(NATO ASI Series 274) Xxxxxxxxxxxxs (Eds.) - C2014.14 (1994)

Computer Modeling of Free-Surface
and Pressurized Flows

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Series E: Applied Sciences - Vol. 274

Computer Modeling
of Free-Surface
and Pressurized Flows
edited by
M. Hanif Chaudhry
Washington State University,
Pullman, WA, U.S.A.
and
Larry W. Mays
Arizona State University,
Tempe, AZ, U.S.A.
Springer-Science+Business Media, B.V.

Proceedings of the NATO Advanced Study Institute on
Computer Modeling of Free-Surface and Pressurized Flows
Pullman, WA, U.S.A.
June 28-July 9, 1993
A C.I.P. Catalogue record for this book is available from the Library of Congress
ISBN 978-94-010-4417-2 ISBN 978-94-011-0964-2 (eBook)

DOI 10.1007/978-94-011-0964-2
Printed on acid-free paper
All Rights Reserved

1 9 9 4 Springer Science+Business Media Dordrecht
Originally published by Kluwer Academic Publishers in 1994
Softcover reprint of the hardcover 1 st edition 1994
No part of the material protected by this copyright notice may be reproduced or
utilized in any form or by any means, electronic or mechanical, including photo-
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permission from the copyright owner.
Table of Contents
List of Major Contributors IX
Part I. Free-Surface Flows
1. Governing Equations for Free-Surface Flows by J. A. Liggett 3
2. Finite-Difference Methods for Shallow-Water Flow Analysis by J. A. Liggett 33
3. Computation of Flows With Shocks and Bores by M. H. Chaudhry 63
4. Boundary Integral Equation Method for Free-Surface Flow Analysis

by J. A. Liggett 83
5. Finite-Element Methods for Free-Surface Flows by J. l. Finnie 115

6. Application of Finite Element Models to Free-Surface Flows by R. Mayerle,
A. Malcherek, and W. Zielke 147
7. Upwinding and Characteristics in FD and F-E Methods by A. Malcherek and

W. Zielke 173
8. Introduction to Turbulence Models by J. l. Finnie 205
9. Development and Application of a Three-Dimensional Hydrodynamic Model
by B. H. Johnson, K. W. Kim, R. E. Heath, and H. L. Butler 241
10. Sediment Transport Models and Their Testing by Y. Onishi 281
11. Contaminant Transport Modeling in Surface Waters by Y. Onishi 313
12. Modeling of Dam-Break Flows by A. Betamio de Almeida and A. Bento Franco 343
13. Flood Routing Models by R. K. Price 375

14. Simulation of Urban Drainage Systems by R. K. Price 409
Part II. Pressurized Flows
15. Derivation of One-Dimensional Conservation Equations of Pressure Transients

by C. S. Martin 447
16. Numerical Methods for Solution of Governing Equations by A. P. Baldy 459
17. Methodologies for Reliability Analysis of Water Distribution Systems by

L. W. Mays 485
18. Pressure Wave Propagation in Two-Component Flow by C. S. Martin 519
19. Development of Water Quality Models by R. M. Clark 553

20. Applying Water Quality Models by R. M. Clark 581
21. Slow Transients in Closed Conduit Flow by B. U. Rogalla and A. Wolters 613
22. Modeling of Rapid Transients by A. P. Baldy 673

VI
23. Verification of Rapid Transient Models by A. P. Boldy 699

24. Modeling of Complex Closed Conduit Systems. The Case of Cooling Water
Systems by A. Betamio de Almeida and E. Koelle 709
Preface
Computers are being widely used for the analysis, design, and operation of water resource
projects. This gives accurate results, allows the analysis of complex systems which may
not have been possible otherwise, and the investigation and comparison of several different
alternatives in a short time, thereby reducing the project costs, optimizing design, and
efficient utilization of resources.
Several computational procedures and computer models have been developed. In order
to provide a common forum where these methods and models could be presented and
discussed, an Advanced Study Institute was held in Pullman, WA, USA from June 28
to July 9, 1993. This volume compiles an edited version of the lecture notes specially
prepared for the institute by 14 well-known European and North American researchers.
Part I of the proceedings deals with free-surface flows: Governing equations are derived
and their solution by the finite-difference, finite-element, and boundary-integral meth-
ods are discussed. Then, turbulence models, three-dimensional models, dam-break flow
models, sediment transport models, and flood routing models are presented. Part II is
related to the modeling of steady and transient pressurized flows. Governing equations
for both single and two-component flows are derived and numerical methods for their
solution are presented. The modeling of water quality in pipe networks, of cooling water
systems, and slow and rapid transients is then discussed.
Fifty three participants from eighteen different countries attended the institute; many of
them could be considered experts in the field themselves. Lively and detailed discussions
following each lecture helped in modifying some of the lecture notes.
M. Ranif Chaudhry
Larry W. Mays
vii
Acknowledgements
NATO Scientific Affairs Division provided funds to hold the institute. The traveling and
living expenses of the lecturers were covered in full and those of the participants from
the academic institutions of NATO countries were partially reimbursed. National Science
Foundation of the United States of America covered the traveling and living expenses of
an engineering professor from each of the following countries: Bangladesh, Egypt, India,
Jordan, and Lebanon through Grant No. INT-9312378. The financial support of NATO
and NSF is thankfully acknowledged.
viii
List of Major Contributors
A. Betamio de Almeida, Professor of Civil Engineering, Technical University, Lisbon,

Portugal.
Adrian P. Boldy, Department of Civil Engineering, University of Warwick, Coventry, UK.
M. Hanif Chaudhry, Professor of Civil Engineering, Washington State University, Pull-

man, WA, USA.
Robert M. Clark, Director, Drinking Water Division, EPA, Cincinnati, OH, USA.
John I. Finnie, Department of Civil Engineering, Moscow, ID, USA.
B. H. Johnson, Waterways Experiment Station, Vicksburg, MS, USA.
James A. Liggett, Professor of Civil Engineering, Cornell University, Ithaca, USA.
C. Sam Martin, Professor of Civil Engineering, Georgia Institute of Technology, Atlanta,

GA, USA.
Larry W. Mays, Chairman of Civil Engineering Department, Arizona State University,

Tempe, AZ, USA.
Bernd Rogalla, 3S Consult GmbH, Garbsen, Germany.
Yasuo Onishi, Battelle Pacific Northwest, Richland, WA, USA.
Roland K. Price, Manager, Wallingford Software, Wallingford, Oxfordshire, UK.
Werner Zielke, Professor, University of Hannover, Hannover, Germany.
ix
Part I
Free-Surface Flows
1
GOVERNING EQUATIONS FOR FREE SURFACE FLOWS'
JAMES A. LIGGETT
273 Hollister Hall
Cornell University
Ithaca, New York 14853-3501
U. S. A.
The best working definition of free surface flow is the following:
Free surface flow occurs in a deformable solution region whereby

the shape and size of the region is part of the solution.
Free surface flow can be either steady or unsteady. In the unsteady mode the shape
and size of the solution region is known at the initial time but it changes continually
as the solution progresses. In the steady mode the boundaries of the solution region
are not known and must be found by some technique. The steady problem - and
to some extent the unsteady problem - forms a mathematical enigma: To find a
solution, the differential equation must have well defined boundary conditions
applied to the boundary of the solution region, but how can the conditions be
applied if the location of the boundary is not known?
The above definition excludes many flows with a free surface. Common open
channel flow does not fall under the definition of free surface flow. In open channel
flow the equations are averaged over the depth, leaving the depth as a dependent
variable. The averaging process removes the vertical dimension from the equations
so that a three-dimensional problem becomes two dimensional and a two-dimension-
al problem becomes one dimensional. In the space of the reduced dimension the
boundaries of the solution region are fixed; they no longer depend on the solution.
Thus this class of problems - usually, but not always - comprises "shallow water
Ipart of the material of this chapter is taken from Liggett, J. A., Fluid Mechanics,
McGraw-Hili, 1994, with permission.
3
M. H. Chaudhry and L. W. Mays (eds.), Computer Modeling of Free-Surface and Pressurized Flows, 3-32.
1994 Kluwer Academic Publishers.
4
theory." Such problem are not free surface problems even though they go by that
name in much of the engineering literature.
Most wave problems are not free surface problems. In much of classical wave
theory, both linear and nonlinear, the boundary conditions are applied on the
equilibrium surface, not the actual free surface. Some wave problems are formulat-
ed so that the boundary conditions are applied on the actual free surface and these,
of course, fit the above definition.
A physical definition of free surface flow is:
Free surface flow occurs in a liquid where one or more of the

boundaries is not physically constrained but can adjust itself to
conform to the flow conditions.
Under this definition the class of free surface problems broadens to include waves
and open channel flow. Since the method and properties of solution are determined
by the governing equations and boundary conditions, the first definition is the best.
However, this conference is intended to cover channel flow and so these notes are
broadened to include the second definition.
Typical problems that fall under the definition of free surface flow include
jets, cavities, flow over weirs, flow under gates, flow through unconfined porous
media, stratified flow (where a sharp interface between liquids is the free surface),
freeze-thaw (where the boundary between the solid and liquid is a free surface),
extrusion, and molding. Even some of these problems make the dimensional approx-
imation and thus eliminate the problem from the free surface category. The porous
media problem is an example where the Dupuit approximation is frequently invoked.
1. The Equations of Free Surface Flow
All genuine free surface problems are nonlinear. Although SOIJ.le open channel
problems and wave problems can be linearized, if the position of the free surface is
an unknown and the boundary conditions are to be applied on the actual free
surface, the problem is nonlinear with all the mathematical consequences that
nonlinearity implies.
5
1.1 THE HYDRODYNAMIC EQUATIONS
Free surface flow is governed by the same equations that apply to other flows.
Conservation of mass is
op + V'(pil) = 0 op a
or -+-(pu) =0
at at Ox ' , (1.1)
where t is time, p is fluid density, u, is the component of velocity in the i-direction,

and Xj is the ith coordinate. The first equation of (1.1) is written in vector notation
and the second in summation notation; summation is assumed over repeated indices.
The equations of motion are
p( Cu, + u Ou,) = _ pg Oh _ Op +.!. 1I.i. Cu, + II iPu, (1.2)

at J Ox, Ox, Ox; 3 Ox, Ox, Ox, Ox,
in which g is the acceleration of gravity, p is pressure and II is the viscosity of the
fluid. Equation (1.2) is rarely used in free surface problems because of its complexi-
ty and because it cannot be integrated, in general, for turbulent flow - even numer-
ically. In the majority of free surface problems some approximations are made. The
most obvious, and nearly always an excellent approximation, is to neglect compress-
ibility, which eliminates the next-to-Iast term of (1.2). Note that (1.2) is really three
equations, one for each value (1, 2, and 3 or x, y, and z) of the unrepeated index, i.
Thus the four equations contain four unknowns, u, and p.
Wave problems, flow around objects, flow over objects, and many others are
solved to a good approximation by neglecting the viscous term. In that case (1.2)
becomes
p(Cu' +u, Cu,) = _ pg ah _ Op (1.3)

at Oxj ax, Ox,
If, in addition, the flow is assumed irrotational a velocity potential can be introduced
u, = - a;
o~
, (1.4)
The assumptions made in this step is that the flow is initially irrotational (usually
true) and that it is not stratified. Under these conditions (1.3) leads to Bernoulli's
equation
6
- a~ + .!.U 2+ P +gh =/(t) (1.5)

at 2 P
where /(1) is a function of time and u2 =u; +u; +u; is the square of the velocity.
Under most conditions, and certainly for steady flow, (1.5) becomes
(1.6)
Using (1.4) in the equation for conservation of mass produces Laplace's

equation for the potential
(1.7)
For flows in open channels the neglect of the viscous terms is not a good
approximation. In those problems "friction" is reintroduced but in the form of an
empirical function so that the equations are less complex. Unfortunately, an empiri-
cal friction term makes them less general and, indeed, that term will contribute the
largest error in nearly all solutions.
1.2 BOUNDARY CONDmONS
In the form stated above (1.2) and (1.3) are elliptic and second order, requiring two
boundary condition around a closed solution region. For solid boundaries those
conditions are
u,,=o u,= 0 (1.8)
where u" is the normal velocity to the solid boundary and u, = 0 is the tangential
velocity.
The elimination of the viscous terms reduces the order of the equations and
eliminates one of the boundary conditions. The tangential condition (the "no-slip"
condition) is relaxed. (Obviously, we don't want to ignore the condition that fluid
does not pass through a solid wall, but relaxation of the no-slip condition can have
important - and sometimes unexpected - consequences.) In what follows we
assume that the viscous terms do not exist and ignore the no-slip condition.
Because the free surface is part of the solution, two boundary conditions must
7
be applied there. The first, the "dynamic condition," is a statement of pressure.

Usually,
P= constant on the free surface (1.9)

although the pressure could be expressed a function of the space coordinates. In the
case of free surfaces between two liquids, this condition is expressed as continuity
of pressure across the free surface. Using (1.9) in Bernoulli's equation gives a condi-
tion on the velocity
a~ 1 a~ a~ Po (1.10)
--+- - -+g" = --+constant on Z="
at 2 Ox, Ox, P
where Po is the free surface pressure and " is the elevation of the free surface. The
constant can be taken equal to zero without loss of generality. Note that this condi-
tion is nonlinear and spoils the linearity that was achieved by the introduction of a
velocity potential.
The "kinematic boundary condition" is a consequence of topology; it states

that a particle on the free surface remains on the free surface. Consider first the
steady, two-dimensional problem shown in figure 1.1. Since the flow is steady, the
),)",;,},;;}",,);};;,),);;;;););)
Figure 1.1. Steady, two

dimensional free surface.
free surface is a streamline. The vertical to horizontal velocities must be in the ratio
of the slope of the surface
"t = d" (1.11)

"" dx
in which " is the elevation of the free surface and the z -axis is vertical. Extending
(1.11) to three dimensions
8
u =u
~ %ax
a,., +uYay
a,., (1.12)
Consider next an unsteady flow with a horizontal free surface that is rising vertically
(figure 1.2). Obviously, the rate of rise is
a,., =u (1.13)
at ~
"
t1-~t1~t111tt1_~t1-~
Figure 1.2. The simplest
unsteady free surface flow.
Combining the steady and the unsteady parts
u =
~
a,., + u a" + u a,.,
at %ax Yay on Z =,., (1.14)
Since (1.14) applies on the free surface, and only on the free surface, it serves as a
boundary condition. Because both ,., and the velocities are dependent variables,
(1.14) is a nonlinear equation.
Another way to look at the kinematic condition is to apply directly the postu-
late that a particle on the free surface remains on the free surface. Since by defini-
tion the position of the free surface is at z=",
.!!..(z-")
Dt ., = - a" ., = _ a"
at +;;'\7(z-") at -u a"
ax -u a"
%
+u Y~. ~
VJ (1.15)
= _ a" + a4> a" + a4> a" _a4> = 0
at ax ax ay ay az
In performing the gradient in (1.15), remember that ,,=,,(x,y,t) and so its derivative
with respect to z is zero. Thus, (1.15) leads to the same result as (1.14).
In two dimensions it is convenient to work in a coordinate system that is

normal and tangential to the free surface (figure 1.3). The derivatives of the poten-
9
Figure 1.3. The coordinate

system normal and tangential
to the free surface.
tial are
o~ = _ o~ sin IJ+ o~ cos fJ

c3x On & (1.16)
o~ = o~ cos fJ+ o~ sin fJ
Oz On Os
in which n is the normal coordinate, s is the tangential coordinate, and fJ is the
angle the surface makes with the horizontal x,y-plane. Using (1.4) in the two-
dimensional version of (1.15) and using o",c3x=tJm fJ
a" 1 o~
-=----- on z = '1 in 2-D flow (1.17)
at cos fJ On
1.3 A NOTE ON DERIVATIVES
The partial derivatives with respect to time are sometimes misunderstood. Normally
the equation is written to give the change of ~ with respect to time at a point that
moves vertically with the free surface, whereas the usual partial derivative is written
for ~ at a fixed point that does not move. To obtain the needed derivative, it is
written
o~ = (o~) _o~ a" (1.18)

at at %oY Oz at
in which the subscript x,y indicates that the derivative is to be taken with x andy
held constant, but that the z -coordinate is free to vary. We define this derivative
to apply to the moving free surface so that it expresses the rate of change of ~ with
respect to time following the free surface.
10
Equation (1.18) is used in (1.10). Assuming that P.=O (or redefining the
constant)
_(a~) +1. a~ a~ +g" +a~ a" :: B on z=" (1.19)

at %oy 2 enj enj at at
in which B is the Bernoulli constant. Returning to two dimensions we use the
velocity relationship (a~/en)2+(a~/a'll::(a~/as)2+(a~/On)2 and the kinematic equa-
tion (1.17) to obtain
(a:L -B+~[(:)'-(:r -2: : tan+Bq

= (1.20)
on z=" in 2-D
Equation (1.20) is written in s,n-coordinates because that is a convenient formula-
tion for the calculation of many problems.
1.4 CALCULATIONS
Consider a calculation of the unsteady problem. An initial condition must give the
complete state of the problem, which includes the position of the free surface, the
normal derivative to the free surface, and the potential at all points in the domain.
Of course, the conditions on the solid boundaries (that a~/On=-u" where Un is the
velocity of the boundary normal to itself; usually, UtI =0) must also be given at the
initial time and for all subsequent times. Given the initial conditions, (1.17) specifies
how the free surface moves. The time derivative, expanded in a Taylor series,
should give an approximation to the elevation of the free surface for a short period
after the initial time, say at. Equation (1.19) or (1.20) will give an approximation
for the potential after a short time. At at the geometry of the domain is known, the
potential is known on the free surface, and the potential or its normal derivative is
known on the boundaries (from the boundary conditions) so Laplace's equation can
be solved for the potential everywhere. Then the results for at can be used as new
initial conditions to advance the solution another increment in time.
The last paragraph gives a brief sketch of a numerical method of solving the
free surface problem. In practice there still remain a number of details to be re-
solved. How should (1.17) and (1.19) be formulated to give an accurate solution at
time at? The solution of the Laplace equation is not trivial, especially since the
solution domain will be irregular and constantly changing with each time step. The
movement of the free surface is some sort of approximation valid only for short time
11
steps. How do we keep these approximations from accumulating until there is a

gross error in the solution? All these questions fall into the category of numerical
methods.
1.5 THE STEADY STATE.
In most problems the elimination of time as an independent variable is a large

simplification. That mayor may not be the case with free surface flows. The
Bernoulli condition becomes
B-~[(:r -(:r -2: : tdnpj-gq =0 on Z= '7 in 2-D (1.21)
which is simply (1.20) without the time derivative. The difficulty is that, unlike the
unsteady case, the shape of the solution domain is not given. The analyst must make
an initial guess of the position of the free surface. The problem is then solved using
the guess to define the solution domain and applying the condition that a~/On=O on
the free surface. Equation (1.21) is then checked. If the initial guess is not correct,
(1.21) will not be satisfied. Some strategy must then be developed to refine the
guess for the free surface in an iterative manner until (1.21) is satisfied to acceptable
accuracy.
In the iterative procedure there is no guarantee that the solution will con-
verge due the nonlinearity of the boundary condition. In fact, the solution may not
be unique; sometimes more than one configuration of the free surface will satisfy
the conditions. In such cases the "correct" configuration depends on the evolution
of the flow, which is completely neglected in the steady state formulation.
Because of the difficulty sometimes encountered by tackling the steady state

problem directly, the solution can be obtained in some problems by extending a time
dependent solution under steady boundary conditions for a long period. If the solu-
tion is done numerically, such a calculation can be expensive in terms of computa-
tional time. The redeeming feature is that if we don't care about the solutions at
intermediate times, the time step can be longer than would be necessary for accuracy
of the unsteady problem. That feature is not always applicable, however, since
stability may force shorter time steps. Also if the evolution of the solution is inaccu-
rate, the ambiguity due to non-uniqueness may not be resolved. More importantly,
if the problem is undamped, waves - artifacts from an inaccurate guess of the
initial conditions or inaccurate calculations - can reflect from the boundaries and
12
contaminate the solution forever.
In two-dimensional, steady calculations we can take advantage of the fact that

the free surface is a streamline. The free surface conditions then become
'1' = constant on Z= 1] (1.22)
~(:r +g1] =B (1.23)
in which '1' is a stream function defined by

a'1'
=-- =-
a'1' (1.24)
U
" iJy
U
Y ax
An iterative solution becomes somewhat simpler since the free surface is a Dirichlet
boundary ( '1' given explicitly). However, the same fundamental difficulties remain.
2. Waves
Although most wave formulations do not fall under the mathematical definition of
free surface flow, the governing equations are developed herein. These equations
are simply special cases of the hydrodynamic free surface equations and boundary
conditions.
2.1 THE LINEARIZED SERIES OF FREE SURFACE EQUATIONS
Most analytical solutions for wave problems are based on the linearized free surface
boundary conditions. Actually, a series of equations can be derived for the free
surface boundary conditions with the linear solution being the most elementary.
Three fundamental nonlinearities enter the calculations: the kinematic boundary
condition, the dynamic boundary condition, and the fact that the boundary conditions
are applied on the actual (unknown) free surface. Failure to recognize the third
nonlinearity does not affect the first order solution but would lead to serious error
in higher order solutions.
The development follows a classical perturbation analysis and is patterned

after Stoker (1957). Equation (1.10) is written with pa=O as
F(x,y,z,J) = - a~ +.!. a~ a~ +g1] = 0 on z = 1] (2.1)

at 2 ax; ax;
13
The function, F, is expanded in a Taylor series about z=O for evaluation at z=,.,
F(x,y, ,."t) = {F(x,y, 0, t)} + ,.,{OF} + ,.,2 {&F} + ,.,3 {&F} + ...
az 21 az2 31 az3
(2.2)
where the derivatives are to be evaluated at z=O. The terms are in braces for
identification in the more complex equations below. Substituting (2.1) into (2.2)
The kinematic equation is treated in a similar manner. Equation (1.15) is
= _ 0,., + o~ 0" + o~ 0" _o~ =0

j(x,y z,t) (2.4)
, at axax ayay Oz
The series (2.2) is written in f instead of F and using (2.4)
{o" + o~ _0" o~ _0" O~} + ,.,J~(O" + o~ _0" o~ _0" O~)}

at az ax ax ay ay laz at az ax ax ay ay (2.5)
+ ,,2 {~(o" + o~ _0" O. _0" O.)}+ ... = 0
2 az2 at az ax ax ay ay
Now the potential, ~, and free surface elevation, ", are expanded in a
perturbation series
(2.6)
(2.7)
where r, r, ..., "iJ, "b, ... are functions of the independent variables. The
parameter e is assumed to be small. In wave problems e is the amplitude divided
by the wave length and the resulting theory will be valid for waves in which the
amplitude is small compared to the wave length. Since there is no imposed velocity,
the series in ~ begins with a small term. Also the equilibrium free surface is taken
at z = O. Since ~ is a solution to Laplace's equation, all the r, r, ... satisfy
Laplace's equation
(2.8)
On the solid boundaries
14
ar a~
-=-="'=0 (2.9)
an an
We now substitute the series for 4) and ,., into the free surface boundary
conditions (2.3) and (2.5). First, using the dynamic condition (2.3)
{_ear _~a~ _flar +... +!(e ar +~a~ +...)2
a:""J
at at at 2 ax ax
Me a: .e' .g("'I".e'q'.e'q". """))
+(e,.,"+ r?,.,b+ ...){~[-e ar _r? a~ +!(ear + ~ a~ + ...)2 (2.10)
II
Cz at at 2 ax ax
+"21 (ar
eay+e2ay+'"a~)2 .m ,.,
(e".; """1 {:2[-e a: .
+terms
""".1enDs in q]) = 0
The omitted terms in ,., are to be differentiated with respect to z, which results in
zero since ,., = ,.,(x,Y, t). The series are carried out sufficiently to produce terms in e'.
The dynamic boundary conditions for each of the terms come from equating like
powers of e from (2.10). Using first terms in tI, then terms in r?, and finally terms
in e' gives
ar
-=g,.," on 4=0 (2.11)
at
(2.12)
on 4=0
(2.13)
The kinematic boundary conditions are treated in a similar manner. Using

(2.6) and (2.7) in (2.5)
15
Equating terms in e, ,r, and tI

art' + ar =0 on 4=0 (2.15)
at c1z
011 Z =0 (2.16)
aif+
- ar- - aifa~ aifa~ a~ar a~ar
-----------
at c1z ax ax ay ay ax ax ay ay 011 4 = 0 (2.17)
+ rt' &~ + 1]b &r + !(1]4)2 &r = 0
c1z2 c1z2 2 c1z3
The first order problem consists of solving Laplace's equation for r under
the free surface boundary conditions (2.11) and (2.15). The second order problem
uses (2.12) and (2.16) to solve for r
where r is already known from the first
order problem. The third order problem would follow in sequence with both r
and ~ known and where r is the unknown. The boundary conditions are always
linear in the unknown quantities (and linear in the sense that they are to be applied
at z =0) but contain increasingly complex terms in the previously solved values of
<P and 1].
2.2 LINEAR PROGRESSIVE WAVES
The surface elevation, ", can easily be eliminated from (2.11) and (2.15) to obtain
&r
--+g-=O
ar on 4=0 (2.18)
(Jt2 c1z
Linearizing Bernoulli's equation for any point in the fluid gives an equation for
pressure in the linear problem. For the boundary condition on a horizontal bottom
16
on z=-d (2.19)
where d is the equilibrium water depth. A particular solution in infinitely deep

water is
~ = A e b; cos (kx-at) (2.20)
in which the potential goes to zero as z. . -oo and A is an amplitude (an arbitrary
number). The condition that (2.18) is satisfied is the dispersion relationship
0= .[if. (2.21)
The free surface elevation is
'1 =..!. a~ =Ao sin(kx-at) =asin(kx- at) (2.22)

g at g
where a=A o/g is the amplitude of the wave (the maximum height above mean water
level and maximum trough depth so that the wave height - trough to crest distance
- is 2a for linear waves only). The wave length is the distance between crests
L = 2n (2.23)
k
and the wave period (the time between passing crests at a fixed point) is
T= 2n (2.24)
o
The wave celerity (speed at which the crests travel through the coordinate system)
is
o L (2.25)
c=- =-
k T
In (2.20) and (2.22) the minus sign means that the wave is travelling in the positive
x-direction; otherwise, the quantity in parenthesis would be kx+ at.
For finite depth with the wave traveling in the positive x-direction
~ = ag coshk(z+d) cos(kx- at) '1 =a coshkd sin(kx- at) (2.26)

o
in which -d is the elevation of the bottom. The vertical velocity is zero at z=-d,
satisfying the condition that the normal velocity is zero on solid boundaries. The
dispersion relationship is
17
0= Jgk mnhled (2.27)

The wave speed depends on the depth and the wave length,
k
I
c =~ K tanh led = gL mnh 2nd
~ 2n L
(2.28)
2.3 LINEAR STANDING WAVES
Although the traveling waves are the ones seen at the beach - and those appreci-
ated by surfers - a standing wave is one where the crests remain in the same
position, alternately becoming crests and troughs. The solution is
cI = - ag e ~ cos at cos lex

'1 =a sin 01 cos lex (2.29)
o
n 2'
When 01=2"' Sn 2''
9n t hen sm
. ot= 1 and th
ereIS a crest atth . cos ~=
e posItIOn '-- 1 ;
sinot-l sinot --1
TJ
x
o
-1
Figure 2.1. Standing wave.
when
3n, -
at= - 7n, -
Un, ..., th
en
sm 01= - 1 and th
ereIS a trough at t he posItIOn
. . cos ~
'-- =1 ;
2 2 2
18
when ot=O, n, 2n, ... , then sin ot=O and the sea surface is temporarily flat. The
solution is shown in figure 2.1 where the extreme positions show the crests and
troughs of the wave and the x-axis represents the intermediate position.
A standing wave can be produced by two waves of equal amplitude traveling

in opposite directions
'1 =a[sin (lex - ot) + sin (lex + ot)] =2a sin lex cos ot (2.30)
The amplitude of the standing wave is twice the amplitude of the component travel-
ing waves. This sort of wave is commonly formed from a traveling wave that reflects
from a vertical wall. The wall becomes an anti-node (the position of maximum
amplitude of the standing wave).
3. Shallow Water Hydraulics
Finally, the equations of shallow water hydraulics, which solve the problems of open
channel flow, are developed. Shallow water theory makes the "dimensional approxi-
mation"; it reduces the basic problem to one or two dimensions which are approxi-
mately horizontal. The equations of motion are integrated in the vertical from a
lower boundary to the free surface, eliminating the vertical coordinate as a depen-
dent variable and the free surface as a boundary of the solution region. Since the
variable part of the boundary of the solution domain is eliminated, the domain
becomes fIXed. Thus, there are two simplifications: the reduction of dimensions and
fixing the solution domain. These approximations change the nature of the equa-
tions, the types (or properties) of solutions and the methods of solution. In the
subsequent parts of this section we will use the term "free surface," by which we
mean the limits of the depth of the fluid. That term does not imply a free surface
problem according to the basic definition.
Especially in environmental fluid mechanics, there are many, many flows that
are included in the category of shallow water theory. As ridiculous as it may seem,
the oceans are shallow for the purpose of solving many problems. The criterion is
that the wave length must be long compared to the depth. That is not true, of
course, for the most visible types of waves on the surface of the oceans, but there
are others - tides, tsunamis - that fulfill that condition. In fact the oceans are at
most a few kilometers deep whereas their breadth is hundreds of kilometers.
In many respects shallow water problems are closer to hydraulics than to

19
hydrodynamics by virtue of the fact that the frictional aspects are almost always
taken as empirical. The applications are universally in turbulent flow. (At least we
know of no reasonable application in laminar flow with the possible exception of
runoff in a thin sheet, which we do not consider a practical problem.) The empirical
formulations avoid the complications of turbulence at the price of universality and
some doubts about accuracy when new problems are solved.
Like the derivation of the equations of basic hydrodynamics, the equations of

shallow water can be obtained in a number of different ways. Perhaps the most
basic is to begin with the hydrodynamic equations as that method displays most
graphically the assumptions and approximations. We will need both the integral and
the differential equations. In all cases, however, the density will be taken as a
constant. Constant density does exclude some phenomena that belong in the catego-
ry of shallow water theory such as certain atmospheric flows and some occurrences
in water where the flow is continuously stratified.
3.1 CONSERVATION EQUATIONS AND BOUNDARY CONDmONS
Many of the shallow water calculations use integral equations instead of differential
equations. In this section we carry both the integral and differential equations. The
integral that must be satisfied to conserve mass is
(3.1)
in which CS represents the boundary of a control volume surrounding the region of

interest. The corresponding differential equation is (1.1) with constant density
(3.2)
Conservation of momentum gives
F= f CY
.E..(pil) dY + r pil(il'n) dtt
i!Jt J cs
(3.3)
and (1.2) written in terms of shear stress is
au, au, Op oh OTj/ (3.4)

Pat + pu) Ox) = - Ox, - pg Ox, - Ox)
The boundary conditions are those of hydrodynamics, the dynamic condition

that pressure is zero on the free surface and the kinematic condition. Since our
20
Figure 3.1. Definitions for

the horizontal coordinate system.
coordinate system is slightly different than that of section 1, we repeat those here.
The pressure condition is
p =0 on Z = ,,+ H (3.5)
where ,,+H is the elevation of the free surface (figure 3.1). On the free surface we
- again - use the condition that particles on the surface remain on the surface.
An equation defining the free surface is
S(X,y,z,t) = ,,(x,y,t) + H - z =0 (3.6)
The substantial derivative of (3.6) is
DS =
Dt
a" +17 ...(,,+H)+17 ...(,,+H)-17 =0
at l:c3x "Jay t
on z=" + H (3.7)
where the tilde indicates that the velocities are to be evaluated at z=,,+H. On the
solid bottom z=H(x,y) the boundary is not a function of time so the previous equa-
tion is
aH
K -+K -
aH =K on z=H (3.8)
l:c3x "Jay %
in which the underline denotes that the velocity is evaluated at the bottom.
Thus far no approximations have been made; the problem has only been
specialized somewhat. The flow is contained between a solid bottom and. a free
surface. The elevation of the free surface, ,,(x,y,t)+H(x,y), remains an unknown.
21
3.2 INTEGRATION OF THE CONSERVATION OF MASS EQUATION
Formally integrating (3.2) over the depth gives
IH9 H(
+ 0;; + ~ + :%) dz = 0 (3.9)
We need to reverse the order of integration and differentiation. Leibnitz'theorem

is
~ rbf.7,f) f(x,y,t) tbc = rbI:JJ) at tbc _f(a,y,t) aa + f(b,y,t) ab (3.10)

at J1I(y,f) J1I(yJ) at at at
The first term of (3.9) becomes
au" -a f9+H u dz-u_ -(,,+H)+K

f 9+H-dz= a aH
- (3.11)
H ax axH ""ax "ax
If the no-slip condition is to be applied - it usually is not applied - the latter
velocity, K , is zero. Similarly in the y-direction
"
au, a f9+H u dz-u_ -(,,+H)+K-
f 9+H-dz=- a aH (3.12)
Hay ayH "ay yay
To remove the integrals, an average velocity over the depth is defined as
- 1 f9+ HUU(, - 1 f9+ HUU(,
, "H (3.13)
.1_ .1_
" "H "

U=- U=-
Y
Using (3.11), (3.12), and (3.13) in (3.9)
a (- ) +-u
-u" a (- " ) -u- -,,+
a ( H) +K --u
aH - -a,(, + H) +K -+u
aH - -K = 0 (3.14)
ax" ayY "ax "ax 'ay 'ay % z
Applying the boundary conditions (3.7) and (3.8)
a" + ...(ii ,,) + ...(ii ,,) = 0

at ax" ayY
(3.15)
3.3 INTEGRATION OF THE CONSERVATION OF MOMENTUM EQUATION
Equations (3.4) are to be integrated in the vertical. For the present the shear terms
are neglected; they will be represented later by "friction" terms that are evaluated
empirically. In the x -direction
22
f H+'1 [Ou"
H
a 2)+-(u
-+-(u a u)+-(u
a u)+--
1 Oft] dz=O
at ax% ay%Y c3z%% pax
p =p+pgh (3.16)
where the equation of conservation of mass has been used. The time integral is
H+'1 Ou% dz = ~ JH+'1 U dz-a a" = ~(ii ,,)-a a"

JHat (3.17)
atH % %at at% "at
The first space integral is
JHH+'1 ~(u2)dz = ~ JH+'1 u2dz-a 2 O(H+'1) +It aH (3.18)

ax% axH % ax %ax
%
To avoid the appearance of the integral in the equation, the momentum correction
factor is defined as
(3.19)
so that
JBB+'1 -ax
a (u 2).1. _ a(p U-2
U4 - -
) _2
U
O(H+'1) + ,,-
..2 -aH (3.20)
% ax u %.,
ft -
% ax " ax
The y -derivative is
(3.22)
The vertical derivative is
(3.23)
When (3.20), (3.21), and (3.23) are added, the terms in the surface and bottom
velocities disappear by virtue of (3.7) and (3.8). The pressure term is left for further
development. A similar derivation is made for the y -equation where analogous
values of the correction factor are defined.
Before integrating the vertical momentum equation, we make the primary

approximation of shallow water theory - the approximation that defines shallow
23
water theory. A small parameter is

D (3.24)
e=-l
L
in which D is defined as a vertical dimension - say, the water depth - and L is
a horizontal dimension - say, a wave length. The equations that follow will depend
on the ratio D/L being small. Parallel to that definition, the characteristic velocities U
and Ware defined in the horizontal and vertical directions, respectively. Using the
dimensionless variables
uy
x =-
x Uz
z =3- U=-
U U=-
W (3.25)
L D y %
t'= Ut rJ'" =!l

L D
the dimensionless equation of continuity is
au; au; LWau;

-+-+--=0 (3.26)
ax' cry. DU Oz'
The ratio LW/DU must be of order one or smaller for the equation to balance in all
cases. Thus, we set
W D (3.27)
U L
The usual definition is
D (3.28)
U={iD W=U-
L
The vertical momentum equation is
(3.29)
Neglecting terms of the order of II, integrating, and returning to dimensional vari-
ables
p = pg(f'1+H -z) (3.30)
which is the equation of hydrostatic pressure where the constant of integration has
been chosen to satisfy the condition that the pressure is zero on the free surface.
We are now in a position to integrate the pressure derivatives in the x- and

24
y -directions.
J "+H -dz=pg
ap J"+H -('1+H-z)dz=pg'1
a (0'1
- +aH)
- (3.31)
H ox Hax ax ax
Figure 3.2. The coordinate

system in the plane of the bed.
A common assumption is that the xy "plane" lies in the bed, even when the bed is
sloped or uneven, which is equivalent to neglecting the cosine of the bed angle with
the horizontal - cos 0% .. 1 and cos Oy .. 1 where 0" and Oy are the angles the bed
makes with horizontal. This assumption means that the free surface is at z= '1/cos 0 .. 7]
and distance measurements made along the bed of the channel are equivalent to
horizontal distance measurements. The assumption that the bed is nearly horizontal
is our first approximation. The derivatives of the bottom elevation, oH/ax and
aH/(Jy, are written in terms of bottom slope
S = sin 0 = _ aH S =sin8=_oH (3.32)

Ox % ax Oy y ay
so that H remains the actual bottom elevation but will disappear from the equations.
SOx is often interpreted as the slope of the bed, which implies that it is tan 0" instead
of sin 0", but the slopes are usually small so that there is no practical difference in
these definitions.
With similar development in the y -direction the "horizontal" equations of

conservation of momentum become
a - a( a-2) - - 0'1
-(7]U )+- P 7]U +-(~ '1U U )+g7]- =g7] So (3.33)
at ax xx ~ (Jy xy "y ax
y
% %
25
o - 0 - -
'1""0( -2) 0'1 =8'1 Sn..
'1". (3.34)
at .,)+-(P
-('1" iJy P'Y7, +8'1-
Ox yz %., )+- iJy VT
There is no assumption that the velocities are not functions of z (constant in

the vertical), but the P are usually taken as unity, which is equivalent. The primary
and most limiting assumption is that e is small. Clearly waves of one meter length
on a stream of one meter depth lead to e=l, not a small number. On the other
hand tsunamis on the ocean may have a wave length of 200 kilometers on an ocean
one kilometer deep leading to e= 1/20 which is sufficiently small for accurate
calculations (tr=l/400, a very small number). In this example the ocean is shallow
whereas the stream is deep.
3.4 ONE DIMENSIONAL FLOW IN CHANNELS
Much of the use of the shallow water equations is concerned with the one dimen-
sional flow in water courses that may be of arbitrary shape. Such calculations are
usually done numerically, but this section prepares some of the equations. The
problem is one of approximating a basically three-dimensional solution in one
dimension. A two- or three-dimensional solution of the governing equations would
be neither economical nor necessarily more accurate.
Figure 3.3, An irregular

channel cross-section.
Consider the channel cross-section of figure 3.3. The width of the channel
at any point is w(x,z). Since the basic equations have already been integrated in the
vertical, we only need to integrate across the channel with the appropriate averages.
At the beginning it is assumed that ii., -0; all the flow is in the x -direction.
26
Integrating (3.15)
f "'.[8
"'L ; +
a '1)] dy = 0
ax(u" (3.35)
The order of integration and differentiation can be interchanged in both the case of
differentiation with x and with t since '1 (wR) ='1(WL) =0. The cross-sectional area
can be described in two ways,
(3.36)
in which if is the maximum depth (actually, the z-coordinate of the free surface).
The average velocity in the channel is
"=-it1 f
=
A
"un=
"
.I.. f. "'. "'1
- dy
lI'L"
(3.37)
The double bar over " indicates that it has been averaged twice (vertically and in
the y-direction) and the subscript has been dropped since the only velocity is in the
x-direction. Using these definitions, the equation of conservation of mass becomes
dA
-+-\11"
8 1.. =)
=0 (3.38)
at ax
We will need to express the derivatives in terms of the variables if and u. The time
and space derivatives are
-dA =J:1f -w(x,z)dz+w-

8 - 8if (3.39)
at 0 at at
in which w=w(x,rj) is the width at the water surface. Since the banks are fixed, the
derivative of w(x,z) with respect to time is zero. If the channel is prismatic
aw
-=0 (3.40)
ax
meaning that the geometry does not change in the downstream direction. The
integral is often written
J:1f aw dz = (dA) (3.41)

oax ax If
indicating that the change of area is to be taken with if held constant, disregarding
changes in area due to changes in depth. In the subsequent equations, it is assumed
that the channel is prismatic. Conservation of mass is expressed
27
- or] = - or] ..
W-+UW-+.I1- =
0a; (3.42)
at Ox Ox
The relevant equation of motion is (3.33) with the friction term (friction
slope) added. The separate integrals over the width are
J.
WL
w .i(f1;;) dy = .i(A:) =A a;
at JC at at
+: OAat =A a;at +:w or]at (3.43)
In writing (3.45) we assumed that the water surface slope does not change in the
cross-stream direction. In (3.46) the integrated friction slope is to be expressed as
A
R,,=- (3.47)
P
where R" is the hydraulic radius, the area divided by the wetted perimeter P, and
r and s are coefficients in the friction law. Although the friction slope has undergone
an integration and uses the doubly averaged velocity, any errors are absorbed in the
coefficient. Expressing the equation of motion with derivatives of depth and average
velocity gives
= 0-
uw....!l.+A-+
a: (pu=2w+gA )0- = a;
....!l.+2PuA- =gA(SCbt-S,-) (3.48)
at at Ox Ox I~
In reaching this equation we have assumed that:
1. There is no y-velocity; ;;,-0.
2. There is no transverse slope of the water surface.
3. The channel is prismatic.

28
4. The derivative dPu/dx has been neglected.
The sort of averaging that has preceded must be done with some caution. For exam-
ple, a point disturbance will violate the first two assumptions since it will travel in
the cross-stream direction. Boundary friction could constitute such a disturbance.
In a well defined channel the averages may produce an acceptable solution, but if
a large flood plane is attached to the channel, the approximations may not be
satisfactory. On the other hand, the one-dimensional calculations might be more
accurate than an attempt at multidimensional analysis.
Carrying the P in the equations is usually not justified. In fact ap/ax and a
transverse surface slope may become important where boundary layer changes occur,
in transitions for example. In many of the same situations the assumption of hydro-
static pressure may cause an equally important error. Since these factors are not
taken into account, to worry about velocity distribution corrections in most calcula-
tions is somewhat academic. The errors made in open channel calculations stem
primarily from the lack of knowledge of friction, secondarily from the violation of
hydrostatic pressure and transverse surface slope assumptions and only after an
accounting for these factors is the velocity distribution important. Although patho-
logical cases no doubt exist, the P factor is seldom important and does not lead to
a better understanding of open channel phenomena.
3.5 WAVE SPEED AND CRmCAL DEPTH
A question arises as to the definition of critical depth. Whatever its definition, it

should indicate the singularities in the equation of motion and it should be strongly
connected to the wave speed. The wave speed is best found from the method of
characteristics. A detailed derivation appears in the part on numerical methods and
thus only the basic equations for the characteristic directions are cited here without
derivation. Characteristics are defined as lines along which small disturbances travel.
The equation of these lines in the xt-plane is (Uggett, 1993)
dx -
dt = Pu~
IsAw + fJu (fJ-l)
-2 (3.49)
where dx/dt is the slope of the-characteristics. Separation of dx/dt into velocity and
wave speed is impossible; however, a solution for a critical velocity by settingdx/dt
equal to zero is possible. Selecting the minus sign and solving for u
29
;; = jgA (3.50)
c ~;ip
The wave speed is defined as the critical velocity, c=JgA/wp. It reduces toc=../gq
for a rectangular channel with p =1.
3.6 STEADY FLOW
Removing the time derivatives from (3.42) and (3.48), eliminating iJUtax, and solving
for the slope of the free surface gives
dfj = SOJc - Stz

dx =2
1- p" (3.51)
sA
Clearly, the wave speed appears in the denominator. The Froude number can be
defined as
-
F=-"-{P
(3.52)
~
There is an equivalent derivation that is worth mentioning because it indicates
an error that is frequently made. Conservation of mass and momentum is written
!!.(A;;) = 0 (3.53)
dx
The first of (3.54) is
Au =Q =constant (3.54)
where Q is the volumetric rate of flow. Using (3.54) to eliminate the derivatives of
velocity in the equation of motion yields
!( p;2 +gfj) =g(SOJc-Sp) (3.55)
Because the quantity on the left is interpreted as the rate of change of kinetic and
potential energy along the channel, the factor p sometimes is incorrectly replaced
by the energy correction factor, IX, defined as
30
IX
1:" U 3 d.4
= _0"--_ _ (3.56)
=3
uA
Nowhere in the above exposition has energy been mentioned and, if IX is used, none
of the singularities of the equations of motion is exposed by the definition of critical
depth. Many textbooks - especially earlier books - have some confusion between
energy and momentum. Consider (3.55) with zero right side; it is integrated to
;;2
fJ -2g +" = constant
(3.57)
and is a statement of Bernoulli's equation. fJ appears, not IX. The Bernoulli equa-
tion is a result of conservation of momentum.
Steady state profiles are given by

atf SO-Sf
-=---=--
fJQ-2 w
ax 1 - -
(3.58)
gA3
Using the definition of critical depth as c=JgAfwfJ and the second definition of
(3.52) for the Froude number identifies the singularity in that equation. Consider
a point of critical depth, a control, which is recognized as the maximum depth at
which no disturbances can pass upstream, exactly the definition that dx/dt = 0 as in
(3.49). Here again, the momentum definition of critical depth is consistent with the
steady and unsteady computations.
3.7 ENERGY
The energy correction factor, IX, does have a place in calculations; it comes from a
control volume analysis using the equation of conservation of energy
d4 _ dW = f .E..[ jgh+ u 2 +t)]dV+f Jgh +u 2 +t+ P)(iNi)d.4 (3.59)

dt dt cvatpt: 2 capt: 2 p
in which q is heat transfer out of the control volume, W is work (excluding pressure
work by the surrounding fluid), t is internal energy per unit mass, h is elevation, fl
is a unit vector normal to the control surface, the first integral is taken over the
control volume, and the second integral is taken over the surface of the control
volume. Specializing (3.59) to tube flow and assuming it steady produces
31
2 2
d4 _ dW = _ f jgh+ U +e+ p)uM+f jgh+ U +e+ p)UM (3.60)
dt dt A/'l: 2 p A/'l: 2 P
where Al is the area of the upstream cross-section and A2 is the area of the down-
stream cross-section, both normal to the flow. Using (3.57) and assuming hydrostatic
pressure in both sections (so the sum P + gh is a constant in each of the sections)
p
gives
=2 =2
_1_(d4_~=-al~-Pl-gh -e +a U2 +P2+ glo +e (3.61)
p~ dt dt J 2 p 1 1 :z 2 p '"2 2
Further, if no work is performed within the control volume and specializing to open
channel flow where gq= P +gh,
p
=2 =2
"1 + '71_= a:z-
a1 - "2-+ f1:z+h L
(3.62)
2g 2g
in which the last term, the head loss, represents the rate of loss of mechanical energy
between the two sections divided by the weight flow rate. The head loss is
(3.63)
If there is no heat transfer, e1 se2 since mechanical energy can only be converted to
thermal energy and not vice-versa in incompressible flow. Equation (3.62) is not
Bernoulli's equation; it is a mechanical energy equation. In classical hydrodynamics
Bernoulli's equation applies to points whereas (3.62) applies to sections.
Normally the slope of the energy grade line - hdL where L is length - for
steady, uniform flow is simply Sf' but all open channel books recognize factors that
enter for non-uniform flow (e.g., changes in section). Thus S, represents boundary
friction, exactly what Gauckler, Manning and Chezy had in mind when they present-
ed equations for uniform flow.
Certainly, critical depth could be defined by minimizing energy as in (3.62)

(Chow, 1959, pp. 42-43) but such a definition would not expose the singularities in
the equations of motion. It would have little use.
32
References
Chow, Ven Te, Open Channel Hydraulics, McGraw-Hill, 1959.
Liggett, J. A, "Critical depth, velocity profiles, and averaging," Journal of Irrigation

and Drainage Engineering, Vol. 119, No.2, March/April, 1993, pp. 416-422.
Stoker, J. J., Water Waves, Interscience, New York, 1957.

2
FINITE-DIFFERENCE METHODS
FOR SHALLOW WATER FLOW ANALYSIS
JAMES A. LIGGETT
273 Hollister Hall
Cornell University
U. S. A.
Although finite difference methods have a long and distinguished history of dealing
with all kinds of fluid motion, including free surface flows, they have some definite
limitations. True free surface flows - those where the solution domain is a part of
the solution - are rarely treated by finite differences in modem times. Instead, a
boundary integral equation method is used where it is applicable; otherwise, a finite
element method is used. Finite differences may not be the best choice of method
for multidimensional problems that are not true free surface problems, that is,
shallow water theory where the free surface aspect is eliminated by integration in the
vertical. The overwhelming use of finite difference methods is in one-dimensional,
shallow water problems, which are not true free surface problems. Although meth-
ods of solution continue to be developed, the field matured 15 to 20 years ago.
Most of the methods can now be found in books such as Chaudhry (1993), Abbott
(1979), Abbott and Basco (1989), Fox (1989), Cunge, et al. (1980), and even the
early book of Mahmood and Yevjevich, eds., (1975).
There are two primary keys to successful computation of shallow water flows.
The first is to select an accurate and efficient numerical method. Such a selection
may be made from several techniques that have been widely tested. To begin coding
such methods is akin to reinventing the wheel; a much better use of time is to select
a program that has been thoroughly checked.
The second key, and by far the most difficult, is the inclusion of the details
of a particular problem. The mathematical abstraction is necessarily an approxi-
33
M. H. Chaudhry and L. W. Mays (eds.), Computer Modeling of Free-Suiface and Pressurized Flows, 33-61.
34
mation. Usually - but not always - the better detailed model will give a more
accurate result. A mark of a good code is that it can use all of the detail that is
practical but does not require more detail than you have. A common misconception
- found frequently in the literature - is that dynamic models require more detail
than the kinematic or diffusion approximations. The example most frequently cited
is that the dynamic model requires more boundary conditions than a kinematic
model. While such a statement is technically correct, it fails to note that an un-
known boundary condition can be approximated with less error in the dynamic
model than if it is neglected in the kinematic model.
It is, however, the geometric detail that is most difficult, both to describe to
a model and to have the model accurately handle that detail from a numerical point
of view. The scale of the geometric detail ranges from the problem scale - the
length of a canal or river - to a roughness scale. The analyst should be skilled
enough to know what is important to reproduce and what can be safely neglected.
That skill is as much an art as it is science. Providing for the detail in a model is
much more difficult than selecting a numerical scheme for the basic equations and
running such a model requires more experience than simply feeding data to the
computer. In other words, the computer cannot yet replace the engineer.
1. Hyperbolic Equations - Characteristics1
The theory of characteristics is of paramount importance in the treatment and

understanding of the shallow water equations, those of gas dynamics and many other
equations of mathematical physics. It is helpful in the solution of the problems and
in the physical interpretation of associated phenomena. It is a guide to the numeri-
cal solutions of the equations and in some cases the numerical method is a direct
consequence of the theory of characteristics. The theory is developed from a general
point of view and then connected to the shallow water equations. In this way the
various forms of the shallow water equations can be treated and their solution
compared to similar equations of mathematical physics.
Consider the following set of quasi-linear partial differential equations. The

term quasi-linear refers to the fact that the equations are linear in the derivatives
lA part of the material of this section is taken from Uggett, J. A., Fluid Mechanics,
McGraw-Hili, 1994, with permission.
35
of the dependent variables, but in general are nonlinear. The equations that are
used herein are not completely general in that they contain only two independent
variables (x and y), but they contain an arbitrary number of dependent variables.
A parallel development of the theory is possible for more than two independent
variables but is longer. The equations are
(1.1)
The a/j' b/j' and d, are, in general, functions of the dependent variables but not their
derivatives. Even though only the first derivatives appear in the equations, they can
represent, in combination, higher order equations. For example Laplace's equation,
(1.2)
is written as
Out 0,,2 (1.3)
-+-=0
ar CJy
by taking u1=Cu/ar and ~=Cu/CJy. Thus, (1.3) is equivalent to (1.2).
1.1 DIRECTIONAL DERIVATIVES.
The object of the development is to write the set (1.1) in the form
L AIJ(.t.! + '!)UJ + D, = 0 (1.4)

j ar CJy
where AIJ , .t, and D, are functions of alP b/jand d,. The quantity in parenthesis is
a differential operator that "operates" on the dependent variables u,.
Equation (1.4)
is similar to an ordinary differential equation in that it differentiates the dependent
variable in a single direction given by
du, =
ds
[(.t .. + ..) U ] dy
ar CJy , tis
(1.5)
where s is distance along some curve in the x-y plane as shown in figure 1.1.
36
u u(x,y)
Figure 1.1. A general characteristic.
The total derivative of u, along a curve in the x-y plane is
du,
-=--+--
au, dx au, dy (1.6)
tis Ox tis Oy tis
Assume that the equation of the curve is given by
dx = A(X,Y) (1.7)
dy
Then
(1.8)
The distinction between partial and total derivatives is important to recognize.

