be dependent
upon joint geometry, tunnel diameter, and reletive orientationa of joints and tunneL
• •Lagging requtrements will usually be zero in excellent rock and will range from up to 25% in good rock to
100% in very poor rock.
+Mesh requirements usually will be zero in excellent rock and %vill range from occasiona1 mesh (or atrapa) in
good rock to 100% mesh in very poor rock.
•• *S = tunnel width

ASCE/EPRI Guides 1989 3-24

Table 3-3. — Comparison of Terzaghi and Deere rock loads for tunnels supported with steel sets.
[Bickel et al., 1982].

o JOFNT TERZAGH1 CLASSIFICATION DEERE ROCK LOAD FOR TUNNELS

- SPACING DESCRIPTION UP TO 40'DIAMETE R
ci ROCK LOAD '
O DESCRIPTION CONVENT1ONAL : BOR1NG MACHINE
re cm. in. Initio' Final
Hard 8 0 0
•-50-/-24-' (2) Hard , intaci o o
Excel lent stratified 0 0.258 lo to
or 0.38 0.28
Bobillo', O
-90- 12
Massive , moder- 0 0.5B
otely jointed
0.313 0.013
-20- Good O 0.258 to te
-80-1 Moderately D to 0.413
0.68
blocky a seamy 0.35C
s
O
-70-

0.68 0.48

Fa ir to fo
-60- 1.3 B 1.0 B
Very blocky,, O 0.35C
searny and to to
ehattered 0.6 C 1. I C
-50-10 4

1.39 1.0 8
-40-
Poor O e .0 to

20B 1.68

-30-

Complete!),
cruthed , grave) 0.54C 0.62C
and ;and ond to up to Escluding egueezing or ex/ening
-20- equeezing and 1.2 C 250' ground:
arre Infla racha 2.0 13 1.6 B
lo fo
2.8 B 2 .2 B
~y Po-Dr
-10- In squeezing and ewelling g round :
-5 —2 -
Rock load up to Rock load up lo
-1- 250 ft. 250 ft

Where B = width of tunnel

C - width plus height of tunnel

3-25 ASCEJEPRI Guides 1989

 Table 3-4. — Recommended tunnel roof support measures for ranges of rock mass
quality, Q.

Rock Masa Quality, Q Recammended Permanent Roof Support M'asures

Q > 100 Spot bolting, with untensioned, full length

grouted bolts.

40 < Q < 100 Spot bolting, with untensioned, full length

grouted bolts, when RO/in 3 20, or:
Pattern bolting, with untensioned, full length
grouted bolts. Bolt spacing in the order of
6 ft. to 10 ft. o.c. when RQO/Jn e 20.

10 < Q < 40 Spot bolting, with untensioned, full Lengch

grouted boles vhen RQD/Jn k 10 and Jr/Jn 3 1.5.
Pattern bolting, with untensioned, full length
grouted bolts. Bolt spacing in the order of 5
to 6 ft. o.c. when RO/Jn 1 10 and Jr/Ja < 1.5
or when RQD/Jn < 10 and Jr/Jn 3 1.5. In
addition to pattern bolting aboye, include a
2-inch thick application of shotcrete when
RID/Jn < 10 and JrNn < 1.5.

4 < Q < 10 Pattern bolting, with tensioned, granead bolts.

Bolt spacing in the order of 3 to 5 fe. a.c.,
plus chain link mesh when RQ0/Jn > 5, or
partera bolting as ábove, plus vire mesh and
cale or mwo 2-inch thick applications of
shotcrete when RQD/Jn < 5.

1<Q<4 Pattern bolting, with tensioned, grouted bolts.

Bolt spacing 3 ft. o.c., plus vire mesh and one
2-inch chick application of shatcrete. In
addition to pacten' bolting and vire mesh aboye.
use curo 2-inch thick applicatioos of shotcrete
when che tunnel excavation diamerer or width
exceeds 7 meters.

0.4 < Q < 1 Pattern belting, with tensioned, grouted boles.

Balt spacing 3 ft. o.c., plus vire mesh and
ona 3-inch thick application of shotcrete when
tunnel excavation diameter or width is less
than 7 meters. In addition to partera bolting
and vire mesh aboye, use tvo 3-tnch thick
applications of shotcrete when tunnel
excavation diameter or width exceeds 7 meters.

ASCE/EPRI Guides 1989 3-26

Jr = Joint roughness number, which is related to the type of wall contact or lack of wall
contact in the weakest, significant joint set.

Ja = Joint alteration number and is a measure of the type and condition of the joint in-
filling material.

Jw = Joint water reduction factor and is a measure of the expected amount and pressure of
water inflow into the tunnel excavation.

SRF = Stress reduction factor and is a comparative measure of the rock stress to the rock
strength or of the number, condition and type of weakness zones within the rock mass.

Values for each of the six rock mass parameters are clearly defined in tables presented in
[Barton et al., 1974] and are not repeated here. The appropriate values for the six rock
parameters should be determined in discussions with an experienced engineering geologist
and entered in the equation for the calculation of Q.

The necessary tunnel roof support pressure, PfrooD in kg/km2, can be estimated from an Roof support
empirical equation relating permanent support pressure and rock mass quality Q:

2_52/7
fn
P, (3-8)
3 Jr -\YV

This equation was developed on the basis of more than 200 case records studied by Barton
et al. [1974]. (To obtain the support pressure in kips/ft, multiply kg/cm2 by 2.045.)

The required permanent support pressure on the tunnel walls, below the spring Ene, can be Wall support
estimated from the roof support equation aboye, using a modified value of Q. Where rock
mass quality, Q > 10, use 5Q. Where rock mass quality, Q < 10, use 2,5Q. The required
support pressures at intersections and near portals should be arbitrarily doubled for use in
selecting rock bolts.

In addition to working well in jointed crystalline rock, which predominates in Norway, the Limitations of
NGI Method was used very successfully on the Ujo tunnel in Spain where the rock mass is NGI Method
composed of interbedded silty sandstone, shale, and coal strata that have been folded and
intensely fractured by Alpine tectonic activity. Average dip is 60 degrees. Shale layers vary NGI Method
from about 3 to 4 inches in thickness. in folded sedi-
mentary rock
The Ujo tunnel has straight walls and a semi-circular roof. It is approximately 20 feet high
by 18 feet wide. Q values ranged from 0.01 to 19. Smooth blasting techniques were used Example of
and quality control of construction was thorough. Convergence measurements were moni- NGI use
tored until the turmel was completely stabilized. The initial support was left in place to be
used as final throughout almost the entire length of the tunnel. Only 10 percent of the ini-
tial support had to be reinforced over the entire tunnel length. Sections to be reinforced
were selected according to convergence values experienced during construction. Exper-
ience showed that where rock quality, Q, was greater than 0.5 the initial support, consisting Convergence
of rock bolts, shotcrete and wire mesh was stable and did not need to be reinforced later if monitored
horizontal convergence did not exceed 0.6 percent of the total tunnel width and occurred

3-27 ASCE/EPRI Guides 1989

 within less than one month. Where the rock quality was 0.01 < Q < 0.5, excessive conver-
gence developed when support consisted of only bolts, shotcrete and wire mesh without
steel sets, and steel sets were finally adopted there with good results.

In addition, when the individual case studies of Barton et al. [1974] are read, it will be that
the support schemes for support categories associated with Q values less than 0.4 usually
evolved after problems were experienced during construction involving roof falls. The
characteristics of the rock mass discontinuities are noted to be bad. A contractor may prefer
to work under a support scheme that included steel sets when Q < 0.4 for reasons of safety.
Until the designer has experience in applying the NGI Method, it is recommended that the
Steel ribs NGI Method be adopted only when Q 0.4. When Q < .04, steel ribs may be used in com-
needed bination with shotcrete (and, additionally, rock bolts and wire mesh if needed). Anticipated
loadings on the steel sets can be determined from Terzaghi's loadings as presented later in
rabie 3-6.

The NGI rock mass quality Q, should not be applied to special purpose support such as
large unstable rock wedges in the tunnel roof. This is a special problem requiring specially
La rge oriented bolt systems, which will be treated laten
unstable rock
graphics Barton et al. [1974] developed support categories for various values of rock masa quality,
Q, and excavation dimensions. They have been summarized in table 3-4, for use in plan-
Support ning or preliminary design studies, using data essentially associated with tunnels and not
measures large underground caverns; i.e. for diameters of less than 14 meters. When the designer
entera the final design stage it is recommended that he study the Barton et al. [1974] case
studies and develop his own permanent roof support measures for Q intervals.

The Army Corps of Engineers current practice relating to rock reinforcement with rock-
bolts is discussed in Engineering Manual EM-1110-1-2907 dated 15 February 1980, enti-
tled Rock Reinforcement [COE, 1980]. Although this manual indicates a preference for
installing tensioned bolts immediately behind the working face in tunnels, it also recog-
nizes that in some cases it is technically desirable to install untensioned anchor bolts with
Recommended full length bonding. Their experience has shown that specification of two-thirds to three-
initial tensions quarters yield load of the bolt assembly is a practica' range for initial tension. This will pro-
vide a margin in the elastic range of the bolts to cope with variations in bolt installation and
also provide a basis for realistically appraising the measurements from monitoring devices
such as deformeters. ft is, therefore, recommended that tensioned rock anchors and rock
bolts be installed to a design load of 75 percent of the bolt yield load.

Pattern rock bolt spacings to nearest even half-foot spacing can be determined from the
allowable working loads on various available manufactured rock bolts such as those given
below:

ASCE/EPRI Guides 1989 3-28

1. Dywidag threadbar tensioned rock bolts with working load of 0.75 x yield strength.

Steel grade Nominal Working Drill hole

yield/ult., diameter, load, diameter,
lb/in2 mm (in) kips in

60,900/72,500 22 (7/8) 27.0 See

60,900/72,500 25 (1) 34.8 mfrs.
60,900/72,500 28 (11/8) 43.8 reconimen-
128,300/156,000 20 (25/32) 47.9 dations
121,000/149,350 26.5 (13/64) 78.0
121,000/149,350 32.0 (11/4) 113.5

2. Williams solid rebar "spin-loek" rock bolts with working load of 0.50 x ultimate strength,
and All-Thread bars with working load of 0.60 x ultimate strength (0.75 x yield strength).

Steel grade Nominal Working Dril] hole

yield/ult., diameter, load, diameter,
lb/in2 mm (in) kips in

60,000/90,000 22 (7/8) 23.0 13/4

60,000/90,000 25 (1) 30.0 13/4
60,000/90,000 29 (11/8) 38.0 21/4
60,000/90/000 32 (11/4) 48.0 21/4
60,000/90,000 35 (13/8) 61.5 21/2
120,000/150,000 26 (1) 76.5 13/4
120,000/150,000 32 (11/4) 112.5 21/4
120,000/150,000 36 (13/8) 142.2 2112

The entire length of the rock bolt should be encapsulated in grout (or resin) to protect it Encapsulated
from corrosion darnage. Tensioned rock bolis would require polyester resin grouts with two in grout
distinct gel times, one fast to obtain a resin end anchorage, and a second, slower gel to per-
mit tensioning the anchor bar or bolt.

Working bond strengths for rock/grout bond values for various rock types and conditions
are givcn in [Littlejohn and Bruce, 1975, 1976]. Working bond strengths for rock/resin
bond values for some rock types are given in [Daws, 1979].

It is recommended that when pattern rock bolts are required in the tunnel roof and walls, Minimum
the minimum equivalent average surface pressure applied on the roof aboye the springline average
should not be less than 9 lb/in2 and 6 lb/in2 on the walls below the springline. surface
pressure
The minimurn suggested lengths and maximum spacings for rock reinforcement have been
sunimarized in table 3-5. Unfavorable dipping and closely spaced jointing will usually Length and
require longer bolt lengths and closer bolt spacings. When stratigraphy is known, disconti- spacing of
nuities such as, for example, thin shaly partings should be considered in determining rock bolis
required boli length.

3-29 ASCE/EPRI Guides 1989

 In addition to the empirical Tules presented in table 3-5 for determining the mínimum
length and maximum spacing of rock bolts, some consideration should be given to orient-
Boli ing the bolts to obtain the strongest anchorage possible commensurate with the dip and
orientation strike of the strata and the orientation of recognized planes of weakness. Instead of orient-
ing bolts perpendicular to the surfaces they are to support, as in massive, horizontally bed-
ded rock, it may be necessary to angle them into the walls and roof as on figure 3-10 to
ensure that they do not parallel and coincide with planes of weakness such as joints or thin
lenses of shale or claystone. In addition, the rock bolts should be anchored outside of possi-
Anchor zone ble zones of tension where the blocks of jointed rock could be expected to loosen over time
due to the development of deformation and a displacement field in the upper periphery of
the tunnel

Block As illustrated on figure 3-11, slippage along joints could cause individual rock blocks to
stabilization become separated from the main rock mass. The analyses of discrete blocks that may be
formed by persistent discontinuities such as those shown on figure 3-11, should always be
analyzed. Additional reinforcement to stabilize such blocks is usually required beyond that
needed for general overall pattem reinforcement.

Identify Blocks defined by three structural planes can either fall or slide from the roof or sfide from
failure planes the walls. If necessary, potential failure mechanisms can be identified by preparing a stere-
ographic plot of the intersecting joint and wall planes to determine the orientation and
length of the additional anchor bolts required in addition to pattem bolting.

Table 3-5. — Suggested lengths and spacings for rock

reinforce-ment in tunnels. [COE, 1978b].

Parameter Empirical rule

Minimum length Greatest of:

a. Two times the bolt spacing

b. Three times the width of critica'
and potentially unstable rock blocks
c. Spans less than 20 feet — 1/2 span
d. Spans 20 to 60 feet interpolate
between 10 and 15 fect

Maximum spacing Least of:

a. 1/2 the bolt length

b. 11/2 the width of critica' and
potentially unstable rock blocks
c. 6 feet

Minimum spacing 3 feet

ASCE/EPRI Guides 1989 3-30

 a. Bedding planes inclined to vertical.

b. Bedding planes inclined.

Figure 3-10. — Rock bolting in fissured rock around underground openings.

3-31 ASCEiEPRI Guides 1989

 a. Fallout of blocks isolated from rock mass caused by failure along joints.
1

—7

b. Progressive partial failure of joint blocks adjacent to excavation surface.

Figure 3-11. — Gravity effects on jointed rock stability. [COE, 1980].

Terzaghi's c. Determination of Support Requirements Using Terzaghi's Loadings. — In those

loading cases where an evaluation of the physical parameters of the jointed rock mass give a value
criteria of Q < 0.4 with the NGI Method, or where it is recognized that the in situ materials consist
of very blocky and seamy rock with joint spacing less than 1.0 foot, and with rock frag-
ments entirely separated; completely crushed but chemically intact rock; squeezing rock, or
swelling rock materials, rock loads will be detcrmined on the basis of Terzaghi's work.

Swelling Conditions associated with swelling in rock tunnels usually involve expansive clay miner-
mineraIs als (montmorillonite or illite) in seams or fault gouge; shales and marls containing these
same clay minerals; and anhydrite.

Swelling Anhydrite swells as a result of hydration, which transforms anhydrite (anhydrous calcium
pressures sulfate) into gypsum. Swelling pressures have been measured up to 40 kg/cm2 (570 lb/in2).
Swelling in clays is most usually associated with osmotic swelling due to ion concentration
differences between the absorbed water and the free water. Osmotic swelling in clay miner-
als can produce pressures of several tens of kg/cm2.

ASCE/EPRI Guides 1988 3-32

Swelling is affected both by increases in water content and by stress changes. When a flat
bottomed tunnel is excavated under in situ conditions where Qv > crit as shown on figure
3-12, adjustcd stress trajectories around the opening produce arcas (cross hatched) where
stress changes occur. The cross hatched areas are unloaded. Maximum swelling can occur
in the unloaded areas where existing confinement pressures were released.

Unfortunately, the floor is also exposed to increased water content caused by drainage col- Effective drain-
lection. The result is that the greatest displacements measured are in the form of invert age required
heave. Obviously the amount of swelling experienced after excavation can be reduced if a
circular or near-circular section is used, and water is not allowed to collect in the invert of
the tunnel. Specifications should require effective drainage facilities in reaches of tunnel
traversing materials with swell potencial.

Anhydrite presents additional problems which make tunneling through them very treacher- Anhydrite
ous. The material will dissolve in the presence of water infiltrating into the tunnel where dissolves pro-
the tunnel acts as a drainage sump. Cavities can develop behind supports leading to pro- ducing cavities
gressive failure of the ground arch. Considering the difficulties presented by Chis material, Avoid penetra-
the designer should always strive to avoid penetrating it with water conducting tunnels ting anhydrite
when possible. formations

When it is determined that the tunnel must penetrate sections of very blocky and seamy
rock, crushed rock, or squeezing or swelling materials, it should be assumed that steel ribs
will be supported with shotcrete and wire mesh, or continuous steel lagging or continuous
steel liner plate, depending upon the conditions encountered. Pea gravel packing can be Use of steel
used to fill any anular space behind the steel lagging or liner plate. Wet concrete packing sets
may also be used; however, the concrete may obstruct drainage. When it is obvious that the
stecl sets will carry some lateral loading in squeezing and swelling ground, invert struts or
circular steel sets should be adopted.

Excavating a tunnel in very blocky and seamy rock may require some prereinforcement of Prereinforcing
the tunnel roof by drilling and grouting in rock anchors as spile sets, angled up 30° from tunnel roof
the tunnel roof. The spiles would be installed from the face of the tunnel heading before the
heading is advanced to the area under the spiling.

The approximate rock loads in feet of rock that can be expected on the steel ribs can be
estimated using the Ioadings predicted by Terzaghi, presented in table 3-6.
Design of steel
4. Steel Support Design supports

Steel supports for tunnels can be analyzed as a confined arch or ring where the effects of Simulation of
passive resistance resulting form the confinement are simulated by the use of imaginary confinement
steel compression members of equal length, which are considered hinged to the steel rib
supports at blocking points. The general arrangement is shown on figure 3-13.

The deformation of the imaginary, linked compression member is set equal to the deforma-
tion that would occur in the rock periphery under the center of a finite dimensioned, square
block, subjected to a uniform load.

3-33 ASCE/EPRI Guides 1988

Assumptions The joint displacements that would result from the compression of the hard wood blocking
used in material and crushing of any rock knobs or points under the blocking material, as the pas-
analysis sive pressure is developed at the blocking points, should be ignored. These displacements
can be assumed to have been compensated for during the initial precompression of the steel
set as it is placed and the blocking material is forcibly wedged between the steel set and the
contiguous rock. The square blocking is assumed to have a side dimension approximately 3
to 4 inches wider than the steel rib flange.

Use conserva- The cross-sectional area of the imaginary compression link is computed by equating the
tive moduli deformation of the link to the foundation deformation under the blocking point, substitut-
ing an assumed block size, link length and rock modulus of deformation into the resulting
expression. The rib supports should be analyzed for conservative values of the rock modu-
lus of deformation at the location of the ribs.

Simulated The linked members are oriented radially from the center of the curvature of the centerline
elastic support of the steel supports. Only the radial component of the total load is applied at the blocking
points. The tangential component is assumed to be carried by the rock and is not applied to
the rib. Blocking points can be assumed to be spaced at 3 foot centers around the ribs.
Specifications will limit the maximum permissible spacing to 3 feet. Closer spacing of
blocking points will be less critical and can therefore be ignored.

Analysis of The arches (or rings) can be analyzed by STRUDL with the analyses set up for the most
arches or general case, i.e., a link at each blocking point. In the region where inward deflections are
rings determined in the initial computer run, placing links in tension, those links should be con-
sidered inactive and not be included in subsequent computer runs. In this manner the effect
of confinement is recognized to the extent that outward deflections are restrained and
inward deflections are unrestrained.

A stress correction factor for an actual curved beam can usually be ignored in the computa-
tion of the member stress because the magnitude of the correction factor is very small.

Figure 3-12. — Zones most affected by swelling. Shown cross hatched for a>, crip
[Einstein, 1975].

ASCE/EPRI Guides 1988 3-34

 Table 3-6. — Rock class descriptions and predicted rock load. Allowable
stresses in
Rock load, Hp analysis
Rock condition feet

a. Very blocky and seamy with rock Hp = (0.35 to 1.10 (B + Ht)

fragments entirely separated and
imperfectly interlocked. Joint
spacing less than 1.0 foot,
modcrately to highly altered with
zones of moderate to intense
shearing.
(Load applied vertically
global; i.e. over total
vertical projected width
of liner, typical)
(Analysis should include a
global horizontal loading of
of O and 0.25 times the
vertical loading)

d. Completely crushed but chemically P

intact. No recementation has
taken place. Material has
character of a crusher run.
= (1 • 10)(B H)
(Load applied vertically
as aboye)
(Analysis should include a
global horizontal loading
varying as 0.25 and 0.50
times the vertical loading)

e. Squeezing (low to moderate) HP = ( 1 10 to 2.10) (B + Ht )

ground, highly crushed and
altered, high content of
micaceous minerals or clay
minerals with low swelling
capacity.
(Load applied vertically
as aboye)
(Analysis should include a
global horizontal loading
varying as 0.50 and 0.75
times the vertical loading)

f. Squeezing (moderate to high) HP = (2•10 to 4.50) W Hl)

and swelling, plastic highly
altered, mainly clay gouge.
lay minerals present with high
swelling capacity.
(Load applied vertically
as aboye)
(Analysis should include a
global horizontal loading
varying as 0.50, 0.75 and
1.00 times the vertical loading)

Note:
B = width of tunnel excavation.
Ht = height of tunnel excavation.

An allowable stress of 0.9 times the yield stress, considering axial load and bending can be
allowed in the analysis of the steel sets based on the characteristics of the steel section
when they are encased in shotcrete. This is 20 percent more than normally allowed and is
justified on the basis that the shotcrete surround or encasement applied on and adjacent to
the steel sets will add to the capacity of the support system Assuming there is good bond
between the shotcrete and steel, the increase in capacity can be veritied by computations.

Figure 3-14 demonstrates sample computations for determining properties of the imagi-
nary links.

3-35 ASCE/EPRI Guides 1989

 ,11~11111110
111111111111111114/

• 4,
11( \
11111111111

11
o
•
Steel Rib

Pretensioned anchor bolts

• may be applied at base
•
V

if required

o •
:•.50:19.11; 1

Radial, hinged imaginary link Tunnel Support

in region where passive resistance
is provided by contiguous rock Blocking Point
(typical)
1IN •

• .1.

• •

• •

•
Figure 3-13. — General arrangement of imaginary links.

ASCE/EPRI Guides 1989 3-36

 Analogous hinged steel compression member
to simulate passive resistance offered by
rock side walls of tunnel

PL
AL -
AsEs

Refer to Pg. 383 of "Theoretical Soil Mechanics" by Karl Terzaghi Settlement

of the surface of a semi-infinite solid due to a flexible vertical load on a
finite area.

For uniform load g on area 2Bx2B at

blocking point, B1 = BII = BIV =LI, etc.
p = total settlement of point N'
IpN = influence value with N = I to IV
Br= LIE
L =Bar from figure 122,a of reference
for TI = 1, Ip = 0.56

Area of blocking, A = (2b)2 = z

The total settlement of point N' at center of square is:

1 - UR2
P = q (BIIpi + B/1 BIVIP1V)
IPII BIIIIPIII
p
UR2
P = (4 x B x 0.56)
4B2 ER
1-UR2
p = 0.56 x
ER

For purpose of this illustration, assume:

UR = 0.20 (Poisson's ratio for Rock)

ER = 500,000 psi (Rock modulus of deformation)
Es = 29,000,000 psi
10" x 10" blocking used with B=5"
L = 24"

Equating p and AL:

P 1-(0.2)2 PL Px24
p = 0.56 x x 6 , and P is eliminated
5 0.5 x 106 A sE s Asx29x10

5x0.5x106x24
As - = 3.85 sq. inches
0.56x(1-.04)x29x10'

As and L are then the dimensional properties of the analogous

hinged steel compression member that simulates the passive
resistance offered by rock walls of tunnel.
Figure 3-14. — Sample determination of link properties.

3-37 PISCIVEPRIChlides 1989

 C. CONCRETE TUNNEL AND SHAFT LINERS

1. Reasons for Adopting a Concrete Liner

Unreinforced An unreinforced concrete lining can be expected to crack Iongitudinally and circumferen-
concrete lining tially due to intemal pressure loading and to restraint during volumetric change. It cannot
is not be considered impermeable. If the expected intemal operating pressure is relatively low,
impermeable reinforcing can be provided to control leakage.

Leakage Providing reinforcing steel in concrete linings should not be expected to control leakage in
cannot be tunnels subjected to high intemal pressure. In order to effectively control leakage, the
controlled by strain in the reinforcing bars must be kept low by limiting the stress in the bars to a value
reinforcing considerably lower than normally allowed. The use of reinforcing in the presence of high
when pressure internal pressures therefore becomes inefficient and extremely impractical. A steel tunnel
is high liner should be considered.

Reinforce A concrete tunnel lining is normally considered in those reaches where one or more of the
zones or following conditions exist:
weak rock
a. Economic factors require that head loss be reduced to the minimum practica], requir-
Economics ing a smooth wall lining. The lining could be unreinforced if other factors do not
dictate otherwise.
Reinforce b. The tunnel alignment requires that zones of weak rock or fault zones must be
zones of crossed where the long time stability requires that a reinforced concrete lining be
weak rock provided. The concrete lining will reinforce the initial support system consisting of
combination of steel supports, rock bolts, wire mesh and shotcrete.
Control c. The tunnel traverses very permeable rock strata where leakage as seepage out of the
leakage tunnel could be severe or create slope instabilities in the adjacent terrain and a low
intemal operating pressure allows a reinforced concrete liner to be used.
Prevent d. Sandstones, siltstones, or mudstones are encountered containing high percentages of
slaking and clay minerals or clay cement (argillaceous sandstones, siltstones, and mudstones)
erosion that are susceptible to water slaking and would undergo erosive degradation in the
presence of flowing water. If intemal pressure is low, an unreinforced concrete Iiner
can be considered.
Prevent e. Joint in-fill material or fault gouge could be dissolved or eroded by flowing water
instability resulting in progressive instability of blocks of jointed rock in the periphery of the
tunnel along the walls or roof. If interna' pressure is low, an unreinforced concrete
liner can be considered.
f. The tunnel is located at depth in a syncline formation and traverses permeable
aquifer strata fed from the surface. External pressure would wash joint in-fill materi-
al and fault gouge into the tunnel creating instability of rock around the tunnel
periphery. An unreinforced concrete liner can be used.

Care fu l Site conditions and characteristics of rock units would need to be determinad by a careful
evaluation geologic evaluation before a rock unir can be considered of adequate quality to omit a con-
req u i red crete lining. Also, the increase in head Ioss in the unlined rcaches excavated by drill-and-
blast procedures is usually of such proportions that the dccrcasc in capacity and cncrgy has
a significant effect on the project economics.

ASCE/EPRI Guides 1989 3-38

Concrete liners in near horizontal tunnels excavated by drill and blast procedures, with Minimum
steel supports in some reaches should have a minimum thickness of 18 to 24 inches, liner thickness
depending upon the size of the steel sets, to permit workers to locate, adjust and anchor
forms in place. Concrete liners for vertical shafts and for tunnels excavated by a full face
tunnel boring machine can have a minimum liner thickness of 12 inches when steel sup-
ports are not required and the concrete liner is not expected to carry any rock load at some
future time.

A concrete liner provided essentially for hydraulic reasons will usually be unreinforced
unless leakage could create potential problems, such as in (c) aboye, where excessive seep-
age could provoke slope instabilities and slide failures in the project area.

2. Design of Concrete Lining for Internal Pressure to Control Leakage

When the rock surrounding the tunnel is jointed and fractured, the leakage out of the tunnel Crack control
is controlled by the number and size of tracks forming in the concrete liner. When the
intemal pressure is low, cracking of the liner can be controlled by the installation of light
reinforcing at the inside face of the concrete liner (#6 bars at 12 in o.c. in srnall tunnels and
#8 bars in larger tunnels).

The report of ACI Committee 224 entitled "Control of Cracking in Concrete Structures," Reference
[CI, 19801, which appears in the October, 1980 issue of Concrete International establishes criteria
criteria for tolerable crack widths and determination of permissible reinforcing stresses to
control crack width of reinforced concrete members in tension.

In accordance with information presented in this report, the crack width, W, is:

-3 (3-9)
W= /T71
c x 10
Allowable
where: -r- V.t e_l rebar stress
to control
A= 2 clj, cracking
= bar clearance, or cover,
S = bar spacing, and
W= 0.20 mm (0.008 in) for water retaining structures, based on recent
experience.

Early investigations in crack width and crack spacing in reinforced concrete members load-
ed in tension led to the conclusion that crack width was proporcional to the concrete cover
provided. This results in a lower critical bar stress at increasing depths of cover, requiring
more reinforcing to maintain a given minimum crack width. Experience, however, has
shown that the crack width at the level of the reinforcing bar remains about the same and it
is suggested that a cover of 2.5 inches to the center of the bar be used in computations
regardless of the actual cover provided.

3-39 AS CE/EPRI Guides 1988

 The bar stress,f, (in kips/in2), is then:

34.47 (3-10)
fs
S

when the clear cover is 2 inches; i.e., when de O' 2.5 inches to the center of the reinforcing
bar.

This bar stress should not be exceeded if the maximum crack width is to be less than 0.20
mm. A graph of bar spacing in inches versus bar stress in kips/in2 (ksi) is presented on fig-
Best crack ure 3-15. As long as the actual stress in the concrete reinforcement is less than the stress
control from indicated for F.S. = 1.0 on figure 3-15, the cracks will be controlled to 0.008 inch (0.20
closely spaced mm). Crack width is proportional to the steel stress in the reinforcing bars. The best crack
bars control is obtained when the reinforcing is well distributed; i.e., closely spaced at the inside
face of the concrete liner. Bar spacing greater than 12 inches (30 cm) should be avoided for
crack control.

Bar stress The actual stress in the reinforcing bars is based on that portion of the intemal pressure car-
effects crack ried by the reinforcing bars and not that carried by the surrounding rock in accordance with
control the elastic interaction of the reinforced cracked concrete section and the surrounding rock.
Using the equations developed in appendix A at the end of this chapter, the actual stress in
the reinforcing bars,fs, can be determined from equations (3-11) and (3-12).

Ra Rs
As Es
Pe = Pa
Rc Rs Rc Re
+ (log + R g Rd Rc (1 U
As Es Ec e Rs E ° e Re + Erg r21
1 k
Ra
Re
= Pa (3-11)
1 + ARES [l R ) R
log e T-j + U r2)
Ec i°g e R, ) -4- E
rl 2
and

P aRa Pc R e (3-12)
fs — As

where:

Pa = intemal pressure (lb/in2),

Ra = intemal radius (inches),
R, = radius to centerline of reinforcement (inches),
Rc = radius to face of rock behind concrete (inches),
E, = modulus of elasticity of reinforcement = 29 ? 106 lb/in,

ASCE/EPRI Guides 1988 3-40

 18 IR

PC.I.Ow12' COVER

Z 12 2

z
N 9 9

6 6

4 4

10 12 14 16 18 20 22 24
BAR STRESS IN KSI

BAR STRESS IN KIPS PER IN2 VERSUS

BAR SPACING IN INCHES TO MAINTAIN CRACK WIDTH < . 008"

FS. 1.00 w12" COVER SIGNIFIES FACTOR OF SAFETY EOLIALS 1.00 WITH 2
OF CONCRETE COVER TO REINFORCING BAR. OR SAV 2.5" c TO CENTER OF
REINFORCING BAR

Figure 3-15. — Bar stress versus bar spacing to maintain crack wiclth 5 0.008 inch.

E, = modulus of elasticity of concrete = 3 ? 106 lb/in,

Er = modulus of elasticity of fissured rock (lb/in),
modulus of elasticity of nonfissured rock (lb/in),
Erg
Ur 2 Poisson's ratio for nonfissured rock,
As = area of reinforcement per inch of tunnel, (in2), and
fs stress in reinforcement (lb/in2).

It may be conservatively assumed for preliminary studies that the zone of fissured rock Depth of
extends out one tunnel radius from the excavated tunnel periphery (see app. A). This might fissured rock
be the case if the tunnel excavation were executed using conventional drill-and-blast proce- zone affected
dures, and heavy explosive charges were used to obtain an overly ambitious heading by excavation
advance with each dril and blast cycle. Experience has shown that the dcpth of the zone of procedure
fissured rock extends out beyond the Pace of the excavation a distante varying from almost
nothing to about one radius depending upon the procedure used to excavate the tunnel. The
actual depth can be determined by geophysical measurements within the tunnel using
acoustic logging for example.

If there is no fissured rock, the term 1/Eri(loge Rd/Rc.) in equation (3-11) drops out.

This could be the case if the tunnel were excavated with a tunnel boring machine, eliminat-
ing the disturbed or fissured zone.

3-41 ASCE/EPRI Guides 1989

Rebar stress The stresses in the reinforcing bars, using #6 bars at 12 inches o.c. have been determined
for various for various tunnel radii, Ra, rock modulus, E,.2 and intemal pressures, Pa, on figure
internal 3-16(a), assuming that the concrete liner is 18 inches thick, that Poisson's ratio, (4.2 , for
pressures and the unfissured rock is 0.20, and that En = 0.25 Ere in the fissured rock. Reinforcing bars
mod u li smaller than #6 (19 mm) should not be used because they are too flexible to work with in
erecting and placing bar cages. Number 8 bars should be considered for tunnels with inside
diameters exceeding 20 feet. It must be pointed out that it is difficult to keep reinforcing
bars in position during the placing and consolidation of concrete behind the forms; some
displacement is to be expected.

Figure 3-16(b) indicates the stresses in the reinforcing bars for the same assumptions
except that it is assumed that there is no fissured zone of rock just behind the concrete liner.

Inspection of figures 3-15 and 3-16 jointly, demonstrates that #6 bars at 12 inches o.c. at
the inside face of the concrete liner are adequate to control leakage with some factor of
safety in most concrete-lined tunnels, except in those cases where the intemal pressure, Pa,
is very high or the rock modulus of elasticity (deformation), Er, is very low. E, can be
Factors improved by pressure grouting in some cases. It should be recognized that neither Er nor
affecting E,. are constant for any rock unit. The values will vary and are at best, average representa-
modulus of tive values. Generally the modulus of elasticity is affected by rock type, porosity, particle
elasticity size, and water content. Er and U,. are important design parameters and they should be care-
fully determined and logged by station location along the entire length of tunnel. In situ
Limitations testing is necessary when relatively soft formations are traversed by reaches of the tunnel.
on use of In the presence of high intemal water pressure, a reinforced concrete lining should not be
reinforcing considered for watertightness. Where Pais high and Er is very low, it is preferable to use a
steel liner for watertightness to prevent excessive leakage.

Avoid heavy The use of heavy reinforcing in a concrete tunnel lining should be avoided if possible. It
reinforcement makes placing concrete behind the tunnel forros extremely difficult and, as a consequence,
large voids may remain in the lining, especially in the tunnel crown. These voids can only
be filled by extensive grouting through holes in the concrete lining. It is only when the con-
crete liner is expected to provide a significant part of the permanent support of the tunnel
that reinforcement is required at both the inside and outside faces of the concrete liner to
assist the concrete liner in carrying the moments and axial forces that develop on the liner
section from extemal loads.

Another important consideration in controlling leakage is to control the propagation of

cracks in the transverse direction around the periphery of the tunnel, in the direction per-
pendicular to the longitudinal axis of the tunnel. These cracks form due to a combination of
longitudinal restraint and volume changes resulting from thermal and moisture changes.
The change in temperature to be considered is the difference between the peak temperature
of the concrete attained during early hydration and the minimum temperature to which the
tunnel Iiner will be subjected under service conditions. Under most conditions the tempera-
Mínimum ture difference is sufficient to produce stresses in the concrete that exceed its tensile
longitudinal strength, producing circurnferential cracks. To control the size of these cracks when leak-
reinforcing age must be controlled, the minimum amount of temperature and shrinkage reinforcement
provided in the longitudinal direction should not be less than 0.0018 times the gross cross-

ASCE/EPRI Guides 1989 3-42

 3.00
ya
U) a
O_ g•00
2.50 \
o \
o .
o ?
o
\
2.00
z

ti \\7''''''
'111,..
'‘
1.50 N'N'''—
'5) ----...„..,..„.
o
o

u 1.00 ---,„,..
cc
Tunnel radius is N,,,,,

5' for left line '....\. p,s1

0.50
10' for center line
15' for right line
O
0 2 4 6 8 10 12 14 16 18 20 22 24
STRESS IN REINFORCING VARS, 1,000 PSI I #6 @ 12' OC, INSIDE FACE ONLY)

a. Fissured rock.

3.00
Tunnel radii are 5', 10', and 15'

C7,
For large rock modulii
12- 2.50 5' is on the right 15' is on the left
o
o
o For small rock modulii
o 5' is on the left 15' is on the right
o 2.00
z
U)
A
d ..:,.
1.50 q
.,
o

o
cc
1.00
\ 1.
\
iii ..
N,, .5>

w 100,
,...s,
0.50 N ,_________.
__., 50 P S1
----
o IIIII
------T1M
0 2 4 S 8 10 12 14 16 18 20 22 24
STRESS IN REINFORCING BARS. 1000 PSI .(#6 @ 12' OC, in INSIDE FACE

b. Massive nonfissured rock.

Figure 3-16. — Stress in reinforcing bars for various tunnel radii, rock moduli, and interna! pressures.

3-43 ASCE/EPRI Guides 1989

 sectional atea of the concrete tunnel liner. The minimum bar size and spacing for the longi-
tudinal reinforcing are #6 bars and 12 inches o.c. when crack control is required.

Analysis and 3. Analysis and Design of Concrete Linings for External Loadings
design for
external The inicial support system used to stabilize the excavated tunnel is normally considered the
loa dings permanent support system. It is important that the rock receive support very soon alter
excavation.

Limitations It is normally impossible to install a reinforced concrete liner fast enough to act as the ini-
in use as cial and permanent support. The concrete lining would therefore not be expected to provide
permanent any support and would be installed unreinforced except as noted below.
support
In circumstances such as noted in section Lb., the concrete liner would be reinforced and
Considerations considered for load sharing, determined in part by the convergency occurring in the tunnel
for long-term section with time, and by judgment based on the identification of the gouge material pre-
load sharing sent in the fault zone or identification of die rock characteristics in a zone of very weak
rock. Initial support could be expected to consist of circular steel ribs with steel lagging or
steel liner places.

If the convergente or inward radial deformation measured in the excavated tunnel over
time prior to installing the concrete lining, or if identification of the mineral constituents of
the surrounding rock indicates a potential for swelling, or both, it should be expected that
considerable pressure will develop on the concrete liner due to either squeezing or to
squeezing and swelling. The approximate rock loads in feet of rock that can be expected on
the liner can be conservatively estimated using the loadings predicted by Terzaghi, present-
ed in table 3-6.

Keyblock In jointed rock, the appropriate roof and wall support pressures should be determined from
analysis the N.G.I. method, and in addition, by a keyblock analysis to determine if there are any
potential keyblocks which will influence the support requirements. Since the joints will be
exposed in the tunnel excavation, their orientation and condition can be determined. An
upper hemisphere stereographic projection can be drawn to look at potential rock wedges
formed by the intersection of a system of joints and the tunnel periphery. All of this infor-
mation should be integrated into the design of the final overall support scheme where the
concrete liner will be used to support rock load.

Possible Some possible loading configurations are depicted on figures 3-17 and 3-18. Rock loading
loading in jointed rock as depicted on figure 3-18 involves a failure mode of translation of rock
configurations blocks as regular prisms along joint planes when frictional resistance between joint planar
surfaces is low. The lower inclined joint could represent, for example, an existing slicken-
side or a joint with soft clay in-filling.

Assumptions The reinforced concrete tunnel liner should be analyzed as a confined ring where the effect of
for analysis passive resistance resulting from the confinement offered by the surrounding, continuous
rock is considered. The passive resistance can be simulated in a computer analysis by intro-
ducing springs or imaginary steel compression members of equal length, which are consid-
ered hinged to the nodal points or joints of the elements into which the ring is divided for

ASCE/EPRI Guides 1989 3-44

 POTENTIAL ROCK WEDGES IN TUNNEL ROOF

LOADING PATTERN LOADING PATTERN

/ IIIIIIIIIIIIIII
I/ ROCK JOINT, HIGHLY
TYPICAL WEATHERED
ROCK

WEDGE OF
JOINTED ROCK

LOADING PATTERN LOADING PATTERN

ROCK JOINT,
TYPICAL

LOADING PATTERN

POTENTIAL LOADING IN
SOUEEZING AND SWELLING ROCK

GLOBAL LOADING WITH OR WITHOUT Pf,

Figure 3-17. — Potential rock load configurations.

3-45 ASCE/EPRI Guides 1989

 HOR SESHOE

B'1

Figure 3-18. — Potential loading configurations in steeply inclined, jointed rock.

ASCE/EPRI Guides 1989 3-46

purposes of analysis. The ring should be divided into 15° (or smaller) segments to give a How rock load
good representation of the expected moments and axial Ioads on the elemental scgments of is applied to
the ring. The general arrangement of confinement points offering passive resistance is ring
shown on figure 3-19.

The symmetrical or asymmetrical loadings determined previously would be applied to the

elemental scgments between nodal points or joints. Only the radial components of the rock
load would be applied to the concrete liner as member loadings. The tangentiaI compo- Simulation of
'lents will be assumed to be carried by the rock. Consecutive computer runs can look at (1) defarmation
extemal pressure only from rock Ioads for a de-watered tunnel and (2) combined internal
and extemal loading for normal operation.

The deformation of the imaginary, linked compression members can be set equal to the
deformation that would occur in the rock periphery under outward deflection of the con-
crete lining when loaded.

An analogous hinged compression member (or spring) can be used to simulate the passive
resistance offered by the rock wall of the tunnel (see fig. 3-20) as follows:

PR(1 + Vr ) (3-13)
1R, at rock face _
E,.

where P = pressure at rock face = FISb = FIRO, then

FR(1 +11,..) F(1+ Vr ) (3-14)

dR -
RObE, Er bli

where F = force at joint, and ROb = portion of tunnel peripheral surface atea opon which
force acts.

If an analogous steel compression member of length L is introduced to simplify computa-

tions by computer, then:
FL = (3-15)
4L= áR
As E,

FL F(1+ Vr )
(3-16)
As E S E r b(1)

MOL
E5(1 Vr) (3-17)
As +

where: A, = cross-sectional area of analogous steel compression member.

3-47 ASCE/EPRI Guides 1989

A spring or hinged link is
introduced in region where Elastic line before loading
passive resistance is provided
by contiguous rock, typical

Joint or nodal point

between elemental
segments, typical

Elastic line after loading

Figure 3-19.— General arrangement of confinement points offering

passive resistance.

Node or joint between sections, typical

S = RO
Assume length of section along tunnel
is b units

Figure 3-20. — Arrangement of analogous hinged compression member to stimulate passive resistance
at rock wall.

ASCE/EPRI Guides 1989 3-48

 Example Calculations

Assume:

= 500,000 lb/in2,
b = 12 inches,
rp = 15° or 0.2618 radians,
E, = 29,000,000 lb/in2,
L = 24 inches, and
V,. = 0.20.

Then:

50 0,0 00 (12)0.2618 (24)

— 1.08 33 in2
AS 29,0 00,0 00 (1.2)

Consider linked members oriented in the radial direction from the center of the tunnel to
simplify joint displacement calculation and assume that the hinged support at outer end of
analogous hinged compression member is fixed against movements in the X and Y direc-
tions (see fig. 3-20).

The rings can be analyzed using existing available computer programs like STRUDL. The Procedure for
analysis should be set up for the most general case to begin, with an imaginary compres- analysis
sion link at each modal point. In the region where inward deflections are determined by the
initial computer run, the link should be removed or considered inactive and not be included
in the subsequent computer analysis. In this manner, the effect of confinement will be rec-
ognized to the extent that outward deflections will be restrained and inward deflections will
be unrestrained.

The stress correction factor for an actual curved beam is usually ignored in the computa-
tion of the member stress because the magnitude of the correction factor is small.

The analysis can include the steel supports in composite action with the concrete liner if
desired.

Concrete linings which may be subjected to high extemal pressure should also be analyzed External
for the stress produced under extemal water pressure loading for the case when the tunnel water
is dewatered. The thick-cylinder formula should be used for calculating stresses. A factor pressure load
of safety 1. 1.0 should be provided for the minimum specified ultimato concrete compres-
sive strength. Additional safety is obtained from the fact that due to overbreak a Iarger
section is available and from die fact that the strength of the concrete exposed to wetting
increases with time.

4. Grouting Behind Concrete Tunnel Liner

It would be expected that drilling and grouting would be carried out through the concrete Consolidation
liner to (a) consolidate disturbed and fractured rock by filling open joints around the tunnel and contact
periphery which are loosened from blasting and gravitational effects when the opening is groutin g

3-49 ASCE/EPRI Guides 1989

 creatcd and (b) grout the contact between rock and concrete lining to fin voids aboye the
spring line between the face of the excavation and the concrete backfill. These voids are cre-
ated by the difficulty in pumping concrete in along the irregular surface at tunnel roof where
air pockets collect and by downward slumping of concrete as it is consolidated by vibration.

Grouting Grouting improves the clastic interaction between the concrete Iiner and the surrounding
provisions rock. In addition to pattem grout holes, any large overbreak areas in the tunnel roofs should
be provided with grout pipes and an air vent pipe to the highest point to ensure backfilling
the entire void. The grouting pressures to be used should be determined in reference to the
expected intemal operating pressures. Consolidation grouting should be done at a pressure
equal to or greater than half the maximum expected static intemal operating pressure. The
two operations (contact and consolidation grouting) should be carried out in stages using
packers in the holes.

Grouting Staged grouting has been performed successfully to significantly reduce leakage in local-
behind liner to ized zones behind concrete liners. First-stage grouting should be done in rings spaced
reduce leakage along the tunnel at a distance about equal to the tunnel radius and grouted to a dcpth of
about one radius at a pressure of 50 to 100113/in2 to close joints near the tunnel periphery.
Some caulking of liner tracks may be necessary. Second-stage grouting should be per-
formed at rings located betwecn the first set, to a depth of at least two tunnel diameters,
with holes spaced at 30° to 40° using a pressure equal to at least half the maximum expect-
ed operating pressure.
Third-stage grouting should be performed on first-stage rings, with holes drilled out at least
one tunnel diametcr on a spacing of 30° to 40° using a pressure equal to the maximum
expected operating pressure. Further split ring spacing may be required where grout take is
significant.

Holcs should be inclined slightly with the plano perpendicular to the tunnel axis as neces-
sary to intercept the maximum number of existing joints.

Tunnel 5. Tunnel Excavation and Lining Configurations for Pressure Tunnels

excavation and
lining The shape of the tunnel excavation to be used is obviously influenced by geologic condi-
configurations tions and rock support requirements, construction considcrations, hydraulic considcrations,
and overall economics.

Lining shapes The most hydraulically efficient closed sections flowing full are a circle or a polygon cir-
cumscribed around a circle. Some typical tunnel excavation and lining configurations are
FIat invert shown on figure 3-9. The construction contractor will prefer a tunnel with a fíat invert or
nearly fíat invert to facilitate movement of material and equipment. When extemal pres-
sures due to groundwater or squeezing rock with vertical and horizontal loadings are
expected, and a concrete lining is needed for reasons previously discussed, the preferred
Circular section is a circular intemal diameter in a circular tunnel excavation, as depicted on (a) of
interior figure 3-9. When rock loads will be essentially vertical, some economy can be realized by
reducing the steel supports to an arch section as shown on (b) of figure 3-9. If the rock
strata is thinly bedded, sharply dipping with planes (or lenes) of weakness such as shale
Support for partings, it is better to carry the steel supports down closer to the lowest pont of the tunnel
steel ribs invert as in (c) of figure 3-9 to prevent the possibility of a local foundation failure and loss

ASCE/EPRI Cuides 1989 3-50

of support for a steel rib or ribs. The concrete lining can be installed with a circular intemal
section or with a horizontal invert depending upon the expected extemal loading condi-
tions.

If it is desirable to instan the concrete liner with a circular inside diameter and provide a Shape
convenient working invert for the contractor, considerable econom y in concrete can be preferences
obtained by using sections (d) and (e) of figure 3-9. When extemal pressure from ground-
water will be severe and a concrete lining is required only for hydraulic (economic) rea-
sons and not to protect the long-time stability of the rock mass, formed drain holes can be
provided in the concrete liner to relieve extemal pressure when the tunnel is dewatered for
inspection and maintenance.

6. Defining Rock Characteristics for Computationa! Purposes

One of the critical problems encountered in design work is that little information is avail- Defining rock
able in the early stages when the feasibility and planning studies are perforrned. Yet, it is characteristics
usually necessary to develop tunnel layouts and compare altemative arrangements to arrive for preliminary
at the most economical scheme. Usually, the information is limited to a site reconnaissance designs
with geologic mapping of rock outcrops, the inspection of drill core from a limited number
of exploratory dril holes, and a review of regional geology maps and reports. In order to
arrive at representative values of the rock characteristics considerable use must be made of
experience and judgment and the use of known values for rock of a similar type and condi-
tion. Reported values are usually the results of tests on selected• rock samples and do not
represent the characteristics of the rock mass as a whole. The small sample cannot indicate
the effects of discontinuitics in the rock mass. Tablc 3-7 gives sample rock characteristics
from laboratory tests.

The modulus of deformation may be quite different from the true elastic modulus of elas- Estimating
ticity E, measured in the laboratory, since it is a measure of the stress to the total strain modulus of
which will include some elastic strain and some irreversible strain, i.e. permanent deforma- deformation
tion as open joints are closed. Plate bearing tests in fractured rocks have demonstrated that
the modulus of deformation, E, , can be approximated by E,. = E/D where E is the modulus
of elasticity determined from laboratory tests, and D is a measure of die degree of jointing.

Typical values of D are given below [Goodman, 19801:

Rock class D =EX,.

Compact rock <2

Moderately open jointing 2 to 10
Very open jointing >10

The degree of jointing at tunnel depth can be estimated using experience and judgment Estima ting
considering the amount of structure present (i.e., folding of rock units) together with the degree of
limited surficial evidente gained from the site reconnaissance and inspection of cores from jointing
a few exploratory dril boles.

3-51 ASCE/EPRI Cuides 1989

Comprehensive It is expected that the detailed design presented on the construction drawings will be based
exploration on the resu1ts of an appropriately detailed exploration and testing program to properly
program define rock characteristics and design parameters.

The program will normally include exploratory adits and some in-sito tests as discussed in
Monitoring previous sections. This is mentioned simply to call attention to an important point:
construction Regardless of how thorough the investigations and testing are before construction, it is
design extremely important that the construction of the tunnel be carefully monitored so that
revisions changes between assumed rock conditions and actual rock conditions can be detected
and reviewed by the designer to permit necessary design revisions. A number of seri-
ous tunnel failures have occurred because this was not done, resulting in extensive over-
runs in the time for putting the project in service and in the overall project cost.

Table 3-7. - Parameters for 25 specimens of representative rocks. Unconfined

compressive strength (q',), modulus of elasticity (E), average Poisson's
ratio (y) and specific gravity (sp. gr.). [USBR, 1953].

q1,1 E,
Description 113/in 2 lb/in2 y sp.gr.

Granite; slightly altered 9,400 1.47106 0.20 2.61

Andesite, hypersthene 18,900 67106 0.16 2.57
Basalt, fine grain, dense 24,000 97106 0.24 2.72
Gneiss, diorite 9,300 107106 0.10 2.86
Granite, massive medium 21,500 57106 0.15 2.63
grained
Granite, coarse-grained 10,500 3.87106 0.12 2.63
Granite, slightly altered 9,400 1.4?106 0.16 2.61
Granite, pegmatite 6,200 37106 0.11 2.62
Graywacke, coarse-grained 7,900 1.8?106 0.07 2.46
Graywacke, coarse-grained 4,400 1.47106 0.10 2.49
Limestone, fine to very 11,700 9.87106 0.25 2.71
fine-grained
Limestone (dolomite) 18,500 5?106 0.21 2.68
Limestone, oolitic 14,400 77106 0.18 2.67
Limestone, recf breccia 5,000 5.57106 0.15 2.25
Limestone, highly porous 900 1.2? 106 0.12 L82
Phyllite, graphite 1,000 1.3? 106 2.18
Phyllite, quartoze 1,400 1.3?106 0.04 2.18
Sandstone, tensleep 8,800 37106 0.12 2.28
formation
Schist, biotite w/ pegmatite 7,800 6?106 0.08 2.68
Schist, biotite-chlorite 5,300 107106 0.20 2.69
Schist, sericite 2,200 1.37106 0.06 2.47
Shale, calcareous 5,200 27106 0.03 2.67
Shale, quartoze 17,800 27106 0.07 2.69
Siltstone 3,500 1.97106 0.12 2.50
Tuff, lithic 500 0.187106 0.09 1.45

ASCE/EPRI Cuides 1989 3-52

 D. STEEL TUNNEL AND SHAFT LINERS

1. Reasons for Adopting a Steel Liner Reasons for

installation
A steel liner is installed where:

a. It is required to control leakage out of the tunnel because of unfavorable geologic

condi tions;
b. There is insufficient rock cover to withstand the intemal pressure within the tunnels Unfavorable
such that a potential for undesirable leakage exists because of hydraulic jacking geology
along horizontal or near horizontal joints;
c. Wherever the internal water pressure exceeds the minor principal stress in the sur-
rounding rock mass such that a potential for hydrofracturing or hydraulic jacking
exists usually along vertical or near vertical joints if an impermeable liner is not pro-
vided.

To properly assess criteria (c) aboye, it is necessary to know the magnitude and orientation Low in situ
of the in situ principal stresses in the rock mass at tunnel depth (tectonic plus gravitational stresses
effects). Unfavorable geological conditions would include, for example, the presence of
highly fractured and brecciated shear zones or other possible highly permeable zones or
discontinuities in the rock mass that intercept the tunnel and continue downstream to inter-
cept access tunnels or adits or pass near the powerhouse cavem.

Several failures of unlined pressure tunnels and shafts have been attributed to hydraulic Determine
jacking. If necessary, in situ tests should be uscd to determine the approximate maximum principal
and minimum principal horizontal stresses at tunnel depth and their orientation. stresses

Experience obtained in the design of hydroplants in Norway has shown that the penstock Minimum
steel Iiner should be provided upstream of the powerhouse to a point where the minimum cover from
cover, L, is at least equal to Hy,,(F.S.)/yreosfi as explained on figure 3-21. It is suggested Norwegian
that this be used as a preliminary criteria for determining where the steel liner may be ter- practice
minated. Subsequent checks should be made to see that the location selected satisfies the
criteria of (a), (b), and (c) aboye.

If criteria (a), (b), and (e) aboye are satisfied, the steel liner may be terminated and an unre- Determining
inforced concrete liner provided bcyond this point. This should preferably be confirrned by where steel
making water pressure tests in dril holes at the proposed cutoff site. The drill holes should liner may end
be oriented to intercept the maximum possible number of joints. Water pressure should be
equal to the maximum expected operating pressure.

Some judgment must be exercised in determining the minimum rock cover necessary to Determining
perrnit the rock surrounding the penstock to carry a portion of the intemal pressure load where steel
through elastic interaction with the steel liner and concrete backfill. Where the rock cover liner may
over the penstock consists of several equivalent tunnel excavation diameters of massive, aliare load
competent rock, it can be assumed that the rock carnes part of the intemal pressure load in with
accordance with the elastic interaction of the steel liner, concrete backfill, and surrounding surrounding
rock, provided that the tension in the rock at a dcpth of 10 mctcrs bclow the surface (based rock
on the formula for the stress in a thick walled cylinder) is less than the compression at this

3-53 ASCEJEPRI Cuides 1989

 H• lw • F.S.
L
Sr • Cos 43

ROCK SLOPE

POINT STUDIED

H = Normal maximum pressure head at point studied

L =Shortest distante between rock surface and point
= Density of water = 1.0
dr =Density of rock
F,S.= Factor of safety = 1.1

For dr "I 2.5 and 43 = 40° to 45°, L 1. 0.6H

Figure 3-21. — Determining point at which steel liner can be terminated in massive,
competent rock.

point due to gravitation and Poisson's effects. This procedure was suggested by Jacobsen
[1983] and is a logical approach.

Figure 3-22 provides an example of a necessary analysis. If the pressure carried by the
rock, Pc , were reduced, more cover would be required in fractured rock, as is shown in the
example.

In every case it is important to determine the depth of competent rock cover available, to
select the appropriate rock and steel liner parameters, and to determine t/R0 , design pres-
sure transferred in elastic action to the surrounding rock, 19,, and the circumferential ten-
sion stress in the rock mass at a depth of 10 meters below the surface. A conservative
approach should be adopted in all cases.

Transition in A transition in the steel liner thickness should be provided beginning where the rock cover
steel thickness is just adequate for carrying part of the interna' pressure load. The place thickness should
be reduced 3 mm (1/8 in) in each successive can section.

Liner When the powerhouse is Iocated underground, the high pressure penstocks are steel lined
upstream of immediately upstream of the powerhouse to prevent leakage into the powerhouse cavan.
underground The length of steel liner is determined on the basís of three dimensional seepage towards
powerhouse the caven considering the permeability of the jointed rock mass. The lengths provided are
generally in the order of 20 to 25 percent of the maximum expected head on the conduit
just upstream of the powerhouse.

ASCE/EPRI Guides 1989 3-54

The investigation of the permeability of the rock mass and determination of steel linar
length must consider the effect of any local discontinuities in the rock mass such as zonas
of intensely fractured rock, faults and tones of destressed loose rock in folded rock strata.

A circular, radial grout curtain consisting of one or more rows of grout holes should be Grout curtain
provided at the end of the steel linar to impede the migration of high pressure water down-
stream along the steel linar. The distance that the grout curtain should extend outwards will
depend upon the rock conditions at the site and the expected operating water pressure. For
preliminary studies an extension of five tunnel diameters can be used. The grout holes
should be angled to intercept the maximum number of existing joints.

Grouting should be done in stages, using packers. Final grout pressure should approach the
maximum expected operating pressure. The steel liner may need to be reinforced locally
with stiffeners near the grout curtain.

Where the steel liner terminates and a reinforced concrete liner continues, a transition Transition
length of reinforced concrete liner should be provided. Over a length of about one tunnel section at end
radius a gradual reduction in reinforcing can be provided from a quantity nearly equal to of steel liner
that provided in the steel liner (not to exceed #11 at 6 in a.c.) to that provided for leakage
control. The gradual change prevents an abrupt outward deformation of the concrete tunnel
liner which results in severe cracking. This has been observed to be the source of undesir-
able leakage on some projects.

Near the underground powerhouse cavem, the steel liner should be conservatively designed Transition
for no rock participation from a distance that is the greater of three penstock diameters or near
1 /3 of the powerhouse cavem height back from the underground powerhouse cavem to the powerhouse
face of the powerhouse cavem. Beyond this distance, a transition in steel plate thickness cavern
should be provided over successive can sections from no rock participation to full rock par-
ticipation.

2. Analysis and Design of Steel Liners for Interna' Pressure Analysis and
design for
The ratio of the pressure carried by the steel liner to the total interna' pressure can be deter- internal
mined in accordance with an elastic analysis where the radial displacement of the circum- pressure
ference of the steel tunnel liner, is determined as shown on figure 3-23 (see app. 13).

3-55 ASCE/EPRI Cuides 1989

 IC N /\ ,0t
lOrn or soy 33 '

Cover =1',
10 Diarne-4-er5

Y
Steel lined Ílinnel wiM
load shann9 fo surrouno»3
mdssive rock ctin¿h ve,-y
?envio/ni-5 .

No+ Toscaie)
Example Check For Adeguacy oreover

455¿,,,,,,cy. P- A2: . 0.333r-,,=7 loarilcu/dr . í ra7lio ...7/70/ 2

P 427
/ar" p = /00f3asi ) / 9= ‘d 6 7,95:
45 ,-ume 6 -,../t 50 cz77:=. ZW h = CV/.5 --/.01 4/7/7e/exc4u/4777‘r7
Oic7,2-7e/r9--.s . /4"- •---- 2-1/ 5 -.33= 248 5
C-1-1 12 : á 2 (=F 21-1-2)=. 00552/g =.__.q. 55" C/r-c-c#774remic/
/-2 c778_, 6 2
7«eÁt9,-/zom.(77/e~,arrssIve
7L&,"2.5740,7. //7 M/5" eXcP#77,417k
.n--4-e-5-3 is de7er-y-~ed 7‘,-- P*-7-: /.5jacile9/70' "1-'--- 0.2
0, _ 0-v . 33 x / 25 x 0.25. 7 /é.ps/ , > (y
/ -rz
ii --

iF rock 15 vvell joinlLed and -Pac-Au red -Me pressure is

C1154-r-lhol-ed 4-hrou g h /1--he. join-1-ed rock- mass inversely
própor4ionai +o -1-he disrance ou+warcis such Mai.
irc)xh = /9xt- o/- 4.:?= px/1_,

liL nvn Zie ..5-hown AS (zin acidnion.zil co cp1r/- 5 `/4ciél

be re9uff-ed 50 Mc 7 71 pre5.5Zir-e 01 01-4.fr7~27/5 .=97L .1:9
Cke797 01293 / =y2,-e-5---~e Lippmx,7,-0(s
/9-- --= //' 5 x 667 --, 28. 65 = 33x/25
28 /44
Acid A!D /2,a7 / (- ) O y e 7- M C;0 [ / /O/ .á e/r).--..v/o'eci4i- / --",.51 >1
Figure 3-22. — Determining where steel lining can share load with surrounding rock.

ASCE/EPRI Guides 1989 3-56

 ¿3 A•k+Ac -i- ZID 4- AE
L5 = (P-e)2&- ' 2S P- 7)52 )
t- E
Z),K = Cs - T ea Cs - 6:5x/D 6/hM/x--

/cP k9e (1)

AD )_ hge(iee)
Zr
zi
421' vr2
(g (1-1)5) Cs • zr--ie,
= t.
faz: (I- Y52) 4"E 4e014_91(.9)#/l(1 -y,2 )

OC pontron orin/ernoil pressca-e

c-47r-r- yed 6y 57Lee/Mer-

Figure 3-23. — Equations of elastic compatibility.

The radial temperature gap, Ak results from concrete shrinkage plus the temperature differ-
ences between the temperature reached during erection, including the effect of the tempera-
ture rise during hydration of cement and the lowest operating water temperature; A, is the
radial deformation in the concrete backfill, behind the steel liner; Ad is the radial deforma-
tion ín the cylinder of fissured rock around the tunnel excavation; de is the radial deforma-
tion at the inner radius of the unfissured or more competent rock surrounding the tunnel,
see figure 3-23 and appendix B. Appendix B develops the equations of elastic compatibili-
ty and presents the units of all constants and variables used in the equations.

In tropical and semitropical zones, AkE O, because the tunnels and construction materials
reach ambient air temperature after they are open to forced ventilation for a long period,
the average water temperature in the reservoir is at or near the average air temperature. In
addition, mass concrete temperatures after about one year can be expected to be in the
order of the same magnitude if properly controlled during placement (81 °F, for example,
on a project in Venezuela). In northem climates consideration should be given to the possi-
bility of a gap existing and its effect properly accounted for.

Graphs have been prepared for use in preliminary studies. If E, , At, and tIR, are known, Graphs for
then a may be determined from the graph of E,. versus a for variable ratios of tIR, and AT preliminary
presented on figures 3-24(a) through 3-24(e). The words "fractured" or "unfractured" rock studies
on these figures refer to the presence or absence of a zone of fissured rock immediately
behind the tunnel liner with a lower modulus of deformation than the surrounding rock. For
purposes of making preliminary studies the depth of fissured rock has been conservatively
assumed to extend to a depth of one tunnel radius, and its modulus of deformation is

3-57 ASCE/EPRI Cuides 1989

 spPITIOIlc13/33SV
.006
.008
r7) .010 U)
0. tL
.012 o
o
.009 .014 o .004 .006 .008 >_0 10
o 3.0 n 3.0
O o
o o
o t/R a
686 1

2.0 2.0

o
2 1.0
o
o
II
O 0.2 04 06 0.8 1.0 0 02 04 0.6 0.8 I .0
a. Ratio of Pressure Cardad by Steel Liner to Tonal intarnal Pressure cr= Rallo ol Pressure Carrier] by Steel Liner no Tonal Internan Pressure
w LLY

a. Unfractured rock, no temperature differential. b. Fraclured rock, no temperature dliTereni ial.