The total derivative must be defined as to how it is to be taken, in this case along
the curve dx/dy= A. The partial derivative implies that all independent variables
except the one in the derivative remain constant, so that, for example, au;lOx implies
the change of u, along the line y =constant. Taken alone the symbol du;ldx does
not specify how the derivative is to be taken and must be defined such as in (1.8).
The derivative along a curve is called a directional derivative. Partial derivatives are
special cases of directional derivatives in which the direction is specified by holding
all but one of the independent variables constant.
37
1.2. TRANSFORMATION OF THE QUASI-LINEAR EQUATIONS.
Equations (1.1) are multiplied by a transformation matrix, tv'
I: I: (tlJajk auk +tlJbjk auk) + I: tjJ:dk= 0 (1.9)

jle ax Oy Ie
The tv may be functions of the dependent and independent variables but not of the
derivatives of the dependent variables. Comparing (1.9) with (1.4)
(1.10)
Eliminating Ai,t produces
I: tlJajk = E l ttj bjk

(1.11)
j j
Using (1.11) to eliminate the alJ in (1.9) gives
E E (l tlJbjk auk +tlJbjk auk) + E tjJ:dk= 0 (1.12)

jle ax Oy Ie
which is of the desired form of (1.4)
(1.13)
There still remains the matter of determining the tlJ. Obviously, the tlJ must
satisfy (1.11), which may be considered as n 2 equations in the n 2 + 1 values of tlJ and
l. Actually, only n of these equations are distinct since we could set tv=ttj. Since
the equations are homogeneous in tli' the determinant of the coefficient matrix must
be zero to avoid the trivial so!u~on that all the tli are not zero, thus
au-Abu a 12 -lb12
~1 - lb21 ~ - lbn (1.14)
The determinant forms an n -degree polynomial for l. This polynomial is key to the
38
system of equations. If there are n real and distinct roots, AI' of the polynomial,
then the original set of differential equations is hyperbolic; if all the roots are
imaginary, the equations are elliptic. An intermediate case is that of parabolic
equations. These types of partial differential equations have very different proper-
ties and different boundary conditions must be applied to obtain a well posed
system.
1.3 CHARACI'ERISTIC FORM OF THE SHALLOW WATER EQUATIONS
Although most rivers, canals and waterways are of arbitrary cross-section, the proper-
ties of the shallow water equations are easier to develop with respect to rectangular
channels. A later section will treat the more general case. The equations are
01] 01]
-+u-+1]- =0
au (1.15)
at Ox Ox
au au 01]
at + U Ox + g Ox = g(So - S~ (1.16)
The friction slope, Sft' has been included in lieu of the viscous terms; it usually takes
a form such as
(1.17)
in which C, r, and s depend on the particular friction law that is chosen and on the
specific case. We have also assumed that the velocity is constant in the cross-section.
Using (1.15) and (1.16) with [a] as the coefficients ofthe x-derivatives and[b]
as the coefficients of the t -derivatives gives
[a] = [: ;] [b] = [~ ~]
After solving for ..t, we find that the characteristic directions are
(1.19)
Clearly, the wave speed is given by c=[iq and the disturbance speed is found by
adding or subtracting the velocity. Assuming a positive velocity, the first character-
istic will always have a positive slope - disturbances travel in the downstream
direction at a speed greater than the velocity. The second characteristic may have
39
either a positive or negative slope depending on the relative magnitude of u and c.

If u<c the flow is subcritical, if u>c it is supercritical, and the intermediate case,
u=c, is critical flow. In supercritical flow a small disturbance is felt only downstream
of the point of the disturbance. For subcritical flow the disturbance travels both
upstream and downstream and eventually influences the flow in the entire channel.
L---
t
\~/
Supercritical
flow
V
JC
Figure 1.2. Characteristics for

subcritical and supercritical flows.
The characteristics for these two case are shown in figure 1.2. The depth at which
the wave speed is equal to the velocity, u=c, is called critical depth.
Equations (1.11) become
[~: ~l[: ;H~c .~c][~: ~l[~ ~] (1.20)
A transformation that satisfies these equations is
[t] = [c TIl (1.21)

-c "
The normal form of the shallow water equations is
71[(U+C)! +!]u+c[(u+C)! +!]71+ 71[-8(So-SA] =0

(1.22)
71[(U-C)! + !]u-c[(U-C)! + !]71+ 71[-8(So-SA] =0

The previous equation is conveniently written so that each equation contains a single
operator that operates on the Riemann invariants. We divide through by 'I obtain-
ing
40
[(UC)! + !]u ~[(UC)! + !]'1-8(SO-S~ = 0 (1.23)
The second term has the form
. d'1 = ~ !!..(g'1) = ..5..... !!..c 2 = 2 de (1.24)

'1 tit 8'1 dt e 2 tit dt
The normal form becomes
[(UC)! + !](U2c) =8(So-S~ (1.25)
The quantities u2c are not really invariant along their respective characteristics
since the right sides are not zero.
The process of finding the normal form could have been shortened if we had
been able to divine an integrating factor. Equation (1.15) is multiplied by e and
(1.16) by '1 to obtain
0'1 0'1 au =0
C-+CU-+C'1-
at ax ax
If these equations are first added then subtracted, the two equations that result are
(1.22).
1.4 DEPENDENCIES
The foregoing development immediately suggests a numerical method for the
Figure 1.3. Characteristic solution

at P given data at A and B.
41
The foregoing development immediately suggests a numerical method for the

solution of the shallow water equations. Suppose that the right side of the equations
were zero, which would require no slope and no friction, or more realistically that
the slope and friction balance. The characteristics would appear as in figure 1.3.
If the solution is known at points A and B, the solution at P is immediate.
t
M
R x
Figure 1.4. Characteristic solution for point M.
More generally the characteristics are curved and the situation is as shown
in figure 1.4. The equations for their intersection at point M are
XM =xL +1'"(U+C)dt XM=XR + f"(u-C)dt (1.27)

~ ~
The relationship of the variables along the characteristics is
uM +2cM ="L +2cL +81'11 (So -S,)dt

' (1.28)
uM -2cM = uR -2cR +81'" (So -S,) dt
'.
In which the integral in the first equation is taken along the forward characteristic
and the integral in the second equation is taken along the backward characteristic.
Equations (1.27) and (1.28) form four equations in xJI' tM' uM ' and CM' They can
be solved either implicitly or explicitly, depending on how the integrals are approxi-
mated. Such a method was used by liggett and Woolhiser (1967) to obtain solutions
to problems in channel and overland flow.
The characteristics also indicate the dependence of the solution at a point on

other points. Consider figure 1.5. A small disturbance at point Q influences the
42
Figure 1.5. Definition of

the range of influence.
solution only in the range of influence of the point. An observer at point R would
remain ignorant of the disturbance.
The data along a portion of an initial line AB (figure 1.6) will determine the
complete solution within the zone of determinacy of AB. On the other hand, the
portion AB of the initial line is called the domain of dependence of point R. The
solution at point P is influenced by the information on the line AB, but not deter-
mined since information outside of AB also has an influence.
Although the above equations were written for rectangular channels, they can
t ZOne of determinacy
for IineAB
R
p
./ \
~ ____~~~~__~__~~~x
Domain of dependence B
I. at point R .1
Figure 1.6. Definitions of the zone of
determinacy and the domain of dependence.
apply to any shape if the 2c terms of (1.28) are replaced by the Escoffier stage
variable
43
(1.29)
(But note that c of (1.27) remains unchanged.) in which w is the width of the
channel at the water surface and A is the cross-sectional area of the wetted portion
of the channel.
The proper number of boundary conditions is determined by the number of

characteristics that intersect the boundary. If no characteristic intersects the bound-
ary (the case of an upstream boundary in supercritical flow), two boundary condi-
tions are required; that is, the complete solution must be known along the boundary.
If one characteristic intersects the boundary (either the upstream or downstream
boundary in subcritical flow), one condition is required. That condition may be
either a known depth, a known velocity, or a relationship between the depth and the
velocity. The solution on the boundary is determined by the information carried by
the intersecting characteristic plus the boundary condition. If two characteristics
intersect the boundary (the downstream boundary in supercritical flow), no condition
is required.
Even if the characteristics are not directly used in a numerical method, they
have a great impact on the stability and accuracy of the method and the design of
a finite difference or finite element scheme. Some finite difference methods require
a characteristic solution on the boundaries even though another method is used for
interior nodes. Junctions are often treated by characteristic solutions (Garcia-
Navarro and Savir6n, 1992).
1.5 THE HARTREE SOLUTION - INTERPOLATION
A direct application of the finite difference method as based on the characteristics

will lead to a nonuniform net of points. Such a nonuniform net may be advanta-
geous since the points tend to congregate in areas of rapid changes, exactly where
accuracy demands a dense net with small differences to obtain accurate approxima-
tions to the integrals. Nevertheless, most analysts have preferred to work with a
rectangular net of evenly spaced nodes. Their distaste for working with the disor-
dered net is most often stated reason, but a better reason is that the characteristic
formulation becomes much more complex if the details of nonprismatic channels,
flood plains, bridge sections, channel junctions, dry channels, and bore tracing are
44
a part of the equations.
Several such methods using characteristic with a regular grid have been
proposed but they are all - except the earliest - based on the Hartree technique
t t
A

iJ-I
i + IJ

iJ

1

.t .t
Figure 1.7. Interpolation in the longitudinal

direction (left) and in the time direction (right).
(Fox, 1962). The characteristics are projected backwards from an unknown node as
shown in figure 1.7. Since they don't intersect - in general- nodes at the previ-
ous time, the values for the unknown dependent variables must be found from that
line by interpolation. As indicated in the figure, the interpolation can either be in
space or in time.
We maintain that interpolation in any numerical method is an evil to be

avoided if at all possible. The best that can be said for interpolation is that it
diffuses the solution. Hyperbolic equations have the property that the solution can
be discontinuous, but interpolation assumes continuity and some smoothness of the
variables. More accurate high-order interpolation helps - sometimes. The prob-
lem with high-order interpolation in hyperbolic equations is that it often brings
information from further afield than low-order interpolation. For example, linearly
interpolating requires data at just two nodes, cubic interpolation requires data at
three nodes, quartic interpolation requires data at four nodes, etc. Use of these data
may violate the range of influence and zone of determinacy principles that govern
what the influence of those data should be. However, high-order interpolation done
well has been shown to improve accuracy (Sibetheros, et al., 1991). Holly and
Preissmann (1977) cleverly used derivatives to improve the accuracy of interpolation
without spreading its influence. Timeline interpolation has been considered more
45
acceptable by some (Goldberg and Wylie, 1983) than spaceline interpolation.
A similar technique can be applied to problems in which there are more than
two dependent variables. The simultaneous solution of water and sediment flow
constitute one example (Lai, 1991). Steady state, high-speed, two-dimensional
shallow water theory has three characteristics and can be solved by a slight variation
of the Hartree method (Uggett and Vasudev, 1965).
2. Finite Differences
The number of choices for solving the shallow water equations is, at first glance,
overwhelming. Actually, this is a mature field so that what was once a wide range
of methods has settled down in practice to only a few. New or different methods are
still being applied by researchers, but those who simply desire an accurate solution
to a problem should not have to search far. In fact those who want to solve a
problem should not begin programming but should use one of the many programs
now in existence. The quality of anyone solution probably has more to do with the
geometric details than the method of solution. Those factors mentioned in the last
section (nonprismatic channels, flood plains, bridge sections, channel junctions, dry
channels, and bore tracing) can become a vital part of the program if the physical
situation demands them. Most of these factors will cause a program to crash if it is
not specifically designed to handle the situation. The theory of providing for such
features is not at all complex; the practical aspects of their incorporation in a
program is complex.
The first question often asked is whether finite differences or finite elements
should be used. The advantages of finite elements are the resolution of geometric
complexity and the availability of a great variety of approximating functions. One-
dimensional problems contain no geometric complexity and most of the approxi-
mating functions can be incorporated into finite differences as well as finite ele-
ments. Thus, most one-dimensional, steady or time-dependent programs are written
in finite differences. In two dimensions the choice is not so clear. The finite ele-
ment method is often less efficient than finite differences precisely because in taking
advantage of its ability to handle geometric complexity, it uses irregular meshes that
do not lend themselves to the fast solution short-cuts of finite differences. Also
finite elements always form implicit methods unless the mass matrix is lumped, thus
taking away the ease of explicit techniques that some prefer. However, many two-
46
dimensional (and in general free surface flow, three-dimensional) problems are often
best handled by finite elements due to its advantages as cited above and due to the
fact that finite element programs are easier to write in a manner that they can be
transported between different applications.
2.1 IMPLICIT VS EXPLICIT
Explicit methods are generally easier to program, easier to debug, and run more
rapidly than implicit methods. They solve for one point at a time in the unknown
time step - that is, one equation and one unknown (except, perhaps, at the bound-
aries). The difficulty is that the analyst must use the correct data for each point-
the unknown node must be within the zone of dependency of the nodes that are used
to approximate the derivatives at the known time line - otherwise, the method will
be unstable. (Even that rule does not guarantee the stability of the method; several
methods are unstable even though the unknown node is within the zone of depen-
dency of all those previously solved points that have been used in the difference
molecule.)
Implicit methods solve for the unknowns at a group of points simultaneously,

requiring the solution of simultaneous algebraic equations. They are slightly more
difficult to debug since not all the arithmetic can be carried out conveniently on a
hand calculator. They are less efficient since a major part of the solution time is
required to solve the simultaneous equations. The advantage is that they use all the
data from the known time line and thus the unknown nodes are always in the zone
of influence. That fact does not guarantee the stability of the method, but the
commonly used techniques are unconditionally stable. The unknowns are usually
arranged in pent-diagonal matrices (at least for the case of one-dimensional flow in
a single channel) so that fast solvers can be used, thus largely canceling the ineffi-
ciency of the simultaneous equations.
2.2 METHODS
One-dimensional methods are well documented in numerous papers and

books. Instead of adding to the redundancy by describing each in detail, we will
mention a few such methods together with references for the interested reader.
The unstable method (Uggett and Cunge, 1975) is not a method that has been
used (with a single exception), but is one that first occurs to those who begin to
47
program in this area. Since it is unconditionally unstable, it should be avoided.
Common explicit schemes are the Lax method (Cunge, et aI., 1980), the Lax-
Wendroffmethod (Lax, 1957; Lax and Wendroff, 1960; liggett and Cunge, 1975), the
leap-frog method (liggett and Cunge, 1975), the diffusive scheme (Stoker, 1957;
liggett and Cunge, 1975), Dronkers' method (Dronkers, 1965; liggett and Cunge,
1975), Gabutti scheme (Gabutti, 1983; Chaudhry, 1993), and MacConnack's scheme
(MacCormack, 1971; Kutier, 1975; Chaudhry, 1993; Tan, 1992).
Common implicit methods are the Preissmann method (Preissmann, 1960;

liggett and Cunge, 1975; Cunge, et aI. 1980), Abbott's scheme (Abbott and Ionescu,
1967; Abbott and Basco, 1989; liggett and Cunge, 1975; Tan, 1992), Vasiliev's
scheme (Vasilievand Godunov, 1963; liggett and Cunge, 1975), the Delft method
(Vreugdenhil, 1973; Cunge, et aI. 1980), the Gunaratnam-Perkins method (Gunarat-
nam and Perkins, 1970; Cunge, et aL 1980), Beam and Wanning method (Beam and
Warming, 1976; Chaudhry, 1993; Tan, 1992), the Leendertse-Marchuk scheme (Leen-
dertse, 1967; Marchuk, 1982; Tan, 1992), and the six-point implicit method (liggett
and Woolhiser, 1967).
The book by Tan (1992) can serve as a primary source of numerical methods
for the shallow water equations in one and two dimensions. The August, 1993, issue
of the Journal of Irrigation and Drainage Engineering is devoted to open channel flow
models. Papers include "Description and evaluation of program DUFWW," A J.
Ciemmens, F. M. Holly, Jr., and W. Schuurmans; "Cal Poly model canal," John B.
Parrish II and Charles M. Burt; "Description and evaluation of program USM,"
David C. Rogers, and Gary P. Merkley; "Description and evaluation of program
CANAL," G. P. Merkley and D. C. Rogers; "Field data for verifying canal unsteady
flow models," David C. Rogers, Timothy F. Kacerek, and Robert S. Gooch; "Numer-
ical methods used to model unsteady canal flow," T. S. Strelkoff and H. T. Falvey;
"Informed use and potential pitfalls of canal models," Dinshaw N. Contractor and
Wytze Schuurmans; "Irrigation canal simulation model usage," C. M Burt and G.
Gartrell; "Unsteady flow modeling of irrigation canals," ASCE Task Committee on
Irrigation Canal System Unsteady Flow Modeling; "Unique problems in modeling
irrigation canals," Forrest M. Holly, Jr., and Gary P. Merkley; "Description and
evaluation of program MODIS," Wytze Schuurmans; and "Description and evalua-
tion of program CARIMA," Forrest M. Holly, Jr., and John B. Parrish ill. Obvious-
ly, one should not begin to code their own program unless they have a truly unique
48
idea.
The decade of the 1960s was a time when different schemes were coming into
common use. Some of these methods were developed simultaneously by different
researchers working independently. The most successful technique has probably
been the Preissmann method. The reasons are: (1) It was one of the earliest; (2) it
is a compact method, using only four grid points for the solution molecule, and thus
minimizes the damage done by the interpolating function; (3) it was accompanied
by a fast solution technique (the "double sweep" method, in reality a variation of a
fast technique for the solution of equations with a pent-diagonal coefficient matrix);
and most importantly (4) it was used in real situations and programmed with the
detail necessary to provide answers to real problems.
In listing these methods we must include the original contribution by the

mathematics group at the Courant Institute. They were pioneers in mathematical
flood routing (Isaacson, et al. 1954). That work got wide distribution in the classic
book by Stoker (1957). Isaacson, et aL (1954) used the diffusive scheme and a rather
inaccurate method based on the method of characteristics on a fixed grid. Those
methods were primitive compared to developments just ten years later. The reason
they we not popular was not because they were primitive, but because the mathema-
ticians did not appreciate the detail and the amount of data necessary to make
accurate predictions in real rivers using mathematical flood routing. Preissmann and
his coworkers did have such an appreciation.
Obviously, all of these methods are old and although we occasionally see a
paper on a "new" method, no significant improvement has been made in the last
twenty years. Methods of evaluation of the techniques are in the books (Uggett and
Cunge, 1975; Cunge, et al., 1980; Abbott and Basco, 1989; Tan, 1992). Any new
method should present the amplitude and phase diagrams to show what sort of
numerical errors are likely to be present. The common method of comparing one
or a few calculations to experimental data is not sufficient to indicate what sort of
errors are present. Mathematical modelling is a two-stage process: The differential
equations represent an approximation to reality and the numerical method is an
approximation to the solution of the differential equation. That two-stage process
should not be abbreviated by simply comparing the final numerical calculation to an
experiment or field data. If such a comparison is good - and the inventor always
maintains that it is - it may be simply a fortuitous cancellation of error for that
49
particular case; it has little predictive ability for other examples. Instead, the model-
er should analyze each part of the process and make an attempt to minimize error
in both of the stages.
2.3 BOUNDARY CONDmONS - INITIAL CONDmONS
The basic boundary conditions for the one-dimensional, unsteady problem are
determined by the characteristics as outlined in section 1.3. Yet when the finite
difference methods were being developed, the literature was full of confusion on
boundary conditions. As an example an explicit scheme could be developed that
used central differencing in the interior of a region, downstream differencing at the
upstream boundary, and upstream differencing at the downstream boundary. The
arcs of figure 2.1 indicate the nodes that are used to take the x-derivatives. The
DowDstream Boundary
n+l
n
x
Figure 2.1. The wrong way to apply boundary conditions.

The arcs indicate the nodes used in taking x-derivatives.
upper arcs (at time n+ 1) would be used only in case of an implicit scheme. Using
this discretization, the equations of continuity and motion would give two relation-
ships in the two values of the dependent variables on the boundary; no boundary
conditions are needed! Obviously, something is wrong; the scheme has imposed its
own boundary conditions by the way the derivatives are taken.
Explicit methods require that the boundary points are solved by the method
of characteristics except in special cases such as symmetry (see Liggett and Cunge,
1975, for details). In using implicit methods the boundary conditions can simply be
additional equations in the set of simultaneous equations that determine the depen-
50
dent variables for a group of points.
Initial conditions nearly always are a problem simply because they are not
known. The solution has been to guess the depth and flow (or velocity). Errors in
the initial conditions will disappear after a short time in the calculation. An excep-
tion is the case where the flow rate is used as the boundary conditions both up-
stream and downstream. In that case the volume of water in the reach is determined
by the boundary conditions and if it is not correct at the beginning, it will not be
correct for the duration of the calculation.
Downstream boundary conditions have traditionally been troubling. If a
stream discharges into a lake or ocean where the depth is known, the boundary
condition is accurately fixed. If the stream passes through a control - a section of
critical depth - a definite relationship can be established between flow and depth.
For the majority of problems neither of these conditions is present, but some condi-
tion must be found. The use of a rating curve is common. But the rating curve is
rarely single valued; the depth-discharge curve is different on the rising stage from
that of the falling stage. The fact that the rating curve is not single valued is evi-
dence that disturbances can pass upstream and that dynamic routing is necessary for
accurate calculation. Perhaps the best that can be done in such a case is to carry the
calculation far enough downstream so that error introduced by the downstream
boundary condition is negligible in the section of interest; in other words use the
rating curve but extend the entire calculation downstream of the important region.
A common misconception is that dynamic calculation often cannot be used

because of the lack of a downstream boundary condition and a kinematic method
must be used instead. The fact is that if no single valued rating curve exists at the
downstream boundary - the troubling case - the kinematic calculation will be
inaccurate and the dynamic method should be used, even with a less than perfect
boundary condition. In this and other aspects of the calculation, we strongly empha-
size that the dynamic condition does not require more data or more conditions than
any other method in the sense that an estimate for such conditions or data with the
dynamic condition is likely to be more accurate than the use of an alternate method
(kinematic, diffusion) that cannot make use of the condition or data.
3. Calibration, data, and inverse calculation
A part of any calculation of open channel flow is empirical. If Manning's equation

51
is used for the friction, some estimate must be made for Manning's n. In natural
waterways the roughness estimate can be very wrong, the geometry of the situation
may not be well determined, the flow from tributaries or overland flow into the
channel may not be known, and the boundary conditions may be poorly defined.
The time-honored method of determining these factors is to build the model and
"twist the knobs" until the results fit whatever data are available. Such a process
can be highly arbitrary and call into question the predictive ability of the model.
Even in the best of circumstances, the analyst may not know how a bad guess affects
the results. Fortunately, the tools are now at hand to lend formality to the calibra-
tion process, decrease the degree of arbitrariness, and give some estimate of likely
error.
3.1 INVERSE METHODS
Simulation is the normal forward problem - given the governing equations,

boundary conditions, and physical parameters, a solution is computed. The inverse
problem uses additional information such as physical measurements to determine
some of the parameters in the simulation model. In the present case we may wish
to determine Manning's n or a parameter in the boundary conditions. Thus the
inverse problem is stated: Given the governing differential equations, the boundary
conditions, some measurements, and some of the parameters, determine the remain-
der of the parameters. The forward problem is well-posed as determined by three
criteria: (1) The solution exists for all admissible data; (2) the solution depends
continuously on the data; and (3) the solution is unique for all admissible data. The
inverse problem often fails to satisfy one or more of these criteria; it is usually ill-
posed. Nevertheless, solutions can be found. The best solutions occurs where an
abundance of data exist. Fortunately, the unsteady flow problem can yield an
abundance of data since a single stage measurement over a period of time can give
many data points.
Consider a reach of channel that contains J nodes with both flow and depth
(stage) unknown at each node. Over the channel we have a group of N depth
measurements for the time period t=O to t=T. For purposes of calculation the time
period is divided into I steps. The initial conditions and boundary conditions are
known for the measured events. Thus, the number of unknowns is 2 xJxl flow
variables, but of these M=Nxl are known from the measurements. Since the number
of equations is sufficient to find the 2 xJxl variables, the extra M equations can be
52
used for determining parameters. If the number of parameters is less than the
number of measurements, the problem is overdetermined, the most desirable situa-
tion. If the number of parameters is greater than the number of measurements, the
problem is underdetermined and the parameters cannot be found uniquely (but even
the underdetermined problem can yield important information).
The easiest criterion is the minimization of the sum of the square of the
errors of the measurements
M
" =L.J (_M
.2 ~
'1
_)2 ..
'1 =D1llUID.um
j - j
(3.1)
;=1
in which 'if/ is the depth as calculated in the simulation, 'if~ is the measured depth,
and M=Nxl is the number of data points. Equation (3.1) is the "chi-squared merit
function. "
3.2 METHOD OF SOLUTION
Suppose that the desired parameter is Manning's n and that we assume n to be

different for each reach of channel, givingJ-1 values to be determined. [Alternately,
we could make n a function of depth, or it could have different values in a main
channel and a flood plane, or we might want to include the lateral inflow as a
parameter, or we could include the r and s of (1.17).] Equation (3.1) can be mini-
mized by many different methods. Differentiating with respect to the parameter
ar = _ 2
imp
E('If:" -
;=1
'if/) a'if,
imp
(3.2)
The subscript on n indicates the value of n in the pth reach. This derivative will be
zero at the point at which the merit function (3.1) is minimized with respect to n.
For the purposes of the calculation the second derivative is useful
2B = 0-"
-.2..2 M [a- a-
=2 L ~ ~ -('if~ - 'if/) &-]'1/ (3.3)
imp imq ;=1 imp imq imp imq
in which H is the Hessian matrix. In most calculations the Hessian matrix is approxi-
mated by the first part of (3.3)
(3.4)
53
The approximation is a good one in most instances. Near the solution, especially, fj~
should be close to fjl so that the second derivative is multiplied by a small number.
In any case an approximation to the Hessian (or Jacobian) only alters the path to
a solution and does not change the solution. Thus, the Hessian is approximated as
the square of the Jacobian
(3.5)
where
rNumber of parameters1
afjl afjl afjl
ani ~ anJ _I
afj2 afj2 afj2 Number

J= ani ~ anJ - 1 (3.6)
of
measurements
afjM afj" afjM
ant an2 anJ - 1
Although most forward calculations require little computer time, the evaluation of
the Jacobian is lengthy because the forward problem has to be solved once for each
column of the Jacobian to find a numerical approximation to the derivatives afj;lanr
An adjoint calculation can eliminate the need for so many functional evaluations.
3.3 THE ADJOINT CALCUlATION
Consider the merit function (3.1) written in matrix notation

(3.7)
The finite difference (or finite element or boundary integral) equations - at each
time step or as a whole - are written symbolically as
[M]{v} = {R} (3.8)
in which v is the dependent variable and represents either fj or Q (or velocity if the
governing equations are formulated in terms of velocity). We differentiate (3.8) with
respect to n and multiply the result by an arbitrary vector {",_}T
54
{,_}T [::l{V} + {,_}T [M J{:::J -{,_}T {::} 0 = (3.9)
The derivative of the merit function is
ar = (ar) + E (ar atfJ+ ar aQJ) (3.10)

On; On j tf.Q
J' atfJ On aQJ On;
j
The first term on the right represents the direct effect of a change in the friction
factor where the subscripts indicate that tf and Q are to be held constant as well as
all parameters except nj The last two terms represent the indirect effect of a
change of n on tf or Q. In this case (arIOn;)tf.Q=O and arlaQ=O [from (3.7),
although (3.7) could include measurements of Q in which case this term would not
be zero]. There remains
ar =fa~}T {atf} = -2{tf-- tfV{atf} (3.11)

On; ta" On; On j
Subtracting (3.9) from (3.11)
ax 2
= _2{tf-_tf}T{atf}_{,_}T [aM1v }
Onj On On;t
j
(3.12)
_{,_}T [MJ{:::J+ {,.}T {::}
Because v represents both tf and Q, the vector {atfIOn} is replaced by {avIOn},
which is suitably spaced so that when v represents Q, vt-Vj=O. Then (3.12) becomes
(3.13)
The vector {avIOn} is unknown so we set the multiplier of that term equal to zero,
leading to the adjoint problem
(3.14)
Taking the transpose
(3.15)
Note that the adjoint problem is linear even though the forward problem is nonlin-
55
ear. It is driven by the differences of the calculated and measured heads so that the
adjoint variable "'- becomes zero if those differences are zero. Since the coefficient
matrix is [M]T, the most efficient solution method is to proceed backward from t = T
to t=O with "'- =0 at t=T (an arbitrarily chosen "initial" condition).
3.4 MINIMIZATION STRATEGIES
A great many methods are available for solving satisfying the least squares criterion
(3.7). All have advantages and disadvantages. The goal is to find a method that is
robust and uses as little computer time as possible. The best technique is problem
dependent and has not been determined for this problem at this writing. The
following are some possibilities among many.
3.4.1. The Gradient Method. After solving (3.15) for {",-}, the gradient of the merit
function is calculated from the derivatives
(3.16)
The formulation of the forward problem determines [R] and [M] and their deriva-
tives. The solution of the forward problem gives v and the solution of the inverse
problem gives {",-}. An alternative to the adjoint solution is to find the gradient
numerically by solving the forward problem once for each of the unknowns, where
the unknowns are perturbed slightly, to form a numerical derivative. Since even one
forward problem is more difficult than the adjoint problem, that is not an attractive
method to form the gradient.
Once the gradient is known, the steepest descent method (Press, et aL, 1986)
is available for the solution. Unfortunately, that method can be inefficient. The
gradient determines the downhill direction, but not how far to go in that direction.
line minimization can determine how far, but it requires a number of additional
function evaluations - forward solutions - which has a very negative effect on
computer time.
3.4.2. The Hessian Method. Without derivation we can use the Hessian in an
equation of the type
[H]{cS} = {~} (3.17)
where cS is an adjustment of the n values from the previous iteration. If r is a

56
quadratic function, this formulation will converge in one iteration. It is not very
robust, however, since if the Hessian is not positive, it may lead the process astray.
The Hessian method is best used to finish a calculation after the guessed factors are
not too ar from the final result. It can be quite efficient if the function is shaped
properly.
3.4.3 The Adjoint Jacobian and Hessian. An alternative to the multiple forward
solutions to compute numerically the Jacobian is to use a single adjoint calculation.
Instead of the r merit function of (3.7), we write
(= {g}T {tf} (3.18)
where {g} is a vector made up of zeros and a one,

{g}T = {O 0 ... 0 1 0 0 0 O} (3.19)
Thus the one picks a single value of tf. Following the development of section 3.3
but replacing r by ( and f/I" by ~", (3.15) becomes
[M]T {~,,} = {g} (3.20)
and in analogy to (3.16) the Jacobian is calculated by
(3.21)
Then, (3.5) leads directly to the Hessian and to any of the methods that use the
Hessian.
3.4.4. The BFGS Method. An alternative method for computing the inverse of the
Hessian is to use the update method of Broyden, Fletcher, Goldfar, and Shanno
(BFGS) (Press, et aI., 1986). It is intended to be used when only gradient data are
available. The calculation is usually started by taking the inverse of the Hessian as
the unity matrix, but we have found that beginning with a good Hessian (by using the
Jacobian, for example) is often worth the expense so that the algorithm does not
fumble around for the first few iterations and perhaps go astray. The update formu-
la for the inverse Hessian is
G 1+1 = G I_(G 41 4n T + 4n 41 T G)I + [(1 + 41 T G 41) 4n 4n T]I (3.22)

4n T 41 4n T 1 4n T 41
in which G is the inverse of the Hessian, the superscript i is the iteration number,
n is the parameter vector (which may consist of more that simply a list of Manning's
57
n), g is the gradient vector, and the .:1 indicates the difference between two itera-
tions (for example, AI=II_II-l). Since the BFGS method updates the inverse
Hessian, the solution to (3.17) becomes a simple matrix multiplication.
3.4.5. The Levenberg-Marquardt Method. An effective method to use gradient and

Hessian information is the Levenberg-Marquardt method (Press, et al., 1986). It is
a combination of the gradient method and the Hessian method with smooth transi-
tion between the two. Equation (3.17) is written
[R]{c5} = {~} (3.23)
where [R] is a coefficient matrix and is the Hessian unless modified as indicated
below. In the Levenberg-Marquardt method the diagonal of [R] is modified accord-
ing to
i=j (3.24)
The factor A is chosen at each iteration and depends on whether that iteration has
improved the merit function. If an iteration improves the merit function, A is
decreased so that the coefficient matrix moves toward the Hessian; if an iteration
does not improve the merit function, A is increased to shorten the step length and
to move the process toward the gradient method. In the latter case the latest
iteration is discarded. For a nearly quadratic merit function, the process will use the
Hessian method and converge rapidly. If the Hessian is not positive, the process will
use the gradient method until near the solution where the Hessian is positive and
the function is likely to be approximately quadratic. In this way the iteration will go
more directly to the solution instead of wandering around a valley near the solution
as the gradient method sometimes does.
3.5 REMARKS
Although the foregoing paragraphs have been directed toward finding Manning's n,
any parameter or boundary condition could receive similar treatment. For example,
rating curves are often used as boundary conditions, but the parameters of the rating
curve need to be determined and formal inverse techniques provide a good frame-
work. The inverse mathematics can be carried much further so that it gives a
measure of the quality of the parameters if the quality of the data is known. These
sorts of calculations are not new; they have been applied in a wide variety of fields
including heat conduction, groundwater, optics, medical tomograph, seismology, and
58
many others. In open channel flow, liggett (1968) used three depth measurements
in unsteady flow to determine simultaneously the flow rate Q and Manning's n.
Although the formal mathematics of inverse problems was not used, simple equa-
tions were derived for the error in the flow rate given the error in the stage mea-
surement. Data mistakes (misreading of a gage, as opposed to a small error) can
be located and eliminated.
The determination of parameters and boundary conditions is easier in un-

steady flow than in steady flow for the simple reason that the changing conditions
of unsteady flow provide more data. The key to accurate determination is a massive
amount of data. Inverse calculation provides an alternative to the very heuristic
procedure of twisting knobs until the model fits the data by some loosely determined
criteria.
References
Abbott, M. B., Computational Hydraulics: Elements of the Theory of Free-Surface

Flows, Pitman, 1979.
Abbott, M. B., and F. Ionescu, "On the numerical computation of nearly horizontal
flows," Jour. of Hydraulic Reseach, Vol. 5, No.2, 1967, pp. 97-117.
Abbott, Michael B., and David Basco, Computational Fluid Mechanics: An Intro-
duction for Engineers, Longman, 1989.
Beam, R. M., and R. F. Warming, "An implicit finite-difference algorithm for hyper-
bolic systems in conservation form," Journal of Computational Physics, Vol. 22, 1976,
pp. 87-110.
Chaudhry, M., Open Channel Flow, Prentice Hall, 1993.
Cunge, J. A, F. M. Holly, Jr., and A Verwey, Practical Aspects of Computational

River Hydraulics, Pitman, 1980.
Dronkers, J. J., "Tidal computations for rivers, coastal areas and seas," Jour. of the
Hydr. Div., ASCE, Vol. 95, No. HY1, January, 1965.
Fox, J. A, Transient Flow in Pipes, Open Channels, and Sewers, Ellis Horwood, 1989.
59
Gabutti, B., "On two upwind finite-difference schemes for hyperbolic equations in
nonconservation form," Computers and Fluids, Vol. 11, No. 12, 1983, pp. 207-230.
Garc1a-Navarro, M. P., and J. M. Savir6n, "Numerical simulation of unsteady flow

at open channel junctions," Journal of Hydraulic Research, Vol. 30, No.5, 1992.
Goldberg, D. E., and E. Wylie, "Characteristics method using time-line interpola-

tions," Journal of the Hydraulics Division, ASCE, Vol. 109, No. HY5, 1983, pp. 670-
683.
Gunaratnam, D., and F. E. Perkins, Numerical Solutions of Unsteady Flow in Open

Channels, Hydrodynamics Laboratory T. R. No. 127, Department of Civil Engineer-
ing, MIT, Cambridge, Massachusetts, 1970.
Hoffman, Joe D., Numerical Methods for Engineers and Scientists, McGraw-Hill, 1992.
Holly, F. M., Jr., and A Preissmann, "Accurate calculation of transport in two

dimensions," Journal ofthe Hydraulics Division, ASCE, Vol. 103,1977, pp. 1259-1278.
Isaacson, E., J. J. Stoker, and B. A Troesch, "Numerical solution of flood prediction

and river regulation problems (Ohio-Mississippi floods)," Report II, New York
University, Institute of Mathematical Sciences, Report IMM-NYU-205, 1954.
Kutler, P., "Computation of 3-D inviscid supersonic flow," Progress in Numerical

Fluid Dynamics, Springer-Verlag, 1975.
Lai, Chintu, "Modeling alluvial-channel flow by multimode characteristics method,"

Journal of Engineering Mechanics, ASCE, Vol. 117, No.1, 1991, pp. 32-53.
Lax, P. D., "Hyperbolic systems of conservation laws II," Comm. on Pure and AppL
Math., Vol. 10, 1957, pp. 537-566.
Lax, P. D., and B. Wendroff, "Systems of conservation laws," Comm. on Pure and
AppL Math., Vol. 13, 1960, pp. 217-237.
Leendertse, J. J., "Aspects of a computational model for long-period water wave

propagation," Memo RM-5294-PR, Rand Corporation, 1967.
Liggett, J. A, and S. Vasudev, "Slope and friction effects in two-dimensional, high

speed channel flow," Proceedings of the Eleventh International Congress of the
International Association for Hydraulic Research, Leningrad, 1965.
60
Liggett, J. A, and D. A Woolhiser, "Difference solutions of the shallow water equa-

tions," Journal of the Engineering Mechanics Division, ASCE, Vol. 93, No. EM2,
April, 1967, pp. 39-71.
Liggett, J. A, "Mathematical flow determination in open channels," Journal of the

Engineering Mechanics Division, ASCE, Vol. 94, No. EM4, August, 1968, pp.
947-963.
Liggett, J. A, and J. A Cunge, "Numerical methods of solution of the unsteady flow

equations," Unsteady Flow in Open Channels, K Mahmood and V. Yevjevich, eds.,
Volume I, Chapter 4, Water Resources Publications, Fort Collins, Colorado, 1975.
Mahmood, K and V. Yevjevich, Unsteady Flow in Open Channels, Volumes I, II, and
III, Water Resources Publications, Fort Collins, Colorado, 1975.
Marchuk, G. I., Methods of Numerical Mathematics, Springer-Verlag, 1982.
MacCormack, R. W., "Numerical solution of the interaction of a shock wave with

a laminar boundary layer," Proc. of the 2nd Int. Conf. on Num. Methods in Fluid
Dynamics, Springer-Verlag, 1971, pp. 151-163.
Preissmann, A, "Propagation de intumescences dans les canaux et rivieres," 1st

Congres de l'Assoc. Francaise de Calcul, Grenoble, 1960 (printed, 1961), pp. 443-
442.
Press, W. H., B. P. Flannery, S. A Teukolsky, and W. T. Vetterling, Numerical

Recipes, Cambridge University Press, 1986.
Sibetheros, I. A, E. R. Holley, and J. M. Branski, "Spline interpolations for water

hammer ananysis," Journal of Hydraulic Engineering, Vol. 117, No. 10, October, 1991,
pp. 1332-1351.
Tan Weiyan, Shallow Water Hydrodynamics, Water & Power Press, Beijing; Elsevier,
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Vasiliev, O. F., and S. K Godunov, "Numerical method of computatin of wave

propagation in open channels; application to the problem of floods," Dokl. Akad.
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61
Vreugdenhil, C. B., Computational Methods for Channel Flow, Publication No. 100,
Delft Hydraulics Laboratory, Delft, 1973.
3
COMPUTATION OF FLOWS WITH SHOCKS AND BORES
M. HANIF CHAUDHRY
Department of Civil and Environmental Engineering
Washington State University
Pullman, WA, U.S.A. 99164-2910
Abstract
The computation of steady and unsteady flows with shocks and bores is discussed in
this paper. Two different formulations are presented to model steady flows. In the
first, which is valid only for super-critical flows, a steady form of the shallow water
equations is numerically integrated. In the second formulation, the unsteady gradu-
ally varied flow equations are solved and time is used as an iteration parameter. A
k-E model is used to include turbulent stresses for the simulation of a radial hydraulic
jump. To demonstrate application to unsteady flows, two-dimensional flows produced
by a dam failure are discussed.
1. Introduction
Standing waves and large surface disturbances, commonly referred to as shocks or

standing waves, need to be considered in the analysis and design of open channels.
Typical examples of natural and man-made channels having flows with shocks and
bores are mountainous streams, rivers during periods of high floods or following a
dam failure, spillway chutes, conveyance channels, sewer systems, and outlet works.
To compute steady super-critical flow in channel expansions, including the ef-
fects of bottom slope and friction, Liggett and Vasudev (1965) numerically inte-
grated the steady two dimensional shallow water equations. However, these and
many other procedures suitable for gradually varied flows cannot be used to compute
flows with shocks or standing hydraulic jumps. Demuren (1979) computed the sub-
and super-critical steady flows by using methods developed by Patankar and Spalding
and compared the computed and experimental results. Although the agreement be-
tween computed and experimental results is fair, the ability of the numerical scheme
Part of the material presented in this paper is taken from Open-Channel Flow by M. H.
Chaudhry and is reproduced with permission from Prentice Hall, Englewood Cliffs, NJ.
63
64
to handle discontinuities is not clearly demonstrated. The method of characteristics

was used for the analysis of two-dimensional steady super-critical flows by Bagge and
Herbich (1967); Herbich and Walsh (1972); Villegas (1976); and Dakshinamoorthy
(1979) and for the analysis of dam-break flows by Katopodes and Strelkoff (1978).
Ellis and Pender (1982) used an implicit method of characteristics to compute high-
velocity flows in channels of arbitrary alignment and slope. Like other characteristic
based procedures, this method is unable to compute oblique jumps and it requires
many interpolations which may seriously affect the accuracy of the solution. Jimenez
and Chaudhry (1988), Bhallamudi and Chaudhry (1992), Gharangik and Chaudhry
(1991) and Younus (1993) utilized shock-capturing finite difference methods to ana-
lyze rapidly varied flows; this paper is mainly based on these investigations.
2. Governing Equations
The St. Venant equations describing the two-dimensional unsteady flows may be
written in a vector form as
(1)
in which
(2)
in which t = time; u = depth-averaged flow velocity in the x direction; v = depth-

averaged flow velocity in the y direction; h = water depth measured vertically; g =
acceleration due to gravity; So(x,y) = sina(x,y) = channel bottom slope in the (x,y)
directions; a(x,y) =angles between the bottom of the channel and the (x, y) directions;
Sf(x,y) = friction slopes in the (x, y) directions and (x, y) coordinate system is as
shown in Fig. 1. The friction slope Sf is calculated from the following steady state
formulas
(3)
in which n = Manning roughness coefficient and Co = correction factor for units
(Co =l in SI units and Co =1.49 in the English units).
There are three independent variables in Eq. 1, namely x, y, and t. The flow is
steady if the variation of flow variables with respect to time is zero. Thus, we may
deduce equations describing steady flow from Eq. 1 by dropping the derivative term,
au/at = O. In other words, the equations describing steady, two-dimensional flow in
open channels are
(4)
65
,---L_ _ x .~ Section A-A
(a) Plan view

,~ (b) Section B-B
Figure 1. Notation.
2.1 Characteristic directions
According to the theory of characteristics, the characteristic directions, Ai, of Eq. 4

are given by the eigenvalues of the matrix of coefficients of the non-divergent form of
these equations (Jimenez and Chaudhry, 1988), i.e.,
v
Al =- (5)
u
A _ UV9h~
(6)
2,3 -
u 2 -9 h
in which Ai = (dy / dX)i are the slopes of the characteristics lines, and F r is the local
Froude number given by
(7)
in which V is the magnitude of the velocity vector. It follows from Eqs. 6 that Eq.
4 is
hyperbolic if Fr > 1;
pambolic if F r = 1, and
elliptic if F r < l.
Note that Eq. 5 defines the direction of the streamlines. If () is the angle between
the velocity vector and the x axis, then
u = V cos 0
(8)
v = V sinO
66
For an infinitely wide channel, the angular position of a small stationary wave
(Engelund and Munch-Petersen, 1953)
1
. -1
p, = sm (9)
Fr
By substituting Eqs. 8 and 9 into Eqs. 5 and 6, re-arranging and simplifying, we
obtain the following expressions for the characteristic directions
(~~)1 = tan 0
(10)
(ddxy ) 2,3 = tan(O p,)
These equations permit a clear graphical interpretation. Figure 2 shows a streamline
passing through point P, which makes an angle 0 with the x axis. It is clear from
Eqs. 10 that, in addition to the streamline, two more characteristics pass through
P: one at angle p, above the streamline (C+), and the other at angle p, below the
streamline (C_). For the physical meaning of the Mach lines, it may be shown from
more elementary considerations (see Henderson (1966), p. 239) that they define the
locus of weak disturbances originating at point P. In other words, they bound the
zone of influence of P.
L -______________________ ~ X
Figure 2. Characteristic directions.
3. Computation of Super-critical Flow

As we discussed in the last section, Eq. 4 is hyperbolic if F r > 1. Thus, a channel
having super-critical flow throughout its length may be analyzed by using the steady
form of the shallow-water equations. In the x-y coordinates, we obtained Eq. 4 from
Eq. 1. These equations are hyperbolic as long as the flow is super-critical. This
offers special advantages for their numerical solution in the s~nse that we solve the
equations directly to obtain the flow conditions and not in time until steady conditions
are reached.
67
3.1 Finite-Difference Methods
The x-y plane is divided into a computational grid to solve Eq. 4 by the finite-
difference methods. We will use the following notation to identify variables at dif-
ferent grid points. Superscript "k" and subscript "j" indicate nodes in the x and
y-directions, respectively. As discussed previously, when the local Froude number is
greater than 1, the system of equations describing steady flows (Eqs. 4) are hyper-
bolic. Therefore, a marching procedure may be used to integrate them. The solution
is obtained by starting at the upstream end of the channel and advancing the com-
putations first to Xo + 6.Xj then, to Xo + 26.x, and so on. In this case, the x-direction
is called the marching direction. This direction may be anyone as long as the system
is hyperbolic with respect to that particular marching direction. What this means is
that the disturbances originating in the flow field should not travel opposite to the
marching direction. According to Eqs. 9, Eq. 7 is hyperbolic with respect to the
x-direction if
u 2 - gh > 0 (11 )
Thus, the coordinates are selected such that the marching direction is aligned with
the predominant flow direction. Otherwise, the requirement given by Eq. 11 may not
be fulfilled, even if the flow is super-critical.
It is desirable to use shock-capturing or through methods since a complex oblique
jump pattern may develop in many situations involving super-critical flow. The chan-
nels or structures having rapidly varied flow are usually short and probably less than
few hundreds marching steps are sufficient to compute the water surface profiles in
them. Therefore, explicit methods suitable for hyperbolic systems may be utilized.
We will discuss only the application of the MacCormack scheme in this section.
MacCormack Scheme
This is a two-step predictor-corrector scheme (Anderson et al., 1984). Considering x

as the marching direction, application of the scheme to Eq. 4 yields
Predictor
E*J = EJk - 6.x k

-(F k
6.y J+ 1 - F)
J
- 6.xSJk (12)
Corrector
Ax (*
EJ** -- EJk - -6.y * 1)
FJ - FJ- - ilXS
A *. (13)
J
Ej+l = ~(E; + Er) (14)
An asterisk (*) indicates the values at the end of the predictor part and (**) refers
to the values at the end of the corrector part. Another variation of the method is
68
to use backward differences for the y-derivative in the predictor part, and forward
differences in the corrector part. The shock resolution is best in problems involving
discontinuities when the difference in the predictor part is in the direction of the
propagation of discontinuity (Jimenez and Chaudhry 1988).
Stability
TheCourant-Friedrichs-Lewy condition (CFL in short) has to be satisfied for the above

scheme to be stable. The CFL condition for Eq. 1 may be written as (Anderson et
al. 1984)
(15)
in which I).maxl is the maximum absolute value of the characteristic slopes, I).il, and
C n is referred to as the Courant number. It follows from Eq. 9 that
I). max I -- luvl +u2ghJFr=l
_ gh
(16)
The truncation error in the MacCormack scheme is the smallest when the largest
possible value of the Courant number, compatible with the above stability condition,
is used (Anderson et al. 1984).
3.2 Boundary Conditions
Proper inclusion of the boundaries is very important for a successful application of any
numerical technique especially for hyperbolic systems in which an error introduced at
the boundaries is propagated and reflected throughout the grid. These errors may
cause instability in many cases (Anderson, et al. 1984).
For the initial conditions, we specify all three variables (h, u, v) at all grid points.
It is sufficient to analyze one-half of a symmetrical system by means of a symmetrical
boundary at the symmetry plane. In addition, we have to specify the boundary
conditions for the channel boundaries.
For a solid boundary we enforce the condition that there is no mass flow through
it. This may be done by the following equation, referred to as the slip condition
~ = tan (I (17)
u
in which (I is the angle between the wall and the x axis. A symmetry boundary is
similar to a solid boundary in that the normal velocity with respect to the symmetry
plane should be zero. In addition, it is required that the normal gradients of all
variables with respect to the symmetry plane vanish.
Several wall boundary techniques enforce in one way or another the basic require-
ment given by Eq. 17. The problem arises in applying it at the grid points along the
wall. The values of all the variables are required for this purpose and Eq. 17 does not
provide all the needed information. Thus, these values are computed using informa-
tion from the interior points plus the boundary condition. Abbett (1971) developed
a technique that has proven to be successful in many supersonic flow computations.
This procedure was adapted for the analysis of super-critical flows by Jimenez and
Chaudhry (1988).
69
3.3 Verification
The results for several cases computed by using the MacCormack scheme were com-
pared with the analytical solutions and with the experimental results (Jimenez and
Chaudhry, 1987). Only comparison for the flow in a contraction composed of circular
arcs (Fig. 3) is presented here. The results compared here are for an initial Froude
number of 4 and an initial water depth of 0.030 m. The flow at the entrance of the
contraction is uniform. This was the condition in the experiment for the assumed
Manning n of 0.012 and for a bottom slope of So = 0.072. In the computations,
a constant depth and uniform velocity distribution were assumed at the upstream
section and 21 grid points in the y-direction (for half channel width) and a Courant
number of 0.98 were used.
Figure 3(b) compares the computed water surface profile at the wall with the
experimental results reported in Fig. 38 by Ippen et al. (1951) and Fig. 3(c) shows a
3-dimensional plot of the computed water surface profile (The walls of the channel are
not shown in this plot). The comparison of water depths in the length of the contrac-
tion, including the first peak, is good. Downstream of the transition, however, the
disagreement between the experimental and computed results becomes large. This
example shows that although a solution of the shallow-water equations simulates the
general features of the flow, the prediction of the maximum water levels is unsatisfac-
tory. This is because the disturbances as well as the depth to width ratio (h/b :::::: 0.2
for the downstream channel) are large.
4. Computation of Sub- and Super-critical Flows
In this section, two-dimensional, depth-averaged, unsteady flow equations (Eq. 1)

are solved numerically to analyze flows in channel expansions and contractions. An
unsteady flow model may be used to obtain steady flow solutions by treating the time
variable as an iteration parameter and letting the solution converge to the steady
state. Unlike the steady model of the last section which can be used only for super-
critical flows, the unsteady model is capable of simulating both sub- and super-critical
flows.
4.1 Numerical Solution
The MacCormack scheme (MacCormack 1969) is used to numerically integrate the

transformed form of the governing equations. The finite-difference approximations
for this scheme are:
Predictor
70
-1------
0.610m
0.305m
1.050 m -------1
(0)
4.0 , - - - - - - - - - - - - - - - - - - - - ,
/f-r--. Measured
I \
h/ho
/ \
2.0
/ \
/
Contraction -----1
0.0 0'---~-_2LO---'--4.L0---'--6-'-0---''-----'eo
(b) x/ho
'0
x/ho
(c)
Figure 3. Circular-arc contraction.
Corrector
U** k flt (* - G*l)