U)
o
9
0 3,0
.008 .012
.004 .006 1 .0101 .014 Oo_oc) 3.0 .004 .006 .008 ›.010

kit
o
o
00 o O
2.0 - 2.0
t/R a

-o
o LO

u
o
aC
II O 02 0.4 0.6 0.8 02 04 06 08 1.0
N
a= Ratio ol Pressure Carrierl hy Steel Linar ro Total Internal Pressure Rátio of Pressure Cerned by Steel Liner to Total Internen Pressure

c. Inlernal pressure = 50 lb/in2, unfractured rock, d. Interna) pressure = 50 Ibtin2, fractured rock,
25 °F temperature differenlial. 25 °F temperature differential.

Figure 3-24. — Ratio of pressure carried by sleel llner lo total inlernal pressure for varyIng values of rock
modulus and uf rallos of liner Illickness to lunnel radios. (Sheet 1 of 3).
 sol3TrI9 nIclataDSV
= Rock Modulus, 1, 000.000PS I

. Rock Modulus, 1, 000,000PS I

.004 .006 .008 .010 .012 .014 .004 .006 .008 .010 .012 .014
10 3.0
686 1

IIR a t/R a
2.0 2.0

1.0 1.0

o o
o 0.2 0.4 06 08 1.0 o 02 0.4 06 0.8 1.0
1,
1
a= Ratio o( Pressure Cardad by Steel Linar to Total Inle nal Pressure cr= Ratio ol Frescura Cardad by Steel Linar te Total Interna' Frescura
w

e. Interna' pressure 100 lb/in2, unfractured rock, f. Interna! pressure = 100 lb/in2, fraclured rock,

25 °F temperature differenlial 25 °F temperature diffcrential.

,000,000PS I

rñ
o_
.006 .008 .010 .012 .014 o .004 .006 .008 .010 012 .014
.004 o

Tan,.
3.0 o 3.0
te
o
1.0
1/R a t a
- 2.0 - 2.0
2
z
-o
• 1,0 o 1,0
2
c.3 u
o o
cc O
0 02 0.4 0.6 0.8 1.0 0 0.2 04 06 0.8 1.0
nl

a= Rallo ol Pressure Cardad by Steel Linar to Total Internal Pressure = Rallo ol Frescura Carried by Steel Liner to Total Internet Pressure
LL1

g. Infernal pressurc = 200 lb/1112, unfractured rock, I1. Internad pressurc = 200 lb/in2, fractured rock,

25 °F temperature clifferential. 25 °F temperature differential.

Figure 3-24. — Ratio of pressure carried by steel liner lo (ola] interna] pressure for varying
values of rock modulas and of rallos of liner lliickness lo Mune] radius. (Sheet 2 of 3).
 ao_
.004
. 006
.008
.0
01
.012 .014
£7)
a
.004
.006.010
.008 .012 .014
g 3.0 8 3.0

1. A
ó fi
a o
- 2.0

• Lo ilih...N,
--',
-_,-,
•s_z.,..
___ _
,.....,
*- 2.0

o 1.0
ilErnytiak
,
ikn i 1
2
_y
o ------------- u ‘I N:
. -__-.--
cc
0
0
---'- -'- ---
'--
7-------k-- o ._
II O 0.2 04 06 08 1.0 0.2 04 06 08 1,0
e. rv
a= Ratio of Pressure Carried by Steel Liner to Total internal Pressure a = Ratio of Pressure Carried by Steel Liner to Total tnternal Pressure
LLI

i. Interna! pressure 300 ibiln2, unfractured rock, J. Infernal pressure = 300 Ibiiii2, fraclured rock,
25 °F temperature differential. 25 °F temperature differential.
00,0D0PSI

0)
e-
.004 .006 .006 .010 .012 .014 o .004 .000 .0013 .010 .012 .014
O-o
ca

o 3.0
o t/R a
o
E ,, --=RockModulus, 1,0

o
t/R,
h.)

2.0
tek

-o
c o
7'

2o 1.0
.x
o
cc O
01

0.2 0.4 06 0.8 1.0 e. o 0.2 0.4 06 013 1,0

'2

a= Ratio of Pressure Carrier] by Steel Liner lo Total internal Pressure Ratio of Pressure Carried by Steel Liner to Total Internal Pressure
ua

k. Infernal pressure = 400 unfractured rock, 1. Infernal pressure = 400 lb/1112 , fraclured rock,
sDPTDDicla/SDSV

25 °F temperature differential. 25 °F temperature differential.

Figure 3-24. — Rallo of pressure carried by steel Iincr lo total infernal presure for varylog values of rock
moclultis anta of ratios of liner Ibickness 10 fungid raditis. (Sheet 3 of 3).
686 1
assumed to be only 25 percent of that of the surrounding unfissured rock. See appendix B.
Because the rock modulus, Er , can vary over the length of the tunnel, it should be careful- Evaluate Er
Iy evaluated and referenced to tunnel stations for design purposes. carefully

3. Analysis and Design of Steel Liners for External Pressure Design

for externa!
The external design pressure for unwatered penstocks should take into account the poten- pressure
tial extemal pressure head that can develop on the steel liner from groundwater or high-
pressure water in the upstream power conduit migrating downstream through and around
the grout curtain and seepage cutoff at the upstream end of the steel finen

It should also account for grouting pressures. When the extemal groundwater pressure So urces of
exceeds a head of 115 feet (35 m), the need for adopting drainage galleries over the pen- externa!
stock tunnels to limit external pressure head should be examined from a technical and eco- pressure
nomical standpoint, considering the geologic conditions at the site.

Extemal ring stiffeners should be considered when the extemal pressure analysis indicates External
that the critical external pressure requires an unstiffened liner thickness greater than the stiffeners
thickness required for the intemal design pressure. The final design should select a pen-
stock steel such that there is a good balance in the plate thickness provided for intemal and Achieve bal-
extemal pressures. Minimum handling thickness should not govem. anced design

The critical extemal buckling pressure for an unstiffened steel liner can be determined on Use of
the basis of Amstutz's formulas [1970], considering an initial gap between the steel liner Amstutz's
and the concrete backfill surround due to concrete shrinkage and a temperature difference. formulas

The temperature difference would represent the difference between the ambient tempera-
ture in the tunnel at which the steel liner and concrete backfill are installed and the lowest
operating temperature at which the tunnel is dewatered. A 35° temperature difference, for
example, produces a gap of 0.00023Ra . Inicial out of roundness produced during erection 'nidal gap
creating an elliptical shape with a 1 percent difference permitted between the measured considerations
maximum and minimum diameters should not be considered in calculating the critical
design gap. Modem plate rolling practice and welding control should produce an out of
roundness that is only perceptible through measurement. A simple analysis (app. C) shows
the equivalent increase in curvature is to a circular radius only 1.5 percent larger than the
original specified radius. Abrupt platc offscts at longitudinal welds due to improper setting
and holding of piale alignments during welding should not be permitted. Curves are pro-
vided at the end of this section for unstiffened liners with variable yield strengths, o-y, of
27,000, 35,000, 50,000, and 100,000 lb/in2 (see figs. 3-25 through 3-28). The critical
extemal design pressure should be selected to provide a factor of safety against buckling of
1.5.

3-61 ASCE/EPRI Guides 1989

 800

700

600

.,-.. 500
5
o.

z
40
CC
o.
O 400

o 300

200

.005

100 = .01

—y=05

100 200 300 400

D1T

Figure 3-25. — Amstutz's 1970 curves for unstiffened liners, yield stress = 27,000 11)/in2.

ASCE/EPRI Guides 1989 3-62

 800

700

600

500
CRITICALBUCKLIN GPR ESSURE(PSI )

400

20y

300

- o.o

Y= .00025
200

Y=.0005

-Y= .005 - .00i

Y= .0025
100 —Y= .01

Y= .05

o 200 300 400

0 100
D/T

Figure 3-26. — Amstutz's 1970 curves for unstiffened liners, yield stress = 35,000 lb/in2.

3-63 ASCE/EPRI Cuides 1989

 800

700

800

500 1
CRITICAL BUCKLING PR ESSURE(PSI)

400

300

11 k Y - .00 1

200

100

100 200 300 400

D/T

Figure 3-27. — Amstutz's 1970 curves for unstiffened liners, yield stress = 50,000 lb/in2.

ASCE/EPRI Cuides 1989 3-64

 800

2 Cf y
D/t
700

600
CRITICAL BUCKLING PRESSURE(PSI)

500

400

= 0.0

300
V = .00025

= 0005

= .001

200
V= .0025
1111k,,t-

100

o
0 100 200 300 400
D/T

Figure 3-28. — Amstutz's 1970 curves for unstiffened liners, yield stress = 100,000 lb/in2.

3-65 ASCE/EPRI Guides 1989

 Figure 3-29. — Amstutz's buckling pattern.

Amstutz assumes that a single lobe or indent will form in one particular spot. Experience
has shown that a considerable extent of the indent always occurs parallel to the pipes axis
because only the small resistance of the píate to bending has to be overcome. Hís analysis
has, therefore, been limited to a circumferential ring of unit width. A new mean radius is
developed for the indent or lobe, with two outward and one inward half-waves forming
around the mean arc line subtended by this new mean radius (see fig. 3-29).

Amstutz has developed his buckling theory for the forres and displacements on the pipe
wall element represented by the mean are line subtended by the new mean radius. The
stress conditions at buckling are given by the formulae on figure 3-30.

For very small gap ratios and relatively thick liners, the value of aN approaches cry at the
critical buckling pressure, and some caution must be exercised. The axial stress, crN in the
steel liner should be determined along with the corresponding value of E. The results may
be considered satisfactory when E > 5 and

crN 5 0.8ay. (3-19)

Stiffener rings When the anal ysis indicates that stiffener rings should be used in the interest of economy,
the stiffener dimensions and spacing can be determined in accordance with several avail-
able procedures. The procedure adopted by the USBR [1968] can be used for relatively low
extemal pressures. The spacing of the stiffeners can be determined from the graph of LI r
(stiffener spacing to pipe radius ratio) versus the critical extemal pressure in pounds per
square inch, presented on figure 3-31. The collapse mechanism considers a non-embedded
pipe shell. The fact that the pipe shell is embedded is not significant in this analysis.

Limas on In general, because of space limitations behind the liner and the dimensions of the material
ring spacing involved, experience has shown that in most cases it is not usually practical to space stiff-
eners farther apart than a distance equal to the radius of the pipe because the stiffeners
Access limits become too large and present problems during the installation and concreting. The tunnel
depth of excavation should allow 18 to 24 inches bchind the steel liner to allow workers access for
stiffeners positioning the steel liner and anchoring it before placing the concrete backfill behind the

ASCE/EPRI Cuides 1989 3-66

From Amstutz's 1970 paper:

3/2
K [ 1:))2 a- i
N D ) crY-a-N [1-0.225 ( D ) crY- crN1
— 3
t
= 1.73 (--
E*
E R t E*

__( K *)
(7._" K \ _ a_ N TIx E cr.Y, crN
_
where x .„
--
E71+R) o- - CrN E'
y
This can be rearranged•to obtain

D) crli-crN [1-0.225 D cryi-crN

,
t Er K
f (N) = E*[1.73(T o
2 0-N ]/2
3
c3-1%1

pm E*

The solution for crN can be obtained numerically using the Newton-Raphson method

E= 1 + 3 (—
Dt ) 2 cri\I
E*

Pcr = (
1 - 0.175 i D \ crYia-N ) 2 crN
t / E*
e+)

17
, = gap ratio, for gap between steel and concrete

R = tunnel liner radius, D = tunnel liner diameter

t = plate thickness, E = Modulus of Elasticity

= Poissons ratio, uy = Yield strength

crN = Circumferential axial stress in plate liner ring

U = 1.5+0.5 (1/(1-0.002 E/ Cy))2

ov= v y2 E*= E/ (1- v 2 )

Figure 3-30. — Amstutz's equations for determining critical

external buckling pressure.

steel liner. Stiffeners should, therefore, be limited in extension to a range of 8 inches.

Furthermore, the allowable extemal design pressure with stiffeners must be less than
Pcr =2ayl(Dlt) because at this pressure the liner fails in yielding.

The stiffener ring is designed to carry all of the externa' load over the length, L, between Check for
rings. The mínimum yield strength and the arca of the ring, plus the arca of the effective yielding in
flange, control the design. compression

Pcr LR
As — (3-20)
ay

3-67 ASCE/EPRI Guides 1989

 where:

A3 = cross-sectional arca of the ring plus the cross-sectional ama of the effective
flange,
Per = critical externa! pressure (lb/in2),
L = spacing between stiffeners (inches),
R = radius of steel liner (inches), and
c5 = mínimum yield strength of steel plate (1b/in2).

The effective flange area = t(c+1.56 ) where t = thickness of steel liner plate, and
c = thickness of ring stiffener.

Minirnu m The USBR recommends that when ring stiffeners are used, the external ring stiffener of
stiffener ring thickness, c, should provide approximately 50 percent of the combined stiffener area,
dimensions which includes the area of the effective flange.

Comments on The USBR criteria treats the combined section stiffener ring as similar to a very short col-
USBR criteria umn. The criteria was developed for relatively low external pressure considerations, allows
relatively wide stiffener spacing (L > R), and is obviously very conservative.

Amstutz's Altemative methods of designing stiffened liners include the methods of Amstutz and
method Jacobsen. If Amstutz's method is used, the designer is cautioned to check to see that the
values of the auxiliary functions are in the expected range specified by Amstutz in devel-
oping his equations. In some circumstances the value E can be less than 2, resulting in very
unrealistic values for all the auxiliary functions. In these cases the calculated allowable
external pressure is also unrealistically high.

Jacobsen's Jacobsen's method [1974] is similar to Amstutz's method in that he has assumed that a sin-
method gle Iobe or indent will form. His formulas are presented in a December 1974 anide in
Water Power. The Newton—Raphson method can be used to solve the these simultaneous,
nonlinear equations. To simplify the procedure the partial derivatives can be estimated
numerically. To facilitate obtaining convergence, the value of the increments used in the
numerical estimate of the partial derivatives should be small compared with the values of
successive adjustments to the variables solved for. Appendix D presents a computer pro-
gram written in BASIC programming language, which uses Jacobsen's method to deter-
mine the critical external pressure at which a ring stiffener will buckle. 'The designer only
needs to load the program using the file narre PENSTIF2.BAS and edil Enes 300 and 310,
the data lines, to input specific project data.

Drainage schemes have been developed to relieve external pressure on the unwatered steel
liner, thereby eliminating the need for externa]. stiffeners that impede the placement of
backfill concrete. Figure 3 32 shows a scheme developed for a 9.00-meter-i.d. steel tunnel
Drainage liner now under construction in the Middle East. Soap is to be used to seal the thin open
contact between the outside face of the tunncl liner plate and the edge of the half eircle
annular drain pipe to prevent concrete from entering the drain system when the backfill
concrete is placed. The annular drains are to be spaced at 6.00-meter intervals.

ASCE/EPRI Cuides 1989 3-68

 n=11
5000 R. von Mises formula for collapse, see Windenburg and Trilling,
n=25 n=17
4000 Trans, ASME April 1934, Equation (2)

3000 2 3 2
n=9 P
E(t/r) 1- v E(t/r) 2n -1-A
2500 n= C 2 )2 2 n2L2
1—v (n 2 n21-2 1.1 12(1-v )
2000 A o
1)
2 fr2 r2 1 j
n=7 (n2 r
1500 -
'/ 11=6","
n=25 &2 (1, E = Modulus of e!asticity =
1000 29,000,000 psi
900 S ,5
800 n V = Poisson's ratio = 0.25
o
CR ITICALPRESSURE INPSI

700 o
t = Shell thickness
600
n=25 n=4 .54" r = Radius of shell, outside
500
400 L = Spacing of stiffener rings
n = Mode of collapse
300 1O (n full-waves, 2n half-waves),
3 /
250 n = 2,3,4,5
200 11:1 \; ••
PC = Critical collapsing pressure,
psi
n=26 Aik
150
F = Yield stress of steel
Y

100 Akák lith

n
90 n-
80
nilarfanffakm pk
70 Ilak
s =15 1.17
60
WFAL n 13 n=
50 -10
TI 1n=12
40
n=

SL
30
25 n-

20 d ini=10n =9
ipii . = n=
15
=1
n=12 n=7 n=
n=2
10
L
cw L-5 cr CO oo C7 u7 O O O O O O O O O O O O O IW O O O
O O C D O O O O— e" cc. a; e; LC7 4=; 0 O O O 0
•=1- 1.11

L/r
Figure 3-31. — Critical external pressure for steel liner with stiffeners.

3-69 ASCE/EPRI Guides 1989

 Two problems apparent with this scheme could impair its usefulness. Any consolidation
grouting undertaken around the tunnel liner could plug the drain. Additionally, the tunnel
penetrates calcareous rock units so that eventually the system could be plugged by the
buildup of calcite.

Figure 3-33 indicates an altemative scheme using large-diameter PVC drain pipe strong
enough to resist concrete placement pressures. Holes with threaded plugs are installed at
interv aIs in the penstock invert. After grouting is finished, AX diameter holes are drilled
through the backfill concrete into the drain pipe. Drain is flushed and plugs installed.
External pressure compresses liner inwards allowing water to enter drains. Drains can be
inspected and flushed. Liner analysis requires conservative evaluation of expected seepage
Tate. The critical extemal pressure is related to flow into drains at assumed design rate of
seepage.

Another scheme that has been used in Europe is providing drain pipes within the steel liner,
welded to the liner. Outlets are provided at intervals to the outside face of the steel liner.

4. General Design Considerations

Fine-grain Only fine-grain carbon steel plate intended for service in welded pressure vessels, where
carbon steel notch tougliness is important, should be used. These include the ASTM A516, 517, and
A537 steels. ASTM A-285 steel should be used in very limited applications where the plate
thickness is less than 3/4 inch.

Design stresses The ASME Boiler and Pressure Vessel Code, Sectíon VIII, Division 1 Specifications,
allowed by allows a design stress that is the lesser of 0.50ay or 0.25 awi. Pressure vessels fabricated in
codes accordance with the AItemative Design 2 Specifications are allowed a design stress which
is the lesser of 0.667aY or 0.333cridt. Designers normaIly use criteria that provide similar
factors of safety commensurate with the pressure head and expected operating conditions
of the project.

When rock participation cannot be considered because of lack of sufficient cover, extreme-
ly weak rock or proximity to the powerhouse cavem or to a surface portal, the allowable
design stresses used should follow either the ASME Boiler and Pressure Vessel Code
Division 1 or 2 Specifications, whichever is used to control liner fabrication.

Where rock participation can be considered and the rock is a fairly massive, good-quality
rock, with both consolidation and contact grouting performed, it has been the practice for
some designers to use the lesser of 0.75 to 0.80 times the yield strength or 0.50 times the
ultimate strength for the particular steel used. The analysis considers only the portion of the
interna! pressure carried by the steel liner. This provides for an efficient use of steel liner
plate. The modulus of deformation and the Poisson's ratio for the rock units intercepted by
the lined tunnel must be carefully determined as discussed in previous sections.
Restrained
liner favors The aIlowable stresses used in design can be applied to the maximum "equivalent" stress in
use of the stecl liner. Since the steel liner is fully embedded, it is rcstrained longitudinally. A max-
Equivalent" imum principal hoop tension stress, al, will produce a minor principal axial tension stress
stress of vo-1 = 62 or o-2 = 0.3 o,; where y is the Poisson's ratio for stccl.

ASCE/EPRI Guides 1989 3-70

 Collecting Pi pe Steel Penstock

45°00' 45°00'
Detail A
o

Steel Drain Pipe

1.00 4.50 X 3'.16 ► 1.59 .73

11.00

DETAIL X

Steel Penstock Greasy Soap

Steel Penstock Greasy Soap
Seal

MIP'ÁdPYAP7AW/AIIIIfáirfAr:áIíIl
o
Point Wel ding o. Collecting Pipe
.05 0 : Collecting Pipe 050. .•

o .

EIMINIMEE
Steel Drain Pipe Steel Drain Pipe

-1».- A
1

DETAIL A SECTION A---A

Figure 3-32. External drain details for steel tunnel liner.

3-71 ASCE/EPRI Cuides 1989

 18"to 24"CONCRETE
BACKFILL

STEEL TUNNEL
LINER

DETAIL A

DRAIN PIPE

INSIDE FACE OF
STEEL LINER

THREADED PLUG

AX DR ILL HOLE

DETAIL A
Figure 3-33. — Alternative externa' drain details using large-diameter PVC drain pipe.

ASCE/EPRI Cuides 1989 3-72

The "equivalent" stress 0-0, is determined then from Huber, Hencky, and von Mises' analyt-
ical work based on the maximum energy of distortion theory. For the two dimensional case,
in the absence of other longitudinal stresses:

(3-21)
a° = 2 - Crl Cr2 a2
2 2 2= VO. 79 02 (3-22)
ao = 0- - 0.3 a -I-
1 1
0. 09 a1 1

ao = 0.889cri (3-23)
or
al= 1.1250-0 (3-24)

The liner could, therefore, be dimensioned for a hoop stress, al = 1.125a0. The considera-
tion of longitudinal stress due to the Poisson effect in resultant stresses provides a larger
safety factor for a steel liner of a given thickness. Conversely, the steel liner thickness
could be less for a given safety factor.

The approximate purchase costs for the three most widely used steels were revised in Cost data
August, 1987, to aid in the preliminary economic determination of which steels should be
chosen for a particular application. They are shows in table 3-8.

An important consideration in selecting the steel plate type and plate thickness is the
mandatory requirement to post-weld heat-treat penstock can sections over a specific thick-
ness in a large gas-fired holding oven. This is an expensive process. AH penstock cans con- Post-weld
structed of A516 or A537 steel that are over 1.5 inches (38 mm) thick are normally heat treat-
required to be post-weld heat-treated to 1,100 °F (593 °C) in a special oven. According to ment
the ASME Pressure Vessel Code, all penstock cans constructed of A517 steel over 0.58
inch (14.7 mm) thick are also normally required to be post-weld heat-treated to 1,100 °F
(593 °C) in an oven. The post-weld heat treatrnent may only be waived in those instances Comments on
where the penstock fabricator can demonstrate with proper testing that the use of a specific use of A517
preheat temperature during welding will accomplish the same result. As a word of caution, steel
stress-relief of A517 steel by post-weld heat treatrnent in some circumstances once pro-
duced hard-to-detect cracking in the heat-affected zone alter stress relief. Supposedly this
has been corrected. However, some disastrous failures have resulted. A517 steel thicker
than 0.58 inches can be used when it is known that excellent quality control will be
obtained.

The use of A517 steel should also be determined on the basis of the availability of experi-
enced welders and automatic welders. Considerably more welding control has to be exer-
eised in working with the high strength, quenched and tempered A517 stecl.

5. Fabrication and Construction Details

a. Material. — The type of steel plate selected for the liner is a matter of economics, con- Balanced
sidering the thickness required to resist the intemal design pressure, the thickness required design
to resist the externa] design pressure without buckling, and the mínimum handling thick-
ness. The USBR recommends that the mínimum handling thickness be determined from

3-73 ASCE/EPRI Cuides 1989

 Table 3-8. — Steel costs for preliminary studies

Plate purchase cost : $Imetric ton (August, 1987)

Plate thickness (mm)

(19-20) (20-30) (30-38) (38-40) (40-50)
ASTM A516 Gr 70 $ 479 $ 482 $ 497 $ 533 $ 536
A537 C1-1 534 537 551 551 554
A537 C1-2 620 622 637 639 647
A517 GrF 1,169 1,171 1,186 1,186 1,188

Typical construction costs : $/Ib (avg.)

A517 A516 A537

Freight to overseas port $0.12 0.12 0.12
Roll plates to can diameters 0.24 0.18 0.18
Place pipe in position 0.65 0.65 0.65
Welding 0.26 0.20 0.20
Painting 0.24 0.24 0.24
Purchase cost (avg. from aboye) 0.54 0.22 0.24
Subtotal 2.05 1.61 1.63
Overhead and profit (0.4) 0.82 0.64 0.65
Total cost per pound $2.87 $2.25 $2.28

tm = (d + 20)/400, where t, the plate thickness, and d, the pipe diameter, are in inches.
However, for large-diameter steel liner can sections, it is more economical to consider the
use of temporary intemal spider stiffeners to prevent undesirable deformations during their
transport and installation in the tunnel. In general, the type of steel plate is chosen so that
handling thickness does not control the required plate thickness and a good balance is
Water achieved between intemal and extemal pressure requirements. The intemal desi gn pressure
hammer should include water hammer effects for a full load rejection of all units on the tunnel with
the turbine wicket gates closing under normal govemor control.

Materials used should meet the requirements for fine grain practice with adequate notch
toughness. It is important to specify supplementary requirements for assurance of ductile
behavior for the mínimum expected service temperature of the steel plate. The notch
toughness of carbon steels can be improved through normalizing.

b. Bends. — Bends should be fabricated with 6° or less between cylindrical segments.

c. Grout Connections. — Grout connections have to be provided for the pressure grouting
of overbreak cavities in the upper periphery of the tunnel roof at the contact between the
concrete backfill and the surrounding rock, consolidation grouting if necessary of fractured
and jointed rock within a short distance of the tunnel periphery, and the grouting of the
contact between the steel liner and the concrete backfill.

ASCE/EPRI Guides 1989 3-74

Sample details for a steel lining installation and for grouting, steel liner welds, and seepage
collars are shown on figures 3-34 and 3-35.

d. Welds and Welding. — Can sections are fabricated in the project's penstock shop to Welds and
some multiple of 2 or 3 can Iengths for transpon to the tunnel. Circumferential welds welding
between can sections in the shaft and tunnel would not be expected to be stress-relieved.
However, the appropriate continuous minimum preheat and maximum interpass tempera-
tures should be carefully followed as specified to reduce the potential for creating residual
stresses, distortion, and cracking. Continuous preheating involves raising the temperature
of the liner plates adjacent to the weld aboye ambient temperature using strip heaters.
Interpass temperature is the temperature of the deposited weld metal before the next pass in
a multi-pass welding is made. In addition, a weld geometry should be adopted to minimize
the introduction of secondary stresses. The circumferential butt welds should be welded
from both sides. A side 1 to side 2 weld groove depth ratio(where side 2 contains the fin-
ishing pass) of 0.6T/0.4T, for example, has been shown to minimize distortion in butt
welds in material with a thickness T in the range of 1.5 to 2 inches. The ratio varíes with
thickness (see fig. 3-35). Circumferential butt welds executed in the shaft or the tunnel
should be radiographically examined over their full length. A space of 24 to 30 inches
should be provided behind the liner for welding.

3-75 ASCE/EPRI Guides 1989

6861saPPID Did3/33SV

DRAINAGE GALLERY

tr DRAINS EXTEND TO
BELOW PENSTOCK
TUNNELS

NN„.... GROUTCURTAIN.
.....RADIAL (::: STEEL LINED
SINGLE OR MULTIPLE ROWS PENSTOCK TUNNEL
AS RECUIRED. SOME INCLINATION SECTION A—A
OFF VERTICAL MAY BE REQUIRED TYPICAL SECTION WHERE DRAINS ARE
TO INSURE 1NTERCEPTING MAXIMUM
NUMBER OF EXISTING JOINTS USED TO LIMIT EXTERNAL PRESSURE
A -mi
(.... STEEL LINER THICKNESS (mm)
DRAINAGE GALLERY —\\

END OF
STEEL
LINER 27130 33 36 39
24 42 36
SAMPLE PLATE
THICKNESS IN mm

1W.

SEEPAGE COLLARS

A ..4_1
1-4- 100% ROCK PARTICIPATION o. TRANSITION r NO ROCK PARTICIPATION IN
RESISTING INTERNAL PR ESSURE

Figure 3-34. — Example of steel-lined penstock tunnel configuration. Stiffeners for external
pressure not shown.
 ROCK BOLTS,
AS REQUIRED CONTACT AND CONSOLIDATION
SEE DETALL GROUT PIPES, TYPICAL IN CROWN
REQUIRED BOND
OF TUNNEL SPACED @ 3.0 0.C.
LONGITUDINALLY LENGTH

FAST SETTING
RESIN GROUT
SLOW SETTING
Ft ESIN GROUT

O' <0

STEEL
LINER
1
,09-
ST1FFENERS
1FOR EXTERNAL 0.15 x 0.15 WIRE MESH
PRESSURE CONTACT SECOND LAYER OF LOCATED ON THE
WHERE GROUT PIPE SHOTCRETE FIRST LAYER OF
REQUIRED) WHERE REQUIRED SHOTCRETE WHERE
REQUIRED

TYPICAL TUNNEL SECTION ROCK BOLT DETALL

(Using Resin Bonded Rock Bolts}

FURNISH OVER—LENGTH PIPE, ONE END 1AX GROUT HOLE (WHERE

THREADED, AS SHOWN TO mATC REQUIRED) FOR CONSOLIDATION
OVERBREAK OBSERVE° DURING GROUTING
EKCAVATION. MEASURE PIPE LENGTH
REQUIRED IN INDIVIDUAL HOLES
THREADED SLEEVE AND CUT TO FIT REMOVE SLEEVE, PACK VOID
(GREASE TO BREAK wITH GROUT AND INSERT PLUG
BOND)

THREADED HOLE
REINFORCEMENT
PLATE
otgoll2g
, .
r
Whabikracri
f
CAST IRON PLUG,
COVER THREAD
v ";71 1119~ WITH SEALANT
BEFORE iNsTALLiNG

IMILVE" "ON.M..•

BEVELED STEEL CLOSURE PLATE

INSIDE FACE OF WELD ALL AROUND
THREADED TO SUIT STEEL LINER
GROUTING CONNECTION

GROUTING DETAILS FOR STEEL LINED TUNNELS

(Typical For Contact and Overbreak Grouting)

BACKING COLLARS@i 500 O.C.

SIDE PASS
T= 314" to 1-1/4" to 1-1/2" to 1
1:
15
1-114" 2"
1-1/2"
200
00 GROUT HOLE
— T = 0.4T 0.5T 0.6T 043 (TYP.)

tl
T = 0.6T 0.5T 0.4T
2
SIDE 2 FINISHING
'PASS —
INSIDE PACE OF
STEEL LINER
SUGGESTED BUTT WELD GEOMETRY TO REDUCE DISTORTION
AND CREATION OF SECONDARY STRESSES DURING WELDING SEEPAGE COLLAR DETAILS

Figure 3-35. — Sample tunnel details with steel liner.

3-77 ASCE/EPRI Guides 1989

 E. REFERENCES

I. Section A References
AISI (American Iron and Steel Institute), "Steel Penstocks and Tunnel Liners," Steel Plate Engineering Data,
vol. 4, 2nd printing,. 1982.
ASCE, "Field Test Sections Save Cost in Tunnel Support," Underground Construction Research Council, April
1975.
Broch, E., "Tunneling Designing and Excavating Underground Powerplants," Water Power and Dam
Construction, April 1982.
Drynne, D.P, and Judd, W.R., Principies of Engineering Geology and Geotechnics, McGraw—Hill Civil
Engineering Series, 1957.
Goodman, R.E., Introduction to Rock Mechanics, John Wiley and Sons, New York, 1980.
Haimson, B.C., "The Hydrofracturing Stress Measuring Method and Recent Field Results," International
Journal of Rock Mechanics, Min. Sci. & Geomech. Abstracts, vol. 15, 1978.
Link, H., "The Sliding Stability of Dams," (3 parts), Water Power, March, April, and May 1969.
McFeat-Smith, I., and Tarkoy, P.J., "Site Investigations for Machine Tunneling Contracts," Tunnels and
Tunnelling, March 1980.
Obert, L., Duvall, W.I., and Merrill, R.H., Design of Underground Openings in Rock, U.S. Dept. of the Interior,
Bureau of Mines, Bulletin 587, 1960.
Pratt, H.R., and Voegele, M.D., "In-Situ Tests for Site Characterization, Evaluation, and Design," Bulletin of
the Association of Engineering Geologists, February 1984.
Wahlstrom, E.E., Tunneling in Rock, Elsevier Scientific Publishing Co., 1973.
Wahlstrom, E.E., Dams, Dam Foundations, and Reservoir Sites, Elsevier Scientific Publishing Co., 1974.

2. Section B. References
ASCE, "Field Test Sections Save Cost in Tunnel Support," Underground Construction Research Council, April
1975a.
ASCE, "Design Methods in Rock Mechanics," 16th Symposium on Rock Mechanics at Univ. of Minn.,
September 1975b.
Barton, Lien, and Lunde, "Engineering Classification of Rock Masses for the Design of Tunnel Supports,"
Rock Mechanics, December 1974.
Bickel, J.0., et al., Tunnel Engineering Handbook, Van Nostrand Reinhold Co., 1982.
Bieniawski, Z.T., "Engineering Classification of Jointed Rock Masses," Civil Engineer, South Africa,
December 1973.
BOM (Bureau of Mines), Analysis of Tunnel Structure with Consideration of Support-Rock I nteraction, Bureau
of Mines, Report of Investigations, R.1. 7526, June 1971.
COE (U.S. Army Corps of Engineers), Tunnels and Shafts in Rock, Engineering Manual EM 1110-2-2901, 15
September I978a.

ASCE/EPRI Guides 1989 3-78

COE, Rock Reinforcement, Engineering Manual EM 1110-1-2907, 15 February 1980.
Daws, G., Resin Rock Bolding, Civil Engineering (U.K.), pp. 39 and 41, November 1979.
Deere, C.U., et al., Design of Tunnel Liners and Support Systems, University of Illinois, February 1969.
EFC (Engineering Foundation Conference), "Use of Shotcrete for Underground Structural Support,"
Proceedings, Paipa, Columbia, September 5-11, 1982.
Einstein, H.H., "Design of TunneIs in Swelling Rock," Design Methods in Rock Mechanics, 1975.
Goodman, RE., Introduction to Rock Mechanics, John Wiley and Sons, New York, 1980.
Mama, "WMATA Rockville Route Section A6, Structural Contract No. 1, Structural Design Memo," Harza
Engineering Co., June 1971.
Littlejohn, G.S., and Bruce, D.A., "Rock Anchors—State of the Art," Ground Engineering, U.K., May 1975
and May 1976.
Proctor and White, Rock Tunneling with Steel Supports, Section I "Rock Defects and Loads on Tunnel
Supports," Karl Terzaghi, Commercial Shearing, Inc., 1977.
Sulem, J., Panet, M., and Guenot, A., "Closure Analysis in Deep Tunnels," Int. J. Rock Mech., Min. Sci. &
Geomech. Abstr., vol. 24, No. 3, pp. 145-154, U.K., 1987.
Terzaghi, K., Theoretical Soil Mechanics, John Wiley and Sons, 1946.

3. Section C. Referentes
BOM (Bureau of Mines), Analysis of Tunnel Structure with Consideration of Support-Rock lnteraction, Bureau
of Mines, Report of Investigations, R.I. 7526, June 1971.
CI (Concrete International), Control of Cracking in Concrete Structures, Report No. ACE 224R-80, October
1980.
Goodman, R.E., Introduction to Rock Mechanics, John Wiley and Sons, New York, 1980.
Harza, "WMATA Rockville Route Section A6, Structural Contract No. 1, Structural Design Memo," Harza
Engineering Co., June 1971.
Jumikis, A.R., Rock Mechanics, Trans Tech Publications, Federal Republic of Germany, 1983.
Moody, W.T., "The Importante of Geological Information as a Factor in Tunnel Living Design," ASCE—GSA
Joint Meeting, November 1958.
NCE (New Civil Engineer), "Are Crack Width Criteria Irrelevant?," p. 24, February 25, 1982.
USBR, "Physical Properties in Some Typical Foundation Rocks," Bureau of Reclamation Concrete Laboratory
Report No. SP-39, 1953.

4. Section D. Referentes
AISI (American Iron and Steel Institute), Steel Penstocks and Tunnel Liners, Steel Plate Engineering Data, vol.
4, 2nd printing, 1982.
Amstutz, E., "Buckling of Pressure-Shaft and Tunnel Linings," Water Power, November 1970.
Arthur and Walker, "New Design Criteria for USBR Penstocks," ASCE Power Journal, January 1970.

3-79 ASCE/EPRI Guides 1989

Jacobsen, S., "Buclding of Circular Rings and Cylindrical `babes Under External Pressure," Water Power,
December 1974.
Jacobsen, S., "Pressure Distribution in Steel-Lined Rock Tunnels and Shafts, " Water Power, December 1977.
Jacobsen, S., "Steel Linings for Hydro Tunnels," Water Power and Dam Construction, June 1983.
Kruse, G.H., "Rock Properties and Steel Liners," ASCE Power Journal, June 1970.
McCaig and Folbert, "The Buckling Resistance of Steel Liners for Circular Pressure Tunnels," Water Power,
July 1962.
Patterson, Clinch, and McCaig, "Design of Large Pressure Conduits in Rock," ASCE Power Journal, December
1957.
USBR (Bureau of Reclamation), Value Engineering Study, Design of Circular Steel Liners Encased in Mass
Concrete, April 1968.

ASCE/EPRI Guides 1989 3-80

 APPENDIX A
DEVELOPING EQUATION FOR ELASTIC
INTERACTION ANALYSIS OF REINFORCED
CONCRETE TUNNEL LINER

3-81 ASCE/EPRI Guides 1989

 /,73
,Pe/477hor7,547 ,e/weer7 racii=7/ docr-rna77ic7/7 /r?
re/mgrre-,~1~//270‘7 704.7‘-~iot7s //7 c-em7cpele
.5-n.irroPoné d=7,2c7rsoc...7ot..-oc- ...5- .."7-~x71.28 7/7/2e/
Mer,- 7‘)

1c9ta. As very hrye c-e7.77,1,7r.eaf7

,45.s¿Jme 71 477/
5 7,,,711 'a 2 V- Q 2 i
fe2- le712
01 k .5c5Z/770I PG,C. leyOnd 1en
7‘..5-surecizen, 5 , -71
ad ' 4m py-ur-) o
E-12

ni E/2

tld T.-
-. '...
17
C2. (/ 71" ¿id0.
2' )

E/;
E71.77

ASCE/EPRI Guides 1988 3-82

[2] Nex/ c--o/7.5-voá-r. 0“;-.77,9740.7 eyino/e.-
rocé- 6e7I,Ivee/-7
4/9. /-.9,91.W /290'czs P/5-

,(-27ald/L.5-1
,c-9;r2,
El: -e
,47,9,977/17e7Cf-,77c97io.
/ - = f o'7
ze = /1W %9
e ,‘:4?
E/.7 * Er,
Ce9/7 ade COnsernwiveb 71,éen 4=7..7 e 450reirmnary
Ac-c.
17:9 -u177712,zr fa-redor/ d9sperve.we //-2 dr.//07.701
6k..r71 71//7ne/ excew.071/ons , so7(607/447= 4.693 ,dgé?
however; e ralo Can ~re g:Pc-cur¿miky le 47
efe leryr,,r7cal igeopAys/c,d rnewSG,/r,77C597 7‘412e1/

1-3 :90/Ar7/ Cl
h:2 ,
e4;' 77.=:77.‘G».-) /17 C,- P' C7:9,-7C-"Z'74 1/2e r-;

e- 0e/n/cer,
cz."Zes e9,707f-ac,
ice c9/e)
072 = de
Q
0,-e

P.,7'..7/0,,-„,‘,„,,, 4 =
z _ 67a fo,/,‘7 /94 (k)5
c Ec 2s
6-71m

3-83 ASCE/EPRI Guides 1989

 / 3013
[40 ,P,z,70,7/ de4777,1a77 7 //7 /-e477CC//79
as t¿j.731‘27 113
:47')

diere A5 =arces mi").-&-/.71)7e/- c.i.)/0/74 47r

1./17/7el; //7 3 / 4»,
71
/2z01-/S- 74, 07[;-e/rn(;),7 ck:›ncre/e
42 el-
L.51//77/27,..10/ ; Lis LIC 74- A" V- 4¿ d

[5] As ES
=Ec /yeerige,
Er

,
tgR9de5 ,p/ea f ,PL2 45,,(1)7,-.0 693 e e
As E.5 A5 E5 de.1 Er, Er 2

,P -P
45 E5

?
1 layeMi-4.á93)(7c
45 Es 475 En. Er

/ 2 O kt/ : varees
= 411 74 45 a(8 4" 7 /-4/né cre,4 h7e,-
"13 Vdr/es
Er Vcirze..5
Z-/;- = a 25 Er2
=
E:5 = 29x/0 6psi
Ec = 3 /C)éps,
As ~ N?6 /8 c 04(14 = 0.03 7/170n
L.47,‘?o,wn j 47-
SÁ-ess //1 fr7/77 191 '413 42'él Psi
45. Ei-rn

ASCE/EPRI Guides 1989 3-84

 APPENDIX B
DEVELOPING EQUATION FOR ELASTIC
INTERACTION ANALYSIS OF STEEL TUNNEL
LINER WITH CONCRETE BACKFILL

3-85 ASCE/EPRI Guides 1989

 1 of 4

Ahl finierf2,2740,-e55-w-e
(i) 7¿e/n/ f9e,-..,;77‘pe 9.9") = C:4 x 4 T -x
C,- 6,5 x /0-6474/4F r
ibe/weer7 m7.5-7/h-14,-)..~(/72/?7,)-~97 7{,9•72/7.

--•=',Or-e55‘-ir"e close 4,79#P.9.9/:,, A'

Z17;
5 ,, Es
,phi— v3)
E7477

ASCE/EPRI Cuides 1989 3-86

 2 of 4
(2) 9 (2‘'74;7/77.=77.+-7 //7
„P,„7,17 //,1 Cado7e/-ele .64:0.41
6eh/nd .s4e/ de/weev-2
Avy rsoisis-irt-ss c=n1,,,wy Paaias /els

OTe = 14g Lq-1 = °Z. 1

9:411
1
;Ir Ea 47-
e-
Ae9i0g:9/49/e'‘/ -/-77.4.17L7y c = 'é (1W
C
6- /17
dc .= dgé?- Áye/M
FC
1.5
V-455w-ne 5 Cor2cr-ele

(3) 7
Riaie:10/e74/7774 774,-7 //7 cyjneler-
éc?/4:7•7doée" •
,41/5 ..71«,moy Paldus /s
,‘1.tec7/ = Ajé?,

5 „„ = 41:de
7c1.;?/ Órá7C--~lon Zip =

ca,2scr-valve/
y idien caes 2 ás_recY
"el 0/7 e)97e,-/e~ /#1 0(07/7.=0,-20/1/‘P.r/ eXazou'd.h.2s.
4112 0.693 /9.111!

Th-e oPc7lacWrcx71/0 .5-40u/a/.6e deilei-277,neo'

Ceo,' y.s7 c.o/ megznirern e n in 7 4 lunne/.

O' ) 4=121,1/ 271-7C---"-~,i0,2 ,5oc.4,010 / /-0 l5e.yar70/7‘..2

s3-‘zret71
/-119cé zp,••7e (d55e~zor /o7/ye ex-7e0/7.170",

= 7g- 7,/
r ) 4 ...5-nce /.114' = te.tq
2
(i7£ -Wi )
E ¿7,77

3-87 ASCE/EPRIGuides 1989

 3 of 4
(5) yPc:749 7/ C:77 Ó -/- /77c9h /7 /r7 ,571'S r7e/--

LIS = (: 1 /1) '2

(
-752 )
t

/72 , -5 2 // 7-2 / 72 a 7,y . Z 5 = /I k ,1- Ad e 7¿- LID 1- ZE

((2,9),ez (-u2)....",..d77.-,e, .74-

¿-£:,-
.7 0 6 93 IP,Q. -,-
E,

U52) z re? =4,1:-W)7c1(1-)7,

t-Es
a693"2- 7¿- kg,7,7),-.)1
-
,.,- Er2 2

QAT% ¡a
t E,
P.
[ "g_
7 --7/ 2)Y-.a 41#17` °6931' 74 4-
t¿z.-5. 5 EC 1 '°' 41- Eri
g
Cr = e- /9 - "Dwr-74.0 r7•••=?Pv.--/e• c:P'by ,-574/1 ,;e»,-
P ( O 7.-- Me 74)71z7/ 4 '7 7C/ /77c7/ p /-e-ss¿//"C

/Al ere fs /70 7/(j.z./.-ed r-on é , Me 7eM-7

0.693 Z:1- oh, --5- OLJ/

4,-

E7/777

ASCE/EPRI Cuides 1989 3-88

 4of4

f;r"rpoSe
- 0 Ve/90/,99 olr
4-- Vd/ves orz--/-
2
..;7,7c/

/55:201,11/7 "19 = Vez9/7e5 , ,,ches

//wher
= ,Q -7"45 , ~Av-
vd/-ye,5- L65,4/7 2

Z;." = «9.15 / /40‘ ) /-57 7//7

2

- v,27,--zes Z607
= x254 ZáS//7 2

29x/ 2é )IÁ5-47
Vs = 40.3
"Vr2 = 0 . 2
es -= x /5 «"/"Ontr-
zr= o°,G- 85°F
1/a/7e5, a7c4e5

C/2 Ib701410 /7
L/dt4Sin

0C = „o_ 62 7.,/z5v-els_s-Li
re
54W i7et-

Z7e4/-777/r7 e 7C1r- va/L'/es c f .7/7d

,
Ve=7 /7 .0c.)s va/ves cvr4 7 4-
0 0'•el/e4
tire 5:

E747.2

3-89 ASCE/EPRI Cuides 1989

 APPENDIX C
CHECKING EFFECT OF STEEL LINER
OUT OF ROUNDNESS ON BUCKLING ANALYSIS

ASCE/EPRI Cuides 1989 3-90

 1 of 3

7-4e Ou71 ofroaridness /n 49 lonne/ silb'S 576'r

proaliceddunry 7eQrle::::77cin ez,v7derdrk71
/4/7
..5.-Aold/o/no /de cor2.5-/de,-cd/r7 c-4:»741,y d(e
e'r/74::?/ de'sy.7 gay 7Lo delev-rnine 74e 4/7"7.
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//2 ro/4ry 49/90/a,e/479.slee/ 47erifi ./Wes
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74e 0(•;illrewee 107 de>, ~4'3 41.3- 40 7 17 7 el=ttrZ./ re' o 71."
Me "24,7 cirreibr.'6A
L.Speci‘dions pep/re 4:P/
dano( — ,oan,),2 x /00 di .15- 1X7
4, "ad / h azr
_ZD
/72d9ximurn "perrmsscp04 e•/4o;‘evy. , a fa. 5 %
C;•7 nr: / 0.05D GPI70/ á = a. 9.95 19
2 e
or cy= A 005 P* cw 7 d dé = O. 995r
4)/M X 2 74 .Y.,2 w /
ca z 62
(Ab)

_á(/--x:\1/2
9- ,2)

3-91 ASCE/EPRI Cuides 1989

 2 of 3

,C x2 , yz ,
.72 62
a_=
ax d 2
2X ,
ay
9,= 8y
62
— ac
;-J-Y
OIX
= 5)7 = - 2x, 12
_F' 72 2y ez alml. ._ . 2 X
.
---F2y
ay
ó, x . ... .6 x
472 (, x2 y/2
c 7:7
c7-ifF 2
c72 J
Salve 7•(;,- 01.), . e/c/ =X , C4,=1
l
05( 2
ito 71v =c4- x z, di/ - — x
7 .1- ---

5.4...1.0A7‘,4 y= E e:7.249'0'Y = Vol,/ _ u ofv

y dx dx. dx
v2
71-
2en d'Y =
a
- ár ,¿';z-7<2 X2
dx
4;72-x 2
1
diy = _6 [d i- x 27‘. x 2i —d6 a•M
~

dx2 27 cx--x2-
( c7 I. )(2)/2
3
4:9 2 — )( 2

ASCE/EPRI Guides 1989 3-92

 3 of 3

717e hves, P.47744,s .."11 x w o 4,97601.y

-0 7«„?,/ d'y .w
s5 dix.= a gorievyr--
C/X2
rhe Glyk,/~4,27 / C/rrelbr" todas /..5" (C)

= / = a2
'pi- d 2y b42 b
dx 2
r 1.005r «dna, bz-. o. 995r ;

p (1 . 005 r) = hoisr
4.995r

Ale Tm/diem/ merecose Cur1/4071

ure 710
C/rea411- rd:10.45- ondi Z.5 Pf) /dyer 7160'n 7/-he
ory/nd //7740,7ded arruic:Pr radas. /7faksire'd
7-he D/..,rwzt, cap.? dée <77Giel..570//4/1e/7 OB.27/eP/;19
Cdirwe'S".
4/?7,574/72 .,7y#7,407"-e, ortWe
ay,as/men1Can le #c4 ti/4›,/L/7'fcc

3-93 ASCE/EPRI Guides 1989

 APPENDIX D
PROGRAM TO DETERMINE CRTTICAL
EXTERNAL BUCKLING PRESSURE FOR
RING-STIFFENED TUNNEL LINER
USING JACOBSEN'S FORMULAE

ASCE/EPRI Cuides 1989 3-94

10 LET D$=DATE$
20 LPRINT D$
30 LET T$=TIME$
40 LPRINT T$
50 LPRINT
60 LPRINT "COMPUTER PROGRAM USED IS CALLED PENSTIF2.BAS"
70 LPRINT
80 INPUT "PROJECT NAME - ",N$
90 LPRINT "PROJECT NAME-";N$
100 LPRINT
110 INPUT "TUNNEL STATION=", M$
120 LPRINT "TUNNEL STATION="; M$
130 LPRINT
140 INPUT "INVESTIGATORS NAME=", 0$
150 LPRINT "INVESTIGATORS NAME="; 0$
160 LPRINT
170 LPRINT
180 REM PROGRAM TO DETERMINE CRITICAL EXTERNAL BUCKLING PRESSURE FOR RING
190 REM STIFFENED TUNNEL LINER USING JACOBSENS FORMULAE
200 PRINT
210 REM JJ = MOMENT OF INERTIA OF STIFFENER AND CONTRIBUTING SHELL
220 REM F = CROSS SECTIONAL AREA OF STIFFENER AND PIPE SHELL BTWN RINGS
230 REM H = DISTANCE FROM RING NEUTRAL AXIS TO OUTER RING STIFFENER FIBER
240 REM R = RADIUS TO NEUTRAL AXIS OF RING STIFFENER
250 REM FY = YIELD STRENGTH OF LINER AND STIFFENER MATERIAL
260 REM E = MODULUS OF ELASTICITY OF LINER AND STIFFENER MATERIAL
270 REM G = GAP RATIO I.E. GAP/LINER RADIUS
280 REM L = SPACE BETWEEN RING STIFFENERS IN INCHES
290 READ JJ,F,H,R,FY,E,G,PI,L
300 DATA 569.1,119.1,5.986,110.63,57000.0
310 DATA 30000000.0,0.00071,3.141592654,68.36
320 LPRINT "JJ=";JJ,"F=";F,"H=";H,"R=";R
330 LPRINT "FY=";FY,"E=";E,"G=";G,"PI=";PI,"L=";L
340 LPRINT
350 LPRINT
360 LET K1#=(R"2)/(JJ/F)
370 LET K2#=(9!*(PI)- 2)/4!
380 LET K3#=PI*G
390 LET K4#=1!/(E*F)
400 LET K5#-(R- 3)/(JJ/F)
410 LET K6#=H/R
420 LET K7#=R/(E*F)
430 LET K8#=(8!*H*R)/(PI*12!*JJ/F)
440 LET K9#=FY/E
450 DEF FNAA(X,Y,Z)=(114-((TAN(X-Y))-2)/4!)
460 DEF FNBB(X,Y,Z)=K1#*((SIN(X)/SIN(Y))'3)
470 DEF FNCC(X,Y,Z)=(X-K3#-Y*(SIN(X)/SIN(Y))*FNAA(X,Y,Z))
480 DEF ENDD(X,Y,Z)=((K2#/Y-2)-1!)*(PI-X+Y*(SIN(X)/SIN(Y))-2)
490 DEF FNA(X,Y,Z)=FNBB(X,Y,Z)*FNCC(X,Y,Z)-FNDD(X,Y,Z)
500 DEF FNB(X,y,Z)=Z*K4#*K5#*((SIN(X)/SIN(y))"3)-((K2#/y-2)-1!)
510 DEF FNEE(X,Y,Z)=1!-I-K8#*Y*(SIN(X)/SIN(Y))*(TAN(X-Y))
520 DEF FNC(X,Y,Z)=K6#*(11-SIN(Y)/SIN(X))+Z*K7#*(SIN(X)/SIN(Y))*FNEE(X,Y,Z)-K9#
530 LET A=.5
540 LET B=.5
550 LET P=1
560 LPRINT "A","B";TAB(24);"P";TAB(33);"DELA";TAB(42);"DELB";TAB(52);"DELP"
570 PRINT
580 DIM PD(3,4)
590 LET DA=.1

3-95 ASCE/EPRI Cuides 1989

600 LET DB=.1
610 LET DP=10.5
620 REM ESTIMATION OF PARTIAL DERIVATIVES BY NUMERICAL METHOD
630 LET PD(1,4)=-FNA(A,B,P)
640 LET PD(2,4)=-FNB(A,B,P)
650 LET PD(3,4)=-FNC(A,B,P)
660 LET PD(1,1)=(FNA(A+DA,B,P)+PD(1,4))/DA
670 LET PD(1,2)=(FNA(A,B+DB,P)+PD(1,4))/DB
680 LET PD(1,3)=(FNA(A,B,P+DP)+PD(1,4))/DP
690 LET PD(2,1)=(FNB(A+DA,B,P)+PD(2,4))/DA
700 LET PD(2,2)=(FNB(A,B+DB,P)+PD(2,4))/DB
710 LET PD(2,3)=(FNB(A,B,P+DP)+PD(2,4))/DP
720 LET PD(3,1)=(FNC(A+DA,B,P)+PD(3,4))/DA
730 LET PD(3,2)=(FNC(A,B+DB,P)+PD(3,4))/DB
740 LET PD(3,3)=(FNC(A,B,P+DP)+PD(3,4))/DP
750 REM SOLUTION OF LINEAR EQUATIONS BY GAUSSIAN ELIMINATION
760 REM USING PIVOTAL STRATEGY TO AVOID DIVISION BY ZERO.
770 FOR I=1 TO 3
780 LET MAX = I
790 FOR J = I+1 TD 3
800 IF ABS(PD(J,I))>ABS(PD(MAX,I)) THEN 830
810 NEXT J
820 COTO 840
830 LET MAX = J
840 FOR K = I TO 4
850 LET W = PD(I,K)
860 LET PD(I,K) = PD(MAX,K)
870 LET PD(MAX,K) = W
880 NEXT K
890 FOR J = I+1 TO 3
900 FOR K = 4 TO I STEP -1
910 LET PD(J,K) = PD(J,K)-PD(I,K)*PD(J,I)/PD(I,I)
920 NEXT K
930 NEXT J
940 NEXT I
950 LET DELP = PD(3,4)/PD(3,3)
960 LET DELB = (PD(2,4)-PD(2,3)*DELP)/PD(2,2)
970 LET DELA = (PD(1,4)-PD(1,3)*DELP-PD(1,2)*DELB)/PD(1,1)
980 LET A=A+DELA
990 LET B=B+DELB
1000 LET P=P+DELP
1010 REM CORRECTION FACTOR INTRODUCED TO ACCELERATE CONVERGENCE.
1020 LET DA=DELA/100!
1030 LET DB=DELB/100!
1040 LET DP=DELP/1000!
1050 LPRINT A;B;P/L;DELA;DELB;DELP
1060 LET V=ABS(DELP)
1070 IF V>1! COTO 630
1080 PRINT
1090 LET U=INT(P/L)
1100 LPRINT "THE CRITICAL BUCKLING PRESSURE=";U
1110 END

ASCE/EPRI Cuides 1989 3-96

 CHAPTER 4. PENSTOCKS
CONTENTS

Section Page

A. General 4-1
B. Types of penstocks 4-1
1.Supported penstocks 4-1
2. Buried penstocks 4-1 —
3. Steel liners 4-3
C. Alignment 4-3
D. Design criteria 4-4
E. Material requirements 4-4
E Welding requirements 4-7
G. Allowable stresses 4-7
H. Economic diameter formula 4-9
I. Joint couplings 4-10
1.Expansion joints 4-10
2. Welded joints 4-11
3. Riveted joints 4-11
a. Background 4-11
b. Welded and riveted pipe 4-12
c. Design 4-12
d. Detailing 4-13
J. Wye branches 4-13
1. General 4-13
2. Hydraulics 4-15
3. Stress levels 4-17
4. Types of wye branches 4-17
a.Externally reinforced wyes 4-17
b. Internally reinforced wyes 4-19
5. Design methods 4-20
6. Conclusion 4-21
K. Minimum thickness 4-22
1. Handling nonstiffened penstocks 4-22
2. Handling stiffened penstocks 4-22
3. Internal pressure 4-22
4. External pressure 4-23
L. Stiffened/nonstiffened penstocks 4-23
1.General 4-23
2. Infernal pressure 4-23
3. Extemal pressure 4-23
4. Types of liners 4-24
M. Bends, reducers, and expansions 4-24
N. Support types 4-25

ASCE/EPRI Guides 1989

 CONTENTS Continued

Section Page

1.General 4-25
2. Concrete supports saddles or piers 4-26
3. Ring girder supports 4-27
O. Anchor blocks 4-29
1.Purpose 4-29
2. Loads 4-29
3.Design 4-29
a.Sliding 4-30
b.Rotation 4-31
e. Soft pressure 4-31
P. Stress analysis 4-31
1.Supported penstocks — stresses between supports 4-31
2.Supported penstocks — stresses at supports 4-31
3. Combined stresses 4-31
4. Triaxial stresses 4-32
5. Biaxial stresses 4-32
Q. Hillside stability 4-32
1.Slope stability 4-32
2. Investigation 4-32
3.Monitoring 4-33
4. Structural improvements 4-33
R. Vibration 4-33
S. Corrosion 4-35
T. Protective coatings 4-35
U. Standpipes and air valves 4-36
1.Purpose 4-36
2. Air valves 4-37
3.Standpipes 4-38
V. Penstock access 4-38
1.Roll-out sections 4-38
2.Manholes 4-38
W. Penstock shutoff system 4-39
X. Specifications for fabrication, inspection, and testing 4-40
1.Fabrication 4-40
2. Inspection 4-40
3.Nondesttructive testing 4-40
4. Hydrotesting 4-40
Y. Construction specifications 4-41
Z. Special penstock types 4-41
1. Wood stave pipe 4-41
a.General 4-41
b.Supports 4-41
c. Curves 4-42

ASCE/EPRI Guides 1989 ii

 CONTENTS — Continued

Section Page

d.Proportions of staves 4-42

e. Bands 4-42
f.Size 1-42
g.Spacing 4-43
2. Banded steel penstock 4-43
AA. Referentes 4-44

TABLES

Table Page

4-1 Steels commonly used in the manufacture of penstocks 4-6

4-2 Summary of interior and exterior pipe coatings 4-36

FIGURES

Figure Page

4-1 Penstock pmfile 4-2

4-2 Typical sleeve expansion joint 4-10
4-3 Flexible sleeve expansion joint 4-10
4-4 Circumferential riveted joint 4-12
4-5 Longitudinal lap-riveted joint 4-14
4-6 Longitudinal butt-riveted joint 4-14
4-7 S traight symmetrical wye 4-14
4-8 Manifold nonsymmetrical wye 4-14
4-9 Wye branch proportion 4-15
4-10 Wye branch approach angle 4-16
4-11 Extemally reinforced wyes 4-16
4-12 Spherical wye 4-18
4-13 Variation of spherical wye 4-19
4-14 Internally reinforced wye 4-19
4-15 Internally reinforced wye (double-hollow splitter type) 4-20
4-16 Concrete saddle 4-27
4-17 Ring girder support 4-27
4-18 Rocker support 4-28
4-19 Sliding support 4-28
4-20 Typical anchor loading 4-30
4-21 Vibration stiffener system 4-34
4-22 Air valves 4--37
4-23 Manhole 4-39

iii ASCE/EPRI Cuides 1989

 CREDITS

The "Penstocks" chapter was written by:

Richard D. Stutsman, P.E. Thomas AM, P.E.

Pacific Gas & Electric Company CBI, Na-Con
77 Beale St., Room 2685 800 Jorie Boulevard
San Francisco, California 94106 Oak Brook, Illinois 60521

ASCE/EPRI Guides 1989 iv

 CHAPTER 4, PENSTOCKS
A. GENERAL

A penstock is def'•med as a pressurized water conduit that extends fmm a turbine, pump or Definition
pump/turbine to the first free water surface. This free water surface may be either a surge
chamber device or a reservoir or canal, if no surge chamber device exists.

Penstocks are classified into different types depending on their general features. Three Types
types have been designed and used in recent years:

1. Supported penstocks. These are usually fabricated from steel, plastic, fiberglass or
wood stave pipe. They can be located aboye the ground or in a nonencased tunnel
and are usually supported on either steel or concrete support systems. Plastic or
fiberglass penstocks should not be exposed to sunlight because ultraviolet rays break
down the material.

2. Buried penstocks. These are usually fabricated fmm steel, concrete, plastic or fiber-
glass. They can be either partially or fully buried.

3. Encased steel liners. These are located in a tunnel and fully encased in concrete or
encased in a portion of a dam.

B. TYPES OF PENSTOCKS

1. Supported Penstocks

Many recent aboveground penstocks consist of individual pipe sections joined together General
with mechanical couplings or welded pipe sections with an expansion joint (fig. 4-1).
However, penstocks are also designed without expansion joints. In this type of design, the
longitudinal forces caused by temperature differential and by hydrostatic and dynamic Support
pressures are resisted by appropriately designed anchor blocks, also called thrust blocks.
For more detailed information on this type of design, the paper, "Determination of Stresses
on Anchor Blocks" by M.R. Bouchayer, published in ASCE Journal of Power Division,
December, 1959.

Penstocks are usually supported on either concrete saddles or ring girders. Elbows and
reducers are usually supported by concrete anchors. Individual penstock sections are usual-
ly about 40 feet long to facilitate handling and transportation. They usually start at the end
of a tunnel or a forebay structure, follow a mountain ridge, run down a steep siope, then
end in a powerhouse. Usually, the pipe sections closer to the powerhouse have a smaller
diameter but a thicker shell than those farther upstream.

2. Buried Penstocks

Buried penstocks are similar to supported penstocks except that they are buried in a trench General
instead of supported on concrete saddles or ring girders.

4-1 ASCE/EPRI Cuides 1989

 EXPANSION JO1NT
REDUCER

ANCHOR
ANCHOR
PIERS

Figure 4-1. — Penstock profile.

The individual penstock sections can either be welded or connected with mechanical cou-
plings depending on cost and case of construction. For buried coupling, special tare must
be taken to pmtect them from corrosion and to insure that there are no leaks before they are
back filled.

Design Penstocks that are installed under trench or fill conditions should be designed based on the
conditions following:

a. Interna! pressure conditions as described in Section D, "Design Criteria."

b. Minimum thickness as described in Section K, "Minimum Thickness."

c. The design thickness of the penstock shell should be the greater of those determined
in items (a) and (b) aboye.

Deflection Using this minimum shell thickness, the deflection of the penstock under required earth
Ioading should be calculated. One method commonly used is the Iowa deflection formula.

KWr
AY = (4-1)
D 1( El + 0.061 E i-3 )

where:

¿1K = deflection of pipe (inches),

D1 = deflection lag factor (1.00 to 1.5),
K = bedding constant (0.1),
W = load per unit of pipe length (lbIlin inch of pipe),
r = radius (inches),
E = modulus of elasticity of pipe (30,000,000 lb/in2),
/ = moment of inertia of cross section of pipe wall (in4/lin in of pipe), and*
E' = modulus of soil (lb/in2).

For more information on this and other methods for calculating deflection see [55]t .

t Numbers in brackets refer to entries in Section AA, "References." Pertinent references

are Usted at the ends of sections.

ASCE/EPRI Guides 1989 4-2

The following are some important guidelines to follow with regards to penstock deflec-
tions:

• Allowable deflection for steel penstocks with various lining and coatings are: Deflection
o Coal tar enamel and epoxy coating and linings — 5 percent of the penstock criteria
diameter.
o Coal tar enamel coatings and cement mortar linings — 4 percent of the penstock
diameter.
o Cement mortar coated and lined penstocks — 2 percent of the penstock diameter.

• Do not increase penstock wall thickness to prevent plate buckling or excessive deflec- Backfill
tion. Rather, increase the soil modulus, E'. (This should be verified by economies.) criteria
The pipe wall thickness appears only in the El terco of the Iowa formula. This terco is
small when compared with the E' terco of the formula. Therefore, increasing wall
thickness is not practical.
• Use prisco backfill load aboye the steel penstock.
• Use live load recommendations in AASHTO H-20.
• Minimum cover should be 2 feet.
• Top of penstock must be below the fmst line.

3. Encased Steel Liners

Steel liners are welded penstock sections installed (1) where it is necessary to control tun- General
nel leakage caused by unfavorable geologic conditions; (2) where there is insufficient rock
cover to withstand the intemal rimel pressure; and (3) wherever the infernal water pres-
sure exceeds the minor principal stress in the surrounding rock mass.

Steel liners can either be unstiffened or stiffened by external stiffeners or studs to resist
external water pressures [55].