I,J. = UI,J. - -flx G
I,J 1- ,J' - flt
-fly (* *
HI,J. - H )
I,J- 1 - S*I,Jflt (19)
III which the subscripts i and j refer to the grid points in the x and y directions,
71
respectively. Superscript k refers to the variable at the known time level, * to the
variables computed at the end of the predictor part and ** to the variables at the
end of the corrector part.
Now, U at the unknown time level k + 1 is determined from
U~t1
',J
= !:.2 (U~',J. + U~*)
',J (20)
Initial and Boundary Conditions
To start the unsteady state computations, the values of u, v and h at time t = 0

are specified at all the grid points. In the present application, specification of their
approximate values is sufficient since these are needed only to start the computations
which are continued until the solution converges to a steady state.
Typical boundaries for a channel may be included in the analysis as follows.
Inflow and outflow boundaries
The specification of inflow and outflow boundary conditions at the upstream and
downstream ends depends on whether the flow is sub-critical or super-critical (Stoker,
1957; and Verboom, G. K., et al. 1982). For two-dimensional super-critical flow,
three boundary conditions have to be specified at the inflow boundary and none at
the outflow boundary. For two-dimensional sub-critical flow, however, two conditions
are specified at the inflow boundary and one at the outflow boundary.
Symmetry boundary
A reflection procedure is used at a symmetry boundary. In this procedure, the non-
conservative flow variables u and h at the imaginary reflection points are specified as
even functions with respect to the symmetry line. However, the normal velocity is
specified as an odd function so that the average normal velocity at the boundary is
zero. Note that the reflection procedure is exact for a symmetry line.
Solid side wall boundary
A slip condition is used as the boundary condition for a side wall. Therefore, the
resultant velocity at a solid wall is tangent to it. The reflection procedure used herein
for the solid side wall is approximate and is not exact as was the case for a symmetry
boundary procedure.
Artificial Viscosity
The dispersive errors in the MacCormack scheme produce high-frequency oscillations

near the steep gradients. To dampen these oscillations, a procedure developed by
Jameson et al. (1981) is used. This procedure smooths large gradients and leaves the
smooth areas relatively undisturbed.
4.2 Verification
The computed results are compared with the laboratory test data for one case; for
other comparisons, see Bhallamudi and Chaudhry (1992).
72
Super-critical flow in symmetrical contraction
In the laboratory tests reported by Ippen, et al. (1951) on super-critical flow in a

symmetrical, straight-wall contraction ( Fig. 4), the upstream depth, ho, was 0.0305
m and the upstream Froude number, Fro, was equal to 4.0. The computations were
done using transformed coordinates in which a grid L~ = 0.0483 m and LTJ = 0.0476
m. The dissipation coefficient, '" was 0.8, the Courant number was equal to 0.80,
and the friction and bottom slopes were assumed equal to zero. A depth of 0.0305
m, stream wise velocity of 2.188 mls and zero transverse velocity were specified at
every grid point as the initial conditions. Starting with these initial values, the flow
conditions were computed up to three seconds when the flow became steady. At
the upstream boundary, h, u and v were specified as 0.0305 m, 2.188 mls and zero
respectively. No condition was specified at the downstream boundary. The variables
at the downstream end were, however, extrapolated from the interior points.
As shown in Fig. 4, the agreement between the computed water surface profiles is
good along the walls and at the center line where the flows are smooth. However, this
is not the case for the center line water surface profile in the vicinity of strong shocks.
Although the computed maximum height of the shock is about the same as that in the
experiment, the computed location differs significantly. Thus, the computed results
may be confidently used for selecting the wall height; however, they are not accurate
in the middle of the channel, which is more of an academic interest. The differences
between the computed and measured results at the center line of the transition may
be due to the assumption of hydrostatic pressure distribution being not valid near
steep gradients and the exclusion of the effects of air entrainment .
5. Simulation of Hydraulic Jump
If we include the additional terms in the gradually varied flow equations to allow
for non-hydrostatic pressure distribution, the resulting equations are referred to as
the Boussinesq equations. In this section, these equations are solved to compute the
formation of hydraulic jump in a rectangular channel.
Governing Equations
The Boussinesq equations for one-dimensional flow in vector form may be written as
(Chaudhry 1993)
auaE _ S
at + ax - (21)
in which
and
E = !h 3 [a 2 u
3 axat
+ u a2 u2
ax
_ (au)
ax
2] (22)
in which E is called the Boussinesq term. It is introduced by the second-order term

of pressure distribution along the water depth. It is clear that Eqs. 21 are reduced to
the St. Venant equations if the Boussinesq term, E, is omitted from these equations.
73
~
~ ~1.45m~
(a) Contraction
2
h/h.
Measured
- Computed
O~~IO~~2~O--~3~O--~4~O--~5~O--~6~O--~70
x/h.
(b) Water level along wall
..
h/ho
O~~I~O--~2~O--~3~O---4~O--~5~O--~6~IO--~~O
x/h.
(c) Water level along centerline
Figure 4. Super-critical flow in a contraction.
Numerical Solution
The first and second-order numerical schemes yield satisfactory results for the solu-
tion of St. Venant equations. However, the Boussinesq equations have third-order
terms. Therefore, it is necessary to employ third or higher-order accurate methods
to solve these equations numerically. For this reason, the two-four scheme developed
by Gottlieb and Turkel (1976) is used herein to solve these equations at the interior
computational nodes.
The following finite-difference approximations are used in the two-four scheme:

74
Predictor
U *i = U ik Llt [ E k+ -
+ 61 Llx i 2 8Eik+! + 7Eik] + LltSik (23)
Corrector
** (* + U,k) + -121 -Llx

U, = -21 U' Llt [ -7E-* *
' + 8E-,- 1 - *] + -21 ~tS*'
E-,- 2 A (24)
The term, fiu/ ax 2, is approximated by using a three-point central finite-difference

approximations in both the predictor and corrector parts. To approximate the term,
(au/ ax)2, a forward finite-difference approximation in the predictor part and a back-
ward finite-difference approximation in the corrector part are used. To dampen the
high-frequency oscillations near the steep gradients, artificial viscosity (Jameson et
al., 1981) is introduced.
Initial and Boundary Conditions
For the initial conditions, the flow at time t = 0 is assumed to be super-critical in the
entire channel. By starting with the specified flow depth and velocity at the upstream
end, the initial steady-state flow depth and flow velocity at all computational nodes
are determined by numerically integrating the equation describing the gradually var-
ied flow. Since the computations are continued until steady conditions are reached,
it is sufficient to specify only the approximate values of the initial flow depths and
velocities.
At the upstream boundary, the flow depth h, and velocity u, are specified equal
to their initial values and they remain unchanged during the computations. At the
downstream boundary, a constant flow depth is specified and the flow velocity is
calculated from the characteristic form of Eq. 21 using a forward finite-difference
approximation (Chaudhry, 1987).
Stability Conditions
The two-four scheme is stable if the following CFL condition is satisfied at each grid
point
Llx
Llt = Cn lui + ..jgh (25)
In this equation, Cn is the desired Courant number which must be less than or equal
to j for the two-four scheme (Gottlieb and Turkel, 1976).
Computational Procedure
The channel is divided into a number of equal-length reaches. Because the approx-
imation of a second-order partial derivative requires values at the two neighboring
nodes, it is not possible to calculate the variables at the computational nodes near
75
the boundaries. Therefore, the flow equations at these nodes are first solved by ne-
glecting the Boussinesq terms and by using the second-order MacCormack scheme for
their solution. This should not significantly effect the overall accuracy of the solution
in the region of interest since the boundary nodes are located away from the jump
location.
In the computations, the size of time step was restricted by the Courant stability
condition and the spatial grid size. The Courant number was set equal to 0.65 since
best results are obtained when it is approximately equal to j. To smooth high-
frequency oscillations near the jump, the Jameson formula was used.
The Manning n for the flume was determined by trial and error so that the
computed water surface profile matched with the measured water levels in the flume
during the initial steady super-critical flow. The initial steady state depth and velocity
at every computational node were first computed by assuming the flow to be super-
critical throughout the flume. Then, the unsteady computations were started by
increasing the downstream depth to the value measured during the experiment. The
computations were continued until they converged to the final steady state for the
specified end conditions.
Results
The size of the spatial grid, box, was varied from 0.15 m to 0.6 m. Simulations were
also done by the second-order MacCormack Scheme neglecting the Boussinesq term.
Figure 5 shows the water surface profiles at different times following an increase
in the downstream depth at time t = O. The jump travels from the downstream end
towards the upstream end and then moves back and forth until it stabilizes in one
location.
03
7-~--------
r
I
if
~ 0.2
E
i!
.&:
Q.
o
ij
0.1
...
~~--~2----~4~--~6~--~8~--~IO~--~12
Distance along the channel 1m)
Figure 5. Water surface profile at different tiInes for Fr = 7.
When the numerical solution converged to a steady state, the Boussinesq term is
found to be small relative to the other spatial derivative terms in the vicinity of the
hydraulic jump and it is almost negligible in the regions away from the jump. The
Boussinesq term at locations away from the jump virtually becomes zero although
76
the values of the other terms remain approximately the same. This is to be expected
since the flow surface away from the jump is more or less smooth, thereby making
the Boussinesq term negligible.
The computed results are compared with the measured results in Fig. 6. To
conserve space, only the comparisons for F r = 2.3 and 7 are included herein; for
similar comparisons for other values of F r , see Gharangik and Chaudhry (1991). The
comparison of the computed and measured results generally shows that the fourth-
order accurate numerical models with or without Boussinesq terms give approximately
the same results for all Froude numbers tested.
0.3
(a) Fr =7.0
,
,,,
~-,~~~~~~~~~~~~
0.2
I Measured
I ---- MacCormack
I .......... Two four excluding Boussinesq terms
0.1 I __ Two four including Bou5~inesq terms
~
Jo.&-~-.-.- "I
OL--L__-L__-L__- L__- L__ ~ __~____L -_ _~
Q. 0.3
CIt
(b) Fr = 2.3
o
0.2
0.1
0L-~--~--~--~--~--~--~--~8--~-
246
Distance along channel (m)
Figure 6. Comparison of computed and measured water surface profiles.
Simulation of Circular Hydraulic Jump
The flow produced by an axisymmetric jet impinging a smooth horizontal flat surface
is called radial flow. The depth of radial flow decreases rapidly to a thin layer resulting
in super-critical flow. When this super-critical radial flow changes to sub-critical flow,
a circular hydraulic jump is formed as shown in Fig. 7.
In this section, a radial hydraulic jump is simulated numerically and k-f. model
is used to include turbulent stresses. The computational procedure used to simulate
radial flow is somewhat different from the one described in the previous section.
This difference is due to the fact that the radial flow involves the spatial periodic
77
- - 10.16 em dia pipe

Upstream Downstream
2.064 em Yi =0.823 e_~m::"-_ _-1
r;=0.082 em
91.5 em
Figure 7. Schematic sketch of circular hydraulic jump (Younus, 1993).
boundaries in one of the computational axis. Younus (1993) presented the details of
this procedure.
The simulated flow domain started 0.0817 m from the center of the jet, where the
flow depth was 0.0082 m, as shown in Fig. 7. This upstream depth was specified at all
the nodes as an initial condition. The initial values of U and V were computed from
the continuity equation for a discharge of 0.017 m 3 /s. Since the flow is super-critical
at the upstream end, all the variables - h, U, V, k and E - had to be specified.
At the downstream end, U and V were specified and remained unchanged during the
computations whereas h, k and E were extrapolated from the interior points. The
Chezy C was 80 and the computational time step, fl.t, was restricted by a Courant
number of 0.65. Different values of artificial viscosity coefficients were tried and their
minimum values that gave satisfactory results were f2 = 8.0, f4 = 0.0, and fim = 0.0.
With a (49 X 30) computational grid, the model was run until a steady state was
reached.
As shown in Figure 8, the agreement between the computed and measured results
(Ahmad 1967) is good. A three-dimensional view of the circular hydraulic jump is
presented in Fig. 9.
5. Dam-Break Flow
The application of MacCormack scheme to solve Eq. 1 for the simulation of dam-
break flows is discussed in this section. In this case, a strong bore is formed. The
governing equations may not be valid in the vicinity of the bore due to sharp curva-
tures. However, the computed results such as the maximum water levels, arrival time
of a wave, etc. may be used with confidence for typical engineering applications even
though the details of the bore itself are not simulated in a rigorous manner.
The breach is intentionally selected to be non-symmetrical to demonstrate that
the analysis is general. The boundaries in this example are taken parallel to the
78
0.040
o Observed
Computed D::..-.u....._,-,
I 0.030
,6
t
~ 0.020
0.010
0.000 L...........___-J..........._~..............._.J:::.._'=D__'_D=___'__...I__'_........'_____'___:_':"
0.25 0.50 0.75 1.00
Radial distance (m)
Figure 8. Comparison between computed and measured water surface profiles

(Younus, 1993).
Figure 9. Three-dimensional plot of circular jump (Younus, 1993).
coordinate axes. The 90-degree corner imposes a rather severe test on the schemes
and on the inclusion of boundaries.
The dam is assumed to fail instantaneously. Discontinuous initial conditions

impose severe difficulties to start the computations. In the simulations included
79
00 - - - - .(m) 200
i.' 41,1
19,721,7
E
,.,
19,22 21,22
200 1,41 41,41
Figure 10. Definition sketch for partial dam breach.
herein, the channel downstream of the dam is assumed to have some finite flow depth.
This is quite normal for usual applications where a downstream control keeps the
downstream channel in a "wet" condition. To simulate a dry channel, however, a
very small flow depth may be assumed in the analysis. This procedure is much easier
than to track the bore propagation explicitly and should give satisfactory results.
The computational domain comprises a 200 m long and 200 m wide channel.
The non-symmetrical breach is 75 m wide and the dam is 10 m thick in the direction
of flow. The grid is 41 by 41 points, which results in an individual mesh size of 5
m by 5 m. Additional details are shown in Fig. 10. To prevent any damping by the
source terms, a frictionless, horizontal channel was used and the initial conditions had
a tailwater /reservoir ratio (ht/ hr ) of 0.5 in the initial few runs. Flow conditions were
analyzed for a wide variation of flow parameters, such as including the friction losses
(Manning n from 0 to 0.15), assuming a sloping channel (bottom slope from 0 to
0.07), different ratios of the tailwater to reservoir depths (as low as 0.2), symmetrical
and unsymmetrical breach etc. However, only results for one simulation are included
herein to conserve space. The flow conditions were computed for 7.1 seconds after
the dam failure. At this time, the bore is well developed in the central portion of the
downstream channel and the wave front has reached one bank of the channel.
The computed results are presented in the form of a perspective plot of the water
surface and a plot of the velocity vectors. Remnants of the dam are represented by
gaps near the middle of the plot. The vertical scale is exaggerated with respect to
the horizontal scales. The velocity at each node is indicated by an arrow, with the
magnitude represented by the length of the arrow. For esthetic reasons, velocities
below a specified tolerance are not drawn (magnitude with a length less than 20% of
the mesh size). The velocity vectors on the boundaries, parallel to the solid boundaries
and at right angles to inflow and outflow boundaries are also not drawn.
Figure 11 shows the perspective views of the water surface. Without affecting
80
(a) Water surface profile
. "" .....
.........
0.--,-
..-,-,-,,-,,-'.
......
.......................
~ ~
....... . -...................... .
.... .. .... ............ ...... ~ .. ? . . . ,.
. . . . . " ............
"" .............
~ ",."
:::::; __.................... ..
::::~:::::=;:::;:::
......... -.......................
.................
.......
""
..... _.---......... _..............
,. ..................... -
............ ..
......
........ ...................................
........... -.......................... ...
.......... ...................................
...................... _............... "" ..... .
y(m) .......... " ........ "'- ..........,. ............. .
.......
..... ......
...... . .......... .
..... .. ..........
........ ...... " . - ..................... >
..... .....
.....
..... ....... . .......... ..........
200 0: - - - - - - - ' '------~200

x (m)
(b) Flow velocities
Figure 11. Computed water surface and velocities.
the quality of the profile, oscillations due to dispersion errors may be smoothed by the
addition of artificial viscosity. Anti-symmetric boundaries are used in this run and
the computed velocity vectors are plotted in Fig. l1(b). In addition to eliminating
the wiggles near the bore, the artificial viscosity term also reduces undershoot near
sharp corners. These steep depressions in the water surface are especially noticeable
downstream of the breach. In these runs, the sharp corners are modeled by assuming
they are boundaries parallel with the x-direction.
References
Abbett, M., 1971, "Boundary Conditions in Computational Procedures for Inviscid,

Supersonic Steady Flow Field Calculations," Aerotherm Report 71-41.
Ahmad, D. 1967, "Circular Hydraulic Jump.", M.S. thesis, Colorado State University,
81
Fort Collins, Colorado.

Anderson, D. A., Tannehill, J. D., and Pletcher, R. H., 1984, Computational Fluid
Mechanics and Heat Transfer, McGraw-Hill, New York.
Bagge, G. and Herbich, J. B., 1967, "Transitions in super-critical Open-Channel
Flow," Jour. Hydr. Div., Amer. Soc. Civ. Engrs., vol. 93, no. 5, pp. 23-41.
Bhallamudi, S.M., and Chaudhry, M.H., 1992, "Computation of Flows in Open-
Channel Transitions," Jour. Hydraulic Research, Inter. Assoc. Hyd. Research,
no. 1, pp. 77-93.
Chaudhry, M. H., 1987, Applied Hydraulic Transients, 2nd ed., Van Nostrand Rein-
hold, New York, N.Y.
Chaudhry, M.H., 1993, "Open-Channel Flow, Prentice-Hall, Englewood Cliffs, NJ.
Chow, V. T., 1959, Open Channel Hydraulics, McGraw-Hill Book Co., New York.
Cunge, J., 1975, "Rapidly Varying Flow in Power and Pumping Canals," in Un-
steady Flow in Open Channels, (Eds. Mahmood, K. and Yevjevich , V.), Water
Resources Publications, pp. 539-586.
Dakshinamoorthy, S., 1977, "High Velocity Flow trough Expansions," 17th Congress
IAHR, Baden-Baden, vol.2, pp. 373-381.
Demuren, A. 0., 1979, "Prediction of Steady Surface-Layer Flows," thesis submitted
for the degree of Doctor of Philosophy, University of London.
Ellis, J. and Pender, G., 1982, "Chute Spillway Design Calculations," Proc. Inst.
Civ. Engrs., Part 2, vol. 73, June, pp. 299-312.
Engelund, F. and Munch-Petersen, J., 1953, "Steady Flow in Contracted and Ex-
panded Rectangular Channels," La Houille Blanche, vol. 8, no. 4, Aug-Sept, pp.
464-474.
Fennema, R.J. and Chaudhry, M.H., 1986, "Explicit Numerical Schemes for Unsteady
Free-Surface Flows with Shocks," Water Resources Research, Vol. 22, No. 13,
pp. 1923-1930.
Fennema, R.J. and Chaudhry, M.H., 1990. "Explicit Methods for Two-Dimensional
Unsteady Transient Free-Surface Flows," Jour. of Hydr. Eng., Amer. Soc. Civ.
Engr., Vol. 116, Aug., pp. 1013-1034.
Garcia, R. and Kahawita, R. A., 1986, "Numerical Solution of the St. Venant Equa-
tions with the MacCormack Finite-Difference Scheme," Int. Jour. Numer. Meth.
in Fluids, vol. 6, pp. 259-274.
Gharangik, A. and Chaudhry, M. H., 1991, "Numerical Simulation of Hydraulic
Jump," Jour. Hydraulic Engineering, Amer. Soc. Civ. Engrs., vol 117, no.
9, pp. 1195-1211.
82
Gottlieb, D. and Turkel, E., 1976, "Dissipative Two-Four Methods for Time-
Dependent Problems," Mathematics of Computation, Vol. 30, No. 136, Oct.,
pp. 703-723.
Henderson, F. M., 1966, Open Channel Flow, MacMillan, New York, N. Y.
Herbich, J. B. and Walsh, P., 1972, "super-critical Flow in Rectangular Expansions,"
Jour. Hydr. Div., Amer. Soc. Civ. Engrs., vol. 98, no. 9, Sept., pp. 1691-1700.
Ippen, A. T., 1951, et al., Proceedings of a Symposium on High- Velocity Flow in Open
Channels, Trans. Amer. Soc. Civ. Engrs., vol. 116, pp. 265-400.
Jameson, A., Schmidt, W., and Turkel, E., 1981, "Numerical Solutions of the Eu-
ler equations by Finite Volume Methods Using Runge-Kutta Time-Stepping
Schemes," AIAA 14th Fluid And Plasma Dynamics Conference, Palo Alto, Cal-
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Jimenez, O.F. and Chaudhry, M.H., 1988, "Computation of super-critical Free-
Surface Flows," Jour. of Hydr. Eng., Amer. Soc. Civ. Engr., Vol. 114,
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466.
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Flood Waves," Jour. Hydraulic Div., Amer. Soc. Civ. Engrs., vol. 104, no. 9,
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4
BOUNDARY INTEGRAL EQUATION METHOD
FOR FREE SURFACE FLOW ANALYSIS
JAMES A. LIGGETT
273 Hollister Hall
Cornell University
U. S. A.
As a numerical technique the boundary integral equation method has a number of

outstanding advantages. These include: Problems are much easier to set up; it
requires less data to define the grid; it is efficient, using less computer time and
storage than finite differences and finite elements; approximations are confined to
the boundaries giving interior solutions with at least as much accuracy; it has better
accuracy than finite differences and finite elements for equal discretization; one can
use intuitive grid spacing since derivatives are not approximated; velocities are
obtained without inaccurate numerical differentiation; singularities are easily han-
dled; infinite fields are easily handled; universal programs are easy to code; it has
geometric flexibility; the grid size is easy to vary; and it can use a variety of approxi-
mations to conform to the demands of the problem and the desired degree of
continuity. With that list of advantages, it should be a universal method that displac-
es all other methods. Indeed it would except for one disadvantage: The variety of
problems it can solve - or at least the variety of problems it can solve while
retaining all those advantages - is small.
The boundary integral equation method sits midway between finite elements
and analytical techniques. It has some of the advantages and disadvantages of both.
like analytical methods, it cannot be applied to every problem, but its properties are
generally superior to more powerful numerical methods for those problem to which
it can be applied.
Free surface flow is an outstanding application of the boundary integral

83
M. H. Chaudhry and L. W. Mays (eds.), Computer Modeling of Free-Surface and Pressurized Flows, 83-\13.
84
equation method. (Note: By the term "free surface flow" we refer to the strict
definition: problems in a deformable solution region in which the shape and size of
the region is part of the solution. We do not mean shallow water hydraulics.) Since
the shape of the solution region changes with each time step or each iteration, a
numerical calculation is forced to rediscretize the solution region with each time step
or iteration. The great advantage of the boundary integral equation method is that
it only needs to rediscretize the boundary; it does not have discretization in the
interior. That advantage is so strong that it becomes the only viable solution for
most three-dimensional, free surface problems and some two-dimensional, free
surface problems.
1. Basis of the Boundal)' Integral Equation Method
The derivations given herein are brief. The reader is referred to the great number
of books on the subject for more detailed derivations.
1.1 GREEN'S IDENTITIES
1.1.1 Green's First Identity. The basis of most boundary integral techniques is the
divergence theorem or Green's first identity. It will not be derived; that is left to
books on elementary calculus. The relationship between a volume integral and a
surface integral is
JyV'vdV= JoY( vfldA. (1.1)
in which V is a volume defined by its boundary av, v is any vector which is differ-
entiable in V and on its boundary, and Ii is the unit outward normal to the bound-
ary of avo Thus, (1.1) translates a volume integral into a surface integral. The
divergence theorem applies equally well to an area and its surrounding line
(1.2)
which shows that a surface integral is equivalent to a line integral.
1.1.2 Green's Second Identity. Green's second identity is easily derived from the
first. The vector v is replaced by a scalar function times the divergence of another
scalar
85
v=Uvw (1.3)
in which both U and Ware at least twice differentiable in the volume (area) and
on its boundary. Then (1.1) becomes
f y(uVZW + VU~dV= (
Jay UVWiidA (1.4)
Suppose that (1.4) had been written for the reverse combination of U and Was that
expressed by (1.3). Then it would have been
f y(WVZU + VWVu)dV = (
Jay
WVUiidA (1.5)
Subtracting (1.5) from (1.4) gives
f y (UVZ W - wVZ U)dV= Jay

( (UVW - WVU)iidA (1.6)
The scalar product of the divergences cancels in the subtraction since the order of
the product does not matter. Of course, (1.6) applies equally well to areas and lines
L (UVZ W - wVZ U)dA = faA (UVW - WVU)1ids (1.7)
Equations (1.6) and (1.7) express Green's second identity for three and two dimen-
sions, respectively.
As a remark on notation, the scalar (dot) product of a gradient with the

normal derivative will often be written as a partial derivative with respect to the
normal direction
VW.ii= c3W
an
The right side of the above equations is defined by the left side.
1.1.3 Green's Third Identity. Green's third identity is a special case of the second.
The arbitrary function W is chosen such that it is a solution of Laplace's equation,
VZ W =0, everywhere in the solution region 3.11d on its boundary. Then the first term
of the right side of (1.6) is obviously zero. Our actual choice of W is
1 (1.8)
W=-
r
where r is the distance between a "base point" (x" Y" z,,) and a "target point."
The base point p can be anywhere in or out of the solution region, but the target
point Q is on the surface of the region (figure 1.1). The fact that W = l/T is a
86
Surface a
Volume V
y
Figure 1.1. The solution domain with observation point p and target point Q.
solution to Laplace's equation is shown by writing that equation in spherical coordi-

nates
in which the spherical coordinates are (r, 8, 4 and q is any sufficiently smooth sca-
lar function. Since W is a function only of r, only the first term on the right of
(1.9) applies and that is zero. However, l/r is not smooth everywhere; it goes to
infinity as r goes to zero. Thus, W is not really a solution to Laplace's equation
everywhere since there is a singular point.
The function l/r is called a free space Green's function for Laplace's equa-
tion in three dimensions. A free space Green's function is characterized by being
a solution of the governing equation, but it does not satisfy the boundary conditions
of a problem. Green's functions exist that satisfy both the governing differential
equation for a problem and at least a part of the boundary conditions. These are
used in connection with some specific problems.
Suppose that the base point (where r = 0) is chosen in the region and (1.6)
is applied by choosing a surface for the line integration that excludes the singular
point where r =o. That surface includes a sphere (1 of radius r D surrounding the
base point (figure 1.2); thus, the integral on the right side of (1.6) is to be taken over
the area surrounding the volume OV plus the area of the surface of the sphere oa.
The sphere can be made as small as desired and, since U is everywhere smooth, U
87
x y
Figure 1.2. The observation point p isolated by a small sphere.
can be considered a constant within that sphere as the radius ro tends toward zero.
Further, we specify that U is a solution to Laplace's equation, without singularities,
in the entire region. Then (1.6) can be applied to the small sphere
(1.10)
The unit normal It is directed out of the small sphere. The second term in the inte-
gral on the right is zero since the area of the sphere goes to zero asr;
whereas the
term is divided only by r. The first term in the right hand integral is
(1.11)
The area of the sphere is 41U";, and as ro tends to zero
(1.12)
in which Uo is the value of U in the singular point. Equation (1.6) becomes
-41tUo = fov[uv(,;) -.; VU].iidA (1.13)
The derivation of (1.13) assumed that the base point was completely inside
the volume in order that the excluding sphere can be taken completely surrounding
the base point. It can be generalized as
88
(1.14)
If the base point is outside the volume it need not be excluded by a small sphere and
a = 0; if the base point is on a smooth part of the boundary only one-half the sphere
is inside and a = 271. In general the base point could be at an angle on the boundary
(figure 1.3), in which case a would be the fraction of the sphere that is inside the
volume times 471. That is,
Area As
Domain Y
Figure 1.3. The solid angle at point P as a fraction of the surrounding sphere.
(1.15)
where A, is the part of the sphere inside the volume. a is known as the solid angle
that the boundary makes at the base point. In summary
o if the point is outside the volume
411: if the point is inside the volume
={ 211: if the point is on a smooth boundary
the solid boundary angle if at a kink
(1.16)
Green's third identity relates the value at a point to a surface integral with the provi-
89
sion that the functional relationship represented by that value satisfies Laplace's
equation.
Green's third identity can be derived in two dimensions by the same tech-
nique and using In R (the free space Green's function for Laplace's equation in two
dimensions) in place of 1/r. The sphere, which excluded the singular point in three
dimensions, becomes a circle in two dimensions. Equation (1.14) becomes
aUo = f
M [UV(ln R) -In R VU ]n dA (1.17)
where
and
o if the point is outside the volwne
2n if the point is inside the volwne (1.18)
a=j n if the point is on a smooth boundary
the boundary angle if at a kink
2. Two-Dimensional Problems
Unfortunately, the boundary integral equation method must be formulated slightly

differently for two- and three-dimensional problems. In this section fixed boundary
problems are formulated.
2.1 TWO-DIMENSIONAL SOLUTIONS
The partial differential equation we wish to solve is Laplace's,

(2.1)
The boundary conditions can be of several types. Neumann conditions express the
normal derivative along the boundary. For a solid boundary
VtP'n= 0 (2.2)
Dirichlet conditions give the unknown itself as a function of distance along the
boundary,
tP = f(s) (2.3)
in whichf(s) is a prescribed function of distance along the boundary. Mixed condi-

90
tions or Cauchy conditions represent some combination of the Neumann and

Dirichlet conditions,
a(s) V.';; + b(s) =/(s) (2.4)
in which a and b may be functions of distance along the boundary. In addition some
conditions prescribe the movement of the boundary for moving boundary problems;
these are treated in the section 3. In a well-posed problem with non-moving bound-
aries governed by Laplace's equation, one boundary condition, and only one, must
be specified at each point on the boundary.
The basic integral comes from Green's third identity in two dimensions,
(1.17). The function u is identified with the unknown in the equation, . Then
(1.17) becomes
(2.5)
where 4)D is the value of 4) at the base point (also called the "observation point"
or "source point") and r is the distance between the base point and a target point
on the boundary aA.. To make (2.5) somewhat more explicit, it is written in slightly
different form
.p = r (4)Q~ In R-In R 04) )m (2.6)

Jao. On Q On Q
The subscripts indicate the base point p and the boundary point (or "target point"
or "field point") Q. Under the integral sign the potential is to be evaluated at point Q
and the normal derivatives are to be taken at point Q, always on the boundary. The
result on the left is the value of the potential at point p.
Using (2.5), the potential can be found for any point in the solution region
by a boundary integration if it and its normal derivative are known everywhere on
the boundary. However, the statement of the boundary conditions indicates that
both the potential and its normal derivative are not known everywhere on the
boundary; that only one of these quantities is known at each point.
91
2.2 BOUNDARY DISCRETIZATION
If the boundary conditions that are used in the equations of the last section are exact
and if the integration is carried out exactly, the results will be exact. Unfortunately,
in most practical problems the boundary conditions and the solution on the boundary
must be approximated. The boundary element method does have the advantage of
placing all of the approximations on the boundary of the solution region, unlike
finite elements and finite differences, which also have approximations in the interior.
There are two types of approximations that are commonly made: (1) The geometry
of the region is described approximately by polynomials or other functions that can
be easily written. The most common such approximation is a straight line, which
makes the solution region a polygon. (2) The functional behavior of the boundary
conditions and of the solution on the boundary is described approximately by poly-
nomials or other functions.
Consider any general function /(s) where s is distance along the boundary.
That function can be expanded in a polynomial about some point, say so' The
crudest such approximation is a constant, the value at so'
f(s) .. f(so> (2.7)
This approximation is used in constant elements. A better approximation is to

interpolate linearly the value of /(s) between two points So and SI'
/(s Vs -s) + /(s Vs-s) s-s
/(s)" ~ 0[\ t ~ 1[\ 0 =/(so) + (f(St) - /(so)]-_o (2.8)
~-~ ~-~
The same idea can be continued to the quadratic approximation using an additional
point S2'
Obviously, polynomial interpolation can be carried on to any order of approximation.

In practice it is seldom carried beyond cubic and only then when using splines, which
make the first and second derivatives continuous along the boundary.
The shape of the boundary can be approximated in the same manner. Using
polynomial approximation for the boundary conditions and the solution on the
boundary, (2.6) can be integrated exactly for potential problems. (With other
92
governing differential equations the Green's function may be too complex to be

exactly integrable.) However, when the approximation to the boundary is not a
straight line, numerical quadrature must be used. When the shape of the boundary
and the boundary values are approximated by the same polynomial, the element is
isoparametric.
2.3 DISCRETIZATION INTO LINEAR ELEMENTS
Segment
Figure 2.1. Definition of elements, segments,

corners, and nodes for linear elements.
In this section the same sort of straight line elements are used as in the last section,
but the nodes are placed on the element ends as shown in figure 2.1. Each node
serves two elements. That is no problem with the dependent variable since it is con-
tinuous around the boundary, but its normal derivative is not continuous everywhere.
Therefore, we define boundary segments that are made up of a number of elements
(figure 2.1). The segment is defined such that the normal derivative is continuous
everywhere on a single segment, but may be discontinuous between different boun-
dary segments at "comers." On each element the dependent variable is approximat-
ed with a linear variation between the nodal values. Using the local coordinate sys-
tem shown in figure 2.2, that variation is expressed as
93
-- -- ---- --
-- --
i
' - -Observation point
Figure 2.2. The local coordinate system.
" = ("J+l- ",)' + ("+1 ", - " "'+1) (2.10)

~+1-~
(~)'+I -(~), ,+ ~+I(~)J -'j(~)j+1 (2.11)
~+1- ~
These quantities must be substituted into (2.6) and integrated. The first
integral (the one involving ") on the right is
"J+l-'"
N
II =1: 'J+l"J-~"J+l f~'l ...JnRds+ f~'l '...JnRds (2.12)
j=l "+1 - ~ ~ On '1+1- '1 ~ On
The integral in the first part of (2.12) is
B = f~l ...JnJ,2+ rld'= f~'l "1 d,=tan- 1 ~+I_tan-l~ (2.13)

j ~ On ~ (f+"n ", ",
The integral in the second part of (2.12) is
f~l ,... JnRds = ", In ft+l+": (2.14)

~ On 2 ft+,,;
94
In a similar manner (2.11) is substituted into (2.6) and integrated. The last
integral of that equation is
(2.15)
The first integral of (2.15) is
J~:I+I InJ(2+'1; d( = ~{(J+l tn(et+l+'1;) - ~ tn(et +'1;)

(2.16)
-2('.) 1-()J +2'1) [tan- t ~+1
'1) -tan- '(J1)11H
t
The last integral of (2.15) is
J~~/'I (lnRd~ = ~{(et+l+'1;)[tn(et+l+'1n -1 ]-(et +'1:Xtn(et +'1n -1 D (2.17)

Finally,
(2.18)
At this point all the equations are given that are necessary to solve for the po-
tential in any interior point. However, we first must solve for the "missing" bound-
ary conditions. That can be done by moving the point p to the boundary point i (or
P) (figure 2.2). The tI and atl/em at the nodes become either the given boundary
values or the unknowns. Then the equations need to be assembled into a set of
linear, simultaneous equations in the unknown tI and atl/em. Equations (2.12) and
(2.15) are substituted into (2.18) and the tI)' tiN' (atl/em) , and (a tI/em)+ t are
isolated with numerical coefficients that depend only on the geometry of the domain.
These equations can be assembled into
[B]{ tI} = [L]{,:} (2.19)
The IX terms are included in the [B]-matrix.

95
2.4 INTERIOR SOLUTIONS
Once the "missing" boundary conditions are known, the integration of (2.6) is a
simple matter, using linear interpolation, to find the value of the potential at interior
points of the solution region. In using (2.6) there are no approximations other than
those that have already been taken: the geometrical representation of the solution
region and the interpolation of the variables between the nodes. Thus, (2.6) will
yield the exact solution to the replacement problem, the problem with straight line
boundaries and linear interpolation. If, however, these approximations are not
accurate, the potential at an interior point that is particularly close to the boundary
may be inaccurate. Often, when the solution is not exact, the interior point close to
the boundary and close to a node is more accurate than one close to the boundary
but far from a node. If numerical integration is used, as opposed to the analytical
integration indicated herein, special care must be taken in the vicinity of a base
point since it is a strong singularity.
In potential problems the velocities, the derivatives of the potential, are often
needed in the coordinate directions. Thus, we wish to find O~/OX and a~/Oy, which
can be done by direct differentiation under the integral sign of (2.6). In performing
the differentiation care must be taken to distinguish between the quantities at the
base point (observation point) and the target point; that is, we need to find the
changes with respect to the base point. ~ is differentiated on the left of (2.6) but
not on the right where it refers to a point on the boundary (the field point),
21t a~ =
Ox"
r [.0> ~(.!.
J
at Ox"
OR) - 0'0> ~(In RpQ)] ds
anR an Ox"
(2.20)
in which the subscript on the derivatives ( a/Ox,,) signifies that the derivative is to be
taken with respect to point p. Using aR/an= '1/R
21t a~ =
Ox"
f [~a'1
atR2
-
Ox"
2'1 ~ aR _.!. aR O~] ds
R' Ox" R Ox" an
(2.21)
The integration takes place along an element using a local coordinate system such
as is shown in figure 2.2.
96
3. Three-Dimensional Problems
The three-dimensional problem works much like the two-dimensional case, but the
integrations are much more complex. Like the two-dimensional problem, all of the
integrals can be done analytically, sometimes an important consideration to avoid
error in numerical integration.
3.1 THE INTEGRAL EQUATIONS
As in the two dimensional case the beginning point is Green's second identity, equa-
tion (1.6), but the free space Green's function is now l/r instead of In R. Thus,
Green's third identity is
(3.1)
in which a is the solid angle at the base point as described in section 1.1, equation
(1.14), and Uo becomes U evaluated at the base point. In the case of the potential
problem, (1.14) becomes
-a~p)= a (1)
J. [~Q)- - -1 -a~Q)]
- - dA (3.2)
01'On r r On
x
y
Figure 3.1. Discretization of the surface of a solid into triangles.
The discretization of the boundary consists of plane triangular areas as shown

97
in figure 3.1. Thus the solution region is a polyhedron bounded by triangular faces.
The nodes are at the vertices of the triangles. Then (3.2) can be written as a sum-
mation
- a, f
~, - Jr [~! (~H : 1
J=l aJj
dA
(3.3)
in which Ne is the number of triangular elements. The normal derivative of the

Green's function is
~(!) = _.!L
On, ,3 '1 =rfl (3.4)
where 7J normal distance from the base point i to the plane of the element that con-
tains the field point j.
3.2 INTEGRATION USING LINEAR ELEMENTS
A local ({,'1,() coordinate system is created as shown in figure 3.2. The origin of
" ,
\
3
/ / r ..............
/ / " ,
/ .................. . .
x y
Figure 3.2. The local and global coordinate systems for the target area At
the local system is in the base point, the ! ( plane is parallel to the plane of the
target element, and 7J is normal to the plane of the target element. The potential
and normal derivative are assumed to vary over the element as
98
(3.5)
where a1' a2 bl' b2 c 1 , and c2 are expressed in terms of the value of the potential
and the normal derivative at the nodes according to
a 1 = {V(}T {~} ~ = {V(}T {:} b1 = {Vl'}T {~}

(3.6)
b2 = {Vl'}T {:} c1 = {Vl'(}T {~} c2 = {Vl'(}T {:}
The column vectors {~} and {otNan} contain the values of the potential and its
normal derivative at the nodes of the triangle
(3.7)
The row vectors of (3.6) are functions of the nodal coordinates in the local coor-
dinate system. These are expressed according to
{V(}T = l..l (2-(' (3-(1 (1-(2 J

Aj
{Vl'}T = l..l '3-'2 '1-'3 ~2-~1 J (3.8)
Aj
{Vl'(} T= ~ l '2 (3 - '3 (2 '3(1-'1 (3 'I (2-'2(1 J
'j
where
1
Aj = '2['1 ((2-(3) - (1 ('2-'3) - '2 (3 + '3 (2]
and is the area of the element. Analytical integration of (3.3) requires explicit
formulas for
II = f
alj ,
.! dA Ill' = f 1. dA
alj ,
11( = 1:3"1 .f, dA
(3.9)
12 = J,alj - 1
,3
dA Il = J,alj -.f
,J
dA If = J,alj ..f dA
,J
As in the two-dimensional case, we would like to express these integrals in

terms of definite functions rather than resort to numerical quadrature. Although
numerical integration is accurate for some problems, it can contain gross inaccura-
99
cies, especially for problems in which one dimension of an element or region is very
much smaller than the other dimensions. Since the explicit expressions are long they
are not given herein; they can be found in Medina and liggett (1989).
3.3 INTERIOR SOLUTIONS
The internal solutions for three dimensional problems follow closely those of two di-
mensional problems as in section 2.5. Equation (3.3) is written for any general point
in the interior of the solution region
_a r
~, = Jav (~Q ..!l. +! a~) dA.
rJ r On Q
(3.10)
where p indicates the interior point (the observation point) and Q is the field point
on the boundary. Equation (3.10) is adequate to find the potential at any internal
point. To find the velocities (3.10) is differentiated with respect to the coordinate
at the interior point
(3.11)
Using
Or =! (,., a,., +, ~ +( a() (3.12)

ax r ax, Ox, ax,
The derivatives on the right of (3.12) are simply the angle cosines
a,., = cos(,."x)
ax,
a,
ax,
= cos( "x) a(
ax,
=cos(,x) (3.13)
In addition to the six integrals that were produced in the boundary solutions
there are the following nine:
Analytical expressions for these integrals are also found in Medina and liggett
(1989).
100
4. Free Surface Calculations
The fundamentals of two- and three-dimensional boundary integral calculations are

given above. The additional details for free surface flows is presented in this section.
The difference between calculation with fixed boundaries and free surface bound-
aries is the addition of the free surface boundary conditions and a method to move
the free surface. The program can be fairly simple or very sophisticated depending
on the needs of the particular problem. An additional factor that enters into such
calculations is the stability. Ordinarily, stability is not a problem for elliptic equa-
tions, but when a free surface is involved, stability becomes an important consider-
ation. Most of what follows is expressed in two dimensions simply because three-
dimensional problems are very much longer. Three-dimensional problems have been
done, however, and follow the same principles.
4.1 BOUNDARY CONDmONS AND SURFACE MOVEMENT
Setting the pressure equal to zero in Bernoulli's equation produces the dynamic
boundary condition
( o~)
at %
+ v 2 +8'7 = B
2
(4.1)
where v is the total velocity and the subscript on the time derivative indicates that
the horizontal coordinate(s) are to be held constant but the derivative expresses the
change of ~ following the free surface.
The normal derivative to the free surface can be expressed in two dimensions
as
-
o~
=
. o~
-smfJ-+cosfJ-
o~
(4.2)
On ax Oz
in which fJ is the angle the free surface makes with horizonal as shown in figure 4.1.
Using
0'7 = tan fJ (4.3)

ax
in the two dimensional version of (1.15) produces
101
Figure 4.1. Local coordinates and free surface angle.
d" = _ _1_ d4)

on ,,=1. (4.4)
at cos fJ an
as the kinematic free surface boundary condition. A short calculation using vector
notation will show that (4.4) holds also in three dimensions.
In (4.4) " is taken as the vertical distance from a datum to the free surface.
However, it is not always desirable to move the free surface point along a vertical
line. Consider the case of flow through a dam as shown in figure 4.2. If the free
surface points near the boundary of the dam are moved along a vertical line while
....
111\'"
/I" \ \ '\
1111\ ,\.
I I I I \ \. \.
I I I I \ \ \.
I I I \ \ \. \.
I I I 1 \ \ \.
I I I 1 \ \. \.
I I I \ \ \ \.
I I t I \ \ '\
I I I \ \ \ \.
I I I 1 \ \. \.
I I I , \ \. \.
/ I I I \ \. ,
I I I I \ \ \.
, I I I \ \. \.
Figure 4.2. Flow through a dam.

102
the free surface is rising, some of the points will move outside of the boundaries of
the dam (the solution domain). A better method is to establish a point where the
extension of the two faces of the dam intersect and to move all the free surface
points toward the intersection. That method avoids grid entanglement and keeps the
free surface points well spaced.
'1(x. t) x ..
Figure 4.3. The coordinate system for the movement of the free surface points.
Consider the coordinate system (x.,y.) as shown in figure 4.3. The

transformation is
x = x. cos .-z. sin. z = x. sin 1'+z. cos
(4.5)
x. = x cos .+zsin1' x. = -x sin 1'+zcos1'
in which. is the angle between the x-axis and the x. -axis. From figure 4.3
0'1. (4.6)
- = -fan(1'-fJ)
Ch.
The kinematic free surface condition is
( 0'1.) 1 o~ z. = '1. (4.7)

--at = - cos(1'-/f) a;
%.
on
in which the subscript on the time derivative indicates that x. is to be held constant
when taking the derivative. On the other hand the rate of change of the potential
103
on the free surface is

cos t" alP
cos( t"- fJ) On
on z. = 1'). (4.8)
There are four possibilities for moving the free surface with time: (a) equa-
tion (4.4) is used to move the surface vertically; (b) equation (4.8) is used to move
the surface along a prescribed line; (c) as a special case of (4.8) the angle t" can be
defined so that it is equal to p and the surface is moved along is own normal,
on z. =1'). (4.9)
or (d) t" can be defined as the angle of the velocity vector with horizontal so that
the free surface moves along the velocity vector. Of course, combinations of these
methods can be defined.
4.2 BASIC CALCUlATIONS
The calculation of free surface flow still involves the basic boundary integrals of
section 1 and they are assembled into a matrix equation such as (2.19). As with
other types of problems, the [BJ and [LJ are dependent only on the geometry of the
solution region. Since that geometry changes every time step in the case of the free
surface problem, the integration (or at least that part of the integration that involves
the free surface) must be redone.
The boundary conditions of fixed domain problems require that either the
potential or its normal derivative or a relationship between them is known on every
boundary segment or surface. On the free surface neither the potential nor it
normal derivative is known but the two free surface boundary conditions give two
relationships between these quantities. Two such relationships are necessary because
the location (height) of the free surface appears as an additional unknown. The
boundary conditions must be discretized and the time derivatives approximated by
finite differences. There is a large amount of freedom in the way this discretization
takes place, especially with the treatment of the nonlinear terms. That freedom,
together with the variety of formulations and elements of the boundary element
method, leads to a great deal of variation among programs. We have not attempted
to reflect that diversity herein.
104
The kinematic condition is discretized as
k+l = k-At[ 91 ar+l + 1-9 ar] (4.10)

'1. '1. ccs( 'r- {I+I) an ccs( 'r- tI1 an
in which 9 is a weighting factor that weights the derivative between the known time
k At and the unknown time (k+l)At.
For the dynamic equation (4.1) the square of the velocity is written in terms
of the derivatives of the potential and in the directions normal and tangential to the
free surface
(4.11)
Also, the time derivative is written more conveniently as the change of the potential
on the free surface rather than the change of potential at a fixed point in space
all = (all) _all a'1. (4.12)

at at z. az at
where (alllat)z. indicates that only x. is to be held constant when taking the deriva-
tive and that z. changes with the free surface. The derivative a'1.1at is replaced by
(4.8) and
all = all cos(fJ- or) + all sin(fJ- or) (4.13)

az. an as
Using (4.11), (4.12) and (4.13) in the dynamic boundary condition (4.8) produces
(a:l.. = -8('. sin<+q.cos r)-~[( :r-(:r -: : tan(P-+B (4.14)
Equation (4.14) can be discretized in a number of ways. Since it is to be used in a

set of linear algebraic equation, it needs to be linearized. linearization implies
small time steps or iteration or both. Taking ~ as an estimate of II at the ad-
vanced time step (that estimate could be II at the known time step) and P as an
estimate of fJ the boundary condition might reduce to
r +1 +a (all)k+l
- (all)k+l
an +b - as =c
(4.15)
in which
105
The basic matrix equation (2.19) is partitioned in an appropriate manner and the
separate parts of that equation assembled to form the system.
A factor that has not appeared previously is the tangential derivative a~/as.
If linear elements are used, the potential is continuous but its tangential derivative
is not. In that case, however, the tangential derivative can be found at any node by
parabolic interpolation of potential at the node and the node one either side (or at
the node and two others on the segment in the case of end nodes) and then differen-
tiating that interpolation. If C1 continuous elements are used [splines (Liggett and
Salmon, 1981), Hermitian polynomials, Overhauser elements (Hall and Hibbs,
1988)], the tangential derivative is immediately available. In many problems, but
obviously not all, the velocity term in the boundary condition is small enough that
it does not have to be determined accurately; in fact it is ignored when the problem
is linearized.
Another method to obtain the velocity on the boundary is perform a separate

integration for an internal point and then move that point to the boundary. The
integral will have strong singularities, but should give finite results for smooth bound-
aries. For non-smooth boundaries, even those that have small but sudden changes
in slope due only to the discretization, this method will result in an improper integral
that does not have a finite solution but can often be evaluated in the sense of the
Cauchy principal value.
106
4.3 CORRECTION OF THE BOUNDARY ELEMENT MATRICES
Consider equation (2.19) rewritten here as
[BJ{(I)k+I} = [Ll{a:+ l } (4.16)
in which the potential and its normal derivative are written specifically for the
advanced (unknown) time step. The [B] and [L] matrices are functions of the
geometry of the domain. Since the geometry of the domain is unknown at time
(k+1)l1t, the integral used to define the elements must be carried out for the geome-
try of time kl1t. Thus, the potential and its normal derivative of (4.15) are written
for the advanced time step whereas the matrix coefficients are written for the known
time step, surely not a desirable situation. That situation can be rectified by writing
the coefficient matrices at the advanced time step, where they will contain terms that
represent the unknown geometry. The resulting equations will contain nonlinearities
(which have nothing to do with the nonlinear terms in the boundary condition
equations) that express the nonlinear nature of the solution for the unknown free
surface. The method exposes the latter type of nonlinearity. The complete
discretization for flow in porous media is given in Liggett (1988); for the hydrody-
namic calculation it is in Medina, et al. (1991).
Figure 7.5 shows a comparison of two calculations made in porous media.

Program FRSURF did not use the free surface correction whereas program SURF
did. The figure shows that for the same time step the error is one order of magni-
tude less using the correction, or conversely, for the same error the uncorrected
program requires an order of magnitude more time steps.
4.4 STABILITY
Unlike the steady state equation, the integration of the time dependent free surface
equations carries stability considerations. In the case of problems of porous media,
the flow is naturally damped, but the solution can still be unstable if the user abuses
the solution. The hydrodynamic problem has no damping and it is relatively simple
to make the numerical solution unstable. As with nearly all type of stability analysis,
we are unable to analyze the full, nonlinear problem and must be content to extrap-
olate results from the linearized problem.
107
Using SURF; TIme step - 0.1
Q)
~i-----~~~~~======~~~-----1
E Step=O.01
::J
0.-
>ci
_I
o
~ Using FRSURF
L- ci
oL 1
L
Q)
(f)1")
(f)
0 - 0.1
~I
V
O~-T~~~~~~~T-~~~--~~-r~--~~-r~--~
1 0 .0 0.2 0.4 0.6 0.8 1.0

TIme
Figure 4.4. Comparison of program with and without boundary correction.
The linearization implies that the kinematic equation is written

a~
- = -a~
- OIl ::=0 (4.17)
at at
Thus, not only the equation is linearized, but it is applied to the equilibrium surface,
which is defined as z =o.
The analysis begins with a Fourier series representation
.; cosh Kj.z+h) -16'

(4.18)
~ = L.J AJSlnkj% t 1
j=l coshKJh
where the exponential term is complex, leading to wave-like solutions, and q is a
complex number. Further, we write the linearized kinematic and dynamic boundary
conditions as
108
(4.19)
.-k+I -_ "'"-g"
.-k I: At g(At)2( a~+I b a~) (4.20)
..," ... - a--+ -
2 On On
in which a and b are constants, to be determined later, that weight the normal
derivative between the known time step and the unknown time step. The free
surface elevation " can be eliminated from these two equations by writing both
(4.19) and (4.20) at previous time levels (k and k-l) and then solving for r/ to
replace that value in (4.19). The result is
Using one term from the Fourier series of (4.18) in (4.21) produces
(1 +ap) e -lI"At -[2-(1-a+b)p] el"At + 1 + (l-b)p =0 (4.22)
in which p=.!.g(Atfktanhkh. Solving for e-I"t gives

2
t-j"At = 1 [2-(1-a+b)p-iVSp-p2(1-6a+2b+2ab+a2+b2)] (4.23)

2(1+ap)
In solving the quadratic equation (4.22), the negative sign was chosen for the square
root in order to obtain a positive number for the numerical frequency. Equation
(4.23) is written in complex form since the quantity in the square root would be
negative otherwise for small p, and p is of the order of (Atf.
Since the numerical frequency 6 can be complex, (4.23) is written

exp(-i(o,+Oj)At] =q-iu 6=0,+io. (4.24)
in which q and u represent the real and imaginary parts of the right side of (4.23).
From (4.24)
tan 0 , At= ~ (4.25)

q
where e a,At is the amplification factor and 0, is the numerical frequency. If the
numerical discretization produces no distortion, e a,At =1 and 0, =Jgk tanh kh, but from
(4.23) and (4.25)
109
(4.26)
tan 0' ~t = ..j8p_p2(1-6a+2b+2ab+a 2+b 2) (4.27)

r 2-p(1-a+b)
The amplification factor is unity if
a+b= 1 (4.28)
Using (4.28) in (4.25) to eliminate b
11 _l(1-2a) (4.29)
tan O'r~t = ~ 2 liP
I-p(1-a)
which for no numerical distortion should be
0' = Jgktanhkh (4.30)
Figure 4.5 is a plot of the error in frequency vs. 0' ~t for various values of the pa-
rameter a. A value of a=0.17 appears to give little frequency distortion over a wide
range of frequencies.
S. Linear Water Waves
The most common use for the boundary integral equation method has been the
solution of potential problems, although other equations have also been solved. In
fact the method has been used with a wide variety of equations, including some that
are very nonlinear. In this section we shall see the solution to two types of wave
problems that are described by equations other than Laplace's. In the majority of
such solutions that involve equations other than Laplace's, the boundary-only proce-
dure (no need for internal discretization) is maintained. If the boundary-only
procedure is relaxed, as it is in a few examples (and where the method should not
be called the "boundary integral equation method" but simply the "integral equation
method"), the number of applicable equations is without limit.
Nonlinear water waves were treated in the previous section as free surface
flow problems. linear waves do not fall into the class of moving boundary problems
as the boundary conditions are applied on the equilibrium surface after linearization.
Even after linearization, however, the geometric and mathematical complications
110
.02
.01
G.I
-.01
-.02
Qa 4
-.03
-.04
0.6
-.06
-.07
Figure 4.5. Error in frequency as a function of the parameter a.
often require numerical, as opposed to analytical, solutions. Linear wave problems

have a long history of using integral methods for solution (see Mei, 1978, for a
review of finite and boundary elements applied to wave problems). As in the
previous sections, a simple kernel-the free space Green's function-is used in the
integral equations as opposed to other integral equation methods that have used a
more complex kernel.
As in the previous section, the velocity is derived from a potential

v=-v~ (5.1)
with the kinematic boundary condition
a" = a~ a" + a~ a" _ a~ (5.2)

at ax ax OJ OJ az
where the z-axis is vertical. The dynamic condition is (4.1). Stoker (1957) gives the
111
various orders of approximation. The first order linearization of these equations

assumes that the surface displacement 11 and its derivatives are small everywhere,
resulting in
on 2:=0 (5.3)
In addition to the normal Dirichlet or Neumann boundary conditions on fixed

surfaces, radiation boundary conditions are often applied on far field boundaries to
allow waves to pass unaltered from the solution region. Incident waves, or waves
that enter the solution domain, are generated at the far field boundaries.
Monochromatic waves have a single frequency (,). In that case the velocity,
wave height, and potential can be written
\1= iie-' 6Jt 11 = (e-'6Jt ~ = f/U- I6Jt (5.4)
where i=A and where ii, (, and", are functions of space but not of time.
Equations (5.4) show an oscillatory behavior, which is usually simpler in complex
notation, but the real part is taken as the result. Using (5.4) in (5.1), and (5.3) gives
VZ", = 0 (5.5)
with boundary conditions
a", (,)2 i a", (5.6)
on 2:=0
Oz =8'" 11=--
(,)Oz
Solving for a plane incident wave travelling in water of constant depth h in the x-
direction
4i = - i sA cosh k(2:+h) e ih (5.7)

(,) coshkh
where k=21C/L is the wave number and L is the wave length. The frequency and the
wave length are related by the dispersion equation
(5.8)
The radiation condition to be applied to far field boundaries, the Sommerfeld
condition, is
(5.9)
in which R=VX2+y2.
112
5.1.1 Vertical Plane Problems. In the case of vertical plane problems average
conditions are uniform in the y-direction. The steady potential ~ is written
-
t/J(x,y,z) = t/J(x,z) e '
it y (5.10)
which indicates that the y-dependence of ~ is pure oscillatory. Substituting (5.10)

into Laplace's equation yields the modified Helmholtz equation,
iPtj + iPtj -t; tj = 0 (5.11)

ax 2 az2
The free space Green's function for the modified Helmholtz equation is
(5.12)
in which Ko is a modified Bessel function of the second kind of order zero. The
Green's function is a singular solution to the modified Helmholtz equation just as In R
is for Laplace's equation. The behavior is similar to In R for small values of the
parameter
1 2
(5.13)
G-'InR+-lnt;
2
The differential equation (5.11) indicates that the Green's function should behave
similarly to Laplace's equation for small ky since in that case the equation reduces
to Laplace's equation. The integral equation for <P is
a<P = 1M [<P.[sK (.[sR) : 1 + Ko(.[sR) :]df (5.14)
in which Kl is a modified Bessel function of the second kind of order one.
5.1.2 Horizontal Plane Problems. In the case of horizontal plane problems every-
thing is of uniform depth. The bottom of the seabed is flat and all structures are
vertical and span the entire depth. ~ is written
. inAcosh ~z+h) -
t/J(x,y,z) = t/I- ~Co> cosh~ t/J(x,y) (5.15)
Substitution of (5.15) into Laplace's equation gives the Helmholtz equation

iP- iP-
....1. +....1. +k2tj = 0 (5.16)
ax 2 0,2
The free space Green's function is in the form of a Hankel function
G= Ho(kR) (5.17)
113
The solution procedures with these equations are similar to those of Laplace's
equation. One-dimensional problems with complex water surfaces can easily be
solved in this manner. Two-dimensional problems have also been done.
References
Hall, W. S., and T. T. Hibbs, "The treatment of singularities and the application of
the Overhauser C1 continuous quadrilateral boundary element to three dimensional
elastostatics," in Advanced Boundary Element Methods (T. A Cruse, ed.), Springer-
Verlag, 1988, pp. 135-143.
Liggett, J. A, and J. R. Salmon, "Cubic spline boundary elements," International

Journal for Numerical Methods in Engineering, Vol. 17, April, 1981, pp. 543-556.
Liggett, J. A, "Free surface flow - exposing the hidden nonlinearity," Communica-

tions in Applied Numerical Methods, Vol. 4, 1988, pp. 509-516.
Medina, D. E., J. A Liggett, R. A Birchwood, and K. E. Torrance, "A consistent

boundary-element method for free-surface hydrodynamic calculations," International
Journal for Numerical Methods in Fluids, Vol. 12, 1991, pp. 835-837.
Medina, D. E., and J. A Liggett, "Exact integrals for three dimensional boundary
element potential flow," Communications in Applied Numerical Methods, Vol. 5,
November, 1989, pp. 555-561.
Mei, C. c., "Numerical methods in water-wave diffraction and radiation," Annual

Review of Fluid Mechanics, Vol. 10, 1978, pp. 393-416.

5
FINITE-ELEMENT METHODS FOR FREE-SURFACE FLOW 1
John I. Finnie
Department of Civil Engineering
University of Idaho
Moscow, ID 83844-1022
ABSTRACT. The finite element method for free surface flows is described. The topics
presented include: the use of elements to discretize the solution domain, shape functions to
interpolate values within these elements (with emphasis on linear and quadratic shape
functions for one- and two-dimensional problems), application of Galerkin's method to a
simple differential equation, as well as to the Navier-Stokes and continuity equations,
integration by parts, coordinate transformations, numerical integration, boundary conditions,
solution of non-linear equations, and integrating the unsteady term. These methods are
applied to the evaluation of the Galerkin integral for the continuity equation.
1. Introduction
Previous chapters introduced the finite difference method and applied it to free
surface problems. The finite element method can also solve these same differential
equations. This chapter will emphasize the Navier-Stokes equations, but other related
equations, such as the shallow water equations, are treated in a similar fashion. Finite
elements are a newer technique and are not as popular as the finite difference method for
solving fluid flow problems.
The finite element method can handle irregular boundaries easier than the finite
difference method. The "standard" finite difference method uses grids with square corners
and straight edges, and cannot easily simulate naturally curved boundaries. Boundary fitted
grids can be used with the finite difference method to overcome this shortcoming. However,
boundary fitted grids complicate the finite difference calculation. With either method,
smaller grid spacings are frequently required for areas of rapid variable change. These grid
refinements are easily obtained with the finite element method, but require additional effort
when using the finite difference method.
The finite element methods described in this chapter are very general. For that
reason they are also among the most complicated of the finite element methods. The flow
equations are also non-linear, which also adds complexity. Linear problems (such as
IA portion of the material of this chapter is taken from Finnie, J.I., "Finite-Element
Methods" in Chaudhry, M.H.,Open-Channel Flow, 1993, with permission.
115
116
potential flow, stress in a beam with uniform properties, or saturated ground water flow in a
porous media) can use simple finite element methods, do not require numerical integration,
and don't need iteration to arrive at a solution. The method discussed in this chapter can be
used for both linear and non-linear problems, but is unnecessarily complicated for linear
problems.
2. Domain Discretization
In the finite difference method the solution space (domain) is divided into a grid of
individual points, while in the finite element method the nodes are organized into a grid of
elements. Each variable and parameter is interpolated within the element by a polynomial.
These polynomials (and the finite elements) can be one-, two-, or three-dimensional. Typical
finite elements are described in the following sections.
2.1. ONE-DIMENSIONAL LINEAR ELEMENTS
For one dimensional problems, each element can be composed of two or more nodes. A
linear element uses two nodes, while an additional node creates a quadratic element. Higher-
order elements and shape functions (with more nodes) can be used for one dimensional
problems. See Segerlind (1976) for further examples.
As an example of a problem using one-dimensional elements, a one-dimensional

channel flow problem can be divided into five distinct two-node elements as shown in Figure
1.
[ f f! 31-:- Nt 2 5
'"" 2 3 /Z-"" 4 -
5 ]6
Global Node Numbers
Figure 1 Finite element grid for channel flow
Element numbers are shown within the channel elements and individual (or global)
node numbers are below the channel. Each element also has a local node number. In Figure
1, the two global node numbers are 4 and 5 for element 4. These are also local nodes 1 and
2 for element number 4.
Values within each element (in this case channel slope and water depth) are
interpolated as a linear combination of the value at each end of the element. If the variable
of interest is cP in Figure 2, then cP at any point (x.) within an element CPa can be calculated
by proportion as:
117
x -x
4>0 = 4>1 + _a_I(4).-4>.)
X.-X. J I
J I
(1)
in which N; and Nj are called shape functions, and CP. is the value of cP at node n. Shape
function is a generic term that can refer to two distinct uses. They are called interpolation.
trial. or basis functions if they interpolate values within a finite element, or test or weighting
functions if they are used to form a weighted average of the error. More will be said later
about these uses.
cp. A-
~I I I
I I
I I Element
~
x
Figure 2 One-dimensional linear element
2.2. ONE-DIMENSIONAL QUADRATIC ELEMENTS
One-dimensional quadratic elements are available. Figure 3 shows a three node quadratic
element.

Element
/ a. r/ K x
Figure 3 One-dimensional quadratic element
118
The value of q, within this element is given by q, = Njq,j + Njq,j + Nkq,k in which the shape
functions for this element are (Segerlind 1976, p. 262)
(2)
where the x's are evenly spaced (Xk - Xj = Xj - Xu.

Example Problem 1
Calculate the value of the shape functions for the following one-dimensional quadratic
element at nodes i, j, and k, and the value of q, at x,. = 1. The following values are
given:
q,j = -3. at X; = O.
q,j = -1. at"i = 1.5
q,k = 2.5 at ~ = 3.0
Solution:
N
t
= [1 - 2(13-0
- 0)] (1 _~)
3-0
= ~
9
N. = 4(1 - 0) (1 _ ~) = !
J 3-0 3-0 9
N = -
k
!...:....Q
3-0
[1 _2(13-0
- 0)] = -=!.
9
= ~ (-3) + ! (-1) - .!. (2.5) = -1.833

999
Note that at any location x,., the sum of the shape functions is 1.0. This also means
that if x,. = Xb then Nk = 1 and Nj = Nj = O.
2.3. TWO-DIMENSIONAL LINEAR ELEMENTS
Two-dimensional problems could use linear, quadratic, or higher order elements. Figure 4
119
shows linear two-dimensional elements that are available in triangular and quadrilateral
shapes with their local node numbers.
X1
Figure 4 Two-dimensional linear elements
Figure 5 shows local coordinates (~ and 11) for the quadrilateral element. A
coordinate transformation converts from local coordinates to XI> X 2 or global coordinates.
Both of the local coordinates range from -1 to + 1. Figure 5 shows both the local and global
coordinate systems.
2
(Xl o ,X2 0 )
Figure 5 Local and global coordinates in a linear quadrilateral element
The shape functions for the quadrilateral element are:

NI = tA(H)(I-11)
N2 = tA(l+~)(1-1])
N3 = tA(l+ ~)(l+11)
N4 = tA(I-~)(l +1/) (3)
The coordinate transformation is:

120
(4)
(5)
in which XI and X2 are the XI and X2 coordinates of the

o 0
origin of the ~,TJ plane. The coordinate transformation will be used in the section on
Galerkin's method.
2.4. TWO-DIMENSIONAL AND HIGHER ELEMENTS
Figure 6 illustrates triangular and quadrilateral quadratic elements and their local
node numbers. Both 8 node and 9 node quadrilaterals are shown.
fj4
5
2 3
a) b) c)
Figure 6 Two-dimensional quadratic elements
The shape functions for the 9 node quadrilateral element are
NI = 1.4~TJ(~ - 1)('11 - 1), N2 = -IhTJ(TJ - 1)(e - 1)

N3 = IJ4~TJ(~ +
1)('11 - 1), N4 = -lhH~ + 1)('11 2 - 1)
Ns = IJ4~TJ(~ +
1)('11 + 1), N6 = -lhTJ(TJ + 1)(e - 1)
N7 = IJ4~TJ(~ - 1)('11 + 1), Ns = -lhH~ - 1)('112 - 1)
N9 = W- 1)('112 - 1) (6)
The shape functions for other multi-dimensional elements may be obtained from general finite
element texts such as Segerlind, (1976) or Zienkiewicz and Taylor (1989).
Figure 7 shows quadratic elements combined into a grid. Global node numbers are also
121
shown.
....---7-
11 12 21
1
6
-
26
27_
~ 31
12! 17- 22! 32
2
3 '33
8 13 18 23 28
4 9- 14 19- 24 29- 34
5 15 20 25 30 35
10
Figure 7 Finite element grid
2.5. ORDER OF INTERPOLATION
The rate of change of the variables determines if higher order elements are needed. As the
rate of change increases, higher order shape functions become desirable. (Lee and Froehlich
1986, p. 6). It might be possible to use linear elements if the element size is appropriately
small, however, it is usually more efficient to use higher order elements.
It is necessary to use mixed interpolation for solutions of the Navier-Stokes
equations, since equal order interpolation for velocity and pressure creates a singular (and
unsolvable) set of equations (see Lee and Froehlich, 1976, p. 10 and Chung 1978, p. 208).
One way to implement mixed interpolation is to interpolate velocity with quadratic shape
functions (eight or nine nodes), while the pressure is interpolated within the same area with
linear shape functions (at the four corner nodes). This is called the 8-4 or 9-4 element.
Other combinations may be used, such as a 6-3 triangular element.
While both the 8-4 element and 9-4 element are used in two dimensional flow
problems, the 9-4 element is preferred by more finite element modelers. It has been reported
that the 9-4 element gives pressure results that are superior to the 8-4 element (Huyakorn et
ai, 1978). Finnie and Jeppson (1991) and Saez and Carbonell (1985) contend that either
element may give erroneous pressure results. Whichever element is chosen, these problems
may be prevented by having a sufficient number of grid points.
Shape functions may also be used to calculate derivatives. If cP = N1CPI + Nzcpz +
N 3CP3, then
(7)
This makes sense since the N's are functions of Xj, and the cPj are constants. Only one value
of cP satisfies the governing equation.
122
2.6. CONVERGENCE
For the finite element method to converge to the correct solution, the following
conditions must be met (Lee and Froehlich 1986, p. 6).
1. As the size of the element decreases to zero, the nodal values become
identical, and the shape functions give constant values throughout the
element. This is the completeness requirement.
2. If the governing equation is of order n, then the variable and its derivative
must be continuous across the boundary to the order of at least n-l. This is
the compatibility requirement.
Condition 2 applies to the value of variables and their derivatives at the finite element
boundary, but not within each element. The shape functions discussed so far only guarantee
that variables are equal on adjacent boundaries. This is referred to as continuity "of order n
= 0 on the boundary", which is also called Co continuity. If the derivatives of variables are
equal on the boundaries of adjacent elements, continuity is of order n = 1, or C 1 continuity.
Fortunately, elements with Co can be used for the Navier-Stokes equations, since the equation
(of order n = 2) can be reduced to order n = 1 (first derivatives) by integration by parts.
The shape functions (with n = 0 on the boundary) will then be adequate. See also Segerlind
(1976, p. 79) for more information about element continuity.
3. Transforming Differential Equations into Integral Equations
Differential equations can be integrated by three finite element approaches: direct,

variational, and weighted residual. If the equations are linear partial differential equations,
then each method gives identical integral equations.
However, the direct method is not suitable for fluid flow problems, since it relies on
minimizing an energy term. For example, in structural problems the strain energy is
minimized. The variational method applies only when a "variational statement" exists for a
class of problems. These statements stem from variational calculus and are available for
linear differential equations, such as heat transfer, and potential fluid flow. Unfortunately,
variational statements for the Navier-Stokes equations are not available.
The weighted residual methods are universal methods that apply where direct and
variational methods do not, and will be the subject of the next section.
3.1. METHODS OF WEIGHTED RESIDUALS
The weighted residuals methods include the following three approaches: collocation, least
squares, and Galerkin's method. Galerkin's method is the most popular and will be
described here.
Differential equations can be expressed in the following general form.
(8)
in which L is a differential operator and u is the dependent variable. Galerkin's method

123
forces the error of the approximation to zero. If Uapprox is the approximate solution, then
the error (E') of approximation is given by
(9)
E' is forced to zero by making it orthogonal to the set of r linearly independent

weighting functions (N r). Two conditions are required for this to occur: 1) the Nr
weighting functions span the solution space. This means that every location in the solution
space (domain) is reachable as a linear combination of the weighting functions, and 2) the
weighting functions are mutually orthogonal (perpendicular and independent). When these
conditions are met, the only function that is orthogonal to all of the weighing functions is
zero. Forming an inner product between E' and Nr and setting it equal to zero forces E' and
Nr to be orthogonal. That is
fR
N E' dR = (N
' r'
E') = 0 (10)
in which the parenthesis indicate inner product. Substituting for E' results in the following
equation.
(11)
The reader will recall that an inner product of two functions is equal to the product
of their magnitudes and the cosine of the angle (6) between them, or:
(Nr.E') == INr II E' Icos e (12)
If Nr is non-zero, then for the inner product to be zero, either E' or cos e must be
zero. If cos e is zero, then Nr is orthogonal to E'.
The Galerkin finite element method employs identical functions for both weighting
and interpolation functions, but dissimilar ones could be used.
The next example shows how the Galerkin method can be used to solve differential
equations.
Example Problem 2 (Galerkin's Method)
Solve the following ordinary differential equation. Find the value of y at x == 3 with
the finite elements shown in Figure 8 if
dy = -.2 when y =4 @ x =0
dx
In this case
Lu - f(xJ == 0 == y' + .2
where dy/dx == y'. Galerkin's method gives the following integral equation.
124
y
5
~Y=4atX=O
4
I-Dimensional, Linear Finite Elements
Figure 8 Linear finite elements
Since the shape functions (Equation 1) are N\ = (Xj - x)J(Xj - x;) and
N2 = (x - x;)J(Xj - Xi), the inner product becomes
Recall from Equation 7 that within each element
then
dN1
-- = -1 = -1 = -1
dx XFXi 1
dN2 1 1
-- = = = 1
dx Xj-Xi 1
Substituting these into the two integrals results in

125
I x -x
_:1_ (-Y j + YJ + .2 ) dx = I --'
x-x.
(-Y, + YJ + .2) dx =0
~~ ~~
These must be applied to each of the three finite elements. Since each integral is
equal to zero, they are summed for each element. Recall that Xl = 0, X 2 = 1, X3 =
2, and X 4 = 3.
Element I
I -1-0
I-x (-Yl + Yz + .2) dx + I -
x-o (-Y 1 + Yz + .2) dx =0
1-0
Element II
I -2-1
2-x (-Yz + Y3 + .2) dx +
I x-I
- (-Yz + Y3 + .2) dx = 0
2-1
Element III
I -3-x (-Y3 + Y4 + .2) dx +

I x-2 (-Y3 + Y4 + .2) dx = 0
-
3~ 3~
The three equations become
After simplifying they are

(-YI + Y2 + .2) =0
(-Y2 + Y3 + .2) =0
(-Y3 + Y4 + .2) =0
From the boundary conditions, YI = 4. So Y2 = 3.8, Y3 = 3.6, and Y4 = 3.4. The
analytical solution is Y = -.2x + 4. Galerkin's method with linear shape functions
has provided the exact solution for this linear equation.
If linear shape functions are used with higher order differential equations, the spacing
126
between nodes could influence the accuracy of the result. This is particularly true if the
solution changes so rapidly in space or time that shape functions cannot adequately
interpolate the value. As with all numerical solutions, accuracy of the results depends upon
an adequate number of nodes. Care must be taken so that the grid or node spacing does not
effect the results. This is called "grid independence" and is a required condition for the
computed results to be reliable. Grid independence is insured when additional nodes don't
change the computed results.
Galerkin's method can be applied in the same manner to problems with more
dimensions, higher derivatives, and more variables. However, as the level of difficulty
increases, additional complications develop. These include non-linear terms, higher order
derivatives, and elements that require numerical integration.
Galerkin's method will be applied to the Navier-Stokes equations to demonstrate how
these complications can be overcome.
3.2. APPLY GALERKIN'S METHOD TO THE NAVIER-STOKES EQUATIONS
The Navier-Stokes equations and the equation of continuity govern fluid flow at any
Reynolds number. The unsteady Navier-Stokes equations are shown below.
aUt au.
+ U --' + v (13)
at J ax.J
in which U; are the components of velocity, p* is the sum of both pressure (P), a surface
force, and 'Yh, the gravity body force, p is the mass density of the fluid, p is the kinematic
viscosity,and'Y is the specific weight of fluid. Einstein summation is used in equation (13),
which means that the terms with two subscripts are summed. The subscripts i and j take a
value of 1 to 2 in the case of two-dimensional problems.
The two-dimensional equation of continuity for incompressible fluids is:
(14)
Galerkin's method when applied to these equations creates the following integral
equations for every element. For simplicity, the steady equations will be shown. The nine
node quadratic weighting function is used for the inner product involving the Navier-Stokes
equations. The same nine node shape function interpolates velocity. The four node linear
shape function is used for the weighting function in the continuity equation and to interpolate
oressure.
127
Steady Navier-Stokes eguations. For i =1
r = 1 to 9
(15)
For i =2
r= 1t09
(16)
Continuity Equation
(17)
r = 1 to 4
3.2.1. Reducing the derivatives to first order. If the differential

equations contain derivatives higher than first order, then so will the integral equations
produced by Galerkin's method. Since the shape functions are continuous in the variable at
the element boundaries, but are not continuous in its derivatives, any second and higher
order derivatives must be manipulated to first order. The following example shows how this
manipulation is done. The part of the Navier-Stokes equations with second order derivatives
is
For i = 1
(18)
r = 1 to 9
Next the Green-Gauss theorem (or integration by parts) is applied. It states that
S udv = uv - S vdu (19)
When applied to Equation 18 above, it becomes

For i = 1
r= It09
128
(20)
The Green-Gauss theorem has been applied to the first two terms and reduced their
order. This has also generated naturally occurring gradient boundary conditions, which are
the single integrals. This operation is also done on the pressure and gravity terms which
contribute necessary boundary conditions, as seen in Equation (21) below.
The integral equations that result from the Galerkin method and integration by parts
for the steady Navier-Stokes equations and the continuity equation are
ffr+ '::
Steady Navier-Stokes Equation (i = 1)
+ U, a:: j- =:~ (P+yh)
r = 1 to 9
Continuity equation
IfM{-OUI
ax I
+ -aU2l dxdx
ax2 I 2
= 0 (22)
r=lt04
Next, the shape functions and node values are substituted for the variables. For
example,
(23)
where U 1(r) is the value of the variable at local node r. Derivatives are evaluated as,
129
(24)
All the variables and non-constant knowns in these equations can be expressed with
shape functions and derivatives of shape functions. This produces a system of non-linear
equations with the velocity components and pressure at the nodes as the unknowns. Known
boundary conditions become the known or force vector. These equations are assembled for
all of the elements using global node numbers.
Figure 9 shows the local and global node numbers for a nine node two-dimensional
element. Figure 7 shows the global node numbers for a small problem. Next, the equation
will be integrated over an element.
(-2.80, 1.85)
Figure 9 Local and global coordinates and Gauss integration points
3.2.2. Numerical Integration. Because quadratic shape functions use local coordinates,
Gauss quadrature (or numerical integration) and a coordinate transformation must be used.
Figure 10 illustrates an integration problem that can be solved with Gauss Quadrature.
f 2
o
-1 o 1
X
Figure 10 Gauss Quadrature
130
Gauss quadrature evaluates an integral between the local limits of x = -1 to x = 1

by evaluating the function f(x) at intermediate values of x. The functional values are then
multiplied by the appropriate weights and summed. Three point quadrature is usually
sufficient for the Navier-Stokes equations. For three-point Gauss quadrature the evaluation
points are at local coordinates
x = (-.774597,0, .774597). The weights applied to the value of the function at these points
is 5/9, 8/9, and 5/9, respectively.
Example Problem 3 (Gauss Quadrature)
If f(x) =x2+ X + 1, we can integrate from -1 to + 1 directly:
Jl"RX)dx Jl (X2+X+l)dx
-('
=
-1
= 2
2-
3
Three point Gauss quadrature applied to this problem is:
J j(X)dx = ~9 f (-.774597) + !9 f (0) + ~9 f (+.774597)

l
~
J j(X)dx
1
-1
= ~(.825404)
9
+ !(l) +
9
~(2.374598)
9
= 2.666669
which is almost the exact solution.
When three-point Gauss quadrature is applied to a two dimensional problem the

function is evaluated at the nine sampling points as shown on Figure 9. The function value
at each location is multiplied by the product of two weights. Figure 9 illustrates the local
coordinate (~ and 1/) systems. See Carnahan Luther & Wilkes (1969) or other numerical
analysis text for further information on Gauss quadrature.
3.2.3. Coordinate Transformation. A correction for the coordinate transformation must be

made during the integration whenever local coordinates are used. The correction for two-
dimensional integration is shown below.
(25)
in which J is the Jacobian of the coordinate transformation (Segerlind, 1976, p. 273).
ax1 -ax2
c3~ c3~ (26)
J=
ax1 c3x2
at] at]
131
and Idet J I is the absolute value of the determinant of the matrix J. The function f(xl,x:z)
must be transformed into f(~, 11) to complete the integration. The shape functions (Nr) are
already in terms of the local coordinates. The partial derivatives of the shape function
remain to be transformed. This is accomplished by the following equation
(27)
in which J.I is the inverse of the Jacobian. The following example illustrates the calculation
of J- 1 and the partial derivatives within the shape functions.
Example Problem 4 (Calculation of 1'1 and shape function derivatives)

Figure 9 shows a four node quadrilateral element. The global and local coordinates
for each node are listed in the following table
~I 11.
-1.29904 -.75 -1 -1
3 1.29904 .75 -1
5 -.20096 3.34808
7 -2.79904 1.8480 -1 1
Calculate J and the derivatives of the shape function.
a) Calculate the Jacobian Matrix

We need to calculate the partial derivatives that make up the Jacobian matrix. In this
example, the element is square so the following procedure can be used. The partial
derivative ax/a~ is evaluated along the line 11 = -1. Since the element is square, the
derivative could have been evaluated along any constant 11 line.
aXt 1.29904-( -1.29904) '" 1.29904

a~ 1-(-1)
Similarly, the other three partial derivatives are:
aX2
== .75
a~
132
ax}
-.75
c3fI
aX2
1.29904
c3fI
In cases where the element is not square (or the ~ or 1/ axis are not straight lines),
these derivatives may be calculated using the shape functions. For example, since
linear elements are used,
ax} aN aN
- _lX}(1) + .... + _4 x}(4)
a~ a~ a~
ax} aNI aN
= - x (1) + .. + _4x}(4)
all a" } a"
This requires that we also evaluate the derivatives of the shape functions with respect
to the local coordinates. Let us use the first shape function, Nh as our example. NI
for this element (Equation 3) is
NI = 1A(1-~) (1-1/)
by taking derivatives with respect to ~ and 1/, we obtain
Regardless of the method used to calculate partial derivatives of Xl and X2 with

respect to ~ and 1/, the Jacobian matrix for our example is
J = [1.29904 .75]
-.75 1.29904
b) Calculate Idet J I
The determinant of the Jacobian is
133
Idet JI 1(1.29904)(1.29904) - (.75)(. -75) I = 2.2500
c) Calculate J- l
The inverse (Chapra and Canale, 1988) of the Jacobian is
rl _ [.57735 -.33333]
+.333333 .57735
d) Calculate the partial derivatives of the shape functions with respect to the local
coordinates.
In order to calculate the partial derivatives of the shape functions with respect to Xl
and X 2 we again need the partial derivatives of the shape functions with respect to the
local coordinates. The derivatives of the shape functions with respect to Xl and x2
are calculated with Equation 27. For shape function number one
At ~ = "1 = 0
{4O-l) -.06100
. [~.333 0.57735] 0~1 . {-.22767}
0.57735 -0.333
This calculation must be repeated for each shape function at every Gauss point.
We are now ready to apply Galerkin's equation to an equation.
3.3. APPLICATION TO THE CONTINUITY EQUATION
The following section illustrates numerical integration of the two dimensional

continuity equation. A similar procedure would be used on the Navier-Stokes equations.
(28)
in which M is the vector of the linear shape functions, B is the matrix of derivatives of the
quadratic shape function, W(~,"1) are the Gauss weights, and u is the vector of velocities.
134
(29)
(30)
(31)
(32)
The superscript T denotes transpose.

The weights, W(t7l), are determined by the value of the local coordinates. All
variables in Equation 28 are expressed in terms of the spatial coordinates and the local
coordinates. In this case, three point numerical integration is used, so nine locations within
each element are evaluated for each of the above terms. Next they are multiplied by their
respective weights. The sum of these operations is the value of the integral for the element.
We are now ready to evaluate the integral that results from the Galerkin finite
element method. As an example, let us evaluate the integral for the continuity equation over
the quadrilateral element used previously (Figure 9). Note that the nine velocity nodes are
numbered in order so that the four pressure nodes now are local node numbers 1, 3, 5, and
7. The following example illustrates the evaluation of this integral for the continuity
equation.
Example Problem 5 Ontegrate the Continuity Equation)
This integration problem consists of a set of four integrals: one for each of the
weighting functions (M's). The terms of the integrals should be evaluated at the nine
Gauss points, mUltiplied by the appropriate weights, and summed up. We have
previously calculated J.t and Idet J I, and shown how to calculate
for a given value of ~ and 71.

The calculation for each element proceeds in the following order. While velocity
variables Ut and U2 could exist at eight or nine nodes, the nine node element will be
illustrated.
a. Evaluate:
135
(r goes from 1 to 9) Evaluate for each of the 9 Gauss points in the element.
b. Evaluate the Gauss weights and Idet J I at each of the nine combinations of ~ and 1/.
For example, if 1/ = -.774597 and ~ = 0, then the weight is
(%X~) = ~
c. For each of the nine combinations of 1/ and ~, evaluate the sum
The capital sigma (I:) means that the formula in brackets is evaluated for i going
from 1 to 9, and the sum is formed. UI(i) and Uii) are the values of U I and U2 at
local node number (i). These must be estimated for the first iteration. This is the
value of
at each of the Gauss points.

d. For each of the nine combinations of ~ and 1/, calculate the value of the four linear
shape functions (MI' M3 , Ms, and M7)'
e. Evaluate the following four products for each of the nine combinations of ~ and 1/
F3(r) = (M) (_au1 au. ) (weight)

+ _2 idet Ji
aX1 aX2
for the four cases when r = 1, 3, 5, and 7 (the corner nodes).

f. For each of the four corner nodes, calculate the sum of the nine values of the above
product. This results in the four desired integrals.
F3(r) is the value of the continuity integral at node (r). Fl(r) and F2(r) are
the values of the two Navier-Stokes integrals. Fl and F2 exist at every node, while
F3 exists only at the corner nodes. Fl and F2 are calculated in a similar manner,
but with many more terms.
Fl(r), F2(r), and F3(r) are also evaluated for neighboring elements. Since
there is only one FI (or F2 or F3) at each node, the neighboring elements also
contribute to each F. Appendix I gives the actual calculations for the above
example.
The result of all of this is a set of non-linear integrals equal in number to the number
of velocity and pressure unknowns. If the boundary conditions are applied correctly, the set
of equations is a non-singular, (and solvable) matrix problem. Each integral will be equal to
136
zero only when the correct value of velocity and pressure at each node has been found.
While there are a number of ways to find the correct values, Newton's method will be used.
It will be illustrated in section 3.5.
3.4. BOUNDARY CONDITIONS
Because the steady equations are elliptical, boundary conditions must be specified for
all variables on all boundaries. The two typical boundary conditions are the known value of
the variable or its gradients. Known boundary conditions mean that the value of the variable
is known a priori. An example of this would be a place on the boundary were the velocity is
known from experiment or because there is no flow across the boundary. The gradient
boundary conditions for the Navier-Stokes equations are:
(33)
normal: _P+yh + 2v au"
p ax"
(34)
traction: v (au" + au,)
ax, ax"
in which n indicates normal to the boundary, t indicates tangential to the boundary, and p is
the kinematic viscosity. These gradients are the shear stresses at the boundary. Equation 33
is the normal stress, while Equation 34 is the wall shear stress. These expressions result
when integration by parts (Equation 20) is applied to the Navier-Stokes equations.
Inlet velocities are usually known. However for some flows, such as in a channel, a
pressure gradient will be specified by Equation 33 instead of a known velocity. The wall
boundary conditions will either be a known velocity, or a traction gradient (Equation 34).
The known velocity at a wall is usually zero for laminar flow. For turbulent calculations, a
non-zero shear stress could be specified at a small distance from the wall by the log law of
the wall, and applied with Equation 34.
The boundary conditions for the longitudinal velocity at a free surface can be zero
traction gradient (Equation 34), which is only approximately true for turbulent flow. In
turbulent flow a free surface produces an inflection in the horizontal velocity profile. The
normal velocity at the surface is zero.
Do not under-specify or over-specify known velocity boundary conditions when
solving the Navier-Stokes equations. It is bad practice to set known velocity boundary
conditions at exits. They can create impossible demands by violating the continuity equation
(inflow ;e outflow). It is wiser to set zero normal velocity gradients along the exits using
Equation 33. This means that the flow has adequate travel distance to completely develop at
the exit, so be sure that the domain is sufficiently long in the direction of flow.
Specifying boundary conditions where surfaces meet can also create problems. At
the inlet to an open channel, be careful to set a velocity at the top which is compatible with
zero stress boundary conditions along the free surface.
Pressure boundary conditions create special problems. In the matrix equations for an
element, the rows representing the continuity equation are adjacent to the pressure in the
137
unknowns. Setting the pressure as a known boundary condition at a node deletes the
continuity equation there. Researchers have found that setting nodal pressures, especially at
inlets and outlets, leads to poor convergence and sometimes strange results (Chung, 1978).
Jackson (1984) reported that the effect of deleting the continuity equation at a point is to
collect all round off errors to that point. Pressure anomalies or discontinuities can occur
there. The best procedure is to set the pressure to a known value at one wall node where all
velocities are zero or in the interior of the flow (Gresho, Lee and Sani, 1980 and Schamber
and Larock, 1981). ALL other boundary conditions for pressure are included in "normal"
stress boundary conditions.
3.5. SOLVING THE EQUATIONS
Since the Navier-Stokes equations are non-linear, their solution is sought by an iterative
method. Newton's method is a widely used procedure so it will be explained here. It has
the advantage of rapid convergence, but it requires initial estimates of variables that are
"close" to the answer. If they are not close enough, the calculation procedure can diverge.
That is, it produces extremely large swings in values of the solution.
The current value of the variables is used to evaluate all the integrals (the functions,
{ f }). A Jacobian matrix D is formed by calculating the derivatives of all the functions
with respect to each variable. This is a different Jacobian from the one mentioned before.
OJ.. OJ..
aXl ax,.
D (35)
Of,. Of,.
aXl ax,.
where n is the total (global) unknowns. The corrected value of the variables is calculated by
the matrix equation
(36)
Ul(l) Z+l
U2(1)
P(l) (37)
where UZ + l
Ul(n)
U2(n)
P(n)
and the superscript refers to the number of the iteration.

The corrections (_Dol{f}) are made and the process is repeated until the corrections
become less than some tolerance. Problems will arise with convergence of Newton's method
138
if the initial guess is not "close enough."

The Jacobian matrix D is asymmetric, due to the non-linear convection terms, non-
positive definite (the continuity equation doesn't contain pressure as a variable), it is not
diagonally dominant and can contain zeros on the diagonal (Olson, 1977). It is non-singular
and solvable if proper boundary conditions and starting values are applied.
3.6 METHODS TO PROMOTE CONVERGENCE
In certain cases, Newton's method for steady flows oscillates around a solution. One
method to prevent oscillation and to decrease convergence time is to apply a relaxation factor
(A). This factor decreases the calculated corrections. The equation for the relaxation factor
is:
(38)
Experience indicates that A should be less than 0.5.

As was found with the finite difference method, obtaining a converged solution for
the Navier-Stokes (and related) equations can be a very difficult problem. Oscillations occur
if the finite element grid is too coarse. Previous finite element modelers resorted to adding
artificial viscosity or adding false diffusion (polansky, Lamb, and Crawford, 1984). This is
done by artificially increasing the viscosity in the diffusion terms (second order derivatives)
or by employing unequally weighted shape functions (called upwinding) (Benim, 1990).
Both of these procedures can reduce the accuracy of the results.
One alternative is to use temporary artificial diffusion (Finnie and Jeppson, 1991).
Artificial diffusion can be added by multiplying the second derivative terms by a constant.
This constant is then slowly reduced as the calculations progress. Another chapter discusses
upwinding for finite element solutions in greater detail. Information about the application of
artificial diffusion is also available in the chapter on turbulent flow.
3.7 INTEGRATING THE TIME DEPENDENT TERM
The time dependent fluid flow problems being considered in this section apply to flows
without pressure or gravity waves. This means that the equations being solved are parabolic
in the time dimension. Flows with waves require other techniques, since those differential
equations are hyperbolic. Some of the techniques needed for hyperbolic equations are
presented in the chapter on characteristics, as well as in other chapters.
The Galerkin method when applied to the unsteady Navier-Stokes produces the
following integral equation. Only the case of i = 1 is shown.
Unsteady Navier-Stokes Equation (i = 1)

139
r= It09
In order to simplify the following discussion, Equation 21 will be expressed as:
JJ N r [ Steady State Navier-Stokes ] dx 1dx2 = O. (40)
As a reminder, the variables in Equations 39-43,45,47-49 are not the nodal values. They are
the interpolated values within each element, so they are equal to the 'Sum of the product of
interpolation functions and the nodal values, as in Equation 1.
The time dependent terms in the Navier-Stokes equations can be integrated by a finite
difference or finite element method.
3.7.1. Finite Difference Methods. Either explicit or implicit versions of finite difference
equations can be applied to the time derivative in Equation 39. The rest of the terms are
evaluated using finite elements. The basic difference between explicit and implicit schemes
lies in when the rest of the function is evaluated i.e., at the current time step, the past time
step, or the future time step.
The simplest explicit scheme that is equivalent to Equation 39 would be (Seger lind,
1984)
ff NT [ Ut+~ ~ U, + Steady State Navier-Stokes (t) ] dxl~ = O. (41)
in which "Steady State Navier-Stokes (t)" means that the terms from Equation 40 get
evaluated at time t. The subscript on U also denotes the time step; time "t+ I" is one time
step (or AT) after "t". Assuming that the velocities and pressure are known at time=t, the
only unknowns in Equation 41 are Ut + l' However, the continuity equation at time=t+ 1
must still be applied. The Navier-Stokes equation (or one related to it) for time=t+ 1 must
also be solved in order to obtain the pressure for that time step. Equation 41 is first order
accurate, and has a severe restriction. It is unstable except for very small time steps. That
is, it frequently fails to converge to a solution. For that reason, implicit schemes like the
140
following are used.
JJ Nr [ U
I+~ -T U1 + Steady State Navier-Stokes (t+ 1)
]
dxl~ = o. (42)
(43)
JJ Nr [
U
I+~ T '
- U
+ Steady State Navier-Stokes (t+ 1/2)
]
dxl~ = o.
Equation 42 is fully implicit, since the Navier-Stokes equations are evaluated at time
= t+ 1. This makes it "stable", but it is still only first order accurate. Equation 43
evaluates the Navier-Stokes equation at a time mid-way between t and t+ 1, so it is second
order accurate. Equation 41 is called the "forward Euler difference equation", Equation 42
is the "backward Euler", and Equation 43 is called the "Trapezoidal Rule" (Segerlind, 1984).
The trapezoidal rule can be expected to give more accurate answers than Equation 42, but the
backward Euler equation has more built-in artificial diffusion (since it is first order accurate),
so it may converge more readily than the trapezoidal rule. While both Equations 42 and 43
are "stable", they can produce oscillations of the solution from one time step to the other.
Both the backward Euler and trapezoidal rule require iterative solutions, which increases
solution time over explicit equations. Whichever of these last two schemes is used, the
continuity equation (at t+ 1) must also be satisfied simultaneously.
These equations may be combined to improve the calculation procedure. For
example, two first order accurate schemes may be used. The forward Euler scheme could
predict values of velocity at t + 1, followed by the simultaneous solution of the backward
Euler scheme and continuity equation (at t + 1) to correct the velocity at t + 1. The net result
is improved efficiency and accuracy. For more accuracy, a second order accurate method
could use the Adam-Bashforth formula to predict values at t+ 1, using values at t-1 and t.
The trapezoidal rule would correct ( or improve) these estimates. The variable time step
Adams-Bashforth formula is (after FIDAP, 1991):
(U)P'+l = (U}, I1T, [(

+ _ 2 I1T)
+ _ _
, I1T
(dU/dt}, - _ _, (dU/dt}t-1 ] (44)
2 11 T,-l 11T,-l
in which {U}Pt + 1 are the predicted nodal values of the velocity vector at time = t + 1, L\Tt is
the variable time step at time = t, and {dU/dtlt is the vector of nodal values of the time
derivative of velocity evaluated at time = t + 1. Simultaneous solution of the continuity
equation (at t+ 1) and the trapezoidal rule formula shown below corrects the values just
predicted.
JJ N [ U'+l - U, + Steady State Navier-Stokes (t+ 1)

r I1T, 2
(45)
+ Steady State ~avier-StokeS (t) ] dxl~ = o.
in which UCt + 1 is the inter.polated value of the velocities at time = t+ 1 after correction by
141
the trapezoidal rule.

The nodal values of the time derivatives of velocity are found by the following
formula after the correction step.
2
{dU/dt},+! = - ( {U},+! - {U},) - {dU/dt}, (46)
ATt
and {dVldtlt is known from the current time step.
3.7.2. Finite Element Method. The finite element method can also be applied to the time
derivatives. The finite element formulation for the time derivative is
For VI
aUt aUt aUt

= N. (-). + N. (-). (47)
at 'at' J at'
The above equation assumes that the time derivative is a variable that changes linearly over
space. It is called the "consistent" formulation because the time derivative is treated the
same as a space derivative. If instead, the time derivatives are assumed to be constant
between the midpoints of neighboring elements, then the formulation is referred to as
"lumped" (Segerlind 1984). Lumping results in less computation work, but it also decreases
accuracy. If an unsteady scheme is used to solve a steady flow problem, then lumping does
not effect the results.
Like the finite difference approach, the second order finite element formulas are
more accurate. As before, the process begins by predicting velocities at time=t+ 1 by
Equation 44. This is followed by a correction step which simultaneously solves the
continuity equation (at t+ 1) and a slightly different trapezoidal rule formula. This
trapezoidal rule is obtained from the "interpolated" version of Equation 46. As shown
below, the equation also applies to the interpolated values of the variables.
(dUldt)'+l = 11~ ( U'+l - Ut) - (dU/dt)t (48)

t
If Equation 48 is substituted into Equation 39, the following formula results (Gresho, Lee,
and Sani 1980).
ff N, [ _2_
AT,
uc '+1 - _2_ u,
AT,
- (dU/dt), +
(49)
+ Steady State Navier-Stokes (t+ 1) 1dx 1dx2 = o.