C. ALIGNMENT

To determine the most economical alignment of a pipeline, the designer must investigate General
the site and make various layouts on topographic maps. He must then estimare material
quantities for each layout and evaluate its constructability.

When making these layouts, the penstock should be located on stable foundation sites such Foundation
as along a ridge or a bench that has been cut into the mountainside. Avoid troublesome
sites such as underground water courses, landfill, fault zones, and potencial slide areas.

Because low-head penstocks cost less than high-head penstocks, keep the pipeline at high Head
elevations as long as possible before going down the mountainside into the powerhouse.

To minirnize costly anchors and costly pipe transition sections, combine vertical bends, Transition
horizontal bends, and changes in diameter at the same location.

4-3 ASCE/EPRI Guides 1989

 D. DESIGN CRITERIA

Loadings The loadings that must be taken into account in designing penstocks should include, but are
not limited to the following:

• Intemal and extemal pressure

• Impact loads; including rapidly fluctuating pressure such as surge chamber water
surface fluctuations (surge) and waterhammer
• Dead weight of steel, concrete, and water
• Miscellaneous loads such as other components, operating equipment, insulation,
corrosion resistant or erosion-resistant linings, valving, and piping
• Seismic loads, wind loads, snow loads, and vibration loads where applicable
• Reactions of supporting legs, ring girders, saddles, or other types of supports
• Temperature effects
• Reactions caused by water impingement: changes in direction, changes in diameter,
and loads from valves
• Construction loads
• Backfill loads

Design The penstock or portions thereof may be exposed to more than one pressure, temperature,
loadings and mechanical load condition as provided in the design criteria. The specified design
parameters for design loadings shall be called design pressure, design temperature, and
mechanical design loads.

Pressure The intemal design pressure shall not be less than 100 percent of the maximum internal
pressure under normal operating conditions. This includes surge and waterhammer. For
details on surge and waterhammer analysis, see Chapter 5, "Hydraulics." The external
design pressure shall not be less than 100 percent of the maximum external pressure.

Temperature The following temperature considerations should should be evaluated for design.

• Any extemal or intemal heat generation effects shall be incorporated in the establish-
ment of the design temperature.
• The design temperature shall not be less than the difference between the steel temper-
ature at the maximum daytime temperature and the minimum nighttime temperature.
The steel temperature under direct sunlight can be much greater than the maximum
daytime temperature. The minimum temperature will not be less than the minimum
nighttime temperature. This extreme temperature range can occur during construction
or during plant outages when the penstock is drained.

E. MATERIAL REQUIREMENTS

General It is the purpose of this section to assist in the selection of the proper materials for the
design and construction of penstocks and tunnel liners. This section only covers the use of
steel in the manufacture of penstocks. The use of plastic, fiberglass, wood stave and con-
crete will not be discussed in regards to material properties. The specific manufacturers of
these materials should be consulted for their properties, performances and uses for pressure
systems.

ASCE/EPRI Cuides 1989 4-4

All steel used as base material in the fabrication of penstocks are to be manufactured and Quality
tested in strict accordance with appropriate ASTM specifications. Penstock and tunnel liner
shells are to be fabricated using steel plates of pressure vessel quality unless the design
loadings do not control the plate thickness. In these cases, lower quality steels can be con-
sidered. Ring girders, stiffener rings, and support systems are to be fabricated from piare or
structural shapes produced from structural quality steels.

Table 4-1 summarizes sorne of the more commonly used steels in the manufacture of pen- Commonly
stocks and associated structural supports. Rather than discussing the detailed mechanical used steels
properties of each type of steel, a brief summary of when each steel should be considered
has been added. Material properties and chemistries can be found in the ASTM codes and
in [55]. The steels listed cover a wide range of mechanical properties which justifies their
use for penstocks and tunnel liner installations involving a broad spectrum of design and
operational conditions. Other materials can be used, but the designer should carefully
investigate them for ductility, weldability, and cost.

Depending on the application, spiral welded pipe can be used. Although the materials and
welding techniques do not specifically meet the ASME Boiler and Pressure Code, spiral
weld pipe has proven to be structurally sound, and in some cases, more economic. It has
just been approved for use by ASME in their Chemieal Piping Code.

Fully kilned, fine-grain practice materials in coil forms should be used. The main differ-
ence in the way the ASTM material specifications treat the plates vs. coils is the specimen
location, orientation, and frequency of required mechanical testing. This should be readily
be addressed in the penstock specification to insure adequate physical properties. This
requirement will generally increase the cost of the final product since several of the speci-
mens must be taken from the center of the plate roll.

The economy in penstock shell design may be realized by specifying the nondestructive Thickness
examination (NDE) requirements in relation to the base joint efficiency. The type and the requirements
extent of specified NDE dictates the joint efficiency factors to be used in determining the
minimum wall thickness required. Thinner plates or coils may be used where more exten-
sive NDE is performed. The plate thickness for this type of system should have an upper
limit of approximately 1/2 inch and the diameters generally should not exceed 5 feet.
Because of the fabrication process, an offset at the welded joint can occur. The maximum
amount of this offset should be considered in the design calculations to determine the plate
thickness.

A double butt-welding process with complete penetration should be used.

The requirements for fracture toughness should be spelled out clearly in tercos of allowable Brittle
minimum design temperatures, maximum wall thicknesses and material requirements (to fracture
include specimen orientation) to meet notch toughness testing entena, as well as when brit-
tle fracture precautions should be taken. Fracture toughness is generally more critical in the
weld- or heat-effected zone than in the plate material because of the thin plate thickness
[3, 8, 10, 15, 16, 17, 18, 27, 33, 57, 64].

4-5 ASCE/EPRI Cuides 1989

 Table 4 -1. — Steels commonly used in the manufacture of penstocks.

TY pe of
Steel1 Use Use considerations

A36 STR2 General purpose steel normally used for structural attach-
ments. May be used for low head penstocks where
temperatures greater than 40° because of poor notch
toughness.

A36 PV3 A36 steel plates can be normalized to hnpmve notch

toughness. This is sometimes done because of the lack of
availability of high quality-steels.

A283 STR This material is very similar to the characteristics of A36

A285 PV Similar to A283 but a better quality material. Coarse-

grained steel used for low-head applications when less
than 0.75 inches thick.

A515 PV This material is suited only for higher temperature service

because of poor notch toughness properties at lower temp-
eratures. It is generally not suited for penstock material. It
can be used for low-head application when thickness is
less than 0.75 inch.

A516 PV Superb steel, good ductility, fully killed with fine-grain

characteristics. Material thicker than 11/2 inches, is
normalized, which enhances notch toughness at moderate
and lower service temperatures. It is rolled in four grades
with varying physical characteristics.

A537 PV This steel comes in two classes and is a higher strength

steel than A516, which permits the use of a higher allow-
able stress. This material is normalized, so it therefore has
enhanced notch toughness at moderate and lower service
temperatures. Although the relative costs per pound is
higher, for high head and large diameter applications, a
thinner base material will result. This will reduce welding
problems, because of lower pre-heat requirements, and
amounts of filler material.

A517 PV This material is commonly referred to as T1 steel. It is

very high strength material which, therefore, minimizes
the plated thickness. The major drawback is that is very
difficult material to weld and requires great care.

1 Designer should consult with a metallurgist when selecting penstock steels.

2 STR — Structural quality
3 PV — Pressure vessel quality

ASCE/EPRI Cuides 1989 4-

 F. WELDING REQUIREMENTS

All welding, welder and procedure qualifications, postweld heat treatment and NDE on Codes
penstocks should be perforrned in accordance the ASME Boiler and Pressure Vessel Code,
Section VIII, Division I or Division II. Adherence to Division II permits higher allowable
stresses.
Postweld
Postweld heat treatment (PWHT) of penstock sections, including special fittings, is heat
required where the shell plate thicknesses exceed 11/2 inches. This is particularly important treatment
for low-temperature design service. In special cases in which the designer has made a thor-
ough analysis, PWHT of girth seams thinner than 21/2 inches and longitudinal seams thin-
ner than 2 inches may be waived if the material has suitable toughness. For all welded
joints, adequate preheating is required.
Chemical
Chemical analysis is required to ensure the weldability of the materials under considera- analysis
tion. For high-head, low-temperature service, actual chemistries and physicals for welding
consumables shall also be required, to the same requirements as the plate material used.
Spiral-welded
The following items should be addressed for welding spiral-welded penstocks: penstocks

• Control of starts and stops (preheat interruption)

• Permissible offset tolerantes at weld joint upon weld completion (extremely
important with respect to stress calculations)
• Close attention of skelp splices (including NDE)
• Controls on coil feed speed; make it a required parameter to be part of welding proce-
dure specification
• Strict adherente to qualified welding procedure specifications (WPS) based on the
existing prequalification reports (PQR)
• Test specimen orientation in accordance with AWWA
• Address requirements for use (i.e., elevation, design stress, fracture toughness, materi-
al, etc.)

Allow use of visual examination only on spiral-welded pipe on low-head applications

(where diameter divided by thickness (Dfr) govems thickness instead of stress) without
additional NDE [8, 9, 15, 16, 18, 27, 37, 58].

G. ALLOWABLE STRESSES

Development and acceptance of allowable stresses for penstock design is a controversial General
subject. Each firm, agency and country has developed their own guidelines as the result of
the absence of an accepted penstock code.

Although there are many varying approaches, it appears that one set of criteria has been ASME Code
used more often than the others. This criteria is the ASME Boiler and Pressure Vessel
Code. Its use is not because it has been preven better, but because it has a well accepted
background for pressure vessels and is quite comprehensive with regard to design and fab-
rication.

4-7 ASCE/EPRI Guides 1989

Maximum ASME section VIII, division 1 sets the maximum allowable design stress to be 1/4 of the
allowable ultimate strength of the material, and requires general structural analysis, limited NDE, and
design stress general steel types.

Alternative As an altemative, ASME section VIII, division 2 allows a higher allowable design stress of
design stress 1/3 ultimate strength. It requires more sophisticated stress analysis, more extensive NDT,
higher quality steels, charpy impact tests and stress relieving for certain thickness ranges.
Also under appendix 4 of division 2, the allowable stresses, under certain defined criteria,
may exceed the previously defined division 2 allowables by varying amounts.

Mixing One caution in using the ASME codes — "mixing" of provisions between the allowables,
provisions design requirements, material requirements and fabrication and inspection requirements of
Divisions 1 and 2 should not be done.

Consideration Although a discussion of the ASME code has been made, there are other commonly used
sets of criteria. In developing or using a given set of criteria, engineers and designers
should proceed with caution. Some of the iteras that should be considered are: design load-
ing, site conditions, including weather, public exposure and safety, and confidence Ievels in
loading, fabrication and installation.

Level A This condition includes maximum static head plus pressure rise caused by normal opera-
service limits tion (surge and waterhammer). The recommended allowable stresses are as described in the
preceding paragraph.

Level B This includes conditions during, filling and draining of the penstock and earthquake during
service limits normal operation. The recommended allowable stress is equal to 0.8 times the specified
minimum yield stress or 0A-4 times the specified minimum tensile strength, whichever is
smaller.

Level C This condition includes govemor cushioning stroke being inoperative and partial gate do-
service limits sure in (2L/a) seconds at maximum rate (L = conduit length in feet; a = pressure wave
velocity in ftJs). The recommended allowable stress is two-thirds the minimum specified
tensile strength, but in no case shall the allowable stress exceed the specified minimum
yield stress.

Level D This condition includes malfunctioning of control equipment in the most adverse manner
service limits and should not be used as the basis of design. If the maximum stress does not exceed 90
percent of the specified minimum tensile strength, the structural integrity of the penstock is
reasonably assured. Precautions must be taken to minimize the probability of occurrence
and the effects of the exceptional condition. Some design organizations have used basic
allowable stresses equivalent to 0.4 times the tensile strength or 0.6 times the yield stress,
whichever govems. Near the powerhouse, the factors of safety may be reduced to 3 and 2,
respectively. At the connection with guard valve the allowable stresses may be reduced fur-
ther to attain deformation compatibility because the valves are designed for lower stresses
than the penstocks [16, 44].

ASCE/EPRI Cuides 1989 4-8

 H. ECONOMIC DIAMETER FORMULA

In addition to alignment and design head, it is important to know about plant operation and
other factors that determine the annual cost of constructing and operating a powerhouse
penstock. The two major cost items involved in the annual cost are (1) cost of capital
investment and (2) cost of power revenue loss from frictional headloss.

1. Cost of capital investment. The inicial investment (capital) cost must be paid off over a
period of years (project life) at a specified interest rate. When the project life and inter-
est rate are known, the capital recovery factor (CRF) can be determined. By multiply-
ing the capital cost by the CRF, the annual cost of capital investment is calculated.

2. Cost of power revenue loss. The flowrate (Q), cost of power (mill rate), kilowatt
hours generated each year, and turbine—generator efficiency must be determined
through careful study and planning. In addition, the head loss must be accurately
determined. When all these parameters are known, the annual cost of power revenue
loss can be calculated.

The total annual cost is determined by adding the two major costs aboye. Finally, select a
diameter that minimizes the total annual cost. The shell thickness is usually governed by
the allowable stress — see Section K, "Minimum Thickness."

It can be shown that the flow rate (Q) is by far the most important parameter and must be
selected carefully because of its impact on the total annual cost and penstock size.

In addition to the method described aboye, the minimum diameter can be determined by
using equation (4-2). Please note that many other equations that have been developed over
the years. Therefore, the designer should select the equation most appropriate to his appli-
cation.

This formula defines the economic diameter as the one that has the lowest annual costs,
taking into account the cost of pipe and the cost of power lost due to friction. Economic
diameter
The 1985 edition of Steel Pipe— A Guide for Design and Installation suggests the follow- formula
ing formula for the penstock diameter when the cost of steel can be expressed as a function
of its weight

fbQa 3S
d = 0.215 (4-2)
j aiHa
where:

d = inside diameter of pipe (feet),

f = Darcy friction coefficient
Q = design flow (ft3/s),
S = specified allowable stress (Ib/in2),
a = first cost of pipe in place ($/lb),
i — capital recovery factor, and
Ha = design head (feet).

4-9 ASCE/EPRI Guides 1989

 An old rule for penstocks that approximated equation (4-2) stated that, "Pipe fulfills the
requirements for greatest economy wherein the value of the energy annually lost in friction
equals 0.4 of the annual cost of the pipeline."

The relationship between diameter and head explains why the diameter at the end of the
penstock is usually smaller than at the start. Equation (4-2) is one of many derived through-
out the years. The designer should select the equation most appropriate for his application.

Equation (4-2) should not be used for sizing penstocks of pumping stations or pumped
storage plants because of pumping and generating costs are different [4, 5, 6, 13, 19, 20,
22, 32, 45, 46, 48, 54, 59, 62, 64, 67].

I. JOINT COUPLINGS

1. Expansion Joints

Expansion Expansion joints are frequently installed in exposed and buried penstocks between anchor
joints blocks to accommodate longitudinal movements caused by temperature changes. They also
permit movement when the penstock passes thnaugh two structures where differential set-
tlement or deflection is anticipated. (NOTE: There have been a number of penstock
installations where expansion joints were not used. In these cases, the steel penstock and
anchor blocks had to be adequately designed to handle the longitudinal thermal stresses.)
Figure 4-2 shows a typical sleeve expansion joint designed to accommodate only longitu-
dinal movement. Figure 4-3 shows a typical flexible sleeve expansion joint designed to
accommodate both longitudinal and rotational movements.

PACKING GLAN
RETAINER RING
liffoinnennonuan OUTER SLEEVE

0 0 0 cArA FI y/.

INNER SLEEVE INSIDE OF

IPACKING RINGS PIPE SHELL

Figure 4-2. — Typical sleeve-type expansion joint .

GASKETS PIPE OD

Figure 4-3. — Flexible sleeve expansion joint.

ASCE/EPRI Guides 1989 4-10

The sleeve expansion joints consist of an inner and outer sleeve and a stuffing box with Sleeve
packing held by a retainer ring and compressed with a packing gland. The inner sleeve is expansion
stainless steel ciad on the outer surface to prevent corrosion and to maintain the ability of joint
the joint to easily allow movement. The clearances at the ends of the sleeves and the dis-
tances from the ends of the sleeves to the packing-retainer rings should be ample to permit
the movement expected under maximum conditions. Sleeve couplings should not be used
in a buried application unless they are located in a vault.

The flexible sleeve coupling consists of an expanded steel middle ring (usually made of the Flexible
same steel material as the penstock), two tapered rubber gaskets, two full-diameter end sleeve
rings to compress the gaskets under the middle rings, and a large quantity of through bolts
to force the two end rings against the gaskets. On large-diameter penstocks, the end rings
are cast segmented pieces rather than full-diameter units. This type of coupling can be used
either aboye ground or below ground. If it is to be used below ground, the penstock should
be pressurized and the couplings checked for leakage and tightened as required before
the coupling is buried.

If flexible sleeve couplings are used on very steep slopes, the designer may want to consid- Pipe stops
er having pipe stops installed on the inside middle of the middle ring (fig. 4-3). These pre-
vent the coupling from sliding downstream as the penstock sections move with temperature
change. One disadvantage of pipe stops is that they make it very difficult to remove an
adjacent section of penstock because the middle rings cannot be moved out of the way.

For steep slope installation, the penstock cans should be installed from the bottom of the
slope upward. This is to prevent the cans from creeping downhill as they are installed. As
these cans are installed upward, the gap between cans can be held constant by use of tem-
porary wood or steel wedges.

The frictional resistance of both types expansion joints should be assumed to be 500
pounds per circumferential inch for design purposes.

2. Welded Joints

Many times individual penstock cans will be butt welded together instead of the using the Welded joints
mechanical couplings described aboye. This determination is based on site conditions or
economics (field welding vs coupling cost and installation). Penstocks cans greater than 60
inches in diameter are usually connected with mechanical type couplings in order to mini-
mice constniction costs and time.

3. Riveted Joints

a. Background. — Although current penstock design and fabiication practices no longer General
use riveted joints, there are many penstocks still in service that are either fully riveted or a
combination of welded and riveted.

Because many older plants and their penstocks are being upgraded with additional units Riveted joints
through repowering programs, or because of,penstock repaired or replaced as a result of
safety evaluation programs, it is important to know something about the design and con-
struction of these older penstocks. There is little published information on riveted penstocks.

4-11 ASCE/EPRI Guides 1989

 P ITCH a

BUTT STRAP
PLATE SHE L
IN/A92, 1"W bsk12

DOUBLE RIVETED BUTT JOINT

WITH DOUBLE BUTT STRAP
Figure 4-4. — Cireumferential riveted joint.

Historically, two types of riveted joint details have been used for steel penstock fabrication
and erection. These are:

• Shop-welded longitudinal joints and field riveted circumferential joints

• Fully riveted longitudinal and circumferential joints — shop and/or field

History b. Welded and Riveted Pipe. — The combination of shop welding and riveting was very
common during the 1950s and 1960s. The use of riveted joints did not change until
improved welding techniques had been developed that made high quality field welding fea-
sible. Before the 1950s and dating back into the late 1800s most joints were riveted.

ASME Code Usually all shop welded joints, either longitudinal or circumferential, are welded, radio-
graphed and stress relieved in accordance with the ASME Boiler and Pressure Vessel
Code. In addition, it is quite common to hydrotest each welded pipe to 150 percent of the
normal working pressure.

Before the 1950s. no field welding of the penstock shells was done, except in cases where
access was a problem, as in tunnel liners, making riveting impractical.

Pressure It was not considered practical to pressure test riveted pipe in the shop because the strength
test could not be accurately computed and the difficulty due to the lack of equipment.

Circum- c. Design. — Circumferentiar field joints (fig. 4-4) were normally riveted and were
ferential designed for the computed longitudinal force in the pipe but with a joint efficiency of not
riveted less than 20 percent. The butt strap was not less than 2/3 the shell thickness and was made
joints of the same material as the shell. In computing joint efficiency the holes were assumed to
be, 1/16 inch larger for drilled holes and 3/16 inch larger for punched holes, than the nomi-
nal rivet diameter.

ASCE/EPRI Guides 1988 4-12

The following stresses, for calculating joint strengths, were used not only for circumferen-
ti al joints but longitudinal joints:

Item Allowable Ultimate strength

Shear 11,000 lb[in2 44,000 lb/1n2
Bearing 23,750 lbfm2 95,000 lb/in2
Tension 13,750 lb/in2 55,000 lb/in2

d. Detailing. — The rivet spacing was limited by caulking requirements. The distantes Rlvet
between rows of rivets is such that sum of the two net diagonal dimensions between holes spacing
will not be less than 1.25 times the net distante between holes on gauge fines. The maximum
spacing of holes along caulked edges is governed by the formula P = 2.5t + d = 1.5 inches.

where:

P = pitch,
t = plate thickness, and
d = diameter of rivet hole.

For the longitudinal riveted joints, even though many different rivet patterns and spacings Longitudinal
were used there were two basic joint types. riveted joints

The first type were lap joints. The penstock plate was rolled, the two ends lapped over each Lap joints
other and riveted (fig. 4-5). These joint generally had very low joint efficiencies varying
from 46 to 95 percent and were therefore used primarily for low head locations.

The second type were butt joints with outer and inner cover plates which were riveted Butt joint
together (fig. 4-6). These joints had a much higher joint efficiency (77 percent to 100 per-
cent) and were used for higher heads applications [9, 10, 18, 43, 64].

J. WYE BRANCHES

1. General

For hydroelectric facilities that have multiple units, wye branches or bifurcations are General
installed to split or divide the tunnel or penstock flow.

For underground facilities, wye branches are usually constructed of reinforced concrete cast
against a solid rock mass where the internal loading is transferred to the rock. For outdoor
powerhouses with surface penstocks, wye branches are usually fabricated of steel and are
encased in a concrete anchor block to /ansfer the hydraulic thrusts to the surrounding foun-
dation. Only steel wye branches are discussed in this section. When the penstocks are steel-
lincd, it is preferable to locate the wye-branches so that they can be designed in concrete.

Wye branches should be suitably reinforced so that no substantial stress concentration or Reinforeement
deformation occur.

There are two major categories of bifurcating geometries: the s/aight symmetrical wye and Configura-
the manifold nonsymmetrical wye. Figures 4-7 and 4-8 describe these two geometrical tions
configurations.

4-13 ASCE/EPRI Guides 1989

 Figure 4-5. — Longitudinal lap-riveted joint.

FLOW
-...-

BUTT STRAP
P LATE SHEEL
DOUBLE RIVETED BUTT JOLNT
WITH DOUBLE BUTT STRAP

Figure 4-6. — Longitudinal butt-riveted joint.

MAIN PIPE BRANCH I BRANCH II

RUNNER RUNNER RUNNER RUNNER

Figure 4-7. — Straight symmetrical wye.

RUNNER
BRANCH II
RUNNER
MAIN PIPE
BRANCH I
RUNNER
41ANCH III
RUNNER
Figure 4-8. — Manifold nonsymmetrical wye.

ASCE/EPRI Guides 1989 4-14

 Figure 4-9.— Wye branch proportion.

The symmetrical wye type may be a single symmetric bifurcation or a series of bifurcating Symmetrical
pipes in which the branch pipes are parallel to the direction of the main pipe. Generally, wye
when the bifurcating pipe is the straight symmetrical wye type, the internal angle
between the two branching pipes should range between 60° and 90°.

Nonsymmetrical wyes distribute several branch pipes in the same direction from the Nonsym-
straight main pipe as shown on figure (4-8). metrical wye

To reduce the head loss, less bifurcating angle is advantageous. The less the bifurcating Bifurcating
angle, the more reinforcing material is required at the bifurcating point. wye

2. Hydraulics.

Wye branches should be designed for smooth hydraulic flow to avoid excessive head loss- Hydraulics
es, vibration and cavitation.

Wye branches should be geometrically detailed to evenly proportion the flow distribution:

• To elimínate acceleration or deceleration of flow in the adjoining branches and thus Wye branch
minimize headlosses. For example, if a wye branch were to branch into a 1/3 and 2/3 proportioning
distribution, the 1/3 branch would have 1/3 the main penstock cross sectional area
and the 2/3 branch would have 2/3 the main penstock area (fig. 4-9).

• To direct the flow from the approaching wye branch leg to match the design flow Approach
capacity of the adjoining branches. For example, in a wye branch were the branches angle
split into 1/3 and 2/3 distribution, a plane projected from the crotch of the wye branch
and parallel to the approaching leg centerline will bisect its cross sectional area 1/3
and 2/3 (fig. 4-10).

In case of manifold nonsymmetrical bifurcation, it is advisable to make the entrante into Conical
the branching pipes of conical shape (figs. 4-11b, c, and e), rather than true cylindrical shape
shape (figs. 4-11a and d), because the head loss with the conical pipe is about 1/3 that of
the cylindrical pipe.

4-15 ASCE/EPRI Guides 1989

 \g'
NOTE: Al 1 ÁREA OF 27'0

A- A

Figure 4-10. — Wye branch approach angle.

D, D,

(A) (B)

(D)

Figure 4-11. — Externally reinforced wyes.

ASCE/EPRI Guides 1989 4-16

With respect to the head loss, the manifold type is exposed to a chance of having different Vortex
head loss for each of the branch pipes, while the combination of single or multiple sym-
metrical bifurcating pipes has less chance of doing so. In either case, particular attention
has to be paid to ward off vortex formation and to make the construction insusceptible to
vibration for various combinations of the operating conditions of water turbines. Abrasion
is reduced proportionally by the absence of vortex formation.

In addition to the bifurcation configuration shown on figure 4-9, it is possible Lo design Trifurcation
wye branches to be trifurcations in lieu of bifurcations. This design makes the construction
more complex. Although the head loss is almost nil at the center pipe, the pipes on each
side suffer a substantial reduction, causing uneven water head loss.

Several different branches should be detailed, initial costs estimated and the value of ener- Least cost
gy, due to head loss calculated. The least total cost wye branch should he evaluated in light
of hydraulic adequacy.

3. Stress Levels

The shell of the wye and the reinforcing members should be designed for stress levels Stress levels
equal to 112 yield on 1/4 ultimate (whichever is smaller) to account for uncertainty in the
action of the curved beams and stress concentrations.

Wye branches should be of welded construction, radiographically tested (R1') where possi- Tests
ble and stress relieved. When RT examination is not possible, ultrasonic testing (UT)
should be performed. Stress relieving is required because the reinforcing members are gen-
erally thick members (Le., usually greater than 11/2-inch-thick piale). Before acceptance,
the wyes should be hydrostatically tested to 125 percent (ASME Division 2) or 150 percent
(ASME Division 1) of the design pressure.

4. Types of Wye Branches.

The design of wye sections may include extemal stiffening only or may incorporate several Types of
modes of interna' stiffening and supports. wye branches

a. Externally Reinforced Wyes. — Externally reinforced and stiffened bifurcations utiliz-

ing a single reinforcing pad or insert plate should be limited to branches in which the
branch diameter is less than 1/3 of the main pipe diameter. In cases in which the branch
pipe intersects the main pipe at something other than a 90° angle, the Iongest dimension of
the opening (b) in the main pipe must be less than 1/3 of the main pipe diameter (D) (fig.
4-11 (A), (B), and (C)).

A single curved reinforcing plate may be used provided the out of plane bending stress- Single curved
es at the elongated opening are properly absorbed in the reinforcing plate section (fig. reinforcing
4-11 (E)). plate

The two- and dure-plate reinforcement designs use extemal stiffeners or a combination of Two- and
extemal stiffeners andan internal tie rod. three-plate

4-17 ASCE/EPRI Guides 1989

 Figure 4-12. — Spherical wye.

For the extemal stiffeners alone, the circumferential stresses due to hydrostatic pressure
must be [alcen into the bending in the stiffeners. For this design, the stiffeners act to resist
the intemal pressure and do not penetrate through the shell (fig. 11 (D)).

For the system which uses a combination of external stiffeners and an intemal rod, a single
tie rod is added which penetrates through the shell section and acts as a tension member.
This rod is used to reduce the stiffener size that would be required if only extemal stiffen-
ers were used.

This combined system is not recommended because of flow-induced vibration due to vor-
tex shedding off the tic rod. These vibrations can result in fatigue and stress concentrations
where they penetrate the wye branch shell.

Because it is easier to analyze the stress in externally reinforced wye branches, spherical
Spherical branches are generally adopted only for high-pressure. A spherical header branch system is
header shown on figure 4-12. The head loss at the branch is depending upon the ratio of sectional
arca of main and branch pipes, branching angle, ratio of flow distribution, flow, and other
factors.

In the case of spherical header branch system, to reduce the head loss resulting from the
Flow suddenly increased inner volume at the sphere part, flow-rectifying plates are provided
rectifying inside the spherical. shell interior. The flow-rectifying plates are provided with large
plates enough water-pressure equalizing holes to transmit to their exterior the impact of flowing
water pressure. The flow-rectifying plates should not be rigidly welded to the spherical
shell, because such welding would restrict the deformation of the sphere due to water pres-
sure.

Reinforcement Circumferential reinforcing rings are required at the joining part of the branch and the
spherical shell. The reinforcement of the opening may be designed by use of ASME VIII
rules for large-diameter openings.

Variation A common variation of the spherical header incorporales conical and knuckle transitions
of spherical between the main pipe and the spherical header as well as similar transitions between the
header branch pipes and the spherical header. This configuration cases the discontinuity stresses at

ASCE/EPRI Guides 1989 4-18

 t L.
Figure 4-13. — Variation of spherical wye.

DE TAIL A

A-A
Figure 4-14. — Internally reinforced wye.

the openings in the spherical element by use of transition members. This shape generally
carnes most of the stresses in membrane tension and substantially reduces surface bending
stresses. An example of this configuration is shown on figure 4-13.

b. Internally Reinforced Wyes. — In the one-plate reinforcement design, the reinforcement One-plate
extends completely through the interior of the shell section and acts as a tension member. design
This type of system is hydraulically deficient. It causes pulsing flow with acceleration and
deceleration as the water passes the intemal crotch plate. This, in tum, creates an excessive Pulsating
amount of head loss. flow

There are, however, two direct solutions to the problem. These are both ingenious and Internal
impressively simple. One is the well-known intemal splitter in the forro of a crescent. The splitter
crescent is shaped so that it is in tension only (fig. 4-14).

The inward projection of the splitter plate allows the designer to minimize the eccentricity Minimize
between the centroid of the load and the centroid of the reinforcing cross section splitter eccentricity
plate. Ideally, this eccentricity will be reduced to zero, resulting in a tensile stress only con-
dition in the splitter plate since the bending moment has been eliminated.

4-19 ASCE/EPRI Guides 1989

 B -B A- A

Figure 4-15. — Internally reinforced wye (double-hollow splitter type).

Plate fiare To achieve this condition, the inward projection of the splitter piale becomes great enough
to substantially effect the head loss flow characteristics. To compensate for this undesirable
flow constriction, the main pipe may be flared to increase the cross-sectional ama in the
region of the splitter. The use of conical sections in both the main pipe and conical reducers
extending to the branch pipes can be devised to ensure minimal splitter plate design cou-
pled with favorable flow and head-loss characteristics.

Another variation on the splitter principie is the composite double-hollow splitter wye
branch (fig. 4-15).

Composite The geometric considerations described aboye for the single-member salid splitter plate
double-hollow also apply to this configuration. The inward projection of the splitter reduces the eccentric-
splitter ity of the load and reinforcement centroid. The double-hollow composite splitter enables
the designer to minimize the steel plate thicknesses, thereby eliminating costly post-weld
heat treatment. Reinforced concrete may be used in the hollow-splitter space and may act
in conjunction with the steel elements.

Pipe fiare As in the case of the single-element splitter, the inward projection may minimize the split-
ter cross section requirements, but at the expense of restricting the flow and inducing unde-
sirable head losses. To elirninate this situation, the main pipe may be flared by use of coni-
cal sections to increase the cross section at the splitter location. Hydraulic studies are recom-
mended to determine the head loss and flow characteristics on all individual design basis.

5. Design Methods

Design There is a lack of current literature available on the design of wye branches. Most of the
methods literature and research dates back to the 1920s and 1950s. At that time, designers of a few
countries had done work on wye branch design. In Europe, work was carried out primarily
by the Swiss and the British.

ASCE/EPRI Guides 1989 4-20

Current design practices have beetyto use one of the existing design guides or to use a Current
more detailed type of analysis such as three dimensional finite element analysis. design
practice
The design method developed for the two- and three-plate wye section, involves estimating
the amount of plate needed for the reinforcement and applying the resultant circumferential Two-and
stress from the pipe shells on it and the longitudinal force working on the conical part. three-plate

Detailing of wyes must be a consideration in the design of the reinforcing clamps. When Moment of
dealing with a combination of large diameters and high pressures, a single reinforcing web inertia
place may not yield sufficient moment of inertia to control stress levels or the height to
thickness ratio of the single stiffener may be excessive. For excess ratios, a flange must be
installed on the reinforcing web member. In some cases, by installing flanges on the out-
side of stiffener, it has been found that the increased moment of inertia is significantly off-
set because of the increased eccentricity. Conversely, by installing flanges as insert plates
within the shell, fabrication becomes more difficult.

In a tee section, the curved-beam equations could then be used to calculate the critical plate Curved-beam
stresses. It is imperative that the appropriate curved beam factor K be incorporated into this equations
design. In addition, the intemal pressure membrane stress in the shell at the shell to web
intersection must be added to the tensile and bending C-girder stresses calculated by use of
[54] and [60].

It should be noted that the technique for C-girder analysis described in [54] and [60] incor- True
porates an idealization of the web-to-shell intersection as a tee configuration throughout geometry
the periphery. To be more correct, this configuration should be calculated on the basis of
the true geometry, i.e., a sweptback V. The resulting moment of inertia, section modules
and curved beam factor may be significantly affected at the critica! horizontal plane cross
section if this refinement is not reconciled, Naturally, if a true tee configuration is used, the
aboye described refinement need not be considered.

When the wye branches intersect at other than at 90° from the pipe axis, one plate will Load
have a larger load than the other. Therefore, by compatibility, the calculations must include distribution
balancing the deflections of both plates at the junction to determine the amount of load dis-
tributed to each plate.

In dealing with larger-diameter pipe, the economical design to control deflections proves to Three-plate
be the three-plate design in which a half-ring plate is added to the two-plate design to hold design
down the free ends. Here, the third plate is not attached to the shell, as the other two plates,
but is free except at the top and bottom intersection points with the other two plates.

6. Conclusion

Careful attention should be paid to fuese details in order to satisfy the design requirements Conclusion
and reduce overall cost of the wye branch. The extemal clamp system is probably the most
efficient structurally and hydraulically [15, 18, 21, 38, 51, 54, 60].

4-21 ASCE/EPRI Guides 1989

 K. MINIMUM THICKNESS

1. Handling Nonstiffened Penstocks

Handling Thin-walled penstock, especially without stiffener rings, is easily damaged when fabricated
non stiffened and handled. It can also sag badly out of shape due to its own dead weight or if partly filled
penstocks with water if it is an aboveground penstock.

Equations Over the years various equations have been used to determine minimum thickness. It has
been determined that some of these equations yield conservative results for lower diame-
ters and nonconservative results for larger diameters. To avoid these problems, the equa-
tions developed in [40] should be used. Although this reference recommends the minimum
thickness for unstiffened penstocks, penstocks of thinner plate thicknesses have been used.
In these cases, intemal bracing was used to insure that excessive deflection or deformation
did not occur.

Minimum Caution should be used when using penstocks with a minimum thickness. Vibration from
thickness machine operation may be critical for high diameter to thickness ratios. Vibration will be
addressed in a later section.

2. Handling Stiffened Penstocks

Handling Sometimes welding extemal stiffener rings on thin-walled pipe increase the effective plate
stiffened thickness and help keep the ends of the pipe round making it easier to join sections togeth-
pen stocks er. Stiffener rings are also welded on liners if the design is governed by extemal pressure.
When stiffeners are used, the following thickness formula should be used.

tmin
.—
_ d + 20 (4-3)
400

where:

t = minimum plate thickness (inches), and

d = inside pipe diameter (inches).

3. Interna! Pressure

Interna' The minimum plate thickness should be computed using the design pressure for the normal
pressure condition (static pressure plus pressure rise due to normal operation).

Minimum The minimum plate thickness may then be calculated using the formula:
place
thickness
(4-4)

ASCE/EPRI Guides 1989 4-22

where:

t = shell thickness (inches),

P = design pressure (Ib/in2)
R = penstock inside radius (inches), and
SA = specified allowable stresses (lbs/in2).

4. External Pressure

Free-standing surface penstocks are not subject to extemal pressure

L. STIFFENED/NONSTIFFENED PENSTOCKS

1. General

The material in Chis section is described in greater detall in Chapter 3, "Tunnels and Shafts."

The rapid increase of turbine capacity in recent years have made the design of pipelines General
increasingly difficult, as with increase in penstock diameter the metal thickness required to
resist intemal pressure has become too great for welding unless high-strength steels are
used. With the larger units, it is prudent to consider driving a tunnels and lining them with
steel liners encased in concrete. The steel liners transmit part of the intemal pressure load
to surrounding concrete and rock. By this load transfer, the metal thickness can be kept to a
minimum. This type of construction requires that the embedded steel liners be designed for
extemal pressure.

In the design of steel liners for pressure tunnels, both intemal and extemal pressures must Pressures
be considered. External pressures can occur either during the tunnel grouting operation or
on tunnel dewatering after a prolonged period of use. Often, it is the extemal rather than
the internal pressure that determines the thickness of the steel liner.

In cases where a substantial increase in liner thickness would be required to prevent buck-
ling due to extemal pressure, it may be more economical to provide extemal stiffeners.

2. Internal Pressure

For embedded liners, intemal pressure is usually not a critical. This is because the water Internal
pressure is directly transmitted to the surrounding concrete and rock. The steel liner acts
only as a water proof membrane.

3. External Pressure

Extemal pressures acting on the steel liner may become critical either during construction External
or on dewatering after prolonged use.

During construction, extemal pressures may be exerted by the concrete while the space Tunnel
between the liner and the tunnel sides is beidg filled. However, such forres are norrnally construction
resisted by providing intemal bracing (used a temporary support during construction).

4-23 ASCE/EPRI Guides 1989

Groundwater After the concrete has set, groundwater pressures may build up unless precautions are
pressure taken. Norrnally, adequate relief against this condition is provided by leaving open the
grout plugs in the liner.

Grouting Frequently, the grouting operation is the critical design case, because considerable pres-
sures are required for this operation to be completely effective in closing the gaps between
the rock and concrete, and between the steel liner and the concrete. Usually, intemal stiff-
eners cannot be left in place during the grouting operation. Normal grouting pressures are
100 to 200 lb/in2 for grouting between the rock and the concrete and 30 lb/in2 for grouting
between the steel liner and the concrete.

Maximum After the hydro facilities have been put into operation, the steel liner may again become
external subject to external water pressures. In this case, the pressure is caused by water that has
pressure head infiltrated from the conduit, entering fissures or other openings in the rock. Given ideal
conditions, the extemal pressures from this water could be as high as the intemal pressure
within the conduit. However, it is reasonable to assume that in most instances the fissure
system is interconnected and a seepage path to the ground surface exists. Thus, the maxi-
mum pressure head does not normally exceed the depth below the ground surface in cases
where the intemal pressures are greater than the ground surface elevation.

4. Types of Liners

'1 pes Several types of liners are listed below.

of liners
• Unstiffened steel liners — require greater pipe thickness than stiffened liners
• Steel liners with anchor studs acting as stiffeners (not recommended to stress concen-
trations in the liner plate
• Steel liners with stiffening rings — optimize the pipe plate thickness with stiffener
size and spacing

[1, 2, 12, 23, 24, 25, 26, 28, 31, 35, 36, 41, 59, 66, 67, 69]

M. BENDS, REDUCERS, AND EXPANSIONE

Transition An attempt should be made to combine vertical bends, horizontal bends, and changes in
sections diameter at one penstock transition section, also called compound bend and compound
reducing bend. This will not only minimizes hydraulic losses but generally result in a more
economical design.

Bends Fabricated plate steel bends are used for penstock installations and are made up of short
segments of pipe with mitered ends butt-welded together to form the complete bend. To
conserve as much of the available head as possible, bends for penstocks should be made
with large radii and small deflections between successive segments. Bend radii of three to
five times the pipe diameter and deflection angles of 5° to 10° between segments are rec-
ommended. Bends may be designed with a constant diameter or with a different diameter
on each end. Compound or combined bends, in which the plane of the bend is neither hori-
zontal nor vertical, require certain trigonometric computations. Usually, the plan angle and
profile angles are known and it is required to determine the true angle in the plane of the

ASCE/EPRI Guides 1989 4-24

bend and the bend rotations. Computation method and applicable formulas for these bend
properties can be found in [55].

The transition side slope or cone angle for reducers should not exceed 15° and the transi- Transition
tion side slope or cone angle for expansions should not exceed 10°. This is to minimize side slope
head losses [52, 55].

N. SUPPORT TYPES

1. General

The designer normally uses two types of supports for aboye ground pipelines saddles Supports
for small diameter pipe and ring girders for large diameter pipe. There is not, however, a
specifie diameter that separate small pipes from larger pipes. Pipes 10-feet in diameter
have been supported on saddles or saddles formed on high piers.

Piers used to support the penstock between anchors must fulfill the following require-
ments:

1. Provide pipe lengths convenient for shipping and erection. Support

2. Avoid severe local distortion of the pipe at the support. position
3. Avoid excessive pipe stresses due to beam action between supports. This is usually requirements
becomes a problem only with small-diameter pipes.
4. Permit longitudinal movement but prevent lateral movement of the pipe.
5. Maintain safe soil bearing pressures.

A spacing of 40 feet, resulting in lengths of pipe convenient for shipping and erection, is Spacing
very common. There are installations where can lengths up to 60 feet have been used.
Installation is very expensive. To set to line and grade, pipe sections consisting of several
cans welded together will minimize the number of pipe sections to be handled. The pipe
length of cans should be evaluated for stress level, temperature, site conditions, and trans-
portation,
Circum-
For a high ratio of diameter to thickness, the local distortion around the saddle homs ferential
caused by circumferential bending may be unacceptable and require closer spacing of sad- bending
dles or the use of stiffener rings.
Beam action
Stresses due to beam action between saddles should be investigated although it is not a sig-
nificant factor for penstocks of usual proportions.
Saddle
Saddle type supports are generally used for small diameter pipes and relatively short spans. supports
The saddle contact angle is usually 120° with a rubberized polyester fabric pad placed
between the saddle and the pipe and a wooden wedge or, preferably, a compressible filler
placed between the pipe and horra of the saddle. The wooden wedge reduces localize stress
concentration as the pipe deflects over the saddle homs. For details of loads and reactions
on the pipe, see [69].

4-25 ASCE/EPRI Guides 1989

 The design of the pipe shell between supports follows the ordinary theory of fiexure, pro-
viding the pipe is filled with water. If this is the case, the longitudinal stresses can readily
be obtained from beam-bending analysis and considering the longitudinal frictional forces.

These stresses, combined with circumferential stresses induced by the interna' pressure,
result in an equivalent stress that is not allowed to exceed the allowable design stress.

Sliding Pipe sections are supported by two saddles — one near each end. The uphill end of the
pipe is connected to its saddle; whereas the downhill end is free to slide longitudinally. To
make it easier to slide, graphite or an antiparting agent is usually used between two sheets
of sheet-packing and placed between the pipe and the saddle. It is assumed, however, that
Chis sliding surface has a coefficient of friction of 0.5 when designing the pipe saddle for
longitudinal thermal loads.

Inclined The two longitudinal edges of a saddle are called horas and can cause high local circumfer-
angle of ential bending stresses in the pipe shell, especially when the pipe is partly full. The smaller
saddle the inclined angle (i.e., 120°) of the saddle, the larger the steel stresses become. The Iarger
the inclined angle (i.e., 180°), the steel stresses are reduced but the loads transmitted to
concrete saddle become very large. These concerns must be considered in the design [47].
Reference [10] presents results of tests by University of Illinois Experimental Station on
circumferential moments in pipe shell on saddle support.

Finite The most advantages method for this solution would be to model the structure with a Finite
element Element Analysis (1-±,A). This has become more economical recently with the develop-
analysis ment of FEA program s for PCs.

Concrete In investigating the overtuming stability of a concrete saddle or pier using a friction factor
versus of 0.5, it is considered satisfactory if the resultant should remain within the middle third of
steel supports base. This should result in a factor of safety against overturning greater than 1.5. If the pier
is high, an excessively long base may be required. Steel support provided with hinges does
not transmit the longitudinal forces to the base making steel more economical than concrete
for certain heights. A cost comparison should be made to determine the type to be used.

2. Concrete Supports — Saddles or Piers

Concrete Concrete supports should be designed for the vertical reactions at the support, longitudinal
supports forces resulting from frictional resistance due to longitudinal strain (Poisson's ratio) and
temperature movements, and lateral forces caused by wind and earthquake forces. The
resultant of all forces under the most unfavorable conditions should intersect the base within
the middle third to insure that the footing is in bearing (compression) throughout, except for
earthquake conditions for which the resultant should fall within the middle half of the base.

Sliding The pier must be stable against sliding. The vertical component of the resultant of all
forces should be at least 1.5 greater than the horizontal component of all forces divided by
the coefficient of sliding friction at the base of the pier. The friction coefficient may vary
from 0.35 to 0.65, depending on the underlying material. The base of the pier should be
placed below the frost line. Steel reinforcement of concrete supports is usually limited to
requirements for temperature steel, except below the pipe invert where the saddle must be
reinforced against a splitting force.

ASCE/EPRI Guides 1989 4-26

 SHEET
PACKING

Figure 4-16. — Concrete saddle.

RING GIRDER 4111-N.Á

,-- ROCKER
GROUT
:la, I: I,

Figure 4-17. — Ring girder support.

3. Ring Girder Supports

A satisfactory and rational design for ring girder construction is presented in Reference 48 Ring girder
and is fully described (fig. 4-16). Longitudinal stresses at the supports included beam-bend- supports
ing stresses, stresses due to frictional forces at the supports and expansion joints, and bend-
ing due to the restraint of the pressurized pipe shell by the ring girder. Although the bending
stress (caused by ring restraint) is only a local stress in the shell, which sharply decreases
with increasing distance from the support, it is added to the other longitudinal stresses.

The support legs for the ring girders can either be on sliding support or a rocker base (see
figs. 4-17, 4-18, and 4-19). The uphill end of a penstock section supported by ring girders Sliding
is fixed; whereas the downhill end is free to slide longitudinally. Again, assume that Chis
sliding surface has a coefficient of friction of 0.5 when designing the pipe, columns, and
supports for longitudinal thermal loads.

4-27 ASCE/EPRI Guides 1989

 LOOSE
NUTS ROLLED PLATES
WELDED TO COLUMN

Figure 4-18. — Rocker support.

RING
GRIRDER

STAINLESS
STEEL
CADDING
PERMANENTLY
LUBRICATED
BRONZE

Figure 4-19.— Sliding support.

Recommended steps for designing ring girders:

1.Establish the center to center distance between the supports such that the column cen-
terline is approximately co-linear with the centroid of the ring plus shell section.
2. Design the columns.
3. Knowing their depth, the ring girder spacing is fixed.
4. At this point, assume several ring girder cross-sections and malee a computer run with
an appropriate ring girder program which will find the in-plane stresses.
5. Finally, select the most efficient cross-section and manually combine the in-plane
stresses with the longitudinal stresses in the pipe shell.

Rocker The purpose of the rockers is to reduce the longitudinal frictional force acting on the supports
design due to the expansion and contraction of the penstock. With the reduced frictional force, sup-
ports of smaller size can be used than is possible with supports based on sliding friction.

Rocker Use AISC (American Institute of Steel Construction) tules and allowables to analyze the
pin and pin as a continuous beam member with the downward vertical load uniformly distributed
gusset design long the contact surface of the rocker and pin and the reaction forces distributed for the
width of the supporting gussets. A close fit in the pin to rocker face may be achieved
through a PTFE, or equal, coated journal bearing [3, 48, 551

ASCE/EPRI Guides 1989 4-28

 O. ANCHOR BLOCKS

1. Purpose

The purpose of anchor blocks is to fix the pipe line in place during installation and opera- Purpose
tion. They resist the various forres acting on the pipe or bends, and from straight pipe sec-
tions if there are no expansion joints.

Penstocks supported aboveground, which are welded or have expansion joints or sleeve-
type couplings, require anchors at all points of changes in slope and/or alignment and
sometimes at intermediate points in long tangents. Where expansion joints are used, a spac-
ing of 500 feet between anchors and expansion joints is generally used because of the accu-
mulation of longitudinal forces and the desirability of more fixed points during erection.
Designs with longer spacings for anchor blocks do exist.

Buried penstocks with welded circumferential joints generally do not require anchors at Anchors
points of minor changes in slope or alignment. This should be verified by analysis. Buried
penstocks with sleeve coupled or similar field joints require anchors in a manner similar to
those required for an aboveground installation.

2. Loads

To determine the loads acting on the anchors, use the following checklist and break the
loads into their vertical and horizontal components:

a. Weight of anchor, pipe, and water Loads

b. Hydrostatic loads plus waterhammer at ends of pipe
c. Momentum loads caused by change of direction flow
d. Thermal friction loads at ends of pipe (if mechanical couplings are used).

3. Design

Because the movement of an anchor could endanger the entire penstock and powerhouse, Design
great care must be used in its design. Coefficients of sliding and allowable soil pressures
must be conservative. Each anchor site should be carefully examined, making borings or
test pits where there is doubt. Anchors must be Iocated on undisturbed material and must
be protected against surface water which might undermine the structure or soften bearing
material.

After the forces of the anchor have been calculated and reduced to vertical and horizontal Stability
components, the anchor must be designed to satisfy the following conditions of stability
(see fig. 4-20):

a. Sliding
b. Rotation
c. Foundation pressure

4-29 ASCE/EPRI Guides 1989

 II
/
T ENS1ON BARS /1\
\-TENSION BARS

Wpt Ww

KEYS INTO ROCK

Figure 4-20. — Typical anchor loading.

Coefficient a. Sliding. — Stability against sliding is developed by shear-friction if the anchor is in

of friction good rock. Otherwise, the design must be based on frictional resistance. Values that are
used for the coefficient of friction, f, depend on the kind of material the site and must be
chosen to provide ample safety. As an example, the following values have been used at
some sites, for shear-friction resistance.

Concrete on clay with sand, f= 0.35

Concrete on undisturbed earth, f= 0.50
Concrete on rock, f= 0.65

Where the anchor is on rock and the vertical angle is small the horizontal force may be
taken by surface roughness in the rock foundation.

For safety against uplift the weight of the anchor must be at least 150 percent of the sum of
the upward forces.

Rock anchors Where solid and massive rock is encountered, the unbalanced forces may be resisted by
vertical and horizontal grouted rock anchors. The downward force of a rockbolt can be
used to replace the volume or weight of concrete although the mínimum volume of con-
crete must give a factor of safety of 1.0.

ASCE/EPRI Guides 1989 4-30

b. Rotation. — For stability against overturning, the designer depends on allowable soil A Howable
pressures that vary from site to site. For example, as much as 30,000 lb/ft2 has been used soil pressure
for solid rock and as little as 6,000 lb/ft2 for undisturbed firm soil. The resultant force must
be located within the base and the allowable foundation stresses not exceeded.

The resultant force should be located within the middle third of the base for two types of Resultant
rotation: rotation in the downhill direction and rotation in the transverse direction (when force
there is a horizontal bend). If however, the rotation is in the uphill direction, keep the resul-
tant anywhere in the middle third of the base as long as the passive earth pressure on the
uphill vertical face is within allowables.

c. Soil Pressure. Careful consideration must be given to the allowable soil pressure at
each site. Do not assume that all site are alike in this respect [9, 10, 18, 27, 48].

P. STRESS ANALYSIS

1. Supported Penstocks — Stresses Between Supports

• Longitudinal stresses caused by beam bending

• Longitudinal stresses caused by longitudinal movement under temperature changes
and intemal pressure Stress between
• Circumferential (hoop) stress caused by intemal pressure supports
• Equivalent stress based on the Hencky—Mises theory of failure

2. Supported Penstocks — Stresses at Supports

• Circumferential stresses in supporting ring girder caused by bending and pressure Stress at
• Circumferential stresses in support rings (if any) at saddle supports supports
• Longitudinal stresses in the shell at support caused by beam bending, and stresses in
the shell caused by longitudinal movement of the shell under temperature changes
and intemal pressure.
• Bending stresses imposed by the rigid ring girder; rim bending and circumferential
• Equivalent stress based on the Hencky-Mises theory of failure

3. Combined Stresses

Pipe thickness is often governed by combined stresses at locations of discontinuities. These Combined
locations, for example, are at anchors, supports, transitions, thrust rings, and stiffener rings. stresses

Sometimes, however, the thickness is governed by combined stresses where there are no Thickness
discontinuities. An aboveground pipe section, as an example, might have maximum com-
bined stresses midway between supports.

The resulting combined stress (known as the equivalent stress) is the stress that must be
kept within the allowable stresses.

4-31 ASCE/EPRI Guides 1989

 4. Triaxial Stresses

Triaxial The following is a general form equation for calculating triaxial stresses:
stresses
2Se2 = (4 — S y)2 -E (S y S z)2 + (S z S7)2 (4-5)

where:

Se = equivalent stress (kips/in2),

S» Sy, and S2 = principal stress (kips/in2),
+ = tension, and
— = compression.

Triaxial stresses occur only at a few places along a typical pipe section. They occur, as an
example, at thrust rings and at ring girders.

5. Biaxial Stresses

Biaxial Biaxial stresses occur at many locations. k other words, S, is usually zero. When this is the
stresses case, this formula becomes:

Set = sx2 _ (sx sy) + 5z2 (4-6)

The middle terms (SxSy) in equation (4-6) explain why shell thickness is often govemed
by a stress location where the principal stresses have opposite signs.

Q. HILLSIDE STABILITY

1. Slope Stability

Slope The engineer should always attempt to align or mute a penstock down the true slope on
stability stable ground. Sometimes this may not be possible, and the potential for slope stability
must be addressed. Slope instability may also have to be addressed in dealing with existing
penstock alignments.

In dealing with these situations, a geotechnical engineer should be consulted. Some of the
options available to the engineer in dealing with slope stability or potential slope instability
are investigations, monitoring and structural improvements.

2. Investigation

Slope A geological investigation should be made to determine the potential or seriousness for
movement slope movement.

Material Exploratory drilling and other appropriate tests can be performed to determine material
properties properties for a stability analysis, and locate the ground water table and known or potential
landslide failure surfaces.

ASCE/EPRI Guides 1989 4-32

Stability analysis can be performed to back calculate minimum or lower botad strength Landslide
properties of the ground and to evaluate the effectiveness of possible remedial measures.

3. Monitoring

A surface survey should be used to establish horizontal and vertical control. Survey

Inclinometers can be installed to determine if movement has occurred. Inclinometers

Piezometers can be installed to monitor ground water levels. Piezometers

4. Structural Improvements

Long rock bolts or rock tendons for anchoring penstock supports or anchor blocks to the Rock bolts
foundation material can be installed.

If the volume of material causing the instability problem is small, the material can removed Material
and the penstock placed on the new established grade. Moreover, the newly compacted removal
material can be placed where the old material was removed to re-establish the old vertical
alignment.

If nothing can be done to the siope economically, the engineer may consider tunneling Tunneling
under the entire unstable ama.

R. VIBRATION

Water merely flowing through the penstock does not cause the penstock to vibrate. General
However, if a pressure wave is generated, for example, at the turbine or pump impeller and
is transmitted to the penstock, the penstock may vibrate. If, by chance, the frequency of
vibration of the pressure wave is very close to the natural frequency of vibration of the
penstock itself, the state of resonance may be set up, and excessive vibration of the pen-
stock can be observed. From the purely analytical point of view, if both frequencies coin-
cide exactly, the penstock will vibrate excessively.

To prevent vibration, the penstock designer must know the puisation frequencies and their Pulsations,
amplitudes transmitted from the turbine or pump. Unless the turbine is custom built and frequencies,
actual model tests have been performed, Chis information is generaily not known during the and
design phase. amplitudes

If the penstock is to be designed without knowing these parameters, the designer should be
somewhat conservative in the design. The diameter/thicicness ratio should be well within
the limits previously discussed, and the support spacing should be reasonable.

When a penstock vibrates excessively during the operation of the hydroelectric power sta- Excessive
tion and the vibration reaches such a degree as to be disturbing the smooth operation of the vibration
station (power swings), by visual means or by stress level (strain gauges), counter-mea-
sures should be taken promptly to eliminate the causes of vibration.

4-33 ASCE/EPRI Guides 1989

 PENSTOCK SHELL

Figure 4-21. — Vibration stiffener system.

Sources To determine appropriate measures to deal with the vibration, it is necessary to determine
the source of the pressure variations responsible for the vibration and eliminate it. Some of
the causes for pressure pulsations are as follows:

• Rotation of water turbine

• Number of vanes of runner
• Draft tube whirl

Eliminate To eliminate pressure pulsations which can cause vibration, it sometimes effective to feed
pulsations air into the draft tube, tnstall a new runner with a different number of blades, cutting back
of the turbine/pump tongue or installation of draft tube fins.

Natural When this is not possible to eliminate the cause of vibration, the natural frequency of the
frequency penstock should be changed by adding reinforcing material on the penstock, providing
change additional supports or anchor blocks or encasing the penstock in concrete (very expensive).
Should the circumferential variation of the elliptical pipe be the cause of vibration, the
rigidity of the pipe should be increased by adding suitable reinforcement.

To increase the rigidity of an existing penstock, it is sufficient to bolt stiffeners of suitable

scction on Une penstock, as shown on figure 4-21 [7, 29, 30].

ASCE/EPRI Guides 1989 4-34

 S. CORROSION

To protect the penstock against thinning by corrosion, erosion, mechanical abrasion, or Increase
other environmental effects, it shall be provided with a protective coating. In the past an thickness
approach has been to provide increase in the thickness of the base metal over that deter-
mined by the design formulas.

Corrosivity in fresh water varíes depending on the oxygen, hardness, chloride content, sul- Freshwater
fur content and other factors. Chloride contents may vary from a few parts per million corrosion
(ppm) to several hundred within one county. Sulfur compounds present in some fresh
water, cause rapid corrosion of steel. It is therefore difficult to make general recommenda-
tions — it becomes a specific problem.

Fresh water can be hard or soft, depending on dissolved minerals. In hard water, carbonates Hard and
often deposit on the metal surface and protect it, but pitting may occur if the coating is not soft water
complete. Soft waters are usually more corrosive because protective deposits do not forro.

In evaluating the potential for corrosion, several of other important topics should be evalu-
ated. Some of these are:

• Dissimilar metals/galvanic cells

• Passive/active/polarization cells
• Use of stainless steels
• Cathodic protection
• Electrically insulated couplings/systems
• Stress corrosion

Information on these and other topics can be found in many corrosion engineering hand-
books.

T. PROTECTIVE COATINGS

Protective coatings are the most commonly used methods for corrosive protection. General
Although widely used, the field of coating technology is complex. Improper surface prepa-
ration and application can lead to premature failures of the coatings. The coating applied
must be completely free of pinholes or holidays, or otherwise the entire pipe can act as a
cathode sise for oxygen reduction and the anodic reaction is concentrated at holidays in the
coating, causing rapid pitting like attack and subsequent failure. Where considered neces-
sary or where impossible to obtain a holiday-free coating, a combination of protective coat-
ings and cathodic protection should be used.

Table 4-2 gives a general summary of the type of coatings used on the interior and exterior
of a pipe.

4-35 ASCE/EPRI Guides 1989

 Table 4-2. — Summary of interior and exterior pipe coatings.

Type of
Size Interior coating Exterior coating installation

Latex or
Small Coal-tar enamel Inorganic zinc epoxy or Supported
{ urethane

Small Coal-tar enamel Tape wrapl, coal tar enamel Buried in soil

Small Coal-tar enamel Bare, tape wrapl Encased

in concrete

Latex or
Large Coal-tar epoxy Inorganic zinc epoxy or Supported
urethane

Large Coal-tar epoxy Tape wrapl, coal tar epoxy, Buried in soil
high solids epoxy

Large Coal-tar epoxy Bare, tape wrapl Encased

in concrete

1Tape wrap is applied in accordance with AWWA C214 and C218.

Interior The interior of penstocks are almost always coated with either coal tar enamel or coal tar
coatings epoxy and have proved to provide excellent protection at a reasonable cost.

High solid epoxies, including 100 percent epoxies, are being used in some applications.

Coal tars Coal tar epoxies a usually applied using conventional paint spraying equipment. Coal tar
enamel is normally applied by a centrifuga! spinning process in the shop, where roller spin
the pipe section while a nozzle sprays hot enamel while it travels longitudinally along the
penstock section. There are, however, lack of qualified applicators for coal tar enamel.
However, the application of coal tar epoxies are much more critical than coal tar enamel
and must be closely monitored to correspond to the specification [11,42,60].

U. STANDPIPES AND MR VALVES

1. Purpose

Standpipes or air valves {venís) are needed for the following purposes:
Purpose
a. To admit air during the normal closure of the penstock valve or gate to prevent col-
lapse of the penstock

ASCE/EPRI Guides 1989 4-36

 b. To release air during filling of the penstock
c. To admit air in case of ru pture of the penstock

Condition a is ordinarily the criterion for sizing the vents, and will require them to be
located immediately below the penstock valve and at other locations where the hydraulic
gradient may fall low enough to cause collapsing pressure. Condition b will require vents
to be placed at summits or other locations where air may collect during filling but is not
ordinarily the criterion for size. Condition c involves so many uncertainties and is of such
remote probability that it is not used as a criterion.

2. Air Valves

The standard 12-inch air valve has a cast steel body but larger valves (fig. 4-22) are pro- Air valves
vided with a welded steel body and welded moving parts. Cast iron body valves should not
be used. Air valves must be protected from freezing by insulation or injecting oil into the
body. A minimum of two valves must be used in a group. lf more than four 12-inch valves
are required in a group, consider using fewer I8-inch valves.

steel shaft

Stainless steel shaft

Bronze seats
,—Spring

Bron2e seats l6u pipe caps

24" pipe

Casi 24u welding

éJ7/ 4I.PriiIF .illi body cap
1.111' :11.1.

welding
i ne c k

Figure 4-22. — Air valves.

If only a short length of pipe is subject to collapsing, it may be economical to install stiff-
ener rings to reduce the air valve requirements.

Air valves are best located in a valve house with air louvers well aboye the snow line.

Provide adequate drainage in case of accidental spillage from air valves during filling of
penstock.

4-37 ASCE/EPRI Guides 1959

 3. Standpipes

Standpipes A standpipe provides a positive air supply if the water is not frozen. While the usual
motion of water in a standpipe tends to prevent freezing there is still a possibility that
freezing may take place.

Freezing At some facilities heaters are installed to prevent freezing from taking place and interfere
with the operation of the standpipe.

A tall standpipe is subject to large bending moments from earthquake and wind force and
may be subject to resonant vibration.

Seismic Normally a standpipe should be designed for seismic forces with the water at the usual
operating level using normal steel stresses. The steel stresses may be increased 33 percent
with water at the maximum height. A tall standpipe should be reviewed for resonance by
the methods used for steel stacks.

Some additional comments regarding these standpipes and air valves are listed below:

• They are also installed at locations where air may collect during penstock filling.
• To increase reliability, they are usually installed in pairs.
• Protect these vents from ice and snow with heaters or valve houses.
• Use air valves more often than standpipes.

V. PENSTOCK ACCESS

1. Roll-Out Sections

Roll-out A roll-out section is a section of an aboveground penstock that is easy to remove for access
section into the penstock. It is 10 to 20 feet long and can be jacked up and placed on removable
wheels so that it can be rolled aside once uncoupled or on a pivoting hinge system where it
can be rolled out of place. These wheels roll on tracks that are perrnanently installed per-
pendicular to the penstock.

This type of access is installed in the penstock that connects to a tunnel which has no other
large access. It is used when equipment and material are needed for tunnel repairs; hence, it
is usually located at a convenient location. For example, at a service road.

2. Manholes

Manholes Figure 4-23 shows the general features of a typical manhole. They are usually 20 to 24
inches in diameter and spaced 500 feet alma. For pipes up to 6 feet in diameter and larger,
they are usually in the bottom hall of the pipe cross section, 30° to 45° from the invert.
This eliminates the need for a ladder inside the penstock.

ASCE/EPRI Guides 1989 4-38

 u
; ',/~/~17~ ,1##Z ;
1
Í 1II Reinfarcing
piafe
11` '
Y11111 Shield-7 ‘x,‹if

Figure 4-23. — Manhole.

If the required reinforcing place arca is divided equally on both the outside and inside
diameters, the rim bending stresses can be reduced.