Since Equation 49 required it, (dVldt)t was previously calculated from information at the
preceding time step. The very first value of (dVldt) can be found by a number of ways,
including first order methods to start the calculation.
142
Both the finite difference and finite element techniques for solving unsteady problems
could be improved by including a variable time step. The time step would respond to
changes in the difficulty of the calculation being attempted. Gresho, Lee, and Sani (1980)
and others (FIDAP 1991) present ways of implementing variable time steps.
4. Summary
The finite element method has been presented and applied to free-surface flows. The use of
elements to divide the domain was described. Shape functions were introduced to interpolate
variables within the elements. The techniques of integration by parts, coordinate
transformation, and numerical integration were illustrated. Galerkin's method was applied to
a typical differential equation and to the Navier-Stokes and continuity equations. Boundary
conditions for the governing equations were presented. Methods for treating the time
derivative term were developed.
5. References
Autret, A., Grandotto, M., and Dekeyser, I. (1987). "Finite element computation of a
turbulent flow over a backward-facing step." Int. J. Number Methods Fluids, 7, 89-
102.
Benim, A. C. 1990. "Finite element analysis of confined turbulent swirling flows."
International Journal for Numerical Methods in Fluids. Vol 11, No.6, pp. 697-718.
Carnahan, B., Luther, H. A., and Wilkes, J. O. 1969. Applied Numerical Methods.
Wiley, New York.
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6. Appendix I
Example - Integrate the Continuity EQuation

This example illustrates integration of the continuity equation, and is the numerical solution
of Example 5. Please note that an eight node element is now being used. The following
table gives the nodal velocities. The shape functions for the 8 node quadrilateral element
are:
N, = -IA(l - ~)(1 - 71)(~ + 71 + 1), N2 = 'h(1 - ~2)(1 - 71)
N3 = IA(1 + ~)(1 - 71)(~ - 71 - 1), N4 = 'h(1 - 71 2)(1 + ~)
N5 = ',4(1 + ~)(1 + 71)(~ + 71 - 1), N6 = 'h(1 - ~2)(1 + 71)
N7 = - IA(l - ~)(l + 71)(~ - 71 + 1), Ng = 'h(1 - 712)(1 - ~)
NODE x, X2 U, U2
NUMBER
1 -1.29904000 -.75000000 1.03000000 -1. OOOOOOOO
2 -.00431997 .00000000 1.06000000 -1. OOOOOOOO
3 1.29040000 .75000000 1.09000000 -1. OOOOOOOO
4 .54472000 2.04904000 1.12000000 -1. OOOOOOOO
5 -.20096000 3.34808000 1.15000000 -1. OOOOOOOO
6 -1.50000000 2.59808000 1.18000000 -1. OOOOOOOO
7 -2.79904000 1.84808000 1.21000000 -1. OOOOOOOO
8 -2.04904000 .54904000 1.24000000 -1. OOOOOOOO
Note that the 9 Gauss points are identified by j and k subscripts with position (1,1) adjacent Slm1 The values of
to node 5.
aN aN
-2 U, (1) and -2 U, (1) for the first sbape function are:
.s:rEf..l The calculated values of aN, and aN, are: ax, ax,
i1X, ax.
j k .aNI U(I) .aNI U(1)
j k 2N. 2N. aX 1 I ax, 2
ax, ax,
3 3 -.25973300 .93911710
3 3 -.25216800 -.93911710
3 2 -.11248750 .32755290
3 2 -.10921110 -.32755290
3 1 -.14400660 -.18387270
3 1 -.13981230 .18387270
2 3 -.07159582 .33815830
2 3 -.06951050 -.33815830
2 2 .00000000 .00000000
2 2 .00000000 .00000000
2 1 -.10712250 -.23826920
2 1 -.10400240 .23826920
1 3 .22011250 -.08914877
1 3 .21370140 .08914877
1 2 .21587370 -.15398710
1 2 .20958610 .15398710
1 1 .03296344 -.11918590
1 1 .03200334 .11918590
Slm.l The 9 Gauss weights and Idet J I are: The values of (au, au,) + at each of the Gauss points are:
i1X1ilX,
V K Weight Idet J I
3 3 3.086420E"()1 2.244661 j k Ql[. &
ax) ax,+
3 2 4.938272E"()1 2.246834
3 3 -.08336785
3 1 3.086420E..()1 2.249007
3 2 -.06247505
2 3 4.938272E"()1 2.243405
3 1 -.00003507
2 2 7.901235E"()1 2.245579
2 3 -.05157509
2 1 4.938272E"()1 2.247753
2 2 -.05474867
1 3 3.086420E"()1 2.242151
2 1 -.01630521
1 2 4.938272e"()l 2.244324
1 3 -.01974661
1 1 3.0864203"()1 2.246498
1 2 -.04701364
1 1 -.03259379
VI
-..,.
~
'"
~ The values of the linear sbape function M, (located at node 1) are: Slm.Q The sum of the integral evaluation from step 5 for sbape function 1 is -.1314714.
The value of all 4 integrals for the given element are:
j k M,
3 .78729840 i F3(i)
3
3 2 .44364920 1 -.13147140
3 -.09647114 .
3 1 .09999999
2 3 .44364920 5 -.08245198
2 .25000000 '--- __7_ L_ -.07'7m~l_

2
2 1 .05635083
1 3 .09999999 i
1 2 .05635083 I
I
1 1 .01270166 i
swu. The values of the integral:
au
If M, (---.! + -2
au) weight I det J I dxt <Ix,
ax, a~
at the Gauss points are:
j k Integral
3 3 -.04547197
3 2 -.03075334
3 1 .00000243
2 3 -.02534909
2 2 -.02428493
2 1 -.00101988
1 3 -.00136651
I 2 -.00293619
1 1 -.00028705
Sum ; -.13147140
6
APPLICATION OF FINITE ELEMENT MODELS
TO FREE SURFACE FLOWS
ROBERTO MAYERLE, ANDREAS MALCHEREK and WERNER ZIELKE

Institute of Fluid Mechanics
University of Hannover
Appelstr. 9A
30167 Hannover
Federal Republic of Germany
ABSTRACT. The objective ofthis paper is to give an overview of the present status of the
developments, limitations, difficulties, future trends and demands in the applications of the
finite element models to real world problems. Apart from describing the three dimensional
flow solvers employed and two applications to complicated real world problems, some im-
portant aspects such as pre- and post-processing, verification and validation of computer
models as well as computer performance are also included.
1. Introduction
The flow in rivers, estuaries, lakes and especially near hydraulic structures is extremely
complex because not only separations, recirculations, reattachments, eddies, vortex shed-
ding, local accelerations and decelerations, and secondary motion can occur but also the
turbulence level may be quite intense. Furthermore, scouring, erosion, entrainment of bed
material, the resulting sediment transport, salinity and heat transport, are closely related to
the water flow phenomena so that flow and transport should be interconnected. A number
of these problems have been investigated with the aid of physical scale models. However,
such studies are time consuming and costly and for many real world problems it is impos-
sible to achieve reliable results. The advancements in computer capabilities in recent years
and the ongoing developments in the numerical modeling techniques of free surface flows
enabled numerical simulations of complicated and highly three dimensional problems. Such
studies are usually more cost-effective and faster than physical model studies, and have no
inherent limitation on spatial extent.
Since an application of a numerical model involves more than just presenting and compa-
ring the results with measurements, discussions about some important aspects, sometimes
overlooked, are also included. It comprises seven sections including this introduction. In
147
M. H. Chaudhry and L. W. Mays (eds.). Computer Modeling of Free-Surface and Pressurized Flows, 147-171.
148
the second section, the three dimensional finite element models used in the applications,
namely the TELEMAC system developed at the Electricite de France (EDF, France), and
the CCHE3D model developed at the Center for Computational Hydroscience and Enginee-
ring (CCHE, The University of Mississippi, USA) are described in detail. The grid systems,
shape functions, solution procedures, boundary conditions, turbulence models, assumpti-
ons, and limitations of each model are presented. The most relevant requirements of pre-
and post-processors that help in an application, the demands over the time, the develop-
ments, and main displays are given in the third section. The work planned at the Institute
for Fluid Mechanics (IFM, University of Hannover, Germany) and the future trends in the
developments in this field are also presented. In the forth section, the techniques usually
adopted to verify and validate computer models and the work being done in this area are
described. The fifth section presents an overview of the present limitations in the appli-
cations of numerical models both in time and space domains, the trends in the computer
architectures as well as a description of the research under way at the IFM in the paralle-
lism of computer models. Finally, in the sixth section, the finite element models are applied
to a German estuary to investigate the mechanisms leading to a turbidity maximum, and
to the design of a complicated hydraulic structure to look for alternative solutions that
would improve the navigational conditions and reduce the problem of sediment deposition.
Comparisons with measurements and physical model data are also shown. The paper in-
cludes also experiences of two other research institutes namely the CCHE and the EDF,
respectively through the first author, former member, and the second author, who has been
engaged in a research cooperation with that institute.
2. Flow Solvers
2.1. TELEMAC SYSTEM
The TELEMAC system has been developed since 1987 at the National Hydraulics La-
boratory Branch (NHL) of the EDF. The system consists of a two dimensional and a three
dimensional model. The three dimensional model solves the Navier-Stokes equations with
a free surface boundary condition and the advection-diffusion equations of temperature,
suspended sediment, salinity and other variables. The influence of temperature and salinity
on the density, the wind stresses on the free surface, the heat exchange with the atmosphere
and the Coriolis force are also considered and hydrostatic pressure distribution is assumed.
Additional details can be found in [9] and [10]. The second author of the present paper
has been participating in the development of a subroutine to simulate cohesive sediment
transport and in the verification and validation processes of the TELEMAC 3D system.
Grid System. The model uses unstructured triangular grids with a constant number of no-
des along the vertical. The space is discretized in finite element prisms. The top and bottom
of the prisms are triangles and their sides are quadrilaterals. The three dimensional grid
is obtained simply by duplicating the two dimensional grid along the vertical. The nodal
distribution along the vertical can be adjusted to the requirements.
Shape Functions. Linear interpolation functions are used at the triangular and quadrilateral
sides of the prisms. It must be emphasized that the computation is hardly ever carried out
149
in the real domain. Due to the vertical sides of the prisms the mapping is very simple. As
a result, it is possible to switch back to the prisms of reference by an appropriate mapping
technique.
Solution Procedure. The partial differential equations are solved by a decomposition in frac-
tional steps (operator splitting). Each numerical operator is treated by an adequate method.
The solution advances in time in three steps namely advection, diffusion and free surface-
continuity-pressure. The time derivatives incorporate the results of these three steps. The
advection step is computed with the characteristic curve method in the sigma-mesh, whose
curves are obtained by a Runge-Kutta method via an explicit velocity field. The interpo-
lation of the advected variable is linear at the foot of the characteristic. Although such
methods generate a lot of damping, it can be reduced by refining the grid which in turn
increases the computing time. Since such methods are unconditionally stable, it is possible
to increase the time step compensating for it. The diffusion step is solved in the real mesh
at the present time step, through a finite element formulation. The computation of the
matrices, which are symmetric except when sediment transport is included, and the solu-
tion of the matrix system using conjugate gradient algorithms are important in this step.
The matrix system is constructed using the element by element (EBE) formulation which
allows for the vectorization of the algorithms. Having evaluated the advection and diffu-
sion operators, the free surface-continuity-pressure step is computed. Integration along the
vertical (from the bottom to the free surface) of the momentum and continuity equations
results in the classical shallow water equations without the advective and diffusive terms.
The resulting two dimensional depth integrated equations are solved with the 2D version
of the same code.
Boundary Conditions. Two types of boundary conditions are implemented in the model, na-
mely Dirichlet and Neumann. The Dirichlet boundary conditions are used in the three steps
of the algorithm (advection, diffusion, and surface-continuity and pressure). The Neumann
boundary conditions appear naturally in the finite element formulation of the diffusion
equation.
Turbulence Model. Isotropic and anisotropic eddy viscosity approaches can be used. To
account for the effect of stratification and density induced currents due to salinity and
temperature differences the eddy viscosities and diffusivities are related to the Richardson
number.
Options. The model is implemented with user friendly subroutines, which allow for physical
assumptions, dependent of the problem in question, to be defined by the user. In other
words, subroutines for mixing lengths, damping functions, wind drag forces, settling velo-
cities can be written, or default values can be selected. Following the same lines, boundary
and initial conditions, usually read from formatted files, are defined in subroutines instead.
2.2. CCHE3D MODEL
This model has been developed at the CCHE since 1988. The first author of this pa-
per participated in the development, improvement and verification of the model. The mo-
del comprises two and three dimensional modules. Only the three dimensional module
150
(CCHE3D) is described here. The CCHE3D module for incompressible, free surface tur-
bulent flows was developed to simulate unsteady flows and sediment processes in channels,
rivers, reservoirs, and around hydraulic structures. The model assumes hydrostatic pressure
distribution and has a flow and a morphological simulation module. The flow module is ba-
sed on the solution of two nonlinear Navier-Stokes equations for the velocities along the
horizontal directions, the kinematic condition on the free surface equation for the surface
elevation and the continuity equation for the vertical velocity component. The morpholo-
gical simulation module or bed elevation form evolution is assumed to be governed by the
sediment continuity equation. Here the bed sediment transport is based entirely on empi-
rical functions selected for each specific case and the suspended load is obtained from the
solution of the convective-diffusion equation. The eddy diffusivity is related to the eddy
viscosity by a coefficient that accounts for their differences. Further details can be found in
[19].
Grid System. The model uses quadrilateral structured grids with constant number of no-
des along the vertical. In the longitudinal and transversal directions the grid is the same
throughout the flow depth and it is kept so during the simulations. Along the vertical direc-
tion the nodal distribution adapts to the changes in the free surface and/or bed elevations.
An exponential distribution is used so that more nodes are concentrated close to the bottom
where the velocity gradients are expected to be larger. A variable distribution can also be
adjusted to the needs of any geometry.
Shape Functions. The second order Lagrangian and hybrid interpolation functions are used
to model the geometry and to introduce the local upwinding respectively. The hybrid inter-
polation functions combine two families of functions, namely trigonometric and convective.
The trigonometric function has many of the features of the Lagrangian function with the
advantage of not limiting the number of derivatives to be considered, and no longer restric-
ting the diffusion to be uniform within the element. The convective function was designed
so that in regions with small velocities and in circulation regions where the direction in
which to apply the upwinding is undefined, the influence of the trigonometric functions
is emphasized. In advection dominated flows the influence of the convective interpolation
functions is stressed. In the early stages of the simulation when the flow conditions change
significantly, the hybrid interpolation functions are evaluated at every time step. Approa-
ching a quasi-steady state, the model bypasses these computations to save unnecessary
computing time. To reduce computational time and computer storage, the Lagrangian and
trigonometric interpolation functions are computed only once in the local coordinate sy-
stem. Coordinate transformation is carried out during the process of computing the hybrid
interpolation functions.
Solution Procedure. The numerical methodology adopted is named the "Efficient Element
Technique" and combines the advantages of both finite elements and finite differences me-
thods. The partial differential equations are solved by a node collocation scheme in conjunc-
tion with a twenty-seven nodes working element centered at the node in question. For every
node in the domain a working element constructed by the nodes that surround the node
in question is established. This in turn is used to develop a set of finite element equations
for this node. By sweeping through all the nodes in the domain, a complete set of global
finite element equations is obtained. The approach does not require integrations (the only
151
required one is in the time domain) enhancing the computer efficiency. An explicit scheme
is used for the time integration. The fourth order Runge Kutta scheme is implemented.
Boundary Conditions. Surface elevations and unit discharges are imposed along the inflow
and outflow cross-sections respectively. Three types of solid boundary conditions can be
used, i.e. total-slip, non-slip and partial-slip.
Turbulence Model. The turbulent shear stresses are computed following Boussinesq's as-
sumption that the correlation of fluctuating velocities can be replaced by the product of
the mean velocity gradient and the eddy viscosity which can be considered isotropic or ani-
sotropic. An approach that has been used succesfully is based on Prandtl's mixing length
and the assumption of local equilibrium for the turbulent kinetic energy, i.e. production is
equal to dissipation. The mixing length follows a parabolic distribution along the vertical
based on measurements in straight rectangular channels. The eddy viscosity obtained is set
to the three directions. A description of nine different eddy viscosity models implemented
to the model to test their effect on the flow in the vicinity of spur dikes can be found in
[11].
2.3. FUTURE DEVELOPMENTS
Improvements in algorithm performance, model validation, grid adaptations, dynamic

pressure, coupling of ID, 2D and 3D elements towards a mixed dimensional model enabling
the simulation of an entire system simultaneously, are among the ones being carried out to
a number of free surface flow models. Another research area that has been receiving major
attention is the treatment of the turbulence.
Both models presented above use simple algebraic turbulence closures which do not go
beyond mixing length approaches. In spite of their simplicity they have proved to be quite
effective especially for field applications. On the other hand, in order to remove the empiri-
cism from the analysis more advanced models such as the k-f., large eddy simulation (LES)
and direct simulation are being thoroughly investigated. The k-f. has been used more often
(also for field problems) in spite of the fact that grid refinements are required in order to
improve the results significantly. Its application to simple problems such as back steps and
flows near dikes shows the difficulty in capturing the circulation region adequately well.
Besides, there are still open questions regarding the universality of the five constants used
in this model.
LES models solve the turbulence phenomena to the isotropic turbulence structures where
other (simpler) turbulence closures need to be used. Although they seem to have the poten-
tial of improving the understanding of the turbulence phenomena, the applications are still
restricted to academical problems with small Reynolds numbers for which the computing
times are still very high. A simulation of the flow on a flat plate takes about 50 hours of
CPU time on a CRAY-YMP supercomputer ([6]).
Direct simulation models solve the complete Navier-Stokes equations and are far from
being used in practical applications. The simulations until now have not gone beyond
Reynolds numbers of 104 . To give an idea of the CPU time required, a simulation for a
straight channel with a Reynolds number of 10 6 (with 50.000 nodes along each direction)
would require approximately 20.000 years at the present stages of the developments [13].
Therefore at present the algebraic models are still the most adequate for simulations in
152
aerospace industries, such simulations present a number of other uncertainties regarding

the bathymetry and boundary conditions and the grid sizes are usually large in order to
cover vast areas.
3. Pre- and Post-Processing and Future Trends
In all Computational Fluid Dynamics (CFD) applications to engineering problems pre-

and post-processors are needed. These are tools used in the preparation, analysis and vi-
sualization of data, making them accessible to evaluation and calculation, and comprise
methods for grid generation, mathematical and physical algorithms to generate boundary
and initial conditions as well as visualization of measurements and results. The rapid in-
crease in size and complexity of the problems has been demanding more efficient, faster,
and user friendly pre- and post-processors. A discussion of their demand over the time, the
developments, most important requirements, main displays, and future trends follows.
Figure I shows a plot by Val Watson (NASA Ames Research Center) of the percentage of
the time required for analysis, ten years ago, at the present time, and ten years from now.
Ten years ago, due to the small and simple domains simulated, the simplicity of the problems
with limited number of variables, the simple displays, and the lack of efficient computers,
the computational time represented a much higher percentage than the time required for the
analysis. With the advancements in computer performance that has been observed during
the last few years, the simulation of complicated problems with several thousands of nodes
became more common. As a result, there has been an important increase in the percentage
of time required for the analysis. It seems that in a few years the computational time will
only represent a small percentage of the total time needed in running a CFD application.
10 Years ago
mmlrraCUOllRequl1'ed. f.or AnalyolS,mlm
FrIlCUoq Required for SlmulaUOD

rracUOll Required for SlmulaUOll
Figure 1: Fraction of Computing Time Required for Analysis

(Val Watson, NASA Ames Research Center)
The grid generation, mathematical and physical algorithms to generate boundary and
initial conditions, as well as visualization of measurements and results, require not only the
display of a number of vector and scalar quantities, but also algorithms for interpolation and
treatment of data. Furthermore, due to the complicated grid systems with large numbers
of nodes at variable intervals, the analysis has been demanding always more from these
tools. High performance grid generators and visualization tools are needed to display the
huge amount of data. A new scientific discipline in charge of the problems of visualization
has emerged in the recent years to allow not only ID, 2D and 3D graphical displays but
also zooming, rotation, display of several quantities simultaneously, cuts at different cross
153
also zooming, rotation, display of several quantities simultaneously, cuts at different cross
sections, use of tracers, and animation of the unsteady state problems. These displays
and the various features should be obtained interactively to facilitate the analysis. They
should also be integrated in graphical user interfaces (GUI) and based upon open system
solutions like X-windows and OSF-Motif to provide interprocess communication even in
heterogeneous networks allowing the change of parameters, conditions and grid adaptations
with the simulations in progress.
At the moment in most research institutes and corporations the pre- and post-processors
are either developed in-house, commercial or public domain products. Discussions on the
advantages and disadvantages of their use have been going on for a very long time. Com-
mercial packages are usually flexible, very effective computationally and quite advanced
especially for visualization. Public domain products are also comparable and can be acces-
sed via international networks. However, the direct integration among the pre-processor,
flow solver and post-processor can not be easily obtained. For example, a required change
in the grid as a result of the simulation can not be interactively carried out with such
products. This requires the incorporation of CAD tools. On the other hand, the in-house
developments are closely related to the CFD application and need to be continuously im-
proved, adjusted and extended to fulfill the needs of new applications. These developments
are quite expensive, time demanding and require a trained team.
Since it is no longer cost effective to develop new processors for every flow solver it is
necessary to develop processors which fulfill all these requirements as effectively as possible
and that could be used in conjunction with different CFD models. The time needed for
the analysis could be reduced by fascilitating the interaction between the different pha-
ses of the study, i.e. problem definition, grid generation, establishment of boundary and
initial conditions, simulation, and visualization of the results. This can only be achieved
by interdiciplinary working teams. Effective exchange of information must be provided by
using modern communication and information technology. Graphical environments with
open architectures integrating databases, pre- and post-processors with CAD and visua-
lization capabilities and CFD models will lead to "Advanced Modeling Systems" (AMS).
Such systems will reduce the time needed to develop CFD models and to analyse CFD
applications and will allow more effective playing with "what if" scenarios.
A research project under way at the IFM is to incorporate the following ideas towards an
AMS: 1) Standardized data structures and communication capabilities for easy exchange
and addition of new methods such as filters, mappers, mesh generators and simulation me-
thods; 2) Aggregation methods to link physical data attributes with geometry and to allow
for obtaining secondary data sets; 3) Network capabilities by using open system solutions in
order to take advantage of client-server concepts for data passing to CFD applications and
among pre- and post-processors methods. This would enable the run of a CFD model on a
supercomputer or workstation and the visualization of its results on high performance gra-
phical workstations simultaneously; and 4) Easy to learn and use graphical environments.
4. Verification and Validation of Computer Models
With the rapid advances in computer performance and in algorithm development during
the last decade, simulations of complicated problems with several thousands of nodes are
154
lopment of reliable, user friendly procedures for validating CFD codes. The development of
CFD codes is very complicated, and requires knowledge in a number of different fields. A
large portion of the time is spent on locating programing errors and ascertaining the cor-
rectness of the program. Although there are still different interpretations about verification
and validation processes, it all leads to the same goal, i.e. the determination of the domain
of application of the model, the establishment of the reliability of the model results over
the domain and the improvement of the model. A Task Committee was established by the
ASCE Hydraulics Division to address this issue. The interpretations of Bub and Lugner
(Verein Deutscher Ingenieure) and Dee and Marel (Delft Hydraulics) follow.
According to Bub and Lugner [1] the verification process consists of several steps, each
one related to a physical, mathematical or numerical assumption considered in the model.
Each verification step is a comparison between the model results and the data connected
to the model assumption, which can be an analytical solution or experimental data sets.
Therefore the verification tests the correctness of the model with respect to the basic as-
sumption. The validation process on the other hand, consists of the application of the model
to real problems within the domain of application of the model. This can be a data set from
an estuary or other systems. The validation process tests the physical, mathematical or nu-
merical fundamental assumptions. According to them, the fundamental difference between
verification and validation is the fact that the data set used for the verification depends on
the used assumption while for the validation, it is completely independent from the basic
assumptions. This data set represents an application example.
Dee and Marel [3] define the validation as the process of testing and documenting the
quality of a computer model in relation to its intended applications and the system it
represents, whereas verification tests the truth of a well-defined statement, condition, or
fact. The validation process consists of a series of verifications of model properties and
criteria, covering as much as possible the domain of application of the model, the various
modes of utilization of the model, and the different kinds of results that the model can
produce. The validation should be viewed as a process that accompanies the development,
implementation, and operational use of the model and it can be divided into three classes
of activities, i.e.: 1) the basis validation, which tests and documents the quality of the
modeling transformations that are realized during the modeling process, such as software
validation, algorithm validation and conceptual validation; 2) functional validation, which
tests and documents the functionality of the model, i.e. its ability to represent the physical
phenomena, events, or realistic situations, and the reliability of various kinds of information
that are generated from these model representations; and 3) data validation, which tests
and documents the quality of the model input data and their effect on the reliabilty of the
model results. Besides, it tests and documents the quality of measurement data that are
used either as input data or for comparison with model output. Each of the three classes
of activities include a number of items to be analysed, tested and verified.
In selecting an exact solution, care should be taken regarding to the dimensions of the
model and the problem, i.e. a 1D problem can not be used to test adequately a 3D model.
The use of exact solutions to simple, typically lower dimensional problems is not sufficient.
Analytical solutions such as the propagation and reflection of a square tank, refraction and
diffraction of a Tsunami by a circular island in conjunction with a parabolic bottom, the
Ekman test which consists of the computation of the velocity profiles due to wind and the
Coriolis force in an ocean with a flat bottom, as well as the computation of a tide entering a
quarter circle are usually employed. Some of these exact solutions were used in the process
155
of verifying and validating the TELEMAC system ([5]; [9] and [10]).
Another analytical approach capable of conducting verifications of the correctness and
accuracy of the methodologies of numerical solutions and computational algorithms of nu-
merical models is the Prescribed Solution Forcing (PSF). Analytical test functions for the
model dependent variables are selected, substituted into the model equations, and the result
(which should be zero if the test functions happened to be the exact solution) is used to
define the forcing functions. Adding the forcing functions to the original model, the test
functions will be exact to the inhomogenous model equations. Further details of this ap-
proach can be found in [2] and in [3]. The use of the PSF in conjunction with the CCHE3D
model can be found in [4].
The use of experimental data is sometimes difficult since the data is often less accurate
than the numerical solutions. The coverage both in space and in time domains is usually
incomplete and it is difficult to determine the experimental boundaries and initial conditi-
ons for all dependent variables required in the simulations. Important for the problem to
be well suited is that the boundary conditions should be easily implemented. The geometry
should be as simple as possible facilitating easy grid generation and interpretation of the
results. The interpretation is also facilitated if the grid nodes coincide with the measure-
ment positions so that interpolation can be avoided ([8]).
5. Computer Performance
Computational Fluid Dynamics (CFD) problems are among the most demanding in terms
of computational resources needed. The complicated nature of the free surface flows with
their moving boundaries leads to the need of finer grids and the three dimensional system
of equations needs to be solved at least in parts of the domain in order to capture the
physical phenomena reasonably well. As the computing time is one of the main factors that
inhibited faster developments and wider use of numerical models to real world problems, it
is important to keep track of the developments in this field. In this section an overview of
the present status of the developments is given. The trends in the computer architectures,
limitations in the applications both in space and time domains based on the performance
of the two 3D models presented here and the research under way at the IFM on Multiple
Instruction Multiple Data (MIMD) computers are also shown.
Although from 1950 to 1985 there has been a ten-fold increase in computing speed every
five years due to the combination of technological improvement with the introduction of
greater parallelism at all levels of the computer architecture ([15]), there has been a rapid
increase in the size and complexity of the numerical simulations. A review of the simulations
carried out at the IFM shows that finite element grid sizes in the early eighties, late eighties,
and early nineties had about 100 to 300, 1000 to 3000 and 10000 to 30000 nodes respectively.
This suggests that the complexity of the problems handled and the computer performance
have increased at the same rate. In other words, no matter how efficient the computers are,
they will always fall short of the requirements.
At present, there is a tendency to go towards middle size systems due to their affordable
prices, acceptable performance, manageable turn-around times, and graphical capabilities,
as well as to systems with parallel architectures which appear to offer the possibility of
achieving the throughput needed in CFD. This trend is also in part due to the high cost of
156
the vector supercomputers CPU time, especially outside the universities, the need to transfer
large amounts of data to be analysed in terminals with graphical capabilities, the lack of
adequate interactivity in main frame systems and also due to administrative regulations
on the user in terms of access time and storage allocation. Furthermore, it seems that the
supercomputers are reaching their limits in terms of the speed of a single-processor ([7]).
Processor design appears to be within a single order of magnitude of their speed limits due
to physical limitations such as the speed of light and gate switching.
To give an idea of the present requirements of 3D finite element models in terms of
computational capacity required, as well as to estimate the limitations both in time and
space domains,benchmarks of the TELEMAC 3D and the CCHE3D models on a variety
of systems are presented in Table 1. The benchmarks indicate that the TELEMAC 3D
system has a slightly better performance on large systems. Although no efforts were made
to vectorize the CCHE3D model, it uses an explicit time marching scheme which restricts
the time step to the Courant, Friedrichs and Lewy (CFL) condition. The TELEMAC 3D
model on the other hand, is implemented with a semi-implicit scheme which allows time
steps as high as ten times the CFL condition. It is also important to keep in mind that
the turn-around times on vector supercomputers can be higher than ten times the actual
CPU time, i.e. the total time of the simulation could be quite comparable to the ones on
middle size systems. Table 1 in conjunction with the maximum time step allowed provides
a rough indication of the sizes of the domains and the real time of the simulations that can
be simulated with these models.
TABLE 1 - Benchmarks on Different Computers
CPU TIME IN SECONDS PER THOUSAND NODES AND PER TIME STEP
Computer systems CCHE3D TELEMAC 3D

NEXT 68040 (12MB) 5.49 s -
SGI IRIS- 4D/440 (256 MB) 2.98 s -
HP 730 (64 MB) 1.50 s -

CRAY-XMP (16 MW) 0.22 s -
CRAY-YMP (128 MW) 0.21 s 0.11-0.17 s
FUJITSU S400/40 (1 GB) - 0.10-0.15 s
It is also necessary to take full advantage of vector architecture. Some ideas of vectorizing
finite element models can be borrowed from the TELEMAC 3D model, i.e, 1) the symbolic
calculation in which a symbolic computer software is used for direct writing in FORTRAN
parts of the code having complex calculations to avoid risk of human errors; 2) the elimi-
nation of the assembly of matrices which together with their storage and handling increase
computational time in finite element models that employ unstructured grid systems - as a
result the data structure is similar to other regular meshes; and 3) the special numbering of
elements which allows for all the loops, including the boundary conditions, to be vectorized
as opposed to finite element models in which the processing of the boundaries implies the
study of different cases.
157
An alternative to the vector computers are the parallel ones. Intensive research is being
conducted on these types of systems. An overview of a research project under way at the
IFM in the development of a massive parallel scheme for MIMD computers is described
hereafter. The project consists of the development of a model to simulate flow and trans-
port processes in porous media using a Ncube-2 computer available at the IFM. Since 3D
simulations of practical problems using standard finite element approaches are highly com-
puter intensive there was a need to look for alternative approaches. A binary tree is used
as the communication structure between the processors. The finite element grid system is
split into subgrids, which are then distributed among the processors (Figure 2).
0.1 .. 7 processor nodal number

a.A .. H attached subdomains
=
- - - communication distance 1
communication distance 2
(Hypercube)
Figure 2: Grid Splitting and Communication Between the Processors

158
The grid splitting is carried out using a modified Cuthill-McKee algorithm, and the com-
munication between the processors is minimized by a special ordering of the processors
in the tree and the relation of the finite element areas. Once the sub grids are associated
with the processors, only the exchange of vectors (and not matrices) is necessary to solve
the system of equations. All element data are held in local memory in the processors. The
conjugate gradient method is used to solve symmetric systems of equations, whereas other
methods, like the CGSTAB ([16]), that directly reduce the residuals are employed to solve
asymmetric systems of equations. The most complicated operation of all these methods is
actually a matrice vector multiplication. This can be achieved in parallel followed by the
addition of the contributions of the element matrices. The major difficulties are still related
to the preconditioner. In order to achieve complete parallelism the Hughes EBE precondi-
tioner method is being used with reordering of elements. As a result two sets of subgrids
are obtained, in which the sub domains are decoupled.
6. Applications of Finite Element Models
Two applications of three dimensional finite element models are presented. The condi-
tions were selected to show the present status of developments of such models and their
ability and effectiveness in simulating complicated real world problems. One application
refers to the simulation of a German estuary. The domain simulated, about 55 km long and
0.4 to 2.0 km wide, was discretized with triangular elements. The results obtained, covering
a five day period for which continuous measurements were available, are presented. The
other one is an application of a finite element model in the design of complicated hydrau-
lic structures. The domain simulated covering 330 m by 180 m of the upstream reservoir
was discretized by a quadrilateral grid system. Results and their comparisons with physical
model and field measurements are shown hereafter.
6.1. SIMULATION OF A GERMAN ESTUARY (FIGURES 3 TO 5)
The Weser Estuary is a partially mixed mesotidal estuary located on the southern coast
of the North Sea with a tidal range between 2.5 m and 3.5 m. The estuary reach of appro-
ximately 70 to 80 km is bounded at the upstream end (km 5) by the Hemelingen weir and
its mouth is located near Bremerhaven (Figure 3). The estuary is 2 km and 0.4 km wide
respectively at Bremerhaven and at Bremen. The mean low water level is approximately
9 m, and the mean annual river flow rate at the weir is about 390 m 3 /s. Harbours at the
estuary are located at Bremen, Brake, Nordenham and Bremerhaven.
Measurements in estuaries are usually restricted to a few hydrodynamic parameters such
as the tidal levels at fixed gauges. Thus the set up of boundary conditions and data for
comparison with model results often depends on a collection of data sets from non-coherent
time periods.
159
..... -~...." ........ ----------~
North Sea
Mouth
..J
Q5
Q4 BnHnerhaven
\
NQrdenham
Q3
S"hweiburg
Brake
Secondary
Channel
Ql
Hunte
(to l{m
I
HemelifJgen Weir
Figure 3: Weser Estuary - Domain Simulated

160
In the fall of 1985, a two week measurement program named MASEX-85 (Mud and
Suspended Sediment Experiment) was undertaken along the estuary by the German Board
for Coastal Engineering Research with the objective of determining 3D distributions of
the turbidity zone as well as the parameters which are associated with the dynamics of
turbidity maximum over a tidal cycle ([14]). Velocity, salinity and turbidity measurements
at five cross sections (Q1 to Q5 - total of 24 verticals) and at 1 m, 3 m and 7 m above
the bottom were carried out. Within the region of turbidity maximum (km 42 to km 60)
measurements were also taken from a ship. Grain size distributions, settling velocities and
organic content were also determined.
Because of the availability of these large amounts of coherent data sets, the estuary was
chosen as a case study representing a real estuary system and also to study the complex
transport mechanisms leading to a turbidity maximum. The objective of this study, in the
long run, is to quantify both large and fine scale sediment transport processes. A thorough
investigation to study the flocculation and fluid-mud processes is underway at the IFM to
improve the simulations with cohesive sediments.
Numerical Simulations. The simulations of the Weser Estuary using the TELEMAC 3D
System are being conducted at the IFM ([10]). The grid system, covering the estuary from
its mouth (cross section Q4- km 59.5) to the vicinity of the Hemelingen weir (km 5), con-
sists of 2276 triangular elements (1485 grid points) with 50 m to 200 m sides along the
horizontal direction, and of 12 equally spaced grid points along the vertical. The secondary
channels were eliminated as they run dry at low tides (Figure 3). The simulations were
carried out over a 5 day period for which continuous measurements were available. Water
levels measured every 5 minutes at Station Q4 and flow discharges at the Hemelingen weir
ranging from 175 to 195 m 3 /s were imposed respectively at the downstream and upstream
ends of the system. Wind velocities acting on the free surface were also taken into account
by appropriate boundary conditions. The bed roughnesses were determined from velocity
measurements assuming a logarithmic velocity profile. Chezy's friction factor values ran-
ging from 25 to 30 m~ /s were used throughout the domain. The eddy viscosities along the
horizontal were equal to 1.0 m2 /s and along the vertical they were related to the mixing
length. The simulations started from zero velocities everywhere in the domain. The initial
conditions for salinity were determined by a pre-calculation over 15 averaged tides.
Results. Measured and computed velocities at 1 m and 3 m above the bottom at verticals
located at cross sections Q3 and Q2 are compared in Figure 4. It can be seen that the
agreement is quite good at cross section Q3. The discrepancies at cross section Q2 are
probably associated with the simplification in the discretization of the domain, in which
the secondary channels were eliminated.
Figure 5 compares computed and measured salinities at the same locations. The agree-
ment is quite satisfactory. Due to problems with the measurement devices at the cross
section Q2 (3 m above the bottom) it was not possible to make comparisons at this posi-
tion.
161
3m ~bove boHom
Q3
3m above boHom
'0;' 0
!j
.........
E
~
>.
-'
0
0
0;
> 0
Q2
'0;' 1m above boHom
.........
8
'-'
~
0
0
0;
>
o 12 o 12 o 12 o 12 0 12 0
Oct..7 OcL8 Oct.9 Oct.l0 Oct.ll
Figure 1: Logitudinal Velocities at Various Cross SecLions -

Numerical Results Against Field Measurements
162
3m abo\'c bottom
Q3
:l
~
~
..,>..
:
Ci
III
N
3m "bo\'c botton}
Q2
~]
,..."
!i
..,>.. 1m "bove bottom
'j=l
~
III
N
o 12 o 12 o 12 o 12 0 12 0
Oct..? Oct,8 Oct.9 Oct.!O Oct.!!
Figure 5: Salinities at Various Cross Sections -

163
6.2. A LOCK AND DAM SYSTEM IN THE USA (FIGURES 6 TO 13)
The Red River is a heavily sediment laden stream with one of the highest sediment
concentrations of all major navigable rivers within the United States. Five locks and dams
provide a navigation route from the Mississippi River to Shreveport in Louisiana. Lock and
Dam No.2 consists of a single lock operated by miter gates on both ends, a 106 m long dam
with 18.3 m wide spillway gates, and a 76.2 m long overflow weir with crest at elevation
20.1 m on one side. The river channel approaching the system is about 180 m wide and has
a design invert elevation of lOA m. The upstream lock approach channel is separated from
the spillway channel by a 213 m long guard wall, with 13 port holes (12 full port holes,
604 m by 4.0 m openings and a half full port hole, 3.2 m by 4.0 m opening) designed to allow
for flow and sediment to move from the navigation side to the main channel (Figures 6 and
7). The normal reservoir elevation is held at 19.5 m for flow discharges up to approximately
2700 m 3 /s. Discharges up to 2900 m3 /s are conveyed by the gated spillway only. Higher
discharges are conveyed by both the gated spillway and the overflow weir.
AXIS OF DAM/
s.cALE
150 o 150M
PROTOTYPE _ _ _
Figure 6: Lock and Dam No.2 System

164
Figure 7: Simulated Domain, Grid System and Bed Roughnesses
Since its completion in 1987, the system experienced deposition of fine sediments in
the lock approaches and navigational problems in the vicinity of the guard wall. During
high flows, sediment accumulates upstream of the miter gates and within the lock chamber
making impossible lock operations and movement of barge traffic through the structure.
Besides, when approaching from the upstream end the barges are driven against the guard-
wall, due to the lateral flow from the navigation side to the spillway side through the port
holes, making their maneuver extremely difficult.
The objective of this study was to simulate the system with a 3D model in order to
capture the most important flow characteristics and the resulting sediment processes. Ex-
tensive 2D model simulations carried out before were unable to adequately simulate the flow
165
through the port holes. As a consequence the direct effect of the guard wall on the flow and
thus on the sediment processes could not be accounted for since a large percentage of the
total sediment load is transported in suspension. Furthermore, the navigational problems
in the field associated with the flow through the port holes from the navigational to the
spillway side could not be appropriately investigated with 2D models.
Numerical Simulations. Three dimensional model simulations with the CCRE3D model
were conducted at the CCRE ([18) and [17)). A finite element mesh with quadrilateral
elements was used to describe 330 m by 180 m of the upstream reservoir. The resulting grid
has 36.432 nodes with distances varying from 1.2 to 6.4 m in the horizontal plane and 0.09 m
to 3.4 m along the vertical (Figure 7). Six nodes were used along the vertical throughout
the domain. To simulate the port holes properly, the fourth node from the bottom along
the vertical was made coincident with the top of the port holes at elevation 14.3 m.
The simulations were carried out for a flow discharge of 2400 m 3 /s in conjunction with a
pool elevation of 19.5 m. The flow depths in the system were about 9.1 m. This condition
was selected because both navigational and sedimentation problems were found to occur
in the prototype; velocity and depth integrated sediment transport measurements at the
inflow boundary needed to define the boundary conditions were available; and physical and
numerical model results as well as prototype measurements within the domain of investi-
gation were known. Surface elevations were imposed on the downstream end of the system
(gated spillway) and unit discharges, defined from velocity measurements, were imposed
on inflow cross sections. The bed roughnesses, due to concrete, sand, and rip rap, were ac-
counted for using appropriate Manning's coefficients which were converted into equivalent
roughness sizes (Figure 7). The darker colors at the bottom of the system indicate regions
with higher bed roughnesses. Eddy viscosities ranging from 0.5 to 5.5 m 2 /s were adopted.
The simulations started from 2D depth integrated model results for the same conditions
[12). Time steps equal to 0.2 seconds were used.
Two sediment transport simulations were carried out for ten hours using two particle
sizes with d 50 's of 0.07 and 0.27 mm. The simulations started from the nearly steady state
hydrodynamical flow conditions. A decoupled approach was used, i.e. whenever the bed
evolution anywhere in the domain exceeded 1% of the flow depth, the hydrodynamics and
distribution of concentrations were improved to adjust the condition to the new bathyme-
try. Enlarged time steps equal to 20 seconds were employed throughout the simulations.
Results. Nearly steady state 3D flow conditions were obtained after 400 seconds of simu-
lation. Figure 8 shows a perspective view of the 3D flow field upstream of the system.
Figure 9 shows the highly 3D flow field in the vicinity of the port holes. The results showed
that the main flow characteristics observed in the field and in the physical model studies
have been captured. A much higher percentage of the total flow is conveyed by the main
channel; the flow decelerates and changes direction in the lower layers just downstream of
the submerged dike, it crosses the guard wall through the port holes from the navigation
side to the spillway side in the lower layers, but flows parallel to the guard wall in the upper
ones.
166
Figure 8: Velocity Field - General View
Figure 9: Velocity Field Around the Downstream Most Port Holes

167
Figure 10 shows a comparison of the longitudinal velocities across the system between
computed and physical model measurements. Although the agreement is only reasonable,
no calibration was done. A more appropriate treatment of the conditions at the guard wall
and sides of the domain (nonslip boundary conditions were used) should improve the results.
2.5 ;
......:.......
.........1
STATION 4+25
.1~3-+0-0---.2.,.-OO---....,10-0------t0---l.,.00---2,...00--.......,30'0---4.,.00---50,..0-----4
600
Dislance from Guard Wall (11)
30 Model .t z ~ 0.05 h
30 Model at Z ~ 0.50 h
30 Model .1 Z = 1.00 h
Physical Model Measurements
Figure 10: Longitudinal Velocities at Station 4+25 -

Numerical Against Physical Model Results
Figure 11 shows plots of the surface elevation on both sides and the head difference accross
the guard wall. The water surface elevation on both sides obtained from the numerical model
simulation show similar trends to those from the prototype measurements, i.e. higher and
fairly constant values on the navigation side and lower and decreasing values towards the
downstream end on the spillway side. Although the reservoir elevations in the simulation
and during the measurements were not the same, the head differences show smaller values in
the field for Q=2400 m3 /s and reasonable agreement for Q=4000 m 3 /s. Field observations
showed that the conditions near the port holes were strongly influenced by the the spillway
operation. For Q=2400 m 3 /s the measurements were carried out with the left hand side
gate having a smaller opening as compared to the remaining ones. Besides, to maintain
the reservoir elevation approximately constant with the fast fall of the Red River discharge
adjustments in the gate openings were necessary during the measurements.
168
0.6 c:----..,..----------------------,
0.4
S
g
~
.
lE
0
~ 0.2
:c
o~--------------------------~--~~~~~--~~~~~
PorI 12.5 Flow PorI 1
- Prototype _ Q = 2400 m 3 t. (.... ymmdric .pillw&), opera.tion)

-0. Prototype. Q =: 4000 m 3 , .
- 3D modd. Q IS 2400 m 3 ,.
Figure 11: Head Difference Across the Guard Wall-

Figure 12 compares computed and measured suspended sediment concentration profiles

at eight locations. The results showed fairly uniform concentration profiles typical to flows
with high velocities carrying small particle sizes. The agreement is better in the spillway
side and away from the guard wall. The discrepancies are probably associated with the lack
of a better treatment of the side wall boundary conditions at the wall and the lack of better
inflow boundary conditions in the sediment transport runs. The splitting of the sieve curve
into different ranges of particle sizes could also improve the agreement.
A comparison of the bed elevation changes with time at the upstream end lock approach
obtained using the two particle sizes is shown in Figure 13. As observed in the field the
model predicts sediment deposition in this region. After 10 hours of real time simulation
sediment deposits of about 0.1 m and 0.01 m resulted for particle sizes of 0.07 mm and
0.27 mm respectively. Since the velocities in the navigation channel are quite small, there is
a tendency for the larger sediment particles to be deposited further upstream before getting
to the lock approach.
169
Node 1850 Node 1862 Node 1871 Node 1885
'"
01
'"
C
'"~
u
a.
10-3 10-6 10~
Node 3085 Node 3097 Node 3106 Node 3121
Figure 12: Suspended Sediment Concentration Profiles -

Figure 13: Bed Evolution Upstream of the Miter Gates

170
ACKNOWLEDGEMENTS. The authors would like to thank Mr. R. Ratke, Mr. H. Kasper,
Mr. F. Behrendt and Mr. R. Hinkelmann of the IFM as well as Dr. M. Brinckmann for
their discussions, suggestions and contributions.
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[17] WANG, S.S.Y. AND MAYERLE, R. "Finite Element Modelling of 3D Flows and Sedi-
ment Transport in Rivers, Phase II". Submitted to the Hydraulics Laboratory, U.S.
Army Engineers Waterways Experiment Station, Vicksburg, Technical Report CCHE-
TR-92-1, Center for Compu-tational Hydroscience and Engineering, University, MS
38677, USA, 1992.
[18] WANG, S.S.Y. AND MAYERLE, R. "Three Dimensional River Morphological Com-
putational Advancements". In 5th International Symposium on River Sedimentation,
pages 389-395, Karlsruhe, Germany, April 1992.
[19] WANG, S.S.Y., Hu, K.K. AND MAYERLE, R. "3D Free Surface Flow Modeling by
Efficient Finite Element Method". In ASCE, editor, Hydraulic Engineering, pages
1021-1029, August 1992.
7
UPWINDING AND CHARACTERISTICS IN FD AND FE METHODS
ANDREAS MALCHEREK and WERNER ZIELKE

Universitiit Hannover
Appelstr 9A
30167 Hannover
ABSTRACT. One of the major difficulties in numerical methods for solving the Navier-
Stokes equations as well as the transport equation is related to the advection terms. Because
of this fact, finite difference or element methods are unstable under certain conditions or
- if stable upwind techniques are applied - highly diffusive. Methods using characteristic
curves are in this case and with respect to the computational costs much more advantageous,
especially when applied to the operator splitted equations. This paper presents the classical
upwinding techniques in finite differences and finite elements. The method of characteristics
is discussed and its application in the case of operator splitting is shown.
1. Introduction
The advection terms in the Navier-Stokes as well as in transport equations are the origin of
several numerical problems which are discussed in this paper. The main strategy to solve
these problems is called upwinding which means to take the information for the numerical
solution of the advection terms from the upstream or in a meteorological sense from the
upwind direction.
In chapter 2 upwinding strategies in finite differences are introduced. Here the classical
upwinding schemes are backward differences. It will be shown that higher order schemes
are also some kind of upwinding schemes.
In the third chapter which describes this method in finite elements, upwinding by modified
weighted residuals and Taylor-Galerkin methods are presented. These schemes are discussed
by analyzing their analogous finite difference schemes.
Two examples will be discussed in detail: The first one is a steady state equilibrium
between advection and diffusion in a bounded region. At the upstream boundary a layer will
be formed if the advection is much higher compared with the diffusion. The characteristic
value to describe the relation of advection and diffusion terms is the grid Reynolds or Peclet
number Pe = ~, where k is the diffusion coefficient, v is the advection velocity and ~x
the mesh size. The higher the Peclet number the more the flow is dominated by advection.
173
174
Mathematically speaking the Peclet number controls the relative importance of first-order
and second-order terms in the differential equation. It will be shown, that the numerical
schemes become unstable under certain conditions if no upwinding is applied.
The second test case is the 1D advection-diffusion equation for the propagation of a sharp
front. Here also some sort of instabilities in the form of oscillations occur, when the front
reaches the upstream boundary and non-upwinding schemes are applied. Otherwise it will
be seen that upwinding schemes are adding an artificial numerical diffusion, which damps
the sharpness of the front drastically.
Upwinding is directly connected to the theory of hyperbolic and parabolic differential
equations, which is built up in terms of the so-called characteristics. These characteristics
describe the propagation of flow information in space and time. Taking the 1D and 2D
shallow water equations as examples, numerical methods based on characteristics will be
discussed. These methods are somewhat clumsy in handling the diffusion terms so that they
are outdated by finite element methods. In the last few years in the framework of operator
splitting, methods using characteristics have found a new field of powerful application,
because they have an excellent stability behavior at a very low computation cost level.
2. Upwinding in Finite Differences
The finite difference method (FDM) is, from the mathematical point of view, a natural way
to treat differential equations using finite approximations. It is straightforward to say that
a derivative can be approximated as a fraction of finite differences and to apply to a given
differential equation a difference scheme of highest order available at lowest computation
costs, as for example the central difference scheme for the advection term:
du _ Uj+1 - Uj-l
Vd - v
x
A
2ux
+ O( uX 2)
A
(1)
Although this method of treatment of even such simple second order equations as the
stationary advection-diffusion equation has led to instabilities appearing in a form of cha-
racteristic wiggles, first order upwinding schemes given as
vdu- = v Uj - Uj-l
dx ~x
+ O(~)
x for v~O (2)
du _ Uj+1 - Uj O(~) for v<O
v dx - v ~x + x (3)
has proven to be stable. On the other hand the disadvantage of upwinding schemes is
caused by numerical diffusion which poses a serious problem, when sharp fronts have to be
calculated.
A stability analysis shows that the occurence of unstable wiggles is connected with the
problem of well (or not well) posed boundary conditions.
A discussion of higher order upwinding schemes which are used to avoid numerical dif-
fusion as well as the oscillations will be presented. Taking the advection-diffusion equation
as an example, it will be shown that the maximum order of accuracy is limited if only
three-point stencils in space are taken. This will be the starting point for finite element
schemes.
175
2.1. CLASSICAL UPWINDING SCHEMES

For a first study of upwinding schemes it is sufficient to consider only the diffusion and
advection terms in their linearised form as described by the differential equation:
d2u du
Lu=-kdx2+vdx=0 (4)
This example is often found in the literature (see for example [10], [20],[21],[24]), because
it illustrates some of the difficulties related to the usage of upwinding in numerical fluid
dynamics.
Taking the boundary conditions
u(O) =0 u(l) =1 (5)
the analytical solution is given as:
1- eX"
U(x) = --ll (6)
1- ek
Using central finite differences to calculate a numerical approximation, the following

scheme results:
_ k Uj-l - 2uj + Uj+1 Uj+1 - Uj-l - 0 (7)
~x2 + v 2~x -
with ~x = l/N,j = 1, ... ,N and
Uo =0 UN= 1 (8)
For small k-values and fixed ~x, the solution oscillates at the boundary x = 1 (fig. 1).
One possibility to avoid these wiggles is to refine the mesh (fig.2). Gresho and Lee wrote
about these wiggles: "The solution (Le. the "physics") is becoming difficult in the region
of the outflow because an important boundary layer is developing there whose thickness
is small relative to the grid spacing you are using." [10]. So a possibility to supress the
wiggles is to look at a numerical solution -and this can be the crux- decide whether they
are physical or not, and if not - refine the mesh. But in practice this is often difficult, when
the viscosity /diffusivity k is described by a turbulence model, which depends on the state
of flow.
Pe = 6.67
~ Fig. 1: Results using central diffe-
i~ rences for v = 1, N = 15, k = O.Ol.
~d
(The dashed line represent the ex-
~ act solution). As the Peclet-number
~~~~-r~~~~~~~~~ is greater than two, wiggles occur.
0.000 0.250
l76
Pe = Fig. 2: Results using central diffe-

rences for v = 1, N =
15, k =0.1.
(The dashed line represents the ex-
act solution). In this case the Peclet-
~ number is lower than two and no wig-
g~,-,-,-'-'-~~.-~~~-r-r-r-rl gles occur.
d
0.000 0.250 0.500 0.750 1.000
X-AxIl
Roache [201 has shown that these oscillations generally disappear when the following
condition for the Peclet-number is valid:
Pe = v~x :5 2 (9)
The occurence of these oscillations can be explained through the following: when the diffu-
sion term vanishes, both Dirichlet conditions tend to be improperly posed.
Applying upwinding the following finite difference scheme results:
k Uj-l - 2uj + UjH Uj - Uj_l - 0 (10)
- ~x2 + V ~x -
Although the oscillations disappear regardless of the Peclet number, the higher the Peclet
number the more damped the sharp boundary layer at x = 1 (fig. 3 and 4) is. In this way
the numerical oscillations are eliminated at the cost of high numerical damping.
Fig. 3: Results using upwind diffe-

~
d
Pe = 6.67 rences for v = 1, N = 15, k = 0.01.
(The dashed line represents the ex-
act solution). Although the Peclet-
number is greater than two, no wig-
gles occur, but a high numerical dam-
ping relative to the exact solution can
~4-T-~~~~'-~~~~~~~~ be seen.
0.000 0.250 0.500 0.750 1.000
X-Axl.
To find out the reason for this behavior, the upwinding scheme is generalized by intro-
ducing the upwind parameter a as below:
k Uj-1 - 2uj + UjH [Uj - Uj-l ( )UjH - Ujl_ 0
- ~x2 +v a ~x + 1- a ~x - (11)
By considering a-values of 1,0 and 1/2 the upstream, downstream, and the central difference
cases are obtained respectively.
Rewriting eqn. (11) as
- 1
k(l + P ea--
( Uj-l - 2uj + UjH +v UjH - Uj-l
=0 (12)
2 ~x2 2~x
177
~
...Sd Pe = Fig. 4: Results using upwind diffe-
i
rences for v = 1, N = 15, k = 0.1.
t d (The dashed line represents the exact
S
solution) The Peclet-number is lower
N
d than two. A numerical damping can
be seen.
d
0.000 0.250 0.500 0.750 1.000
X-Axil
it can be seen that the upwinding can be regarded as an inclusion of artificial diffusion
kPe( Q - t)
in order to improve the scheme, when the physical diffusion becomes small.
The substitution of the analytical solution (6) for Uj-1 = u( x j-1), Uj = u( x j) and Uj+1 =
u(xj+t} into (12) leads to an Q* given as:
Q
= -1
2
+ -21 coth (VLlX)
--
2k
- -k-
vLlx (13)
which produces the exact values at the nodes (see figs. 5 and 6).
Summarizing:
Applying central differences to a mainly advective problem with two Dirichlet boun-
dary conditions may lead to unstable oscillations.
One way of avoiding the oscillations (wiggles) is to refine the mesh at the cost of
higher computation time.
If one-sided upwinding schemes are used, these oscillations disappear independently
of mesh size and other parameters. However the solution contains high numerical
damping.
Introducing weighted upwinding and downwinding schemes, there is an optimal weigh-
ting parameter, for which the numerical solution is exact.

~
d
Pe = 6.67
Fig. 5: Results using the optimal pa-
rameter Q. for v = 1, N = 15,
k = 0.01. Numerical and exact solu-
tions are identical.
8+-~~~~~~~~~~~
d
0.000 0.250 0.500 0.750 1.000
X-Axil
178
Pe =
Fig. 6: Results using the optimal pa-
rameter a* for v = 1, N = 15,
k = 0.1. Numerical and exact solu-
tion are identical.
~~~~~~~~rT'-~~
0.000 0.250 0.500 0.750 1.000
X-Axl.
2.2. STABILITY ANALYSIS