W. PENSTOCK SHUTOFF SYSTEMS

Because of the potencial of tunnel blowouts, penstock ruptures and blocked or stuck wicket General
gates, control or shutoff valves are often installed to prevent major damage or loss of life.
They can either be installed at the upper, intermediate, or lower end of the hydraulic sys-
tems.

Valves or gates, which are designed to close during full-flow (much greater than normal Upstream
operating flow) should be near the upper and lower ends of our penstocks. Upper end
valves or gates are designed to close this way to minimize the loss of water and the result-
ing damage that would happen if the penstock broke. They are often at the inlet structure.
But sometimes they are in a shaft downstream of the inlet, or at the upper end of an aboye-
ground pipeline just downstream of a tunnel portal.

These valves and gates are unattended and are often far from a plant operator. Hence, a
remote control system that can close them automatically by remote control is often
installed. This is normally done if any part of the penstock is aboye ground because water
damage can occur quickly if the pipeline breaks.

These systems are usually operated by a differential float-well system, Rolex device, sonic
or some other system. The systems usually activate the Bate or valve operating system
when the tunnel or penstock velocities exceed 25 percent of the steady-state velocity. This
is because transient flows from rapid loading of the unit can approach this velocity
increase. The operating system for the valves or gates is usually external electrical power,
when available, or a stored energy device (nitrogen).

There is usually a turbine shutoff valve (TSV) at the lower end of the penstock, just Lower end
upstream oí the turbine. It too is designed to clase during full-flow operating conditions,
such as when the turbine trips off the system. It is also used during maintenance. If the
valve at the upper end of the penstock was used for this purpose, the penstock would have
to be drained [15, 21].

4-39 ASCE/EPRI Cuides 1989

 X. SPECIFICATIONS FOR FABRICATION, INSPECTION, AND TESTING

1. Fabrication

Penstock shell fabrication shall be in accordance with the requirements of ASME VIII,
Division 1 or 2 of the ASME Boiler and Pressure Vessel Code. The choice of which section
shall be consistent with the allowable stress criteria of ASME VIII used.
Fabrication
For attachments, such as ring girders and legs, the fabrication should be in accordance with
the AISC Manual and the welding should be in accordance with AWS.

2. Inspection

Penstock shell inspection shall be in accordance with the requirements of ASME VIII of
the ASME Boiler and Pressure Vessel Code.

Inspection For attachments, such as ring girders and legs, the inspection should be in accordance with
the AISC Manual and the welding should be in accordance with AWS.

3. Nondestr uet ive Testi ng

Penstock shell testing (visual, ultrasonic, magnetic particle, and radiographic) shall be in accor-
dance with the requirements of ASME VIII of the ASME Boiler and Pressure Vessel Code.

Nondestruc- For attachments, such as ring girders and legs, the testing should be in accordance with the
tive testing AISC Manual and the welding should be in accordance with AWS.

4. Hydrotesting

Hydrotesting of pressure vessels is discussed in the ASME Code. In general, it requires that
all vessels be tested at 150 percent of the design pressure for weldments fabricated under
Division 1 rules and at 125 percent of the design pressure for weldments fabricated under
Hydrotesting Division 2 rules.

For penstocks, hydrotesting is not a mandatory requirement. The necessity is usually left
up to the judgement of the engineer. Some of the items to be considerad to evaluate the
need for hydrotesting are:
When to test
• If the sise location poses high risk for loss of life or property is high, the testing may
be desirable.
• Complicated weldments, such as wye branches may warrant testing to verify the
design and fabrication. The engineer may consider hydrotesting in lieu of 100 percent
radiographic examinations (RT) or both ultrasonic examinations (UT) and magparti-
de examinations (MT) where RT is not possible.

Shop or Hydrotesting can either be performed in the fabrication shop, testing shipment-length sec-
field testing tions, or for large-diameter penstocks fabricated in the field, after the penstock has been
installed. Each has advantages and disadvantages. Shop-testing does not test the system in

ASCE/EPRI Guides 1989 4-40

its completed condition. In place testing may be more expensive and if rupture does occur,
the unit must be removed and replaced by a new one from the shop.

To perform the hydrotest, test heads must be installed on the penstock system or individual
cans. These test heads are usually hemispherical steel test heads, which are welded to the
system or cans and removed after completion of testing. At the Helms Pumped Storage
Project, an in-place hydro test was performed on the penstock manifold system using the
TSV at the downstream end and constructing a concrete plug at the upstream end at the end
of the steel liner. The plug was anchored with structural steel members attached to the liner
and a rubber membrane to minimize leakage [8, 16, 18, 37, 44].

Y. CONSTRUCTION SPECIFICATIONS

The construction specifications for installation should be consistent with the design of the General
penstock. The following are some examples of ítems that should be ineluded in the con-
struction specification:

• Maximum grout pressure for tunnel liners is covered in chapter 3. Grouting

• The footing excavations for anchor blocks, piers or footings should be examined by
the design engineer to ensure that the design bearing allowables do not exceed the Excavation
ground conditions. conditions
• The bedding and backfill requirements for buried penstocks should be compatible
with the design requirements. Backfilling
• The concrete design strengths should be achieved at the time of penstock filling or requirements
time of operation.
• The field welding requirements shall be consistent with the welding requirements of Concrete
the penstock fabrication. The field welders should have qualifications meeting the strengths
requirements of the penstock specifications.
• Erection attachments to stress-relieved parís should be connected in a manner that Welding
prevents stress concentrations and distortion of the shell material.

Z. SPECIAL PENSTOCK TYPES

1. Wood Stave Pipe

a. General. — Under moderate heads, wood stave pipes may often be more economical Wood stave
than steel. They have a Iong life and a favorable friction coefficient that does not deterio- pipe
rate with age. The staves can be readily transponed for construction in isolated locations. It
is necessary that the wood be completely and continuously saturated to prevent decay. A
penstock running partly full is especially unfavorable. Periods when the penstock is
drained should be brief. The penstock should not be subjected to severe inward pressure.

b. Supports. — When the penstock is installed aboye ground, saddles of wood or concrete Supports
should be provided if the diameter exceeds aboye 2 feet. Because of the tendency of large
pipes to flatten, the spacing of saddles will decrease and the amount of pipe circumference
supported will increase as the diameter increases. There is no accurate method of calculat-
ing the aboye requirements but the following represents current practice:

4-41 ASCE/EPRI Guides 1989

 • The maximum span varies from 16 feet for a 2-foot-diameter penstock to 6 feet for a
20-foot-diameter penstock, with proportional values between.
• The subtended angle of the support varies from 80° for a 2-foot-diameter penstock to
210° for a 20-foot-diameter penstock with proportionate values between.

For small pipes, the cradle may consist of a fíat sil with 30° wedge on each side giving a
three-point support.

Penstocks installed in trenches must be carefully bedded and backfilled.

Curves c. Curves. — The minimam radius of curvature should be 55 times the diameter for pen-
stocks, up to 70 inches in diameter, and 60 times the diameter for penstocks, between 70
and 216 inches in diameter.

Proportions d. Proportions of Staves. — Staves must be thin enough to permit complete saturation and
allow sufficient fiexibility for the pipe to be constructed on curves. They must be thick
enough to prevent excessive seepage and to resist external forces. By years of experience,
manufacturers have developed staves that meet the aboye criteria.

Bands e. Bands. — Bands are usually round steel rods provided with a head on one end and an
upset tread on the other. The two ends are connected by a malleable fitting. The following
symbols are used in the discussion of the size and spacing of bands:

R = internal radius of pipe (inches),

r = radius of rod composing the band (inches),
f = spacing of band (inches),
t = thickness of stave (inches),
P = water pressure (lbffn2).
s = safe [ensile stress in band (lb/m2),
S = safe strength of band, = 2rr2s (pounds),
E = swelling force of wood between staves (1b/in2), and
e = safe bearing power of wood (1b/lin inch of band).

Band size f. Size. — The diameter of the rod must be such that when stressed to the safe value, the
wood fibers beneath the band will not be crushed.

It is assumed that:

• The bearing width under the band equals the radius of the rod.
• The safe bearing pressure, e = 650 lb/in2.
• The tension in the band, s = 15,000 lb/in2.

The following relation between rod diameter and pipe size may be derived:

r = 0.0138 (R + t) (4-7)

ASCE/EPRI Guides 1989 4-42

g. Spacing. — The band spacing must be govemed by either of the following criteria: Band spacing

1. Band must resist water pressure plus initial compression between staves in excess of
water pressure. It is assumed that the pressure between staves = 1.5 x water pressure
in feet.
2. Band must resist water pressure plus the swelling force of the wood. It is assumed
that the swelling pressure E -- 125 lb/in2 making the pressure per inch of band equal
to 125j.

The equations that satisfy criteria 1 and 2, respectively, are:

s (4-8)
f — ( R+Lst)

and

s (4-9)
f — PR + 125 t

The spacing should never be greater that 10 or 12 inches.

The procedure in designing bands involves finding the size by equation (4-7) and finding
the spacing by either equation (4-8) or (4-9)

2. Banded Steel Penstock

Banded steel pipes have been used since about 1920 in the construction of small-diameter Small
and high-head penstocks for hydroelectric power stations. diameter and
high head
Although they are no longer used, they will be presented here since there are still may pen-
stocks in service that have be-en constructed with this system.

Banded penstocks are usually made of electrically welded steel-pIate pipe shells externally
reinforced with prestressed with rolled searnless steel rings. Banded pipes show substantial
advantages over plain welded pipes:

• By means of the composite shell-ring structure of the banded pipe, a greater safety Greater safety
factor is achieved against the bursting of the pipe. factor
• Completely efficient welding can be achieved more easily when the steel plate is thin-
ner. The pipe shell of banded pipes require a wall thickness about one-third of that Thinner plate
necessary for a plain welded pipe under the same operational pressure and the same thickness
safety factor against yield point and ultimate tensile strength.
• On account of the same reduction in thickness the "notch tough" properties can be
obtained more easily for a banded pipe than for the equivalent plain welded pipe. Notch
• The time of execution and the cost of the girth welds to be carried out at the erection toughness
of the pipe are reduced to at least 70 percent of what would have been required for
plain welded pipe of the same diameter, pressure, and safety factor. This is the result Cheaper
of the reduced wall thickness. installation

4-43 ASCE/EPRI Guides 1989

Lighter • The weight of a banded pipe is about two-thirds of that of the equivalent plain welded
pipe. This leads to savings and to easier transportation and erection.

Prestressing The bands can be applied in two methods to achieve their prestressing. In the first one, the
methods rings are hot-applied around the pipe shell. By the second system, which is called "aut-
ofrettage," the pipe shell is cold-expanded against the rings.

The two-banding processes, one cold and the other hot, are significantly different for the
means used as well as for the result achieved.

Hot-banded pipes present a predetermined safety factor towards the natural yielding of the
material, whereas for the prestrained pipes, this reference of a static technological nature
does not exist because the pipe shell, after having been permanently cold strained, cannot
undergo an appropriate heat treatrnent [14, 15, 21, 34, 39, 63].

AA. REFERENCES

[1] Alterman, M. and Struct, M.I., "Stresses in Pipes Due to Non-Circularity," Water
Power, pp. 358-360, September 1962.
[2] Amstutz, E. "Buckling of Pressure-Shaft and Tunnel Linings," Water Power, pp.
391-399, November 1970.
[3] Arthur, H. G., and Walker, J.J., "New Design Criteria for USBR Penstocks,"
Proceedings of the American Society of Civil Engineers, Power Division, P001, pp.
129-143, January 1970.
[4] Barr, D.I.H., "Economic Selection of Pipelines and Tunnel Diameters," Water Power,
pp. 237-239, June 1965.
[5] Barr, D.I.H., "Optimization of Pressure Conduit Sizes," Water Power, pp. 193-196,
May 1968.
[6] Barr, D.I.H., "Economic Selection of Pipeline and Tunnel Diameters," Water Power,
pp. 237-239, June 1965.
[7] Besker, M., "Intake and Penstock Design at Agua Vermelha," Water Power, pp. 46-50,
October 1978.
[8] Bier, P.J., "Construction Prob1ems and Welding Controls of Largc Steel Pipelines,"
Water Power, pp. 107-113,1964.
[9] Bier, P.J., "High-Head Penstocks in the Rockies — I, II and III," Water Power, pp.
383-390,429-434,465-470, October, November and December 1954.
[10] Bier, P.J., "Power Penstocks," Part 1,2 and 3, Water Power, pp. 223-230,265-269
and 307-313, June, July, and August 1958.
[11] Bouchayer, R., "Protection of Penstocks Against Corrosion," Water Power, pp.
183-188, May 1955.
[12] Dar, S.M. and Bates, R.C., "Analysis of Backpacked Liners," Proceedings of the
American Society of Civil Engineers, Geotechnical Division, GT7, pp. 739-758, July 1976.

ASCE/EPRI Cuides 1989 4-44

[13] DaDeppo, L., and Datei, C., "Optimal Diameters for Pressure Pipes of Hydro Plants," Water Power, pp.
41-44, April 1984.
[14]Denoor, G., and Billat, G., "High-Pressure Hooped Vessels," Water Power, pp. 246-250, June 1966.
[15]Denoor, G., Rambaud, G. and Tascher, C. "The Kurobe IV Penstock Parts 1 and 2," Water Power, pp.
62-69 and 105-108, February and March 1962.
[16]Denoor, G., "The Mont-Cenis Penstock Part 1 and 2," Water Power, pp. 23-26 and 72-78, January and
February 1968.
[17]"Ductile lron Pipework for Megget," Water Power, pp. 16-17,1982.
[18] Eberhardt, A., "An Assessment of Penstock Designs," Parts 1 and 2, Water Power, pp. 249-253 and
297-301June/July 1975 and August 1975.
[19]Fahlbusch, F., "Determining Diameters of Power Tunnels and Pressure Shafts," Water Power, pp. 41-48,
February 1987.
[20] Fahlbusch, F., "Power Tunnels and Penstocks: The Economice Reexamined," Water Power, pp. 13-15,
June 1982.
[21]Ferrand, G., "Pressure Pipe Lines," Water Power, pp. 53-59, March-April 1950.
[22]Franke, P.G., "Approximate Diameter of Pipes and Tunnels," Water Power, pp. 253-256, June 1964.
[23] Griffith, A.R., Jain, R.K., Kiesling, E.W., DeHart, R.C., "Stability of Ring-Stiffened Cylindrical Shells
Encased in Concrete," Southwest Research Institute, San Antonio, Texas, April 15,1969.
[24]Jacobsen, S., "Buckling of Circular Rings and Cylindrical Tubes under Extemal Pressure," Water Power,
pp. 400-407, December 1974.
[25] Jacobsen, S., "Buckling of Pressure Tunnel Steel Linings With Shear Connectors," Water Power, pp.
58-62, June 1968.
[26] Jacobsen, S., "Pressure Distribution in Steel Lined Rock Tunnels and Shafts," Water Power, pp. 47-51,
December 1977.
[27]Jacobsen, S., "Rupture of the Santa Isabel Penstock, Bolivia," Water Power, pp. 32-33, January 1974.
[28]Jacobsen, S., "Steel Linings for Hydro Tunnels," Water Power, pp. 23-25, January 1983.
[29]Kito, F., "The Vibration of Penstocks," Water Power, pp. 379-385, October 1959.
[30]Kito, F., "Vibration of Pcnstocks," Water Power, pp. 327-328, August 1962.
[31] Kruse, G. H., "Rock Properties and Steel Tunnel Liners," Proceedings of the American Society of Civil
Engineers, Power Division, P003, pp. 415-435, June 1970.
[32]Low, E.J., "Optimum Penstock Diameter in Hydroelectric Plants," Journal of the Power Division, ASCE,
vol. 88, No. P02, Paper 3186, July 1962.
[33]Maruyama, K., "High Tensile Strength Steel for Penstocks," Water Power, pp. 33-35, March 1983.
[341 Mai-don, G., "Banded Pipes for Penstocks," Water Power, pp. 138-143, April 1962.
[35} McCaig, I.W., and Folberth, P.J., 'The Buckling Resistance of Steel Liners for Circular Pressure Tunnels,"
Water Power, pp. 272-278, July 1962.

4-45 ASCE/EPRI Cuides 1989

[36] Meck, H. R., "A Survey of Methods of Stability Analysis of Ring-Stiffened Cylinders Under Hydrostatic
Pressure," Transactions of the ASME Journal of Engineering for Industry, pp. 385-390, August 1965.
[37]Muller, W. and Brandle, K., "High Head Penstock," Water Power, pp. 38-40, January 1960.
[38] Novotny, V., "Spherical Branch-Off Pipes for Pumped-Storage Plants," Water Power, pp. 42-47,
September 1980.
[39]"Over-Pressured and Sclf-Hooped Penstocks," Water Power, pp. 381-387, October 1962.
[40]Parmakian, J., "Minimum Thickness for Handling Steel Pipes," Water Power, pp. 9-10, June 1982.
[41] Patterson, F.W., Clinch, R.L., and McCaig, I.W., "Design of Large Pressure Conduits in Rock,"
Proceedings of the American Society of Civil Engineers, Power Division, Proc. Paper 1457, December 1957.
[42]"Protecting Sub-Surface Pipes form Corrosion," Water Power, pp. 32-35, August 1981.
[43]Robb, George G., "Power Pipe Lines," Water Power, pp. 111-114, May-June 1949.
[44] Rowden, S., "Some Aspects of Design and Manufacture of Large-Bore Pipework," Water Power, pp.
94-98, March 1973.
[45] Sarkaria, G.S., "Economic Penstock Diameters: A 20-Year Review," Water Power, pp. 70-72, November
1979.
[46] Sarkaria, G.S., "Economical Diameter of Penstocks," Water Power, pp. 352-358, September 1958.
[47]Sarkaria, G.S., "Penstocks Sized Quickly,"Engineering News Record, August 15,1957.
[48] Schorer, Herman, "Design of Large Pipe Lines," American Society of Civil Engineers, Transactions, vol.
98, p. 101,1933.
[49] Seebar, G., "Power Conduits for High-Head Plants," Water Power, pp. 95-98, July 1985.
[50] Singhota, J.S., Goyal, M.R., "The Design of Penstock Wyes for the Basi Hydro Station," Water Power, pp.
42-46, June 1977.
[51]Singhota, J.S., "Welded Plate Steel Penstock Bends," Water Power, pp. 303-308, August 1969.
[52] Sollid, E., "Design of Pipeline Anchor Blocks," Water Power, pp. 419-420, November 1958.
[53]Stocker, W., "Economizing the Diameter of Tunnels," Water Power, pp. 24-28, November 1984.
[54] USBR (Bureau of Reclamation), Stress Analysis of Wye Branches, Engineering Monograph No. 32,
Department of the Interior, 1964.
[55] AISI (American Iron and Steel Institute), "Steel Penstocks and 'Tunnel Liners," Steel Plate Engineering
Data vol. 4, with Steel Plate Fabricators Association, Inc., 1981.
[56] Strokes, R.D., "Stresses in Steel Pipelines at Saddle Supports," The Institution of Engineers, pp. 119-133,
Australia, October 1965.
[57] Sundberg, C. and Hamilton, E., "Large Penstock Re-Used at Kinsley Dam," Water Power, pp. 25-29,
January 1984.
[58]Sungur, T., "Economical Penstock Diameter," Water Power, pp. 329-332, August 1967.
[59] "Surface Protection for Steel and Concrete," Water Power, pp. 50-51, September 1976.
[60] Swansom, H.S., Chapton, H.J., Wilkinson, W.J. and Nelson, E. D., "Design of Wye Branches for Steel
Pipe," Journal American Water Works Association, vol. 47, No. 6, pp. 581-630, June 1965.

ASCE/EPRI Guides 1989 4-46

[61] Tarapcik, J., "Economical Arrangements for Penstocks and Intake Works," Water Power, pp. 25-28,
October 1985.
[621 Ferrand, G., "The Malgovert Penstocks," Water Power, pp. 263-268, July 1954.
[63]Trenkie, C. J., "Failure of Riveted and Forge-Welded Penstocks," Proceedings, American Society of Civil
Engineers, Energy Division, EYI, pp. 93-102, January 1979.
[64]Tults, H., "Quicker Design of Penstocks," Water Power, pp. 303-305, August 1956.
[65] Ullmann, F., "Extemal Water Pressure Designs for Steel-Lined Pressure Shafts Parts 1 and 2," Water
Power, pp. 298-305 and 338-342, July and August 1964.
[66]Vaughan, E.W., "Steel Linings for Pressure Shafts in Solid Rock," Proceedings, American Society of Civil
Engineers, Power Division, Proc. Paper 949, April 1956.
[67]Walski, T.M., "Energy Efficiency Through Pipe Design," Journal AWWA, pp. 492-495, October 1983.
[68] Windenberg, D.F. and Trilling, C., "Collapse by Instability of Thin Cylindrical Shells Under External
Pressure," APM-56-20, pp. 819-825.
[69] Zick, L. P., "Stresses in Large Horizontal Cylindrical Pressure Vessels on Two Saddle Supports," pp.
435-445, September 1951.

4-47 ASCE/EPRI Guides 1989

 CHAPTER 5. STEADY FLOW IN CLOSED CONDUITS
CONTENTS

Section Page

A. Background 5-1
B. Hydraulic computations 5-3
C. Friction losses 5-5
1. Historical note 5-5
2. Surface roughness 5-7
3. Comparison of friction loss formulas 5-10
4. Composite roughness 5-14
5. Tunnels 5-14
6. Economic penstock diarneter 5-17
7. Accuracy of head loss computations 5-18
8. Friction coefficient variation with age 5-18
9. Tolerance of calculated values 5-19
D. Forre losses 5-20
1. Flow separation 5-20
2. Equations for form losses 5-21
3. Interaction of component losses 5-22
4. Intake loss coefficients and velocity distributions 5-22
5. Expansion and contraction losses 5-23
a. Abrupt contractions 5-23
b. Sharp-edge orifices 5-26
c. Correction for thick places 5-26
d. Abrupt expansions 5-26
6. Differential flowmeters 5-26
7. Trashracks 5-26
8. Valves 5-29
a. Gate and sluice valves 5-29
b. Ball valves 5-29
c. Butterfly valves 5-29
9. Bend losses 5-29
10. Dividing Flow 5-29
E. Velocity effects 5-35
1. Velocities in hydroelectric conduits 5-35
2. Concrete-lined turmels 5-36
3. Reservoir outlets 5-36
F. References 5-37

TABLE
Table

5-1 Typical roughness values 5-12

ASCE/EPRI Guides 1989

 CONTENTS Continued

FIGURES

Figure Page

5-1 Sketch of parameters for Bernoulli's equation 5-2

5-2 Typical hydroelectric schemes 5-4
5-3 Moody diagram for friction in pipes 5-8
5-4 Diagram for determination of pipe diameter, d 5-9
5-5 Diagram for determination of V 5-9
5-6 Comparison of Colebrook—White formula with various empirical formulas 5-11
5-7 Comparison of unlined rock tunnel friction factors measured in the field with COE techniques 5-15
5-8 The Moody diagram with plots of pipes having a large roughness variation 5-16
5-9 Flow separation of components of hydraulic plants 5-20
5-10 Adverse gradients 5-21
5-11 Boundary layer development after a smooth transition 5-22
5-12 Loss coefficients for flush-mounted intakes 5-23
5-13 Loss coefficients for re-entrant intakes 5-24
5-14 Inlet design for high velocities to avoid cavitation 5-24
5-15 Abrupt contraction loss coefficients 5-24
5-16 Loss coefficients for sharp-edge thin orifices 5-25
5-17 Correction factor for orifice-edge radii 5-25
5-18 Correction factor, Co, for long orifices or thick plates 5-26
5-19 Abrupt expansion loss coefficient 5-27
5-20 Head loss in conical expansion 5-27
5-21 Loss coefficients for differential flowmeters 5-28
5-22 Loss coefficients for trashracks perpendicular to flow 5-28
5-23 Losses at trashracks with an angle of attack 5-30
5-24 Loss coefficients for fully open valves 5-31
5-25 Loss coefficients for Bate and sluice valves 5-31
5-26 Loss coefficients for ball valves 5-32
5-27 Loss coefficient versus disk thickness for butterfly valves 5-32
5-28 Loss coefficients for three types of butterfly valves 5-33
5-29 Bend performance chart — circular cross section (Re =106) 5-33
5-30 Reynolds number correction factor for loss coefficients of heads 5-34
5-31 Miter bend loss coefficient, Re = 106 5-34
5-32 Composite miter bends 5-35

CREDITS

The "Steady Flow in Closed Consuits" chapter was written by:

John Gulliver, P.E., Ph.D. Thomas H. Logan, P.E.

St. Anthony Falls Hydraulic Laboratory Consultant
Assoc. Professor, Dept. of Civil and Mineral Engineering 1310 Wadsworth Blvd., Suite 100
University of Minnesota Lakewood, Colorado 80215
Minneapolis, Minnesota 55414-2196 Head, Steel Pipe Section, USBR (Retired)

ASCE/EPRI Guides 1989 ii

 CHAPTER 5. STEADY FLOW IN CLOSED CONDUITS
A. BACKGROUND

This chapter covers steady-state hydraulics for both closed conduits and opera channels.
Steady-state hydraulics is defined as the flow state when the rate of mass transfer, flow
rate, remains constant. Hydraulic problems specific to one type of hydraulic conveyance
facility will be dealt with in that section. The hydraulic problems that occur in many types
of hydraulic conveyance facilities, such as frictional head loss in tunnels, penstocks, or
channels, are discussed in this section. The basic hydraulic principies used in the analysis
of steady-state hydraulics are conservation of mass and conservation of energy.

Conservation of mass is mathematically expressed by the continuity equation, which states Conservation
that mass is not destroyed. of mass

Q= AV = constant (5—la)

A2V2 (5-1b)
A1V 1=
where:

Q = flow rate,
A = area of flow, and
V = cross-sectional mean velocity.

Conservation of fluid flow energy between two locations, 1 and 2, may be expressed as the Conservation
Bemoulli equation. of energy
2
V 2j P u. 7 u.
1 7 _L 1 2 2
(5-2)
al. 2 g = + HL + /
Y "2 2 g 1-2
where:

P average pressure,
Z = distante aboye a reference datum,
Y = specific weight of the fluid,
H L = total energy loss (total head loss) between locations 1 and 2, excluding losses
1-2 in the turbine, usually designated hf,
g = acceleration due to gravity,
Hn net head extracted by a turbine, and
a = a factor correcting for the use of cross-sectional mean velocity, rather than
local velocity. It may be shown to be equal to the following:
3
(5-3)

where:

A = cross-sectional area,
=: local velocity, and.
V = average velocity.

5-1 ASCE/EPRI Guides 1989

 In a uniform turbulent flow, a is usually between 1.01 and 1.10, and is often neglected. At
transitions and other areas of accelerating and decelerating flow, however, a can be equal to
2.0 or more. Generally, these transitions are not choscn as thc cross sections to apply
Bemoulli's equation for this reason.

In equation (5-2), the first terco, Pi/y1 is the intemal energy due to pressure per unit
weight, or pressure head. The second term, Z1, is the potential energy per unit weight, or
elevation head. The third tenn, ai(V12/2g) is the kinetic energy per unit weight, or velocity
head. The sum of the three tercos give the total head, and a plot of the total head along the
conduit or channel is the energy gradeline. Figure 5-1 indicates these relationships for a
closed conduit. Similar relationships apply to open channels.

vi2
arj-
2g

hf between f and 2

V 2
et 2
2g

ZI

Reference datnrn

Figure 5-1. — Sketch of parameters for Bernoulli's equation.

Power The generator output of a hydropower facility is given by equation (5-3a) for English
output System units (Q in ft3/s, H in feet) and equation (5-3b) for SI (metric) units (Q in m3/s,
in meters).
e yQHn
P— (5-3a)
737

e yQHn (5-3b)
P — 1000

where:

P = generator power output (kW),

e = overall plant efflciency, as a fraction,
Q = turbine discharge (ft3/s or m3/s), and
Mi = net head on the turbine unit (feet or meters).

The net head on the turbine is equal to the gross available head minus head losses in the
hydraulic conveyance system. Gross available head is the difference between headwater
and tailwater elevations.

ASCE/EPRI Guides 1989 5-2

The hydraulic conveyance facilities typically encountered in these projects are (from Hydraulic
upstream to downstream): conveyance
facilities
• Headrace or power canal. The headrace is an open channel that cardes the flow from
the reservoir to the powerhouse intake.
• Intake. An intake is any transition from an open channel to a closed conduit flow.
• Tunnel. The power tunnel usually does not experience extreme pressures because a
surge tank or other device to control pressure surges is often located downstream.
Tunnels are normally lined.
• Surge tanks, air chambera, pressure relief valves, etc. These devices limit the tran-
sient pressure surges created by the hydroplant operation. They are generally located
between the power tunnel and the turbine.
• Penstock. The penstock is the conduit carrying the water from the tunnel (or intake) to
the turbine. The penstock may contain a number of valves, junctions, etc., which
require special consideration.
• Turbine and draft tube. The turbine and draft tube are considered part of the tur-
binelgenerator unit, and not considered to be hydraulic conveyance facilities. The tur-
bine and draft tube are explained in greater detall in volume 3 of these Guidelines. The
hydraulic impacts of the turbine relate to high efficiency and the transient analysis.
The primary interest in the draft tube is efficient energy recovery. A high velocity
exists at the throat of a turbine and an efficient draft tube design can recover as much
as 90 percent of the velocity head.
• Tailrace. The tailrace is the channel, open or closed, designed to carry the flow from
the turbine back into the main river stem.

B. HYDRAULIC COMPUTATIONS

Figure 5-2 illustrates the components of some typical hydroelectric arrangements. At any
specific site the configuration can vary greatly and the components shown may or may not
be present. An appropriate waterways course and component sizing is the primary concem
of system layout and conceptual design studies.

The basic application of steady-state hydraulics to closed conduit flow is the detennination Closed
of head losses. Total head losses include friction losses and form losses, or what are often conduit flow
called minor losses. Thus,
II = H HM (5-4)
L1-2 f1-2+ -2

where:

HL = total energy loss between 1 and 2,

1-2

HM = total friction loss between 1 and 2, and

1-2
= total form losses between 1 and 2.
f1-2

5-3 ASCE/EPR1 Guides 1989

 RESER VOIR __
T AKE. SURGE CHAMBER.-

1117 TUNNE L
PENSTOCK

INLE T VALVE.-1

a. Installation with pressure tunnel and penstocks.

INTAKE GATE.

RE SERYOIR

/PRESSURE TUNNEL.

SURGE ClIAMBER.

TAILRACE TUNNEL

INLE T VAEVE
VALYE SHAF T.

b. Installation with free-surface tallrace tunnel.

HEADRACE CANAL.

FOR EB AY.

PENSTOCKS

POWER STAT ION

Ccr

c. Installation with headrace canal.

Figure 5-2. — Typical hydroelectric schemes.

ASCE/EPRI Cuides 1989 5-4

The steps in obtaining an estimate of system head losses at a given flow rate are:

1. Define the geometric parameters of the system and its components; i.e. pipe diameter
and length, bends, etc.
2. Determine the flow parameters such as velocities and Reynolds numbers, from the
flow rates and cross sections.
3. Select appropriate loss coefficients. This will be discussed herein.
4. Calculate individual component losses and correct as necessary for interactions
between components.
5. Sum the individual system losses, plus the static lift or pressure differential across the
system, to establish the turbine head available or the required pump head. If we are
choosing the most economical site, penstock, for example, choose a new penstock
diameter and retum to step 1 aboye.

When geometric and flow parameters are known the selection of appropriate loss coeffi-
cients is the main task. In situations where the flow or pipe and components size has to be
found the simplest and usually the quickest method is to adopt a trail and approximation
procedure.

C. FRICTION LOSSES

At the January 1987, ASCE Hydropower Committee meeting in Denver, Colorado, the
subject of the many available formulations of friction coefficients was discussed. Some of
the members in attendance suggested that the guidelines present only the Darcy—Wiesbach
f for all hydraulic friction formulations and Manning's n for open channel flow formula-
tions. The use of other empirical formulations, such as those of Scobey, Hazen—Williams,
Kutter, Bazin, and Chezy, was discouraged. The proposal has merit and is followed in the
guidelines. The Manning formulation is so deeply ingrained in American hydraulics that,
its use for open channel flow is difficult to discourage. Engincers are advised that its limi- Friction loss
tations be recognized on projects where the friction coefficient is important in the computa-
tions.

1. Historical Note

One of the earliest attempts at providing a scientific basis for channel design was Chezy's
work about 1775. In the latter half of the last century and in the early years of this century,
an appreciation of the shortcomings of the Chezy equation led to the development of many
empirical formulae, some of which have remained to use to this day. Exponential form
equations such as Manning's have been the most popular because of the case of manipula-
tion and because they can readily be expressed in graphic form as design charts. However,
most empirical formulae are based on limited data, and, as in general they have no sound
physical basis, and extrapolation outside the range of experimental confirmation may lead History
to serious error.

When the need for dimensional homogeneity was appreciated, and non-dimensional
parameters such as Reynolds number were available to represent the relationships in prob-
lems containing many variables, the physics of fluid friction became more apparent Van
Karman [1934] and Prandtl [1925] published theories of turbulent flow which, coupled

5-5 ASCE/EPRI Cuides 1989

 with experiments on smooth and artifically roughened pipes [Nikuradse, 1932 and 1933],
provided the foundations for major advances in design techniques.

These theories were used as a basis by Colebrook [1938-1939] for his derivation of an
equation describing the frictional resistance of pipes. To simplify the application formulae,
tables and solution charts are available by the Hydraulics Research Station [HR, 1983].

The Darcy—Weisbach formula for head loss in a pipe due to friction is:
2
4.(1L) V
(5-5)
11.1r =J k,D) 2g
Friction
factor where:

Hf = friction loss (feet),

L = length of pipe (feet),
D = inside diameter (feet), and
f = Darcy—Weisbach friction factor.

The friction factor is a nondimensional number that gives the ratio of Medanal forces and
inertia forces and, therefore, is the least susceptible to scaling problems and the most uni-
versal of the formulas. For noncircular conduits or open channels, Rh = A/P, where A =
cross-sectional arca, P= wetted perimeter, and Rh = hydraulic radius.

The friction factor is given by the Colebrook formula as an irnplicit equation:

e
1 2.523
— 0.869 In [—D -I- (5-6)
•\/.7 3.7 /V7-
e f
where:

E = Equivalent and sand grain roughness, and

Re = Reynolds number (VD /v). An explicit formula that is accurate to within 1 per-
cent is given by Swamee and Jain [1976]:
1.325 6 Ks —2
f— 2 10 — 10 2
e D
(5-7)
[in [ D ÷ 5.74 j1 8
3.7 0.9 5,000 5 Re 5 10
R

Values for f are most easily obtained from a Moody diagram [1944] as shown on figure
5-3. Values off are plotted against the Reynolds number and relative roughness. Values of
roughness E, are found in table 5-1, based on values given in [USBR, 1951; COE, undat-
ed; Rouse 1949; King 1976; Miller, 1978; and HR, 1983]. The surfaces listed are classified
as good, normal or poor examples for their respective categories, thus leaving to the engi-
neer's judgment the actual value to be used in any particular scheme. The range of rough-
ness covered by good and poor, takes account not only the quality of the jointing but aliso
the variation in surface roughness to be found in pipes that are normally of the same mate-
rial. This list is not intended to absolve the engineer of the responsibility for checking, by

ASCE/EPRI Guides 1989 5-6

precise hydraulic tests whenever possible, the actual surface roughness achieved in particu-
lar projects. Where such direct evidence is available, from comparable projects, it should
clearly take precedence over the general roughness values quoted here.

Figure 5-3 works well to determine the head Ioss associated with a given pipe at a given Other
flow rate. However, when the allowable head loss is known, and the pipe diameter must be graphical
determined at a given flow, or the discharge that a given pipe will pass must be known, fig- aids
ure 5-3 can only give the answer through a trial-and-error solution. The problem has
recently been simplified in a very rational manner by L1 [1983] who inverted Moody's dia-
gram for a determination of pipe diameter, given on figure 5-4, and the determination of
pipe velocity, given on figure 5-5. Both graphs use the same parameters as Moody's dia-
gram. Only the result, d or V, rather thanf, is different.

2. Surface Roughness

The pipes used by Nikuradse in his experimenta were roughened by means of a uniformly-
graded sand glued to the surface. The diameter of the sand grains provided a standard of
comparison against which other surfaces are judged, their roughness thus being quoted as
the size of sand which would give the same resistance when the flow is turbulent. Much
experimental data has been re-examined on these Zines, so that E values are available for
most surfaces. Table 5-1 summarizes the recommende,d design values, and covers most
types of construction materials.

The Colebrook equation applies in particular to roughnesses consisting of separate protu- Roughness
berances of random height and spacing. Most commercial surfaces are of this form. Some
classes of pipe have a quite different form of roughness, e.g., corrugated metal culverts,
and do not follow the same resistance function in the transition zone between smooth tur-
bulence and rough turbulence. Data on such surfaces are available [COE, undated].

The roughness values bear some relation to the physical dimension of the roughness pro-
jections, and therefore a visual examination of a particular surface will give a guide to its
roughness. Investigation of natural channels indicated that the E value corresponded to the
size which was exceeded by 10 percent of the exponed bed material. In other engineering
fields, the larger of the roughness elements probably have a similar predominating effect.

5-7 ASCE/EPRI Cuides 1989

6861saPPID Rida/DS V
Values of Vd lor Water at 604F
0.1 0,2 0.3 0.4 0.6 0.8 1 2 3 4 6 8 10 20 30 40 60 80 100 200 400 600 1,000 2,000 4,000 6,000 10,000
Values of Vd for Atrnospnerie Alr at 604.F
I LE 10 xl ea lo pub isO »o »a O tor oco o3 =GO CIL 4.00011o0C 3[000 Iodo] o 0:10412

0.10 J 1 11 II I 11 II
I~111
1 11

iIH 1
II II 111111111111111
0.09

0.08 Lamin
Flow „KIMC itieal
Complete 7urbuience, Rough Pipe
r .J 1

.11
0.07 0.05

rim,„ 0 04
0.06 III 1
0.03

0.05 - ~
3=~111.10ii =~=1.-11~~~~MIENIMmiiiiaa ~NEM INEIMIZIelal 0.02
.1
4

0.015
0.04 1 0.01
0.008

0.006
cn 0.03
+4
4
0.004
L11
00 0.003 ,

1
e
0.002 2
CC
0.0015
1,
0.02
0.001
0.0008

0.015
1'1 0.0006

0.0004
0.0003
0.0002
0.00015
1■
0.0001
0,00008
0.00006
0.01
11 0.00004
0 00003
0.009
1 0.00002
0.000015
cuma • ' " "` It. 11111111,111;1111 1 1 1 1 1 1 1 1 Ilr 1 m
1 im t.:
0.00001
10 7 2 3 4 5 6 8 10 4 2 3 4 5 6 6 10 4 2 3 4 5 6 8 104 2 3 4 5 6 10 7 '1. 3 8 10°
Reynoldi Number IR1 0 000001 0 000005

Figure 5-3. - Moody diagram for Darcy frietion coefficient.

 -
III .15, , 1
- El •, - I
0,56

0.52 -
«
14"41,E,_,ErallgagErii '')
H..:.::
.
—Mil!
1
-

--e IPa .1
—.• EIIIII
1-í--.1~4211: 591:1111~
11 Ni'.
0.48
i.....E.
WEE
•- --,,,... kar,,r;
..1-. •
...
......
....
— . di
7 ..
I 'a
0.44
:E= a
i.,,
-..":-:7' ,..... .•IN:i
0.40 .i i
1" r
.1-. 2-::Millllii
-. :.~
.,
."M
."e7r:r::Éigie
--:"-- T1 -"11
n.5:11 2-.
:I 1 liellie~
•• :2. ,,,,,,
111 C.

0.36
: daiia-i
2 4 6 13 4 6 8 2
n II
:i
4 6 8 2
gil
4 6 8 2
ESE4 6 8 2 4 6 8
102 105
s,„;
ci ,5

Figure 5-4. — Diagram for determination of pipe diameter, d. The

frictional slope of the energy gradeline is sf = Hf IL. [Li, 1983].

: : 1::

101" "

.'0.0014
I
-0006
0,b08

0,0i5=7:

. 0.025
0.03

rfl
4 6 8 6 8 —2 4 6 9 2
102 10, 10' 10 5 105 10'
d.111—
cft,

Figure 5-5. — Diagram for determination of Y. The pipe diameter d, the frictional siope
of the energy gradeline = Hf/L. [Li, 1983].

5-9 ASCE/EPRI Guides 1989

 3. Comparison of Friction Loss Formulas

O ther Figure 5-6 is a plot of the Moody diagram on which some of the empirical coefficients
formulas have been plotted. Some of the inadequacies of those formulations are demonstrated on
this plot. [AWWA, 1964] Some of the more common empirical friction forrnulae are plot-
ted on figure 5-8. Plots of data from numerous field tests help engineers select an appropri-
ate friction coefficient [USBR, 1965].

The Manning formula is not dimensionless, as a result large variations in the coefficient
can occur for experiments on different size structures. Statements appear in the literature
that the Manning coefficient does not show the variation in values for a particular instance
Advantages that is exhibited by the Darcy formula. This is actually a deficiency.
of friction
factor, f There secms to be no good technical reason for having even two formulations for the fric-
tion coefficient. The following advantages of the Colebrook—White formula and the Moody
diagram were identified.

1. Engineers will in general appreciate the unifying of roughness, relative roughness,

Reynolds number, and boundary layer theory in a single chart, the Moody diagram.
Thus concrete with a certain finish is associated with a particular roughness, whether
its on a spillway as is the wall of the penstock. It is in this context that the committee
suggests hydro engineers adopt usage of the Darcy formulation.

2. Hydroelectric engineers deal with such a wide range of hydraulic surfaces, it is useful
to have an unifying set of coefficients that also displays the accepted theory in a
dimensionless equation.

3. The Darcy f value is dimensionless, and correlated with the boundary layer theory
[f = f(Re, Eld)] and extensive experimental evidence. The detalis of the derivation,
physics, and correlating equations can be found in any text on fluid mechanics. Its
usage is universal.

4. Formulas are available to compute its value for any specific application, and values of
roughness are available for any number of surfaces.

5. The Darcyf appears to be in common usage by all laboratories and engineering firms.
Discussion with engineers in hydraulic laboratories indicate support for using only
one formulation.

6. Design aids are readily available for computation of hydraulic problems [HR, 1983].

7. The velocity squared relationship is an advantage when the engineers must combine
friction losses with form losses, which are ordinarily given as a coefficient times
velocity squared.

8. Some instances have occurred in which empirical formulae were used outside their
appropriate range resulting in serious problems.

ASCE/EPRI Guides 1989 5-10

 W.1,1 ,0

8.031
3030
Hazen - Williams, Ces - 127.2
3.026 Manning, n =0.0113, D e 1.0 0 100
-- --i-
3.022 ."›..
.. , - -- D- 1,0 N, +.0.00108 7
0,020
'n. i11111k Colearon:, k -0.00108
3.018 120 G. Wr
D.4A fll, 15.0,00027
1,016 -...noirliii„. Minning. u-0.0113, D.4.0 4
1.014
D. 12.0 11„. 35=090009 140
Smaalh Pipa ..`‘,.......
3912
..../..--HarRliaR. N = 0.0 1 1 3, D-• 129 ft
ama ' 160
104 10' 10 5 lo' 104
Reynaids Number IRI
Comparison of Formulas of Colebrook, Basen-Williams, and Manning

0.040 •,, 80
0.035

0.030
Katt«, x.0.0117, D. 1.0 ft
0.026
ii
rn.
i 0.022 N`,..
D - 1.0, 1.0,00108—
.a 0.020 :S'iqll' ':------'"
•!.1.111%sil Culebra" k .0.00108
0.018
&d'Uy:y, K,..11.32
G 0.016 klib mi.„
11111111marimib:uller, o.0,0117, D-4.0 11
0,014 D 4.0, 4-0.00027 -
Pipe----"
- 140
Srrboath
13 -12.0,1.0,00003
0.012
I
ano Run; 0.0911/, D.12.0
--.--..«..f7.-..-••••,...,
160
105 10' to' loa
Reynotds Number f1?)
Comparison of Formulas by Colebrook, Eleobey, and Sutter

0.08
60
.1.1 ‘... U. X>, D
\
L
\
0.06 N
\ .....\\ •
\
\
\
\ 80
0.04
I • \ LO 1.0.01--..1
ti 1 \ N.
\
2
1' . s..,2\ -.... . \ ..,,
s 0065
1 14 \
1 "gly,_ \\ 3`.0.004)
l -7. ..
0.02
N .- ... .,,s
1 04.-__ _ ,...- k ....1 .0.001 - 120
k s.... 13
1 .
f R - 64 -.1 O
1 4 -0.0001 7 -, 140
1
\ I V',
0.01
3 160
■
10' 10' 105 101 10
Reynolds Number (R)
Elements of f -R Equations

Figure 5-6. — Comparison of the Colebrook—White formula with various empirical formulas.

5-11 ASCE/EPRI Guides 1969

 'Dable 5-1. - Typical roughness values.

Classification (assumed clean and new unless Suitable values of E (mm)

otherwise stated Good Normal Poor

Smooth materials
Drawn non-ferrous pipes of aluminum, brass, cop-
per lead etc., and non-metallic pipes of alkathene,
glass, perspex, etc. NA 0.003 NA

Asbestos-cement 0.015 0.03 NA

Metal
Spun bitumen or concrete cines NA 0.03 NA
Wrought iron 0.03 0.06 0.15
Rusty wrought iron 0.15 0.6 3.0
Uncoated steel 0.015 0.03 0.06
Coated steel 0.03 0.06 0.15
Galvanized iron, coated cast iron 0.06 0.15 0.3
Uncoated cast iron 0.15 0.3 0.6
Tate relined pipes 0.15 0.3 0.6

Old tuberculated water mains with the following

degrees of attack
Slight 0.6 1.5 3.0
Moderate 1.5 3.0 6.0
Appreciable 6.0 15 30
Severe 15 30 60
(Good: Up to 20 years of use; Normal: 40 to 50
years; Poor: 80 to 100 years)

Wood
Wood stave pipes, planed plank conduits 0.3 0.6 1.5

Concrete
Precast concrete pipes with '0' ring joints 0.06 0.15 0.6
Spun precast concrete pipes with '0' ring joints 0.06 0.15 0.3
Monolithic construction against steel forms 0.3 0.6 1.5
Monolithic construction against steel forms 0.6 1.5 NA

Clayware
Glazed or unglazed pipe:
With sleeve joints 0.03 0.06 0.15
With spigot and socket joints and '0' ring seals
(dia. < 150 mm) NA 0.03 NA
With spigot and socket joints and '0' ring seals
(dia. > 150 mm) NA 0.06 NA

ASCE/EPRI Guides 1989 5-12

 Table 5-1. - Typical roughness values. - Continued

Suitable values of e (mm)

Classification Good Normal Poor

Pitch fibre (lower value refers to full-bore flow) 0.003 0.03 NA

Glass fibre NA 0.06 NA

p.PVC
With chemically cemented joints NA 0.03 NA
With spigot and socket joints, 'O' ring seals
at 6- to 9-meter intervals NA NA NA

Brickwork
Glazed 0.06 15 3.0
Well pointed 1.5 3.0 6.0
Old, in need of pointing NA 15 30

Slimed sewers
Sewers slimed to about half depth; velocity, when
flowing half full, approximately 0.75 /s
Concrete, spun or vertically cast NA 3.0 6.0
Asbestos cement NA 3.0 6.0
Clayware NA 1.5 3.0
p.PVC NA 0.6 1.5

Sewers slimed to about hall* depth; velocity, when

flowing half full, approximately 1.2 m/s
Concrete, spun or vertically cast NA 1.5 3.0
Asbestos cement NA 0.6 1.5
Clayware NA 0.3 0.6
iiPVC NA 0.15 0.3

Sewer rising mains, &I materials, operating as follows

Mean velocity = 1 m/s 0.15 0.3 0.6
Mean velocity = 1.5 m/s 0.06 0.15 0.30
Mean velocity = 2 m/s 0.03 0.06 0.15

Unlined rock tunnels

Granite and other homogeneous rocks 60 150 300
Diagonally bedded slates NA 300 600
(values to be used with design diameter)

Earth channels
Straight uniform artificial channels 15 60 150
Straight natural channels, free from shoals, boulders
and weeds 150 300 600

5-13 ASCE/EPRI Guides 1989

 4. Composite Roughness

Composite If a conduit, channel or pipe, is composed of surfaces having different circumferential

roughness roughnesses, for instance as occur in unlined tunnels, or canas, having different construc-
tion an equivalent composite roughness or friction coefficient must be calculated. A direct
solution is possible using the expression:

E=P E —P E (5-8)
r /— 2 2

where the tercos Pi and P2 denote the proportions of the total perimeter occupied by sur-
faces 1 and 2, and E 1, E2 denote the equivalent sand grain roughness of surfaces 1 and 2.
This method is used when the difference in roughness values is not excessive and where
the two surfaces occupy similar proportions of the total perimeter. It will also give approxi-
mate answers outside these ranges. These ranges can be defmed (somewhat arbitrarily) as
0.05 < El/E2 < 20 and 0.33 < P1/P2<3.0. A second method based on equivalent friction
coefficient is described in [HR, 1983].

Lengthwise Conduits having different roughness along their length will have different head losses in
roughness each reach. In Chis case an effective friction coefficient is a direct weighted average of the
variation component factors, depending simply on the relative proportion of each type of roughness.
This method is quite useful in preliminary design where numerous combinations of conduit
sizes and materials must be studied in order to arrive at an economical design. However,
when the results of the economical design, or when the materials for various portions of the
conduit are better known, then the boundary-friction loss of each pan can be determined
separately to provide a more accurate estimate.

5. Tunnels

Tunnels Unlined rock tunnels have been built for flood flow diversion and for hydropower tunnels
where the rock is of sound quality and not greatly jointed and fractured. These tunnels
require special consideration to determine the roughness. A technique used by the U.S.
Army Corps of Engineers illustrated on figure 5-7, uses the cross-sectional arca of the
minimum excavation Ene to determine E = Ks = K in the equation for fully rough frictional
loss. It is compared with measured friction factors on the figure. A perfect fit occurs if all
the data points fall on the line. Although the fit is not perfect, it is probably as good as can
be expected for unlined rock tunnels. Most of the measured friction factors are within ± 20
percent of those predicted.

The friction coefficient will be influenced by:

• Type of rock
• Method of excavation
• Direction of excavation
• Overbreak pattem,
• Amount of lining
• Diarneter and shape of turnad, Dm

ASCE/EPRI Guides 1989 5-14

 0.1 3
1 1 I I
LEGEND
• SWEDEN
A30 O NORwAY
á AUSTRALIA L MALAYSIA
0.12 13 UNITED STATES
922

*9
FULLY ROUGH EQUATION
0.11
I
=2 LOGM+I.14
"Iff is s
25 sil
1
ági
10. A27
0.10

1 42
C
1-:.
Z
w
u 0.09 .037
U.
1..
W
O 019
...)
W
u
Z 33 431
< 0.08 035
1—
v: 0 39 0 38
1
W
cc 424 321 0 21
428 *7

0.07
036

170
0.0 6
016
020
C3 40 041
O 423 914--015
.18

0.05
•5 .4
ei 2
.1.13
N ..,,....„..
0.04
4 6 8 10 20 30 40 60 80 100
Dn, Om
RELATIVE ROUGHNESS OR
k kS
OVERBREAK THIGKNESs

Dm = y4Am /tr
CLEARANCE OR MINIMUM Dn =Alikni-
,, rr
EXCAVATION LINE
k = NI Dn
MEAN OR AVERAGE
EXCAVATION LINE k s = N1KURADSE'S SANO
GRAIN ROUGHNESS

TUNNEL MUCK

NOTE: SEE CHART 2 2 4-1/5 FOR 1DENTIFICATION RESISTANCE COEFFICIENTS

OF PROJECTS INDICATED BY NUMBERS
UNLINED ROCK TUNNELS
f-RELATIVE ROUGHNESS
Figure 5-7.— Comparison of unlined rock tunnel friction factors measured in the field
with COE technique.K, = E. [COE, undated].

5-15 ASCE/EPRI Cuides 1989

 The common techniques for reducing tunnel head loss are lining, increasing the tunnel
cross-section, or excavating a second tunnel. The approximate reduction of head loss that
may be expected is given below.

Technique Head loss, percent

Reduction of 1. Base case equals 100
head loss 2. Another tunnel with same head loss 25
3. Doubling of tunnel area 16
4. Lining of tunnel invert 75
5. Lining of roof and walls 43
6. Lining of entire tunnel perimeter 25

0.03 ,...

s...
N.,
0.030
.`.
s... ROUGH PIPE LIMFT
"s.
ROUSE
0025
A, . .19. E
II 200 O
`,..
0.020
`,..
-....... lo-3 -
D•••.... 12
.cr
17.3
e 00.I a
O
00 9
OTO
o
''''..,, ©O
°O
0,016 ."..
C 00K-WHiTE

\
....... -1- = -2 LOG . • R5
.,;..,,,)
frON KARmav PRANOTL

11
O 014 o O
-------__0
-...
.....,
r 2.¿ = 2 LOG -, ,,,,
ó 0.012
7 7
al ° Oo
-.,..
-. ,....... ci-.
Cht-IP-1
104 _

V SMOOTH PIRES o
VON gARmAN-RRANDTL DO o , --..„.
W -......
O 0.0 1 0 -', 2 LOC 19,. 11- - p. o O ^
1-
, o Ctr /5".'"........41
0009 7 --1,
-i
O --.' "........®
0 - ..Z..
..., o •...,.
0.000
A e .-VP:1751
,„,..1 o
,.
:,. • .,41 o •" •0 ° ,
-.... ......
0.007
:j.›.,:,'....,.
ri 10 -.....
-.._ -.....
0.006
10 6 -
O •

0005
10 o' 10° a lo°
RErtt0LD5 NUMBER {R,=

Figure 5-8. — The Moody diagram with plots of pipes having a large
roughness variation. [Davis, 1969].

Lower roughness valves result for machine-bored tunnels. While the roughness varíes
between 60 and 600 mm for drill-and-blast excavated tunnels, machine-bored tunnels have
a roughness of between 10 and 15 mm.

The decision whether to line a water-carrying tunnel or to leave it unlined involves a num-
ber of factors that affect the economic aspects of a project. It will generally be found to be
more economical to leave the tunnel unlined unless high flow velocities are involved, con-
siderable rock remedial treatment is required, or lining in fractured rock zones is necessary.
Operating experiences of over 60 years have shown that unlined power tunnels are eco-
nomical both in initial construction and in maintenance. However, the possibility of small

ASCE/EPRI Guides 1989 5-16

rocks falls resulting in turbine damage and penstock abrasion requires periodic tunnel
inspection, especially during the first few years of operation.

Tunnel invert paving may be economically justified to (a) eliminate possible damage to
downstream turbines or penstocks from migrating invert sediment and pebbles, thereby per-
mitting greater flow velocities, and (b) facilitate tunnel inspection, maintenance, and rock
trap clean out. In some cases it may be preferable to provide for tunnel invert cleanup using
air and water jetting during construction. The proper balance between design velocity, pro-
vision of rock traps, and tunnel invert paving should be based on economic considerations.

For waterways with composite sections, for example unlined with a paved invert, a compos-
ite roughness coefficient is required which takes into account the differences in roughness
of the relatively smooth invert and the unlined walls and crown. Solvik [1984] reports that
the model tests have shown that the following formulas are useful to predict roughness
coefficients for composite sections:

Darcy—Weisbach:

i fi
fcanp = pi (5-9) Composite
coefficients
Manning:
0.667
=[Epi(ni)]..50]
n comp (5-10)
EPi

where:
ni and fi = roughness parameters of surface i, and
Pi = wetted perimeter of surface i.

6. Economic Penstock Diameter

The optimum penstock diameter must minimize the sum of construction costs, maintenance Optimum
costs, and the cost associated with head losses; i.e. the power and energy that is not pro- penstock
duced because of head losses in the penstock. All of these costs vary with time, especially diameter
the value of power and energy, so relatively complex computer calculations are necessary.
This may be done by a solution of linear equations [Low, 1962; Barr, 1968; and DaDeppo
and Datei, 1984] or by an empirical equation that is easily used but is not specific to the
conditions present at the site [Sakaria, 1979; and Fahlbusch, 1987]. Sakaria [1979] found
that an equation he had previously developed for economic penstock diameter was accurate
in predicting a single penstock diameter within ± 10 percent of the final value chosen for Economic
construction on approximately 40 conduits.
diameter
or
0.43
4. 44 P for D and H,, in feet and P in hp (5-11a)
D= 0.65
1-4

5-17 ASCE/EPRI Guides 1989

 0.43
D = 0' 71P for D and Hn in meters and P in kW (5-11b)
0.65
Hn
where P is the rated capacity of turbine, and Hn is the net head on the turbine,

Fahlbusch [1987] analyzed 394 steel-lined and concrete-lined conduits for conventional and
pumped-storage hydropower plants. For steel-lined conduits, he found that the economic
diameter could be expressed as:

Q0.45 j
D = L 12/' for D and Hn in meters and Q in m3/s (5-12a)
0.12
• Hn
or

Q0.45
D= 0.85[ for D and Hn in feet and Q in ft3/s (5-12b)
012
Hn
to within ± 20 percent. In addition, Fahlbusch found that the economic diameter for a
concrete-lined conduit could be expressed as:
D = 0.62Q 0.48 for D in meters and Q in m3/s (5-13a)

or
0 48 (5-13a)
D = 0.37Q ' for D in feet and Q in ft3/s

to within ± 20 percent. For concrete shafts with large gradients, the value obtained from
equation (5-13) must be reduced by 10 percent.

7. Accuracy of Head Loss Computations

Accuracy Friction calculations involve judgment in selecting roughness values. At high Reynolds
numbers, an error of 100 percent in a roughness value causes about a 10 percent error in the
friction coefficient. As head losses vary inversely with the fourth power of the diameter,
actual not nominal pipe diameters must be used.

For new pipes with estimated friction coefficients less than 1.2 times the smooth pipe friction
coefficient, in which there is no fouling or deterioration of the walls, the head loss can be pre-
dicted with an accuracy of 5 percent, provided the pipe diameter is known to within 0.5 per-
cent. Friction coefficients for similar pipes, but with estimated friction coefficients less tiran
1.5 times the smooth pipe values, can be predicted with an accuracy of about 10 percent.

8. Friction Coefficient Variation with Age

The variation depends mostly on the composition of the water flowing in the conduit. Even
a thin coating appearing on the walls can materially reduce the carrying capacity. One
example is at the Priest Rapids hydroelectric project, Columbia River. After only 3 years of
service, the 10 foot by 10 foot concrete fish-passing conduit at the accumulated from 1/2 to

ASCE/EPRI Guides 1989 5-18

5/8 inch of algae and sponge sliming, which increased the value off from 0.0093 to 0.030.
After cleaning this value dropped to 0.0100. Another example is the Tennessee Valley
Authority's Appalachia hydroelectric plant

After 10 years of service the average values in the 18-foot-diameter tunnel leading to the Variation
powerhouse rase from 0.0085 to 0.0229 for the concrete section, from 0.0071 to 0.0229 for with age
the steel section, and from 0.064 to 0.102 for the unlined rock section. On the other hand,
many hydroelectric facilities have tunnel and penstock friction factors that remain virtually
unchanged over the years.

The discharge capacities of tunnels and other water passages may decrease with aging
because of deposits and organic growths on the interior surfaces. These accumulations
increase boundary-friction losses with resulting decreases in discharge capacities. Their
general effect is to Mercase the roughness of the conduit wall material.

Because so many factors are involved in the selection of friction coefficients for systems
that deteriorate in service, experience and information about similar systems have to be the
primary guides. Typical allowances for friction factor where deterioration in service is
expected, are 25 to 50 percent of new pipe values, but much higher allowances may be
necessary where growths, deposits or sumes are expected.

Precautions against deterioration in service are:

• Good initial surface finish to minimize areas of low velocity where deposits can begin Deterioration
to form in the wakes caused by roughness.
• Adequate initial protection to prevent corrosion and erosion.
• Chlorination of water to prevent slimes and the growth of both fresh and salt water
mussels and other fouling. Continuous water velocities in excess of 2 m/s are usually
required in order that the wall shear stress is sufficiently high to discourage settlement
and to hinder feeding of barnacles and other marine organisms.
• When corrosion is a severe problem in pipes carrying untreated water it may be neces-
sary to deoxygenate the water. Similarly, any hydrogen sulphide present may have to
be removed.

9. Tolerance of Calculated Values

One of the most difficult aspects of head requirement calculations is deciding what to add
to the calculated value to allow for uncertainties in (a) the loss coefficients, (b) departures
from nominal dimensions, and (c) deterioration in service. Because of the predominance of
friction losses in many systems and the fact that deterioration usually affects friction losses
more than other losses, the decision is usually over what the value of the friction coeffi-
cient should be.

The procedure for obtaining a friction coefficient is to estimate a roughness height and use
this along with the pipe diameter and Reynolds number to obtain a friction coefficient. In
practice friction coefficients are often based upon experience. It is always important to
remember what the end usage will be and what pan the value selected will play in the oper-
ation. For instance, high and low friction values are needed for surge tank upsurge and
downsurge calculations, waterhammer, and other similar calculations.

5-19 ASCE/EPRI Guides 1989

 D. FORM LOSSES

1. Flow Separation

Flow Concentrated energy losses are usually associated with flow separation followed by intense
separation mixing and flow re-attachment. At the point of separation the static pressure varíes
markedly because the flow is converging. Contraction of the flow persists downstream
until a minimum effective flow ama, the vena contracta, is reached. At the vena contracta
the static pressure is constant across the flow. Following the vena contracta large scale tur-
bulence spreads throughout the flow causing it to expand rapidly to fill the full cross-sec-
don and creating an adverse pressure gradient (pressure increases). Up to the vena contrac-
ta there is little energy dissipation but after it considerable dissipation takes place.

Many of the coefficients in this section are from "Internal Flow Systems" [Minen 1978].
This book from the British Hydromechanics Research Association contains a wealth of
hydraulic data on closed-conduit flow conditions appropriate for in hydroelectric projects.

Loss coefficients for situations where the vena contracta is well defined, arrangements (a),
(b), and (c) on figure 5-9 can be predicted with reasonable accuracy using one-dimensional
momentum and continuity equations. Loss coefficients where the vena contracta is not well
defined, such as arrangements (d), (e), and (f), require a more detailed analysis.

J •

(a) orífice Pian (e) gata vaive

i(c1 abrupr exoansion

Y' - - - - - .1 •

J7 r r, > 7!T." 1 • I

(b) sudden evn tructicet (di screen 11) burtertly valva

Figure 5-9. — Flow separation of components of hydraulic plants. [Miller, 1978].

All system components have one or more regions where the static pressure rises in the
direction of flow. The location of the maximum adverse pressure gradients for common
system components is shown on figure 5-10. Low loss components in column one of figure
5-10 involve no, or only small, amas of separation. A signiticant pan of the component's
head loss occurs in the re-development of the flow after the transition. Components in col-
umn two of figure 5-10 have moderate arcas of separation. In the case of friction flow the
individual roughness elements are beginning to project through the laminar sublayer and
cause flow separation and mixing in the wakes from the individual elements. Components
in column three of figure 5-10 have large arcas of flow separation and high mixing losses.

ASCE/EPRI Guides 1989 5-20

 F,iccion
/P
•r, "f1^';
smooih transition rough

Turnio;

Diffusing

Attelerating
" P

Cornbining —
k p
:;‘

DivIdíng

7:1
Obstruenons

• -,,;p

Figure 5-10. — Adverse gradients. [Miller, 1978].

2. Equations for Form Losses

The general equation to determine form losses is: Form loss

2 equations
V2 (5-12)
H m = IC( 21 g

where K = an energy loss coefficient.

The following equations and coefficients are applicable to the indicated transition.

1. — V2)
Sudden expansion: (5-13)
Hm— 2g

2
Sudden contraction: V (5-14)
Hm = K

V, — V,., )
Conical expansion: H m( 12 g ' (5-15)

2
Conical contraction: (5-16)
II ni = K V
2 lg j

Bends and valves: (5-17)

H m = K V2
2S j

5-21 ASCE/EPRI Guides 1989

 Where Vt = cross-sectional mean velocity upstream, and 1/2 = cross-sectional mean veloci-
ty downstream.

3. Interaction of Component Losses

Complexities arise mainly from interaction between closely spaced components involving
a departure from simple summing of individual component losses. For systems consisting
mainly of straight pipes or passages, interaction effects are seldom important. If the dis-
tance between components is more than four diameters, neglecting interaction effects will
usually result in the loss being slightly overestimated. Detailed calculations of interaction
effects are necessary only where accurate estimares of losses are required, or components
occur in close proximity.

4. Intake Loss Coefficients and Velocity Distributions

Intake loss The various stages of flow development in a straight pipe, preceded by a well designed
coefficients contraction, are shown on figure 5-11. Over region 3, the centerline velocity decreases,
reaching a steady value after approximately 65 diameters. In instances such as small low-
head hydro, while energy losses caused by a poor inlet condition may not be important, a

Region 1 Region 2 Region 3

transition boundary layer • core interface nearly constant

laminar to total pressure
turbulent in core

Boundar-y layer development after a smooth contraction

L2

L
/ / /

1.0
0 10 20 30 40 50 60 70 80 90 100
LID
Centreline to mean velocity ratio

(Re '="106)

Figure 5-11. — Boundary layer development after a smooth contraction.

ASCE/EPRI Guides 1989 5-22

well-designed inlet may be important to present a uniform velocity distribution to the tur-
bine such that its efficiency is not compromised [Fischer and Franke, 1987].

Figure 5-12 gives loss coefficients for flush inlets with Reynolds numbers about 105. If a flow
metering nozzle with circular or elliptical ares is used as an inlet a loss coefficient of K = 0.06
is appropriate. Figure 5-13 gives loss coefficients for re-entrant inlets at Reynolds numbers
aboye 105. Loss coefficients and Reynolds numbers are based on velocities in the pipe.

When inlet velocities are high and static pressure are low, liquids may cavitate in a simple
inlet nozzle. An appropriate inlet design for high-velocity flows is shown on figure 5-14 for
the case where there is an outlet pipe or passage. In important cases modeling is suggested.

Loss coefficients for rectangular cross-section inlets are typically 0.02 to 0.05 aboye the
circular cross-section values.

0.6 i I

-el•- -
(. . 1 1 ..,

i
0.4

O = 4 5° •
0.2

O = 30°

o
0.1 02 03

(Id or r/d
Figure 5-12. — Loss coefficients for flush-mounted intakes. [Miller, 19781.

5. Expansion and Contraction Losses

a. Abrupt Contractions. — Loss coefficients for abrupt contractions are given on figure Expansions
5-15. The loss coefficients are based on the mean velocity head in the smaller pipe. A and
radius at inlet to the smaller pipe, equal to 0.1 of the small pipe diameter, reduces the loss contractions
coefficient to 0.10 at Reynolds numbers aboye 105.

5-23 ASCE/EPRI Guides 1989

 1.0

0.8
Loss coefficient K

0.6

0.4

_
0.2

45°
_2 0.3

Figure 5-13. — Loss coefficients for re-entrant intakes. [Miller, 1978].

Figure 5-14. —Inlet design for high velocities to avoid cavitation. [Miller, 1978].
1.0
/ e

0.8 -A
r7
Loss coe fficien t K

0.6

0.4

0.2

O
0 0.2 0.4 O6 08• 10
A 2 IA

Figure 5-15. — Abrupt contraction Loss coefficients. Based on velocity in A2.

[Miller, 1978].

ASCE/EPRI Guides 1989 5-24

 1000 _

t < O . 1cl

100
Loss coet ficient K

10

1.0

0.1
O 0.2 04 O6 08 1.0
-1
otai cross sectional area
orifice or free area

Figure 5-16. — Loss coefficients for sharp-edge thin orífices. [Miller, 1978].

1.0

0.9
Correct ion fac tor C

radius
0.8

0.7

0.6
0.1 0.2

radius
orifice diameter

Figure 5-17. — Orifice correction factor versus orifice-edge radii. [Miller, 1978].

5-25 ASCE/EPRI Guides 1989

 Smooth contractions between rectangular passages and circular pipes have loss coefficients
of typically 0.05 to 0.10 associated with flow development in the circular pipe.

b. Sharp-Edge Orffices. — Loss coefficients against arca ratio for sharp-edge thin orifices
are shown on figure 5-16. The coefficients are based upon the mean velocity in the pipe or
passage and apply to Reynolds numbers aboye 103. The Reynolds number is based on the
orifice diameter and the mean orifice velocity. Correction factors to account for orifice
edge radii are given on figure 5-17, where Hm = CK (V2 2g).

Orifices c. Correction for Thick Places. — Correction factors to apply to the sharp-edge thin orifice
coefficients of figure 5-16, in order to find loss coefficients for orifices of length-to-
diameter ratios between 0.1 and 3.0 are plotted on figure 5-18. Over a range of length to
diameter ratios of 0.1 to 0.8 instabilities may occur because of intermittent flow reattach-
ment in the orifice and coefficients are Reynolds number dependent. 1f the orifice is longer
than 3 diameters friction losses in the orifice must be added. In practice, if the orifice area
ratio is Iess than about 0.4, it is more appropriate to sum the losses for a sudden contrac-
tion, a friction loss, and a sudden expansion loss.
1.0

0.9
correction factor C

0.8

0.7

0.6

0.5

0.4
10 20 3.0
hole length
hote diameter

Figure 5-18. — Correction factor C. for long orifices or thick plates. [Miller, 1978].

d. Abrupt Expansions. — Loss coefficients for abrupt expansions in area are shown on
figure 5-19. Loss coefficients are based on the velocity in the upstream pipe. Head loss in a
conical expansion is shown on figure 5-20. Comparison of the values shows the reduction
in head loss due to "streamlining."

6. Differential Flowmeters

Flow meters Loss coefficients for orifice plates, nozzles, venturi tubes, and Dall tubes are plotted on fig-
ure 5-21 against the throat-to-pipe area ratio. The loss coefficients are based on the mean
pipe velocity.

7. Trashracks

Trashracks Loss coefficients for trashracks with various bar shapes are shown on figure 5-22. In caI-
culating the head loss, account must always be taken of any bracing members because
these may be a major source of loss.

ASCE/EPRI Guides 1989 5-26

 In
center

At well

V, —o- V, —I. 0.2 O4 0.6 0.8 1.0

A B •D
CD A 1p1 2
a. Diagram depicting head variation b. Abrupt expansion loss
at an abrupt expansion. coefficient based on Al.

Figure 5-19. — Abrupt expansion loss. [Miller, 1978].

1.2
-"'•---..........._,.......,.,
_D2..1.1 4
1.0 Di — 4........_.„
D2 5

Di .. J
0.8 --.

0.6

'
0.4

071 — v2 )2
0.2 h L.-K 2g

1 r
o
0° 20" 40° 60° 80* 100° 120° 140° 160° 180°
e
Figure 5-20. — Head loss in canica! expansion. [Ruus, 1980].

Trashracks are often located at intakes where the flow is accelerating. Thus, the averaging
factor, a, must be taken into account. In addition, figure 5-22 does not apply when the flow
enters the trashrack at an angle. Figure 5-23 should be used when the flow streamlines are
not perpendicular to the face of the trashracks.

5-27 ASCE/EPRI Guides 1989

 100

50

20

10 -
-

5
- -
orifice plate

1.0
- _
\-azzle -
-
.5 \
7° hal angle _
venturi tube
or nozzle -
\ 3° hall angle
i
.2 ven turi tube
hall tube or nozzle

0.1
01 02 03 04 05 0.6 0,7

Throat area
Pipe area

Figure 5-21. — Loss coefficients for differential flowtneters. [Miller, 1978].

1.0

0.8
Loss coe ffic ient K

0.6

0.4

0.2

0.5 06 07 08 09 1.0

free cross•section at bars

total cross•sectional area

Figure 5-22. — Loss coefficients for trashracks perpendicular to flow. [Miller, 1978].

ASCE/EPRI Guides 1989 5-28

8. Valves

a. Gate and Sluiee Valves. — Typical loss coefficients for fully open gate valves are Valves
shown on figure 5-24. Loss coefficients are plotted against valve openings on figure 5-25.

b. Ball Valves. — The loss coefficient for a fully open ball valve with the same area as the
pipe is essentially the friction loss of an equivalent length of pipe. A typical valve is 0.05.
Loss coefficients against valve angle are given on figure 5-26 for parlially open valves.

c. Butterfly Valves. Typical loss coefficients against disc thickness are given on figure
5-27. Figure 5-28 gives loss coefficients versus opening for airee types of valve disk.

9. Bend Losses

A compact presentation of bend loss coefficients is provided by the performance chart

shown on figure 5-29. The axes are deflection angle and the radius ratio, and the contours
are fines of constant loss coefficient. It can be seen that as the angle increases, the radius
ratio for minimum bend loss rises and then decreases. However, if account is taken of the
reduction in the length of the inlet and outlet pipes with a larger radius ratio bend, mini-
mum oyeran system loss occurs with the largest radios bend, assuming that the pipe c,enter-
lines are in the same location.

Bend loss coefficients vary markedly with Reynolds number. In order to allow for
Reynolds number effects loss coefficients from performance charts, such as figure 5-29,
are modified by a Reynolds number correction factor, Ck, given on figure 5-30.

For large pipes, e.g. penstocks, a miter bend is often an economical design, and the Bends
increase in head loss may not be significant. Head loss coefficients for single and compos-
ite miter bends are given on figures 5-31 and 5-32. Note that a three-segment composite
bend has a head loss coefficient that is very similar to the circular arc at rld = 3.

10. Dividing Flow

Dividing flow such as that occurring at bifurcations is the subject of a number of experi-
ments because of the variety of arrangements and associated loss coefficients possible. The
charts and figures required are too numerous to include here, but may be found in [Miller,
1978; Idelchick, 1986; and Williamson and Rhone, 19731.

5-29 ASCE/EPRI Guides 1989

 Grating made of bars with an angle of attack
oro > O at ao lS, 0.5; Re = w eizo lv> 10' K= 0-5 crL
Grating

Number of the bar profiles

0
11-
pwl /2 2
where for u„ see graph a; for 0 2 , see graph b.
11°5 1 8 9 tO
Shape of grating bars
Values of cri tf
or‹, , degrees
No. of curve 0 5 10 15 20 25 30 40 50 60
1 1.00 1.00 1.00 1.00 1.00 1.00 LOO 1.00 1.00 1.00
2 0.76 0.65 0.58 0.54 0.52 0.51 0.52 0.58 0.63 0.62
3 0.76 0.60 0.55 0.51 0.49 0.48 0.49 0.57 0.64 0.66
4 0.43 0.37 0.34 0.32 0.30 0.29 0.30 0.36 0.47 0.52
5 0.37 0.37 0.38 0.40 0.42 0.44 0.47 0.56 0.67 0.72
6 0.30 0.24 0.20 0.17 0.16 0.15 0.16 0.25 0.37 0.43
8 1.00 1.08 1.13 1.18 1.22 1.25 1.28 1.33 1.31 1.20
9 1.00 1.06 1.10 1.15 1.18 1.22 1.25 1.30 1.22 1.00
10 1.00 1.00 1.00 1.01 1.02 1.03 LOS 1.10 1.04 0.82
11 1.00 1.04 1.07 1.09 1.10 1.11 1.10 1.07 1.00 0.92
o,
./ (b)
Jo
o.5°
ti 0/9"...• i.

217 o.55
-----------00 fi.
07
15 65
X00
05
18

05 ,.....-
lo
a, ods '185
0 /O 20 J0 40 50 oro'
O 10 20 50 40 SO Cr,
Values of 02
a. , degrees
0 5 10 15 20 25 30 40 50 60
0.50 2.34 2.40 2.48 2.57 2.68 2.80 2.95 3.65 4.00 4.70
0.55 1.75 1.80 1.85 1.90 2.00 2.10 2.25 2.68 3.55 4.50
0.60 1.35 1.38 1.42 1.48 1.55 1.65 1.79 2.19 3.00 4.35
0.65 1.00 1.05 1.08 1.12 1.20 1.30 1.40 1.77 2.56 4.25
0.70 0.78 0.80 0.85 0.89 0.95 1.05 1.17 1.52 2.30 4.10
0.75 0.60 0.62 0.65 0.70 0.75 0.85 0.95 1.30 2.05 3.90
0.80 0.37 0.40 0.45 0.50 0.55 0.64 0.75 1.06 1.75 3.70
0.85 0.24 0.25 0.30 0.36 0.42 0.50 0.60 0.88 1.40 3.50

Figure 5-23. - Losses at trashracks with an angle of attack. [Idelchick, 1986].

ASCE/EPRI Guides 1989 5-30

 2.0

1.8

1.6
1.4

Loss coefficient K
1.2
1.0

0.8

0.6 20°
0.4

0.2
100
0
05 0.6 0.7 08 0.9 1.0

valve seat area

pipe area

Figure 5-24. — Loss coefficients for fully open valves. [Miller, 1978].

1000
- _
500 _
-
- _
- -

100 - _
sluice -
50
_
Loss coe ffic ient K

Opening
—#
10
- _

1.0
_ gate _
_
.s 7
- -
I\ _
_
opening
0.2 04 06 08 1.0

valve opening

Figure 5-25. — Loss coefficient for gate and sluice valves. [Miller, 1978].

5-31 ASCE/EPRI Guides 1989

 _ _
\
_
\\

100 - \\
\ / ball o pipe
area 0.7
J

- \
\
\ _
Loss coefficien t K

10
c \ -
_
\ -
>
\
\
1\ \ E

1.0 /
_ \:.
_
_ O -
. s.
_ y ';.
_ =
,

1 1 1
30° 60° 90°

Valve angle

Figure 5-26. — Loss coefficients for hall valves. [Miller, 1978].

2.0

typical commercial
d X valves
1.0
Loss coef ficient K

0.6

0.4
Best design

0.2
norma! range of t/d

0.1
0.1 02 0.3 0.4
Thickness ratio = tld

Figure 5-27. — Loss coefficient versus disk thickness for butterfly valves. [Miller, 1978].

ASCE/EPRI Guides 1989 5-32

 1000 _ i _
- , l I' 1 -
- I k I.
500 1
c
1
- I 11 ,
z -

• A B C
100 _ \__
-
_ \ -
-
_
1
50
_ -
_ -
A
_ -

10
_ -

5
_ -

_ B _

1.0 111111111 _

0.5

_ -

0.10 10 20 30 40 50 60 70 80 90

Va1ve opening (degrees)

Figure 5-28. — Loss coefficients for three types of butterfly valves versus valve opening. [Miller, 1978].

Figure 5-29. — Bend performance chart — circular cross section (Re = 106).
[Miller, 1978].

5-33 ASCE/EPRI Guides 1989

 III ; '11 : ;

2.0

1.8

1.6
Correction factor, C

1.4

1.2

1.0

0.8

0.6

0.4

0.2

o I 1 1 I J I. .1

104 5 105 5 106 5 101

Reynolds number

Figure 5-30. — Reynolds number correction factor for loss coefficients of bends.
For circular ducts h = d. [Miller, 1978].

1S

1.0

0.6

0.4

0.2

bd
0.1

0.06

0.04

0.02
o 20 40 60 80 100 120
O
b

Figure 5-31. — Miter bend loss coefficient, Re = 106. [Miller, 1978].

AS CE/EPRI Cuides 1989 5-34

 0.5

0.4
N1
4 1

2 x 45°
Y
r _
0.3 11
3 x 30°

0.2

------'------------
4 x 22.5°
circular arc

0.1
0.5 2 3 4 5
r/d

Figure 5-32. — Composite miter bends. [Miller, 1978].

E. VELOCITY EFFECTS

1. Velocities in Hydroelectric Conduits

The impacts of most important hydraulic phenomenon relate to velocity effects. Losses,
pressure transients, vibration, economics, feature sizes and plant operation being among
the most important. The value of energy has increased substantially over the past years,
which opts the system towards lower velocities. On the other hand, hydro plants are now
designed for much lower plant factors, making higher velocities more economical. As a
result, the general trend is to design for higher velocities, making pressure control studies
even more important. However, if factors other than energy are considered engineers
should select the lower velocities sine they tend to lessen the dynamic effects mentioned
aboye.

For concrete-lined power conduits maximum velocities have been determined in the past Power
by economics and the resulting values have been significantly below those which might conduits
result from a cavitation erosion criterion. Recent hydroelectric power plants are relatively
low head installations, and have a high plant factor, as a result the energy loss due to fric-
tion is important. Design velocities are usually in the range of 10 to 20 ft/s, with most
below 15 ft/s, when based on the cost of construction versus the value of the energy loss
due to friction.

5-35 ASCE/EPRI Cuides 1989

 The dimensions of steel lined conduits are also dictated by the economics of energy loss
due to friction versus the cost of construction, and the maximum velocity generally ended
up in the range of 20 to 30 ft/s. Velocities through spherical valves and at the entrante to
the turbine spiral case can be as high as 50 to 70 ft/s.

Maximum design velocities in unlined rock tunnels have usually been from 6 to 8 ft/s. This
range has been dictated by the need to limit hydraulic losses and to maintain velocities
within nonerosion values. Where turbines or valves are located on such tunnels the usual
practice is to keep the velocity below about 5 to 6 ft/s to prevent fines from migrating with
the flow and causing damage to the turbine runners or the valve surfaces. With adequate
rock traps this concem is alleviated sornewhat.

The effects of velocity on transient analysis are covered in chapter 6.

2. Concrete-Lined Tunnels

Diversion For concrete-lined diversion tunnels operating under pressure, design velocities in the
tunnels range of 60 to 70 ft/s are common. A number of such tunnels have been designed and oper-
ated for velocities in excess of 100 ftJs although some damage has been experienced at
higher discharges with such velocities. Unlined rock diversion tunnels commonly are
designed for velocities of about 15 ft/s and have gone as high as 30 ftJs for the maximum
design flood and good rock conditions.

Concrete lined-spillway tunnels with free-surface flow have been designed for velocities in
excess of 160 ftJs. Such tunnels are subject to cavitation damage that can be severe unless
adequate design and construction preventative measures are used. This cavitation common-
ly occurs (1) downstream from control gates at the intersection of steel gate frarnes and
concrete lining; and (2) in or near vertical bends of tunnel spillways. Surprisingly little
recorded cavitation erosion damage has occurred in the bends of tunnels for moming glory
spillways.

3. Reservoir Outlets

Maximum velocities in concrete-lined conduits for outlet works have usually been in the
range of 6D to 70 ft/s. For steel-lined conduits of this type, design velocities are 70 to 80
ft/s as limited by the availability of the coating of the steel liner to resist these velocities.
Velocities of 150 ft/s have been used where the conduit is lined with stainless steel
throughout. In addition, design velocities through gate liners have ranged from 100 to 140
ft/s, and as previously discussed the difficulty with cavitation occurs downstream from the
frame of regulating gates and valves where a surface discontinuity exists.

ASCEJEPRI Guides 1989 5-36

 F. REFERENCES

AWWA (American Water Works Association), Steel Pipe Design and Installation, 1964.
Barr, D.J.H., "Optimization of Pressure Conduit Sizes," Water Power and Dant Construction, May 1968.
Brown, G., Hydro Electric Engineering Practice, Vol. 1, Blackie, London, England, 1958.
COE (U.S. Ami)/ Corps of Engineers), Hydraulic Design Criteria, Vicksburg, undated.
Colebrook, C.F., "Turbulent Flow in Pipes, with Particular Reference to the Transition Region Between the
Smooth and Rough Pipe Laws," J. Inst. Civ. Eng., vol. II, pp. 133-156, 1938-39.
Da Deppo, L., and Datei, C., "Optimal Diameters for Pressure Pipes of Hydro Plants," Water Power and Dam
Construction, April 1984.
Davis, C.V., and Sorensen, K.E., Handbook of Applied Hydraulics, McGraw-Hill, New York, 1969.
Fahlbusch, F., "Determining Diameters of Power Tunnels and Pressure Shafts," Water Power and Dam
Construction, February 1987.
Fischer, Jr., R.K., and Franke, G.F., "The Impact of Flow Characteristics on Low Head Hydro Projects,"
Proceedings Waterpower '87, ASCE, pp. 1,673-1,680, New York, 1987.
HR (Hydraulics Research Station), Charts for the Hydraulic Design of Channels and Pipes, Wallingford,
England, 1983.
Idelchick, I.E., Handbook of Hydraulic Resistance, Hemisphere, New York, 1986.
King, H. W., and Brater, E., E, Handbook of Hydraulics, McGraw-Hill, 1976.
Li, W.H., Fluid Mechanics in Water Resources Engineering, Allyn and Bacon, Inc., Boston, 1983.
Low, E.J., "Optimum Penstock Diameter in Hydroelectric Plants," Proceedings of the Power Division, ASCE,
vol. 88, No. P02, 1962.
Miller, D., Interna' Flow Systems, British Hydromechanics Research Association, Cranfield, Bedford, England,
1978.
Moody, L.F., "Friction Factors for Pipe Flow," Transactions, ASME, November 1944.
Nikuradse, J., "Gesetzmassigkeiten der Turbulenten Strómung in Glatten Rohren," Ver. Dtsch. Ing.
Forschungsh., vol. 356, 1932.
Nikuradse, J., "Strómungsgesetze in Rauben Rohren," Ver. Dtsch. Ing. Forschungsh., vol. 361, 1933.
Prandtl, L., "Bericht Über Untersuchungen zur Aüsgebildeten Turburlenz," Z. Angew. Math. Mech., vol. 5, No.
2, p. 136, 1925.
Rouse, H. (editor), "Engineering Hydraulics," Proceedings of Me Fourth Hydraulics Conference, John Wiley
and Sons, New York, 1949.
Sakaria, G.S., "Economic Penstock Diameters: A 20-Year Review," Water Power and Dam Construction,
November 1979.
Swamee, P.K., and Jain, A.K., "Explica Equations for Pipe-Flow Problems," J. Hyd. Div., ASCE, pp. 657-664,
1976.
USBR, Friction Factors for Large Conduits Flowing Full, Denver, 1965.

5-37 ASCE/EPRI Guides 1989

USBR, Design of Small Dams, 3rd ed., Denver, 1987.
Von Karman, T., "Turbulence and Skin Friction," J. Aeronaut. Sci., vol. 1, No. 1, p. 1, 1934.
Williamson, J.V., and Rhone, T.J., "Dividing Flow in Branches and Wyes," J. of the Hyd Division, ASCE, vol.
99, No. 1-1Y5, 1973.

ASCE/EPRI Guides 1989 5-38

 CHAPTER 6. TRANSIENTS AND SURGE TANKS
CONTENTS

Section Page

A. Guidance on analysis 6-1

1. General considerations 6-1
2. General definition sketch 6-4
3. Transient studies 6-5
4. Levels of study 6-12
5. Causes of transients 6-14
6. Methods of controlling waterhammer 6-15
7. Design criteria 6-16
8. Basic concepts in waterhammer analysis 6-18
9. Definitions and discussion of transient terminology 6-22
10. An outline of transient analysis 6-26
B. Technical waterhammer 6-30
1. General 6-30
2. Transient studies of hydroelectric projects 6-30
3. The transient study: data and study requirements 6-31
4. Waves and fields 6-32
5. Wave velocities 6-35
6. Graphical analysis 6-41
7. Damping 6-48
8. Long line effects 6-49
9. Water column separation 6-50
10. Waterhammer due to valve movements 6-51
11. Surge tanks 6-53
12. Air chambers 6-67
13. Goveming 6-70
14. Hydraulic resonance 6-76
15. Methods of transient analysis 6-84
16. Miscellaneous related topics 6-88
C. References 6-93
1. References 6-93
2. References arranged by subject 6-109

FIGURES

Figure

6-1 General definition sketch 6-4

6-2 Runaway speed 6-8
6-3 Hydraulic resonance 6-10
6-4 Sketch for tailrace waterhammer 6-11
6-5 Gordon outlet stmcture 6-11
6-6 Schematic for derivation of waterhammer equation 6-19

ASCE/EPRI Guides 1989

 CONTENTS — Continued

Figure Page

6-7 Elements of a hydropower project 6-21

6-8 An outline of transient analysis of hydraulic systems 6-27
6-9 Waves in a conduit having an area change 6-32
6-10 Waves in multiple conduits 6-33
6-11 Definition sketch for wave solutions 6-34
6-12 Effect of wave velocity on magnitude of waterhammer 6-36
6-13 Effects of air content on wave velocity 6-37
6-14 Wave velocity in hydraulic conduits (1) 6-38
6-15 Wave velocity in hydraulic conduits (2) 6-38
6-16 Wave velocity in hydraulic conduits (3) 6-39
6-17 Wave velocity in hydraulic conduits (4) 6-39
6-18 Wave velocity in hydraulic tunnels 6-40
6-19 Effect of conduit shape on wave velocity in steel conduits 6-40
6-20 Diagram for valve closure problem 6-42
6-21 Valve closure characteristic xvs. time 6-43
6-22 Example of solution on waterhammer diagram 6 44
6-23 Transient pressure at valve for example problem 6-45
6-24 Derivation of x 6-46
6-25 General waterhammer diagram 6-47
6-26 Head rise due to uniform closure from different initial gate openings 6-50
6-27 Water column separation 6-51
6-28 Types of valves 6-54
6-29 Area ratios for selected valves 6-54
6-30 Waterhammer due to valve closure 6-55
6-31 Waterhammer due to valve opening 6-55
6-32 Waterhammer when a relief valve is present 6-56
6-33 Hydraulic action at a surge tank 6-57
6-34 Surge tank types 6-58
6-35 Accuracy of surge tank computations 6-63
6-36 Surge tank charts 6-65
6-37 Schematics of hydro systems for analysis 6-66
6-38 Relative value of maximum surge versus friction and closure time 6-66
6-39 Location of air cushion versus surge tank 6-67
6-40 The 1,200-MW Kvilldal power station with air tank 6-69
6-41 Air chamber dimensions for stability analysis 6-69
6-42 Schematic of a hydroelectric plant 6-70
6-43 Gordon's stability curves 6-75
6-44 USBR speed regulation experience 6-75
6-45 Harza experience curve — regulation 6-76
6-46 Resonance 6-79
6-47 Standing waves and wave pattems 6-79
6-48 Resonance pattem 6-81
6-49 Typical resonance diagram 6-83
6-50 Arrangement for computer analysis: underground power plant 6-86
6-51 Acceleration due to air pockets 6-90

ASCE/EPRI Guides 1989 ii

 CONTENTS — Continued

TAB LE
Table Page

6-1 Air cushion surge chambers in Norway 6-67

CREDJTS

The "Transients and Surge Tanks" chapter was written by:

Thomas H. Logan, P.E.

Consultant
1310 Wadsworth Blvd., Suite 100
Lakewood, Colorado 80215
Head, Steel Pipe Section, USBR (Retired)

iii ASCE/EPRI Guides 1989

 CHAPTER 6. TRANSIENTS AND SURGE TANKS
A. GUIDANCE ON ANALYSIS

L General Considerations

a. Introduction. — The transient guidelines are divided finto two parts. Part A is qualitative Design
and explains the role that transient analysis plays in hydroelectric engineering. Part B is gradients
quantitative and provides data, formulae, criteria, and methods of analysis. versus load
vollowing
Two problems are evident in the analysis. First is the historical problem in which the oper-
ation of the turbine leads to determining the design gradients, pressures and flows in the
conduits and design pressures for the equipment. In today's electrical grid system hydro Hydro
plays a lead role as a peaking source of energy, load following, frequency regulation, and operating
operation to enhance thermal plant operation. This aspect leads to studies of the system that benefits
include how the water colurnn impacts the plant operation and therefore its goveming
capability.

Civil engineers find themselves increasingly concemed with the latter aspect of hydro.
Even small 20- to 30-MW hydro stations with good hydraulic conditions can have their
design and economics affected by considerations of operating benefits in the power system.
Those factors in which the hydroplant operation enhances the thermal plant operation have
been termed dynamic benefits and are dealt with in greater detall in Volume 5, "Pumped
Sto rage."

The civil engineer has responsibility not only to perforen the transient analysis but to speci-
fy parameters that will allow the required operation to be obtained. These parameters are
inputs to the detailed goveming studies, which are usually performed by electrical or
mechanical engineering staffs.

b. Guideline topics

1. General considerations relating to waterhammer studies Guideline

2. Causes and control of waterhammer topics
3. Useful data and formulae
4. Sketch of basic theory
5. Computational procedures and applications
6. Extent and intent of analysis
7. Examples from the literature
8. Publications and data sources
9. Definitions and nomenclature

c. Comments on analysis

Transient pressures and flows must be evaluated at every hydro installation. The studies Study
establish design gradients, allowable operation, conduit diameters and thickness, accept- objectives
able conduit profiles, operating controls, and the size and location of surge tanks. The

6-1 ASCE/EPIZI Guides 1989

 extent of the analysis will be determined largely by such factors as size, importance, safety,
operation, economics, layout, conduit velocities, machine characteristic, and level of study.

Transient Transient pressure variations are calculated from a knowledge of system velocity changes,
pressure valve movements, machine characteristics, conduit elasticity and inertia, friction, and con-
variations duit layout. Whether the hydro system is pumped storage (PS), conventional or small hydro
(SI-1) the theory is the same. Computational techniques, study objectives, and the criteria
upon which the analysis are based will differ. The specified operation and system hydraulic
characteristics determine the extent to which waterhammer will be a problem. The empha-
sis in these guides is on presenting useful graphs, simple solutions, and explanatory discus-
sions of the various studies that must be accomplished. Computer analysis has largely
replaced other methods for final design. That method is only briefly described in the
guides. References to computer programa available in the literature are given; however, no
warrant of their accuracy is intended. In general, the same situation exista in transient anal-
ysis as in other branches of hydraulics. Solutions can be plotted using dimensionless
groupings of the appropriate variables, and many problems can be solved using just the
dimensionless characteristics. The well-known Allievi plots are good examples. Thus 2p,
the pipeline characteristic (impedance), has a role in waterhammer similar to the role of
Froude numbers in hydraulic jump computations. In general, surge tanks, air chambera,
pump transients, regulation, goveming, turbine transients, and other associated problems in
waterhammer at hydroplants can be evaluated using the known system variables. These
aspects and the wave nature of the solution are stressed in these guidelines.

Plant types Large hydroplants imply large capital investments, and an important operating position in
and usage the electrical grid. As a result extensive transient analysis is usually warranted. Using simi-
lar considerations, run-of-river and small-scale hydroplants may require transient analysis
only for purposes of establishing design gradients and determining machine speeds because
goveming considerations are usually not important. Planta with pondage or small storage
reservoirs can enhance their value by operating as peaking plants, in which case pressure
variations are not usually severe. Pumped storage plants, which derive a large part of their
benefits from their ability to enhance the operation of the grid through rapid response to
load change, will usually require extensive analysis.

Power Power systems experienced enormous growth over the last 50 years. Historically, the prime
system function of a hydro development was to produce energy; however, that task is now often
secondary to the storage and control function. The plant features are usually sized accord-
ing to steady-state operation, i.e. balancing energy loases against the annualized capital
costa. As the plant factor becomes smaller due to the desirability of hydro operation for
control purposes, velocity and waterhammer effects on the plant operation become more
important and tend to influence the system design and layouts to a greater extent. These
factors suggest that for many hydro projects the design considerations may be based on
electrical grid considerations.

Analysis Pressure surges should be addressed early in the engineering phase. Systems having long
waterways and requiring good machine response should receive attention during conceptu-
al studies and in some instances as early as reconnaissance studies. Preliminary layouts and
analysis can be accomplished based on experience, available graphs and charts, graphical
analysis, and algebraic formulae. For design studies where complicated flow systems,

ASCE/EPRI Guides 1989 6-2

involved control motions, and optimum design are important, computer solutions are war-
ranted to speed up the computations. Consideration must be given such that the depth of
analysis does not exceed the reliability of the data inputs.

Guidance on waterhammer studies should be provided by an engineer experienced in

waterhammer analysis.

The relationships and solutions described in these guidelines along with site characteristics Computations
and operating requirements can disclose whether a waterhammer problem exists. The deci-
sion to continue into computer computations should depend on:

a. Complexity of the analysis

b. Importance of the pIant's operating role in the power system
c. Availability of computer programs
d. Costs and schedule
e. Accuracy of the basic data
f. Need for optimization
g. Safety

With reference to figure 6-1, a defmition sketch for hydroelecnic features and waterways, Description
the following descriptions of typical hydro features are offered: of hydro
features
a. Upstrearn reservoir. Acts as a source of flow and energy such that dynamic equilib-
rium is maintained in the system. In waterhammer computations the location of the
free water surface level controls and limits pressure variations. Physically the reser-
voir reflects the positive pressures as negative pressure.

b. Tunnel. A lengthy, low-pressure conduit that connects the reservoir and surge tanks.
Ordinarily the maximum water level oscillation in the surge tank determines the
hydraulic grade line. In some instances it is advantageous to use a power canal in
which case the surge tank becomes a forebay and the slow, 20- to 30-ftis surges in the
power canal require study, in about the same context as the pressure waves that exist
in closed circuits.

c. Surge tanks. Thelssential hydraulic function of a surge tank is to shorten the Iength
of the continuous pressure conduit. They interrupt pressure waves from the turbine or
other control devices. They promote regulation and allow rapid load changes, espe-
cially load pick-up. They prevent high-pressure waves generated by the valve and tur-
bine movements from being transmitted into the tunal. Surge tanks are analyzed as a
lumped parameter system.

d. Penstock. Design pressures are obtained from waterhammer studies. Design pres-
sures relate to the machine type, penstock geometry, plant operation and design crite-
ria. Penstock design and dimensions may be governed by requirements for machine
operation in plants used for load control.

e. Taffrace. Special care should be given to the tailrace because compIex hydraulic phe-
nomenon can place technical Iimitations on the piara operation and design. Factors

6-3 ASCE/EPRI Guides 1989

 that require investigation are suitability of turbine type, submergence, operation away
from best efficiency, reverse waterhammer, and energy recovery. A surge tank, open
channel, or just the draft tube may be present depending on distance between the tur-
bine and the reservoir and the rate of valve closure.

f. Lower reservoir. For waterhammer studies the lower reservoir serves to reflect pres-
sure waves similar to the upper reservoir. For steady-state operation, it provides back
pressure (submergence) to the turbine.

General A general definition sketch useful in explaining hydraulic transient analysis is shown on
definition figure 6-1. Waterhammer analysis uses the characteristics (mechanical, hydraulic, and
sketch electrical) of the hydraulic system elements to determine pressure and flow variations
throughout the waterways usually due to an extemal excitation. The best guide for under-
standing project layouts and resolution of site problems is the study of previous successful
projects and a good general knowledge of how the various project elements interact. It is in
this context that these guidelines are written. At a particular site, surge tanks may not be
present, downstream or upstream valves may not be present at the turbine, the penstock
may slope, and the powerhouse can be surface or underground. The actual layout is gov-
emed by a host of site-specific factors, such as topography, access, geology, economics,
environment, schedule, and local conditions.

2. General Definition Sketch

MAXIMUM HYORAULIC STATIC GRADE LINE

GRADE LINE
WATERHAMMER
UPSURGE GRADIENT
UPPER RESERVOIR

MAX. UPSURGE -7 SURGE TANK

MAX. W.S.

MIN. wS.
GATE
J.-
—,-----_-=---_—_—__ _2...
vir MAX. DOWNSURGE

TUN NEL
DOWNSURGE GRADIENT
MINIMUM HYDRAULIC
GRADE LINE THROTTLE TRANSFORMER

pENSTocK
<-....' ELECTRICAL GRID LOWER
GOVERNOR RESERVOIR
GENERATOR
1-- MAX. W.S.
SURGE TANK
- - - - - - -- -- i
L I
•
rMIN. W.S.
_2_
THROTTLE
VALVE

TURSINE DRAFT TUSE LTAILRACE TUNNEL

Figure 6-1. — General definition sketch.

ASCE/EPRI Guides 1989 6-4

3. Transient Studies

In this section the hydraulic transient studies performed on hydroelectric systems are
briefly described. Included are references that describe the studies and the results of past
studies. The actual studies performed are determined by site-specific conditions and plant
operating requirements. For instance, a major pumped storage plant would probably
require considering every study Usted. The analysis should reflect the accuracy of data
inputs, level of investigador', critical issues, economics, site conditions, specified operating
criteria, safety, reliability, and availability.

Typical transient studies are usted below: Transient

studies
1. Establish design gradients
2. Determine surge tank location and size
3. Check surge tank stability
4. Canals, forebay, and afterbay as altematives and their hydraulics during a transient
5. Determine pressure relief valve closure
6. Check governing, regulation, stability, and synchronous condenser operation
7. Compute runaway speed
8. Conduct hydraulic resonance studies
9. Check tailrace waterhammer
10. Note problems associated with air in hydro systems

a. Design Gradients. — The maximum and minimum hydraulic gradients are determined Design
from the transient analysis. Any allowable operating condition is included in this study. gradients
The maximum gradient dictates penstock thicknesses and design conditions for other fea-
tures exposed to that pressure. The minimum gradient considers the allowable waterway
profile, possibility of pipe or tunnel collapse, rate at which load acceptance is possible, and
(for PS plants) power failure during pumping. Load rejection and load acceptance studies,
maximum control valve movement rates, maximum power output at maximum or mini-
mum reservoir elevations, surge tanks or other control devices, WR2, machine characteris-
tics, and conduit characteristics are all considered in the computation, as are multiple con-
duits, manifolding, headrace and tailrace tunnels and surge tanks. Operating requirements
can significantly affect the required analysis when the plant operation is important in the
power system, i.e. peaking.

b. Surge Tanks. — Surge tank requirements are established from considerations of the Surge
conduit length and profile, velocity, WR2, economics, and operating requirements relating tanks
to goveming and stable operation. Possibly the most important aspect of early site evalua-
tion studies is to determine an acceptable route for the waterway if a surge tank is indicat-
ed. Planning studies are usually performed using available chart solutions (section B).
Sites that satisfy hydraulic and geologic considerations and are environmentally sound
should be located during the planning period. Present trends are to put surge tanks under-
ground, a practice that complements their design, operation, and construction. Depending
on site and operating conditions, surge tanks can have complicated cross sections. For the
purpose of planning and economics, a restricted orifice surge tank is often assumed,
whereas the final structure can be designed during the design phase, when site and system
characteristics are known.

6-5 ASCE/EPRI Guides 1989

 Surge tank analysis is accurately described by lumped parameter analysis; therefore, phase
plane, graphical, and analytical solutions presented in the Iiterature give good results. The
results are limited by the fact that it is necessary to assume an instantaneous flow stoppage
whereas the actual rate of valve closure can be much different. For some installations this
can affect the size of the tank (section B).

Surge tank c. Surge Tank Stability. — When hydroelectric power is controlled by a govemor, a feed-
stability back mechanism is introduced into the studies. As the turbine load changes due to power
variations on the grid, the govemor attempts to maintain a constant power output. In 1910,
Thoma demonstrated that by adding the constant power flow equation to the momentum
and continuity conditions, a surge tank would produce an oscillatory motion that increases
in amplitude unless its cross-sectional area exceeded a certain value.

The Thoma criteria for stable surge tank area is expressed by the formula:

LA
&H = 2KgH0 (n)
where:

L = tunnel length,
A = arca of tunnel,
Ho = head across the turbine
g= gravity,
K = coefficient in the formula Kv2 for the sum of all the friction and form
losses in the tunnel,
ATH= minimum tank arca (the Thoma criteria),
n = a safety factor. The Thoma area describes incipient stability. The Corps of
Engineers uses n = 1.5 for a simple surge tank and n = 1.25 for a differential
surge tank; the USBR uses n= 1.0. The French have constructed surge tanks
that do not meet the Thoma criteria. The n value used depends largely on the
grid conditions and economic evaluation. Anderson [1983] showed that includ-
ing the penstock effects in the stability entena. caused the Thoma area to
mercase significantly.

Satisfying the Thoma criteria produces a surge tank having incipient stability. As a result
the arca is multiplied by a constant, n, that provides a margin of safety. The value of n
varíes for surge tank type and can be affected by power system conditions, costs, and site-
specific factors. The decision is based on economics, policy, experience and technical con-
siderations of the grid in which the hydroplant operates. No single criteria appears to have
evolved. In fact, some surge tank designs are deliberately unstable and rely on the grid to
supply the necessary stabilizing influence. Surge tanks are always stable when the
hydroplant on which they operate supplies less than 1/3 of the power to the system.

Canals d(1). CanallForebay/Afterbay. — Pressure fluctuations, operation of hydraulic machines,

and waterhammer in general are determined by the length of the pressure conduit and the
rate of flow change Q =fit). The single most effective method for controlling system pres-
sure, improving turbine operation, and mitigating the effects of waterhammer is to shorten
the length of conduit between the reservoir and the turbines.

ASCE/EPRI Guides 1989 6-6

 • These features have a use and operation similar to a surge tank. They extend the reser-
voir free water surface much closer to the power plant, thus reducing the inertia effect
of the long closed conduits.

• In some instances an open channel is substituted for the low-pressure headrace or tail-
race turmels. This arrangement substitutes the slower canal transients for the elastic
waves in the closed conduit.

• In some instanccs a smaller reservoir is excavated near the power plant and connected
to the larger source of water. In this case the action is essentially that of a surge tank
though the geometry and economics can be vastly different.

• A forebay can be incorporated depending on the geometry of the reservoir. In such cases
waterhammer effects will be reduced due to the shorter pressure conduit. Economics
can dictate that it is cosí effective to build a forebay rather than a long penstock.

• An afterbay performs the same functions as the forebay. The analysis can differ slight-
ly because separation in the draft tube must be avoided, and severe limitations on the
tailrace pressure conduit length may exist due to specified turbine operation.

• The problem reduces in each case to waterhammer calculations in the pressure con-
duit and open channel surge calculations that begin at the free water surface.

d(2). Power Turma. — The power tunnel is usually a lengthy conduit that connects the Ifunnels
reservoir with the surge tank. It is almost invariably more economical to cover the major
distante between the power plant and the reservoir with a single, large, low-pressure con-
duit, open or closed. Such an arrangement also has hydraulic advantages. Momentum
effects of the long conduit are damped by the surge tanks. This effectively allows analysis
of the power plant transients without consideration of the power tunnel.

e. Pressure Relief Valves. — Under some circumstances excessive pressure rises are Relief
encountered and turbine operation cannot be compromised to alleviate the problem. In this valves
case a companion valve is placed in parallel and opened as the turbine valve doses, in such
a manner that the flow variations in the penstock do not cause severe waterhammer. The
companion valve is then closed at a controlled rate such that the pressure variation is main-
tained below some design value. See subsection B.10.

For installations of this type the high-energy release from the pressure relief valve must be
dissipated without damaging the tailrace. Energy dissipation valves, hydraulic jumps, or
any comparable method that suits the conditions may be used.

f. Governing, Regulation, Stability, Synchronous Condenser Operation. Governing Governing

studies that determine the plant's load-following capability are usually performed.
Goveming stability refers to the plant's ability to respond to plant load changes without
excessive fluctuation. Regulation refers to the plant's ability to follow load. Inertia effects
and the conduit length hamper the plant's ability to respond to load fluctuations. Fortunately,
the system parameters that determine the governing capabilities are given by simple group-
ings of the hydraulic and mechanical parameters of the system and Tm). Studies in this

6-7 ASCE/EPRI Guides 1989

 ama are usually outside the scope of the civil engineers' responsibilities; however, they have
achieved a level of importance such that civil engineers should develop a reasonable work-
ing knowledge of the essentials. Early consideration is essential because even minor atten-
tion at feasibility can enhance this operation. It can for instance quickly decide the issue of
whether a surge tank is needed. A major use of hydroplants is to control the flow of power
on the electrical grid. In some countries this is becoming a primary design consideration for
pumped storage and large hydroplants with large storage reservoirs. Turbines can be opera-
ed such that they draw energy from the grid (synchronous condenser operation).

g. Spinning Reserve.— In the spinning reserve mode the hydro units are spinning in either air
or water at speed no load (synchmnized) and are available for rapid load pick up [EPRI, 1984].

Runaway h. Runaway Speed. — The waterways, machines, and control features are designed for pres-
speed sure variations associated with any normal condition of operation that can occur. Upon sepa-
ration of the turbine—generator from the grid system due to power failure, the generator load
is removed and the energy from the water colwnn produces an increase in the rotational
speed until the energy supply is cut off (valve closure) or the steady-state condition is reached.

As the machines increase their speed and move along the characteristic curve (obtained
from the model test) a throttling action can occur, depending on the turbine specific speed
that produces waterhammer in the penstock which, in turra, increases the runaway speed
over the steady-state value. This is a function of the waterways and rotating equipment
characteristics. The usual criteria is to perform the computation without considering gate or
valve closure. Runaway speed and discharge at runaway speed of Francis turbines is given
on figure 6-2.

Speed rise studies are always made because they affect machine and system design. The
actual turbine characteristic are usually not known until model tests have been performed;
however, the speed rise can be estimated closely from available formulae and other consid-
erations (see vol. 3, chapter 2). Large turbines should always be model tested and the
steady-state runaway speed is obtained as parí of those studies.
traied) soaed

1
discharge ti runeway cpeett. in ratio lo normal ditchargua

6urre In rit M1 100 - 0-65 n + 145 ' I

21 . -!— . probable ¡unge ;
maximum Ini. In} 100 0 45 n + 164 ,.. ; I ' i s. i
runaway apead as perceniage oí normal

average ‘ .;:„..;
r :
14 \ ..,..., 11 • 40
190 i .... . . . 30
1.3 1 ..... .....„.
12 t -- + 20 C
180 1-1
5 51
. 1 ,.... ......, 1 €.
11:19 i .O
170
average 4n. in} 100 •• 045 n. + 150 O 20 ág
160 0.7 i.... --1-:'''
• - 30
06
150
G5 ..." : • i - so
r,
0.4 60
03 i ', I . 70 5
I i I 1 1
140 1
50 100 150 200 250 300 350 matric I • ' i ,
80 90 100 U.S. 50 100 150 200 250 300 350 400 meirie
10 20 30 40 50 60 70 80 90 100 U.S.
,peeifie apead N,
xpeeihe anead N,

a. Runaway speed. b. Discharge at runaway speed.

Figure 6-2. — Runaway speed and discharge at runaway speed of Francis turbine
[Fazalere, 1987].

ASCE/EPRI Guides 1989 6-8

i. Hydraulic Resonance. — The term "resonance" usually refers to that point at which the Hydraulic
frequency of the input exciter equals some natural frequency of the hydraulic system; how- resonante
ever, in hydraulics it is applied generically to mean the amplification of a periodic, oscilla-
tory pressure or flow excitation. Conditions sometimes occur in hydraulic systems such
that pressure and flow oscillations are amplified. It is customary to analyze large, important
installations to determine whether the system's natural frequencies are near the frequencies
of possible pressure oscillations produced by the plant components, forced or self excited.
Hydraulic resonance is completely analogous to vibration theory, though computations are
more difficult because the wave equation must be used. This is merely a statement that the
distributed properties of the system must be used. While the wave equation adds mathemat-
ical complexity, the introduction of waves into the analysis greatly clarifies vibration, tran-
sients, and periodic motion. Resonance has led to more destructive incidents in power
plants than any other hydraulic problem. A good understanding of wave motion and prior
solutions is helpful when trying to rationalize and analyze a hydraulic system undergoing
resonance.

The basic concepts of resonance are explained in Chaudry [1979] and repeated here using
figures presented in that book. The mathemafical representation is presented in section B
using the general waterhammer diagram.

All of the important aspects of hydraulic resonance can be explained using the value-con-
duit-reservoir system shown on figure 6-3a. Pressure waves due to flow changes are
assumed to originate at the valve.

Figure 6-3b shows a periodic valve motion occurring at the valve. The period is shown as
the time for one cycle of the valve motion.

Figure 6-3c indicates that the periodic motion is initially imposed on the existing motion
and produces a transient period during which the pressures reach the steady forced
response values. In a hydraulic system the steady-state response is reached very quickly.
The amplitude of the response is dependent on the ratio between the natural frequency of
the conduit and the frequency of the valve motion. For the system shown it is limited to
twice the static pressure because of the valve characteristic.

Figure 6-3d shows the pressure variations for the system on figure 6-4a. Reservoir-valve
open-closed hydraulic systems produce only the odd harmonics. This is the case usually
encountered.

Figure 6-3e shows the modes for resonance in open-open and closed-closed hydraulic sys-
tems.

The waterhammer diagram is shown to be a useful took in exploring resonance (see section
B.14).

j. Draft Tube Surging. —During turbine operation away from the design point, fluctuating Draft tube
pressures appear in the draft tube. These fluctuations affect the turbine output and can pro- surging
duce pressure oscillations in the penstock [Fazalere, 1987].

6-9 ASCE/EPRI Guides 1989

 Reservar /—VaIvo r vfmw.rs.T., Uf

,..

<:
iiimiiiiii ~ea

Wiligli~

a. Valve-conduit reservoir.
liall

3 3 3

d. Odd harmonics.

Fourth »armonio
b. Periodic valve motion. Second hormas/e
H

íciliellib
WM1191
mima
Transian1 state
flow
Stoody oscillolory
How IIIIIIIIIIIIIII
4 4 4 4

c. Transient to steady state. e. Even harmonics.

Figure 6-3. —Hydraulic resonante.

Draft tube k. Draft Tube Waterhammer. — Valve operation to reject load on a hydraulic turbine caus-
waterhammer es high-pressure waves on the upstream side of the turbine and negative pressure waves on
the downstream side [Palmaban 1955]. 1f a long tailrace tunnel, such as in an underground
powerplant, is present and the valve motion is rapid, water coIumn separation can occur
downstream from the turbine numen When the water column reverses and the cavity dos-
es, large pressure rises can occur in accordance with the formula:

a
Jh = — dv

A portion of the large velocity head should be considered in calculating the negative pres-
sure. The situation can be alleviated by:

1. Slol,ving the rate of closure.

2. Enlarging the area of tailrace (lower velocities).
3. Adding a surge tank downstream tunnel.
4. Making the tailrace shorter.

ASCE/EPRI Cuides 1989 6-10

 TU R BI NE WICKET GATES

CONTROL VA LVE

LONG PRESSURIZED
TA I LR ACE

Figure 6-4. — Sketch for tailrace waterhammer.

L Air in Hydro Systems. — The introduction of air can have beneficial effects; however, Air in
problems arise because predicting the movement of the air is difficult. For instance, air is hydro
sometimes introduced below the turbine runner to facilitate operation. However, disposing systems
of the air, which is under high pressure can entail additional engineering works. Figure 6-5
shows the Gordon outlet structure, which is designed to release the air bubble from below
the runner.
MR RELEASE P1PES WITH
ADJUSTABLE THROTTLES

CATE SLOT
S.L 112.8
v-

REMOVABLE HORIZONTAL
TRAPPED TRAPPEO
r MR AIR
CRDWN MEMBERS

B-B
A-A

9.4gt

C-C

Figure 6-5. — Gordon outlet structure. [Griffith, 1972].

6-11 ASCE/EPRI Cuides 1989

 4. Levels of Study

a. Appraisal Studies

Appraisal Appraisal level waterhammer studies can proceed using simple approximations, charts, and
studies algebraic expressions (section B). Computer waterhammer calculations are usually not nec-
essary. The exact location and size of project components is ordinarily not known at this
study level. Turbine characteristics are not available, economic velocities are not known,
conduit geometry and even the project size often have not been firrnly established.
Geology is not well known but is always an important consideration that affects the project
arrangement. Furthermore, the project arrangement relates to the interaction of the various
project elements, each of which has technical constraints that are largely undetermined at
this level of study. It is however always possible, when armed with the basics of hydroelec-
tric principies, to lay out the best arrangement based on hydraulics and experience and
from that arrangement of the project features and the site characteristics to obtain a suitable
first estimate.

For systerns with short penstocks, even when rapid valve movements and good operation
are important, a nominal (30%) waterhammer allowance is sufficient for the early analysis.

For small hydroplants, where regulation is not considered, waterhammer studies are sel-
dom warranted at the appraisal level. However, if long waterways are evident it will affect
the project economics, and inertia effects should be resolved. The need for a surge tank
should be evaluated and the tank located early because the project's operation and design
are affected by its location.

For large, important installations in which plant operation in the power system is a factor,
some early waterhammer analysis is warranted. Waterway alignments, possible need and
location of surge tank(s), powerhouse location, goveming considerations, and reservoir
fluctuations should be addressed. The layout must be determined in some detall if environ-
mental problems are evident.

b. Feasibility Studies

Feasibility Conduit profiles, gradients, feature arrangements and sizing, and economics all require
studies analysis during feasibility studies. Computer studies may be warranted. Remember that the
turbine model tests have probably not been completed; actual WR2, and even the conduit
arrangement will probably be changed. Computations often proceed with available charac-
teristics from a turbine with the same specific speed or, if it is known that the impact will
be small, the turbine effect is not considered at this stage.

Transient analysis figures prominently in the engineering decisions made at this stage of
study; i.e., underground powerhouse location, surge tank needs, and plant operation must
be considered.

In instantes where it is known that feature changes from the feasibility to the design stage
are undesirable, the basic layout should be established with good accuracy. Equally impor-
tant is the need to define critical engineering needs during the feasibility stage.

ASCE/EPRI Guides 1989 6-12

Important projects having long pressure conduits designed to control power on the grid
require extensive transient analysis during the feasibility stage. Pumped storage plants are
an example.

It is important to define problem areas early and to make appropriate provisions for their
solution.

c. Design Studies. — The procedures in the design stage are listed below. Design
studies
1.Final design grade fines are established.

2. Studies relating to plant operation are performed (startup, shutdown, goveming, emer-
gency conditions of operation).

3. Final design analysis will utilize the actual turbine characteristics from the turbine
model tests. The use of a computer is desirable at this time because including the tur-
bine characteristics in the study is simplified.

4. Perform optimization using the actual system geometry and complete design operat-
ing conditions.

5. Final surge tank studies are performed. Reservoir operation is known and included in
the studies.

6. Resonance studies may be required.

7. In the section on steady-state hydraulics, the basic consideration relating to feature

sizing was energy loss, which was a function of velocity squared among other things.
Energy losses imply that as time of operation (plant factor) decreases energy losses
decrease. Plant factors for hydro have seen significant decreases. This is particularly
true for pumped storage where generation time is sometimes less than 5 percent. As a
result, conduit velocities would be expected to increase. However, the plant operating
characteristics are more important, which implies lower velocities are justified.

8. Design criteria, safety, reliability, operation, availability, and system complexity all
impact the final transient analysis.

d. Operating Studies Operating

studies
During the test phase of development unforeseen transients may occur and require analysis
and identification. A basic knowledge of waterhammer and plant operation is desirable.

Computer solutions are usually not warranted except to numerically confirm the solution.

6-13 ASCE/EPRI Guides 1989

 5. Causes of Transients

a. General Considerations

Causes of Transient pressures are the result of flow changes with time (dQldt) in the hydraulic sys-
transients tem. Hydraulic conduits have resistance, inertia, and elasticity. During the steady state
(y = c), only fluid resistance forces are considered. During the transient [y =/(t)1, both the
inertial and elastic forces must be included in the analysis. The forces generated are due to
the conduit incita, while the elasticity (storage in hydraulics) tends to limit the pressure
variations. The solution is further dependent upon the length of the conduit, the rate at
which velocity changes occur, the conduit geometry, and the nature of the excitation.

Conduit pressure variations are the result of flow changes at the boundary. In hydro sys-
tems flow changes are usually caused by movements of a valve, turbine, pump-turbine, or
pump, and are influenced by their hydraulic "characteristic." This usually is specified as a
flow variation with time or head (Q vs. h or Q vs. t). When flow changes occur that are due
to an orderly procedure such as shutdown, startup, load changes, or gate movements, the
pressures can be closely contraed. Operating requirements for machine operation, howev-
er, can result in rapid flow variations in the conduits. Coupled with a high velocity in the
penstock due to economic considerations, they can lead to unacceptable operation or unac-
ceptable pressure variations.

b. Causes of Pressure Surges. — In hydro systems pressure surges are associated with:

List of 1. Rapid changes in valve settings

causes 2. Starting and stopping of pumps and turbines
3. Govemor action
4. Changes in load on hydroelectric generators
5. Filling or emptying pipelines
6. Mechanical vibration of system components (e.g. seals and guide vanes)
7. Draft tube surges
8. Power failures
9. Water column separa/ion
10. Periodic motion of components
11. Maloperation of equipment
12. Pressure pulsations from valves, pumps, turbines

ASCE/EPRI Cuides 1989 6-14

6. Methods of Controlling Waterhammer

In this section methods of reducing waterhammer impacts are reviewed. Engineers are cau- Control of
tioned that adopting one solution to solve a particular problem may lead to other problems. waterhammer
Such methods as the use of surge tanks, larger-diameter conduits, air chambers, shorter
penstocks attack the central problem in waterhammer and should always be beneficial
when seeking a solution regardless of the problem.

Penstocks (conduits), surge tanks, and reservoirs are essentially passive devices. They
transmit pressure waves, which are due to flow variations, m accordance with their geome-
try and hydraulic characteristics. Valves, turbines, etc. are the active devices that produce
the flow changes that, in turn, are the causes of the pressure changes. The point is that little
can be done with the conduit except to change its properties (length and diameter) as they
relate to transmission of pressure waves, whereas the active sources can have their opera-
tion changed. By way of example, introducing a surge tank changes the length of a conduit,
whereas changing the timing of a valve changes its effects on the system waterhammer.

Solutions are often costly, particularly if they evolve after the project features have been
located. Furthermore, they are seldom independent in the serse that changing one set of
conditions can cause a different problem to occur. For instance, the easiest way to reduce
the overpressure and, therefore, the thickness of the penstock shell and consequently its
costs, would be to increase the wicket gate closing time. However, to keep the generator
stresses within acceptable limits, the overspeed reached during transients must be con-
trolled either by closing the wicket gates rapidly or increasing the inertia of the rotor.
Therefore, if the closure time is increased to solve the overpressure problem, then supply-
ing increased mass to prevent the overspeed stress problem can introduce a cost disadvan-
tage.

Listed below are methods of controlling waterhammer:

• Reduce penstock velocities (enlarge conduit diameters).

• Reduce length of waterways. Profile changes can also alleviate some problems. Methods of
• Reduce valve closure times or opening times. controlling
• Vary machine hydraulic characteristics. waterhammer
• Increase WR2.
• Change wave velocity.
• Install pressure control valves.
• Add a surge tank.
• Add a cushioning stroke on the turbine (two closure rates).
• Add air chambers.

6-15 ASCE/EPRI Guides 1989

 7. Design Criteria

Design A uniform design criteria for analysis of waterhammer effects in hydroplants has not been
criteria adopted. No committee, American or international, addresses this issue. Various organiza-
tions appear to have internal publications that serve as design criteria. Briefly, the main
thrust should be to analyze a hydroelectric plant for all reasonable operating modes and
then to apply an appropriate factor of safety during design. The subject is tied closely to
turbine and penstock design and to plant operational criteria. Remarks in this section are
from [Parmakian, 1957; Jaeger 1977; Lien 1965], internal USBR publications, [Chaudry,
19791 and conversations with Corps and USBR engineers.

These guides are not intended to recommend or establish design criteria or standards in any
arca. Some criteria used by organizations have been published and are repeated herein.
Establishing design criteria for transient waterhammer analysis involves civil, electrical
and mechanical engineering disciplines. It considers the fan spectrum of engineering, risk,
economics, reliability, existing codes, standards and criteria, availability, safety, method of
analysis, operating history, present practice, and accuracy of computations. It carnes with it
legal, social, risk and economic responsibilities.

Transient analysis contributes to determining the need for surge tanks, layout of the water-
ways, diameter of the penstock, thickness of penstock walls, allowable operation of the tur-
bines or valves.

Normal conditions of operation are listed below:

Conditions of • Operation of machines and controls, i.e., valves and wicket Bates, with the machines
operation connected to the grid. Operation can be from any water level combination or flow, at
any permissible operating point.
• "Power failure" conditions in which the hydroplant is disconnected from the power
system. This results in high reverse speeds during turbine operation and in low pres-
sure followed by high pressure and reverse rotation during pumping. Mechanical mal-
functions and electrical faults are the usual cause.
• Rapid shutdown with or without disconnection from the grid.
• Closure of main shutoff valves.
• Change from turbining to pumping and vice versa for pumped storage plants.
• MI operating conditions of the system with valves, turbines, pumps are included. All
conditions need not be analyzed. Most are known to be within the envelope of other
operating values.
• Any allowable turbine gate control movement from any gate position is a design
consideration.
• Pressure control devices are assumed to operate as designed.
• Use of the actual turbine, pump turbine, or valve characteristics is desirable. 1f these
characteristics are not available, a conservative value should be used.
• The waterhammer effects should be calculated from the actual governor settings.
• Load rejection and load acceptance transients should be calculated.
• Surge tank upsurge and downsurge are calculated. Freeboard and other safety factors
should be included as determined by the accuracy of the computations. Overtopping
and draining of the surge tank are not permissible.

ASCE/EPRI Guides 1989 6-16

 • Upsurge is computed from the maximum reservoir. Downsurge is computed from the
minimum reservoir.

Failures during which the design pressure may be exceeded are Usted below:

• Maximum stresses must still lie below the ultimate stress, and some factor of safety
should still be present.
• Runaway of the set while operating as a turbine, followed by emergency shutdown.
• Failure of the pressure regulator (wicket gates close under throttled conditions via
protective system).
• Hunting with turbine under no load condition, unstable governing.
• Resonance.
• Closure of emergency shutdown valves against water flow.

Catastrophic failures:

• Wicket gate failure with closure in 2Lla seconds or less. This operation produces the
maximum possible waterhammer pressure. Penstocks are usually designed for some
specified factor of safety, as a result, low-head plants are at greater risk than high-
head plants when a long penstock is evident.
• Maloperation by plant operators.
• Plants must be examined on a case-by-case basis in which consideration of risk, safe-
ty, and loss of life and property are important.

Extraordinary conditions of operation:

• Inadvertent operation of the turbine gates.

• Cushioning stroke is inoperative.
• Relief valve is inoperative.
• Final gate closure is 2L/a seconds from part gate.
• Minimum factor of safety.
• Possible oscillatory conditions occur.

Emergency conditions:

• Malfunction of equipment.
• 2LIa closure.

6-17 ASCE/EPR1 Guides 1989

 8. Basic Concepts in Waterhammer Analysis

Waterhammer With reference to figure 6-1, the definition sketch, the solution to any transient problem
analysis reduces to performing computations that will correctly evaluare the inertial effects of the
conduit. If the solution results are acceptable, the design gradients and plant operating cri-
teria are established. If the results are unacceptable, variation of the design to produce the
required operation is necessary, i.e. adding a surge tank. Field tests performed on operating
plants have confirmed the validity of the analytical solutions and, as a result, engineers
place great credence in their solutions.

Hydraulic conduits have inertia, friction, and elasticity. The steady-state analysis yields the
operating gradient as derived from the friction (energy loss) term. It yields the economic
size of the plant components. However, when flow variations with time, dvldt, are impor-
tant, the conduit inertial and elastic characteristics must also be considered. Such variations
are important, for instance, when rapid control valve movements occur on a long penstock.
The entice subject is completely analogous to vibration analysis in which the system prop-
erties are usually lumped. Using that analogy and summing the system forces lead to the
ordinary differential equation (ODE) so useful in vibration analysis of mechanical systems.

Lumped inertia force + damping force + elastic force = forcing element

para meter rrá + Kx = f(t) (1)
equation
However, hydro projects usually feature long conduits and rapid flow variations, and lump-
ing the conduit properties does not produce acceptable accuracy. In that case the analysis
must consider the distributed nature of the system properties. Typically two equations are
written that describe the elastic and inertia forces (the waterhammer equations). These
equations when combined yield the wave equation.

2 a2h h (2)
Wave a 7.x.2. — a?.
equation
While not immediately evident, equations (1) and (2) describe the same physical system.
Equation (1) represents an approximation to the real system, which allows the use of ODE.
Equation (2) is the equation for a plane, elastic, longitudinal wave that is a valid approxi-
mation for the wave motion in a conduit. As an example of their usage, the surge tank
problem is formulated using equation (1) and the penstock analysis proceeds using
equation (2).

Mathematical difficulties in solving equation (2) hindered waterhammer analysis for many
years. This is rather odd considering Allievi produced his complete works on waterhammer
very early in the 20th century and Joukovsky derived the fundamental relationship even
earlier. Computer solutions were developed around 1960, and the present status of analysis
is very capable.

Consideration of how the hydraulic system can be analyzed is of vital importance because
it govems how the system can be separated for study. Appropriate separation of the system
can simplify the analysis of complex hydroelectric systems (see section B.11). This is

ASCE/EPRI Guides 1989 6-18

worthwhile when engineers must analyze the system at the appraisal and feasibility stages
of the project. Thus the reservoir-tunnel-surge tank system can be separated from the surge
tank-penstock-power plant operation, and adequate early design analysis is possible
neglecting the interaction of the various parts.

Because the surge tank-reservoir problem does not involve rapid flow variations, elastic
analysis is not warranted. Instead the system can be solved using ordinary differential
equations and the results plotted on a graph having appropriate coordinares [Parmakian,
1955]. As shown in [Chaudry, 1986], techniques borrowed from vibration theory (phase-
plane solutions) are also applicable to this hydraulic problem. The analytical techniques
developed for the lumped parameter modeis are not available when the distributed analysis
must be used. The problem is mathematical. This aspect of waterhammer has led to the
almost universal use of computer solutions both for design and when the system or its
boundaries is complicated. For uniform valve closure the waterhammer solutions can be
shown on a graph because it is only a function of the system's waterhammer characteris-
tics. Finally, using developments pmsented in texts on electrical transmission line theory, it
is possible to investigate the accuracy of the approximations [Moore, 1950].

a. Simple Relationships Important in Transient Anaiysis

Ho_

Va. I V e

Lo n5 Cond ui XLA
Figure 6-6. — Schematic for derivation of waterhammer equation.