In this section the reason for the wiggles occuring in tlie central difference scheme for Pe > 2
is analysed. The reader who is not interested in mathematical details may skip this section
if -and only if- he believes that the wiggles will not occur when the Peclet number is lower
than two.
The essence of stability is the property that the solution remains bounded 'in a certain
sense'. This leads to several definitions of stability which have to be adapted to the problem
to be solved. In our case the instabilities result from the degeneration of the second order
equation to a first order equation where the two boundary conditions ate no longer well
posed. So the term 'wiggles' refering to instabilities should be connected to a definition of
stability in the sense of well-posed boundary conditions.
Following a matrix method for analyzing the stability [23] the central difference scheme
in eqn. (7) can be written as:
b C Ul 0
a
= (14)
c 0
k v
a b UN-l ~ - 2t.:t"
with
k v
(15)
(16)
(17)
The problem is divided into three cases as following:
Case 1: b > 2X:t"

The tridiagonal matrix is diagonal dominant, i.e.
Ibl > lal + Icl (18)

179
The solution is not negative because the right hand side of the equation has no
negative values.
It can also be shown that the solution of the FDE maintains the monotonicity of the
analytical solution, Le.:
Uo $ Ul < ... < UN-l $ UN (19)
Proof: For the first equation we get U2 = -~Ul = lliUl > Ul because of the diagonal
dominance. For the other equations we get inductively:
- cUi = -rcrUi-1 + rcrUi _ rcrUi > Ui .
Ui+1= -cUi-1
11 b hl ill >ill
Summarizing, the solution of the FDE is greater than zero and monotone, which
means that no wiggles occur.
Case 2: b = 2X",
The system of equations has the form
b o o
-b
= (20)
o
-b b UN-l o
which has only the trivial solution
Ul = ... = UN-l = 0 (21)
meaning that the front has reached the point XN-l of the mesh, independently ofthat
given by the analytical solution.
Case 3: b < 2X",

The solution of the FDE changes its sign from node to node.
Proof: For the first two nodes the first equation gives U2 = -~Ul. Because b > 0 and
c > 0, U2 and Ul have inverse signs. So for a node i + 1 we can assume that the nodes
i and i - I have inverse signs and we get: Ui+1 = -~Ui-l - ~Ui = -ctlui-ll- lliu;.
Since the absolute value of the solution is increasing monotonously, which can be
shown in the same way as in the first case, it is obvious that wiggles occur.
The results for the three cases can be summarized in the following
Theorem: In the FD Problem (7) and (8) oscillations occur if and only if the matrix in
(14) is not diagonal dominant, i.e. when Pe > 2.
180
2.3. HYBRID SCHEMES

The table below shows a comparison between upwinding and central differences with ad-
vantages (+) and disadvantages (-):
Upwinding Differences Central Differences
( +) Solutions with physical sense (-) non-physical oscillations( wiggles)

for high Peclet numbers
( +) numerically stable (-) unstable for Pe > 2
(-) First order approximation, ( +) Second order approximation,

leading to numerical diffusion leading to less numerical diffusion
The simplest way to combine the advantages of central differences and upwinding dif-
ferences is a hybrid scheme in which at every time step for every mesh point the Peclet
number is calculated, and accordingly the appropriate scheme is chosen as follows:
Pe > 2 the upstream scheme is taken

-2 $ Pe $ 2 the central scheme is taken
Pe < -2 the downstream scheme is taken.
Most of the FD free surface codes developed especially for civil engineering problems use this
hybrid scheme, and discretize the Navier-Stokes equations with an explicit or semi-implicit
formulation. The Crank-Nicolson scheme is also often used, where for the advective terms
the semi-implicit linearization is maintained.
The second order of the central difference scheme is for example often not sufficient to
reproduce sharp fronts or strong inlets in 2D or 3D models. Third order schemes, which are
also numerically stable independent of the Peclet number, are derived in the next section.
2.4. HIGHER ORDER UPWINDING SCHEMES

If the differential operators are replaced by finite differences including higher order terms
from the Taylor expansion, it is possible to reduce the higher order terms by replacing them
by the original differential equation [8]. The resulting lower order terms are replaced again
by finite differences. The result of this procedure can be a scheme with a truncation error
of higher order than the original scheme.
Applying this method to eqn. (4), a second order difference scheme with its truncation
error can be derived from the Taylor expansion:
Lu(x;) =
(22)
181
Taking the third and fourth order derivative of u from equation (4) we get
(23)
and
d4 u(x;) v 2 d2u(x;)
(24)
dT=k2~
Introducing these expressions in (22) leads to:
L ( .) = -k Uj-l - 2uj + Uj+l Uj+l - Uj-l _ ..!.. v 2~ 2d2u(x;) O(~ 3)

U X. ~x2 +V 2~x 12 k x dx2 + x (25)
and the following finite difference scheme results:
_ k [1 + ..!..12 k2v ~ x
2 2] Uj-l - 2Uj + Uj+l
~x2 +v
Uj+l -
2~x
Uj-l =0 (26)
which is of third order and numerically stable independent of the Peclet-number. Again
artificial diffusion was added to compensate for the lack of diffusion and to obtain numerical
stability.
Starting again with the Taylor expansion and replacing the higher order derivatives suc-
cessively by lower orders it is possible to derive for any desired order of accuracy n an
artificial diffusion coefficient k' = k(l +en) which converges against the scheme with exact
values at the nodes, i.e.
(27)
The upwinding here can also be regarded in the original sense as taking more information
from the upstream direction. This can be seen by shifting the collocation point for the central
differences in the upwind direction by the amount ,-, i.e. f;
Pe~x
x; --. x; -1"2k (28)
Then the central differences
du(x;) du(x; - ff'-) du(x;) Pe ~x du 2(x;)

d,;- -+ dx ~ d,;- - 1"2 k----;P;-
Uj+l - Uj-l Pe ~x Uj-l - 2uj + Uj+l (29)
~ 26x - 12 k Ax2
and the scheme in eqn. (26) can be interpreted as an upwinding approximation. It should
be remarked that for the collocation point x; - ~x/2 the upstream difference scheme is
obtained.
182
2.5. THE UNSTEADY ADVECTION-DIFFUSION EQUATION

Concerning the advection terms the numerical treatment of the Navier-Stokes equations
which are written as
au p
t
-a
+(uV')u=-V'-+k~u+f
p
(30)
can be divided up into three classes: The first class uses explicit formulations i.e. the values
for the advection terms are taken from the known time step tn, when the values at t n+1 have
to be calculated. Taking central differences for the first order derivatives in the advection
term, these schemes become unstable, when the diffusion k vanishes. Using upwinding
differences these schemes are stable, if the Courant number CT = t:
is less than one. In
section 4.6 we will discuss the reason for this behavior.
The second class uses an implicit formulation i.e. the values for the advection term are
calculated at the unknown time step tn+1. These schemes have to linearize the advection
terms if linear equation solvers should be applied, otherwise nonlinear iteration algorithms
have to be applied.
The third class is the semi-implicit formulation which can be written as:
au~l ~
- - + (un V')un +1 = -V'- + k~un+1 + r (31)
at pn
This is a kind of advection-diffusion equation when the pressure term - V'~ is calculated
using the hydrostatic pressure assumption and other body forces f are neglected. Therefore
the study of upwinding schemes for the ID advection-diffusion equation
au + v au = k a2u (32)
at ax ax 2
is important since it is the transport equation for heat, salinity and other tracers as well as
the Navier-Stokes equation in its semi-implicit form.
As a test case a sharp front advecting from x = 0 in the positive x-direction is taken with
the boundary and initial conditions:
au
u(O, t) =1 ax (1, t) =0 u(x,O) =0 (33)
As a matter of fact, it is an extremely difficult test case, because for high Peclet-numbers
i.e. for k ~ 0 only the advection of a discontinuous step remains.
The analytical solution is given in [18] as:
u(x, t) = 21 erfc [x-vt] 1 (VX) [x+vt]

2.../fi + 2 exp k erfc 2.../fi (34)
In order to be stable independent of the Courant number u~t/ ~x an implicit scheme

and - as the first test case - central differences are taken leading to the representation:
u~+1 - 2u~+1 + u~+1 u~+1 _ u~+1
_ k~t )-1 ) )+1 + v~t )+1 )-1 + Un,. +1 = ui (35)
~x2 2~x
The following studies are performed for a Courant-number CT = 0.8 to show the effects
of numerical diffusion in the different schemes also. The results for central differences at
Pe = 125 are shown in fig. 7.
183
In order to avoid the wiggles when the front reaches the upstream boundary in fig. 8 the
following upwinding scheme is used:
(36)
Fig. 7: Results using central diffe-

rences for v = 0.1, Cr = 0.8, and
Pe = 125 at t = 2.5,5.0,7.5,10.0
(The dashed lines represent the ex-
act solutions). When the front rea-
ches the upstream boundary, wiggles
occur.
Fig. 8: Results using upstream diffe-

rences for v = 0.1, Cr = 0.8, and
Pe = 125 at t = 2.5,5.0,7.5,10.0
(The dashed lines represent the ex-
act solutions). The wiggles disappear
but the numerical diffusion is higher
than in the central differences case.
It can be seen, that the wiggles disappear when the front reaches the upstream boundary
at the cost of much higher numerical diffusion. Unfortunately in both cases the results are
not satisfactory.
According to the above discussion the question arises whether it is possible to derive a
finite difference scheme which exhibits both, higher accuracy and stability.
Let us generalize the problem, taking a linear differential operator in space L and consider
the following equation:
au
-=Lu (37)
at
Usually the time derivative in free-surface codes is replaced by a one step scheme in order
to minimize computer storage facilities. Introducing the collocation parameter 8 we get:
(38)
184
which for 9-values of 0, 1 and 1/2 gives respectively an explicit Euler, an implicit and a
Crank-Nicolson scheme.
The local discretization error is obtained by substracting the differential equation from
the time discretization scheme. Replacing u(t n + 9Llt) = u8 we obtain
u n+1 un 8u 8
e(9) = Ll~ - 9Lu n+1 - (1- 9)Lu n - at + Lu8 (39)
By replacing u n +1 and u 8 through their Taylor expansions
(40)
(41)
the local discretization error becomes
e
(9) = ~ k! ~ [(_1k +__
6
Lltk
8tk 1
9k) 8u n
8t +
(9k _ 9)L
u
n] (42)
k=l
Looking at the leading terms of the sum which determine the order of accuracy we get for
the explicit Euler scheme:
(43)
and for the implicit scheme:

(44)
while for the Crank-Nicolson scheme the first order term vanishes so that the scheme appears
to be of second order with the following leading term of the local discretization error:
e(1/2)
(45)
whereby in the last equation the time derivative was replaced by the differential operator
L using the original equation (32).
If the original differential equation is replaced by
-8u
8t
1 28 2 n
+ -Llt
12
_L u = Lu
8t
(46)
(Le. the leading local discretization error term is added with its inverse sign) and the
Crank-Nicolson scheme is applied the resulting scheme is of third order accuracy in time.
In order to see the effect of the defect term, the second order Crank-Nicolson scheme is
applied to (32) resulting in the O( Llx 2 , Llt 2 )-scheme:
185
u,!+1 - u~
3 3
At
(47)
The results presented in fig. 9 show that the sharp front is better represented as with the
first order schemes. However, high oscillations occur, so that upstream differences should
be used again.
Fig. 9: Results using the Crank-

Nicolson scheme for v :::: 0.1, CT ::::
0.8, and Pe :::: 125 at t ::::
2.5,5.0,7.5,10.0 (The dashed lines
represent the exact solutions). The
front is much sharper but high oscil-
8+-~~~~~.-~-.~~~~ lations occur.
o
0.000 0.250 0.500 0.750 1.000
X-Axis
Applying now the defect approximation (46) to the differential operator
L::::k--v-
a
2 a (48)
ax 2 ax
the following differential equation with defect terms up to third order is obtained:
au 1 2 a [ 2 a 4u a 3u 2 a 2 u] 02U OU
ot + 12At ot k ox4 - 2kv ox3 +v ax 2 :::: k ax 2 - v ox (49)
It can be seen that a three point stencil in space is not able to reach third order accuracy
in time, because it cannot represent the third and fourth order derivatives. Restricting our-
selves to three point formulas the space derivatives of third and fourth order are neglected:
(50)
Applying the Crank-Nicolson approach with upstream differences the following scheme
is obtained:
U~+l - u~
J J ::::
At
(51)
186
1 (U~+1
--v J
- u~+1
J-l + u~J - u~J-l )
2 ~x ~x
The results for this scheme are shown in fig. 10. It can be seen, that the wiggles disappear
again at the cost of higher numerical diffusion. The front is a little bit sharper than in the
pure upwind case.

Nicolson scheme with defect approxi-
mation for v = 0.1, CT = 0.8, and
Pe = 125 at t = 2.5,5.0,7.5,10.0
~ (The dashed lines represent the exact
solutions ).
~~~~~~~~~~~~
d
0.000 o.~ 1.000
In the next chapter we will see that the poor results obtained for the sharpness of the
front are improved by finite elements, because there the storage term, i.e. the time derivative
is handled in a different way.
3. Upwinding in Finite Elements
Finite element methods (FEM) have been successfully applied to elliptic problems and are
more advantagous when compared with finite differences for complex geometries of the
solution region.
However the application of the fundamental Galerkin principle to initial value problems,
such as parabolic and hyperbolic equations causes difficulties when it is used for the time
derivative because the fact that everything propagates only forward in time is neglected
[22]. The time derivatives are therefore treated by finite differences. This seems to be quite
advantagous because the 'geometry' of time is not very complex.
The method of finite elements also produces instabilities in the form of wiggles when
the problem is not well posed. Therefore in the first section we will introduce the basic
upwinding techniques which use modified weighted residuals. They will be applied again
to our stationary test case, in order to provide an analogous example as in the previous
chapter.
We will continue with the transport equation and show that especially the discretisation
of the time derivative and the treatment of its truncation errors has a significant influence
on the quality of the results. With respect to this, it seems that it is the simple difference
approximation of the time derivative which is the source of several problems.
3.1. UPWINDING BY MODIFIED WEIGHTED RESIDUALS

Let us consider again the problem
d2u du
Lu = - k -2 + v- = 0 (52)
dx dx
187
U(O) =0 and u(l) =1 (53)

Replacing the exact solution by a trial function given as
N
U(X) = LCti</>i(X) (54)
i=1
whereby the shape functions </>i are chosen as the linear roof functions
</>i(X) = 0 for x ~ Xi-l and x;:: xi+!

>i(X) = ~
:t'i-X'i-l
for Xi-l ~ x ~ Xi (55)
</>i(X) =
Xil-X
Xi+l- X i
for Xi ~ x ~ Xi+!
Because they are Lagrangian shape functions, all the coefficients Cti turn out to be Ui.
In the Petrov-Galerldn method or the method of modified weighted resuduals (MWR)
the coefficients Ui are determined in such a way that the weighted residuals vanish:
L ui(L</>ilwj) =0 (56)
whereby (.1.) denotes the L2-scalar product.

If the weighting functions Wj are equal to the shape functions, the resulting method is
called the Bubnov-Galerkin method or in short Galerkin method. Applying the Bubnov-
Galerkin process to this problem, the results for a uniform mesh size D.x are the same
as for the central scheme (7) in FDM. In order to avoid the now well known problems
with this scheme, the idea of upwinding is realized in finite elements by taking weighting
functions which are swelled out into the upstream direction, so that more information is
taken from the upstream direction to solve the problem. One well adapted choice is the
following weighting function given by Christie et al. [4] (fig. 11):
Wj(X) = </>j(x) + 3Ctj ( x - Xi-l )2

Xj - Xj-l
(1- x - Xj-l)
Xj - Xj-l
for Xi-l ~ X ~ Xi (57)
Wj (x) = >j ( x ) - 3Cti (

Xj+! - x
Xi+! - Xi
)2
(
1-
Xj+! - x)
Xi+! - Xj
for (58)
Partial integration of (56) gives:
'", 11 [
L." Ui
. 0
d</> _
k-'
dxdx
dw'
J + v-'
d>.]
dx
Wi dx - 11
0
wjdx =0 j = 1, ... ,N-1 (59)
In the sum above only the integrals for the indices i = j -l,j,j +1 do not vanish. Taking
again a uniform mesh size D.x the following scheme results:
_ k(l ~p )Ui-1 - 2uj + ui+! Uj+! - Uj-l =0

+2 e D.x2 +v 2D.x (60)
188
o
o
o
.~ 0
g Fig. 11: Upwinding weighting func-
.).. ci
tion (The dashed line shows the linear
o roof function).
g ~~~~-r'-~~~-r'-T-~~
ci
0.000 0.250 0.500 0.750 1.000
X-Axis
which for Q = 0 is identical to the central differences and for a = 1 to the upwind
differences. Therefore the following stability condition is obtained:
vilx <2 (61)

k(1 + jPe) -
which is
2
a>
1-- (62)
Pe
and by introducing the solution into the scheme again it produces the exact solution at the
nodes for
h Pe 2
a =cot - - - (63)
2 Pe
Upwinding By MWR For 2D Quadrangular Elements: The generalization for 2D qua-
drangular elements was shown by Heinrich et al. [12]. Gi"en the quadrangular reference
element for (,7J E [-1,1], the shape functions can be constructed by multiplying the 1D
shape functions:
(64)
The weighting functions can also be constructed in this way:
(65)
In this case two upwinding parameters can be optimized.
The upwinding by modified residuals is a common method to avoid the wiggles, whereby
for the size of the weighting functions a lot of different formulations are used, which are
more or less well adapted to a certain class of problems.
The Streamline Upwind/Petrov-Galerkin Formulation: Brooks and Hughes [3] tried to
avoid the high numerical diffusion perpendicular to the flow direction in these multidimen-
sional schemes. The idea is to take the artificial diffusion only in the flow direction.
The streamline upwind/PetrovGalerkin (SU /PG) uses weighting functions which em-
phasize the upstream more than the downstream direction, whereby the size function is
corrected by a lower order term. These weighting functions are applied to all terms of the
differential equation, so that a consistent Petrov-Galerkin formulation is obtained.
189
To be specific, let (i)i=l ...N be a set of multidimensional shape functions and v the
advection velocity vector. The weighting functions are defined here as
(66)
where a is the parameter which controls the amount of artificial diffusion. For the ID linear
roof functions (55) the SU /PG weighting functions are illustrated in fig. 12.
FLOW
Fig. 12: The SU /PG weighting func-

tions for linear shape functions
For the stationary advection-diffusion equation with uniform mesh size it can be shown
that the resulting scheme is identical with the FD scheme (12) so that again an optimal
parameter a" can be found which makes the scheme exact at the nodes.
As an advantage the SU /PG formulation includes an algorithm, by which a weighting
function can easily be constructed from any kind of shape function and it can also be
applied to derive multidimensional formulations which are free from additional diffusion
perpendicular to the flow direction.
3.2. THE ADVECTION-DIFFUSION EQUATION

As it was mentioned in section 2.5., the results for the 1D ad,ection-diffusion problem (32)
and (33) are much better if the Galerkin process is applied. Let us concentrate on the
Crank-Nicolson scheme which is of second order in time (32) and written as:
uj+l - uJ ! (Bun+! Bun) _ ! . (B 2u +1 B2un)

n
/).t +2V Bx + Bx - 2k OX' + ox 2 (67)
Applying the linear Lagrangian roof shape functions (55) the solution u at the time step
nand n + 1 can be written as:
(68)
Introducing (68) into (67) and applying the Bubnov-Galerkin process the following
scheme can be derived when a uniform mesh size is used again:
..L [ ,,'!+1+4,,'!+1+,,'!+1
LIt
1-1 1
6
ltl _
n +4"jn+"jtl
";_1
6 '
n] +!v [n+1 n+1
"itl -"j-I
2L1z
+ "jtl-";-I
n
2Ziz
n]
(69)
190
The advection term appears here in the form of central differences and the diffusion term
can be identified as the second order differences. However the time derivative has changed
its outfit significantly: the classical difference formulation has changed into a weighted
difference scheme. Looking at the results in fig. 13, it can be seen that the front is very
sharp but, nevertheless, high wiggles occur.

Nicolson FE-scheme for v = 0.1,
Cr = 0.8, Pe = 125 at t =
2.5,5,7.5,10. (The dashed line re-
~ presents the analytical solution)
!~~~~~~~~~~~
D.DCO D.7!1O 1.000
Modified Weighted Residuals: In order to get the upwinding effect into the weighting
functions a lot of forms can be found in literature. For the linear shape functions (55)
Ramakrishnan [18] suggested the form
for Xj-l::; x ::; xj(70)
for Xj::; x ::; Xj+l
and therefore for the uniform mesh size the Crank-Nicolson scheme
(71)
is obtained where again the diffusivity k is increased by the factor (1 + a~e). In fact the
wiggles disappear for a sufficient large value of a depending on the Peclet-number. However
the numerical diffusion also increases, which is now well known and therefore will not be
discussed in detail.
Taylor-Galerkin Methods: The calculation of defect terms through the Taylor expansion
and including them into the original differential equation as described in section 2.5 was
named Taylor-Galerkin method by Donea [7]. In this case the Galerkin procedure is applied
to this defect-corrected equation. We have seen that the advection-diffusion equation is of
third order in time when Crank-Nicholson is applied and the defect-correct~d equation
191
(72)
is to be solved. Applying linear shape functions, only the second order defect term in
space can be resolved. Neglecting the third and fourth order terms in space, the Galerkin
procedure leads to the scheme:
In the results shown in fig. 14 it can be seen that this scheme also is not wiggle-free, but
the oscillations are damped and shifted to higher frequencies which are due to the third
order terms which have been neglected in (49). Otherwise it can be seen that at the front
the solution is nearly identical with the analytical solution;

Nicolson FE-scheme with defect ap-
proximation for v = 0.1, Cr = 0.8,
= =
Pe 125 at t 2.5,5,7.5,10. (The
~ dashed line represents the analytical
!~~~~~~~~~~~ solution)
0.000 o.~ 0.$00 0.7.50 1.000
X-Ad.

Nicolson FE-scheme with defect ap-
proximation for v = 0.1, Cr = 0.8,
Pe = 12.5 at t = 2.5,5,7.5,10. (The
dashed line represents the analytical
~;-~~-.~~ro~~~~~~~ solution)
0.000 0.2.50 O.5IlO 0.750 1.000
x-.....
For lower Peclet-numbers the wiggles disappear and the solution is nearly free of nume-
rical diffusion (fig. 15).
192
The main advantage of the Taylor-Galerkin method comes from the fact, that it can
be applied to two or three dimensional problems as well as to different types of elements,
because the derivation of the defect-corrected differential equation in section 2.5 is done
independently from the numerical treatment of the space terms.
4. The Method of Characteristics
In the last two chapters we have treated the Navier-Stokes equations as a parabolic problem
by using a semi-implicit formulation for the advective terms. This method mathematically
accentuates the influence of the diffusion terms. In this chapter we want to treat the Navier-
Stokes equations as a set of hyperbolic equations. This assumption is correct when the
viscosity/diffusion becomes small when compared with to the other terms. The numerical
schemes are derived from the theory of characteristics which is - from the point of view of
mathematical physics - the heartbeat of a hyperbolic system. The gift for this 'hearing on
the heartbeat' consists in the fact, that those schemes are stable regardless of the Courant-
number.
4.1. THE 1D SHALLOW-WATER EQUATIONS

The method of characteristics for the ID free-surface equations is well known [1]. We want
to present a repetition here, to show the principal ideas used for the solution of the 3D free
surface Navier-Stokes equations.
The ID equations for the conservation of mass and momentum for an inviscous purely
advective flow are given as:
(74)
(75)
The variable transformation using the wave celerity C = ..;gTi in both equations leads to
(76)
(77)
Alternately adding and subtracting both equations yields
a a
at(u+2c)+(u+c)ax(u+2c) = 0 (78)
a a
at(u-2c)+(u-c)ax(u-2c) = 0 (79)
If the so-called characteristic curves C1 = {(x(t),t)} of (80) and C 2 = {(x(t),t)} are

introduced as the solutions of the equations
193
dx
=u+c= u+ ..f9h (80)
dt
dx
=u-c= u -..f9h (81)
dt
(78) and (79) can be written on these curves in the form of the total differentials:
d(u + 2c) _
dt - ?t(u + 2c) + Ix(u + 2c)~~ = 0 on (82)
d(u- 2c) _
dt - ?t(u - 2c) + Ix(u - 2c)~~ = 0 on (83)
In this case the numerical algorithm for the solution of the 1D advection problem is very
simple and can be described as follows:
Given are the values of the water height h and the velocity u at the time t = t n on a
space discretization Xo < ... < x N, indicated as h? and u? respectively. From the time step
t n +1 = t n + !::l.t at each point xi+! the characteristic curves are calculated back to their
base points X~l and x~2 at the time level t n by using a n-th order Runge-Kutta method.
Using a backward Euler scheme one obtains:
(84)
xF = xi+! - (u? - ...;gh?)!::l.t (85)
Later on the values u +2y'g7iI(xt1) := Cl and u - 2J97iI(xt2) := C2 at the time level tn
are
calculated by a m-th order interpolation scheme. Because the values Cl and C2 are constant
on the characteristic curves, the values of ui+1 and hi+1 are given as
Cl + C2
u':'+1
= 2
(86)
h':'+1
= ~ Cl -2ui+1r (87)
The accuracy order of the method of characteristics is given in time by the order of the
Runge-Kutta method and in space by the order ofthe interpolation scheme. It is also stable
independent of the time step.
4.2. THE CHARACTERISTICS FOR THE 2D SHALLOW WATER EQUATIONS

In this section we want to generalize the method of characteristics for the 2D shallow
water equations, i.e. we take into account the hydrostatic pressure assumption and the
Stokes approximation for the viscous forces. Accordingly the 2D shallow water equations
(conservation of mass and momentum) are given as:
(88)
194
8u 8u 8u
-+u-+v- (89)
8t 8x 8y
8v 8v 8v
-+u-+v- (90)
8t 8x 8y
The theory of characteristics with more than two independent variables does not lead
to an equivalent system of ordinary differential equations, so that the derivation of the
characteristic equations as well as their numerical treatment is not as simple as in the 1D
case.
If the advection terms are large when compared with the viscosity terms, the problem
can be treated as a hyperbolic one. To analyze the hyperbolic behavior of the shallow water
equations, the viscosity terms are treated as inhomogeneous terms by setting
Fx(x, y, t) (91)
F!/(x, y, t) := (92)
such that the momentum equations can be written as:
8u 8u 8u
-+u-+v- = (93)
8t 8x 8y
8v 8v 8v
-+u-+v- = (94)
8t 8x 8y
In this way the second order problem is converted to a first order hyperbolic problem, at
the cost of a loss of short-wave information [14].
Let us consider a curve 4>(x,y,t) = o. On this curve the system of equations (88),(93)
and (94) is written as [5]:
84> 84> 84> 84> 84>

h> 8t + uh> 8x + hu> 8x + vh> 8y + hv> 8y = 0 (95)
84> 84> 84> 84>
u>8t +uu>8x +vu>8y +gh>8x = Fx (96)
84> 84> 84> 84>
v> 8t + uv> 8x + vv> 8y + gh> 8y = Fy (97)
Expressing this in a matrix notation one obtains:
( if + u
g~
+ v~ a ha~ a
if + u~ + v~ h~
0
) ( h> )
u> =
(0)
Fx (98)
a>
g a'll 0 f. + ua,p + va> v> F'II
at ax 8ii
On the curve 4> the derivatives h>, u> and v> are not uniquely determined, 1 if
IThis implies tha.t the region at one side of the curve 4> is not disturbed by the region on the other side.
A shock for example on one side leads to a discontinuity on the curve 4>, so that the values on the curve 4>
are not uniquely determined.
195
=0 (99)
that is equal to:
(84) +u 84> +v 8 4>)3_ gh 8 4>2(84) +u 84> +v 8 4>)_gh 8 4>2(84) +u 84> +V 8 4=0 (100)
8t 8x 8y 8x 8t 8x 8y 8y 8t 8x 8y
This equation is fulfilled if
84> 84> 84>
(- +u- +v-) = 0 (101)
8t 8x 8y
which is satisfied for any curve described through:
-dx
dt
=u -=v
dt
and
dy
(102)
This curve is equivalent to the flow streamlines. Equation (100) is also satisfied if
(84) +u 84> +v84>)2_gh(84)2 + 82)=0 (103)

8t 8x 8y 8x 8y
which is fulfilled for any curve defined by:
(dx _u)2+(d y -v)2=gh (104)

dt dt
For a given (x, y, t)-point these curves form a so-called the bicharacteristic conoid.
The physical interpretation of the bicharacteristic conoid can be described as follows.
Let us consider a starting point (xi, Yj, tn). The bicharacteristic conoid outgoing forward
in time from this point is a two dimensional manifold as shown in fig. 16.
Domajn of influence
of (%;, V;) al,o+1
Fig. 16: The characteristic conoid in

the case of a constant velocity it =
(U, v)t.
tn
Domain o( dependenee
of (%1,11;) al,"-I
x
196
Any point outside of the conoid cannot be reached by a disturbance originating from
(xi, yj, t n ). Therefore the outgoing convex hull of the conoid is called the domain of
influence. Reversing this argumentation, let us consider the domain which can influence
the point (xi, yj, t n +1) itself. This point can be reached by all of the signals from the convex
hull of the backward conoid (also shown in fig. 16.) and therefore this region is called the
domain of dependence.
4.3. INVERSE BICHARACTERISTIC METHODS

In this section numerical techniques based on bicharacteristics are discussed. As a starting
point we should consider how the solution develops on the streamline of the flow as well as
on the bicharacteristics. The resulting equations are called compatibility equations [14].
By rearanging the terms of the continuity equation (88)
-&
at
& &
+ u-
ax
~
+ vay- = -h( -ax ~
+ -)
ay
(105)
the compability equation on the streamline is given as:
(106)
The bicharacteristic cone is parametrized by introducing the angle , so that it is descri-
bed by
dx
dt
= u + VYhcos (107)
dy
= v + VYhsin (108)
dt
On a bicharacteristic curve defined by the angle we get the following expression for the
total derivative of h from the continuity equation:
dh ah r::L ah . ah
dt at +(u+yghcos)ax +(V+VYhSlll)ay
r::L ah r::L. ah au av
=yghcos- + yghSlll- - h- - h- (109)
ax ay ax ay
In the same manner we get for the momentum equations
du au r::L au r::L . au
dt = at + (u + y gh cos ) ax + (v + y ghSlll) ay
ah r::L au r::L. au
-g ax + yghcosax + ygh Sill ay + Fx (110)
and
dv av r::L av r::L . av
dt = at +(u+yghcos)ax +(V+Y9hSlll)ay
ah r::L av r::L. av
= -g ay + y ghcos ax + y gh Sill ay + F" (111)
197
By multiplying (109) by g, (110) by ViTi cos 4> and (111) by ViTi sin 4> and then adding
these three equations the following compability equation for a bicharacteristic curve is
derived:
g1/r + ViTi cos 4> 4ft + ViTi sin 4>* =

-gh (sin2 4>~ - sin 4> cos 4> (~ + ~) + cos 2 4>~) + ViTi (cos 4>F:r: + sin 4>FlI ) (112)
The inverse tetrahedral network [14] is built from three bicharacteristic curves given
for example by the arbitrary angles 4> = 0,211"/3,411"/3 going backward in time from the
point (xi+l, yj+l, t n +!) to solve the problem (fig. 17). The first step is to calculate the base
points from these three curves at the time level t n from the equations (107) and (108).
Then the values of u,v and h are interpolated at those three points. All terms in eqn. (112)
can now be calculated explicitly. Using a forward difference formulation for the total time
derivatives, the three variables ui+!, vi+! and hi+! are determined from the compability
equations on the three bicharacteristic curves.
Fig. 17: The inverse tetrahedral net-

work for a rectangular grid.
The inverse pentahedral network [17] also uses a fourth bicharacteristic curve and
the streamline, so that also the partial derivatives in (106) can also be calculated without
interpolation.
4.4. OPERATOR SPLITTING METHODS

Operator splitting methods are based on the idea, that the hyperbolic and the parabolic
part of the Navier-Stokes equations should be treated separately in order to use well adapted
numerical methods to each part respectively. So the hyperbolic part i.e. the advection terms
can be treated using characteristic methods and the parabolic part Le. the diffusion terms
can be treated using finite elements.
This introduction is following the principal outlines of the free surface code TELEMAC-
3D developed by the Electricite de France [6],[9],[13], [16].
In order to see the advantages of the operator splitting methods, the whole differential
equation system should be regarded which has to be solved in the free surface code which is
198
modelling the hydrodynamics as well as different transport equations (Le. for temperature,
salinity etc.):
au au au au
-+u-+v-+w- (113)
at ax ay az
av av av av
-+u-+v-+w- (114)
at ax ay az
au + av + ow = 0 (115)
ax ay az
p = Pog(S - z) + Pog i
%
s /).p
-dz
Po
(116)
aT a ( a ( a (
at + u aT aT aT aT) aT) aT)
ax + v ay + w az = ax kxT ax + ay kYT ay + az k%T az + QT (117)
where T can be the temperature or salinity or any other transport variable.
Given the solution at t = tn, we compute the solution at tn+l = t n + L1t. The numerical
method solves the equations by means of a decomposition in sequential steps (Le. we split
the operators). Each numerical operator can in this way be treated by an adequate method.
The solution is achieved in three steps: the advection step, the diffusion step and the
free surface-continuity-pressure step. The time derivatives are thus written as follows:
of r+l - fdi!! fdi!! - r dv r dv - r

at = /).t + /).t + /).t (118)
whereby f can be u, v or T and
fn+l solution at tn+l
fdi!! result of the diffusion step
r dv result of the advection step
fn solution at t n
The Advection Step: In the advection step the equation

of of of of
-at + uax- + vay- + w-
az
=0 (119)
is solved by using the method of characteristics, which will be described in the following
section.
The Diffusion Step: In the diffusion step the equation
(120)
199
is treated using FEM with linear shape functions on prismatic elements and using the
results from the advection step as the initial conditions. For the transport of a variable T
the calculation is now finished. For the hydrodynamics there follows the
The Free Surface-Continuity-Pressure Step: where the equations
(121)
(122)
(123)
(124)
have to be solved. The movement of the free surface is calculated using the FEM-code
TELEMAC-2D [9] which solves the depth-integrated equations. In this particular case the
full potential of this code is not required, since diffusive and advective terms are not found
in this form of the integrated equations. Since the horizontal velocities, the pressure and
the free surface are well known, the vertical velocities can be calculated by solving the
continuity equation.
4.5. THE METHOD OF CHARACTERISTICS FOR PURE ADVECTION

In the advection step an explicit formulation of the following equation has to be solved:
r dv - r a r Br ar
6..t + u ax + v By + w az = 0 (125)
The characteristic curves are given as
dx n dy n dz n
dt = -=v -=w (126)
U dt dt
and the compability equation is
df
-=0 on the characteristic curve (127)
dt
Again the problem is solved with an inverse formulation [2] i.e. the characteristic curves
start from the nodes (xi+! , yj+l, zk+! ,tn+!) at the time step to be calculated. Taking
for example a first order backward Eulerian scheme the base points (x~, yJ, z~, t n ) of the
characteristics are given as:
x~ u(xi, yj, zk', tn)6..t (128)

Xi -
yj = Yj - v(xi,yj,zk',t n )6..t (129)

zbk = Zk - w(xi, yj, zk', tn)6..t (130)
In most cases the base point of the characteristic curve will not intersect the mesh at
a node. So the value at the base of the characteristics has to be interpolated from the
200
surrounding nodes by using an interpolation scheme or by using a FEM approximation

[15].
If the characteristic curve intersects the boundary of the mesh, this point is taken as the
base point of the characteristcs.
The order of accuracy of this scheme is given as the minimum order of the numerical
integration scheme and the interpolation scheme used for the interpolation of the value at
the base point of the characteristics.
We summarize the main advantages of the method of characteristics as follows:
The characteristic curve is the same for the Navier-Stokes equations and for all the
transport equations. Therefore it has to be calculated only once independent of the
number of transport equations. This makes the code very efficient with respect to
computational costs .
The scheme is unconditionally stable although it uses an explicit formulation.
In fig. 18, the results for the advection-diffusion problem (32) and (33) using TELEMAC-
3D are shown. It can be seen, that the solution is wiggle-free, although the linear interpo-
lation of the values at the base of the characteristics induces some numerical diffusion.
Fig. 18: Results of the advection-

diffusion problem using TELEMAC-
3D for v = 0.1, CT = 0.8, Pe = 125
at t = 2.5,5,7.5,10. (The dashed line
represents the analytical solution)
8~------~~-----,~~----~~-----,
ci
0.000 0.2:.0 0.500 0.7:.0 1.000
X-Axj~
4.6. CHARACTERISTICS AND UPWINDING

Although the methods using characteristics in the 1D advection problem and in the ad-
vection step of the operator splitting method are explicit, they are unconditionally stable.
At first sight, it seems to be astonishing, because these schemes usually are restricted by
the Courant condition CT $ 1. Since this fact is directly related to the usage of upwinding
schemes in the explicit finite difference formulations, we shortly consider this case.
If the advection-diffusion equation is approximated by an explicit formulation using cen-
tral differences, a von Neumann stability analysis shows, that the scheme is stable if and
only if
v2~t 2k~t
--<1 and --<1 (131)
2k - ~x2 -
This means on the other hand that for vanishing diffusion the scheme is unconditionally
unstable. Another problem is the paradox [19] that the scheme becomes unstable, if the
201
mesh size is refined. Applying an explicit formulation using upwinding differences, a stability
analysis shows that the scheme is stable if
Ilt < Ilx 2 (132)

- 2k + vllx
i.e. it is also stable for vanishing diffusion. In the language of characteristics this means
that the scheme should only take those points which are in the neighborhood of the base
point of the characteristic curve. Using upwinding differences this is fulfilled, if Cr ::;; 1 in
the pure advection case: If Cr ::;; 1 the neighbor nodes of the base are xf_l and xf, while
in the case Cr > 1 the neighbor nodes are x;:'2 and Xf_1 (see fig 19).
Fig. 19: The characteristic curve for

a constant velocity in the case of 2 <
Cr < 1.
If the characteristic curve in the method of characteristics is calculated with sufficiently

high accuracy, the interplolation of the values through the neighbor nodes always guarantees
stability.
4.7. INTERPOLATION OF THE CHARACTERISTICS USING FEM

As we have seen, the crucial point in the advection step is the interpolation of the va-
lue at the base point of the characteristic curve. The linear interpolation as it is used in
TELEMAC-3D leads to numerical diffusion when the Courant-number is much lower than
one. Another way of getting the value at the base point is to take the Galerkin formulation
for the interpolation [15],[11], saying that
10 u +1(x)lj>j(x)dx = 10 ub(x)lj>j(x)dx
n j= 1, ... ,N (133)
where n is the region of simulation. Taking Lagrangian shape functions, un +1 (x) and ub( x)
are given as
N
un +1(x) = L Ui+1lj>i(X) (134)
;=1
N
ub(x) = L uilj>i(X~) (135)
i=1
whereby xf is previously calculated by using (128). Introducing in (133) the above expres-
sions the following equation is obtained:
202
E ui+1 1. >;(x)</>j(x)dx = E ui 1. >;(Xb)>i(X)dx

N N
(136)
;=1 n i=1 n
Because the integral on the right hand side is particularly difficult to calculate in 3D-
problems, the described linear interpolation (section 4.5) is much more efficient with respect
to computational costs. Applying this Galerkin procedure to our advection-diffusion pro-
blem, for Cr < 1 the following scheme is obtained:
(137)
The results are shown in fig. 20, whereby for the diffusion step a central difference scheme
was used. It can be seen that the solution is nearly exact, except for the small wiggles at
both sides of the front, due to uj_2' which is not a neighbor point of the characteristics.
\ \
, Fig. 20: Results using operator split-
I
! ting and a Galerkin formulation in
the advection step. The used values
are v = 0.1, Cr = 0.8, Pe = 125
at t = 2.5,5,7.5,10. (The dashed line
represents the analytical solution)
I I
0.250 o.,o~ 0.7'0 ,.O~
X-Axil
5. Conclusions
The difficulties in developing numerical methods for the Navier-Stokes equations are directly
connected with their partially hyperbolic and partially parabolic character. Therefore the
authors believe, that operator splitting is the most adequate starting point for their nu-
merical treatment. For the hyperbolic part, methods based on the theory of characteristics
are most properly adapted to its mathematical physics. Here a future trend can also be the
adaptive characteristic method which transforms the solution of the hyperbolic part into
a grid generation problem. The parabolic part can be solved using FEM, but also other
methods should be tested in this context.
ACKNOWLEDGEMENTS. The authors would like to thank J.Jankowski, H.Weilbeer

and especially D.Habbar for his excellent implementation of the schemes.
203
References
[1] Abbott M.B.: Computational Hydraulics: Elements of the Theory of Free Surface
Flows. Pitman Publishing Limited, London, 1979.
[2] Benque J.P., Ibler B., Keramsi A. and Labadie G.: A Finite Element Method for Navier-
Stokes Equations. In: Norrie D.H.: Proceedings of the Third International Conference
on Finite Elements in Flow Problems, held at Banff, Alberta, Canada, 1980.
[3] Brooks A.N. and Hughes T.J.R.: Streamline Upwind/Petrov-Galerkin Formulations for
Convection Dominated Flows with Particular Emphasis on the Incompressible Navier-
Stokes Equations. Compo Meth. Appl. Mech. Engng. 32, pp.199-259, 1982
[4] Christie 1., Griffiths D.F., Mitchell A.R. and Zienkiewicz O.C.: Finite element methods
for second order differential equations with significant first derivatives.
Int.J.num.Meth.Engng., 10, pp. 1389-1396, 1976.
[5] Courant R. and Hilbert D.: Methods of Mathematical Physics, Vol. 2. Interscience
Publishers, New York, N.Y., 1962.
[6] Daubert 0., Gest B., Lepeintre F.: Code 3D a. surface libre MITHRIDATE - Equations
de base - Note d'avancement EDF report HE-41/89.38, Chatou-Cedex, France, 1989
[7] Donea J.: A Taylor-Galerkin Method for Convective Transport Problems. Int. J. Num.
Methods Engng. 20 pp. 101-119,1984.
[8] Gartner S.: Zur diskreten Approximation kontinuumsmechanischer Bilanzgleichungen.
Report 24, Institut fiir Stromungsmechanik und Elektron. Rechnen im Bauwesen der
Universitat Hannover, Hannover, Germany, 1987
[9] Galland J.-C., Goutal N., Hervouet J.-M.: TELEMAC: A New Numerical Model for
Solving Shallow Water Equations. Adu. Water Resources, 14 Vol.3, pp.138-148, 1991.
[10] Gresho P.M. and Lee R.L.: Don't Supress the Wiggles - They're Telling you Something.
Computers and Fluids 9, pp. 223-253, 1981.
[11] Hasbani Y., Livne E., Bercovier M.: Finite Elements and Characteristics Applied to
Advection-Diffusion Equations. Computers and Fluids 11 No.2, pp 71-83, 1983.
[12] Heinrich J.C., Huyakorn P.S. and Zienkiewicz O.C.: An 'Upwind' Finite Element
Scheme for Two-Dimensional Convective Transport Equation. Int.J.num.Meth.Engng.
11, pp. 131-143, 1976.
[13] Hervouet, J .M.: TELEMAC, a fully vectorized finite element software for shallow water
equations. Proc second international conference on Computer Methods and Water
Resources. October 7-11, 1991, Rabat, Morocco, 1991
[14] Katopodes N. and Strelkoff T.: Two-Dimensional Shallow Water-Wave Models.
J. Engrg. Mech. Diu., ASCE, 105(2), pp. 317-334, 1979.
[15] Li Y.S. and Chen C. P.: An Efficient Split-Operator Scheme for 2-D Advection-
Diffusion Simulations Using Finite Elements and Characteristics. Appl. Math. Mo-
delling 13, pp.248-253, 1989.
204
[16] Malcherek A., Markofsky M., Zielke W., Le Normant C., Lepeintre F., and Teisson C.:
Three Dimensional Numerical Modelling of Cohesive Sediment Transport in Estuarine
Environments. Final Report to the EC Contract MAST-0034-C, Hannover, 1993.
[17] Matsoukis P.-F.C.: Tidal Models Using Method of Characteristics. J. Waterway, Port,
Coastal, and Ocean Eng.U8, No.3, pp.233-248, May/June 1992.
[18] Ramakrishnan C.V.: An Upwind Finite Element Scheme for the Unsteady Convective
Diffusive Transport Equation. Appl. Math. Modelling, 3 , pp. 280-284, 1979.
[19] Richtmyer R.D. and Morton K.W.: Difference Methods for Initial-Value Problems. In-
terscience Tracts in Pure and Applied Mathematics Number 4, Interscience Publishers
New York, London, Sydney, 1967.
[20] Roache P.J.: Computational Fluid Dynamics. Hermosa Publishers, Albuquerque, New
Mexico, 1972.
[21] Spalding D.B.: A Novel Finite Difference Formulation for Differential Expressions In-
volving Both First and Second Derivatives. Int.J.Num.Meth.Engng., 4, pp. 551-559,
1972.
[22] Strang G. and Fix G.J.: An Analysis of the Finite Element Method. Prentice-Hall
Series in Automatic Computation, Englewood Cliffs, New York 1973.
[23] Strikwerda J.C.: Finite Difference Schemes and Partial Differential Equations. Wads-
worth & Brooks/Cole Mathematics Series, Pacific Grove, California, 1989.
[24] Thomasset F.: Implementation of Finite Element Methods for Navier-Stokes Equati-
ons. Springer Series in Computational Physics, Springer-Verlag, New York, Heidelberg,
Berlin, 1981.
8
INTRODUCTION TO TURBULENCE MODELS!
John I. Finnie
University of Idaho
Moscow, ID, USA 83844-1022
ABSTRACT. This chapter introduces turbulence modeling. The theory of turbulence modelling
is developed from the simple mixing length, through the two-equation (k-epsilon), to differential
and algebraic stress models. Modifications, limitations, and simplifications of the various
turbulence models are presented. Popular methods of solving the equations are contrasted and
compared. Grid refinement, artificial diffusion, and other methods for promoting convergence
are discussed. Examples of turbulent flow calculations are presented.
1. Introduction
Turbulence models have been developed in the last 20 years that can solve 2 and 3 dimensional
flow problems. These applications have mainly been performed on small scale flow fields, like
boundary layers, jets, and wakes, or conduit flows. The water resource engineering profession
has made limited use of these models in free surface problems, yet they have the potential of
becoming important tools for the modern water resource engineer.
The most popular turbulence model has been the k-e model. The water resource
engineering applications of this model have included open channel flow around bends, under a
sheet of ice, through expansions, and within sedimentation basins. More recent applications
have included turbulent flow in a submerged hydraulic jump (Long et ai, 1991), flow under a
sluice gate (Finnie & Jeppson, 1991), and free surface flow in transitions (younus, 1993).
There are a total of 6 partial differential equations that together from the popular "k-e"
turbulence model. They are the Navier-Stokes equations, the continuity equation, and the 2
transport equations for turbulent kinetic energy (k) and turbulent kinetic energy dissipation rate
(e).
Two assumptions are basic to the k-e turbulence model. The first is that the additional
stresses that arise in the Navier-Stokes equations from turbulent flow (Reynolds stresses) can be
calculated from the mean flow stresses within the fluid, the turbulent viscosity (vT ), and the
I A portion of the material of this chapter is taken from Finnie, J.I., "Finite-Element
Methods" in Chaudhry, M.H., Open-Channel Flow, Prestice Hall, 1993, with permission.
205
206
turbulent kinetic energy (k). The second is that this turbulent viscosity is a function of turbulent
kinetic energy (k) and the dissipation rate of turbulent kinetic energy (f), i.e. I'T = C* k2 / e.
The objectives of this chapter are to review the theory and application of two equation
turbulence modeling, discuss limitations and modifications of the basic model, describe and
compare solution methods, and present both finite difference and finite element solutions of these
models using commercial and research computer programs. More sophisticated turbulence
models are also discussed, such as Reynolds stress models, algebraic stress models, and large
eddy simulation. The effects of buoyancy and heat transfer are not included in this discussion.
Recommended sources of general information about turbulence modeling are Launder
and Spalding (1972), Rodi (1980), Nallasamy (1985), Ferziger (1987), "Turbulence Modeling"
(1987), and Chen (1990). These also present information about the effects of buoyancy and heat
transfer.
2. Theory of Turbulence Modeling
The Navier-Stokes equations when combined with the equation of continuity provide a complete
description of fluid flow at any Reynolds number. The unsteady Navier-Stokes equations are
shown here using the Einstein summation wherein repeated subscripts in a term specify
summation over the subscripted variable, with i and j usually taking a value of 1 to 3.
aUi aU.
at + U --~
] aXj ( 1)
Components of velocities are the Ui variables and p* is the sum of both pressure (P), a surface
force, and -yh, the gravity body force. p is the density of the fluid or mass per unit volume, P
is the kinematic viscosity, in length squared per second, and -y is the specific weight of fluid or
weight per unit volume.
The equation of continuity for incompressible fluids is shown.
aU. = 0
--~ (2)
aXi
If computers were large and fast enough, these equations could be solved directly for
turbulent flow. Since they are usually not, simplifications must be introduced to model turbulent
flow.
An important step towards a turbulence model was taken by Osborn Reynolds (1894).
To simplify the turbulent case he divided velocity and pressure into their average and fluctuating
parts. The steady part was chosen to represent the flow quantities during a time period longer
than the smallest events while still allowing gross changes to occur to the flow. His equations
are
207
u ~
= u + u:
~ ~
(3)
p = p + p'
in which the overbar denotes time averaging and the prime indicates the fluctuating part.
Substituting these into the Navier-Stokes and continuity equations and time averaging the terms
results in the Reynolds equations of motion. The Reynolds equations of motion are
~
aU-i + -U - - -_ --1 -OF- + -a- (( ~
v - auj ) - .-.) (4)
-
at J aXj p aXi aXj aX-j +
aXi - Ui Uj
This representation produces additional stress terms called the Reynolds stresses. These are the
uj'u/ terms, where i and j both take on values of 1, 2 and 3. These additional terms represent
the temporal mean of the product of the fluctuations about the mean velocity and pressure and
are always positive. These terms, when multiplied by density, are the additional stresses caused
by turbulence in the flow. Turbulence modelling refers to the process of evaluating these
stresses.
The Reynolds stresses can be found using two methods. The first introduces the eddy
(or turbulent) viscosity approach. It will be the primary method presented in this chapter. The
second approach writes additional differential equations for these stresses, and will be discussed
later.
2.1 TURBULENT VISCOSITY
The Boussinesq eddy viscosity concept evaluates the Reynolds stresses by relating them to the
mean velocity gradients, oU/OXj, the turbulent viscosity, PT' and the kinetic energy (k) of the
flow (ft2/secZ). The equation is
-.I
-. = v (au.
-u, u
J T
au.)
ax . ax. --~ + __
J - -
2 k() ..
3 IJ
(5)
J I
where delta, (OJ} is Kroneker's delta, which equals one when i = j, and k = Ih The last u:u:
term is included since the sum of these normal stresses equals twice the kinetic energy. Without
the last term, when i = j the above equation would predict that k is zero!
The problem then becomes how to determine the value of the turbulent viscosity JAr.
Prandtl (1925) drew a parallel with gas viscosity and hypothesized that the turbulent viscosity
is proportional to the product of a mean fluctuating velocity, V, and a mean free path. In fluids,
the "mixing length", ~, plays the part of the mean free path.
(6)
In two dimensional shear layers he proposed that the mean fluctuating velocity equals the product
208
of the mixing length and the mean velocity gradient.
(7)
Combining these leads to the following mixing length expression for turbulent viscosity.
(8)
While it yields good results, the analogy between a gas molecule and a turbulent eddy
is not strictly correct. The mean free path of the large eddies is not small compared to their
flow domain as assumed by kinetic gas theory, and the turbulent eddies are not rigid bodies that
maintain their identity (Rodi, 1980).
Mixing lengths have been determined for various types of shear flows
including jets, wakes, and mixing layers (Rodi, 1980, p. 17). Other algebraic expressions have
been developed, including von Karman's (1930) similarity hypothesis, Patanker and Spalding's
(1970) ramp function, Van Driest's (1956) wall damping function, Nikuradse's equation, (see
Schlicting, 1979, p.605), Prandtl's free shear layer equation, (see Rodi, 1980, p. 20), Cebeci
and Smith (1968) and Mellor and Herring (1968). All of these attempts, while valid, lack
universality of application. Mixing length models do not account for convection and diffusion
of turbulence, and do not predict shear stress where the velocity gradient is zero.
Other researchers have developed models using differential equations to evaluate
turbulent viscosity. Nee and Kovasznay (see Launder and Spalding, 1972, pp. 13-14) used a
differential equation to determine turbulent viscosity and an algebraic equation for the mixing
length. Prandtl (see Launder and Spalding, 1972, pp. 13-14) related turbulent viscosity to the
product of a mixing length and the square root of kinetic energy. He prescribed a differential
equation to determine kinetic energy and an algebraic equation to determine the mixing length.
Mellor and Herring (1968) also related turbulent viscosity to the product of mixing length and
the square root of kinetic energy, and used a differential equation to determine kinetic energy
and an algebraic equation for mixing length. (Cebici and Smith, 1974, p. 175). These methods
still require that the mixing length or a form of it be determined algebraically. In order to
increase the range of their models, some researchers have defined an additional differential
equation for mixing length. Kolmogorov (see Launder and Spalding, 1972, p. 15) related the
mixing length to a characteristic frequency of the energy containing motion.
Many researchers have used differential equations that solve for variables that are related
to mixing lengths. Ng and Spalding (1972) determined mixing length from an energy length
differential equation. Harlow and Nakayamama (1968) used a differential equation for kinetic
energy dissipation, where
(9)
Other variables that include mixing length are k 3/I m, kim, and k/l m2 See Launder and Spalding
(1972, p.95) and Rodi (1980, pp. 86-91) for a discussion of these equations and a summary of
their applications.
209
The approach used in the k-E model is to solve the differential equations for both kinetic
energy, (k), and the Harlow and Nakayamama model of kinetic energy dissipation, (E=ku/l m).
Viscosity is then determined from the Kolmogorov-Prandtl expression (Rodi, 1980)
v T = Ck 1 / 2 1 m
(10)
The k-E (two equation) model has been successfully used in small scale flows such as boundary
layer, jet, mixing layer, and wakes as well as in larger scale flows such as curved open channels
and conduits. This model can handle more complicated flows than an algebraic mixing length
model. Rodi (1980) provided a summary of its use. Most of these applications used the finite
difference method.
2.1.1. The E equation. Hanjalic and Launder (1972b) give an exact transport equation for E,
or rather its equivalent, fluctuating vorticity,
(11)
Davidov in 1961 developed this equation by manipulating the Navier-Stokes equations.
De = -2v aU (au l au
I j + aut aul ) (i)
Dt Oxj Oxl Oxl ax; Oxj
(ii)
l~r
(iii)
-2 V ~
a-
- - u!e' (iv)
ax. J
J
(v)
(12)
The overbars indicate a correlation between the various variables and gradients. These
210
terms arise in the derivation of the equation from dividing variables into their steady and
fluctuating parts as was done to obtain the Reynolds stresses.
The term on the left side of the equal sign is the total derivative. It is defined as:
De
-=-+u-
ae ae (13)
Dt at J Ox)
While dissipation of kinetic energy actually occurs at the smallest eddy sizes, its rate is
controlled by the energy cascade or vortex stretching. The first term to the right of the equal
sign describes generation of vorticity by shear. Hanjalic & Launder (1972b) evaluate this term
as a function of the Reynolds stresses, which are shear stresses.
(14)
where Cel is a constant. The Reynolds stresses are replaced by the Boussinesq eddy viscosity
term already given.
(I) = Cd (elk) (aU; lOx) ) [v, (au; IOx

j + au) lOx; ) - 2k~iI I 3] (15)
The second and third terms on the right represent the destruction of vorticity by
viscosity. The destruction rate is controlled by the energy cascade process, since dissipation
occurs at eddy sizes which are much smaller than the energy containing motions. This process
is independent of viscosity at high Reynolds numbers. Because it is a function of the flow
characteristics it is assumed to be related to f and k. From dimensional considerations, they are
modelled as
(16)
where Ca is a constant.
The fourth and fifth terms on the right represent transport by diffusion and pressure
fluctuations. Integrating these terms across a boundary layer reveals that they do not change the
dissipation rate, they only redistribute it. Like many diffusion processes its rate is assumed to
be related to spatial gradients. These terms are modeled as
(17)
where Cf is a constant.
Substitution for the Reynolds stresses with the equivalent turbulent viscosity expression
211
results in the following equation (see Rodi, 19S0, p. 2S).
DE
Dt
=~
ax.I
(VT
a
ae) c ~
axi
+
E1 Ie
p
KIN
_ c l
.a Ie
(IS)
where (IE is the turbulent Prandtl number for diffusion of E and is usually assumed to be 1.3 and
P KIN = production of kinetic energy by shear
(19)
2.1.2. The k equation. Launder and Spalding (1972) give the following exact form of the
kinetic energy differential equation.
: = ;, [~ (t; ~1] +
(i)
-,-, aU j
(ii)
-UU -
I J ax"j
--; (iii)
aut au;
-v--
ax) ax) (20)
The fIrst term on the right hand side describes diffusion of kinetic energy. Launder and
Spalding assume that it is proportional to the gradient of k and evaluate it by
(21)
where CO is a constant and Uk is the turbulent Prandtl number for diffusion of kinetic energy and
is usually assumed equal to 1.0.
The second term on the right accounts for production of kinetic energy by shear. If a
transport equation for the total normal stresses were developed from the steady velocities, the
same term would occur but with opposite sign. Thus it represents the transfer of energy from
the mean to the turbulent flow. It is modelled by the equivalent turbulent viscosity expression
for the Reynolds stresses and has previously been identified as "PKlN ".
(22)
The third term is by definition the viscous dissipation of kinetic energy. The following
212
equation for k results.
Dk (23)
Dt
2.1.3. Evaluating constants. The turbulence model has introduced 5 constants. Their values
have been estimated by assumption and experiment and in some cases later optimized to fit the
data (Launder and Spalding, 1972). The constant C,2 was determined by measurements of grid
produced turbulence. In this type of turbulence the production and diffusion terms in the
equation are zero so the constant was measured directly. It was found to range from 1.8 to 2.0
with 1.9 used frequently. The constant C* was found from experiments on local eqUilibrium
shear layers, where production of kinetic energy equals its dissipation (PKIN = e). Substituting
the turbulent viscosity equation into the differential equation for kinetic energy and using these
assumptions results in the following expression.
C C7 )2
= \UtuJk (24)
From this it was found that C is about 0.09. However, there are experiments that
produce a value as high as 0.23 for C when used in the differential equation for k (Komatsu et
aI., 1986, as quoted in Chen, 1990). The turbulent Prandtl numbers were set by Launder and
Spalding (1972) at 1.0 for kinetic energy and 1.3 for its dissipation rate. They report that these
are the result of optimization. The value of Cd was estimated from flow near a wall (Rodi,
1980, P 28). In this region the production of kinetic energy is equal to its dissipation rate and
convection of the dissipation rate is neglected. The log law for velocity and these assumptions
are used in the differential equation for and the following equation results.
(25)
The value of Cel has been set to 1.44. These values have been used by investigators on
many flow problems and are referenced by the ASCE Task Committee on Turbulence Models
("Turbulence Modeling", 1988).
2.1.4. Boundary conditions. Due to the elliptic nature of the equations, boundary conditions
must be set for variables on all the boundaries. The two types of useable boundary conditions
are known values and gradients.
Known boundary conditions occur when the variable value is known at a boundary from
the problem statement, experimental results, or empirical relationships. Two classes of gradient
boundary conditions are possible for the Reynolds equations of motion
normal: -P+(2oU.loxJp. (26)
traction: (oU.lox, + oU,toxJp. (27)

213
where n indicates normal to the boundary and t indicates tangential to the boundary, and JL is the
dynamic viscosity.
(28)
These gradients represent the shear stress at the boundary.

Inlet velocities will either be specified or a pressure gradient will be applied by the
normal gradient. The outlet boundary conditions will usually be normal gradients of value zero.
The wall boundary conditions will use either a known velocity, a zero gradient (zero stress)
boundary, or a stress that was calculated using the law of the wall. The law of the wall will
supply a shear stress at a given distance from the wall if the turbulent kinetic energy is known
there. The law of the wall also moves the first node into the turbulent range of flow. The law
of the wall is
(29)
U* is the friction velocity. It is defined as
u. =~ (30)
in which T is the shear stress, kappa (K) is von Kar'man's constant and is usually given as .4 to
.435. Y + is the distance from the wall that is normalized by a viscosity and wall stress.
y+ = YU. (31)
v
The log law of the wall can also be expressed as
.!!.. = .!. In (Er ) (32)

U. 1C
where E is a parameter that indicates wall roughness. For smooth walls E = 9.0. For rough
walls, it is determined by the following expressions (Krishnappan and Lau, 1986).
xEs
Eo "p (U~ t.) (33)
214
B, = exp to 217 [In (U;k'lf }[5.50 2.50 In (U;k'll

(34)
. . 5 [ 1 - exp { -'12l7 [ In (U;k')f 11

in which Ie. is equivalent sand roughness.
The law of the wall can also be used to predict velocity if empirical equations, such as
Manning's or Chezy's, are available to determine traction stress (and friction velocities).
The boundary conditions for the longitudinal and transverse velocity at the free surface
are zero traction gradient, that is, a "zero stress" boundary. The vertical velocity will be zero.
These conditions are only approximately true since a free surface produces an inflection in the
velocity profile. This discrepancy is not expected to effect the value of the calculations.
So far this discussion has not mentioned boundary conditions for pressure. In setting
up the matrix equations at any location, the continuity equation is adjacent to the pressure in the
unknowns. Setting the pressure at a node deletes the continuity equation there. Many
researchers have indicated that setting pressures, especially at inlets and outlets, leads to poor
convergence and sometimes strange results, (Martin, 1979), (Chung, 1978). Jackson (1984)
points out that the effect of deleting continuity at a point is to collect all round off errors at that
point. Pressure anomalies or discontinuities should be expected at that location. For these
reasons the pressure is usually set to zero at one wall node where all velocities are zero or in
the interior of the flow (Gresho, Lee and Sani, 1980) and (Schamber and Larock, 1981). The
rest of the boundary conditions for pressure are included in "normal" stress conditions.
The boundary conditions for k and are similar to velocity boundary conditions. In the
near wall region the production of turbulence approximately equals its dissipation rate and the
convection and diffusion terms can be neglected. In this region the equations for transport of
turbulent kinetic energy and its dissipation rate reduce to algebraic equations. These equations
are
k = u;t..[G- (35)
(36)
e = U~tKY
From this equation the wall stress can be found from a known kinetic energy, and vice
versa. Alfrink and van Rijn, (1983) suggest the following inlet boundary conditions for k and
in developed flows.
(37)
e
lNLE1'
= IU~
K}'
(1 _HY) (38)
215
where Y is distance from the wall and H is the local depth. Inlet conditions for k and f don't
seem to have a large effect on the outcome for some problems (Leschziner and Rodi, 1979,
Alfrink: and van Rijn, 1983, and Sala et al, 1980). The outlet conditions are zero normal
gradient. At the free surface a zero normal gradient for k and f is frequently used. Since wind
shear on a free surface might be significant, Rodi (1980, p. 46) proposed the following wind
shear boundary condition for k and f. If
(39)
then the regular boundary condition can be used. If not, then
k =
(40)
(41)
where s means a surface value, Zs is distance from the free surface, h is the channel depth, and
a is a constant of value 0.07. They caution that this relationship was verified only on vertical
slice two-dimensional flow.
Since f increases at a free surface, Naot and Rodi (1982) and Hossain and Rodi (1980)
developed the following free surface boundary condition for f.
E = -1 (kv.Rl.5
C I ( -1 + - 1 ) (42)
1C y' y'
where y' is 0.07 and y* is the average distance to the nearest wall on the free surface.
2.1.5. Depth-Averaged Equations. In many free surface flows, the depth of water is small in
relation to its horizontal dimensions. In these cases, the change in the characteristics of the flow
in the vertical direction is not important, and depth-averaged equations are available. Depth-
averaged values are defined by the following equations ("Turbulence Modeling," 1988).
u= .!H I' u tit.

-/r
(43)
216
~ = .!.
H
fe-It cI> ck; (44)
where the short overbars indicate a depth-averaged value, H is the total depth of the flow, r is
the elevation of the free surface above the still water level, h is depth of water when it is still,
4> is a scaler, and z is the vertical direction. When these relationships and a hydrostatic pressure
distribution are assumed, the following depth-averaged equations result.
- -
continuity: at; + a(HU) + a(HV) =0 (45)
at ax Oy
x-momentum: O(HU) + a(HU,") + a(HVU) at;

-gH-
at ax Oy ax
1 a(lt.",,) 1 a(lftr) t.IX - tin: (46)

+- - - - + - --- +
p ax p Oy p
+ -1 - a fC -
p(U - U)2 ck; + -1 - a fe -
p(U - U)(V - y) dz -
p ax -It p Oy -It
y-momentum: O(Hy) + a(HuJi) + a(HV,") = -gH at;

at ax Oy Oy
+ 1. _a(_lft_,)'X_) + 1. _O(_lft_,,,}_ + _':281_-_':2,'"

p ax p Oy p
+ -1 - a fe -
p(U - U)(V - JI) ck; + -1 - a- fC -
p(V - Jl)2 dz (47)
pax-It POy-1t
where the T'S are shear stress, s indicates surface and b indicates bottom shear stresses.
The depth-averaged turbulence equations are (Rastogi and Rodi, 1978)
uaxale + V ale =... (VI a~ +... (VI ale) + P"

Oy ax OJ; ax) Oy aj; Oy
+ Ph - E (48)
217
VT = C' ~ (50)
E
where
PIt
-
= V,
_)2
[2 (au
ax + 2
(_)2
av
Cy
(-
~
au
+ +
-)2]
av
ax
(51)
is the production if k resulting from the interaction of the mean velocity gradients with the
turbulent stresses. Pkv and PEP account for the non-uniformities of the vertical profiles.
U3 (52)
Ph = C/c-*
h
PEY = C
u:
- (53)
E h2
and ck and cEare empirical constraints. See Turbulence Modeling (1988) for more information
about the depth-averaged k-e equations.
2.1.6. Limitations of the k-e Model. While this model is more general than a mixing length
model, it still cannot reproduce certain secondary motions in the plane perpendicular to the main
flow, such as flow in a non-circular duct (Launder et aI., 1975). These secondary motions are
called Prandtl's second type, (Prandtl, 1952) and are caused by unequal normal Reynolds
stresses (-p(Uj' Uj' (Brundett and Baines, 1964). However, the Boussinesq eddy viscosity
concept assumes that the turbulent viscosity is isotropic, which, for many problems, makes the
normal Reynolds stresses equal. To obtain these secondary currents, previous workers have had
to resort to solving the Reynolds stress differential equations, for example (Launder, Reece and
Rodi, 1975) or algebraic stress models. These are discussed in the next section.
Speziale (1987) points out that the k-e model only weakly satisfies the realizability
constraint described by Schumann (1977), i.e. it does not ensure that each of the individual
normal Reynolds stresses are non-negative (realizable), even though the turbulent kinetic energy
k is positive. Speziale also presents a nonlinear k-e model that satisfies realizability and predicts
unequal normal Reynolds stresses (and secondary motions) in flow in a non-circular duct.
Nisizima and Yoshizawa (1986) have also developed a modification to the k-e model that predicts
unequal normal Reynolds stresses.
In channels of different wall roughness, T and au/ax can have opposite signs, so the
218
eddy viscosity concept, and the k-e model can not apply (Rodi, 1980, p. 11).
The two-equation turbulence model is also deficient in predicting the reattachment point
of the main flow downstream of an abrupt expansion. It under-predicts the point of reattachment
by as much as 20%. The model's performance also degenerates with flow along curved surfaces
or in swirling flow. Modifications to the model are available to improve its performance for
these situations (Nallasamy, 1985). Leschziner and Rodi (1981) presented this correction to C*
to account for streamline curvature that improves predictions for annular and twin-parallel jets.
C. = _____-KIY ~A~~_ _ __
(54)
SKI2 -k (aU U -Ua]
2
[1 + - 1 1)
+ -
E2 an Rc Rc
where Us is the streamline velocity, Rc is the radius of curvature of the streamline, and n is the
direction normal to the streamline, and Kl and K2 are given by
1 -
K =--
P (55)
I a
~ = ~ ~(l:...-----=.a_-_p!:..!:) (56)
3 a
where 01. has the value 1.5 and {3 has the value 0.6. Coelho and Pereira (1992) applied this
modification to turbulent flow over a hill and found that it improved the predictions of the mean
flow, but not the flow in the separated zone.
The standard k-e model does a poor job of predicting round jets and weak shear layers
in far fields ("Turbulence Modeling," 1988). In these flows, the production of turbulence
exceeds its destruction and C* is no longer a constant. Rodi (1980, p. 29) presents a correction
for C* under these conditions. Chen and Singh (1986) developed a two scale turbulence model
that improves predictions of plane and round jets.
Since the standard k-e model assumes high Reynolds number flows, modifications are
needed for flows approaching laminar conditions. Jones and Launder (1972), and Lam and
Brernhorst (1981) developed modifications for this situation. The modifications of Lam and
Brernhorst (1981) apply to the equation for turbulent viscosity and the transport equation for e.
(57)
(58)
where fl-', flo and f2 are defined as follows.

219
111 = [I - exp (-0{)165R,)]1 X (I + 20'S/RT)
1\ = 1 + (O{)SIf/
(59)
h =1 - exp (-R T)
2
RT=pk1/'rl E
R, = pklf2y/'rl
Jaeger and Dhatt (1992 applied the low Reynolds number model to flow in a turbulent
channel, and were able to predict velocity, k, and f near the wall. Coehlo and Pereira (1992)
applied it to two-dimensional flow over a hill, and reported that it did not improve predictions
of the reattachment point over that of the law of the wall.
Smith (1984a) pointed out that there is no unique solution of k and f for a given velocity
field. What makes the solution unique is the specification of boundary and initial conditions.
For example, unless the initial estimate for K and f are close to the solution, the Newton method
may converge to incorrect results, such as negative values for these two variables. Smith
illustrates this point with a simple problem by showing multiple solutions with identical boundary
conditions. The only differences were the initial conditions. He claims that this proves that the
k and f model is mathematically improper. He has proposed a new turbulence model, called the
q-f model, that is claimed to overcome these difficulties (Smith, 1984b) which will be discussed
later. The k-f equations are non-linear and like alI non-linear equations they are naturally
subject to multiple solutions. For example, in open channel hydraulics, the third solution for
depth with constant specific energy is negative. While this is a solution of a third order
polynomial equation, it is an unrealistic one. Due to the non-linear nature of the k and f
equations the best estimate of the correct answer should be used to initialize the solution and the
solution grid should be as fine as possible to minimize the chance of a solution wandering to an
incorrect result. In conduit flows, the only effect of this problem is to over or under calculate
the friction loss which will change the pressure and redistribute the velocity vectors. The total
flow would not change. Data on k and f levels in turbulence is very scarce and its lack impedes
proper investigation of this problem.
2.l.7. Simplifications of the k-f Model. Due to the large amount of computer time involved in
solution of three dimensional models, many turbulence investigators have employed a
"parabolizing" of the equations. This involves removing all terms that allow downstream
conditions to effect the calculations. The numerical scheme proceeds downstream from the
initial conditions. The terms neglected include shear stress and diffusion fluxes in the transverse
plane. Also neglected is the downstream pressure. This requires that the water surface be
known before the calculations start. Parabolizing doesn't allow for flow reversals to occur.
2.2 STRESS DIFFERENTIAL EQUATIONS
2.2.l. Reynolds Stress Differential Equations. By manipulating the Navier-Stokes equations,

it is possible to derive equations for each of the individual Reynolds stresses. The drawbacks
with this approach are that it delays assumptions about stresses, adds as many unknowns as it
does equations and increases the computational effort. For example, the six Reynolds stress
220
transport equations introduce the requirement for modeling the production, diffusion, and
dissipation of the stresses, which include three-way correlations between velocity, pressure, and
their gradients. Models of up to 28 differential equations have been reported. (Launder and
Spalding, 1972, p. 20). One of the advantages of differential stress equations is that they allow
for the calculation of secondary flows in the cross section perpendicular to the main flow, which
are seen in most 3-dimensional channel flows. See for example the measurements of Nikuradse
in Schlichting (1979, pp. 613-614). Launder et aI (1975), Hanjalic and Launder (1972a) and
Daly and Harlow (1970) have investigated the solution of these secondary flows. Differential
stress equations provide good solutions in channels with unequal wall roughness (Launder et ai,
1975). The modelled differential stress transport equations are:
rate of change + (advection) = (diffusion) - (dissipation)
- (Pj) , stress production)
- (Pressure strain 1)
-a (Pij-~~vl'~n)-~(Dij-~~vl'm) - yk (~ + ~) (60)
+ (Pressure strain, 2)
(61)
C + 8 8C1 - 2 . 30Cl - 2
a = - l- _ . ~ = y =
11 ' 11 ' 11
See Launder et aI. (1975) for a discussion of the coefficients and their modification for wall
effects. The differential stress equations do not predict downstream reattachment of secondary
currents behind bluff bodies any better than the turbulent viscosity approach (pope and
Whitelaw, 1976). They also lack the mathematical property of spatial invariance. Invariance
221
means that they are form invariant under time-dependent rotations and translations of the spatial
frame of reference (Speziale, 1979).
The differential stress equations do not satisfy realizability conditions. That is, the
normal Reynolds stresses should be non-negative, and obey the Schwartz inequality, e.g.:
(62)
Launder (1984) reports that, for shear flows of practical interest, no advantage can be found in
using the available corrections for this problem.
Like the k-e model, the differential stress equations do not satisfactorily predict flow in
a round jet or axisymmetric wake (Chen and Jaw, 1990). Chen and Singh (1986) have
developed a two scale turbulence model that improves predictions for these flows while
remaining applicable to other flows.
The differential stress equations must be solved simultaneously with the Reynolds
equations of motion, the continuity equation, and the transport equation for E. Since this is not
a trivial task, the following simplified method has been developed.
2.2.2. Algebraic Stress Equations. This approach makes simplifying assumptions about the
balance between generation and destruction of the stresses which turn the differential equations
into algebraic equations. The differential equations for kinetic energy and its dissipation rate still
must be solved. (Launder et al. 1975; Hanjalic and Launder, 1972b; and Daly and Harlow,
!
1970). The algebraic stress equations ("Turbulence Modeling", 1988) are:
uiuj
II
=k
2
'3 tl ij +
t{PKIN}
{I - cx)J - -2 tl i
E 3 if PnN}\
--
E (63)
C + -- -1
1 E
The algebraic stress models are subject to the same limitations as the differential stress model.
Both the differential stress and algebraic stress model offer improvements over the k-E,
two equation model. They have not been as frequently used, so their practical value has not
been universally accepted. In cases where the E equation is responsible for poor predictions,
they do not improve predictions. The specification of boundary conditions for the individual
stresses is even less understood than for k alone. They are particularly useful for predicting
buoyancy and free surface effects. Algebraic stress models do not do a good job of predicting
developing flow in a square duct (Nallasamy, 1985).
2.3 LARGE EDDY SIMULATION
Large Eddy Simulation (LES) divides the flow field into two parts, large and small eddies. LES
assumes that the small scale turbulence is uniform in space and can be modelled with relatively
simple equations. The Navier-Stokes equations are modified to "filter out" the small scale
motion. This process (like Reynolds averaging) introduces stress terms that must be modelled.
These stresses are evaluated by a sub grid scale turbulence model. Because uncomplicated
222
subgrid scale models seem to produce acceptable results (Yoke and Collins, 1983), LES has the
potential to be able to solve larger flow problems than the k-e model using the same size
computer. An example of a LES solution is He and Song (1991) who calculated three
dimensional, unsteady wind flow around a building. Unfortunately, the calculation was not
compared to experimental results. However, not all researchers favor LES over k-e modelling.
Nisizima and Yoshizawa (1986) report that" ... LES requires much finer grid resolution and
much longer computing times than the stress or k-e models." Further experience with LES is
needed before it will be as accepted as k-e turbulence modeling.
3.Solution of the Equations
The two most popular methods for solving the turbulence model equations are finite differences
and finite elements. Other related methods are the finite volume and finite analytic methods.
These last two are variations of the finite difference method. The finite volume method
integrates the differential equations over a volume and arrives at the same difference equations
as the finite difference method. The finite analytic method uses a local analytic solution of the
linearized equations within zones of the flow field. For more information about the finite
analytic method see Chen (1990).
Both the finite difference and finite element methods interpolate variables and unknowns
over a grid (domain). That is, the value of a variable or unknown is defined at only a limited
number of specific locations (nodes) and approximated by equations between these locations.
The accuracy of both methods depends upon the number of nodes being used. The density of
nodes must be greater in areas of large change of values. While more nodes mean more
accuracy, they also mean more computational work and more computer storage space. A rule
of thumb says that if the number of nodes doubles, then the amount of computer time and
required storage increases by a factor of at least 4.
3.1. GRIDS AND INTERPOLAnON
3.1.1. Grid Independence. It is hard to determine the correct number of nodes to use
beforehand. The 00 two ways to know if the number is correct is to either: 1) know the
correct solution beforehand and compare your results to it, or 2) increase the number of nodes
and see if the computed answers agree everywhere. This last one is called .. grid independence ...
If the results don't agree, then keep increasing the number of nodes. Incidently, a given
collection of nodes can give accurate values for one variable (velocity) but give poor values for
another variable. Figure 1 shows two solutions where different grids produce different velocity
and pressure results for the same overall dimensions and Reynolds number (Finnie, 1987). In
this flow, the upper wall moves at a constant velocity and creates circulation within the four
walls. Obviously, limits exist on available computer size and time, so there are situations when
accuracy is compromised by the limitations of technology and budgets. Unless the authors say,
it can be hard to tell if a published solution has been thoroughly tested for grid independence.
3.1.2.Divergence of the Calculation. While using too few short nodes causes errors in
converged solutions, it also can cause the calculation to diverge. The equations being solved are
r-
223
U, =constant 0."
U2=O
o.e
0.7
LEGEND
0.6
.
-+ OLSON AND TUANN
~ rnNlE 36 ELEMENTS
U1=U2=Q ::s::t 0.5
FNNIE 196 ElEMENTS
0.'
O.J
a)
0.2
0.1
U1=U2=O
b) -0~.25 0 0 0.2~ 0.50

vaOOTY ALONG VEROCAL SECTION
o.~ I
0.1 0.1
o.~
0.0000 - - . - - 0.0000
c)
o
o Xl 0.1 o Xl 0.1
Figure 1 Laminar wall driven flows, Re = 1000 a) boundary conditions; b) velocity
results (ftlsec) on vertical center line (Olson and Tuann, 1979); c) pressure
results Qbs/ft2) 36 unevenly spaced grid; d) 196 evenly spaced grid (Finnie,
1987). (1 ftlsec= .3048 mis, 1 Ib/fi2 47.877 N/m2)
D.' .5
~. 10000 Re. 7500 A SOOO " 400
Figure 2 Effect of STU artificial viscosity on velocity results for laminar wall driven
flow. -without STU, -with STU, Sohn (1988), 0 Ghia et al. (1982).
Copyright 1988 John Wiley and Sons, Ltd. Reprinted by permission.
224
non-linear, so their solution is obtained by using the current estimate of the solution to calculate
an improved solution. This process is repeated (iterated) until the changes in the estimate
become "small enough."
Divergence means that the subsequent estimates of the solution get further and further
apart. This usually happens in areas of the domain where large changes are occurring in the
unknowns (large spatial gradients), and can result when velocity has a large influence on the
problem. This condition is described as a "convection dominated problem". If the number of
nodes is insufficient to interpolate the changes in the variable, then each iteration results in larger
and larger changes in the variable at that location until the program or the computer halts the
calculation.
3.1.3. Preventing Divergence. An insufficient number of nodes is not the only cause of
divergence. Other possible causes include improper specification of the problem (asking the
impossible!), incompatibilities between neighboring boundary conditions, or a poor initial
estimate of the solution.
Overcoming divergence is perhaps the most time consuming part of getting a solution
of a turbulent flow calculation. There are a number of ways of encouraging solution
convergence. These can be divided into the following categories: grid refinement, improved
interpolation functions, artificial diffusion (or upwinding), improving estimates of starting values
(good guesses or transient to steady solutions), under-relaxation, and variable transformations.
Grid refinement is the most obvious scheme to encourage convergence. It requires that the
modeler increase the number of nodes in the area of the grid where rapid variable change is
occurring. The drawbacks to this approach are that it can be difficult to change the grid (and
boundary condition file), and that it increases computation time and requires larger computers.
Adaptive grid techniques are available that automatically change the grid according to the needs
of the particular problem (Kashiyama and Kawahara, 1989).
If increasing the number of nodes is not feasible, then the functions that interpolate
between the nodes can be improved. This is accomplished by using higher order interpolation
functions which use more neighboring nodes. An example of this would be to use three nodes,
instead of just two, to define the first derivative of a variable. The best known example is the
QUICK scheme of Leonard (1979). This is a valuable method, but it is not always effective.
QUICK can also be applied to the finite element method (Steffler, 1989).
The most popular method to deal with divergence of calculations is to permanently apply
artificial diffusion. This is also frequently called "upwinding", however, upwinding is only one
of the ways to add artificial diffusion. The various methods used to employ artificial diffusion
are presented in another chapter, but a few general comments are appropriate. Without artificial
diffusion, the equations for velocity, pressure, k and e will frequently diverge, and no solution
is found. Artificial diffusion adds a non-physical term to the equations and thus introduces an
unknown error. The magnitude of the introduced error is not known. Few solutions have been
presented of the same problem with and without artificial diffusion. One exception to this trend
is Sohn (1988), who reported the effects of artificial diffusion on laminar and turbulent
calculations.
Sohn reported the effects of artificial diffusion on laminar and turbulent calculations in
(FIDAP), a commercial finite element program. The method of applying artificial diffusion is
streamline upwinding (STU), using the balancing tensor diffusivity approach of Gresho et al.
(1984). The effect of STU on velocity in a laminar flow problem is shown in Figure 2. This
is the same type of flow as shown in Figure 1. As can be seen, STU distorts the velocity profile
225
along the vertical centerline. The calculations were all accomplished on the same grid, and the
distortion becomes larger as the Reynolds number increases. STU is only one method of
applying artificial diffusion, the other methods would not necessarily produce the same
distortions. The only other estimates of inaccuracy due to artificial diffusion are from
experimentally verified calculations. In many of these cases, the proper use of artificial diffusion
does not seem to grossly effect the outcome. Users of artificial diffusion should be cautioned
to use it sparingly, if at all. Some authors recommend that it should not be used in finite
element calculations (Gresho and Lee, 1981), and by extension, in finite difference calculations
either.
Only a few researchers have actively pursued solutions of turbulent flow without the
permanent addition of artificial diffusion. The reported solutions include Taylor et al. (1981),
Schamber and Larock (1981), Devantier and Larock (1986), Smith (1984a,b), and Finnie and
Jeppson (1991). All of these are finite element solutions.
A sensible alternative use of artificial diffusion is to apply it temporarily to help the
calculations converge. Once the calculations converge, the artificial diffusion is then slowly
removed. This has been successfully applied to a finite element solution of flow under a sluice
gate (Finnie and Jeppson, 1991).
A related procedure is to try to use improved estimates of the solution as starting values.
While this may seem like trial and error, there are systematic ways to implement this procedure.
One way is to be sure that the best estimate of starting values is used and that any changes in
starting values over the space of the grid occur smoothly and without jumps. Another way is
to obtain a solution on the grid at a lower flow rate. Once it converges, the velocity is slowly
increased. This can be done with successive solutions of the steady state equations, or by
solving the unsteady equations from partial flow to the full flow rate (Gresho, Lee, Stullich, and
Sani, 1978, and Chapman and Kuo, 1985).
Under-relaxation can also aid convergence of the calculation. Since it is desirable to
avoid large changes in the values of the unknowns during the iterations, under relaxation
purposely applies only a percentage of the indicated change. That is, if the calculation indicates
that velocity at a certain node should be increased by 10%, only a part of this correction is
made. This tends to prevent large swings in value that result in divergence. This method is
useful, but is not guaranteed to work.
If increasing the number of nodes for a given variable gradient is beneficial for
convergence then decreasing the variable gradient for a constant number of nodes should also
help. This is done by transforming the variables. In the case of the q-f model of Smith
(1984a,b), the turbulence variables have become q (the square root of k) and f (the frequency
of large-scale turbulent eddies. When certain assumptions are made, the q-f model can be made
formally equivalent to the k-e model, i.e., k ... q2 and f ... Ik. However, it is not necessary
to define a new turbulence variable like f. It is simpler to just solve for the square root of e,
which is designated r (Finnie and Jeppson, 1991).
The q-r variable substitutions (q = Yk and r = Ye), when applied to the k-e equations,
result in the following equations:
226
UPq) iJq = ..2... [~(2q) iJq]+PKIN-r2

axi axi at axi (64)
U.(2r) Or = ..2... [VT(2r)~]+c ~P -C ~ (65)

axi axi a e a"'.... El2KIN
q
<22
q
Why does the q-r variable substitution improve convergence of the turbulence
calculations? Its primary effect is to reduce the range that the turbulence variables are required
to take. For example, where f might range from 0.04 to 4.0, r would range from 0.2 to 2.0.
This is another way of obtaining grid refinement. The q-r variable substitution tends to equalize
the requirement for grid refinement between the momentum equations and the turbulence
equations. Without the q-r variable substitution, the turbulence variables require a much finer
grid than the momentum equations.
Other variable transformations are possible. A comparison of the behavior of k and f
reveals that they frequently exhibit similar variation. When one goes up or down, the other does
likewise. Personal experience has shown that the f equation is more difficult to solve than the
k equation, probably because it has larger changes in magnitude. If a replacement variable for
f could be found that utilizes the changes in k, it would probably change less than f, and would
encourage convergence. Such a variable substitution is f = kU/I, where I is a characteristic
length scale of turbulence. If this relationship is substituted into the f equation the following
equation for I results:
(66)
The equations to be solved are the k and I equation. A further improvement is to use the
substitution q = vk and s = v\. The equations for q and s are:
(67)
Uj [3.0 (;f ~ - (;r !} a~i [:: ( (;r ;~ - (;r !J]

2.0 3.0 2.0 (68)
+ CEl .!L PKIN - CeZ (1)4

SZ S
227
The q-s equations have been applied to the solution of turbulent flow in a channel (Finnie
et al., 1993). Further research into the use of variable substitutions should be undertaken.
Variable substitutions don't introduce artificial diffusion directly and don't effect the solution of
the Reynolds equation of motion.
The q-s model used in this paper is a modification of Smith's q-f model. q-s is actually
just a variable substitution, and not a new turbulence model. As such, it does not require
additional proof of its model assumptions (which are the same as the k-E model) and needs no
additional calibration of constants. The reason for using the q-s variable substitution is that it
is a simple way to avoid or reduce the need for upwinding or related techniques.
Other types of variable transformations have been examined. Liakopoulos (1985) applied
a variable transformation to the Reynolds stress continuity, k and E equations for compressible,
boundary layer flow. This transformed the boundary layer equations into ordinary differential
equations. The method worked well for the boundary layer problems presented.
Sharma and Carey (1986) applied a variable transformation to the Reynolds stress,
continuity, k, and E equations. They used a Dorodnitsyn type transformation that makes the U1
velocity an independent instead of a dependent variable. This reduces the required number of
nodes in one direction, but requires many more nodes in the downstream direction so it appears
to be of limited practical value.
3.2.CHARACTERISTICS AND COMPARISON OF THE METHODS
The theoretical basis of the two methods gives them unique characteristics and advantages. The
finite difference method is by far the older, more used, and more developed of the two
techniques. It is also conceptually simpler than the finite element method and easier to program.
The finite element method has the advantage of being able to easily handle irregularly
shaped areas, but usually requires more computer storage and longer cpu (central processing
unit) times. Both methods wilI be explained in other chapters, so their theoretical development
will not be repeated here. However, a few comparisons between the methods would be useful.
Adding more nodes ilIustrates one advantage of the finite element method over the finite
difference method. Figure 3 shows what must be done to increase the number of nodes in one
location, in this case, the lower left corner, where rapid changes are taking place. The finite
difference method must increase density over larger areas that the finite element method to
accomplish the needed grid refinement.
While the finite difference method is easier to understand, it has some limitations.
Without modifications, it requires that the solution domain have straight sides and square
corners. This problem can be overcome by using a body fitted coordinate systems, which
consists of a variable substitution that maps the equations from the original curved domain to
transformed equations on a rectangular domain. This can be accomplished for two- and three-
dimensional problems, but it complicates the solution process. Figure 4 shows a simple example
of an original problem grid and its transformed domain. If necessary, the domain can be
subdivided into block zones. Separate body fitted coordinate systems are developed within each
block. The interfaces between each block must be continuous. The results in one block are
transmitted across the interfaces to its neighboring blocks.
Perhaps the biggest disadvantage of the finite difference method is that it is so well
accepted that its shortcomings are not questioned. This is especially true for the acceptance for
the necessity of artificial diffusion without consideration of the alternatives.
228
a) b)
IV
~K
Figure 3 Grid refinement a) finite difference, b) finite element
o
c b)AIIIIIIIIII II"
B C
Figure 4 Body fitted coordinates a) physical domain, b) transformed domain.
fr, . ,. WAlL FUHC110H
Utl ~
I L .. 0..
WAlLFUNCmH
W!..-
... -I-~-------" ..' - - - - - - - - - - l
Figure 5 Turbulent 2D flow over a backward facing step (Sohn, 1988).

'r--------,,------r----.,----,-----,,----
2. ....--,
1l .. 7.11
1..:J3 ... 5.33 1.22
1 .. 1.00
U/U o
Figure 6 Turbulent 2D flow over a backward facing step a) predicted versus measured
velocity; b) turbulent kinetic energy.- Sohn (1988), 0, Kim et at. (1980).
229
4. Applications of Turbulence Models
Good summaries of the applications of two and three dimensional k-e turbulence models have
been provided by Rodi (1980), Nallasamy (1985), "Turbulence Modeling" (1988), and Chen
(1990). These applications include open channel flow, spillways, secondary flows in the
horizontal plane, curved flow, stratified flow, internal hydraulic jumps, and jets of many
descriptions.
Research of particular interest to water resource engineers includes HaMinh and
Chassaing (1978) who predicted flow in a sudden expansion. Alfrink and van Rijn (1983)
applied the k-e model to expanding river sections. Krishnappen and Lau (1984) applied it to ice
covered rivers. Naot studied non-symmetric roughness (1984). Schamber and Larock (1981)
investigated two-dimensional flow in a sedimentation basin. Sala et al. (1980) applied the model
to two dimensional flow in a diffuser. With the exception of Schamber and Larock all of these
were done using a finite difference technique.
Rodi (1980) also gives examples of Reynolds stress and algebraic stress models to
channels, ducts, and jets. Hanjalic and Launder (1972b) modelled flow in a channel with
different wall roughness and predicted stress levels within the flow and displacement of the point
of maximum velocity. They also predicted the effect of wall damping on a flat boundary layer,
flow in an annulus, and mixing layers. Algebraic stress models have been applied to jets
(Ljuboja and Rodi, 1980), curved boundary layers (Irwin and Smith, 1975) and secondary
channel currents (Naot and Rodi, 1982).
The following sections describe some specific examples of turbulence model calculations.
4.1. FLOW OVER A BACKWARD FACING STEP
This problem has become an accepted benchmark for testing turbulence models. Figure 5
presents the problem. Experience indicates that the standard k-e model under-predicts the length
of the recirculation zone for both the finite difference (Nallasamy, 1985, p. 22) and finite
element methods (Sohn, 1988). Figure 6 compares the experimental (Kim et al., 1980) and the
calculated value of the horizontal velocity and turbulent kinetic energy (Sohn, 1988). This
calculation was also performed on an HP-9000/835 work station at the University ofldaho. The
finite element grid was composed of quadrilateral elements and included 1540 nodes. The
calculation took about 90 minutes of cpu-time.
4.2. FLOW IN A SUBMERGED HYDRAULIC JUMP
Flow in a submerged hydraulic jump is a comprehensive test of a turbulence model. Figure 7

shows the experimental apparatus used by Long et al. (1990) to create this flow. A jet of water
shoots under a sluice gate and dissipates into a channel. It creates a recirculation zone above
the jet that causes reverse flow on the free surface. The depth of the channel is sufficient to
submerge the hydraulic jump. Long et al. (1991) applied a two-dimensional finite difference
turbulence model to this problem. Their velocity and turbulent intensity results are shown in
Figure 8. As can be seen, their calculations did a reasonable job of predicting velocity and
normal stresses. They used a grid of 91 columns by 46 rows of nodes and performed the
calculation on an AMDAHL 5890 computer. They reported that the calculation used the
SIMPLE algorithm with upwinding.
A unique aspect of this calculation is the treatment of the free surface. Instead of trying
230
Figure 6 cont Turbulent 2D flow over a backward facing step a) predicted versus measured
velocity; b) turbulent kinetic energy.-Sohn (1988), 0, Kim et al. (1980).
Figure 7 Geometry of flow in a submerged hydraulic jump (Long et al. 1990).
"r-------------------------------------------~
<-
t<
111
;; f),~
:.....,.}..".J
~
~~-. '"
~~~l .. ",t- '.I/t~.!
a)
~~-""<<<rj< .. f ..
"f--
,
,""""._-<
~<-
", n go
" " H.
"
t< :t,:" 4!'f H
. -.---.~~.
),
"
"
b) ~'/'I..
:: ~
$ --.-.... .... ,....
,t
: lt.
" " "
,. " ..
~ft~
" " .. % ,~. H7.
Figure 8 Flow in a submerged hydraulic jump a) longitudinal velocity; b) longitudinal

turbulent intensity (Long et al., 1990).
231
Figure 9 Depth averaged flow in an expansion (after Chapman and Kuo, 1985).
a) I ~~:__ L..:--u_'"- - - - l . _
I <>
b)
Figure 10 Flow and settling in clarifiers a) geometry; b) measured vs. calculated

velocity.- Stamou et a1. (1989), Heinke et a1. (1977).
Figure 11 Streamlines of secondary currents in open channel flow (Naot and Rodi,
1982).
232
u,.--r----------,
10
0.1
al
0.4
0.2 0., 0.6 0.1 \.0
Figure 12 Turbulent fluctuations in two-dimensional open channel flow. I)V(tt)/Ur;

2) V(v2)lUr; Ur is the friction velocity.- (Naot and Rodi, 1982), - - -
(Veda et aI., 1977)
Figure 13 Side discharge into an open channel (Demuren and Rodi, 1983).
233
to use boundary fitted elements, they choose to approximate the free surface as a series of steps.
This causes neighboring "volumes" to have different wall dimensions. They made appropriate
changes to the equations to account for these "stair steps". This method also did a good job of
predicting the location of the free surface.
For comparison, FLOW-3D, (a commercial finite difference computer program) was
applied to this same problem. This program used body-fitted coordinates, was accomplished on
a work station size computer, and took about 4 hours of cpu-time (Richmond and Rangaraj,
1993). It did not calculate the location of the free surface.
4.3. DEPTH AVERAGED FLOW IN AN EXPANSION
This flow is steady and three-dimensional in nature, but it is solved as an unsteady, two-
dimensional, depth averaged flow (Chapman and Kuo, 1985). Figure 9 depicts the problem.
The authors used the finite difference method without artificial diffusion. They accomplished
this by using the QUICK scheme and an unsteady flow program. QUICK uses extra nodes in
the upstream direction to improve the interpolation of the variables. The calculation was started
from a low Reynolds number flow (which is easier to solve), and gradually developed it into a
high Reynolds number flow.
The initial calculation did an unsatisfactory job of predicting the length of the
recirculation zone, so the authors modified the program to include a streamline curvature
correction which improved the predictions. The calculation was performed on an IBM 3032
computer and used 140 minutes of cpu-time. Approximately 1500 nodes were used.
4.4. FLOW AND SETTLING IN CLARIFIERS
Stamou et al. (1989) employed the finite difference method to solve the equations for flow and
particle concentration in a water treatment pond. The flow calculations applied the steady, two-
dimensional k-e model in a vertical plane. Hybrid upwinding was utilized, which minimizes the
effect of artificial diffusion, but does not eliminate it. Figure 10 shows the geometry of the
problem and the velocity results. While the velocity predictions were not good, the predictions
of sediment concentration were much better. The authors speculate that the quality of the
velocity predictions results from the flow being three-dimensional, while the calculation was not.
Solution times were 12.5 hours on an IBM-PC-AT and about 5 minutes on a Siemans 7881 main
frame computer. The grid used about 1800 nodes.
4.5. SECONDARY CURRENTS IN CHANNEL FLOW
This problem illustrates an application where more advanced turbulence models are needed.
Secondary currents develop in non-circular channels that are not predicted with the k-e, two-
equation turbulence model. Figure 11 shows these secondary currents (Naot and Rodi, 1982).
Obtaining these secondary currents requires that the equations predict unequal normal Reynolds
stresses. Either the Reynolds stress differential equations or the algebraic stress model may be
used. Naot and Rodi (1982) applied the algebraic stress model with corrections for the free
surface and walls. They used a three-dimensional, parabolized, finite difference program.
Figure 12 compares experimental and calculated values of the turbulent fluctuations in two-
dimensional flow.
234
4.6. SIDE CHANNEL ENTERING A RIVER
Demuren and Rodi (1983) calculated the effect of a side inlet on the three dimensional flow
pattern of a river. Figure 13 shows the flow problem. This calculation used finite difference
techniques and required from 400 to 500 iterations between the velocity and viscosity phase.
The total time per iteration was 50 cpu-seconds on a UNIVAC 1100/82. This is one of the few
three dimensional applications that did not make simplifying assumptions that produce a set of
parabolic equations.
5. Summary
The theory of turbulence modelling has been introduced. The popular k-e turbulence model was
developed from equations derived from the Navier-Stokes equations. The more sophisticated
differential stress and algebraic stress turbulence models were also presented. Limitations,
modifications, and simplifications of turbulence models were described. The popular numerical
techniques for solving these equations were compared and contrasted. Techniques for promoting
convergence of the calculations were explored. Applications of turbulence models to important
flow problems were presented.
Powerful turbulence models are available for solving fluid flow problems. They have
been shown to provide acceptable predictions for engineering applications and enjoy world-wide
acceptance. Without doubt, their future use will increase as computers become faster, larger,
and less expensive; and engineers become more familiar with them.
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9
DEVELOPMENT AND APPLICATION OF A THREE-DIMENSIONAL
HYDRODYNAMIC MODEL
B. H. JOHNSON, K. W. KIM AND R. E. HEATH

Hydraulics Laboratory
U.S. Army Engineer Waterways Experiment Station
3909 Halls Ferry Rd
Vicksburg, MS 39180-6199
H. L. BUTLER
Coastal Engineering Research Center
U.S. Army Engineer Waterways Experiment Station
3909 Halls Ferry Rd
Vicksburg, MS 39180-6199
ABSTRACT.
With increases in computing power, researchers all over the world are developing and apply-
ing three-dimensional hydrodynamic models. The development of one such model called
CH3D-WES and its application on Chesapeake Bay are presented. The basic equations
solved, boundary conditions employed, and numerical solution techniques utilized, along with
the parameterization of the vertical turbulence which is crucial when computing flows in
partially stratified water bodies, are discussed. Finally, model results from application to the
September 1983 data set on Chesapeake Bay are presented and compared to field data. This
data set contains a major wind mixing event that was aided by a cooling of the surface
waters of the bay.
1. Introduction
A time-varying three-dimensional (3-D) numerical hydrodynamic model called CH3D-WES

(urvilinear J:!ydrodynamics in 3D-Waterways ,gxperiment ..tation) has been developed to
compute flow fields in large bodies of water such as rivers, lakes, estuaries and coastal areas.
A major use of such a model is to provide transport in 3D water quality and sediment
transport models.
The basic model (CH3D) was developed by Sheng (1986) for the U.S. Army Engineer
Waterways Experiment Station (WES) but has been extensively modified at WES. These
modifications have consisted of different basic formulations as well as substantial recoding
for more efficient computing. As its name implies, CH3D-WES makes hydrodynamic com-
putations on a curvilinear or boundary-fitted planform grid. Physical processes impacting
bay-wide circulation and vertical mixing that are modeled include tides, wind, density effects
(salinity and temperature), freshwater inflows, turbulence, and the effect of the earth's
241
M. H. Chaudhry and L. W. Mays (eds.), Computer Modeling of Free-Surface and Pressurized Flows. 241-280.
1994 US Government.
242
rotation. Adequately representing the vertical turbulence is crucial to a successful simulation

of stratification/destratification. A second-order turbulence model based upon the assumption
of local equilibrium of turbulence is employed. The boundary-fitted coordinates feature of
the model provides enhancement to fit deep navigation channels and irregular shoreline con-
figurations and permits adoption of an accurate and economical grid schematization. The
solution algorithm employs an external mode consisting of vertically averaged equations to
provide the solution for the free surface to the internal mode consisting of the full 3D
equations.
Practical aspects of applying the 3D hydrodynamic model are discussed through the pre-
sentation of an application on Chesapeake Bay. Basic input required are time-varying water-
surface elevations at the ocean entrance and freshwater inflows at the head of tributaries or
rivers. In addition, time-varying salinity and temperature data must be prescribed at all
inflow boundaries. Also, time-varying wind and surface heat exchange data must be
prescribed at one or more locations. These are then distributed in some manner over the
entire numerical grid. All input data, including initial conditions, bathymetry, boundary, and
computational control data are input from fixed files. Standard output are water-surface
elevations, velocity, salinity, and temperature in each cell of the grid at some specified time
interval.
2. Model Development
The basic equations solved, boundary conditions applied, numerical grid employed and the
numerical algorithm employed are presented below. In addition, an extended discussion of
the vertical turbulence parameterization is given.
3. Basic Equations
The basic equations for an incompressible fluid in a right-handed Cartesian coordinate system
(x,y,z) are:
au +av aw
_+_=0 (1)
ax ay az
au au 2 auv auw
+ - - + - - + - - = fv -
1 ap a
+-
at ax ay az Po ax ax (AH ::)
a a
+-
ay ~) +az-
(A H ay (Av !~) (2)
243
av iluv ilv ilvw 2 1 ilp il