Consider only the inertia forces on figure 6-6, which shows a valve shutting off flow in the
conduit. Ha is the decelerating head (waterhammer).

Force = mass x acceleration. Therefore:

.)9( dv Newton's
.yA —
a
dI equation

Ha 7L( dv)
it (3)

This ordinary differential equation gives the rigid water column solution; it neglects fric-
tion, elasticity, and wave velocity effects. It applies to systems where velocity changes are
long relative to the 2LI a time of the conduit.

6-19 ASCE/EPRI Guides 1989

 If a pressure wave is assumed to be generated by the valve movement and travels upstream
at the velocity of sound (a), equation (3) becomes

a(dt) ( dV )
Ha - tdt )
where a(dt) is the water column length traversed in the time dt over which the velocity
change dV occurs. This yields the fundamental equation of waterhammer:

Fundamental
equation of A h = ' Av
1
g
waterhammer
This is an exact equation that properly accounts for the water column inertia and elasticity.
Friction is neglected. It is the only relationship used in all elastic waterhammer computa-
tions. Note that the equation limits the maximum waterhammer for systems that conforrn to
the basic assumptions used to formulate the wave equation. With the rigid water column
solution, infmite heads are possible for instantaneous valve movements. This emphasizes
that as changes at the boundary occur more rapidly relative to the conduit length, it
becomes more important to consider the conduit wave effects.

Water Water column starting time can be derived by a simple rearrangement of equation (3) and a
starting different thought process that relates to its use. Thus Tw is seen to be associated only with
time the conduit inertia. It is used extensively as a parameter that describes conduit waterham-
mer effects in the governing equations. Its use allows ODEs to be used to solve the equa-
tions of governing. Some questions arise as to its complete applicability because it neglects
elasticity and delay, which can be appreciable in a plant having long waterways.

T LV
w =
gH

where H is the static head al the valve.

Mechanical The mechanical starting time is derived from the differential equation of motion for a rotat-
starting ing mass. The problems associated with the applicability of Tw are not of concern in using
time Tm.

2 2 6
T W R N X 10
' fn = 1.61 x hp

b. Boundary Elements in Hydroelectric Systems. — With reference to the definition

sketch (fig. 6-1), waterhammer computations are carried out to determine the fiows and
pressures at all points and times throughout the system for all operating conditions. The
pressures are die result of flow variations produced by control elements (turbine, pump, or
valve). In general, the problem is to describe the flow variation with time and from that
relationship compute the flow and pressure variations in the conduit. The waterhammer
equations solve for pressure and flow variations in the conduit system. If the characteristics
of the machine are accurately known, the accuracy of the solution is ordinarily excellent.

ASCE/EPRI Guides 1989 6-20

 SURGE TANK
RESERVOIR
OR FOREBAY

PENSTOCK

TUNNEL OR CANAL GENERATOR

GOVERNOR
- TUNNEL
CONTROL VALVE
i TA I LRACE R 'VER
- CANAL
TURBINE

bRAFT TUBE

Figure 6-7. — Elements of a hydropower project.

With reference to the elements shown on figure 6-7, the following brief explanation is
offered. Assuming a steady-state operation exists and a change in power conditions occurs,
then a fluctuation in flow occurs at the turbine due to a change in its operation. That change
produces a new hydraulic operating point for the machine and, as a result, a different operat-
ing condition for the hydraulic system. The changes are effected through the system wave
transmission characteristics, which are nature's mechanism for maintaining system equilib-
rium. The waves generated at the turbine are transmitted in a particular manner, dependent
only on the conduit characteristics. This confirmes until equilibrium is again established as
another variation in flow occurs at the turbine. The machine characteristics, which must be
known to effect the solution, are obtained from model tests of the turbine and gate system.
They cover every region of flow in which the turbine can operate during the transient.

The control element pressure-flow characteristics are ordinarily described by model tests
performed on the specific machine. These tests describe the machine characteristics for all
possible operating conditions, which for the purpose of transient analysis also includes
reverse flow through the machine.

Model tests are specified for all large turbine installations and must be available for final
design computations. Characteristics from machines having a similar specific speed are
usually acceptable for planning studies. General transient analysis has been performed for
typical machines and combined with the characteristics of the hydraulic system to produce
graphs that provide trends if the engineer wishes to change the system variables. Engineers
should consider displaying results of their studies using (h, q) coordinates rather than the
more typical (h, t) and (q, t) plots.

The valve characteristic diagram is useful. A similar explanation as that given aboye
applies to the system controlled by a valve. The valve Can active device) will display a
head-flow variation depending on the position of its controller. No distinction need be
made about the type of valve; only the specified valve closure versus time relationship is
needed in the waterhammer calculation.

6-21 ASCE/EPRI Guides 1989

 9. Definitions and Discussion of Transient Terminology

This subsection provides a compilation and explanation of tercos used in hydraulic tran-
sient analysis. The more comrnon tercos used in waterhammer and their importance are
described. Some of the tercos have a much greater meaning in steady-state analysis; how-
ever only their importance in the transient is discussed in this subsection. Standard defini-
tions among the experts in the transient field and among the different societies (e.g., ASCE,
ASME, IEEE) do not exist.

• Transient analysis. Relates to the computation of pressures and flows due to velocity
changes. The term is general and includes analyzing all aspects of the effect of veloci-
ty changes on the operation of turbines, valves, and pumps. Usually, a hydraulic sys-
tem operates at constant flow (steady-state) and undergoes an operating condition that
cause a flow variation. The period between the inicial steady-state flow and the final
steady-state flow is termed the transient.

• Waterhammer. Relates to analysis that considers propagation of elastic waves. The

System is described by the wave equation, which is derived from the waterhammer
equations. Rapid flow variations in an elastic system produce "waterhammer" waves.

• Surge analysis. When velocity changes occur slowly relative to the period of the sys-
tem (i.e. surge tank analysis), computations can proceed accurately using the lumped
parameter models, which are described by ordinary differential equations. The analy-
sis is then analogous to ordinary vibration theory. In hydraulics nonlinear damping
cornplicates the analysis. In its more general usage the term includes waterhammer.

• Oscillatory flow (resonance). This refers to flow that is periodic. Hydraulic systems
when excited by a periodic pressure or flow respond in a manner governed by the nat-
ural frequency characteristics of the system. Resonance refers to that point at which
the flow variations at a boundary produce pressure variations at one of the system
natural frequencies.

• y = O. Static head conditions prevail throughout the systern. In transient analysis the
static head is used to nondirnensionalize the system.

• y = constant. Defines the steady-state condition and considera only the conduit energy
loss tercos. Bemoulli 's equation applies to this computation. Note that equation (1)
reduces to a statement of head loss because inertia and elasticity forces are related to
velocity changes with time, and as a result are not included.

• y = veiwt, a periodic function. Pressures and flows in the systern are oscillatory. The
subject relates closely to the application of vibration theory to hydraulics. Assuming
that pressure and flow variations are harmonic throughout the system is the key to
reducing the wave equation to a PDE. This allows analytic representation of the
hydraulic system.

• y = v(t) transient analysis. Inertance and elasticity of the system are considered.
Accuracy requires wave properties to be used in the solution.

ASCE/EPRI Guides 1989 6-22

• Regulation. Refers to the ability of a hydraulic turbine to "regulate" the flow of
power on the power system. The ability to regulate relates to the penstock inertia, the
rotating inertia, the type of turbine, and the delay caused by wave travel time between
the turbine and reservoir.

• Mechanical starting time. A constant Tm that describes the system rotating inertia.
The ratio TmIT„, is a measure of the planes ability to regulare and its goveming stabil-
ity.

• Water starting time. A useful constant, Tw, describes the inertiae characteristic of
the conduit in waterhammer calculations. This is a lumped parameter constant and
may not properly include delay and elastic effects when long fines are evident.

• Governing. Hydraulic turbines serve a special use in the power system by responding
rapidly to load variations. To serve this function the hydraulic design should reflect
the need for good goveming.

• Stability. Physical systems have the characteristic that under certain conditions of
operation they respond such that oscillations in the system increase. For instance
surge tanks that have inadequate arca will show increasing amplitudes of oscillations
in response to goveming.

• WR2. This constant describes the rotating inertia of the hydraulic plant. In general
WR2 acts to improve the goveming process. Usually, about 90 percent of the mechan-
ical rotating inertia is in the generator.

• Water column separation. Pressure variations associated with flow changes can
occur so rapidly in the system that the pressure at a point drops below atmospheric.
When this occurs the water column separates at that point. Such an occurrence is dan-
gerous and should be avoided. Research on the proper modeling of separation contin-
ues.

• Runaway speed. Upon separation from the power system, the turbine will overspeed.
This is a natural occurrence because the hydraulic energy that produced electrical
energy is now used to accelerate the turbine. Design of the system elements considers
runaway speed. The runaway speed value is dependent on WR2, specific speed, pen-
stock characteristic and valve closure. All large turbines are modeled and the run-
away speed can be determined from those tests with an appropriate increase for
waterhammer produced by the throttling effect of the turbine as it overspeeds.

• Specific speed. This is a constant, NS, used to describe the type of hydraulic machine.
Because waterhammer effects are calculated from the boundary elements, many
effects can be stated qualitatively from a knowledge of the specific speed.

• Characteristics. A general term that describes a hydraulic elements. 2p describes the

conduit waterhammer characteristic; "C vs. t describes the valve characteristic; Ns, the
specific speed, describes the machine characteristic.

6-23 ASCE/EPRI Guides 1989

 • Surge tank. A reservoir of water placed near the power plant that effectively shortens
the length of the conduit and mitigates inertial effects.

• Models. Engineering effects not amenable to mathematical analysis can be evaluated

through physical models. Waterhammer effects can be properly modeled analytically
using the wave equation; however, the boundary elements, which produce the flow
variations, often require a physical model (i.e. turbines, throttles).

• Bulk modulus. A constant that expresses the compressibility of water and therefore
the elastic effects of the water column: K = 3,000,000 lb/in2.

• Mass density. Mass per unit volume. The density of water = 1.935 slug/ft3; y(specif-
ic wt) = pg = 62.4 lb/ft3.

• Wave velocity. The velocity at which disturbances move through a hydraulic (elastic)
system. Expresses the ratio of the conduit inercia properties to the elastic properties.

• Wave. Nature's way of communicating occurrences in one part of a system to all other
parts of the system. If flow changes occur at some point in a system, flow, pressure,
and energy changes must also occur throughout the system to maintain equilibrium.

• Laminar flow. Head Iosses vary with the first power of velocity. However, this flow
regime is never of interest in the transient analysis. Laminar flow, which is not dis-
cussed further in these waterhammer guidelines, implies a Reynolds number (R8) less
than 2,000.

• Turbulent flow. Implies Re > 2,000. Applies to waterhammer.

• Period (transient analysis). 2L/a the round-trip wave travel time delay between the
disturbance and the point of wave reflection.

• Period (periodic solutions). For a simple uniform conduit having a reservoir and
valve, the period equals 4L/a. Odd multiples of this value produce resonance.

• Elastic waterhammer. As the disturbance time approaches the 2Lla time of the con-
duit, it becomes necessary to include the elasticity of the system in the solution.
Elastic solution consider the wave nature of waterhammer and are solutions to the
wave equations.

• Rigid water column. This formulation does not consider the conduit elasticity and
therefore the wave velocity is infinite. Produces useful results when changes at a
boundary occur slowly. In waterhammer the term "slowly" usually refers to a refer-
ence time of 2L/a, which is the round-trip travel time of the conduit.

• Boundary conditions. In hydro these are points of wave reflection, i.e., turbines,
valves, reservoirs, and changes in pipe impedance.

ASCE/EPRI Guides 1989 6-24

• Upsurge. Pressure rise in the system. Water surface rise in a surge tank.

• Downsurge. Pressure drop in the system. Water surface drop in a surge tank.

• Oscillations. Periodic pressure and flow variations (usually harmonic). Any periodic
oscillation introduced into the waterways of a hydroplant will tend to amplify.

• Resonance. Ordinarily the term refers to the point at which the frequency of vibration
(input) equals the natural frequency of the hydraulic system and therefore produces
the maximum pressure amplitudes. In hydraulics the term is generally used to indi-
cate an amplified response.

• Canal, forebay, afterbay, reservoir. Hydraulic elements with free water surface and
therefore reflection points for waterharnmer waves. Points at which the elastic wave
effects are internipted. Elastic pressure waves striking a free water surface are reflect-
ed with the same magnitude but opposite polarity.

• Penstock. The high-pressure conduit that connects the turbine with the first upstream
water surface.

• Four-quadrant diagram. The pump or turbine characteristic diagram — usually pro-

duced through model tests. During the transient, depending on the specifics of any
installation, the hydraulic machines can operare in zones described as ± flow and ±
head.

• Draft tube surging. A condition occurring in reaction turbines when operating away
from the best operating point. Strong periodic pressure pulsations can be produced in
the draft tube.

• Throttling. Used in surge tanks to produce a rapid pressure rise at the base of the
surge tank to quickly retard the water column.

• Efficiency. The ratio of output to input.

• Power failure. A condition that separates the hydroplant from the power system
while it should be supplying energy_ A condition that can produce maximum transient
pressures.

• Synchronous bypass. A valve placed in parallel with the turbine. The valve opens as
the turbine valve doses to prevent rapid flow variations in the penstock.

• Impedance. A term borrowed from electrical engineering that expresses the ratio of
pressure to flow (PlQ = Z). The impedance concept is of great use in hydraulic reso-
nance studies. P and Q are periodic.

6-25 AS CEIEPRI Guides 1989

 10. An Outline of Transient Analysis

a. Transient Analysis.— The overall scope of transient analysis of hydroelectric schemes is

explained on figure 6-8. Hydroelectric projects feature a turbine—generator system that con-
verts the potential energy of a stored mass of water held at some elevation into electrical
energy for use on an electrical distribution system. The reservoir and machines are connected
by a long conduit, which introduces undesirable pressure variations and control problems
into the operation as the system flow is varied. In general, changing load requirements on the
grid causes changes in the active elements in the hydraulic system which in tum produces
pressure and flow variations throughout the system. Waves produced at the system 's bound-
aries supply the mechanism of varying the head and flow conditions throughout the system.

b. Boundaries (Inputs). — Invariably, hydraulic transients in hydro systems are initiated by

flow changes caused by the operation of a valve, turbine, or pump. Usually, the "characteris-
tic" flow head variations must be known in order to properly model the feature in the mathe-
matical model. These boundaries are active elements usually controlled by an outside source
(e.g., a govemor or a servomotor). Passive boundaries such as reservoirs, surge tanks, and
conduit dimension changes also provide points of wave reflection and must be considered in
the solution.

c. Constraints. — Transient computations deal with using the hydraulic system characteris-
tics as input to the waterhammer equations and define the reflection coefficients at the
boundaries. The criteria for appropriate evaluation are given by considerations of economics,
operation, and safety. While best operation is always a prime consideration, the cost must
also be evaluated.

In general, the dimensions of the system features are established from energy loss considera-
tions derived from steady-state operation. The system characteristics to be used in the water-
hammer studies are usually determined from the steady-state analysis. Reservoir variations,
plant operation, etc. serve as input to the waterhammer study.

Hydro stations can serve the function of supplying energy, peaking, and load-following (reg-
ulation). Each is derived from studies on the power system. Added costs to supply diese
functions relate to site factors and the desired machine response. The requirement of supply-
ing only energy minirnizes transient design and analysis because the flows and pressures will
vary slowly. Peaking implies numerous and larger changes in load for the purpose of supply-
ing the peak demands on the system. However, rapid valve movements and severe pressure
fluctuations are usually not a problem. Hydro stations designed and dedicated Lo load-follow-
ing and compensating for system upsets would receive extensive relevant transient analysis.
These planta produce little energy and as a result waterhammer considerations can influence
the dimensions and locations of the features (e.g., a surge tank). Safety considerations can
further constrain the project design. High heads, large power outputs, a demanding plant
operation, or poor geology can lead to increased factors of safety and more stringent design
criteria (fatigue analysis).

ASCE/EPRI Guides 1989 6-26

BOUNDARIES (INPUTS) CONSTRAINTS CONSIDERATIONS

Pumps Costs Electrical

Turbines Operation Mechanical
Valves Safety Hydraulic
Civil

HYDRAULIC TRANSIENTS

Waterhammer
Surge
Resonance

PROBLEMS

Excessive Pressures
Negtive Pressures
Intolerable Machine Operation
Machine Design
Electrical Effects

CONTROL

Air Chambers
Surge Tanks
Relief Valves
System Operation
Sizing of Components

COMPUTATIONS

Computer
Graphs and Charts
Algebraic
Graphical

OUTPUTS

Flows
Pressures
Design of Controls

Figure 6-8. — An outline of transient analysis of hydraulic systems.

6-27 ASCE/EPRI Guides 1989

 d. Considerations. — Inputs to the transient study come from the fields of hydraulics, elec-
trical, mechanical, and civil engineering. The turbine and generator combination constitute
a machine pair whose characteristics determine the flow variations that serve as inputs to
the study. The turbine changes its output in response to signals from the generator and
power system. The changes are reflected as speed and flow changes which, in tum, are the
source of pressure variations in the penstock.

e. Hydraulic Transients. Waterhammer describes the rapid pressure changes in systems

where the elastic wave properties are important. Large flow variations at the turbine cause
large pressure variations to be propagated into the penstock. These computations proceed
using the wave equation analysis, which properly accounts for distributing the system
properties, mass and elasticity, along the conduit.

Surge analysis is applied between the reservoir and surge tank_ Pressure and flow variations
are slow enough that lurnping the system properties provides adequate accuracy.

Resonance analysis is warranted where there is danger of a pressure of flow oscillation

produced in the system being amplified. Mathematical difficulties stem from use of a par-
dal differential equation, and the nonlinearity of the boundary terms add complexity.
Although the stratagem of lumping the system elements (mass, elasticity, and friction) is
mathematically acceptable, it does not produce solutions of adequate accuracy.

f. Problems

(1) Excessive Pressure. — In a typical hydro scheme, a velocity change of 1 ft/s at a point
in the conduit can produce a pressure change of between 100 and 125 feet of head. These
pressure changes must receive proper evaluation and design considerations; they are the
object of waterhammer analysis. Evaluation of the pressure rise due to normal machine
operation provides the design pressure gradient for determining the penstock thickness.

(2) Subatmospheric Pressures. — Load picknp on a turbine can produce subatmospheric

pressures in the penstock. The rate of load pickup must not be so great that water column
separation can occur. This criteria can control the penstock profile and location, surge tank
requirements, and rotating inertia requirements.

(3) Machine Operation. — The ability of the turbine—generator to regulate the flow of ener-
gy to the grid is govemed by the hydro system characteristics. Briefly, as a turbine attempts
to shed load (reduce its power output), a waterhammer pressure appears at the turbine
intake, and the net effect can be for the turbine to increase its power output.

(4) Machine Design. — Both the generator and turbine can have their designs significantly
affected by considerations of runaway speed, rapid speed changes, rapid load variations,
and needs for increased WR2.

(5) Electrical Effects. — An awareness of draft sube surging, generator WR2 values, and the
power system operation is important to civil engineers.

ASCE/EPRI Cuides 1989 6-28

g. Waterhammer Control. — Steady-state hydraulic analysis coupled with economics Waterhammer
(energy losses) ordinarily govems the system dimensions and velocities. The plant opera- control
tion is dictated by its intended use in the electrical grid. These characteristics produce the
system pressures, flows, and operating capabilities. Depending on the design operating cri-
teria, control features such as surge tanks, pressure relief valves, operating restrictions,
and/or system dimension changes may be required.

Surge tanks are unequaled as a waterhammer control device on hydroplants. Waterhammer

pressures in a closed conduit for a specific velocity change are related to the length of the
control conduit between the two water surfaces. The surge tank in effect reduces that dis-
tante.

(I) Relief Valves. — Because pressure variations result from flow changes, pressures can be
controlled by introducing a valve at the turbine that opens as the wicket gates close and
then doses at a controlled rate. A two rate of closure motion is ordinarily specified for a
turbine wicket gate (cushioning) and sornetimes for a valve that has a characteristic such
that it does not control the flow until almost closed.

(2) System Operation. — Restricted operation of the turbine away from points at which the
system design criteria are exceeded may need to be specified. This is undesirable.

(3) Component Sizing. — Increased waterway diameters are possible as a means of reduc-
ing waterhammer. This is often a costly solution, though reduced friction losses and
improved machine operation lessen the economic penalty.

(4) Air Chambers. — As of this writing only the Norwegians have utilized air chambers on
hydro systems. This device is popular for high-head/low-flow pumping systems, and its
transient operation is well documented. It appears to be a viable altemative on a small,
high-head hydroplant where goveming is not important.

h. Computations. — The analysis depends on the system complexity. Design computations

are usually performed on a computer once the turbine characteristics are available from the
model tests.

i. Output. — The output of a waterhammer study should define all pressures and flows at
all points in the system, for all allowable operating conditions.

6-29 ASCEIEPRI Guides 1989

 B. TECHNICAL WATERHAMMER

1. General Comments

This section provides guidance on performing transient analyses and presents results from
Technical previous analyses. The presentation is based on material published elsewhere and the
waterhammer author's experience with the Bureau of Reclamation. Numerous methods of analysis are
available. Each has its advantages and disadvantages for any particular application. The
following comiuents are relevara:

• Hydro engineers need a general knowledge of how transient analyses are performed,
the available solution techniques, their appropriate usage, and their advantages and
disadvantages.

• The objective (intent) of the study, the accuracy of the data inputs, the level of study,
and other practical considerations (time and cost) usually influence the method of
analysis.

2. Transient Studies of Hydroelectric Projects

Pressure Analysis of hydro systems proceeds from two different approaches: (I) the effect of the
rise turbine operation on the hydraulic system, and (2) the effect of the hydraulic system on the
versus turbine operation. The first approach is usually associated with hydro projects having a
operation high plant factor and are economically justified based on energy considerations. The sec-
ond approach is important when peaking, load-following, and operation to enhance the
oyeran operation of the power system are important.

Turbine Pressure-flow variations are dependent upon the turbine specific speed, Ns, which in tum,
characteristics describes the turbine hydraulic characteristics. Information on the machine is contained in
volume 3, chapter 2 of the Guidelines. Briefly, however, proper design demands that all
manufacturers of hydraulic machines follow certain fundamental Iaws that relate to the
design of turbomachinery; otherwise, efficiencies, heads, power output and vibration crite-
ria cannot be met. This sets requirements for runner geometry, and as a result transient
effects can be inferred fmm a knowledge of specific speed.

Analysis In the early stages of analysis, studies can proceed using the characteristics from machines
having a similar specific speed. The model tests results and the actual characteristics must
be available for final design computations. A computer can greatly facilitate the computa-
tions because the machine characteristics are thereby more easily handled than with other
techniques.

Hydraulic transient analysis of conventional hydro projects addresses the following:

Transient • Maximum and minimum design gradients

analysis • Goveming requirements
effects • Goveming stability and regulation
• Load acceptance
• Load rejection

ASCE/EPRI Guides 1989 6-30

 • Resonance investigations
• Draft tube pulsation effects
• Surge tank location and design
• Runaway speed calculations
• Normal startup and shutdown
• Synchronous condenser operation
• Draft tube and tailrace waterhammer
• Operation as standby reserve
• Power failure
• Wicket gate closure with cushioning stroke

3. The Transient Study: Data and Study Requirements

Transient studies require complete details of the hydraulic circuit: flows, heads, valves, Data and
reservoir variations, surge tanks, conduit alignment, geometry, and material properties. In study
general, a schematic profile of the system is useful to describe the system elements needed requirements
for waterhammer studies.

The pump and turbine diagrams are known as the four-quadrant characteristic and are
describcd in a number of technical papers. The valve characteristics are usually provided
as curves of valve movements versus time or pressure/flow variation of the valve.
Typically, for a majar hydro station, model testing of the hydraulic machines is required.
During these tests, flow and pressure relationships are measured, throughout all zones of
possible operation. This includes those zones through which the machine passes during the
transient. The actual machine characteristics must be available for final design studies.

The flywheel effect (WR2) of the generator and turbine value for the generator may be
increased depending upon the results of the analysis, and the operational requirements.

The method of control for the generating cycle and the degree of speed regulation desired
influenees the setting of the govemor stroke for opening and closing the wicket gates and
can affect the surge pressures. Detailed analysis of goveming is outside the scope of these
guidelines; however, civil engineers who perform transient studies should develop an
appreciation of how analysis of goveming affects their work.

Normal starting and stopping and special procedures associated with emergency trip-out
must be considered.

For pumped storage planas, the penstock or pump discharge Ene is critical when the pump
is operating at full capacity and a power interruption occurs, or when the turbine must pick
up load rapidly. These operations cause low-pressure waves that travel up the conduit and
can place portions of the discharge line under negative pressure. The strength of the con-
duit at high points can be critical. The analysis should show whether subatmospheric pres-
sures will exist for which the collapsing strength of the pipe is exceeded. Special consider-
ations for pumped storage piaras operating in the pump mode are covered in Volume 5
"Pumped Storage."

6-31 ASCE/EPRI Guides 1989

Waves 4. Waves and Fields
and fields
It is valuable to visualize the response of a hydraulic system to pressure variations by the
introduction of some finte amplitude wave. The use of waves to obtain usable solutions for
waterhammer problems is used in the graphical procedure and is explained in section 6
below. This section is included as a reminder that field and wave effects are fundamental
concepts in waterhammer analysis. They provide the physical basis for the mathematical
analysis.

The conduit waterhammer characteristics forro the basis of the graphical solutions, which
are useful for preliminary analysis of the hydraulic system. For a pressure wave approach-
ing a partially open valve, part will be transmitted and part will be reflected back. The divi-
Formula sion is determined by the characteristics of the conduit and the valve.

Formulae available for calculating reflections from various boundaries are useful for pre-
liminary analysis and for investigation of waterhammer in hydraulic systems. Figure 6-9
portrays a pressure wave traveling in a conduit having area Al and striking a boundary of
another pipe having area A2 . At the boundary pan of the pressure wave is transmitted and
part is reflected. The values of the coefficients are given by the formulas shown below fig-
ure 6-9.

REFLECTED
WAVE
A2
Al a2
m
al a

INCIDENT
TRANSMITTED
WAVE WAVE

Figure 6-9. — Waves in a conduit having an area change.

Transmitted Incident wave = transmitted wave + reflected wave

wave
2A
1
al
s=
Al
A2
al + a2
Reflected
wave
r=s — 1

ASCE/EPRI Guides 1989 6-32

If A2 > A1, the transmitted wave is decreased in amplitude. When A2 becomes very large
(reservoir) the transmitted pressure wave is zero, and the reflected pressure wave is the
negative of the pressure wave that struck the reservoir. The pressure rise continues at the
valve during the valve closure until reflected waves (negative in this case) retum from the
reservoir to cancel positive pressures produced by the water column deceleration.

If A2 < A1, the transmitted wave is increased in amplitude. If A2 = O (dead end), the pres- Dead
sure at the dead end is doubled. This simple computation reveals the danger of a dead end. end
In a traveling wave, the wave energy is distributed evenly between kinetic and potencial.
Thus, when the wave strikes the dead end, the velocity energy is converted to head; this
doubles the pressure.

At a junction of three or more pipes (e.g., a surge tank) the conditions are as shown on fig-
ure 6-10. The wave energy divides as the ratio of the conduit arcas. The wave transmission
and reflection formulae are given below figure 6-10.

..< .• 1•9
512‘
-S'1 1:.v..•1‘
‘41,
s
REFLECTED NI
WAVE

AI
o'

1 N C1 DENT
WAVE 7:9
51,-4i,..
4 4S'A,./
"7 7).
k'o

Figure 6-10. — Waves in multipie conduits.

2A
1
al
s= Transmission
A A A
l
—+ —
2 3
a i + a2 a3

Al A A
2 3
a a
l 2 a3 Reflection
r=
Al A A
2 3
---d-
1 + a2 + -3
17

6-33 ASCE/EPRI Guides 1989

 The reflection and transmission of waves and the formulae presented are actually parí of a
larger concept that relates to impedance. Strictly interpreted, hydraulic impedance is the
ratio of head to flow at a point and is given by pa (the mass times the wave velocity). All
elastic waterhammer calculations and, therefore, solutions that involve wave transmission
stern from the Joukovsky [1904] formula dh = (adv)Ig, which assumes a certain fluid,
water in the case of hydro. The formula can be rewritten as dP = (paLQ)IA, a more general
expression that applies to all fluids and includes the density. Because we deal only with
water, the mass density cancels in the formulae and therefore p need not be included. In
cases of two-phase flow, the entire hydraulic impedance pa must be considered.

Wave The diagram on figure 6-11 can be used to explain waterhammer. It shows wave travel in a
travel conduit with flow variations controlled by a valve. Diaraeter changes, manifolds, and
branches add computational complexity because these are points of wave reflection and
therefore must be included in the solution. Although the valve on figure 6-11 is not a tur-
bine, because the conduit sees only flow changes, the simple valve can simulate the
hydraulic actea of a turbine.

RESERVOI

CON DU I T

PR ESSURE WAVE

VA LVE
A

Figure 6-11.— Definition sketch for wave solutions.

Description For the system shown, a valve closure at point A causes a positive pressure wave to travel
using up the conduit That pressure wave travels to the reservoir at the speed of sound, is reflect-
waves ed at the reservoir, and retums to the valve in a time of 2L/a seconds. All waterhammer
analyses is based on following the pressure waves produced at the valve and as they travel
up and down the conduit. The procedures can be tedious, which has led to the extensive
use of computers in waterhammer computations.

The pressure wave, its finite travel time, and the head/flow variations in the conduit are the
primary features of waterhammer. In hydro systems the speed at which these variations
occur determines the design gradients and affects the operation of the turbomachines.

At dead ends the pressure is doubled and the flow is zero. At a reservoir the pressure is
constrained to the particular value of the head at that point and the flow is doubled. Flow is
a vector quantity and therefore this doubling is reflected as a reversal of flow direction.

ASCE/EFRI Guides 1989 6-34

Waterhammer waves in hydraulic systems are identical to sound waves in acoustic sys-
tems. As a result considerations of transmission, velocity, reflection, and the interaction of
hydraulic waves are identical to that of sound waves in air. The acoustic variables differ
significantly with those of hydraulic waves because of the vastly different values of elastic-
ity and density and because the conditions are quite different. [Kinsler and Frey, 1950;
Beranek, 1954; Cheng, 1983; and Cannon, 1967] contain information of value to hydraulic
engineers that relates to the basic physics of waves. These books show the intimate rela-
tionship between amusties, hydraulics, vibration, and electric circuit theory. Waterhammer
might easily be included in a typical text on vibration analysis except that the wave proper-
ties of the system must also be included in the analysis.

5. Wave Velocities

A wealth of data on wave velocity in hydraulic conduits is available in the literature Wave
[Parmakian, 1955; Thorley, 1979; Ramanathan, 1965; Pearsall, 1965; Chaudry, 1986; velocity
Halliwell, 1963]. Important to the engineer is the impact of wave velocity on the solution
accuracy. Its importance relates to approximate analysis versus the elastic analysis, and in
this instance to the use of available charts. To illustrate, some solutions are presented that
demonstrate the variation for different wave velocities (fig. 6-12). Clearly, if the time of clo-
sure is of the same order as the 2L1a time of the conduit, an accurate estimare of the wave
velocity is important to accurately predict the pressure rise. Conversely, when the flow vari-
ation occurs in times that are much greater than the 2Lla time of the conduit, the wave
velocity loses much of its importance. This is the essence of whether a system can be ana-
lyzed by lumped parameter (ODE) models or it must be analyzed using its wave parameters
(PDE). Figure 6-12 shows that an accurate assessment of the valve closure time can be of
much greater importance than the accurate prediction of the wave velocity. For the conduit
shown and a wave velocity a = 3,000 ftjs, the maximum waterhammer would be produced
at the valve for a gate closure time of 2 seconds and is given by the equation,
Ah = (aAv)Ig. For such a rapid closure the waterhammer gradient would be parabolic and
require further analysis. Note that only a few of the flow system variables are needed to pro-
vide the solution.

In transient analysis the adjectives "fast" and "slow" describe the ratio of the valve closure
time to the round-trip wave time of the conduit. Furthermore, the chape of the valve char-
acteristic closing curve, 1-versus time, influences the rate of flow change and therefore the
pressure rise.

Pressure waves propagate through an unconfined body of water at the speed of sound,
4,720 ftis. The effect of containing the fluid in a pipe is to increase the elasticity of the sys-
tem and thus decrease the wave velocity.

The wave velocity formulae include the effect of the conduit elasticity:

4, 720 1,4 35
a= (English units); and a — (metric units)
j 1+ KD
Ee I

6-35 ASCE/EPRI Guides 1989

 3.4
W S---1_....
....... •
3.2 . ..__....._,
..., -S•j
3.0 000 .., ,
--...,,...../ r r_,___ O
I/ O
2.8 1
o .b. ---. "

2.6
tI\
D . 8 ft, Gate—'
2.4
1\ Q . 500 c.f.s.
Effects of i1 Ha= 20 O . ft.
wave
2.2 a = Wave velocity (ft/sec.)
velocity 2.0 \• aH = Huid rise (ft.)

\
A1-1 8
‘3
\\
‘\\,
1.4
\\\,----a = 2000
1.2
023000
1-0 -, •
0.8 .
0.4000-E ''.
0.6 .--,..
... ,z.,.
- ...........,
..._...,..........„.

0.4

0.2

o
6 9 12 15 18
GATE CLOSUR E TIME -SECONDS

Figure 6-12. — Effect of wave velocity on the magnitude of waterhammer.

where:

a = wave velocity (ft/s; m/s),

K = bulk modulus of water (3 x 105 lb/in2; 2.1 x 104 Kg/cm2); Ew is also used to
denote bulk modulas,
e = conduit thickness (inches; meters),
D = conduit diameter (inches; meters) and
E = pipe wall modulus of elasticity (lbfin2; kg/cm2).

The fraction KD/Ee reflects the magnitude of the velocity reduction due to elasticity of the
conduit walls.

As times to effect flow changes increase or, altematively, as conduits become shorter, the
wave velocity becomes less important. Computations for surge tanks, air chambers, and
slow valve closures are usually not sensitive to wave velocity. Head rise precipitated by

ASCE/EPRI Guides 1989 6-36

power failure at pumping plants is usually not greatly affected by wave velocity if WR2 is
included in the solution.

If the conduit contains even a small quantity of undissolved air in the form of bubbles, the
wave velocity is greatly reduced (fig. 6-13). When air, which is much more compressible
than water, is present the wave velocity becomes a function of pressure, which varíes from
point to point in the system. Air and water mixtures are examples of two-phase flow sys-
tems. Transient analysis of systems where two-phase fiows occurs is receiving a great deal
of study at this time [131-1RA, 1983 and 1986].

A series of graphs showing some of the more important wave velocities useful in hydro-
electric transients are shown on figures 6-14 through 6-17. [Thorley, 1979; Parmakian,
1955; Chaudry, 1986; and Wylie, 1978] present extensive data on wave velocities.
[Thorley, 1979] is a practical and useful publication on waterhammer (figs. 6-18 and
6-19).

o
1,250
co
o Experimental
o
o --- Theory
1.000 ,-,
Sm tic pressure 47 psi
324 kPa
8
Wave velocity a, m is

750

o
oo
500
o
o
2) :.
o
250 o

o
02 0.4 06 08 1.0
-Vg114,%

Figure 6-13. — Affects of air content on wave velocity. [Wylie, 1978].

6-37 ASCE/EPRI Guides 1989

 rS
:7 100
. k ' • 17W

. Nilin••......--
..1-_
— --i II MEM
saa MI Ilia1111111•1111111.1•11 70C
linelaSi 511-El
i 2 !.. 61:::::::::::
1)
1E1
CiL.
ag .. ..
-10::12Zeta14157 i.ys,
---~"Nalzmummom
/nom la' k Im-r---
"h aimaartra.=..
o avilli
-~alaw
Wilmuzlimillimm..1-.
- raso
............
.................
IIIFir .bmwe_niummi
i
IMETAIIIIME raOQ
: MI UINIZIMMIZOM121••
_:4 RIE MallaMMMMMMMMMMMUMIIIIMM
goa MI malliMomiliill, ~ffilalltlilIMIIMMEINIIMMENIIIMUM ion
.1 SIMM .11
whgEriqpii., UffilMIIIMUMMMUilh,
:riihr.
.12.4. MEI MI
1> .
• MMMMMMMMMNOW N

111•11~111Mbil MI n/..
11.111111MINTMMEW
maalmium ime. ,,, ElEni..... Iiiilli
1::11CCZ.:::=1W+ ......_ - MIIIIIIIIIII
Efiku,"ining:
...
~IIIn, MIMI
------- •-.1- 1 - Epr..~.--.
IIIMIIII
+
-.........,
—ii• q MIIMMU11~11~-
,,,,.

epi.% --ri e E
11111111rn MI

700 lallM -4 I
w..9::: :::::::Frig::
...1111::::.... -.9cri...
............a..„
11111111111111111N

IUMELIZIMMIIIMMIIIIIIIIIIIIIIIMINIII MMMMMMM
111~1~11.2 IMIll«.
a ~~~ iniffilii=2: "" 111
1"r mr=illigin:::::IY::::::
(fivs ~ Ifflialll 11111,11mmial~111.11:UMMIII21111101~11MIUMMEM
9
"o inemm.
= Nara

........i. 1 -i raar
=oM .
EM E ,Imminsza
___ O
Ellia...±111111MIEM

LL.....................■
R M MM
11111111111•0111111111111~1

MMIMI11
li m al r a
I mun m Erm m mromnrm
~ M

no TIME
• miloggani Ir
1 .1
if
--i 111191
III lila
MEN
WORM Pill
11111111111111 1121111111
No
111111M1111111111 a Ni on ili I I 11 E Mi 1111111111
400 - r --- --- --
I „_
--

Figure 6-14. Wave velocity in hydraulic conduits (1).

1 1.11111
10000

E
o
Steel
o Duetile iron
Grey ca« aran —

GRP

Asbestos cement

(PVC
100 d I I 11. 11111 L
1 lo 100
Fiada 0/o

Figure 6-15. — Wave velocity in hydraulic conduits (2). [Thorley 1979].

ASCE/EPRI Guides 1989 6-38

 1
:
1

10 100 1000
Rulo Dl

Figure 6-16. — Wave velocity in hydraulic conduits (3). [Thorley 1979].

Rapo ato

Figure 6-17. — Wave velocity in hydraulic conduits (4). [Thorley 1979].

6-39 ASCE/EPRI Cuides 1989

 1500'

1000 -
Wave (peed Irnial

500

a 1
10 20 30 40 50
Etat cic modulo:. [GN/ma1

Figure 6-18. — Wave velocity in hydraulic tunnels. [Thorley 1979].

10 100 1000
Ratio D4

Figure 6-19. — Effect of conduit shape on wave velocity in steel conduits. [Thorley 1979].

ASCE/EPRI Guides 1989 6-40

6. Graphical Analysis

Graphical analysis is adequate for waterhammer studies for waterways that are simple con- Graphical
duits in series. Until computer solutions became widely available, most hydraulic transient analysis
studies were made using graphical analysis. The procedure is introduced as an aid to
explaining waterhammer effects. Transient analysis of complex hydraulic systems is mathe-
matically difficult because the phenomenon is described by a nonlinear PDE. Computer
solutions are available to analyze complex systems quickly.

The graphical analysis method uses the wave nature of waterhammer to obtain solutions. Discussion
The intersection of the pressure wave and the pressure-flow condition at a boundary gives
a saludan at that point. Waterhammer and the wave nature of solutions are easily visual-
ized on the narro alized (dimensionless) head/flow plot (fig. 6-22). The procedure for using
Chis graph is described on the following pages. The intent is to explain transients in hydro
systems using the general waterhammer diagram. [Parmakian 1955] is recommended for a
more detailed explanation. It also contains other useful concepts in waterhammer relating
to hydroelectric design.

Accuracy is excellent and friction can be approximated by lumping at points along the con- Accuracy
duit By thcir very nature hydro systems are low in friction. Major damping occurs at the
boundary and the graphical, solution clearly shows Chis damping characteristic.

The method can be useful to engineers when computer programs are not readily available. Utility
Transient analysis of hydraulic systems controlled by valve operation is especially simple
when the waterhammer diagram is used and when only pressure variations at the valve are
of interest. The solution for any valve rnotion in any hydraulic system is easily computed
once the characteristic diagram for the boundary element has been obtained. The diagram
is universal in the sense that for any flow variation in a hydraulic system it can be used to
compute the associated pressure changes.

The procedure is useful in investigations where computer rigor is not required and, there- Rigor
fore, during the early investigations. Its greatest value is to explain the theory of waterham- not
mer and to demonstrate solutions using waves. Hydraulic resonance, in particular, is easily needed
explained using the diagram.

The technique works best when combined with a nondimensional plot of the boundaries. Characteristic
The valve boundary condition is represented as a parabola, v = Th°-5 , on the waterhammer diagram
diagram. The diagram as shown is dimensionless. As a result all valves and all systems can
be analyzed on the diagram. Producing analogous diagram for pumps and turbines from
model test results is tedious, and the solution has an extra complication when the gate
movement is included. Examples of the characteristic diagrams for pumps and turbines are
available in the literature [Chaudry, 1986, ASME/CSME, 1979, EPRI, 1986].

a. Explanation of the Graphical Analysis. — The essence of the procedure is to produce a

pressure wave in the system, usually at a valve and usually due to a flow variation, then to
follow that wave as it interacts with the system boundaries.

6-41 ASCE/EPRI Guides 1989

Explanation The procedure is explained below using a simple problem as an example. Shown on figure
of graphical 6-20 is a conduit connecting a large reservoir B and a valve A. The valve has a closure
analysis curve with time as shown on figure 6-21. The problem is to compute the pressure varia-
tions at the valve. Friction is not included.

5 G rade, i. in e.
RESERVO! R

CONDUIT I.

PR ESSURE WAVE
1
1
VALVE
A _Y

Figure 6-20. — Diagram for valve closure problem.

L = 3,220 feet,
a = 3,220 ft/s,
Q = 785 ft3/s,
A = 78.5 ft2,
d = 10 ft, and
= 10 ft/s.

The solution is derived from the general waterhammer diagram (fig. 6-22). This diagram is
the key to efficient graphical analysis because it saves the effort that must go into plotting
the valve characteristic. The curves are normalized in the diagram and can be used for any
valve and any hydraulic system.

The diagram is normalized by dividing all heads by the static value and dividing all flows
(velocities) by the inicial flow. The derivation and computation of r is given later in this
subsection. For each section of conduit over which the wave equation is applied, no
changes in conduit properties are allowed. As a result flow and velocity maintain a con-
stant ratio, and wave reflections are not a factor. In fact, over the conduit length, flow and
head maintain a constant ratio (impedance). If a change occurs, in diameter for instance, a
new wave equation is written for that section, and the solution proceeds by considering
wave reflections at those sections. The solution can be simplified by using an equivalent
pipe, in which case only pressures at the valve are deterrnined. The pressure variation
along the conduit is then estimated by relating it to the momentum (/v) of each section.

ASCE/EPRI Cuides 1989 6-42

 I. o Solution
description

0.75

6.) 0.50

O. 2-5 -

4. 0 ¿.0 SI

lime 111 5&COACIS

Figure 6-21. — Valve closure characteristic rvs. time.

Compute 2p, the pipeline constant, and the 2Lla time:

aVo 3,220 x 10 2L 2 x 3,220

- 2.0, a = 2 seconds
2 P = g10 - 32.2 x 500 3 ,220 ---

The solution is shown on figure 6-22. It proceeds by following the wave movements
between the reservoir and the valve.

The solution starts at time zero, the initiation of the valve movement. The starting point is
then v = 1.0h = 1.0 (point A, on the diagram). The subscript notation refers to the time. The
increments of time are 2L/a, the time for a wave to travel to the reservoir and retum. It has
been shown in the theory of waterhammer [Parmaldan, 1955] that the pressure at time
2L/a (2 s) is given as the intersection of the 2p line and the valve characteristic ti = 0.78.
The wave now retums to the reservoir along the 2p characteristics, is reflected, and retums
to the valve. The wave next fmds the valve in position 0.53 at time = 4 seconds. The
solution proceeds as shown with appropriate valves of -r taken from figure 6-21. The
waterhammer pressure variations are shown on figure 6-23.

The solution of waterhammer problems by the graphical method for design purposes may
be a secondary consideration now that computer programs are widely available. However,
engineers will find waterhammer terminology used in elastic analysis easier to understand
by referring to the diagram. It provides a geometric solution using the properties of waves
and their interaction with the boundaries.

The general waterhammer diagram on figure 6-25 is included to facilitate computations.

The diagram can be enlarged on a photocopier and will yield accurate results.

6-43 ASCE/EPRI Guides 1989

 o
SI=

n
erl

I
! -7 /-1. i'-'71/-1//7x1-/
wili 11 iyy/9,r/v/v í
140 ini /////
II f
a

11/0,¿/ 1
a 1 1
":_/,- 1 1 1 a
Val ue

Figure 6-22.— Solution of problem on the waterhammer diagram.

ASCE/EPRI Cuides 1989 6-M

 1.3
....
....,

1.2.. / 1
/ ‘
1. 1 / 1
/
/ 1 f
/ , /
r ' do
2. 4 [.. 7
Tim e,- Seednd5
I 1
1
1
1
o. 1

0. 7
O

Figure 6-23.— Transient pressures at valve for example problem.

b. Points to Note from the Solution

1. The maximum time interval permissible is 2L/a the wave travel time (Valve -->
Reservoir --> Valve).
2. The oscillation occurring alter the valve doses is due to the inertia and elasticity of
the water column. Energy is trapped in the conduit, and the oscillation persists until
damped by friction. For this reason turbine wicket gates have a cushioning stroke.
3. The waterhammer gradient is nonlinear becaise valve closure is fairly rapid. A more
detailed portrayal of the transient gradient along the conduit is possible by taking
smaller time increments. This does not improve the accuracy of the values computed
at the valve, because the 2L.la time interval was used in the original calculation.

c. The Valve Characteristics (Derivation of 1.). — In hydroelectric practice the system to be Derivation of
analyzed has a reservoir connected to a turbine, pump/turbine, or a valve by a long conduit valve
that represents considerable inertia. These machines are boundaries at which flow variations characteristic
occur and from which pressure waves are reflected. A major effort in any waterhammer
study relates to their proper representation.

The solution is greatly simplified when the boundary conditions are displayed on the same
diagram with the head/flow relationships used to determine the waterhammer pressures.
This reduces to plotting a series of valve curves on the diagram. When plotted in normal-
ized coordinates the curves can be used for any valve in any system.

This is done as follows: The valve discharge curve is written for the steady-state flow and
head with the valve fully open. Figure 6-24 shows the variables used in the derivation.

6-45 ASCE/EPRI Guides 1989

 Unt forrn Con du r
140

Valva ar Ga Le

Figure 6-24. — Definition sketch for the derivation of T.

Q0 = (Cd As )0V2g (Ho)

where:

Qo = fiow at time zero (steady-state),

Vpo = velocity in pipe at time zero (steady-state),
Ho = net head across the valve at time zero,
Cd = discharge coefficient
Ago = gate open arca at time zero,
O = subscript denotes time zero, and,
Ap = anea of pipe.

yo = B0 -5/1-T

(C1A g)
o
B, —
A

At any instant during the gate movement:

V = B Ho + H a
Ha = waterhammer head, and

V H
Ha
= —111+
Vo Bo 0

(Cd A s )
B
Bo = (Cd As )

T is seen to be a function of time, which defines the ratio of the effective gate opening at
any time to the effective gate opening at time zero. The value of normalizing is evident
because it gives the diagram (fig. 6-25) universal usage.

ASCE/EPRI Guides 1989 6-46

 I

=
o o
o
o o

//

J
• 9 -
o

Figure 6-25. — General waterhammer diagram. Valve-related waterhammer problems can be

solved with this diagram.

6-47 ASCE/EPRI Guides 1989

 Finally using the following definitions

v= VIVO
T= B IB,

h_ Ho +H a
Ho
y -.•= T-1/1
7z
The equations for y and r are normalizad flow and valve equations as plotted on the gener-
al waterhammer diagram (fig. 6-25).

7. Damping in Hydraulic Systems

Damping Damping terms in hydraulics are ordinarily nonlinear (variation is with the square of the
flow), which produces mathematical difficulties in the transient calculations. The problem
is difficult even for lumped parameter systems. For the transient solution the equations can-
not be solved if friction is included, except by a numerical procedure or by an approximat-
ing procedure in the graphical analysis. For periodic flow when friction is included, the
equations can only be solved by assuming the flow is sinusoidal at 11 points. For steady-
state flows, Bemoulli's equation is available, and the inertia and elasticity of the system are
not included. Fortunately, economic considerations usually dictate that elements in the
hydroelectric power train have low hydraulic losses.

Friction Friction is included in waterhammer equations using the Darcy—Wiesbach equation:

losses
hf =)
cf1(1

Form losses Form losses are included in the analysis using a velocity-squared expression. Along with
energy loss, the form losses also produce a reflected wave that may have to be considered.
.,,2
=K '
hL 2g
The steady-state loss equations are used in transient calculations and are discussed in detail
in volume 2, chapter 5.

Alternatives Evaluation of altematives must consider transient effects as well as the usual economic cri-
teria derived from a steady-state analysis. For example unlined tunnels will show some
hydraulic advantage because they usually have low velocities. The nature of unlined con-
duits is to have a high loss coefficient and low flow velocities for economic and technical
reasons. Waterhammer, regulation, surge tank design or any element whose design or anal-
ysis is affected by the velocity will show an advantage in this instance.

Boundary Boundary damping is important in hydroelectric transient analysis. As the pressure wave
damping strikes a boundary (a partially open valve for instance), part of the wave energy is transmit-
ted out of the system. This effect is demonstrated when a simple household faucet under-
goes loud knocking. By simply opening the valve slightly, the pressure waves are eliminat-
ed very quickly. This application has great importance in hydro systems because it is the

ASCE/EPRI Guides 1989 6-48

basis for the cushioning stroke used on the last pan of the turbine closing stroke. Briefly, if
the rapid closing movement of the wicket gates proceeds until the end of the stroke, energy
is trapped in the penstock. Its effects will be displayed as high-pressure waves in the pen-
stock that will continue for long periods because the system is lightly damped.

Surge tanks, whose main function is to damp the momentum of the column of water Surge
between the reservoir and tank have reduced arcas such that throttling is introduced usually tank
at the base of the surge tank. This has the effect of reducing the amplitudes of the upsurge
and downsurge and increasing the rate at which the oscillations attenuate.

For surge tank oscillations in systems that feature long tunnels, frictional damping is Oscillations
important. The conduit wall friction reduces the upsurge caused by closing and increases
the downsurge caused by opening the turbine gates. Usually, a low friction coefficient is
assumed when analyzing the surging caused by closing the wicket gates, and a high friction
coefficient is assumed when analyzing the surges caused by an opening movement of the
turbine gates. The effects of aging on the friction coefficient should also be included if long
waterways are evident. Surge tank charts presented in subsection 11 include both friction
and throttling effects on the surge amplitudes.

Proper movement of the valves can eliminate the reflected wave (transmit energy out of the Reflections
system). This is easily visualized on the waterhammer diagram. The concept can be useful
in the goveming process. The process is explained as follows. As a pressure wave
approaches the valve, it will be reflected or transmitted depending on the impedance it pre-
sents to the wave. If the valve impedance matches the wave impedance, the wave energy is
transmitted out of the system and as a result, pressure variations in die conduit will dimin-
ish rapidly.

8. Long Line Effects

Waterhammer effects in lengthy conduits with high losses can be of interest to hydro engi- Long
neers [Wylie, 1978]. line
effects
Figure 6-26 shows a long conduit that is valve controlled. The transit time of a wave from
the valve to the upstream end of the pipe is long. Because of the high head loss in a long
pipe, which can exceed the head rise due to the valve closure, the head within the pipe rises
toward the static head condition. The finte travel time of the waves allows flow to contin-
ue for a 2Lla time interval at the valve before te effects of reflected waves from the reser-
voir can reach the valve and affect the pressure variation. This storage of fluid within the
pipe is referred to as Ene packing, and the reverse effect is termed line unpacking. There
are no technical differences between the solution to a long conduit problem and a short
conduit problem; however, the problem itself is different enough that the effects are useful
to study. In pracrice because all operating conditions are allowed and because of the nature
of the typical valve characteristic, closure from a pardal valve opening and, therefore, a
higher steady-state operating grade Ene usually yield the maximum design gradient.

The situation is depicted on figure 6-26. The figure shows the pressure rise for a series of
waterhammer calculations with the valve closure starting from various positions. As

6-49 ASCE/EPRI Cuides 1989

 H0 =500
;
L=3000 ft.
4•V-r-3-

Or-10 fed Gafe-)

o- 3000 ft per second
0= (full gafe discharge)= 843 cu. ft. per sec.
Full gafe closure in 6 sec.
HE A DRI SE AT G A TE IN FEE T
Gafe closure in a-- seconds-----
300 r

200

I00

100 90 80 70 60 50 40 30 20
PERCENTAGE OF1NITIAL GATE OPENING

Figure 6-26. — Head rise due to uniform closure from different initial
gate openings. [Parmakian, 1955].

shown, the valve closure from an opening point that is 2LIa time from full closure gives the
maximum waterhammer.

9. Low Pressure and Water Column Separation

Water During load demand, low-pressure waves are formed at the turbine as the water column is
column accelerated. The description of water column separation and its effect is shown on figure
separation 6-27 for the case of power failure during pumping. Care must be exercised, that the low
pressures ase not so low that collapse of the pipe or water column separation can occur. If
the water columns separate, subsequent refilling of this vacuum or rejoinder of the water
columns can create extremely high pressures. The pressures are of the order dh = (adv)/2g
where dv is the vector sum of the water columns at the time they rejoin. The problem is
difficult to mo del analytically because the assumption (continuity of the water column)
used to develop the fundamental equations is violated. Furthermore, it is necessary to know
with confidence where the separation will occur. Without exception, this condition is unac-
ceptable and must be eliminated during design, or the plant operating conditions must be
specified such that separation is avoided. A safe margin is to maintain a pressure of 8
lb/in(a) in the conduit. The conduit must be designed for pressure below atmospheric. In
hydro systems the most cornmon causes of separation are listed below:

1. During load rejection in the turbine mode when the system has a long pressure tail-
race, separation can occur below the head cover.
2. During load acceptance when Me hydro system has an adverse penstock profile.
3. During power failure when pumped storage plants operate in the pumping mode.

ASCE/EPRI Guides 1989 6-50

 1.0

v
z

-LO

b. Motion of water columns.

Figure 6-27. — Water column separation. [Crawford, 1962].

10. Waterhammer Due to Valve Movements

a. General. — This subsection reviews transients caused by the action of valves. For pur- Valves
poses of this discussion, a valve is any device that exercises flow control in systems as and
defmed on figure 6-24 and by the orifice equation: waterhammer

Q = C ilkilr
z
d

An orifice can be viewed as a valve having an area that does not change. In the case of
valve closure the waterhammer diagram can be used to great advantage to obtain simple
solutions. Gates are included in this grouping. The only interest is in the hydraulics of the
control element and how it controls the conduit flow. Seldom is the structure of the valve
important in waterhammer calculations though it can be critical in the selection of the
valve.

The waterhammer computation proceeds from a knowledge of the conduit characteristics

and Me closure rate of the valve. Very few of Me systems elements need be known to com-
pute Me waterhammer. The valve characteristic is usually a function of the type of valve.

6-51 ASCE/EPRI Guides 1989

Elements The waterhammer will depend on:
that affect
waterhammer - The initial conduit flow (valve opening).

• The conduit length and period (2LIa).

• The conduit waterhammer characteristic (2p); elasticity and mass and the penstock
dimensions. These factors combine to give the wave velocity and penstock velocity.

• The valve characteristic (q — h relationship).

• The closure rate — (flow vs. time relationship); for the purpose of computation this is
normally expressed as I' VS. t (1- has been defined earlier).

• The machines at hydroplants ordinarily use a control valve or wicket gases that are
opened and closed in some specified manner. Normal turbine startup and shutdown
occur in this manner, and waterhammer is usually not a problem.

• Pumps are usually started against a closed valve, which is then opened in a specified
manner so that water column accelerates in a predictable way. During normal shutdown
the valve is first closed and then the pump is disconnected from the grid. Waterhammer
pressures are usually not a problem for this controlled operation. The pump transient
associated with power interruption is discussed in detall in the pumped storage guidelines
(vol. 5).

• Charts are available that allow the computation of transients in systems controlled by
valves. These charts Cake into account the typical flow characteristics of the more
common valves [Thorley, 1979].

• Computations for valve closures can be accomplished by any of the methods already
described. For preliminary estimating charts are adequate, and the graphical analysis
can be used for final design. If the solution must include the effects of both the valve
and turbine in series or parallel (e.g., case of a relief valve), then both characteristic
curves must be considered jointly. The procedure is the same, but because the analysis
is complicated and tedious, the computer solution becomes a practica' necessity.

Rates of b. Rates of Closure. — The rate of closure of a valve coupled with its characteristic curve
closure and the waterhammer characteristic of the conduit determine the surge pressure amplitude.
If the closure time is less than the 2Lla period of the pipeline, the maximum surge pressure
will be developed at the valve.

a
Ah = T Av

This representa a limiting pressure rise in any hydraulic system. In most instances it is not
economically viable to design for this pressure. Closure times slightly longer than 2LIa can
still develop a considerable proportion of the theoretical maximum pressure rise.

ASCE/EPRI Cuides 1989 6-52

c.Valves in Hydro Systems

(1) Pressure Rise From Valve Closure Greater Than 2LIa. — The head-flow characteristic Valves in
is related to the valve type; as a result the pressure rise is related to both the valve type and hydro
the rate of closure. Wood and Jones [1973] have prepared waterhammer charts for various systems
types of valves. The arca ratios for various valves (fig. 6-29) are shown on figure 6-29.
These values can be substituted into the graphical plot, or computer program and solution
can be found. For final design the actual valve characteristic should be used.

(2) Pressure Rise For Valve Closures Less Than 2L1a. — For any valve closure time less
than 2LIa, the pressure rise at the valve is independent of the type of valve, time of closure,
or length of the conduit. It is given exactly by the Joukovsky formula. The pressure distri-
bution along the conduit between the valve and reservoir is not linear, and higher pressures
are recorded farther up the conduit as the valve closure time decreases below 2L1a.

(3) Chart Solutions for Waterharnmer. — The nature of waterhammer in a valve-controlled

hydraulic system is such that all solutions can be shown on a simple diagram for certain
selected valve closures. Figure 6-30 shows the solution for a unifonn valve closure, and
figure 6-31 shows the solution for a uniform valve opening. The vertical axis gives the
time to effect the valve rnovernent in 21.1a intervals, and the horizontal axis contains the
conduit impedance. The value áh represents the pressure rise measured aboye static, Ho.

(4)Two Rates of Closure. — Many valves have the characteristic that they pass large quan-
tities of flow during the last 10 to 15 percent of their closure stroke. Such valves often pro-
duce excessive waterhammer and if slowed clown to alleviate the problem have excessive
closure times. Turbine wicket gates use a cushioning stroke such that the last part of the
gate closure occurs at a much slower rate than the normal gate movements.

(5) Bypass (relief) valve. — The problem to be solved is depicted on figure 6-32
[Parmakian, 1955]. For reasons associated with the machine operation, the control valve or
wicket gates must be closed in 6 seconds. This rapid closure causes unacceptable water-
hammer and therefore a relief valve has been installed in parallel. The relief valve opens in
such a matmer that alter 6 seconds, only 50 percent of the conduit flow has been extin-
guished. The relief valve can then be closed so that the design gradient is not exceeded.

11. Surge Tanks

a. Historical. — The basic theory of surge tanks was established more than 80 years ago History
[Johnson, 1915; Thoma, 1910]. The theory can be explained and solutions can be obtained
using the lumped parameter model, in a manner analogous with vibration theory. Solutions
that address almost any conceivable application of surge tanks have been published, and
graphs suitable for preliminary analysis are available. Computer solutions allow simulation
for any surge tank geometry. The advent of large underground power piaras with long water-
ways along with the increased usage of hydro energy for regulation and rapid response has
made the use of surge tanks more important and their design more complex.

b. Surge Tank Usage. — Surge tanks are usually installed at hydro installations to mitigate Usage
the effects of waterhammer and enhance the operation of the turbine—generator set in the
electrical grid. Their fundamental action is to shorten the distance between the turbine and

6-53 ASCE/EPRI Guides 1989

 tal Guíe valve circular Clubs valva (u) Ifeedle valva
batel

(4) aue n'Ye Ball valva

Buttertly valva (O
fsquare gatel

Figure 6-28. — Types of valves. [Wood and Jones, 1973].

0.6
e

0 60 100
Valve &piado travel 1%1

Figure 6-29. — Area ratios for selected valves. [Wood and Jones, 1973].

ASCE/EPRI Guides 1989 6-54

 rQ Aa

1~~1IMAZIW
Vill I l!Hlil, 1 , //,'"I
11~ A 1 V 11 I UATAWArár A
2L
~~~, /
'1 niliii 1 7
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- 1~
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a 1111111~7 Arv ,Ar~ ,
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o 4 5 5 7 a
c54,/k
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Figure 6-30. — Waterhammer due to valve closure.

Cb
T.• Cb 4„Ch
ei 0'
ab° faS
I / / ./."' )15 )11/'
50 MOINOMMEMOMMIMMUMINEVA~M~Inciala
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mmagrammanwardommumwmeasomummegeammul
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ffi~e~m==—==~smMmmnmqmiMMdKMMMM

0 5 10 15 20 25 30 35 40
1 a Volg
2 Ha

Figure 6-31. — Waterhammer due to valve opening.

6-55 ASCE/WRI Guides 1989

 115—s c7---------/..-
t `y -3000ft.----~-
=1.°5:141H°=1°1°I..
( a 0000 ft per sec.
p 13
.
""'"'Gate
=10.73 ft. per sec.
:,o va valve
= inft
(a)

Uniform closure in 60 seconds,s,

r .0
0.8
-Combinéd movement
Control lite-2Z—
0.6 \ ;
lat 0.4
Relief volve-,
0.2
O
o e 3 4 5 6
TIME IN SECONOS
GATE MOVEMENT TIME RELATION
( b)

Figure 6-32. — Waterhammer when a m'id vaive is present. [Parmakian, 1955].

the nearest water surface. Delay due to finte wave travel time and water inertia are the pri-
mary factors that hamper turbine operasion. Both effects can be minimized through appro-
priate location of a surge tank. In many instances slowing the turbine wicket gates to con-
trol waterhammer may not be acceptable because of plant operating requirements.

c. Comments Relevant to Surge Tank Application

• Allows amore rapid movement of the turbine control valves, and prometes rapid, sta-
ble goveming.

• Reduces the waterhammer in the penstock — primary consideration in evaluating the

economic and operating benefits of a surge tank.

• Allows the use of a high-leveI, low-pressure tunnel with reduced pressure effects.
Proper surge tank design can effectively eliminate the transmittal of waterhammer
waves from the penstock to the tunnel.

• Allows rapid load increases to be accommodated without dangerous, negative, low-

pressure effects.

• In general, surge tanks are completely passive devices. Most tanks are designed with-
out mechanical parís; this greatly enhances their reliability and availability and
reduces maintenance and failure concems.

• Provides similar beneficia' effects for the pumping mode of a pumped storage plant.
Power failure during pumping can produce dangerous low-pressure waves in the dis-
charge conduit, which cannot be controlled. The surge tank alleviates the problem by
shortening the conduit length and thus introducing a point of reflection close to
the pump.

ASCE/EPRI Guides 1989 6-56

 - Allows the development of sites that might otherwise be abandoned (tailrace surge
tank). Northfield Mountain Pumped Storage Plant is an example. By placing the
power plant underground and adopting a long tailrace with a surge tank, transient
problems were minimized.

• Has increased justification as the length of the waterways increases and as goveming
and regulation of the power system by the hydroplant increases in importance.

d. Application of Surge Tanks at Hydro Plants. — The definition sketch (fig. 6-1) shows Hydraulic
a general surge tank alignment at a typical hydro site. The general intent is to place the action at
surge tank as close to the turbine as possible, reduce the penstock cosí, and enhance the a surge
plant operation. Figure 6-33 shows the hydraulic action at a surge tank. Pressure waves tank
generated at the turbine travel towards the surge tank and are transmitted and refiected
according to the equations in subsection B.4. The amplitude of the pressure wave transmit-
ted into the tunnel should not exceed the head caused by the maximum surge or the tunnel
must be designed for that head.

SURGE TANK

TRANSMITTED WAVE
TUN NEL

RESERVO! R 0.

TRANSMITTED WAVE 447-

REFLECTED WAVE

Figure 6-33. — Hydraulic action at a surge tank.

i
y
A different power plant location (underground) can produce a layout with the surge tank on
the tailrace side of the turbine or with surge tanks on the tailrace and headrace tunnels.

The need for and location of the surge tank should be detennined early in the project histo-
ry. The surge tank strongly influences many other design factors, along with all analysis
related to waterhammer and plant operation.

6-57 ASCE/EPR1 Guides 1989

Alternatives Though surge tanks effectively reduce problems arising from the water column inertial
effects, they must be economically justified. Other altematives such as slower gate move-
ments, pressure relief valves, increased penstock diameters, waterway realignment, and
reduced governing demands must also be evaluated. In evaluating altematives appropriate
weighting must be given to all aspects of the benefitkost analysis. It would not be appro-
priate to compare a surge tank costing $5,000,000 with a pressure relief system costing
$2,000,000 without recognizing the "secondary" benefits. Indeed for many hydro systems
the operating benefits are now considerad primary benefits.

Addition to Surge tanks added to systems not initially designed for their use present problems in loca-
a project tion, design, and cosí. Increasing the capacity of a power plant on which a surge tank is
installed involves redesign of the surge tank. The belated addition of a surge tank can also
cause environmental problems. The Mt. Elbert Pumped Storage Plant was initially
designed without a surge tank. The analysis indicated that the design was viable and that
there was an adequate safety factor against water column separation during power interrup-
tion when pumping was provided. Changes in the design variables from the early analysis
were significant enough that the danger of water column separation existed. The plant was
in an environmentally sensitive arca and the geotechnical considerations were also critical.
The combination of these two effects caused the surge tank to be Iocated where it could
prevent the separation but did not enhance the plant operation.

Surge tank design entalls a compromise between hydraulics, site characteristics, eco-
nomics, and plant operation.

Underground installations are most conducive to the more complicated designs, which are usu-
ally a result of minimizing rock excavation while providing the appropriate hydraulic action.

Surge e. Surge Tank Types and Other Factors. — Described below are various types of surge
tank tanks now in use. Each has certain operating characteristics that when combined with spe-
types cific site characteristics (i.e., geology, topography, and environment), dictate its proper
design and usage. The most important surge tank types are showrt on figure 6-34.

nokoTTL f o TANK Dif IER CIMA 4 TAN Oldf ítf LOWING TANA l'Akig W ITI 1"°wEil
ExPANs lob: C. HAm effig2

Figure 6-34. — Surge tank types.

ASCE/EPRI Cuides 1989 6-58

• Simple surge tank. Generaily, this tank has been replaced by other types that incorpo-
rate throttling or some other action to enhance the action of the surge tank and reduce
its size. In most instances, a simple surge tank is not economically competitive with
other choices. However, it does represent a good base with which to compare other
surge tank designs. Reducing the surge amplitude and rapid damping are important at
hydroplants, and other types of tanks introduce these effects more economically.

• Restricted-orifice surge tank. This tank incorporales a throttling orifice at the base Orifice
of the tank. As a result the head forcing flow into the tank and, therefore, acting to tank
retard the flow in the tunnel increases more rapidly than that in the simple surge tank.
The size of the orifice controls the throttling action of the tank. A small orifice pro-
duces a high head and reduces the tank size, which can be economical for a very short
tunnel. For longer waterways, the aim is to strive for a balanced design such that the
head produced by the throttle equals the head due to the rise in water surface in the
tank. The surge tanks charts (fig. 6-36) in this section are based on tanks that utilize a
throttling orifice.

• Differential surge tank. This tank includes an intemal riser. Upon load rejection, the Differential
water lever in the riser increases quickly and produces a decelerating head on the tank
water column. The action of the differential tank is similar to that of the restricted ori-
fice tank for purposes of calculating the transient. The restricted-orifice tank appears
to be used more frequently in the United States. Some experts suggest that the differ-
ential tank provides goveming advantages. However, it appears that unless the load-
rejection criteria are more stringent than the load acceptance criteria, there are no par-
ticular advantages to the differential tank. Furthermore, cost and site conditions must
be considered and the Thoma criteria must be satisfied.

• Variable section (expansion) surge tank: Enhanced operation and significant cost Expansion
reductions can both be realized by providing expansion sections in the surge tank. tank
This design is likely to be limited to tanks that are excavated instead of the freestand-
ing variety. The upper tank, essentially a "bathtub," contains the load-rejection
surges, and the lower expansion gallery supplies the large volumes of water needed
for load acceptance. The entire analysis is tied closely to the operating water surfaces
at the upper and lower reservoirs.

• Overflow (spilling) surge tank. Limitations on upsurge can be accomplished by pro- Overflow
viding a channel to remove the excess water. This selection is usually based on site
conditions and not the economics of providing a nonspilling tank.

• Headrace surge tank. This tank, typically placed as shown on figure 6-33, is the
tank most commonly used.

• Tailrace surge tank. Topography may dictate that a tailrace surge tank must be used Tailrace
(e.g., Northfield Mountain). Underground power planta have found this type of surge tanks
tank useful. The open channel tailrace produces the same result, but in many cases
cannot be used. At installations where the distance from the turbine to the clown-
stream free water surface is long, rapid load changes can produce a separation below
the runner. Upon reversal of the water column, large pressure rises can be created

6-59 ASCE/EPRI Cuides 1989

 under the head caven Thus the required operation of the wicket gates may determine
the dimensions of the tailrace tunnel or the need for a surge tank.

Multiple • Multiple surge tanks. This is usually considered on projects where surge tanks are
tanks required on both the headrace and tailrace waterways. Analysis proceeds in a manner
such that the surge tanks are considered separately for purposes of preliminary analy-
sis. Governing and stability studies consider the impact of each tank on the other.
Multiple surge tanks can also be used on only the tailrace or headrace; however, this
practice does not appear to be common. The reason for multiple tanks is to reduce the
structural requirements of the single tank or other site-specific reasons. Analysis of
this system proceeds as if only one tank were present with twice the arca. Treating
multiple tanks as if they were one tank is pennissible because the tanks are so close
that they act essentially at a point and their individual cbaracteristics are lost. Their
individual designs must not be so diffcrent that this "lumping" is not justified.

Venturi • Surge tank with venturi contraction. The advantages of placing a venturi section at
the surge tank have been recognized for many years. Although such sections can be
designed to have minimal energy losses, an economic penalty due to head loss does
exist. Venturi sections can be designed to give very low head losses. Plants with low
plant factors; e.g., pumped storage plants, may show an economic advantage to this
arrangement.

Pumps • Surge tanks at pump installation. Pumped storage plants must also consider the
surge action during power failure to the pump motors. The so-called "one-way surge
tank," popular on large pumping systems to protect against water column separation,
has not found uses at hydroelectric plants. In theory, though this tank should be useful
for load-acceptance conditions. Air chambers have achieved wide usage at pumping
plants. They incorporare a blanket of compressed air on top of the surge tank water
volume. Air chambers have achieved wide usage in hydroplants in Norway, though
specific application in the United States is unknown (subsection B.12).

Sizing • Sizing surge tanks. Sizing is usually obtained from a hydraulic analysis based upen
operating criteria, waterway geometry, flow conditions, reservoir operating levels,
economics, and conditions at the turbine (e.g., synchronous bypass, turbine type).
Guidance for preliminary sizing and arrangement are set from considerations of gov-
eming, topography, and economics. The hydraulic conditions that lcad to good gov-
eming are discussed in volume 3, chapter 2. Topography considerations occur early in
the project because the need for a good surge tank location can be paramount to good
operation. Economics of hydroelectric plants are ordinarily determined from steady-
state analysis; however, velocity conditions must be checked to determine turbine
operating criteria or the impacts of velocity on other features.

Computations • Computations. Many solution techniques have been developed through the years
[Pearsail, 1962]. Computer techniques can easily solve the most complicated geome-
tries with throttling and frictional losses included. Solutions are accomplished by con-
sidering an instantaneous flow stoppage at the surge tank. Actually, although gover-
nor and wicket gate movements are often rapid, thcrc is a finite time during which the
flow is into both the surge tank and the penstock. The net effect is to malee the solu-

ASCE/EPRI Guides 1989 6-60

 tion conservative, and in some instantes where the turbine flow continues for a long
period, the surge tank size can be reduced, for instance when a bypass or pressure
relief is present. The charts with a correction give adequate accuracy for preliminary
design purposes. The configuration finally used should be checked by complete anal-
ysis. Computer solutions can easily handle the case where the penstock, tunnel, and
surge tank must be considered jointly. The charts (fig. 6-36) included are for a throt-
tled surge tank and include the effects of friction and throttling in the solution. Such
charts are extremely useful during preliminary design.

• Overlapping surges. The possibility of inducing a second surge on top of an existing Overlapping
surge in the tank should be reviewed. The rnost probable cause is starting a unit on surges
line after a power failure has occurred and the surge caused by the power failure has
not damped sufficiently. Another case occurs on installations that have long water-
ways and operators wish to bring the units online as quickly as possible, even while
the tank water surface is still oscillating. These cases point out the importance of
throttling in diminishing the oscillation amplitude quickly.

• Partial load rejection and acceptance. The case of instantaneous total closure of the Partial
wicket gates from maximum discharge results in the maximum oscillation in the tank. load
Pardal closure results in reduced surge tank oscillation. It is of value to have a changes
knowledge of diese departures and how they are damped. Pardal load acceptance also
yields reduced surge amplitudes.

• Design gradients. A primary benefit of a surge tank is to reduce the length of the Grade
high-pressure waterway and allow the construction of a high-level, low-pressure tun- lines
nel. The penstock design gradient is based on elastic waterhammer analysis, whereas
the tunnel hydraulic gradient level is given by a linear hydraulic grade line that
extends from the maximum reservoir to the height of maximum surge in the tank or a
height established by the maximum amount of throttling. These gradients can usually
be established quite accurately by analyzing the penstock and surge systems separate-
ly. This device works because the penstock pressure variations are completed in sec-
onds, whereas the surge tank oscillation have a period of minutes. The surge tank is
designed such that the tank will contain the highest surge level and on the downsurge
does not admit air to the tunnel. The upsurge is computed using the maximum reser-
voir elevation and a low friction coefficient. The downsurge is computed using mini-
mum reservoir elevation and a high friction coefficient.

• Surge amplitude vs. closure time. The closed-form solutions assume instantaneous Amplitude
maximum flow changes. This is actually not the case, and flow changes where the
wicket gate closure time is a significant portion of the period of tank oscillation
reduce the amplitude of the oscillation. The surge tank period relates only to the sys-
tem geometry (similar to a pendulum) and is constant even with damping considered.
For instance, varying the flow to an impulse turbine involves moving a deflector,
which interrupts the flow to the wheel. Subsequently, die discharge can be shut off by
closing the valve over some preset time interval.

• Accuracy of computations. Accuracy is dependent upon the ability to properly Accuracy

6-61 ASCE/EPRI Cuides 1989

 model all the system elements (i.e., friction, throttling, and other losses). In cases
where the analytical solution has been compared with field tests, agreement is excel-
lent. Agreement among the many solution techniques is also excellent. Therefore,
engineers should use the technique that best fits their needs. Figure 6-35 shows a
comparison of computed surging versus field tests for a simple surge tank and a dif-
ferential surge tank.

Models • Models and surge tanks. The inertial phenomenon, appears to be well modeled by
the available computational techniques. The solution values are sensitive to the
hydraulics of the throttle, and in many instantes, it is advisable to check the throttle
characteristics on a scale model. The differential surge tank may be modeled if the
geometry is complex. Surge tanks having expansion chambers should also be mod-
eled on important installations. Downstream surge tanks can have complex geometry,
particularly where they are part of a majar manifold system. Many cxperiments and
much data is available for estimating the throttling losses and their appropriate inclu-
sion in the surge tank model. If the actual geometry differs greatly from these cases, a
range of throttling values should be considered in the solution.

- Structural design of surge tanks. This subject lies outside the hydraulic portion of
these Guidelines. The transient solutions require a certain geometry the surge tank
must have to operate properly. The structural design will therefore depend on the
hydraulic considerations. Conversely, the hydraulic engineers should have a feel for
the structural and construction constraints. The factors other than the hydraulic design
that should be considered in the surge tank design and selection are listed below:

Fa ctors o Access problems for construction and maintenance

affecting o Safety precautions such as fences, alarme, and screens
surge tank ° Structural analysis, e.g., materials and corrosion
design and ° Linings: reinforced concrete and steel
selection o Possibility of an inclined surge tank
o Environmental considerations
o Favorable geology, foundations, loading
o Ventilation

• Surge tank economice. This subject has received little attention in the literature. The
basic premise of balancing the savings due to reducing the hydraulic gradient (and
therefore, liner or penstock thickness) against that due to the altemative design, with-
out the surge tank, is well known but only partially addresses the issue. Hydroelectric
energy plays a fundamental role of providing operational fiexibility to the electrical
grid. This role gives it greater value and benefits that should also receive evaluation.
This suggests that the improved plant operation due to the addition of the surge tank
also requires evaluation [Jaeger, 1977; Lien, 1965; Giersig, 1984; Anderson, 1983].

ASCE/EPRI Guides 1989 6-62

 1.17 • EXPER11131191. -

•---. THIORETICAL
1. .e -
1119 •-•
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a. Leitzach II simple surge tank.

119

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b. Appalachia differential surge tank.

Figure 6-35. — Accuracy of surge tank computations.

6-63 ASCE/EPRI Cuides 1989

Surge f. Surge Tank Charts. — Charts for estimating the surge tank dimensions and some expla-
tank nation of their use are presented herein [Parmakian, 1955; Jacobsen, 1952]. The charts
charts refer to tanks with throttling orifices. They are useful for planning and initiating final
design studies. The charts include the effects of friction and throttling.

Surge tanks are an example of analysis using lumped parameter models; as a result solu-
tions can be obtained using ordinary differential equations. Simple solutions that include
throttling and friction are not available because these effects are nonlinear. Phase plane
plots, Schnyder—Bergeron plots, computer solutions, and other methods are available.

The results should be accurate to the extent that the surge tank installation under study
meets the assumptions in the solution. This is little more than knowing how closely the
system meets the lumped versus distributed model and the assumption of instantaneous
gate closure.

The surge tank charts on figure 6-36 can be used to study a large range of altematives dur-
ing preliminary investigation. Their use is self explanatory using the definitions provided
on the graphs.

g. Surge Tank Stability. — The addition of a govemor to control the power output of a tur-
bine (versus a simple gate closure operador)) allows conditions such that the water surface
in the surge tank can oscillate with some periodicity unless the surge tank area meets some
minimum area as defined by the Thoma criteria. The problem was noted early in the devel-
opment of hydroelectric power and its analytical solution was accomplished by Thoma
[1910]. He showed that unless a surge tank has a minimum area, water surface oscillation
amplitudes would increase versus the desired damped motion as the govemor follows the
load demand.

Thoma
A — AL
criteria TH 2gcH

Calculation h. Procedure for Cakulations. — The hydraulic system with a surge tank can be broken
procedure down for analysis as shown on figure 6-37. During the early stages of project planning and
site investigation, this procedure is always adequate. The simple analysis shown in these
guidelines produces results of adequacy accuracy. The surge tank charts apply to the sys-
tem between the reservoir and surge tank, whereas the waterhammer analysis would be
used between the tank and turbine. The transmission of waves between the parts of the sys-
tem is considered negligible. It is possible to approxim ate that interaction using the wave
transmission equations (subsection B.4).

Pressure gradients are computed for all possible water surface operating levels, flows, and
operating conditions on turbines, pumps, and valves. There are an infinite number of oper-
ating combinations; however, only those that produce the most severe transient pressures
must be studied. The studies must include all factors associated with the transient, i.e.,
surge tanks, valves, friction, throttling, etc.

ASCE/EPRI Guides 1989 6-64

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liarrIPAUla SURGE IR SURGE TANX OUE TO

INSTAHTAREOUS STARTING OF FLOW Oa

Figure 6-36. - Surge tank charts. Friction and throttling included. [Parmakian, 1955].

6-65 ASCE/EPRI Guides 1989

 The hydraulic design gradient for the reservoir to surge tank pan of the system is linear
from the reservoir to the maximum and minirnum water surface levels in the surge tank.
For the surge tank to the turbine, the gradient extends from the surge tank maximum levels
to the turbine wicket gates or control valve. The maximum and minimum grade fines will
be nonaear. The degree of nonlinearity will depend on the rate of closure.

Closure L Closure in Finite Time Intervals. — In hydro systems with surge tanks, actual valve do-
in finite sures can occur in times that are significantly long versus the instantaneous closure
time assumed in the charts. Figure 6-38 shows the reduced surge amplitude due to closing the
interval valve in various time intervals [Calame and Gaden, 1926].

Closure in finite time intervals for various ratios of damping and closure times are shown
on figure 3-38. The curve shows that as damping increases, the surge tank oscillation is
affected even less by increasing the time of flow stoppage. Ordinarily, the effect is small
unless the project utilizes a pressure relief valve or a jet deflector for a Pelton turbine. In
the figure the horizontal axis gives the closure time as a percent of the surge period, the
vertical axis gives the surge amplitude as a percent of instantaneous closure. The parameter
p is a measure of the tunnel friction; p = O is the frictionless case.

SURGE TAN I( SURGE TANK SURGE TANK

RESERVOIR

PENSTOCK
TUNNEL

—4— RESERVOIR

TURGINE

Figure 6-37. — Schematics of hydro systems for analysis.

&O
-.-,-, — -- -.
-..."-•
VA .. • . . .
--••
. •'•- , ,.. .. • •
.4
•
•• •• 4, ..
N,
47 • ...
• ""‘•
4' "....
Ar° '....
\._ -.
N.
4-aso ..
4f-
s.
Pr•47., y)
4,
pe-10 —41
,.._

4'
fi 7
4' 4r a A! as
Figure 6-38. — Relative valve of the maximum surge versus friction and closure time.
[Calame and Gaden, 19261.

ASCE/EPRI Guides 1989 6-66

12. Air Chambers on Hydroelectric Schemes

Air chambers were originally used on hydro installations in the United States early in the Air
20th century. They proved to be unstable just as surge tanks did. An exact analysis of the chambers
surge tank instability problem was not available until Thoma provided his now famous dis-
sertation on the stability of surge tanks [Thoma, 1910]. Figure 6-39 compares an air cush-
ion surge tank arrangement with the more typical conventional surge tank. It illustrates that
the air cushion location is not dependent on the reservoir fluctuation.

HEAORAC TUNNEL

SURGE CHAMBER

AIR CUSHION
SURGE CHAMBER

Figure 6-39. — Location of air cushion versus surge chamber.

At present there are no operating air chambers at hydropower plants in the United States.
Indeed, only a few are known outside Norway. All the information and referentes in this
guide are from Norwegian experience. [Oslo, 1987] contains several recent papers that
detall the Norwegian experience on air chambers (table 6-1).

Table 6-1. — Air cushion surge chambers in Norway. [Oslo, 1987].

Mame fiar Volum o( Volum* of Caomcity Alr Alr rock

4h4.ber the kir ác
leaks
(.1) (.1) (Kv) p[Bar) (NOMA
[kiwi 1975 6,000 5,000 140 42 0.0) sosia'.
JUkla 1914 6.200 4,000 47 24 0.01 011111
akala 1900 17.000 15.000 200 45 0.00 anglos
51.s 1960 6. ?0o 4,000 520 50 0.10 dmikaa
krialdA1 1961 156,500 66.500 1200 42 1 - 4 ancl a
Nye 0511 1961 12,500
6 47 cran-
10.000 90 18 'UD
TAfjord KS 1981 2,000 1.1)310 02 25 •Sol anula
ra 1981 10,000 80 23 0.00 e bu

Air chambers are now a preferred device for controlling waterhammer at high-head pump-
ing plants, where a check valve placed at the pump makes them very effective. Most of the
present data on air chamber analysis, sizing, and usage comes from their use on pumping
systems [Parmakian, 1955; Graze 1968].

6-67 ASCE/EPRI Guides 1989

Comments on Throttled air chambers enjoy the same benefits associated with a throttled surge tank. The
air cushions "Thoma" throttle [l'armaban, 1955] that gives about three times the loss coefficient going
at hydro into the tank as coming out is often used for transients at pumping plants. Two-way throt-
plants tling of any value can be obtained by providing a double entry to the air chamber. This dif-
ferential throttling has minimal effect during the downsurge phase after pump trip-out
occurs, but does retard the reverse flow into the chamber which, in turra, reduces the
reverse velocity and the subsequent head rise.

In some instances, there are operating and economic advantages to using air chambers over
surge tanks (e.g., turbine installations at the end of a long sloping waterway or, possibly,
on a small high-head hydro installation where goveming is not required). Indeed, it was the
difficulties associated with installing a surge tank on the Driva Project that led to the first
air chamber installation in Norway. Because of its success, nine other operating air cham-
bers have been built at Norwegian hydroplants.

Governing stability and air chamber stability have been investigated [Svee, 1972]. The
Thoma stability criteria will ordinarily determine the air chamber cross-sectional arca. The
equations are the same as those used for a surge tank but must also include the effects of
the air cushion (pvn).

Site conditions and mechanical requirements must also be considered. Along with economics
they are the deciding factors that control the choice between an air chamber and a surge tank.

It appears that small hydroplants having high-head, low-flow, and minimal goveming
requirements could utilize air chambers effectively.

The advantages claimed for the air chamber installations are: An arrangement as shown on
figure 6-40 is possible, thus some sites lend themselves to air chambers when conventional
surge tanks may present insurmountable problems; turbine performance is improved
because the surge chamber can be very close to the powerhouse; and environmental,
access, and other important extemal problems may be easier to deal with. The disadvan-
tages are: There is a need to supply large compressor capacity such that the air chamber
can be rapidly repressurized; good geologic conditions are necessary such that air leakage
is not critical; and the air chamber may have a Iarger excavated volume depending on site
conditions and the waterway arrangement.

The air chamber requires an air compressor to establish the proper air volume and compen-
sate for possible air leakage. Air leakage has been the primary uncertainty factor as far as
the practical aspects of their usage. Topography, rock quality, and the weight of the rock
cover are the main site factors. It is imperative to inspect the rock surfaces of the air dome
with great care and achieve the necessary sealing of fissures.

Some plants with large chambers, high pressures, and moderate-sized air compressors suf-
fer of long filling times fmm an empty system. The air compressor should have a capacity
that matches the filling time of air with that of water to avoid operation delays.

Figure 6-40 shows the waterways and air chamber surge tank arrangement at the 1,200-
MW Kvilldal Hydroplant in Norway.

ASCE/EPRI Guides 1989 6-68

 Me alaben .1.41. (M'yac&

Figure 6-40. — The 1,200-MW Kvilldal power station with air chamber. [Pleyrn, 1985].

yv

Ho

(steady state
condition)

Figure 6-41. — Air chamber dimensions for stability analysis.

6-69 ASCE/EPRI Guides 1989

 Svee [1972] developed the Thoma criteria for air chambers at hydroplants. His formula is
given as:

Fcrit= F*(1+ rw
Pzo)

where:

F* = Thoma area for an open surge tank,

a, = distance between chamber roof and water level,
y = specific weight of water,
n = safety factor,
Fcrir = air chamber critical horizontal area, and
Pzo = steady-state air chamber pressure.

Dimensions are defined on figure 6-41.

13. Governing

Governing This presentation on governing is brief and directed towards the interests of civil engineers.
The elements in the governing analysis are essentially the same as those used in a water-
hammer analysis (fig. 6-42).

Figure 6-42. — Schematic of a hydroelectric power plant. [Chau dry, 1979].

Hydraulic turbines are ordinarily equipped with a goveming mechanism by which their
speed can be automatically controlled. The governing process is hampered by two condi-
dans that exist at hydroelectric stations. The method of control involves the movement of
mechanical elements (servomotors, gates, linkages, guide vanes), which can introduce
delay into the process. Even more serious, the power output is controlled by a long water
column with appreciable inertia, elasticity, and delay-causing properties.

ASCE/EPRI Guides 1989 6-70

Govemor design and governing analyses involve the disciplines of mechanical and electri- Quality
cal engineering and control theory. Civil engineering responsibilities involve ateas that of governing
affect economics, planning, hydraulics, surge tanks, transients, and layout of the water-
ways. The capability of a hydraulic system to provide a specific quality of governing can
be detemiined from the system pararneters, which are usually known at an early date. From
the opposite point of view, the need for good goveming can affect the project layout and
waterway dimensions at a specific site.

The present trend in power system operation is to use hydropower for peaking, reserve, or Hydro
load-following (frequency regulation). Thus civil engineers need a working knowledge of usage
the operation and terminology appropriate to power system engineering. For pumped stor-
age or conventional hydro projects with large storage reservoirs, appropriate evaluation of
the hydroplant's intended operating modes can lead to major economic benefits. Such eval-
uation is essential even at the planning stage because it will govem the plant capacity.

By the nature of their design and operation, hydroplants are particularly well suited to per-
form the functions that make up the "quality" control (peaking and regulation) of an elec-
trical grid. For the designer this can be viewed as input from the planning phase conceming
the necessary operation of the hydroplant in the grid system.

The plant design reflecta the desired operation. From a practical viewpoint the plant's oper-
ation must be specified "up front" because it will affect every aspect of the project design.
Changes will be costly if made late in the project design phase and may be prohibitive if
left until the construction phase.

The design of hydroelectric plants with large storage reservoirs and pumped storage plants Description
ordinarily includes the capability to compensate load variations, which occur on the inter- of governing
connected grid systems. This is equivalent to maintaining constant grid frequency. The impact
impulses are transmitted from centralized grid regulators to the load setting of the turbine
govemors. The machine sets, through their governors, share in the regulation of majar fre-
qucncy changes. Furthermore, often at the coupling points of different grid sections, a con-
stant transferred power must be maintained, a duty often assigned to the hydroplant. As a
result of using hydraulic turbines to regulate power on the grid, pressure changes are pro-
duced in the conduits. These pressure changes affect the operation of the machine sets. The
pressure surges influence the dimensions and course of the water pipeline, the regulating
time of wicket gates and shutoff valves, and the availability of the machine sets for imme-
diate operation.

Although almost any level of response to load demand can be attained, this suggests a cer- Dynamic
tain cost increment in the construction. The few studies in the literature that establish this benefits
relationship are involved and often qualitative. Until recently, the ability of a hydroplant to
maintain good frequency control was considered an intangible benefit. Recela studies par-
ticularly relating to pumped storage show these dynamic benefits may make up over 50
percent of the benefits.

Most hydroplants are run in conjunction with steam plants. This is an ideal combination — the Steam
steam plants supply the bulk of the energy demand, and the hydroplants are usad for peaking plants
and load-following. The hydroplant provides desirable rotational inertia and the steam plant

6-71 ASCE/EPRI Guides 1989

 meets the very rapid load changes. Frequency can be held to close limits, a very desirable
characteristic when assessing the reliability and stability of the electrical distfibution system.

Transient The transient studies detennine the heads and flows at all times and all points in the con-
studies duit due to the operation of the machines. Conversely, the heads and flows, which are the
result of the inertia and elasticity of the hydraulic system, profoundly affect operation of
the machines. When a load-rejection occurs, the govemor through the action of the wicket
gases reduces the penstock flow. Waterhammer effects increase the head at the turbine, and
the result can be an increased power output although the intended result is a decreased
power output.

The basic goveming problem (negative load response) is explained below:

Assume the following initial conditions:

The problem Power output = 200 MW

Penstock velocity = 20 ft/s
Relative power = 10 MW/ft/s
Operating head = 300 feet
2L/a = 2 seconds

Assume the plant is to rejeet 40 MW in 2 seconds:

P= o ---• QH ---. 20 x 300 =.6,000 (power units)

2 L .•-• (20 — 4)(300 + c Av) ---* ..16)[300

P1.=-7 ( + (100 x 4)1.---. 11, 200 (power units)

General The desire was to reduce the turbine output, but because of waterhammer the turbine actu-
comments ally increased its output. Design factors and operation associated with goveming can pre-
vent this from happening in an actual hydro system. Furthermore, restriction on operation
may be necessary unless the system has been properly dimensioned.

Similar dynamic effects occur in surge tanks, and are multiplied when both a downstream
and upstream surge tank are present. On load-rejection for instance, the upstream tank
water level increases while the downstream tank water level decreases. The surge tank
oscillations can make goveming difficult.

The subject of frequency regulation deals with analyzing the impact of variations in power
required by the network and the response of the system. Fortunately, the characteristics of a
system that will provide good regulating capability are well known and can be determined
during the planning stage:

• T,„ — water starting time (head, flow, inertia of the water column)
• Tm — mechanical starting time (WR2 — the rotating machine inertia)
• Turbine characteristic (specific speed)
• Length of the conduit (delay time)

ASCE/EPRI Guides 1989 6-72

Civil engineers ordinarily deal only with characteristic values, simplified equations, and
concepts that reveal the dynamic effects in the conduits. The detailed analysis involves
control theory and mathematical concepts derived from that field of engineering. However,
the governing process can only optimize the geometry provided. Unless the appropriate
dimensioning has been provided, adequate stability and regulation may not be possible.
Establishing cost relationships and providing adequate hydraulic, mechanical and electrical
needs should be studied early.

In summary, operation of the plant is associated with:

• Conditions on the electrical grid, i.e. the types of generation available and their ability Plant
to follow load, and the economice of each generating type available operation
• The hydraulic system, i.e. surge tank design, penstock design and layout, and velocities
• The mechanical/electrical system

With respect to goveming the following elements are important:

• Negative load response (ability of the plant to pick up and drop the load without delay Elements
or negative load response) that effect
• Grid conditions governing
• Presence of a surge tank
• Penstock velocity
• Head
• Govemor type
• Turbine type (specific speed)
• WR2
• Waterhammer
• Tailrace conditions (draft tube surging)
• S ynchronous condenser operation
• Speed-no-load operation

Hydro turbine goveming is difficult when:

I. The plant is required to operate isolated f ni the primary part of the electrical system. Difficult
2. When the electrical system characteristics are unfavorable. The loads are such that governing
rotating inertia (self-regulation) is low. For instance, supplying a load made up of
motors is a stabilizing effect whereas supplying a heating load is destabilizing.
3. When the plant characteristics are not desirable, e.g., long penstocks and high veloci-
des. For instance, power plants installed at the foot of a concrete dam would be
expected to have ideal conditions.

The govemor must ensure that:

I. The turbine output is balanced against the load requirements.

2. Turbine speed is maintained as close as possible to some stated value under varying
loading conditions. Departures are rapidly corrected in a stable manner with a mini-
mum of disturbance.
3. Load-sharing among the machimes is stable.

6-73 ASCE/EPRI Guides 1989

 Detailed goveming studies are usually not made early; those project parameters that influ-
ence the planes goveming capability are well known. Shown in this section is a criterio
curve that relates to goveming stability. A number of these criterio curves are available,
Criterio and all seem to relate to different conditions. Many such criterio evolved before the advent
of the PID govemor and are, therefore, based on use of the older dashpot govemors. This
new type govemor is considered by some to yield much better quality goveming [Schlief,
1971; Howe, 1981]; however, other authors have taken issue with such claims [Ransford,
1983].

That remains a side issue for civil engineers because their interests are in using these
curves as a screening criterio, recognizing what problems may arise and, of course, dealing
with the regulation issue if problems are evident. For instance, when a surge tank, WR2, or
change in gate closure time, etc. are required, this information is best known as early as
possible.

Values The manner in which the values are derived and how they relate to the oyeran plant opera-
and their tion can be important. If the value was arrived at using a full-gate flow and low head,
significance which yieIds a high water starting time, then for the more usual operating conditions, gov-
eming would be better. When more than one machine operates on a single penstock, opera-
tion will be greatly improved when only one unit operates. The worst case that must be
considered is isolated operation at low reservoir and full-gate output. Furthennore, the cri-
terio for stable goveming are dependent on the grid conditions. For instance, the stable
goveming criterio is 1/4 the value of isolated operation when the plant supplies only 1/5 the
power system requirements.

WR2 Increases in WR2 up to about 50 percent can be achieved for nominal cost. The water start-
ing time is derived from the lumped approximation and considers only inertia. For long
penstocks with low velocities where T», is small, this approximation may not be valid
because delay due to wave travel is not considered in the ratio.

Benefits The ability to quantify the benefits of this operation in the power system are not cIearly
established. Results of various studies vary considerably; foreign practice shows vastly dif-
ferent results from U.S. practice. The subject is of great importance in conventional
hydroplants and critical to the engineering of pumped storage plants [EPRI/DOE, 1984].

Below is a quote from [Giersig, 1984] concerning the construction costs associated with
negative load responses. The referenced paper refers to a study on airee Austrian hydro Sta-
tions and examined the costs to eliminate negative load response at the hydroplants versus
the costs of providing the same load response at thermal plants.

"The costs for short closing times directly charge the power station, while the costs due
to negative load response are hidden in the total power system costs. Ordinarily they are
not considered. The examples in this reference indicated the value of the quality of oper-
ation in the power system was as much as ten times the cost of waterhammer mitigation
in the hydro system."

It will therefore be economical to reduce the negative load response effect by slowly start-
ing the opening movement of the wicket gases with acceleration to the ratee] value within

ASCE/EPRI Guides 1989 6-74

three 2L/a time intervals. This gate motion can be implemented with modem electro-
hydraulic turbine govemors and control systems.

Governing experience curves are abundant in the literature; a few have been included below.
Figure 6-43 is a curve recommended by Chaudry [1978]; figure 6-44 is the USBR experi-
ence curve [USBR, 1976]; and figure 6-45 shows Harza experience [Fazalere, 1985].

°
• Wicikol gol* opo*g

o.O • E//r11/re flote closing

IMITO IN TM. kW« MINY101 'Name ANY !MUNA«. LII.T. IN 1No No...« N'LL Jim*
Nism•floN LINI.K.• rrrszo •roll mur PINDINiot l'ol. LSKY
ohm oa• oloo .ormoo La. -m ANO Ltd. -CM ..t11.1LTION 011 134•11
— S AAAAA wanYI .1 MYR» ONLY r.,' r Wol.r yrograg
excluding
draft Ii.o>r
I 7:7, = Mochan/mi m'ardo,
hin&

oI
vil. ra Vil NaNNII .••-• ••••••••
•051.1 • INAJOY.I. NI ISOLAY1.
Orellana. 01 @VITEN *KIRA!~

, 0.. 10 1.0 13 ra
,
Tp

Figure 6-43. — Gordon's stability curves. [Chaudry, 1979].

1.0 10
1000
I I I I I

II

1 r I f 1 I 1
1 1 1 i i
Regulation muy áe picar JI I
I 1 1 1

1 1 1
5
Max.— =Kci x 10 (Dr Tw/Tm =0.5
o n
loa i I

u- I

CJ 1 I 1 1 1
1- il 1 II 1-;
a- .11

I1 i 1 /I :
1 1 .1 1
II 1-1 !Gadd reaulating experience;

11 1 1 1 1 111 1 1 11111

10 O
1I I JI 1I.11 I1
LO 10 Ica
2
Tatas WR x 1.1-111 m ;2 (Kd in milliansl
RATED REGULAT1NG COUSTANT
Rated hp

Figure 6-44. — USBR speed regulation experience. [USBR, 1976].

6-75 ASCE/EPRI Guides 1989

 Trrift.
Mara criban

— rigulariinsi Characternloal
1 fralrrigs:4141
1F

/1°
1... 12F

1K
.2 4F

3
. 5F 13F
/ eF 4
5
1. 2P
3P
il ...1F
2 9F IOF 11F 3K
; . 4PF
1. dasinble minimum for I. 4P
011-644 subiiity ° 2K
:
45P 11
6. '
° SP

/ . 1 El 9 13
recommencied mInemum e 72
for synchronizing 14
1IT
7
8
6

Figure 6-45. — Harza experience curve — regulation. [Fazalere,1985].

14. Hydraulic Resonance

Hydraulic a. General Comments. — The material on resonance is intended to give the hydro engi-
resonance neers some insight finto the phenomenon, status of analysis, and direction in their studies.
Resonance as used in Chis report includes oscillatory pressures and flows, not just the point
at which the frequency of oscillation equals the system natural frequency. Literature is
General cited on special cases of resonance and on details of computer analysis. Although velocity
comments varíes with rime, resonance is considered steady-state because a periodic variation of some
quantity is necessary (analogy to conventional. vibration theory).

Resonance is second only to catastrophic failure as the most dangerous condition that can
develop in hydroelectric plants. More serious incidents and failures have been caused by
resonance than any other cause [Jaeger, 1963].

Status of Developments in the theory and analysis of hydraulic resonance are still recent compared
analysis with the other branches of engineering to which it is closely related. Analogues for
hydraulic resonance are electrical transmission Enes, vibrating strings, sound waves, and
organ pipes to name a few. No particular differences are noted between resonance in
hydraulics and the corresponding phenomena in acoustical, mechanical, and electrical
engineering,

ASCE/EPRI Guides 1989 6-76

Typically, in hydraulics the waterway length is a significant percentage of a wavelength, Distributed
and therefore the lumped parameter model so useful in vibration analysis does not yield analysis
results of acceptable accuracy. Analysis in such a system proceeds using the wave equation
and the distributed properties of the system.

In systems undergoing forced oscillatory flow, pressure variations can build to twice the
value of the static head and this usually occurs at low flows.

The phenomenon is easily visualized using the general waterhammer diagram (subsection Waterhammer
B.6). The diagram has a value in hydraulics similar to Mohr's stress circle in mechanics diagram
and the "bounce" diagram in electrical engineering. However, only the fundamental is easi-
ly depicted on this diagram. For complex waterways, techniques are available to calculate
the natural frequencies. Once the frequencies are known, the response to a periodic flow
variation can be calculated.

Self-excited vibrations in which the vibration is sustained by the vibration itself, are char- Self-excited
acterized by a doubling of the static pressure at extremely low flows. In hydraulic systems, vibration
components that can respond to the conduit pressure variation will respond and will do so
at the fundamental frequency of the system. The conduit and die pressure waves it supports
are now the exciter, and the component (valve) can be considered the passlve element that
responds to the periodic pressure variations.

The suggestion by Wylie [1978] that hydraulic engineers adopt the electrical engineering Electrical
symbols and terminology for resonance studies has great merit. Furthermore, adopting the analogy
electrical diagram as the representation for the hydraulic network and carrying over the
concepts of impedance and admittance also has merit. Hydraulic engineers now use the
node and loop equation to solve steady-state problems. The practice is even more relevant
for vibrating hydraulic systems because the relationsliips are linear and friction, which is a
nonlinear term, can be neglected in most instances. A word of caution, however, is appro-
priate. The typical circuir diagram applicable to steady-state analysis does not properly
describe the hydraulic equivalent. It is necessary to use the two-port element from electri-
cal transmission line theory (ETLT) to appropriately model the distributed hydraulic sys-
tem. The analogy is exact and is extensively used in acoustics.

The explanation of resonance proceeds most easily by viewing the hydraulic system as a Lumped
lumped, single-degree-of-freedom system. Lumped systems use ordinary differential equa- systems
tions (ODE). To the extent that the ODE can approximate the system response, the accura-
cy will be acceptable. The accuracy will depend on the quantity desired, frequency, magni-
tude, or phase and the length of the conduit versus the period of the excitation. While the
ODE solution may not give acceptable accuracy, the explanation of the vibrating hydraulic
system is appropriate.

Figure 6-46 depicts the hydraulic analogy with a vibrating mechanical system, having a Mechanical
spring, mass, and damping. The differential equation that describes the motion of the analogy
mechanical oscillator was given in section A.8. The periodic function x(t) has a frequency
(o. 'The natural frequency of the system is con. As the frequency of the forcing function o)
approaches con, large-amplitude motions are observed.

6-77 ASCE/EPRI Guides 1989

 Physics, waves, and reflection concepts combine to dictate that the hydraulic system shown
on figure 6-46 will have a period of 4LIa. 1f the lumped parameter model is used to
describe the hydraulic system, the period will be given by T = 2irlco. Comparing the two
models, distributed and lumped, it can be seen their periods have a ratio of 1.57. The dis-
crepancy is due to the representation.

In the transient solution pressure waves are temed at a boundary and move up the conduit
to be reflected at the terminations. Transient excitation Q = Q(t) causes traveling waves in
the system that combine in a manner dictated by the valve closure schedule and the system
characteristics.

Periodic When the flow variation is periodic Q = Qei such waves, depending on phase relation-
flow ships, can form standing waves in the conduit. Figure 6-47 illustrates how standing waves
variations are produced. Two waves of equal wavelength and amplitude are traveling in opposite
directions with equal velocities. At the instant shown in (a), the waves interfere destruc-
tively at points a, b and c. In (b) each wave has traveled a distance Az from its position in
(a). Destructive interference still occurs at locations a, b and c. In each case constructive
interference occurs a', b, and c'. Pressure measurements made on a real conduit in which
the waves are traveling would show a value equal to the sum of the waves.

Resonance b. Design Analysis. — It is common to perform a "resonance analysis" of major hydro-

analysis electric projects during the design stage. This is particularly trae for high-head pumped
storage plants, where a knowledge of the resonant frequencies can be valuable. This analy-
sis would yield the modes of vibration, system natural frequencies, and response to oscilla-
tory pressures and flows. Enough case histories are available such that the excitation fre-
quencies are usually known [Wylie, 1978; Jaeger, 1977]. More importantly, if the reso-
nance analysis has been performed and oscillations do occur, they can be correlated quick-
ly at a field installation.

General If friction is omitted, the mathematical complexity is greatly reduced and the physical con-
comments cepts that describe hydraulic resonance are more easily comprehended. As shown in the
section on analysis, there is no particular advantage to including frictional damping in the
analysis for hydroelectric projects. Hydro systems are inherently low in friction because of
economic considerations. Resonance invariably occurs during low flows when friction is
negligible. In resonance studies, the frequency analysis is the prime consideration, and this
calculation is not affected by friction damping. Boundary damping, which is nonlinear,
tends to overshadow the effects of friction, and its effect will always be difficult to predict.
If the computations are performed on a calculator, neglecting damping terms will greatly
simplify the procedures.

Analysis should be performed under the guidance of a technical expert. Hydraulic reso-
nance can be described as "ubiquitous." Therefore, it is good to have a feel for this phe-
nomenon before starting any studies. The writer was involved with a hydraulic resonance
problem (self-excited) that involved to a 9-mile-long pipeline undergoing pressure varia-
tions of double the static head at no-flow conditions [Logan, 1980]. At the outset of the
studies, it was difficult to comprehend how the phenomenon could even occur.

ASCE/EPRI Guides 1989 6-78

PERIOD (t) = 41-
a
OSCILLATING PRESSURE

PERIODIC VALVE MOTION

(A) PRESSURE VAR I AT1ON

1

SPRING DAMPER

AMP LIT UDE

MASS
x (T)

(B) ANALOGOUS MECHANICAL SYSTEM W/Wn FREQUENCY

(C) RESPONSE DIAGRAM

Figure 6-46. — Resonance.
1)p 1),,,,
Y
.1.11n1 . ~ ..~

a.

b.

Figure 6-47. —Standing waves and wave patterns.

6-79 ASCE/EPRI Guides 1989

Method of The method by which the analysis proceeds is usually dictated by economics, personnel
analysis involved, and complexity. Using the method of characteristics is possible but may be some-
what like using a sledgehammer to drive a tack [Loth, 1982]. Chaudry [1979] explained the
use of matrices to solve the problem. Wylie [1978] explained impedance analysis as bor-
ro wed from electrical engineering. Matrix analysis should be used for complicated
hydraulic systems. Systems with parallel conduits are simpler to handle using matrices.
Computer programs are available in the literature [Chaudry, 1986; Wylie, 1978]. If the sys-
tem can be simulated by a few conduits in series with branches, the calculations can be eas-
ily performed using the impedance method [Thorley, 1971; Wylie, 1978].

Elastic Engineers should differentiate between the oscillatory frequency of a surge tank-reservoir
versus system, which is described by lumped parameters, and the elastic vibrations described by
mass the wave equation. The phenomenon of wave reflection provides a useful tool to explain
oscillation why physical systems have particular frequencies at which they prefer to oscillate, The
explanation proceeds along mathematical unes in the case of lumped system approxima-
tions. Thus the related phenomenon, surge oscillations, as described by the lumped pararne-
ter model is more difficult to explain because that analysis proceeds without wave concepts.

Graphical c. Resonance and its Graphical Interpretation. Resonance in distributed systems is

interpretation most easily understood by referring to the general waterhammer diagram. The use of this
diagram is predicated on waves.

The point is illustrated using a reservoir —> conduit —> valve system (fig. 6-47). The valve is
assumed to be oscillating such that it produces a periodic flow at the lowest natural frequen-
cy of the conduit. For frequencies aboye the fundamental the diagram is difficult to use.

Some important points relating to resonante are noted below:

Illustrating • The diagram was drawn at the fundamental frequency of a closed/open system (reser-
reson anee voir/v alve). If the conduit has mayor dimensional changes, other techniques are used
to determine the system resonant frequencies. However, almost every aspect of reso-
nance in distributed hydraulic systems can be demonstrated on the general waterham-
mer diagram.

Valve • The impact of the valve characteristic is to limit the resonant response to twice the
impacts static head and to introduce damping at the valve. In this case energy is transmitted
out of the system. The valve head/flow relationship is nonlinear and difficult to deal
with analytically. Most often, the natural frequencies are sought, and the response and
its distribution along the conduit are not critical.

Frequencies • For forcing frequencies at other than natural frequencies, the response is greatly
diminished. Oscillations at the natural frequency but at larger gate openings will also
exhibit a reduced response. Finally, the amplitude will relate to the 2p value, which is
hydraulic impedance.

Standing • If pressures are measured along a conduit undergoing periodic flow, a pattem of
waves standing waves with maximum and minimum v diles is observed. The standing waves
are due to the superposition of the two waves traveling in the conduit in the only two

ASCE/EPRI Guides 1989 6-80

 directions possible. The reflected wave from the reservoir has a frequency and physi-
cal properties related to the incident wave. The two waves superimposed produce the
standing wave pattern associated with resonance (fig. 6-48).

• Changing the complexity of the hydraulic system (dimensional conduit changes) does
not change any of the basic concepts as outlined; however, because of due the
distributed nature of the problem, the calculations become tedious, and a computer
becomes a practical necessity.

The primary factors of resonance in a hydraulic system undergoing forced periodic flow
variations are shown on figure 6-47. The system and its waterhammer characteristics are
shown in (a); the oscillation of the valve is shown in (b); and the resonance solution is
depicted on the waterhammer diagram (fig. 6-48). For purposes of clarity, only the 0.4v
and 0.6T (valve) characteristics are shown.

a. Resonance pattern.

H, = 500 feet
a = 3,220 ft/s
L = 3,220 feet
2p = 2

b. Periodic valve motion.

Figure 6-48. — Resonance pattern for reservoir-valve hydraulic system.

6-81 ASCE/EPR1 Guides 1989

Explanation The diagram begins by assuming an arbitrary starting point Ao and constructing the wave
of resonance line through that point. The intersection with z= 0.4 is the first solution point. The diagram
is completed as shown, and the typical diamond appearance of the resonant solution
appears within two cycles. Including friction would have a negligible effect on the vibra-
tion amplitude. As shown, he primary damping in this case is at the boundary, where a
great deal of the wave energy is transmitted out of the system during each cycle.

Ordinarily, resonance in a hydro system occurs at extremely low flows, y = 0. As shown, if

the resonance diagram is constructed for the same system but with the valve oscillating
between r= 0.0 and z= 0.1, the pressures will be significantly higher. Friction is even less
of a factor, and as before, the curvature (nonlinearity) of the valve head-discharge curve
limits the pressure oscillation. In this case the maximum pressure is limited to approxi-
mately twice the static head.

Figure 6-49 was constructed assuming the period of the valve oscillation was exactly that
of the fundamental resonant period of the conduit, 4L/a. Thus it exhibits the maximum
pressure oscillation for the given rvariation.

Causes of d. Causes of hydraulic resonance. — Resonance analysis consists of analyzing the fre-
resonance quency response of the system and identifying its resonant frequencies and modes of vibra-
don. Once these frequencies are determined, it is necessary to determine whether a periodic
disturbance due to an extemal excitation at a boundary can occur at that frequency. The
problem of determining the possible exciters in a hydraulic system are often the crux of the
problem. Designa or operating conditions that can lead to oscillating pressures and fiows
should be avoided.

Common causes of periodic disturbances are:

Causes • Singularities in the hydraulic system causing a marked turbulence in the flow
• Governing
• Flexible seals on valves (self-excited vibration)
• Excitation by air valves
• Periodic valve motion
• Pressure pulsations caused by the turbine runner, i.e. draft tube surging.
• Periodic pressures transmitted into closed end conduits
•Pressure pulsations at the turbine discharge, including the penstock resonance problem

Cures e. Cures for Resonance. — Resonant vibration should be stopped as quickly as possible.
The pressures are excessive and usually exceed the design gradient significantly.
Furthermore, they occur in a repetitious manner, which leads to fatigue failure. The pres-
sure distribution during resonant oscillations is ordinarily not the same as that derived from
the transient analysis. Finally, hydroplants are not designed for resonance.

The cures for hydraulic resonance problema are the same as those for any vibrating system:
remove the source of excitation, reduce the amplitude of excitation, and change the ratio
between the exciter frequency and the systems resonant frequency.

ASCE/EPRI Cuides 1989 6-82

 to
1 !
z-.0.4 r
I

Al
r.0.4.
os

A5
ze-zzo

CU5erVoi r2
i.0 02 & - y,e
Ir-.
• z 4. L •
4 so

A7

500 .. s A3

. /

—t na.

Figure 6-49.— TypicaI resonance diagram.

For self-excited systems, it is necessary to locate the element that is responding to the sys-
tem pressure variations and modify its response characteristics. For instance, in the case of
a leaky valve that responds to the systems pressure variations, the cure is to fix the valve so
that it no longer responds.

Filler structures can be added to the system so that the vibration can be reduced to very low
Ievels.

The major arca now under study in resonance is the examination of the exciters and the
excitation process.

6-83 ASCE/EPRI Guides 1989

Methods 15. Methods of Transient Analysis
of transient
analysis a. General topics

• Computer analysis
• Wave analysis
• Graphical procedures
• Numerical procedures
• Chalas, graphs
• Models
• Analytical procedures
• Analogies

Computer I>. Computer analysis. — Most transient computations are now performed by computer
analysis regardless of the level of investigation. The reasons are:

• Computer analysis is applicable to any area of waterhammer analysis. Hydroelectric

projects have become extremely complex is recent years, and computer analysis
greatly facilitates the many required computations.

• The ease with which the computations can be performed. Friction is included without
approximation.

• The availability of computer programs. Waterhammer programs for personal comput-

ers are readily available. Seminars are available that teach their use.

• The need for engineering film to develop sophisticated modular programs to analyze
complicated systems. Final design computations for large, important projects can be
lengthy and costly. With a computer, the computations can be carried out in a reason-
able time using the exact characteristics of the system.

• Certain boundary conditions, e.g., pumps and turbines, are easy to simulate on a
computer.

The result has been to give engineers the ability to circumvent these obstacles in water-
hammer analysis, which existed before computers:

• Solution of the wave equation for complicated boundaries and hydraulic Iayouts.

• System reduction such that the problem could be approximated for analysis.

• Inclusion of the boundary element characteristic into the solution. The characteristic
diagrams for turbomachines are most easily represented by computer methods.

Computers • Although the computations are easily performed by engineers who have a good com-
puter background, they should be performed under the guidance of an engineer
knowledgeable in waterhammer analysis. Some caution is suggested against arbitrari-
ly accomplishing all computations on a computer because the data may not warrant

ASCE/EPRI Guides 1989 6-84

 the costs, and other techniques may be more appropriate. This is certainly true before
final design and optimization.

• Large engineering firms have found it profitable to program the various boundary ele-
ments involved in the transient analysis of a hydroplant. The elements are arranged in
building block format to perform the calculations. The method of characteristics is
well adapted to this procedure. Typically, large firms may dedicate a small portion of
their staff to develop, maintain, and execute these programs. Smaller firms may find
it more advantageous to develop computer programs for individual problems as they
arise.

• Computer programs that address analysis of hydroelectric plants have been published
[Chaudry, 1986; Wylie, 1978], and their development is described in recent textbooks
on waterhanuner. Recent large advances in their computing power has made the prob- PCs
lem tractable for smaller (personal) computers (PCs) and calculators. There is no
intent to recommend any specific program, but rather to indicate the state of art and
availability of such programs.

• Figure 6-50 shows the general arrangement of a complex hydro system to be simulat-
ed on a computer.

c. Modeis. — Transient solutions use steady-state hydraulic values that often are obtained
from hydraulic model studies. From a different point of view, values from the transient
study may need modeling so that the prototype produces the correct hydraulic action. Models
Laboratory modeling of a throttling orifice, of the tailrace between the power plant and
surge tank for an underground power plant, or even of the turbine and valve is often neces-
sary.

Lumped parameter models produce useful results for many hydraulic transient studies. It
applies to surge tank and "slow" flow variations. It is used to develop the mechanical start-
ing time (Tm) and the water starting time (Ti„). In these instances the ODE replaces the
PDE to approximate the hydraulic system.

d. Analogies. — Useful technical knowledge is available from other analogous fields of Analogies
engineering. In particular, the application of electrical transmission line theory to periodic
motion in hydraulic systems and vibration theory from mechanical and acoustical engineer-
ing. Electric circuit theory and circuit board modeling has been used to great advantage in
surge tank analysis. The great advances in digital computer techniques has enhanced mod-
eling capabilities and as a result, the method of characteristics has generally replaced other
computer modeling techniques.

6-85 ASCE/EPR1 Guides 1989

 c)
O

RES 1 100

Ci

rol

System Schematic Diagram

LEGEND
RES Reservolr
C Condult
VL Valve
PT Pump-Turblne
TJ Tea Junctlon
ST Surge Tank

Figure 6-50. — Arrangement of an underground power plant for computer analysis.

ASCE/EPRI Cuides 1989 6-86

The analogy is founded on the similarity of the equations and, in mechanics, on the similar-
ity of the physical phenomenon. For hydraulic transients where complicated boundaries
exist, analogies do not appear to be particularly useful. This is especially true if the dis-
tributed analysis must be used. Analytic representation of complicated boundaries cannot
be made when using the wave equation. Such solutions have not been developed in other
disciplines and as a result cannot be borrowed.

For systems that can be analyzed using periodic functions, the analogies are especially use-
ful. For this case, the wave equation produces simple solutions that are analogous to waves
on strings or other acoustic elements. For many engineers, visualizing hydraulic oscilla-
tions is assisted by relating those waves to vibrating strings.

Engineers are encouraged to adopt the Wylie's suggestion that electrical terms, symbols,
and diagrams be used in hydraulic resonante analysis.

e. Charts and Graphs. — Numerous charts and graphs are available for specific problems Charts
in waterhammer. These solutions are important for preliminary analysis or, altematively, to
indicate the magnitude of the variations when the system variables are changed. The surge Graphs
tank and waterhammer charts in this chapter are examples. Other useful charts are avail-
able in the literature on hydraulic transients [Chaudry, 1986; Parmakian, 1955; Jacgcr,
1978; Thorley, 1979].

f. Wave Analysis. — No other arca of analysis can produce quicker results than wave anal- Waves
ysis. It quickly reveals what can or cannot happen in the hydraulic system or even whether
an analysis is warranted. Instead of trying to analyze the entire system, the engineer need
merely transmit a pressure wave into the system and then logically follow the activity
caused by the wave. Essentially, the engineer is substituting physical analysis for mathe-
matical analysis.

• As an example of wave analysis, consider calculating the pressure variation due to a

sinusoidal wave travcling in a closed-end conduit

• The effects of the system elements, valves, surge tanks, reservoirs, air chambers, and
dead ends are more easily understood as one investigates their reflection and trans-
mission properties. The wave impedance of a conduit becomes a useful concept.

• Filler theory, natural frequencies, standing waves, penstock vibrations, and self-excit-
ed vibrations are simpler to understand when they are defmed in terms of the system
wave properties.

• The waterhammer diagram is useful because its use is predicated on the notion of
wave travel.

Typically, in waterhammer the derivation proceeds by assuming a pipe element is isolated

and a force balance is taken on the element. This approach using the Newton and continu-
ity equations leads to the waterhammer equations, which can then be combined to give the
wave equation.

6-87 ASCE/EPRI Guides 1989

 If instead, waterhanuner is treated as a problem in acoustics, then the development can pro-
ceed by assuming a sinusoidal wave exista in the conduit.

=Asin(J3x—wt+ a)

Taking pardal derivatives with respect to distance (x) and time (t) twice, leads to the wave
equation and applies to the solution for a periodic function (resonance). If instead, the
D'Alembert solution is used:

= f (x at)
Again taking partial derivatives twice also yields the wave equation. This solution applies
to the transient analysis.

16. Miscellaneous Related Topics

a. Dynamic Effects. — Some comments on other dynamic effects associated with hydro
projects are appropriate. Most are steady-state effects associated with velocity variations
over distance. Their consideration is important during the design phase because the effects
can be detrimental to the plant operation.

• Air and voids

• Failures
• Air valves and standpipes
• Relief valves
• Surge suppression devices
• Pipe material
• Restraint
• Dewatering and start-up transients
• Rupture discs
• Canals — response to load variation

For reasons of efficiency, economy, and environment, hydroelectric practice dictates the
construction of large machines and the utilization of sites having characteristics that may
present difficulties to the hydraulic layout. Performing accurate dynamic analysis has
increased importance with the occurrence of phenomena that were not common in previous
installations or were so insignigicant thcy could be safely neglected.

Research in dynamic analysis provides hydro engineers with the ability to predict, at the
design stage, the magnitude and severity of these problems. This can ensure the safety of
the installation and the reliability of operation. In many installations the costs of equipment
and the civil works is derived from the analysis.

The vibrational behavior and coupling between hydraulic vibrations and the mechanical or
electrical elements, such as the shaft or the electric generator (i.e., draft turbine surging,
stable goveming, resonance), now receives a great deal of attention. Enough is known that
the problem can be analyzed during the design stage.

ASCEJEPRI Guides 1989 6-88

The characteristics of turbines operating at reduced flow are important. Research allows
accurate predicting of the frequency and magnitude of the pressure pulsations due to the
vortex at the runner discharge, which is known to be the primary cause of flow excitation
in the hydraulic circuit.

b. Air and Voids Formed in Hydroelectric Systems. — The major contribution of air is to
dramatically increase the Huid compressibility. Air dispersed through the liquid changes
the wave velocity. If it occupies voids in the system, air acts as a point of wave refiection.
In both cases it violates the assumption of a uniform media on which the wave equation is
based. Handling the variation mathematically is well document; however, the way in which
the air occurs in a specific system is seldom known. Certainly a great deal of research
effort has been devoted to this problem. [ERRA, 1972, 1976, 1980, 1983, 1986].

Because pressure rise is proportional to the wave velocity, the presence of air is beneficia'
provided it is distributed or trapped in such a manner as to reduce the effective wave veloc-
ity or provide elasticity. Problems with air arise because its release is often uncontrolled
and it is usually at high pressure.

• Sudden accelerations occur because air pockets move into regions of low static Air and voids
pressure.
• Air releases during the filling of a system. The air can be evacuated rapidly through a
release valve, but the water column may experience a rapid deceleration. Problems
also occur during emptying of a system. Hydraulic systems should be filled and emp-
tied slowly, particularly if there is the chance for rapid acceleration to high velocities
and subsequent sudden deceleration.
• Columns of water ate separated by air being accelerated and then decelerated due to
another transient event. The usual water column separation problem is associated
with a pump transient caused by a power failure. In that case the downsurge causes
the hydraulic gradient to drop below the profile of the penstock. Examine the system
closely to see if low-pressure arcas are formed that can cause the water column to
separate.
• The formation of vapor cavities in the system is difficult to predict, and the analysis of Vapor cavities
pressures associated with their collapse does not yield well-correlated results. Unless
special boundaries are introduced, the wave solutions are not valid because continuity
of the water column was assumed in the derivation. Typically, the solution assumes a
point at which the column breaks and that the break will reflect waves in some partic-
ular manner. The collapse of cavities gives pressure rises of the order:

Ah a
2g Av
• Reverse waterhammer can occur at the throat of a turbine when there is a long tailrace
under pressure and goveming movements are rapid. Pressure rises in this case are of
the order:

Ah= --2-Av Reverse

waterhammer

6-89 ASCE/EPRI Guides 1989

 • If the pressure waves strike a dead end, there is a doubling of the pressure. If the pres-
sure waves strike a reservoir, negative waves are reflected. This can cause the pipe to
collapse or to form more voids in the system.
• Synchronous condenser operation requires the runner to rotate in air, which requires
the injection of air under the head cover. Subsequently, the air bubble must be
removed. This requires additional engineering works, possibly some modeling, and a
great deal of care.

c. Acceleration due to Air Pockets. — Transients caused by sudden accelerations due to air
pockets are usually confined to large civil engineering structures, fluid machines, and par-
tially open valves. A typical situation is shown on figure 6-51. In this case the air pocket
moves through the system until it reaches a gate structure. The air pocket escapes up the
gate channel rapidly. The water behind the air pocket accelerates rapidly (because it is
under some head). The acceleration is given by:
L dv)
Ha = g dt
The rapidly moving fluid cannot flow into the relief point (gate shaft) as quickly as the air.
Therefore, large pressure variations occur:

a
Ah — Av

In the case of turbines and pumps, a large air pocket can cause a sudden change in head.
Shock loading of the machine and head fluctuations may result.

Air pockets

reservair

air poca[ acaderating

Figure 6-51. —Acceleration due to air pockets.

Other sources of air that can occasionally enter the system are residual air from filling the
system, voraces and air entrainment at the inlet, excessive downsurge in surge chambers,
and operation of air valves during a surge.

Water saturated at normal temperature and pressure contains about 2 percent air by volume.
Lowering the pressure to near the vapor pressure causes bubbles at nucleation sites to grow
and releases about 30 percent of the dissolved air in the first second or so. Further release
is dependent on the static pressure relative to the local pressure, on the turbulence 1eveI,
and on pressure fiuctuations within the water.

ASCE/EPRI Guides 1989 6-90

In cases where the pressure in a long length of conduit is lowered to vapor pressure, suffi-
cient air may be released to attenuate surges. It should be noted that the pressure wave
velocity may fall to a relatively low value as the local pressure approaches the vapor pres-
sure, but it increases rapidly as the static pressure rises.

d. Air Valves and Standpipes. —Air valves can provide an economical method of surge Air valves
control; however, they can be troublesome when they malfunction. An air valve may vent and
air, admit air, or fulfill both functions. Combined inlet and vent valves should have a lower standpipes
venting to inflow capacity if they are to be effective in trapping air to act as a cushion.
Precautions should be taken against freezing.

Operation of air valves during the surge must be examined.

The location of valves is important if they are to be effective. Venting under normal flow
conditions is taken care of by appropriate slopes with valves at high points. Velocities of a
fraction of a meter per second are sufficient to carry air past most valves; therefore, air not
vented under static conditions or air that enters during operation is unlikely to be vented.

Float valves and other types of air valves have opening times that are slow compared with
changes in pressure during surges. If a pipeline cannot withstand significant negative pres-
sure it may be necessary to instan special valves or to use other methods to prevent subat-
mospheric pressures.

Instances are quoted in the literature where air valves were the cause of resonance.

e. Pipe Restraint and Loads. — Loads placed upon pipes and components during a surge Pipe
are difficult to evaluate. Fortunately, in most cases the head-rise time is longer than the restraint
time it takes a disturbance, travelling at the velocity of sound, to pass through the compo-
nent. In such cases it is reasonable to evaluate the forres as if a steady state exists.

Close to a vapor cavity collapse, or a cavity growth in a supersaturated liquid, pressure rise
times may be less than 1 millisecond. If the natural period of oscillation of a component is
longer than the pressure rise time, theory predicts that failure will occur at pressures less
than those required to cause failure under static pressure. Under static or slow dynamic
loading, a force must be resisted, but under "impact loading" energy must be absorbed. In
general, pipe materials are assumed to operate in the elastic zone, where strain is propor-
tional to stress. A special case where materials may enter the plastic zone and not fail
occurs when an explosion of limited power occurs. On entering the plastic region, the
greater flexihility reduces wave velocities, which may allow low-pressure waves to arrive
and relieve the pressure before fallare occurs.

Waterhanuner waves can be thought of as the mechanism for transmitting energy and infor-
mation through the system at a velocity that depends on the combined liquid and pipe elas-
ticity. In practice, pressure waves aLso travel in the pipe wall at a velocity determined by
the pipe material. Stresses induced by pressure waves traveling in the pipe walls (precursor
waves) are usually less than 10 percent of stresses due to the hydraulic pressure waves.
Except in special circumstances, it is not necessary to consider the effects of the pipe wall
pressure wave.

6-91 ASCE/EPRI Guides 1989

 Additional and possibly catastrophic loads may be applied to the pipe if runs with bends
are not restrained when a cavity collapse occurs or very rapid valve action takes place.
Proper allowance should be made for stresses induced by ground cover and ovality of thin-
walled, plastic, or composite-construction pipes. When the static pressure inside a thin-
walled pipe falls below the extemal pressure, buckling may occur.

Pipe f. Pipe Materials. — An increasing range of available pipe materials have considerable
materials economic advantage over the more conventional materials. However, the long-term suit-
ability of some of these materials for hydro practice must still be proven. Pipes made from
plastic, g.r.p., and other materials have higher factors of safety, as regards positive pres-
sures, than metal and other pipes, but they lose part of this safety factor with aging. Aging
is considered when the safety factor is set. During the first period of operation, pressures
higher than design may go unnoticed. However, because these pressures "age" the pipe, the
useful life of the pipeline may be reduced dramatically, even if surge pressures are subse-
quently reduced. On important installations containing pipes that age, extreme caution is
required in commissioning and operation because proving that the system can withstand
the most severe surge may seriously reduce the useful life of the system.

g. Relief and Surge Suppression Valves. — A wide range of relief valves are manufac-
tured. In assessing a valve's suitability, it is necessary to consider its reliability, its speed of
operation compared with the rate of change of pressures within the system, and its flow
capacity, particularly if cavitation can occur. Bypass valves around pumps and small by-
passes around large control valves are some of the ways to reduce surges using valves.

Disks h. Rupture Disks. — Rupture disks are used to protect against catastrophic events or very
infrequent surges. They are seldom used on hydro projects unless major pressure surges
could propagate into other unprotected parts of the system.

Canal L Canals. — In headrace canals, the short period within which the govemor acts to close
down the machines in the event of load rejection has virtually no effect on the height of the
eventual surge wave. Within limits, the main effect of the rate of rejection and of the size
of the forebay is on the time the surge takes to build up in the forebay before being propa-
gated along the canal. The surge can of course be reduced considerably by slow manual
closing or by the providing a sufficiently large forebay.

In rnany instances the hydroplant may be fed by a long open channel, or the tailrace is
designed as an open channel. The surging in these elements is identical in character to the
feature it replaces — the long, low-pressure tunnel. In direct analogy a forebay replaces the
surge tank as a device for reducing the surging in the canal, or providing water close to the
turbine for rapid load pickup.

The analysis would compute the load-rejection and load-acceptance surges in the canal.
The canal cross section must be large enough to supply the flow needed for the design
operation. Enough freeboard is required to contain the load-rejection surges. In line with
this requirement, a forebay can assist operation by placing a large supply of water close to
the turbines.

ASCE/EPRI Guides 1989 6-92

The wave equation is also applicable to calculation of canal transients, though the physical
considerations are vastly different. This implies that wave velocities, wave reflections, and
round-trip wave travel times are also important.

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Constantinescu, J., Theory of Sonics. A Treatise of Transmission of Power by Vibrations, London, 1918.
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Donsky, B., "Complete Pump Characteristics and the Effects of Specific Speeds on Hydraulic Transients," J .
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Wylie, E.B., "Resonance in Pressurized Piping Systems," Journ. Basic Engineering, Vol. 87, No. 4, pp.
960-966, December 1965.
Wylie, E.B., "Resonance in Pressurized Piping Systems," thesis presented to the University of Michigan, Ann
Arbor, Michigan, in 1964, in pardal fulfillment of the requirements for the degree of doctor of philosophy.
Wylie, E.B., and Streeter, V.L., "Resonance in Bersimis No. 2 Piping System," Journal Basic Eng., Vol. 87, No.
4, pp. 925-931, December 1965.
Wylie, E.B., Streeter, V.L., and Bagwell, M.U., "Flying Switching on Long Oil Pipelines," AlChE Symposium
Series, vol. 135, No. 69, pp. 193-194,1973.
Zielke, W., "Frequency-dependent Friction in Transient Pipe Flow," Journal Basic Engineering Trans. ASME,
Series D., Vol. 90, No. 1, pp. 109-115, March 1968.
Zielke, W., and Hack, H.P., "Resonance Frequencies and Associated Mode Shapes of Pressurized Piping
Systems," First Intem. Conf. on Pressure Surges, University of Kent, Canterbury, Paper G.1, September 1972.

ASCE/EPRI Guides 1989 6-108

Zielke, W., and Rosl, G., "Discussion of Resonance in Pressurized Piping Systems," J. Hyd. Div., ASCE, vol.
97, No. HY7, pp. 1141-1145, July 1971.
Zielke, W., Wylie, E.B., and Keller, R.B., "Forced and Self-Excited Oscillations in Propellant Lines," J. Basic
Eng., ASME, vol. 91, ser. D, No. 4, pp. 671-677, December 1969.
Zienkiewicz, O.C., "Stability of Parallel-Branch and Differential Surge Tanks," Proceedings, I. Mech. E., vol.
170, pp. 265-280, 1956.
Zienkiewicz, O.C., and Hawking, P., "Transmission of Water Hammer Pressure Through Surge Tanks," Pro c
Inst. Mech. Eng., London, vol. 168, pp. 629-642, 1954.

2. References Arranged According to Subject*

1. Waterhammer texts: Bergeron 1950; Chaudry 1979, 1987; Parmakian 1955, 1965; Pickford 1969; Jaeger
1977; Rich 1951, 1963; Streeter 1967; Wylie and Streeter 1978.
2. Theory: Allievi 1925; deHaller 1940; Halmos 1925; Joukovsky 1900; Moody 1933; Rich 1963; Zeilke 1968.
3. Waterhammer: Angus 1939; Escande 1953; Jaeger 1948; Kerr 1950; Paynter 1952; Streeter 1963; Shnin
1904.
4. Waves and fields: Zienkiewicz 1954.
5. Wave velocity: Pannakian 1955; Safwat 1972; Thorley 1979.
6. Surge tanks: Balint 1955; Barbarossa 1959; Bechteler 1969; Gaden 1952; Hussain 1966; Jaeger 1949, 1954,
1957; Johnson 1908, 1915; Levy 1972; Murillo 1961; Naber 1964; Parrnakian 1958; Pearsall 1962, 1963;
Pickford 1969; Rao 1970; Stephenson 1972; Svee 1972; Widman 1965; Zienkiewicz 1954.
7. Goveming: Borel 1960; Brekke 1972; Hadovemik 1970; Strowger 1926; Swiecicki 1960.
8. Air chamber: Binnie 1945; Blaint 1943; Evans 1954; Graze 1967, 1968, 1971, 1972.
9. Numerical computation: Abbott 1966; Enever 1970; Evangelisti 1969; Ezekial 1957; Fox 1968; Jaeger
1967; Martin 1972; Streeter 1966, 1964.
10. Valves: Hayashi 1960; Knapp 1957; Streeter 1963.
11. Surge tank stability: Thoma 1910; Chaudry 1971; Chevalier 1957; Cuenod 1954; Escande 1952, 1953;
Franke 1954; Jaeger 1952, 1958, 1960; Marris 1959; Meyer 1954; Mosonyi 1964; Ruus 1969; Sideriades 1958,
1960; Zienkiewicz 1956.
12. Resonance: Abbott, 1963; Ainsworth 1956; Chaudry 1970; Cooper 1966; Ezekial 1958; Fanelli 1972,
1966; Fashbaugh 1965; Gaden 1973; Jaeger 1939, 1963, 1965; McHamish 1970; Saito 1962; Streeter 1965;
Thorley 1971; Wiggert 1964; Wylie 1965; Zielke 1972.
13. Pumps: Angus 1935; Jaeger 1959; Donsky 1961; Kinno 1968; Knapp 1937; Lupton 1953; Parmakian 1965;
Peabody 1940; Schnyder 1937; Stepanoff 1957.
14. Pumped storage: Aeberli 1959; Borel 1965; Bergemn 1965; Bovet 1965; Deriaz 1958; Donsky 1965; Duc
1962, 1965; Floyanic 1965; Hornberger 1965; Jaeger 1960, 1964; Kerensky 1965; Kabori 1954; Lien 1965;
Malamet 1965; Marcha 1968; Miyashino 1963, 1965; Parmakian 1965; Salzman 1965.

*Comprehensivc references can be found in [Chaudry 1987; Wylie and Streeter 1978; Jaeger 1977].

6-109 ASCE/EPRI Guides 1989

15. Models: Arad 1972; Duggins 1968; Equiasaraff 1958; Lindros 1954; McCaig 1959.
16. Vibrations: Benko 1966; Chen 1961; Cooper 1966; Den Hartog 1929; Donaldson 1956; Fanelli 1972;
Fukusu 1965; Naudascher 1979; Parmakian 1951.
17. Planning: Koga 1967; Logan 1984; Lottes 1963.
18. Criteria: Lien 1965; Parmakian 1963.
19. Water coloran separation: Balzer 1967; Delft 1971; deHaller 1951; Duc 1955, 1965; Kephart 1958;
Parmakian 1958; Richards 1968; Safwat 1972; Shays 1965; Siemons 1967; Swaffield 1972.
20. Symposia: ASME 1933; ASME 1965.
21. Penstocks: Billings 1933; Bratfisch 1956; Gibson 1920; Hayashi 1961; Kerr 1924; Pearsall 1965; Safwat
1972; Streeter 1964, 1966.
22. Handbooks: Brown 1970; Creager 1950; Davis and Sorensen 1969; Paynter 1961.
23. General: Jaeger 1948; Martin 1973; Olsen 1967.
24. Electrical analogies: ASCE 1953; ASCE 1958; Glover 1953; Paynter 1955, 1958; Wood 1967.
25. Field tests: Bratfisch 1956; Fanelli 1965; Portfors 1972.
26. Other disciplines: Bumett 1960; Cheesman 1970; Kerr 1950; Ludwig 1950.
27. Hydroelectrie: Rheingans 1966; Strowger 1955.
28. Air: Abbott 1963; Griffiths 1972; Tekke 1968.
29. Draft subes: Deriaz 1960; Falvey 1971.

ASCE/EPRI Guides 1989 6-110

 CHAPTER 7. HYDRAULIC MODELS
CONTENTS

Section Page

A. Why model studies are performed 7-1

B. Hydraulic versus mathematical modeling 7-1
C. Hybrid models 7-1
D. When a model is needed 7-1
E. Favorable benefits of modeling 7-2
F. Where hydraulic modeling is done 7-2
G. Cost of hydraulic modeling 7-2
H. Types of structures typically modeled 7-3
I. How studies are performed 7-3
J. Similitude relationships 7-3
1. Newton's second Iaw of motion 7-3
2. Correspondence between models and nature 7-5
3. Fronde scaling 7-5
4. Reynolds scaling 7-5
5. The geometrical flow parameter (Euler number) 7-6
6. Surface tension (Weber number) 7-7
7. Vibration 7-7
8. Elasticity of a fluid (air modeling) 7-8
9. Integral and differential equations 7-8
10. Model distortion 7-8
K. Model limitations 7-8
L. Models of hydraulic machinery 7-9
M.References 7-10

FIGURES

Figure

7-1 Hydraulic model study of river flow pattems for bulb turbine units
at Racine on the Ohio River 7-4
7-2 Similarity of model and prototype losses in Fronde scale models
with viscous and roughness effects 7-6

CREDITS

The "Hydraulic Models" chapter was written by:

Clifford A. Pugh, P.E.

Head, Hydraulic Equipment Section
Bureau of Reclamation
Division of Research
Denver, Colorado 80225

ASCE/EPRI Guides 1989

 CHAPTER 7. HYDRAULIC MODELS
A. WHY MODEL STUDIES ARE PERFORMED

The design of a hydraulic structure is influenced by site-specific conditions. Although stan- Reasons for
dard designs exist for many types of hydraulic structures, site conditions often limit their modeling
use. The possibility of a poor design is increased when the engineer cannot use a standard
design or previous experience. A hydraulic model study can be perforrned to verify that the
proposed design functions properly. The model may also be a tool to improve structure per-
formance or to reduce anticipated construction costs [Gulliver and Wetzel, 1984].

B. HYDRAULIC VERSUS MATHEMATICAL MODELING

The complex nature of fluid mechanics and the number of variables involved often make Mathematical
prediction of hydraulic performance using mathematical analysis and past experience diffi- modeling
cult. Very large and fast computers can solve complex fluids problems; however, develop- vs.
ment of programs and techniques to solve the problems mathematically is not complete. physical
Many numerical models already developed show promise but lack physical data to demon- modeling
strate their validity or to calibrate coefficients. In addition, input data requirements are gen-
eraLly extensive and computer costs may be prohibitive. Often, the best method available to
solve hydraulic flow problems is hydraulic modeling or a combination of physical and
mathematical modeling. Computer models are generafiy restricted to special applications
on speeific details of hydraulic structures, and are not used to model the entire flow field.
However, some hydraulic problems, such as watershed run-off, groundwater flow, and lake
and otean hydrodynanics, are too large to be scaled down to a physical model and are,
therefore, most appropriately studied with a combination of field measurements and com-
puter modeling.

C. HYBRID MODELS

A hybrid model is composed of individual hydraulic and numerical components linked Hybrid models
together by their boundary conditions. A complete model of the prototype system can be
formed through a series of hydraulic and numerical models that are related to each other.
For example, numerical models can also be used to reduce cost in a hydraulic model by
determining approach flow conditions without including a large approach zone in the phys-
ical model.

D. WHEN A MODEL IS NEEDED

A model study should be performed whenever the risks associated with the design justify When
the model cost. Designers should ask three questions: modeling is
needed
1.What is the possibility the structure will not perform adequately?
2. What costs are associated with inadequate performance of the structure?
3. What potential cost savings can be achieved as a result of a model study?

A model study may be justified based either on the potential cost consequences of a poor
design or upon cosi savings that could be realized based on modeling results [Gulliver and
Wetzel, 1984].

7-1
 E. FAVORABLE BENEFITS OF MODELING

Benefits of Some of the potential benefits of physical modeling are listed below:
modeling
1.Increased system efficiency
2. Potential savings due to:
• Improvement in system design
• Reduced construction costs
• Reduction of materials
• Reduced operating costs
• Lower maintenance requirements
3. Improved system safety
4. Confidence in the design
5. Prolonging system life
6. Reduce environmental hazards
7. Advancements in science and knowledge

F. WHERE HYDRAULIC MODELING 1S DONE

Where Hydraulic modeling in the United States is usually done at laboratories that fall roto the fol-
modeling is lowing categories:
done
1. Government laboratories. Some of the major govemment hydraulic laboratories in
the United States are run by:
• The Department of the Interior, Bureau of Reclamation, Denver, Colorado
• The U.S. Arrny Corps of Engineers, Vicksburg, Mississippi
• The Tennessee Valley Authority, Norris, Tennessee
2. Private laboratories. There are a number of private laboratories throughout the
United States.

3. University Laboratories. Many land grant and other universities have hydraulic
laboratories.

4. Manufacturer's laboratories. Turbine testing is usually conducted by the

manufacturen.

The The laboratory should be selected based on ability to perform the type of study needed.
laboratory The experience and qualifications of the personnel and the laboratory equipment available
should be considered. Equipment capabilities should include adequate pump capacity, lab-
oratory flow measurement system, space availablity (inside if in a severe climate), and
measurement equipment, such as transducers, recorders, computers, velocity meters, and
photographic and video equipment.

G. COST OF A HYDRAULIC MODEL

Cost of The cost of a hydraulic model study depends on the size and complexity of the structure and
a hydraulic the number of problems to be investigated. Typically, the lowest cost of a hydraulic model
model study is about $25,000 (1988 dollars). However, simple investigations of isolated features can

ASCE/EPRI Guides 1989 7-2

often be performed for less. The cost of the model study will increase if complex shapes are
involved; if sediment transpon or erosion is modeled; if sophisticated, detailed measurements
are required; or if multiple aspects of flow around the structure are investigated. The last case
may actually require more than one model at different scales for accurate investigation.

H. TYPES OF STRUCTURES TYPICALLY MODELED

Any structure involving fluid flow is a candidate for a hydraulic model study. Structures Types
often modeled are spillways, intakes, outlets, control structures, bridge piers, and flow of structures
obstructions. A spillway model might be used to investigate stilling basin performance, modeled
pressure distribution and fluctuations on the spillway face, erosion aboye and below the
spillway, and air entrainment. An intake model study may include investigation of head
losses, resonance frequencies to avoid fluid-structure interaction, erosion around the intake,
approach flow pattems and channel modificallons, and the possibility of vortex formation.
Modeis of outlet structures are used to indicate erosion pattern and the effects on naviga-
tion and, if applicable, to demonstrate the diffuser performance of the outlet. A primary
concem for arcas around bridge piers and other flow obstructions is bed erosion and, some-
times, head loss. Other structures, such as dropshafts, weirs, and flow diversions, frequent-
ly require a hydraulic model study. Figure 7-1 shows a hydraulic model study of Racine
Hydroelectric Project on the Ohio River Termino and Larsen, 1979].

L HOW STUDIES ARE PERFORMED

To implement a model study, the client provides the laboratory with design flow conditions How model
and preliminary design drawings of the structure and surrounding morphology. The prelim- studies are
inary design drawings are reviewed by the laboratory personnel, and decisions are made performed
concerning the extent of modeling necessary. A model scale is selected based on several
factors:

1.The space available for the model

2. The flow requirements
3. The types of measurements to be made
4. The cost.
5. Possible scale effects

J. SIMILITUDE RELATIONSHIPS

The scale effects must be minimized to ensure that flow conditions and otherparameters ade- Similitude
quately represent those of the prototype. The model is scaled so that ratios of important relationships
dimensions, velocities, and (orces remain constant with the prototype (the laws of similitude).
Significant forces in a hydraulic model study include inertial forces (the force required to stop
the flow), gravity, viscous forces (friction), pressure forres, and surface tension.

1. Newton 's Second Law of Motion

To achieve dynamic similitude, force ratios between the model and nature must be equal. Newton's
The similitude relationship is derived from Newton's second law of motion. law

Fi= Ma = vector sum (Fp + Fg + F,+ Fi + Fe) (7-1)

7-3 ASCE/EPRI Guides 1989

 a. Downstream view of draft tube outlets and overflow spillway with radial gate control.

b. Approach flow patterns to powerhouse around flow separation pier.

Figure 7-1. — Hydraulic model study of river flow patterns for bulb turbine units at Racine
on the Ohio River.

ASCE/EPRI Guides 1989 7-4

The inertial force (Fe) is the vector sum of the pressure (Fp) , gravity (Fg) , viscous shear
(Fi,) , surface tension (Fe), and elastic compression (Fe) forces [USBR, 1980].

2. Correspondence Between Models and Nature

The correspondence between a hydraulic model and nature is usually Iimited because Model-
similitude is usually incomplete for one or more of the six forces involved in fluid mechan- prototype
ics. The normal practice is to scale the model according to the predominant force ratio gov- corres-
erning the flow and to evaluate effects of minor forces. pondence

3. Froude Scaling

In free surface flow, inertial and gravitational forces usually govern the flow field. The Froude
Froude number is the ratio of diese forces: scaling

V
Fr = (7-2)
-‘17,

where:

F,. = Froude number,

V = velocity,
g = gravity, and
L = characteristic length.

Therefore, for free-surface flow models, the Froude number is the same in the model as in
nature.

Fni =Fp (7-3)

where m refers to a model parameter and p refers to a prototype (nature) parameter.

For hydroelectric power plants, a Froude scale model can be used to assess approach flow Appiications
and tailrace flow pattems to optimize turbine performance and determine effects on navi- for a Froude
gation. The location of the power plant, shape of piers, need for streambank protection, and scale model
other factors can be evaluated in a Froude scale model. Flow visualization techniques such
as dye traces and surface floats can be photographed and compared to assess the different
options (fig. 7-1). Velocity measurements can be made at different levels to study the flow
field.

4. Reynolds Scaling

Viscosity and inertia are important forces for flow through flow passages. The Reynolds Reynolds
number is the ratio of inertial and viscous forces. scaling

VL (7-4)
Re= y

where y is the kinematic viscosity of the fluid.

7-5 ASCE/EPRI Guides 1989

 similar roughness yields increasing
higher X- values relative
roughnesslki4rhy )

1
nature
en
o.
m odel

similar losses in a
smoother model
iroughnessnot similar) hydraulically
smooth
en,
Remodel Re nature
log Re —I.-
Figure 7-2. — Model similarity of energy losses in Froude modeis
with viscous and roughness effects.

For a model scaled according to the Froude law, it is usually impossible to scale according
to Reynold's criteria. However, compensations can be made to account for the viscous
forces not being to scale. To account for the difference, a model roughness that is not geo-
metrically similar can often be chosen (fig. 7-2) [Kobus, 1980].

The model roughness is chosen to obtain the same frictional loss coefiicient in the model as
in nature. For cases where the model would be smoother than the hydraulically smooth curve
on figure 7-2. It may also be possible to make other adjustments such as shortening the
model penstock to obtain the computed loss. To minirnize: scale effects, the model should be
' city and available space.
built as large as possible within the constraints of pump capa

5. The Geometrical Flow Parameter (Euler number)

Euler number The Euler number, E,, relates inertial and pressure forces:

2
pV
Eu .-- (7-5)
24

where p= the fluid density, and ¿p = pressure drop.

The Euler number is known as the geometrical flow parameter and is exclusively a function
of the geometry of the flow boundaries. Usually, a hydraulic model can be made large
enough to make the Euler number a constant. The model is operated at successively higher

ASCE/EPRI Guides 1989 7-6

flows until the Euler number becomes a constant. This may require operating the model at
flo-ws larger than indicated by Froude scaling to determine form losses.

The Euler number is often expressed in tercos of an intake loss coefficient, CL, or a pres- Intake loss
sure drop coefficient, which is related to a reference velocity head , where: coefficients

2
Ah = intake loss = C( — )
V (7-6)
2g

The cavitation index, a, is also a form of the Euler number. The potential for cavitation is Cavitation
indicated by the cavitation index and prototype experience. As a becomes smaller, cavita- potential
tion is more likely to occur. When equal Reynold's numbers cannot be achieved in the
model and prototype, it is advisable to interpret a cautiously because local pressures can be
influenced by turbulence in the boundary layer, and the structure of turbulence can differ
significantly between the prototype at large Reynold's number and the model at smaller
Reynolds numbers.

a—
Po — P,
(7-7)
( 19172)
2
where p, is the pressure at a point under examination and p, is vapor pressure at the appro-
priate fluid temperature.

6. Surface Tension (Weber number)

Surface tension is not significant in as many problems as gravity and viscosity; however, in Weber
certain problems of similitude, it can be very important (such as air entrainment and vortex number
formation). As the Weber number decreases, the effect of surface tension increases.

The Weber number relates inertia and surface tension.

2
V pL (7-8)
We = cr

where a is the surface tension of the fluid (not to be confused with the cavitation index).

7. Vibration (Cauchy Number)

The elasticity force of a rigid body is important in problems involving flow-induced vibra- Vibrations-
tions. The Cauchy number relates the inertia and elasticity of the body: Cauchy
number

V2
Ca = PE (7-9)
b
where Eb is the elastic modulus of the body.

7-7 ASCE/EPRI Cuides 1989

 8. Elasticity of a Fluid (Air Modeling)

Air modeling- The elasticity of the fluid is not important unless the fluid is compressible. Elastic forces can
Mach number usually be neglected in hydraulic models. (The Mach number is the square root of the
Cauchy number, with the elastic modulus of the fluid instead of the body.) Air can be used as
the model fluid if the air velocities are kepí below 150 ft/s to avoid compressibility effects
[Kobus, 1980]. Air models require simple, less-rigid structures, and are often less costly and
lime consuming; however, free-surface flow is difficult to simulate in an air model.

9. Integral and Differential Equations

Governing An empirical solution to a problem does not necessarily provide useful information about
equations the process unless some physical interpretations are given to the dimensionless parameters.
The oyeran goveming equations can usually be presented for a particular system and more
meaningful information about the physical processes can be established. A thorough study
of the equations and parameters should be made and dimensional analysis performed to
minimize the limitations placed on the similitude relationships. A pardal list of fundamen-
tal equations encountered in fluid flow systems are listed below:

• Conservation of mass
• Newton's second law of motion
• Conservation of energy
• Second law of thermodynamics
• Newton's laws of gravity

The investigator must recognize the complexities of a problem and select a method appro-
priate to the solution. The goveming equations offer the best opportunity for understanding
the problem and gaining the most information from the study.

10. Model Distortion

Model Froude scale models are normally undistorted, however models of natural waterways
distortion where Reynolds law becomes important often involve distortion. The vertical scale is made
large with respect to the horizontal scale. Thus there is a greater bottom slope and greater
flow depth in the model than would exist in an undistorted model [Davis and Sorensen,
1969]. The distortion tends to offset incorrectly scaled viscous forces.

Advantages of distorted models are:

• Sufficient tractive force can be developed to produce bedload movement with a

reasonably small model and available model sediment.
• Water surface slopes are exaggerated and, therefore, easier to measure.
• The width and length of the model can be held within economical limits for the
required depth.
• Operation is simplified by use of a smaller model.
• Turbulent prototype flow can be modeled.

ASCE/EPRI Guides 1989 7-8

 Disadvantages of distorted models are:

• Velocities may not be correctly reproduced in magnitude and direction.

• Slopes of cuts and fills are often too steep to be modeled in erodible material.
• Boundary roughness may need to be distorted to produce similarity
• Prototype data are often needed to calibrate the model.

K. MODEL LIMITATIONS

The size of hydraulic models is limited by laboratory space, available discharge, pump Model
head and cost, and laws of similarity. Only a limited number of forces can be simulated to limitations
scale; therefore, the model must be large enough to neglect minor forces. Otherwise,
adjustments must be made to account for minor forces if they are important to the flow
condition investigated.

L. MODELS OF HYDRAULIC MACHINERY

Complete similarity of flow between model and prototype requires that both Reynold's Models of
effects and relative roughness be simulated. In most instances, simulating roughness in the hydraulic
model is considered secondary in importance to simulating the kinematic and dynamic machinery
characteristics of the flow.

Model studies of hydraulic machinery are conducted in elaborate laboratories of hydraulic

machinery manufacturers. Large companies like Voith, Escher Wyss, Hitachi and others
have well-equipped laboratories to test their designs on very large models. When large tur-
bines or pumps are involved, each order is treated as a special case, and although there may
be similarities with previous designs of similar machinery, the specific hydraulic conditions
prevailing at the project site must be considered in each design. Questions of whether cavi-
tation on blade surfaces will occur, whether separation of flow along boundaries will take
place, and concem for flow instabilities through the hydraulic machinery must be examined
carefully. Cavitation-free designs of rotating parts of the machinery are critical. Consider-
able past experience with safe designs yields maximum efficiencies.

The turbine prototype efficiency data is obtained by scaling up model data in accordance Moody step up
with principies of dynamic similarity for turbines. The relation between model an prototype formula
efficiencies is commonly determined by adding 2/3 of the value determined by the Moody
step-up formula; i.e.:

0.2-
m . 21 1 _ ( Dm (7-10)
3 DP ) (1-- nm )

where:
n„, = maximum efficiency point of model (peak efficiency from the efficiency hill
curve),
Dm = model turbine runner diameter,
DP = prototype turbine runner diameter, and
d, = incrementa) step-up value.

7-9 ASCE/EPRI Guides 1989

 If, for example, An = 0.0096, the correction in percent would be 100 x 0.0096 = 0.96
percent, which would be added uniformly to all model values to obtain prototype efficien-
cies.

Prototype tests are usually performed on large turbines to verify efficiencies guaranteed by
the manufacturen.

M. REFERENCES

Davis and Sorensen, Handbook of Applied Hydraulics, McGraw-Hill, 3rd ed., 1969.
Gulliver, J., and Wetzel, J., "Optimizing Design: Hydraulic Model Studies," Hydro
Review, Fall 1984.
Kobus, H., Hydraulic Modeling, Internacional Association for Hydraulic Research, Ger-
man Association for Water Resources and Land Improvement, Bulletin 7, 1980.
Pennino, B.J., and Larsen, J., Effects of New Bulb Units on River Flow Pattems, Racine
Hydroelectric Project, Alden Research Laboratory, Worcester Polytechnic Institute, July
1979.
USBR, Hydraulic Laboratory Techniques, Bureau of Reclamation, 1980.

ASCE/EPRI Guides 1989 7-10

 CHAPTER 8. GATES AND VALVES
CONTENTS

Section Page

A. Types of intake gates 8-1

B. Spillway gates 8-1
C. Conditions dictating the type of gate 8-1
D. Gate categories and design data 8-4
E. Multiple outlets vs. single outlets 8-4
F. Throttling and guard gates and valves 8-4
1. Unbonneted slide gates 8-9
2. Bonneted slide gates 8-9
3. Jet flow gates 8-10
4. Top-seal radial gates 8-11
5. Ring-follower gates 8-11
6. Fixed-cone gates 8-12
7. Hollow-jet valves 8-12
8. Needle valves 8-13
9. Sleeve valves and multiported sleeve valves 8-13
10. Butterfly valves 8-13
11. Clamshell gate 8-13
G. References 8-14

FIGURES

Figure

8-1 Typical intake gating arrangements: vertical, small slope on dam, and large slope on abutment 8-2
8-2 Typical intake gating arrangements: tower intake (rectangular and cylinder gates) and shaft 8-3
8-3 Air vent size determination 8-5
8-4 Hydraulic upthrust on gate bottom 8-6
8-5 Several typical outlet gating arrangements 8-7
8-6 Throttling gate data 8-8
8-7 Throttling valve data 8-8
8-8 Guard gate and valve data 8-9
8-9 Bonneted "streamlined" slide gate. , 8-10
8-10 Typical outlet arrangement with jet-flow gate for regulation
and ring-follower as guard gate 8-11
8-11 Typical two outlet gating arrangement with hollow-jet valves for regulation
and ring followers as guard gates 8-12
8-12 Clamshell gate 8-14

CREDITS

The "Gates and Valves" chapter was written by:

Clifford A. Pugh, P.E., Head, Hydraulic Equipmcnt Scction
Bureau of Reclamation, Division of Research, Denver, Colorado 80225

ASCE/EPRI Guides 1989

 CHAPTER 8. GATES AND VALVES
A. TYPES OF INTAKE GATES

Intake gates can be divided into the following classes [Creager and Justin,1949]:

1.Sliding gates. Those that slide directly on their seats without rollers. Types of
2. Wheeled or tractor gates. The pressure is taken by wheels attached to the gate. gates and
3. Stony gates. The pressure from the gate is taken by trains of rollers not attached to valves
the gate or the guides.
4. Caterpillar gates. The pressure from the gates is taken by a chain of rollers.
5. Radial gates. The gate revolves about a spindle or pivot point. For Jeep set gates
there are top and bottom and side seals.
6. Cylinder gates. Cylinder gates are primarily used where entrances are vertical. The
water enters radially through the gate and tucos down through the conduit. Operating
problems are common with this type of gate; i.e. Keechelus, Cle Elum, Elephant
Butte, and Coolidge dams. In new construction or rehabilitations other types of gates
should be considered.

Figures 8-1 and 8-2 show various intake gating arrangements.

B. SPILLWAY GATES Spillway gates

Overflow spillways are usually controlled by one of the following types of gates:

1.Radial gates
2. Drum gates
3. Wheel or tractor gates
4. Stony gates
5. Bascule or pelican gates

(Refer to Division II, Part A, Chapter 1, "Dams," for more information on spillway gates.)

C. CONDITIONS DICTATING THE TYPE OF GATE Conditions

dictating gate
The type of gate to be adopted depends mainly on the size of the opening, the head on the selection
gate, and the operating conditions (corresponding to the following circumstances).

1. If the gate must open and close under full operating head conditions with flow
through the intake.
2. If the gate is only required to operate as a guard gate under no flow balanced head
conditions.

8-1 ASCE/EPRI Guides 1989

 1 SCHEMATIC ILLuSTRATION NOTES ANO
fLOW DIMECTION --.- COMMENTS
t
e -- -, Intake types used
Hoist•--... 1 -HOW HOUIE
principolly on con-
V ERTI CAL INTAKE ONDMA OR ABUTME NT

1 --Air Vent crete dams and on

Reservoir w.S.,,
I . earih doms with
. • . ,-Vent exit for abutment 'Makes.
-„_,
- 1 o - -'' I . ' 1 -. Bates with uP- Type A used primardy
for single line outlet
- - - Air Vent - • F u 1511 Ireenagmth s:eanist '
Slot works Type B used
Cover.. l, .Curlain Wall-• for downstreum for all lypes of
d.: • . seols power auneis and
Trasbrach---- i Tlntermediate for branched and
.:-,, Treciiismhoru
.ii-e atchtl ° Stem Sections manifold Type of
outlet works
1j ' .--Iliheel or Roller-
Enfronte -: Maunted Gale
I 10~ I 1 .

1,n11111
.-Pipe
I I
./ MI -Canduit Bulkhead i 5,1
..
Gate----- 1
----Bulithead - ..h.
Cate r .___,o-_,..,-- ••iransitliOn
TYPE A TYPE El
i

----Removable Housing Type of Intoke

frequently used on
Reservoir WS,-. -.... thin-arch concrete
dums Usad for Oil
SIAALL SL O PE I NTA KE ON DAN

' ----- ir . -- --Hoist

— types of power out.
Slot Cover ----- t lets and for branch-
--- -Air Vent ed and monifold
Stoplogs--- iii ' outlet works Gentry
Note • that stoplogs must .o crone s usualiy pro-
stock la a much greater , vided for handling
O gafe and stoplags
height if a deep curtain ,,
W1311 15 not used as in for multmle outlet
Type B aove , installotiDas
Io
Trashrock---- I . Transitian „
e O.

Wheel ar Rolter-
Mounted Gule-- r -Pipe
o
o :e,
I

Hoist House---- Intake used mainly for

abutment Makes on
, earth dums Hoist
L ARGESLOPE INTAK EON ASUTHENT

Reservoir w. S:-, Hoist--. .- ' stems must be pro-

vided with support
•- wheels. Reduction in
Max. w S. of which Bulkhead tli''-- effective weight for
can be used for unwatermg,_ gravity closing may
_ .
Curtain Wall---.., ---Abutment reguire the provision
• , o of closing thrust by
Trashrack-, the hast , or the use
Air Vent
of taller-mounied
2-Section Bulkhead ' "-Stem Seclions with gafes.
Gale-------., - Support Wheels
... .-i
Wheel ar Roller- , ' ,, -,- ,.
„Pipe
Mounted Gote--- - ..
...t.

- . 0. • ".. _ . .';•:Tronsition
'... _u '-'1 ir••
-

Figure 8-1. — Typical intake gating arrangements: vertical, small slope on dam,
and large slope on abutment.

ASCE/EPRI Guides 1989 8-2

 SGNEMATIG ILLUSTRATION NOTES ANO
FLO51, DIREGTION P —- GOMMENTS

a. Tower inlokes ore

Hoist------- ,..-aridge to Dem
TOWE RINTAKE ( REC TANGUL A RCATE)

: or Abutment used principally on

, earth doma where
Reservoir w.5--•,
.., abutments are not
1
-• salubre for aduke
—.- - - 'Al:- Miel for upStreom seal structures. Also
gato. See Vertical Intake, used for concrete
Curtain Woll------ ,0
Type 9, for oir vent on dams where intokes
..•-•
--.:. downstream seal gato. must be !ocoted on
r abutments and other
o -'''• Hoist Stem Sections
Troshrack ,.. types ore not sanable
- Basic arrangement is
.••• .-Tronsition similar io vertical
' abutmeni intake_
Bulkhead Gate-
, Pipe Bridge is usuolly
Wheel or Roller- provided to dem or
Mounted Gate------ abutment.
r

Haist House-----.r 1 ,-Bridge tO Dom Tower intake used

i
Haist----;---- I i t or Abutment primarily where
Reservoir w.5:-.. intake entrence is
, ~Z MIMI
'. M 9
TOWER INTAKE MYLIN DE RGATEI

i . vertical Other
selection foctors
Air Venls i are Similar to those
stOted abone for
vertical towers for
-Hoist Stem Sections rectangular geles.

Trashrock -Bulhhead Gates

nk tul:
f

Cyiinder Gate J -Radial Entrences

- -- ' i I
.- -=„ iimpi
Pipe---.: i p -Bellmoutil
..•

Hoist House----1 .... -Hoist Intake errangement

Dern or Abutment- •„., 1 1-Air Vent used principolly on
1
SHA FTISU GM ERGED U PSTREAM I N TAK E)

---Reservoir w,s,-„ -. earth dams. Shaft

...- ,
.--
.,. ' ' usuolly locoted neor
—meaws--
__ SOIS of dom , either in
• •Hoist Siem finm or obutment,
Removoble Treshrock lo sectiops Abulment locotion is
'., perola Installing Buikhead preferable lo avoid
.• Joint between obut-
--Intake Struclure
ment rock and dam
111-1111:
il í -Troshrock fill. Intake Bulkheod
! ! -•-Circulor Bulkheod installation requires
li Access drowing reservoir
1.,:.,,. . _11 Gote Am , 'tx. Adit
down or placement
. '› .,....: •--Beilmouth
ilstue.....ca.c. BOnnet COVer '.- •
from a barge and
.1 Steef Encosement-, :ip . ...,.
, the employment of
Wheel or Roller-
I: divers ,
Mounled Gote•-_ ., '‘
-'' '
IWe4: WII
11.721..P3211
Transitionsli-1d j u nPnel131:e'l

Figure 8-2. Typical intake gating arrangements: tower intake (rectangular

and cylinder gates) and shaft.

8-3 ASCE/EPRI Cuides 1989

Gate D. GATE CATEGORIES AND DESIGN DATA
categories
Gates controlling long pipelines are usually in the first category so they can be closed read-
ily in the event of a break in the pipeline or turbine casing. They are often equipped with
controls from the powerhouse. Adequate air venting is required just downstream from the
Air demand gate and the operating mechanism must be designed to handle the hydraulic forces. Air
vent size requirements can be determined using the procedure outlined on figure 8-3.

Hydraulic Hydraulic downpull and upthrust forces are dependent on the shape of the gate lip.
upthrust and Upthrust forces can be estimated and for a few typical gate lip shapes using figure 8-4. The
downpull effect of downpull is also included in this chart. Downpull may be viewed as a reduction in
upthrust or a reduction in buoyancy. The size of the operating mechanism is determined by
the hydraulic forces (including the upthrust and downpull on the bottom of the gate and the
pressure in the bonnet pushing down on the top of the gate), the friction (orces and weight
of the gate. If the gate lip shape is different from those on figure 8-4 the hydraulic forces
may vary [COE, 1961].

Gates for low-head plants and short pipelines are usually in the second, or guard gate, cate-
gory. For low-pressure intakes, slide gates, wheeled gates, caterpillar gates, stony gates and
radial gates are generally used. For high pressure intakes, caterpillar gates, butterfly valves,
radial gates and slide gates are generally used.

Multiple vs. E. MULTIPLE OUTLETS VS. SINGLE OUTLETS

single outlets
Whether one or more intakes and outlets are used to control is a matter of relative econo-
my. In many instances a number of layouts must be investigated before the most economi-
cal arrangement can be decided on. Figure 8-5 shows typical outlet gating arrangements.

Throttling F. THROTTLING AND GUARD GATES AND VALVES

gates and
valves Throttling is defmed as the capability of a gate or valve to regulate flows which are dis-
charged freely or at relatively low back pressures. Some of the gates and valves which are
commonly used for throttling and guarding are shown in figures 8-6,8-7 and 8-8. A brief
summary of the characteristics is given for each type.

ASCEJEPRI Guides 1989 8-4

 AIR DEMAND DESIGN CRITERIA

0.6 , TERM1NOLOGY
0.5 1 Y= Water depth in feet at vena
/
contracta.
0.4
D=Height of yate opening in
/
feet.
0.3 /
Cd=Discharge coefficient.
/ V=Velocity in feet per second.
0.2 1- / G=Gravitational acceleration
/ 32.2 ft. / sec.2
-N -, H=Head across valve in feet.
o ..Z
, --Curve B (For short conduits with
o
a / p=0.03 (F- i)''" fairly smoll losses,use the
,
" 0.10
"4- 0.09 / difference in heod from the
0.08 reservoir surface to the
0.07 top of the vena contracta.)
.'----Curve A
0.06 ) 1.4 -- W= Gate width .
//
/ p-0.0066 (F-
0.05 OzWater dischorge in cubic
feet per second.
0.04
//
F =Fraude number.
pa= Estimated air demand in
0.03
cubic feet per second.
/ /3= Ratio of estimated air
0.02 V demand to water flow.
2 3 4 5 6 7 8 9 10 20 30
(F-1)

Curve A- Kalinske and Robertson tests - Use where a hydraulic jump

forms in the downstream conduit.
Curve B- U.S. Army Engineers - Suggested curve for free sur foce flow
discharges. ( No juma)

MR VENT SIZE DETERMINATION PROCEDURE:

1. Determine depth of water (Y) at 8. Determine vent oreo based on
vena contracta allowed air velocity.
Y - D (Cd )( gate opening) (See Note 2.)
(See Note 1.) 9 Check Iosses in vent to be sure
2. Colculate spouting velocity they are less than 5 feet of
V=1/TW ,i water head.
3. Calculate discharge of water (Q.)
(V)(Y)(W)
4. Determine Fraude number (F) at NOTES
vena contracta Note 1. Use 0.8 for 45 ° yate bottom
F= V/T and 0.6 for sharp bottom
5. Evaluate (F-I) lip. Assume yate opening is
6. Determine /3 on curves A or B using 0.8.
(F- 1) Note 2. Allowable air velocities range
7. Determine air demand (0.) from 150 fps to 300 fps
Oa -0„R
Figure 8-3. - Air vent size determination.

8-5 ASCE/EPRI Guides 1989

 sninD Ild3/3DSV
100

L • h.. ....* • I
P
1 1 •
I
I _
90
442,49,017.1 hiODEL a" --_
. • • _ro iaorr , OF .. j_---1- PONI' .0.11.11.5ffgrorYPE

1 . i
686 1

ao

i• BASIC EQUATION

10
•I P=W+A.

•. . .• I 1 di DOWNTHRUST
PER UNIT

r no
r • • ,._ 1 OF AREA WHERE:
P.Inie f1.17 PROTLITYPE
r• R• 00-110,,

3 so 99P7 La e
• • • P = hydroulle ond grnoily 'orces in rons

Vra. dry woigfrt al gota in Ione

•

O •a F.• A m cross•sactionol oreo 01 gola in se

40 di= go doarnikrual per unir ol oreo on

I top al gola in leal 01 arare.
1
11\1\4 u1 = e:moraga upshru al per unll 011 arao un
20 Sloping !sonora of gota in loar oi arenar

L\
\\," • 74 .' a e y— epacIlle waighr oí water, 0.0312 Ion
14 =IX
. fo l 12 17 --T— puf cu ír
20

I
NORFOgir PROrarr•e Ir -111
al..1•1-1:10 .nr
10
by,.. •
• UPTHRUST PER
UNIT OF AREA
J

0 o o4 03 O 07 Oa 0o Lo

DOWNPULL

45

NORFORX TYPE
Va 5.00 FORT RANOALL
Nolo: Dogs noi 'ocios'a factor lor Frierionol
143.24
and ochar mechonieol lotees.

dl m gota W011 vocal Sudo., obesas

NOTE , T • APEO AOC THICIINE 53 OF
CATE -FT conduil Ineders (H.,,) minus sures oí galo
.1DTH OF CONDI/ir- FT height (D) and pata e:uranios' (Do).
PINE FLAT DEFINITION SKETCH
,r• 4 16

VERTICAL LIFT GATES

VERTICAL LIFT GATES
HYDRAULIC AND GRAVITY FORCES
UPTHRUST ON GATE BOTTOM
NORFORK TYPE F DEFINITION AND APPLICATION
NTOPAVL1C 3E31C19 C.11421- 120-211 HYDRAULIC DECIGN CFIART 320-2

Mi. le •11. 11. 10.41 41E3 •-.11

.311•111

Figure 8-4. — Hydraulic upthrust on gate bottom.

 UPSTREAM SCHEMATIC ILLUSTRATIONS DOWNSTREAM
GATING FLOW DIRECTION—•- GATING

Guard Gate /.-Penstock

and
Bulkhead 91111
1101 4 Turbine
Gate •--Guard Gafe Wickets
SI NGL EOUTL ETS

Turbine----- O
or ..-..- '-Entrance
Stoplogs 'Bulkhead Gate
or Stoplogs POWER OUTLET

„-Conduit .-Guard Gate

I' Guard Gate
h _________Dk________K, and
it ..,
Bulkhead Regulating
Gafe ) -44 .-Entrance Gafe
Regulating Gate:
`Bulkhead Gate or Volve------' or
Valve
OUTLET WORKS
.Guard Gates
„Entrance /i or Valves
Guard Gate 14,
Guard Gates
or
1 111.0 ? ! Valves
.‘ ,:' .;::Turbines and
1
SIFURCATED OU TL ET S

Penstock-) Turbine Wickets

‘•Bulkhead Gate
Guard Gate or Stoplogs O
and
Bulkhead POWER OUTLETS
Gate
or Regulating Gates ar Valves—-,
.-Entrance )
Stoplogs --: :
,-Guard Gafe idliii .: Guard Gates
Í

Iva,
i i
Guard Gates-z:
.
',1,'=”
,
.; Gates
and
Regulating
.- or
•Conduit 1111111 Valves
'--Bulkhead Gate
ar Stoplogs
OUTLET WORKS
MA NI FOL DOU TL ETS

rEntrance Regulating Gates or Valves---.,,, OUTLET WORKS

Guard Ga te Manifold Guard Gates
• ,..- -Pens tock -' II ll and

Guard Gate
and
II

11
1
1il •••-•-.
Guard Gates,:
.
I
Regulating
Gates
or
Bulkhead lit i ,„-- Valves
Gafe 1(.11
or POWER OUTLETS
'Bulkhead Gafe ,.- ...-
Stoplogs ar Stoplogs .. -- Guard Gates
OUTLET WORKS or
Guard Gates / O O Valves
or Valves--' ---Turbines and
Turbine Wickets
POWER OUTLETS
I

Figure 8-5. — Severa' typical outlet gating arrangements. [Davis and Sorensen, 1959].

8-7 ASCE/EPRI Guides 1989

 SERVICE CLASS1FICATION THROTTLING GATES
= .
4,, re
Hoist j
il 1 Hoist
1 Hoist 1 Air
SCHEMATIC DIAGRAM
.. . • Air Vent
...,
(dedico' guard
gotees 4 .
:I
Bonnet Vent
....•
Haist 1.1
Stern
- j,,l . •. ,•-... Air Vent
1....,.._
Conduit .: 110 Colluit .,
.- Frome
FLOW DIRECTION 1-••••• 1
, %lig Leaf
Leaf 1 --Conduit Conduit
___
11 II IIIIAILeaf
,ote
Frome kl111111111.11
• •:.• - .- • - • • •••
UNBONNETED BONNETED SLIDE GATES JET-FLOW GATE TOP-SEAL RADIAL GATE
NAME SLIDE DATE 'SIGN PRESSURE" TYPE STREAMLINED TYPE
MAX. HEAD (APPROX.) 75' 200. 500 . 50d1- 200-230'

DISCH, COEFF1CIENT (a) 0.6 TO 0.8 0.95 0,97 0.00 70 0,84 0.95

SUBMERGED OPERATION NO NO YES (I) YES (11 NO

THROTTLING LIMITATIONS AVOID VERY SMALL DISCH. AVOID VERY SMALL DISCH. AVOID VERY SMALL DISCH. NONE NONE

SPRAY MINIMUM MINIMUM MINIMUM SMALL MINIMUM

LEAKAGE SMALL SMALL SMALL NONE SMALL To MODERATE

NOMINAL SIZE PANOE (6) TO 12. WIDE e 12 H1GH TO 6' WIDE 8, 9. HIGH 70 10' WIDE 0 20' HIGH Id? TO 120" DIA. TO 15' WIDE 0 30' HiGH

AVAiLABILITY COMMÉRCIAL STD. (i) SPECIAL DESIGN SPECIAL DESIGN SPECIAL DESIGN SPECIAL DESIGN

MAINTENANCE REOUIRED PAINT PAINT PAINT (21 PAINT PAINT - SEALS (I)

COMMENTS ANO NOTES:
la.) Coefficients are aparca-
imate and moy Yory
somewhot with specific
designs.
(b) Size ronges shown ore
representative, and ore
not limiting.
(I) Gates ore reodily (1) Air rento required (I) Air vents required (11 Seol reOlocement
ovailable from severo' (2) Use of stainless in 5-15. years is
commercial sources steel surfaced probable depending
They are not an fluidways, will on design and use.
'off-the-shelritem, reduce pointing
however. requirements ond
covifitiOn dornoge
hazard.

Figure 8-6. — Throttling gate data.

SERVICE CLASSIFICATION THROTTLING VALVES

Drive Una
Control Cob.
Control Cab. i Drive Unit Operator I
• Movable
••• • loza "lavable Needle
SCHEMATIC DiAGRAm T be 1111
Cylinder
I ,- ..r Hydr. ,•-•: - mant,„.
ii
01 Cyl. .~ 11 1 COnduit
FLOW DIRECTION El1 111. ii— .
(-- .44r_cmil k_.
1
... a Sleeve
anda' .
Fited Cone Cond ii Conduit Needle onduil- Sena

NAME FIXED-COME VALVE HOLLOW-JET VALVE NEEDLE VALVE TUBE VALVE SLEEVE VALVE

MAX. HEAD (APPROX.) 1000 . 1000. 1000. + 300' 250+

DISCH. COEFFICIENT (o) 0,85 0,70 0.45 TO 0.60 0,50 70 0,55 0,80

SU13mERGED OPERATION YES (I) NO (5) NO YES YES (I)

THROTTLING LiMITATIONS NONE AVOID VERY SMALL DISCH. NONE NONE NONE

SPRAY VERY HEAVY (21 MODÉRATE SMALL MODERATE 111 NONE

LEAKAGE NONE NONE NONE NONE NONE

NOMINAL SIZE RANGE (b) 8" 70 108' DIA. 30' TO 103-.131A. '10"70 96" DIA. 36"TO 96" DIA. 12" TO 24"+ DIA. (21

AvAILABILITY COMMERCIAL SYD. (3) SPECIAL DESIGN SpECIAL OESIGN SPECIAL DESIGN aPECIAL DESIGN

MAINTENANCE REOUIRED PAINT PAINT PAINT Hl Futurt PAINT

COmMENTS AND NOTES:
(a) Coefficients ore opproa-
imate and may vory
somewhat w4h specific
designo.
(b) Size ronges shawn ore
representatire, and are
not limiting.
(I) Air venting required. (i) Submergence to 1_ (1) If water operation (II Spray is heoviest (1) Volve is designed fOr
(2) Spray refino will of volve is permiss- is used, disoOSembly at apenirtgs of use oniy in fully
change to maderote ible. ot 3 to 5 yeor inter- less than 35%. submerged condi-
if o ciownstreorn sois for removing At the larger open- tinas.
hood is odded. sople deposito is ¡no the rating wouid (2) Lorger sizes seem
(3) Volver are not stock. usuolly necessory, be better thon mod- feosible and will
ítems but standard erute_ prObobly be developed.
commerciol designo
ore ovailable.

Figure 8-7. — Throttling valve data.

ASCE/EPRI Guides 1989 8-8

 SERVICE GLASSIFICATION GUARD GATES GUARD VALVES

Hoist , pá r. Sphere or Air

Upo& Hoist
I Bonnet : Gafe
L
eonduit i Vent Plu9 Vent
li / / I
SCHEMATIG DIAGRAM
SEO FIG. i Leaf •-P. r Air Seal
Slot Mg
...,9fs, , Body 1 ,....i.
...., I, ( Vent Frarne. .- Leaf MI
FLOW DIRECTION FOR D1AGRAMS -..-..St"
• 11
Follower !II '~.
I Conduitj Conduit
C• y - 911 - w
.... 1-1.
1..:j.. . Leof Opera tor 1 Body
Conduit'. Bonnet °perol'«
SLIDE GATES WHEEL-MOUNTED OR
NAME PUIG- FOLLOwER LG
°ATeE
r BUTTERFLY VALVE SPHERICAL ANO
UNBON. HL-PRES. STRML. ROLLER-MOUNTEO GATES pLUG VALVES
MAX. HEAD (APPROX.) 100' 250' 500' sod + 500' 750+ 15004
HEAD LOSS, HL (e) 11 cinsvy 0.034'1
/ NEGLIGIBLE 0.1 V72, 0.2 TO o.3-v 2 / 2 d .— NEGLIG I BL1— .
2G 2G
LEAKAGE * * * NONO SmALL TO MOOERATE NONE TO SMALL (I) NONE
NOMINAL SIZE RANGE .16) * * A 36 .. TO 120" 01A- TO 10'w10E 8 30'141G1.1 12'TO OVER1201A. 12" TO OvER id DÍA.
ALL TYpES OF CIRCULAR TOP SOAL RADIAL GATES
(3) CONOUIT THROTTLING ALL TYPES OF CIRCULAR CONDUIT
USED AS GUARO UNIT FOR (2) I21 AND OTHER SOUARE OR
THROTTLING GATES ANO VALVES
GATES ANO VALVES. RECTANGULAR UNITS
AvAILABILITY A * * SPECIAL OESIGN SPECIAL DESiGN STO. AND SPECIAL 12) STO. AND SPECIAL (1)
MAINTENANCE REOUIRED A A A PAINT PAINT- RUBBER se.ALs PAINT - SEALS (3) PAINT
COMMENTS AND NOTES: A See dato an Fig. I Normolly wheel-mounted (I)Rubber seoted calces II)Sizes to obaut 24.
(o) Heocl lasses ore approx- (1)Head loso coefficients gateo are used except hoye no leastage when ore fairly standard.
imote and moy vary will vory from obout for high heods. neo. Metal seats will Lorger sizes and
somewhat with speeifie 00 to 0,4 depending hoce some lookagt. high pre551.1reS are
designs. on entrence. (2) Sizes to 36' or 48 special.
(b) Size rengos shawn are (2)1.1suaLly used with o ore fairly standard.
representotive, and are sonilar type throttlinq Largor sizes and
not hrots. gafe. Sametimes used high pressures are
for other types. usuolly special.
(3) Used clon coupled (3)Metal seais moy
with similor throttlinq require periadie
gafe. Seo Fig.! adjustment

Figure 8-8. — Guard gate and valve data.

After hydraulic suitability has been established, other pertinent factors in the specific
installation need to be considered before making a selection. As well as the criteria given
on figures 8-6,8-7, and 8-8; the following information should be considered in the selec-
tion of a specific gate or valve [Kohler, 1969].

1. Unbonneted Slide Gates

Unbonneted sude gates are used at maximum heads of 75 feet, but may also be used at Unbonneted
higher heads as guard gates. sude gates

2. Bonneted Slide Gates

There are two basic types of bonneted slide gates. The high-pressure type was developed Bonneted
in the early 1900s for heads of about 100 feet. In the 1950s, laboratory studies showed that slide gates
with improved flow passage and leaf design, these gates could be used at much higher
heads. This improved design, designated a streamlined sude gate, has been used success-
fully for throttling at heads of 350 feet. This design should be applicable at heads up to 500
feet (see also table 3-1 in chapter 3, "Outlet Works"). The basic difference between the
two types is that the high-pressure type uses a casting for the flow passage where the
streamlined gate uses a welded steel plate flow passage which results in smeother surfaces.
In new construction, welded steel is generally used, since castings are not readily available
and are difficult to repair. Figure 8-9 gives details of a bonneted streamlined sude gate.

8-9 ASCE/EPRI Guides 1989

 Vent entre for
bleeding or from -Gafe Leal in
gote slot closed position

A
Groeting
`r. r
Gafe slot offset

Leyer position PLAN ..Lever dosifico SECTION B- B

(stud engogedr-' (siud disengagedl pepe
F.1:1 Overtravet-..
Vent
eonnect ion
Upper Cyhnefer
hangar slud
c for holding gete Dr
'aleed hne opera mechanically
perno/ repotk,ng if desired.
pistan wilh go/e pocking
heid oyen by oil
''.Pisfon rings
under pistan.
Eironte overlay-' `"Pistan

Cybnder..-" Access opening

Go/e stern— to s uffing
bofes::
Ol pipa
Etonnel cocer-.. .Vea pacting conneciion
., (Strunless
Foclung :VIEW D-D
POSiTION
INDICATOR
Approx 1-- •
1
11110

of embedding Rechus ..... ,,Shorp bp

concrete
DETAIL C
Stem nuf.'
kr miel nol Seat greosing
reguired on syslern.---
guard gafe; Air rent
Leo!
pipe-
Gote body

DETALL X
IUR INLEF MANIFOLD
ON FICCOLATINO GOTO

Gafe

Grouhng

SECTIONAL ELEVATION A-A DOWNSTREAM ELEVATION

GUARO ONTO SNOWN
REGV4,7111G GaltrE 51..001 eUr .C.OIRES
DO.STREA. OÍR al:masca alalrireala
3IC Wall. a

Figure 8-9. — Bonneted streamlined slide gate.

3. Jet-Flow Gates

Jet-flow gates The jet-flow gate was developed by the Bureau of Reclamation. It has an excellent opera-
tion record at several large dams including Shasta, Canyon Ferry, and Trinity Dams in the
United States. At Trinity problems were encountered with the aeration mechanism in the
downstream conduit. However, these problems were solved by conducting a model study
of the conduit and aeration device. Use at heads of 500 feet or more appears feasible. This
gate has proven to be very useful in small sizes (as small as ten inches) for regulation of
mínimum streamflows. Large sizes are norrnally partially embedded in concrete; small
sizes are not usually embedded. Figure 8-10 shows a typical arrangement with a jet-flow
gate as a regulating gate and a ring-follower gate as a guard gate. The figure includes a
typícal coefficient curve for a jet-flow gate.

ASCE/EPRI Guides 1989 8-10

 0.9

GOEFFICIENT OF OISCHARGE-C
0.8

0,7

0.5

0.5

0.4

0.3

0.2
41fieel mounted
( 0.1
leaf . •
0
0 20 40 60 130 100
PERCENT GATE OPENING
SEGTIONAL PLAN COEFFiCIENT CURVE FOR JET FLOW GATE

Ring-Follawer gato-
Ç. Jet Flow gafe

Platform. Oil tank

odder
Ladder-

Filling by-pass

Air vent rdir vent

bieed lisie passage
- a•
r ,

bid! ner

SE1
Lower bonnet
101 111111:1111
E,.

[over
Gil m. '--Conical diffuser

Bonnet binar line SECTiON A—A

(GATE OPENI

SECT1ONAL E LEVAT I ON

Figure 8-10. — Typical outlet arrangement with jet-flow gate for regulation
and ring follower as guard gate.

4. Top-Seal Radial Gates

Top-seal radial gates perform well for throttling and are well suited for large conduits at Top-seal
heads up to about 150 feet. They can be used at higher heads with special anention to radial gates
design of the seals. Top-seal radial gates are frequently more economical than bonneted
slide gates when conduits are larger than about 8 feet by 8 feet.

5. Ring-Follower Gates

Slide gates with a follower section, whích aligns with a circular fluíd passage when the Ring-follower
gate is open, are usually designated ring-follower gates. Analogous types of gates are gates
wheel- or roller-mounted with movable seals and are called "paradox" and "ring-seal"
gates. Hydraulically these gates are very similar. The advantage of the wheels or rollers is
that the hoist capacity can be considerably reduced when they are properly maintained. The
disadvantages of the wheels and rollers are complicated design, manufacture, and mainte-
nance. The simpler ring-follower gate is the most common (figs. 8-9 and 8-10).

8-11 ASCE/EPRI Cuides 1989

 6. Fixed-Cone Valves

Fixed-cone The fixed-cone valve was invented by Howell and Bunger and is cornmonly designated by
valves their mames in the United States. It is ideally suited as a throttling valve where the dis-
persed discharge and spray are not a problem. Where the spray must be reduced, a hood or
containment structure is provided adjacent to the valve. Fixed-cone valves are also used as
bypass valves and pressure relief valves for turbine load rejection. However, flow induced
vibrations must be considered if the valves operate submerged. Flow pattems and pres-
sures downstream from fixed-cone valves operating submerged were studied in a hydraulic
model by Mefford [19861.

7. Hollow-Jet Valves

Hollow-jet The hollow-jet valve differs from the fixed-cone valve in that a conical needle element
valves moves longitudinally to control the flow and in that the valve body shape controls the
downstream jet pattem. Hollow-jet valves produce considerably less spray than fixed-cone
valves. Hollow-jet valves should be applicable at heads up to 1000 feet. Figure 8-11 shows
a typical two outlet gating arrangement with hollow jet valves for regulation and ring fol-
lower gates as guard gates. A coefficient curve for hollow jet valves is also included.
J. as

as

a.

z, 0.2

Ring-fol [Quer
nTnT Hollar volvef7
O
20 40 CO ao 100
PERCEHT VALOR OPENING

COEFFICIENT CURVE FOR HOLLOW-JET VALVES

SECTIONAL PLAN

Croe lar uso In

m
gooint e a nee of the
e s a nd volees. ----,
.
3151
1
21

Indicator-, Oil ,-Con ról eabinet

.tank- ---.,,, , •

••
II
' Hl
.
Ea MM.
III
^411.N.- USW* Aiit: -
Ground line; --Holch eovers-•—

~I
,...,..9%--.-...„ ,,,,..-r?-:7—•,-„,
,

--Drain and flushIng

II1.1 Cap •• .
line for lower
gafe bonnell.

SECTIONAL ELEVATION SECTION A—A

Figure 8-11.— Typical two outlet gating arrangement with hollow-jet valves
for regulation and ring-followers as guard gates.

ASCE/EPRI Cuides 1989 8-12

8. Needle Val ves

Needle valves are not normally used as throttling valves in new construction. Other valves Needle valves
such as the fixed-cone and hollow-jet valves and jet-flow gates are more efficient and are
usually less expensive. The Bureau of Reclamation is currently replacing all of its needle
valves with jet-flow gate due to safety, operation, and maintenance problems. However, a
large number of needle valves are still in service throughout the world. Where needle
valves are still in service care must be taken to ensure that air cannot be trapped in the
operating chambers and the surface tolerances must be properly maintained.

9. Sleeve Valves and Multiported Sleeve Valves

Sleeve valves were developed to operate fully submerged and dissipate energy by discharg- Sleeve
ing into a vertical stilling well. The head limit is about 250 feet. Multiported sleeve valves valves and
use the same principie. They employ a sliding sleeve to align many small boles. The small multiported
jets discharging into a stilling well dissipate energy at much higher heads. Clogging of the sleeve valves
small ports may be a problem if debris is not properly filtered from the water.

10. Butterfly Valves

The most common use for butterfly valves is as guard valves for a downstream throttling Butterfly
valve or turbine. They are less efficient hydraulically than ring-follower gates or rotary valves
valves (such as spherical or plug types) since the butterfly leaf presents a flow obstruction
and creates turbulence. The flow obstruction is more critical in high velocity flows since
cavitation damage may result. A type of butterfly valve with ridges on the leaf reduces the
incipient cavitation index (a) considerably by breaking up the jet and directing the flow.
This "ridged" valve may be applicable for throttling in some cases.

11. Clamshell Gate

The clamshell gate (fig. 8-12) is a new type of gate designed to be cavitation free for in line Clamshell gafe
control (with a downstream expansion) or end of the pipe control for free or submerged
discharge. The gate does not require a large gate chamber or a large operating mechanism
and has no parts which extend into high-velocity flow passages. This gate appears to be
ideally suited for turbine bypass flows or for pressure relief in case of load rejection
[Isbester, 1976].

8-13 ASCE/EPRI Guides 1989

 Figure 8-12. — Clamshell gate.

G. REFERENCES

COE (U.S. Army Corps of Engineers), Hydraulic Design Criteria, 1961.

Creager and Iustin, Hydroelectric Handbook, 1949.
Davis and Sorensen, Handbook of Applied Hydraulics, 3rd ed., chapter 22, McGraw—Hill,
1969.
Isbester, T.J., "Clamshell-Type Hydraulic Flow Control Gate," Patent No. 3,998,426
December 21, 1976.
Kohler, W.K., "Selection of Outlet Works Gates and Valves," ASCE Annual and
Environmental Meeting, Chicago, Illinois, October 13-17, 1969.
Mefford, B.W., "Submerged Operation of the Fixed-Cone Valve," 1986 ASCE—ASME
Combined Conference on Advancements in Fluids and Hydraulics, Conference Proceedings,
1986.

ASCE/EPRI Guides 1989 8-14