!::'..)
at +--+--+--= ---+-
- fu (A H ilx
ilx ily ilz Po ily ilx
il (3)
+-
ily
~ = - pg (4)
ilz
ilS
ilt
+ iluS + ilvS + ilwS =..!!....
ilx ily ilz ilx
(KH ~)
ilx
+ ..!!....
ily
(KH ilS)
ily
+ ..!!....
ilz
(Kv ilS)
ilz
(6)
p = P (T,S) (7)
where
(u,v,w) :: velocities in (x,y,z) directions
t:: time
f :: Coriolis parameter defined as ZQ sin cp
where
Q :: rotational speed of the earth
cp :: latitude
p:: density
p:: pressure
AH,KH:: horizontal turbulent eddy coefficients
A", Ky :: vertical turbulent eddy coefficients
g :: gravitational acceleration
T :: temperature
S:: salinity
Equation 4 implies that vertical accelerations are negligible and thus the pressure is
hydrostatic.
Various forms of the equation of state can be used for Equation 7. In the present model,
the equation given below is used:
p = P/(a + O.698P) (8)
where
244
P = 5890 + 38T - 0.375T 2 + 3S
a = 1779.5 + 11.25T - O.0745T 2 - (3.8 + O.01T)S
and T is in degrees Celsius, S is in parts per thousand, and p is in grams per cubic
centimeter.
4. Non-Dimensionalization of Equations
Working with the dimensionless form of the governing equations makes it easier to compare
the relative magnitude of various terms in the equations. Therefore, the following
dimensionless variables are used:
(x *, y *, z *) = (x, y, zXrlZr)/Xr
(9)
245
where
('rw, 't) = wind stress in (x,y) directions
x t= water surface elevation
which then yields the following dimensionless parameters in the governing equations:
Vertical Ekman Number:
Lateral Ekman Number:
Vertical Prandtl (Schmidt) Number: Pry = Av/Kvr
Lateral Prandtl (Schmidt) Number: PrR = AHlKHr
Froude Number: (10)
Rossby Number:
Densimetric Froude Number:
where
Sr' T r , Ur , Pr ' Xr , Zr' AHr , Ayr' KHr , and ~ are arbitrary reference values
of the salinity, temperature, velocity, density, etc.
246
5. External-Internal Modes
The basic equations (Equations 1-4) can be integrated over the depth to yield a set of
vertically integrated equations for the water surface, l;" and unit flow rates U and V in
the x and y directions. Using the dimensionless variables (asterisks have been dropped)
and the parameters previously defined, the vertically integrated equations constituting the
external mode are:
al;,
at
+ 13 (au
ax
+ av)
ay
= 0 (11)
au = _ H al;, + 'tsx - 'tbx +

V
at ax
- R
o
It; [l
z
auu
ax
+ auv ] dz
ay
(12)
- R
o
It;
z
[auv
[ax
+ avv ] dz
ay
(13)
247
where
As will be discussed later, the major purpose of the external mode is to provide the updated
water-surface field.
The internal mode equations from which the 3D velocity, salinity, and temperature fields
are computed are:
ahu = _ h a<;
at ax
+ E~
az
v
(A v
ahU)
az
+ hv
+ EH [- a (AH -
ahU)
- + - a (AH--
ahU)]
ax ax ay ay
-2F 2 (II;z ~
ax
dZ) (14)
rD
ahv = _ h a<;
at ay
+ Ev ~
az
(Av ahV) - hu
az
+ EH [- a (AH -
ahV)
- + - a (AH--
ahV)]
ax ax ay ay
-2F 2 (II;z ~
ay
dz) (15)
rD
aUh aVh) (16)

Wk+1/2 = W k - 1/2 - (- - + - -
ax ay
248
+ PrH
EH [ a
ax
(KH ax
ahT) + a
Ty
(KH ay
ahT)] (17)
+ ~ [ ~
PrH ax
(KH ahS)
ax
+ ~
ay
(KH ahS)]
ay
(18)
In these equations h is the thickness of an internal layer and k+112 and k-112 represent
the top and bottom, respectively, of the kth vertical layer.
6. Boundary-Fitted Equations
To better resolve complex geometries in the horizontal directions, computations are made on
the boundary-fitted or generalized curvilinear planform grid shown in Figure 1. However,
rather than making the computations on the boundary-fitted grid, it is desireable to make the
computations on the transformed rectangular grid with square grid spacing. This necessitates
the transformation of the governing equations into boundary-fitted coordinates (1;,'11). If only
the (x,y) coordinates are transformed, a system of equations similar to those solved by
Johnson (1980) for vertically averaged flow fields is obtained. However, in the present
model not only are the (x,y) coordinates transformed into the (1;,'11) curvilinear system but
also the velocity is transformed such that its components are perpendicular to the (1;,'11)
coordinate lines. This is accomplished by employing the definitions below for the compo-
nents of the Cartesian velocity (u,v) in terms of contravariant components u and v
-
u = x1;u + ~v
-
(19)
along with the following expressions for replacing Cartesian derivatives

249
(20)
where J is the Jacobian of the transformation defined as
With the governing equations written in terms of the contravariant components of the
velocity, boundary conditions can be prescribed on a boundary-fitted grid in the same manner
as on a Cartesian grid since u and v are perpendicular to the curvilinear cell faces (e.g.,
at a land boundary, eitheru orv is set to zero).
3 2
a. Physical (x,y) plane b. Transformed (l;,l]) plane

Figure 1. Boundary-fitted numerical grid
z
cr-O
~
~
/
/
/
/
/
//// '///////
Figure 2. Sigma-stretched grid

250
Initially the vertical dimension was handled through the use of what is commonly called a
sigma-stretched grid. Such a grid is illustrated in Figure 2. However, with a relatively
coarse grid it was observed that stratification in deep channels could not be maintained dur-
ing long term simulations on Chesapeake Bay. With a sigma-stretched grid, the bottom layer
in one column communicates with the bottom layer in an adjacent column. Thus, if depth
changes are rather coarsely resolved, channel stratification cannot be maintained. As a result,
the governing equations presented below for solution on the Cartesian or z-plane in the verti-
cal direction are the ones constituting the internal mode.
With both the Cartesian coordinates and the Cartesian velocity transformed, the following
boundary-fitted equations for u ,v , w, S ,and T to be solved in each vertical layer
are obtained.
-- --
ahu _ _ (G
22 a1;
h - - --
_ G)
12 a1;
---
h
+ - (G12 -u + G22 -v) R
+ --
0 1L.
'j [
-
a --
(JYshuu
at J 2 as J 2 c3l'} J J2 as
I
I; (G22 ~
z J2 as
- G 12 ~) dz 1+ Horizontal Diffusion
J 2 all
(21)
ahv G21
- h (- - a1; + -
- -- - -a1;)
G ll - - -h (
G ll- _ [ - a ( JYshu
Roxs
u + G21 -v ) - _ --u
at J 2 as J 2 all J J2 as
251
+ Horizontal Diffusion (22)
wtop = Wbot - T1 ---ar- + --a:YJ

( aJiih aJVh) (23)
ahS =
at
2!(Kv
Pr v
as)
az top
_ (Kv as)
az bot
1- Ro (ahJiiS + ahJVS)
J a; aYj
- Ro [(WS)top - (WS)bot) + Horizontal Diffusion (24)
- Ro [(w1)toP - (W1Joot] + Horizontal Diffusion (25)
where
(26)
Similarly, the transformed external mode equations become:

252
at; + ~ (au + av) =0 (27)

at las aY)
au = _
at
H(G22 ~
J2 at; _ G at;)
12 Tr]
+ -1 (
J
-
G 12 -) + _
U + G 22V Ro'S-j
_
J2
II;z [a-as (-- --) + _ a (Jy'\:uv
Jy;uu + JYT]uv
aY)
--
'5
+ JYnVV- -)] dz
,
av
- = - - H ( - G 21 - at; + G ll -at; ) - -1 (
G ll- -)
U + G 21 V
at J2 as aY) J
RoYs
+ _ _ II; [__a (Jx,\:uu
- - + J'S-juv
--) + _ a (--
Jx;uv --) ] dz
+ JXY)vv
J2 z as '5 aY)
+ 'tsn - 'tbn - -
Ro -H2 ( - G -ap + G -ap )
21 ll
., ., F 2 2 as Or]
TO
253
Equations 27-29 are solved first to yield the water-surface elevations which are then used to
evaluate the water-surface slope terms in the internal mode equations. The horizontal diffu-
sion terms are quite lengthy. In large bodies of water, the horizontal diffusive transport is
generally small and thus these terms have been neglected in the present model. A version of
the model that incorporates these terms is under development.
7. Boundary Conditions
The boundary conditions at the free surface are
aT = Pr K (T - T e) (30)
az Ev
~ =0
az
whereas the boundary conditions at the bottom are
aT,~ =0 (31)
az az
where
C = surface drag coefficient
W = wind speed
K = surface heat exchange coefficient
Te = equilibrium temperature
Cd = bottom friction coefficient
v
~, 1 = values of the horizontal velocity components next to the
bottom.
With z1 equal to one-half the bottom layer thickness, Cd is given by
254
(32)
where
k = von Karman constant
Zo= bottom roughness height
As presented by Garratt (1977), the surface drag coefficient is computed from
C = (0.75 + 0.067 W) x 10-3 (33)
with the maximum allowable value being 0.003. The surface heat exchange coefficient, K,
and the equilibrium temperature, Te , are computed from meteorological data (wind speed,
cloud cover, wet and dry bulb air temperatures, and relative humidity) as discussed by
Edinger, Brady, and Geyer (1974).
Along the shoreline where river inflow occurs, the freshwater inflow and its temperature
are prescribed and the salinity is assumed to be zero. At an ocean boundary, the water-
surface elevation is prescribed along with time-varying vertical distributions of salinity and
temperature. Along a solid boundary, the normal component of the velocity and the
viscosity and diffusivity are set to zero.
8. Numerical Grid
A staggered grid is used in both the horizontal and vertical directions of the computational
domain (Figure 3). In the horizontal directions, a unit cell consists of a ~-point in the center
~ j)' a V-point to its left (Vi j)' and a V-point to its bottom (Vi j)' In the vertical direction,
the vertical velocities are computed at the "full" grid points. Horizontal velocities, tempera-
ture, salinity, and density are computed at the "half' grid points (half grid spacing below the
full points).
0
C
U. u
v. "

~
u
\If
~ t w. T. P 0 T. P
A v
~
D
0 ~
C
o~
D
0

0
~
6
D
0 6 0 6
D D
0 6 0
D

0
6
6
C
0 ~
D
0 6
D
0 6
D
0
6
0
6 0 ~ 0 6 0 /1 0
D
6 0/1
D
0
/1
0
1117~1I1
Figure 3. Staggered grid
255
9. Numerical Solution Algorithm
Finite differences are used to replace derivatives in the governing equations, resulting in a
system of linear algebraic equations to be solved in both the external and internal modes.
The external mode solution consists of the surface displacement and vertically integrated
contravariant unit flows D and V. All of the terms in the transformed vertically averaged
continuity equation are treated implicitly whereas only the water-surface slope terms in the
transformed vertically averaged momentum equations are treated implicitly. If the external
mode is used as purely a vertically averaged model, the bottom friction is also treated
implicitly. Those terms treated implicitly are weighted between the new and old time-steps.
The resulting finite difference equations are then factored such that a S-sweep followed by an
lj-sweep of the horizontal grid yields the solution at the new time-step.
Writing Equations 27-29 as
a~at + ~ (au
as
+ av] = 0
alj
(34)
(35)
av H
+ - G ll -
a~
=N (36)
at J2 alj
the S-sweep is
*~eLit
S-sweep => r .. + _
'='ij
_ ( U.
- l' - U..
LiS
*
1+ ,j
- *) =
Ij
n
~ ..
Ij
~Lit (-
- (1-9)_ U. l' - U ..
n _n)
LiS 1+ ,j Ij
(37)
and
256
_n+1
UIJ.. +
8AtHG22 (
AS J2 ~ij -
* ~i-1,j
*)
n
= U ..
IJ
AtHG22 ( n n) n (38)
-(1-9) ~. - ~i-1' + At M
ASJ 2 J ,J
The l']-sweep then provides the updated ~ and V at the n+ 1 time level.
n+1 ~9At ( - n+1 _ n+1) *

l'] -sweep => ~j + - - V.. 1 - V..
Al'] I,J + IJ
= ~I,J
..
~At (_ n
- (1-8)_ V .. 1 - V ..
_n)
Al'] I,J + I,J
At (-
+ -
n _n)
V .. 1 - V ..
(39)
Al'] I,J+ I,J
and
_ n+1 8AtHG ll ( n+1 n+1)

V jJ + Al'] J 2 ~j,j+ 1 - ~jJ
= V.~
I,J
AtHGll (n n) (40)
-(1-8) ~.. 1 - ~. + At N n
Al'] J 2 I,J+ ,J
257
A typical value of 8 of 0.55 yields stable and accurate solutions.

The internal mode consists of computations from Equations 21-25 for the three velocity
components u, v, and w, salinity, and temperature. The only terms treated implicitly are
the vertical diffusion terms in all equations and the bottom friction and surface slope terms in
the momentum equations. Values of the water-surface elevations from the external mode are
used to evaluate the surface slope terms in Equations 21 and 22. As a result, the extremely
restrictive speed of a free-surface gravity wave is removed from the stability criteria.
Roache's second upwind differencing is used to represent the convective terms in the
momentum equations, whereas a spatially third-order scheme developed by Leonard (1979)
called QUICKEST is used to represent the advective terms in Equations 24 and 25 for
salinity and temperature, respectively. For example, if the velocity on the right face of a
computational cell is positive then with QUICKEST the value of the salinity used to compute
the flux through the face is
SR = ~ .. k+ SI+,J,
2 (S I,J, 1 k)
--
1
6 1 -
[ (U- i +1j.-\ '1
k .-\t 2]
(s. +1,J,k
1 - 2 SI,J,. k + S1 -1 ,J,. k)
S
_ ,J,k .-\t (S . . - S .. )
1 U1 +1 (41)
"2 .-\!; 1 +1,J,k I,J,k
The more interested reader is referred to the paper by Leonard (1979).

It should be noted that once the u and v velocity components are computed they are
slightly adjusted to ensure the conservation of mass. This is accomplished by forcing the
sum of u over the vertical to be the vertically averaged velocity OH and the sum of v
over the vertical to equal W, where H is the total water depth.
10. Turbulence Parameterization
The effect of vertical turbulence is modeled by using the concept of eddy viscosity and dif-
fusivity to represent the velocity and density correlation terms that arise from a time averag-
ing of the governing equations. These eddy coefficients are computed from mean flow char-
acteristics using a simplified second-order closure model originally developed by Donaldson
(1973). The closure model has been further developed and applied to various types of flows
by Lewellen (1977) and Sheng (1982, 1986). A discussion of the implementation of the
turbulence model taken from Sheng* follows.
* Sheng, Y. P. 1990. "A Simplified Second Order Closure Model of Turbulent

Transport," unpublished paper prepared for US Army Engineer Waterways Experiment
Station, Vicksburg, MS.
258
Basically all second-order closure models solve the Reynolds stress equations in addition
to the equations for the mean flow. These equations can be found in any textbook on turbu-
lence and thus are not reproduced here. Assuming local equilibrium of turbulence, the
Reynolds stress equations can be greatly simplified since there is no time evolution nor
spatial diffusion of the second-order correlations. If one considers only the vertical turbulent
transport, these equations can be expanded into
..i uv + ~ (2b-l) + 2 u'w' aii = 0 (42)

A 3A az
..i v'v' + ~ (2b-l) + 2 v'w' av = 0 (43)

A 3A az
3
..i w'w' + L (2b-l) + ~ w'p' = 0 (44)
A 3A P
q - --
- u'v' + u'w' -
av -- aii
A az + u'w' -az = 0 (45)
q -
A
- - aii
- u'w' + w'w' - +
az p
g
u' p' = 0 -= (46)
q--
- w'w' + w'w' -
--av + -
g-
v'p' = 0 (47)
A az p
bsq -
- - p'p' + w'p' -
- a-p =0 (48)
A az
-
Aq- -ajj
u'p' + u'w' -
-au
+ w'p' - = 0 (49)
A az az
259
Aq- -djj -dV 0

- V'p' + V'W' - + W'p' - = (50)
A dZ dZ
Aq w'p' + w'w' djj +!. p'p' = 0 (51)

A dZ -
P
where
b = 0.125, s = 1.8, A = 0.75
and
q = /--;-;
\U'U' + -v'v' + ---r---rll/2
w'w'J (52)
where u', v', and w' are the turbulent velocity fluctuations and the overbar indicates
time averaging. These equations can be manipulated to produce an equation relating the
turbulent kinetic energy and the macroscale of turbulence A to the mean flow shear and
stratification (given by the Richardson number Ri):
3A ~ 2sQ 4 + A[(bs + 3b + 7b 2s)Ri - Abs(l - 2b)]Q 2 (53)
+ b(s + 3 + 4bs)Ri 2 + (bs - A)(l - 2b)Ri =0
where
(54)
and
(55)
260
As discussed by Sheng, * it can also be shown that the following relations hold:
AU A 1 +~
--
u'w'
oz - -.:---
=- - A - -
w'w'
(56)
q 1-c.o
ov A 1 +~
--
v'w' = -
oz
--
A --
-.:--- w'w'
(57)
q 1 - c.o
(58)
where
Ri
c.o (59)
AQ 2
and
c.o
c.o =
c.o (60)
1 - bs
Thus, after the velocity shear and flow stratification are determined, q can be computed
using Equations 53 and 55. w'w' is then determined from
(61)
Finally, after A is prescribed, u'w' and v'w' can be computed from Equations 56 and 57
and the vertical eddy coefficients can be determined from
* 1990, op. cit.

261
_ -u'w' _ A
Av - - - - -
A + w --
-:-:",.--...,.. w'w'
au q A(1 - w) (62)
Tz
A bs -,-,
-;:---~ ww
q (bs - w)A (63)
If the Richardson Number Ri never exceeds a critical value of 0.55 at any vertical position
in the water column, the initial distribution of A at a vertical position z is computed from
0.65z such that A is zero at both the surface and the bottom with its maximum value
occurring at middepth. However, if a pycnocline does exist (Ri O!: 0.55), then the initial
distribution of A is computed such that A is zero at the surface, at the pycnocline, and at
the bottom with maximum values occurring halfway between the surface and the pycnocline
and the pycnocline and the bottom. This initial distribution is then modified by the three
basic constraints below:
dA
I_I s 0.65 (64)
dz
-i
N (_.!P ~)O.5
A s = _ _q.:-~
(65)
az
(66)
where N is the Brunt-Vaisala frequency. Equation 66 states that A is less than a fraction
of the spread of turbulence as measured by the distance between the location of a maximum
q2 to where q2 is equal to 25 percent of the maximum. Sheng suggests a value of 0.15 to
0.25 for the coefficient Qcut.
11. Model Application
The 3-D numerical hydrodynamic model discussed above has been applied to Chesapeake
Bay to provide flow fields to a 3D water quality model of the bay.
262
12. Physical Description of Chesapeake Bay
The Chesapeake Bay is one of the largest estuaries in the world. As shown in Figure 4, the
main bay extends approximately 300 Ion north from the ocean entrance to the Susquehanna
River. The average depth of the bay is about 8 m, although a natural channel with depths
greater than 15 m traverses the bay for more than 60 percent of its length. The bay is
irregular in shape, varying in width from 6.4 km between Annapolis, MD, and Kent Island,
in the Upper Chesapeake Bay, to 48.3 Ion in the middle bay off the Potomac River. The bay
is long enough to accommodate one complete tidal wave at all times.
13. Numerical Grid
The first step in applying a 3-D numerical hydrodynamic model is the construction of a
numerical grid to cover the domain of interest. The horiwntal numerical grid of Chesapeake
Bay employed is shown in Figure 5. There are 734 active horizontal cells and a maximum
of 15 vertical layers, resulting in over 4,000 computational cells. To capture the important
features of the hydrodynamic processes and bathymetry in the bay, grid resolution is 1.52 m
vertical and approximately 10 km longitudinal and 3 km lateral. Major tributaries, i.e., the
James, York, Rappahannock, Potomac, Patuxent and Susquehanna Rivers, are modeled fully
3-D in the lower reach and two-dimensional (2-D) in the upper reach with a single cell
spanning the width of the tributary. Based upon an average inflow of 70,000 cfs, typically
about 90 percent of the fresh water in the bay enters by these rivers.
14. Description of Field Data
Current meter data were available for four long-term stations: bay entrance (BE), Wolf Trap
(WT), midbay (MB), and Bay Bridge (BB). * These locations are shown in Figure 5. These
data include current direction and amplitude, water temperature, pressure, and conductivity.
They were measured at a 10-min time interval. The temperature and conductivity were used
to compute salinity from Equation 67.
S = ({[(-1.02527 * RF + 4.81236) * RF - 9.04061]

* RF + 11. 95364} * RF + 28.29988) * RF (67)
where
RF = RT + RT * RD * TF * (BR + TF + FRT) * 10-5
and
RT = C/CKT
RD = RT - 1.0
BR = {[(-26.9 * RD + 3.09) * RD - 8.52] * RD + 67.1}
FRT = -0.25 * RD * TF
with
CKT = {[(-2.217 * 10-8 * T - 2.5813 * 10-5)
* T + 4.6704 * 10-3] * T + 0.86062} * T + 29.0473
TF = T - 15.0
* Personal Communication with National Ocean Service, Asheville, NC.

263
~--nr~~---------
OCEAN
SCALE IN Km
16
..... - 0 16 32 48
Figure 4. Chesapeake Bay

264
"''''~
~~
Baltimor.e-
Hashington ---
Airport
HdG - Havre de Grace

ANN - Annapolis
HE - RrtV Bridge
!ill - Mid Say .
SOL - Solo",ons
COL - Colonial Beach Ai.r.port
LEW - i..ewiaet: ta HRa
In - Ii'"Jf Tn,l'
CEr - Che~:u~p*&k-c? thy Tunn~d.
BE - Bay Entranc
BRd - Ha"'1' ton Roads
Figure 5. Planform boundary-fitted grid of Chesapeake Bay

265
and
T = temperature, C
C = conductivity, mmhos/cm
S = salinity, ppt
Hourly wind data at the Patuxent River Naval Air Station and wind data at Norfolk Inter-
national Airport at 3-hour intervals were available for the September 1983 period. * The
wind data are given in terms of wind direction and speed. Hourly tidal height, corrected to
NGVD, at seven locations were obtained from NOS: Havre de Grace, MD (HdG), Colonial
Beach, VA (COL), Lewisetta, VA (LEW), Annapolis, MD (ANN), Solomons, MD (SOL),
Hampton Roads, VA (HRd), and Chesapeake Bay Tunnel, VA (CBT). * The locations of
these gages are also shown in Figure 5. Average daily riverflow data at the tributary fall
lines were obtained from the US Geological Survey Water Resources Data reports (USGS
1984a and b). These data are discussed in detail by Blumberg et al. (1991).
15. Initial Conditions
To save on computation time, the initial 3-D salinity and temperature fields were
constructed to be as close to reality as possible. These were established by using the avail-
able field data. The value for each individual cell of the 3-D grid was first set to be that of
the nearest field data point. The resulting 3-D fields of salinity and temperature were then
smoothed several times using a three-point smoothing equation. The initial velocity field
was taken to be zero and the water surface was taken to be at mean sea level.
16. Boundary Forcing Data
Boundary forcings consist of tides, winds, freshwater inflows, and the exchange of heat at the
water surface. The tide imposed at the ocean boundary (CBT) is shown in Figure 6. In
addition to the tide at the ocean boundary, time-varying vertical distributions of salinity and
temperature were also prescribed using the field data at station BE. Since data were not
available, the Chesapeake and Delaware Canal was closed.
Daily freshwater inflows were prescribed at the head of all major tributaries. All of these
flows were quite low, with over half of the total freshwater inflow coming from the
Susquehanna River (Figure 7). The time-varying temperatures of these inflows were set to
be the equilibrium temperature given in Table 1. The salinity of the tributary inflows was
taken to be zero.
Wind stress in the lower to middle bay was computed from linearly interpolated wind data
from the Norfolk and Patuxent stations. North of the Patuxent station, only wind data from
the Patuxent station were used. Wind vectors from the Patuxent station are presented in Fig-
ure 8 and have been adjusted to represent over-water winds.
The computation of the surface heat exchange has previously been discussed. The equili-
brium temperatures and surface heat exchange coefficients computed using meterological data
from the Patuxent station are given in Table 1. These were assumed to be constant over the
bay.
* Personal Communication with National Climatic Data Center, Rockville, MD.

266
7 14 21 21
Figure 6. Ocean boundary tide at Chesapeake Bay Tunnel

during September 1983
8...
U1
~8
... ~
w
~~
II:
-
J:
US
U1_
Cl
0
0 5 10 15 20 25 30
TIME, DAYS
Figure 7. Freshwater inflow on Susequehanna River during September 1983.

Day 0 is 1 September
267
Table 4
SeQtember 1983 Surface Heat Exchange Data
Surface
Equilibrium Transfer
Temperature Coefficient
Date c WattsLm2e..C
9/01/83 24.2 41.7
9/02/83 23.6 31.4
9/03/83 27.2 20.0
9/04/83 26.0 45.1
9/05/83 28.7 34.8
9/06/83 28.8 41.4
9/07/83 29.4 27.8
9/08/83 23.4 27.9
9/09/83 26.5 25.1
9/10/83 26.9 29.5
9/11/83 25.8 42.2
9/12/83 25.4 42.9
9/13/83 21.3 43.4
9/14/83 17.1 46.2
9/15/83 18.1 38.1
9/16/83 19.4 29.9
9/17/83 22.3 32.8
9/18/83 22.6 29.6
9/19/83 23.4 49.3
9/20/83 23.4 60.5
9/21/83 20.8 62.9
9/22/83 12.9 46.5
9/23/83 15.4 21.0
9/24/83 15.7 22.3
9/25/83 20.6 13.5
9/26/83 18.2 13.3
9/27/83 21.3 18.7
9/28/83 17.5 40.4
9/29/83 14.5 54.8
9/30/83 16.9 58.3
9/31/83 20.8 22.4
10/1/83 19.9 19.3
268
Wind East-West Component
Wind ."'.v...., .. North-Sou.th Component
Wind Velocity VectoI'S
{) ~{) meters/see
Figure 8. Wind data at the Patuxent River Naval Air Station during
September 1983. Day 0 is 1 September.
269
17. Model Coefficients
Parameters connected with the computation of the vertical turbulence coefficients and the
bottom drag coefficient are prescribed. The bottom roughness was set such that the bottom
drag coefficient was computed to have a value of 0.0028 throughout the bay. Recall that the
horizontal viscosity and diffusivity terms are neglected. Background or minimum values for
the vertical eddy viscosity and diffusivity were set to be 10 cm2/sec and 0.005 cm 2/sec,
respectively.
As previously discussed, the vertical turbulence model contains one free parameter, 0cut'
that can be varied. However, its value should be in the range of 0.15-0.25. In this range,
the computed eddy coefficients were fairly insensitive to variations in Ocut Thus, 0cut
was set to 0.20. The other three parameters, b, A, and S, are considered to be constants.
However, several runs with the September 1983 data set were made in which the values of
these parameters were varied. The basic conclusion drawn from these results was that the
default values should not be changed and these parameters should indeed be considered
model constants.
18. Model Results
With these boundary forcings and initial state, computations were made on the numerical
grid shown in Figure 5. The initial salinity and temperature fields were frozen for the first
5 days. Computed salinity, temperature, and velocity were saved at the locations of the
current meter stations in Figure 5 for comparison with the field data. Computed water-
surface elevations were saved at the six interior tide stations noted in Figure 5. Furthermore,
monthly averaged velocity vectors were computed for comparison with observed long-term
circulation patterns in Chesapeake Bay.
Comparison of the computed and recorded tides at Hampton Roads, Lewisetta, and
Colonial Beach, VA, and Annapolis, MD, are presented in Figures 9-12. Low water at
Hampton Roads is consistently computed to be too high; however, the range at most other
stations is about right. Around the middle of the month the computed water surface at most
stations experiences too much setup. This is probably due to an inaccuracy in the wind data
or perhaps a barometric disturbance that is not modeled. The effect of the wind shift around
the 20th of the month is quite evident.
Figures 13-14 illustrate the ability of the numerical model to reproduce flow velocity well.
The impact of the sudden shift in the wind around the 20th of the month can clearly be seen.
Salinity results are presented at stations MB and BB in Figures 15-16 and demonstrate that
the vertical turbulence closure model responds reasonably well to the wind-mixing event. As
a result of the turbulence generated by the velocity shear created by the wind, the bay destra-
tified but then began to restratified within a few days.
Since flow fields generated by the hydrodynamic model are to be used in the long-term
computation of water quality parameters, it is important to demonstrate the ability of the
model to compute the proper residual circulation of the bay. Figure 17 shows the computed
monthly averaged near-surface and near-bottom currents in the bay. Note the classical
gravitational circulation, with the surface water flowing toward the ocean and bottom water
moving up the bay. Figure 18 is a similar plot that was constructed by Blumberg, from
records of field data collected by NOS at various locations over a period of time from 1976
270
rn'-
a: ,,
W
till! :,
I
2 0
aU
o
~o \ ('! . ~
a:
;::) I,
rn .. l ') \ \ " I
a:o
Wi LEGEND
tc COMPUTED
__ J)P..s~a~I;R __
~.-I
7 14 21 21
Figure 9. Comparison of computed and recorded tide at Hampton

Roads, VA, during September 1983
rn'-
a:
W
till!
2 0
aU
o
~o
a:
;::)
rn ..
a:o
Wi LEGEND
tc COMPUTED
__ J)P..s~a~I;R __
~.-I
7 14 21 21
Figure 10. Comparison of computed and recorded tide at Lewisetta,

VA, during September 1983
271
...
LEGEND
__ 9a.$~a~ea __
COMPUTED
7 14 21 28
Figure 11. Comparison of computed and recorded tide at Colonial

Beach, VA, during September 1983
LEGEND
COMPUTED
__ 9a.$~tWea __
7 14 21 28
Figure 12. Comparison of computed and recorded tide at Annapolis,

MD, during September 1983
272
o
...o
LEGEND
COMPUTED
__ Qa.s~(NER __ .
7 14 21 28
a. Depth = 17.5 ft
o
...o
LEGEND
COMPUTED
__ Qa_S~(1.YER __ .
7 14 21 28
b. Depth = 42.5 ft
Figure 13. Comparison of computed and recorded velocity at
station MB during September 1983
273
o
o
N
LEGEND
COMPUTED
__ QttSI;(t"{I;R __ .
7 14 21 28
a. Depth = 17.5 ft
o
o
N
o
!!!
-
o
5!
V)
::?;o
u lO
M
a: o
w
~o
...J~
::)
o LEGEND
5!, COMPUTED
__ QeS_~Iw.m __ .
o
~4-~~~~~~-.r-r-~~~~~,-~~~~~~-,-.--r-r-~~~.-~~~~
7 14 21 28
b. Depth = 62.5 ft
Figure 14. Comparison of computed and recorded velocity at

station BB during September 1983
274
..,
'"
LEGEND
o COMPUTED
'" __ JntS~Et'l~R __ .
I-
Q...,
Q. N
N
or-
..,
7 14 21 28
a. Depth = 17.5 ft
..,
'"
LEGEND
o COMPUTED
'" __ QttS~ft'l~R __ .
..,
7 14 21 28
b. Depth = 42.5 ft
Figure 15. Comparison of computed and recorded salinity at

station MB during September 1983
275
..,'"
LEGEND
..,
o COMPUTED
__ .QttSeN~R __ .
7 14 21 28
a. Depth = 17.5 ft
..,'"
LEGEND
..,
0 COMPUTED
__ mtSetyeR __ .
t:",
0.. ....
c..;
a:o
w ....
~
-'
.'"
>--
t::
z
:::Jo
<-
U)
'"
0
7 14 21 28
b. Depth = 62.5 ft
Figure 16. Comparison of computed and recorded salinity at
station BB during September 1983
276
a. Near-surface
Figure 17. Computed residual currents from model

during September 1983 (Continued)
277
b. Near-bottom
Figure 17. (Concluded)

N
-..,J
00
SURFACE CURRENTS Bono}! CURRENTS
1977-1983 1977-1983
.!Q...!:m/sec rum/sec
a. Near-surface b. Near-bottom
Figure 18. Computed residual currents from field data during 1977-1983
279
to 1983. * Only those records of at least 15 days in length were employed in constructing
these plots. Note that the magnitude of the model-computed near-surface and near-bottom
residual currents is in the 5- to lO-cm/sec range as is that for the field data.
19. Summary
A time-varying 3-D numerical hydrodynamic model has been developed and applied to
Chesapeake Bay to yield flow fields to drive a 3-D water quality model. The hydrodynamic
model, CH3D-WES, makes computations on a curvilinear or boundary-fitted planform grid.
Physical processes impacting baywide circulation and vertical mixing that are modeled
include tides, wind, density effects (salinity and temperature), freshwater inflows, vertical
turbulence, and the effect of the earth's rotation.
Application of a 3-D numerical hydrodynamic model requires an extensive data base. A
successful verification of the hydrodynamic model requires sets of synoptic data. These sets
must contain freshwater inflows and the temperature of those flows on the major tributaries;
tides at the bay entrance as well as at various interior stations; meteorological data at one or
more stations from which the surface wind stress and heat flux can be determined; and cur-
rents, temperature, and salinity at several locations throughout the bay as well as at the ocean
boundary. Application using September 1993 data on Chesapeake Bay and a comparison of
model results with field data at interior stations have been presented.
20. Conclusions
Based upon an overall comparison of model results with available field data, it has been
demonstrated that the 3-D hydrodynamic model behaves well and is a good representation of
the hydrodynamics of the Chesapeake Bay. This study has also demonstrated that yearlong
3-D hydrodynamic computations to drive water quality models are feasible. Although only
results from the September, 1983 application were presented, year long simulations have
been made. A 1-year simulation on the Chesapeake Bay grid using a time-step of 5 minutes
takes about 10 hours on a CRAY Y-MP computer.
Other conclusions relate to the modeling approach taken. The obvious benefit of generat-
ing solutions on boundary-fitted grids is that geometric features are modeled more accurately
and economically. The price for this is the increased complexity of the equations. However,
since the equations are differenced on a transformed regular grid, this poses no particular
problem. Use of the contravariant velocity results in a more straightforward differencing of
the equations since the same type staggered grid employed in Cartesian models can be used.
In addition, boundary conditions are more easily applied. The use of a sigma grid in the
vertical resulted in excess advection of salt from the deep channels to the shallows. There-
fore, to maintain stratification in the channels over long periods of simulation, computations
are now made on the z-plane.
* Personal Communication with Dr. Alan Blumberg, HydroQual, Inc., Mahwah, NJ.
280
21. References
Blumberg, A F., Johnson, B. H., Heath, R. E., Hsieh, B. B., Pankow, V. R., Kim, K W.,
and Butler, H. L. 1991. "Data Employed in the Development of a Three-Dimensional,
Time-Varying, Numerical Model of Chesapeake Bay," Technical Report HL-91-1, US Army
Engineer Waterways Experiment Station, Vicksburg, MS.
Donaldson, C. duP. 1973. "Atmospheric Turbulence and the Dispersal of Atmospheric
Pollutants," Workshop on Micrometeorology, D. A Haugen, ed., American Meteorological
Society, Science Press, Boston, pp 313-390.
Edinger, J. E., Brady, D. K, and Geyer, J. C. 1974. "Heat Exchange and Transport in the
Environment," Report 14, EPRI Publication No. 74-049-00-3, Prepared for Electric Power
Research Institute, Palo Alto, CA
Garratt, J. R. 1977. "Review of Drag Coefficients Over Oceans and Continents," Monthly
Weather Review, Vol 105, pp 915-929.
Johnson, B. H. 1980. "VAHM - A Vertically Averaged Hydrodynamic Model Using
Boundary-Fitted Coordinates," Miscellaneous Paper HL-80-3, US Army Engineer Waterways
Experiment Station, Vicksburg, MS.
Johnson, B. H., Kim, K W., Heath, R. E., and Butler, H. L. 1991. "Development and
Verification of a three-dimensional Numerical Hydrodynamic, Salinity, and Temperature
Model of Chesapeake Bay." Technical Report HL-91-7, US Army Engineer Waterways
Experiment Station, Vicksburg, MS.
Leonard, B. P. 1979. "A Stable and Accurate Convective Modeling Procedure Based on
Upstream Interpolation," Computer Methods in Applied Mechanics and Engineering, Vol 19,
pp 59-98.
Lewellen, W. S. 1977. "Use of Invariant Modeling," Handbook of Turbulence, W. Frost,
ed., Plenum Press, New York, Vol 1, pp 237-280.
Sheng, Y. P. 1982. "Hydraulic Applications of a Second-Order Closure Model of Turbulent
Transport," Applying Research to Hydraulic Practice, P. Smith, ed., American Society of
Civil Engineers, New York, pp 106-119.
_:--___. 1986. "A Three-Dimensional Mathematical Model of Coastal, Estuarine and
Lake Currents Using Boundary Fitted Grid," Report No. 585, AR.AP Group of Titan
Systems, New Jersey, Princeton, NJ.
US Geological Survey. 1981a, 1984-1987 inclusive. "Water Resources Data, Maryland,"
Water Years 1980, 1983-1986 inclusive, Towson, MD.
US Geological Survey. 1981b, 1984-1987 inclusive. "Water Resources Data, Virginia,"
Water Years 1980, 1983-1986 inclusive, Richmond, VA
10
SEDIMENT TRANSPORT MODELS AND THEIR TESTING
YASUO ONISHI
Pacific Northwest Laboratory
Operated by Battelle Memorial institute
for the U.S. Department of Energy
under Contract DE-AC()6-76RLO 1830
Richland, Washington, 99352 U.S.A
ABSTRACT. Hydraulic and environmental engineers must evaluate transport, deposition, and erosion
of sediment for planning and operating river and canal systems. An alluvial flow is characterized by
the inter-dependency of flow, sediment transport, bed form, and friction factor: The flow affects the
sediment transport and bed form, which control the hydraulic roughness and channel geometry. The
hydraulic roughness and channel geometry, in tum, affect the flow. This interdependency produces
major difficulties for analyzing and simulating fluvial flow and associated sediment transport. Thus, a
key to successful sediment transport modeling is to correctly reflect this interdependency in a model.
Numerous methods and formulas are available for predicting stage-discharge relationships and
calculating sediment discharge in rivers. They are an integral part of sediment transport computer
codes. This paper summarizes sediment transport mechanisms, stage-discharge predictors, sediment
discharge formulas, and 22 numerical sediment transport models. Furthermore, the paper discusses
tests of 10 representative stage-discharge predictors, 23 sediment discharge formulas, and 6 sediment
transport computer codes against each other and against measured data. The wide scatter of their
predictions clearly demonstrates the lack of understanding of this interdependency, and no single stage-
predictor, sediment discharge formula, and flow-sediment routing code can be selected as the best
method or model to analyze sediment transport for all conditions. Thus, a user must review many
methods and models for their applicabilities and limitations relative to a specific problem, and then
select several computer codes that contain suitable friction factor representations and sediment
discharge formulas.
1. Introduction
Hydraulic and environmental engineers have a great need to evaluate the transport, deposition, and
resuspension of sediment for the planning and operation of river and canal systems. This requirement
is made greater by environmental assessment and clean-up activities, since fine sediment materials act
as a carrier of many toxic chemicals, heavy metals, and radionuclides (Mehta et al. 1989a,b; Onishi
1981; Onishi et al. 1993).
Flow, sediment transport, and channel roughness/channel geometry in a fluvial stream are
interdependent. The flow affects the sediment transport, which controls the hydraulic roughness and
channel geometry through bed formation and sediment deposition/erosion. The hydraulic roughness
and channel geometry, in tum, affect the flow. For example, it is possible to have multiple flow
velocities (Figure 1) and sediment transport rates (Figure 2) for the same flow depth or discharge in a
given channel, depending on the bed form, as shown for the Rio Grande (Nordin 1964). Thus, to
make depth-discharge predictions for alluvial flows requires knowledge of the relationships among flow
281
1994 US Government.
282
~ 3
g Transition zone
III
::I
"C
f!
0 2
'3
f!
"C
>-
J:
1.0
0.9
0.8
0.7
L -_ _'--_-J..._ _~_ _L_~_...I._...J........J
1 2 3 4 5 6 7 8
Mean velocity (fps)
59306062.1
Figure 1. Rating Curve for Rio Grande near Bernalillo, New Mexico (Nordin 1964)
parameters, fluid/sediment properties, and the hydraulic roughness affected by sediment transport.
Here lies the critical difference between an alluvial flow and a rigid-channel flow and the source of the
difficulties dealing with fluvial streams.
Numerous methods and formulas are available to predict stage-discharge relationships and to calculate
sediment transport rates in rivers. They are an integral part of numerical sediment transport models
(Vanoni 1975; National Research Council 1983; Fan 1988). This paper briefly summarizes sediment
transport mechanisms, stage-discharge predictors, sediment transport formulas, and 22 sediment
transport numerical model formulations. We will also compare 10 representative stage-discharge
predictors, 23 sediment transport formulas, and 6 numerical sediment transport models, against each
other and measured data.
2. Sediment Transport Mechanisms
2.1. SEDIMENT PROPERTIES
Sediment can be divided into cohesive and non-cohesive sediment. Non-cohesive sediments are those
consisting of discrete particles whose movements depend only on particle properties (e.g., size, shape,
and density) for given transport and erosion forces. Sand and gravels are examples of non-cohesive
sediments. Cohesive sediments, on the other hand, are those whose movements depend also on the
283
100x 103
90
80
70
o Dunes
a Transition
Flat bed and antidunes .,,
I
60 I.
I
~ 50 I
i 40
I
I"
30 I
I
Y a
20 I
I
a
10
9
8
7
6 /
5 /8
/
4
/
3 I
2
/
2 3 4 5 6 7 8 910 x 103
Discharge (cis)
59306062.2
Figure 2. Bed Sediment Discharge vs Water Discharge for Rio Grande

near Bernalillo, New Mexico (Nordin 1964)
strength of cohesive bond between particles. They flocculate (or aggregate) and the aggregate
properties depend on sediment type, type and concentration of ions in the water, and flow conditions
(Krone 1962; Mehta et a1. 1989a). Fine silt and clay are often cohesive sediments.
In this paper, we will limit our scope to mostly non-cohesive sediment. The main properties of non-
cohesive sediment that relate to sediment transport are particle size, shape, density, and fall velocity.
Table 1 shows the standard size classifications of the American Geophysical Union (Lane 1947; Vanoni
1975).
Although the sediment is composed of a variety of minerals, the most common mineral in river
sediment is usually quartz, because of its great resistance to weathering and abrasion. Its specific
weight is 2.65. Other mineral compositions include feldspar, chert, and carbonates, whose specific
weights are 2.55-2.76,2.65, and 2.85, respectively (Vanoni 1975).
284
Table 1. Sediment Size Classification (adopted from Vanoni 1975)
Sieve Mesh Opening per inch

Class Name Sizes (nun) Tyler U.S. Standard
Boulders
very large 4,096 - 2,048
large 2,048-1,024
medium 1,024-512
small 512-256
Cobbles
large 256-128
small 128-64
Gravel
very coarse 64-32
coarse 32-16
medium 16-8 2.5
fine 8-4 5 5
very fine 4-2 9 10
Sand
very coarse 2.000-1.000 16 18
coarse 1.000 - 0.500 32 35
medium 0.500-0.250 60 60
fine 0.250 - 0.125 115 120
very fine 0.125-0.062 250 230
Silt
coarse 0.062-0.031
medium 0.031-0.016
fine 0.016-0.008
very fine 0.008-0.004
Clay
coarse 0.004-0.002
medium 0.002 -0.001
fine 0.001-0.0005
very fine 0.0005-0.00024
285
The fall velocity of a sphere is given by (Raudkivi 1967; Vanoni 1975)
(2.1)
where Co = drag coefficient,

d. = sediment diameter,
g = gravitational acceleration,
w = fall velocity, and
p and p. = density of fluid and sediment particle respectively.
Rouse (1937a) presented the drag coefficient as a function of particle Reynolds number. Rouse
(1937b) also presented the fall velocity of a quartz sphere as a function of particle size and water
temperature or particle Reynolds number, as reported in by Leliavsky (1966), Raudikivi (1967),
Vanoni (1975), and Graf (1971). An effect of particle shape on the fall velocity was reported by
McNown et al. (1951).
2.2. SEDIMENT MOVEMENT
Flow, sediment transport, and channel roughness/channel geometry in a fluvial stream are
interdependent, as discussed above. In general, the following quantities are relevant (Vanoni 1975):
water discharge, Q; sediment discharge of bed material, Q.; concentration of wash load of fine particle
not found significantly in the bed, c,,; river width, b; mean flow depth, d; Darcy-Weisbach friction
factor, f; channel plan geometry, m; hydraulic radius, r; energy gradient, S; mean velocity, V; fluid
kinematic viscosity, v; fluid density, p; sediment particle density, p.; mean settling velocity, w;
geometric mean size of bed material, d.; geometric standard deviation of bed material, u.; gravitational
acceleration constant, g; and plan-form geometry (meander dimensions, etc). It is important to select
appropriate independent variables as input data to obtain unique solutions for unknowns (the dependent
variables) for a specific problem (see Figures 1 and 2). Table 2 provides guidelines for selection of
independent variables (Vanoni 1975).
As the flow over a bed sediment surface increases from zero, flow-induced forces (lift and drag) acting
on the sediment particle increase. When these forces exceed the submerged weight of the particle, the
sediments start to move. This critical condition for initiation of motion was first correlated to the
velocity by Brahams in 1753 (Leliavsky 1966) as
Vcritical = kW1I6 (2.2)
where Vcritical = critical velocity to initiate sediment movement,

k = constant, and
W = particle weight.
286
Table 2. Guidelines for Selection of Independent and Dependent Variables in Alluvial Streams
(adopted from Vanoni 1975)
Independent Variabl.. Fun<:tionaI Relationabipa
Tune Frames of Properties of Fluid Sediment, Flow Single Multiple Values for
Alluvial Streams and Others Characteristics Dependent Variables Valu.. Some Ranges
Short-tenD JI, p, PI' d.,a" w, g Q,d,m Q" b, r, V, s, f, c.. X
d,S, m Q, Q" b, r, V, f, e. X
r, S, m Q, Q" b, d, V, f, c.. x
Q,S,m Q" b, d, r, V, f, c.. X
Long-term '" p, PI' g Q, Q" c.. m, b, d, r, V, S, f, d." 0'" X

w,e.
Very long-term 11, p, P., g, geology climate, human m, Q, Q" b, d, r, V, S, f, X
work <1" IT.. w, e.
Subsequently, many researchers, including Shields (1936) and White (1940), correlated the fiow
intensity controlling initial particle movement and subsequent sediment transport rate to velocity, shear
stress, or stream power (product of shear stress and velocity), as summarized by Leliavsky (1966),
Henderson (1966), Raudkivi (1967), Vanoni (1975), Graf (1971), Simons and Senturk (1977), Jansen
et al. (1979), and Richards (1982). Assuming that the initiation of motion is determined by bed shear
stress (T.), specific weight difference between sediment and water ('Y. - 'Y), d" p, and II, the following
dimensional analysis yields the well known Shields diagram for the initiation of motion (Shields 1936).
To
('Y. -'Y)d.
= F [UA 1
-,,-
(2.3)
where F = functional relationship.
When fiow conditions reach the critical stage of the initiation of motion, some bed sediment particles
start to move. Initially, they will roll and slide along the bed with increasing velocity; some will make
jumps and hops. With a further increase in velocity, some will be suspended by turbulence and move
away with the water. The rolling, sliding, hopping, and jumping portion is called "bed load," while
the remainder is called "suspended load." Thus, the sediment transport involves the bed and suspended
loads of the bed sediment materials. In addition, there is "wash load," which is defined as the transport
of fine materials not present in the bed. Since the wash load consists of fine sediment (e.g., silt and
clay), it is usually transported as suspended load. This paper mainly deals with bed sediment load.
2.3. BED FORMS
The common bed forms are ripples, bars, dunes, transition, fiat bed, and antidunes, listed in the
general order of their occurrence with increasing velocity, Froude number, and sediment transport
rates (Raudkivi 1967; Vanoni 1975; Jansen et al. 1979). Among them, ripples are the smallest,
having wave length and height up to approximately 30 cm and 3 cm, respectively. Bars have wave
287
lengths and heights comparable to the channel width and flow depth. Dunes are larger than ripples, but
smaller than bars. With increasing velocity, dunes will disappear from the bed to form a flat bed, thus
reducing the hydraulic roughness significantly. In the transition from dune to flat bed, the bed is
mainly covered by low-amplitude ripples and dunes, interspersed with flat bed. Antidunes have a
nearly sinusoidal form with a wave length of 21fV2/g and variable height depending on flow depth and
velocity. Antidunes are always accompanied by in-phase waves of the water surface.
Predictions of the bed forms have been studied theoretically, experimentally, or by field observations
(Kennedy 1963; Simons and Richardson 1966). Figure 3 shows the bed form prediction suggested by
Simons and Richardson (1966).
2.0
Antidunes + " "
"""
flat be~ " "Transition
------------
1.0
0.8
0.6 .",""
" "" "

f
B
0.4
0.2
~~'
=-
"> 0.1
Dunes
~ 0.08
--- ,,
,,
0.06
0.04 ;'
,
;';'
0.02 Ripples , ;'
;'
V
0.Q1 ~
;'
O.ooa ;'
0.006 ------,
0.004
Flat
0.002
o 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Median Fall Diameter (mm)
89306062.5
Figure 3. Bed Forms as a Function of Stream Power and Median Fall Diameter of Bed Sediment
(Simons and Richardson 1966)
288
3. Stage-Discharge Predictions for Alluvial Streams
The variations of bed forms affecting friction factors complicate alluvial flow and sediment transport
analyses. To close the loop of interdependency among the flow, sediment transport, and hydraulic
roughness, there are many stage-discharge predictors to take in account the various bed forms:
Einstein-Barbarossa (Einstein and Barbarossa 1952)

Garde-Raju (Garde and Raju 1966)
Simons-Richardson-Haynie (Simons and Richardson 1966; Haynie and Simons 1968)
Engelund (1966)
Znamenskaya (1967)
Raudkivi (1967)
Kennedy-Alam-Lovera (Alam and Kennedy 1969; Lovera and Kennedy 1969)
Maddock (1969)
Mostafa-McDermid (Mostafa and McDermid 1971)
Brownlie (1983).
As summarized by Raudkivi (1967) and Vanoni (1975), most of these predictors are based on the
concept that a specific variable (e.g., friction factor, hydraulic radius, or cross-sectional area) can be
divided into two components, one corresponding the grain roughness (skin friction), and the other
accounting for bed forms (form drag).
Einstein and Barbarossa (1952) first introduced this concept by separating the cross-sectional area, A,
and the hydraulic radius, r, into A' and r' (where the gravitational force exerting along the channel is
balanced by the drag acting on the grain roughness), and A" and r" (where the gravitational force is
balanced by the drag due to bed forms). As summarized by Vanoni (1975), Einstein and Barbarossa
(1952) suggested the following procedures to obtain the stage-discharge relationship for a hydraulically
rough bed:
Step 1. Select a value of r'
Step 2. Calculate velocity shear due to skin friction, U~ and the dimensionless variable VI
(3.1)
(3.2)
Step 3. Calculate the velocity
116
, r' (3.3)
V = 7.66 U.
[
~
]
289
Step 4. Obtain VIU*" from the Bar resistance curve showing the relationship VIU.!' vs VI as
shown in Figure 4.
Step 5. Calculate r" from
(3.4)
Step 6. Calculate r
r=r'+r" (3.5)
Step 7. Determine A and d from the r- channel cross-section dimension relationship that has the
value ofr.
Step 8. Calculate the corresponding discharge, Q
Q = VA (3.6)
Note d35 = bed sediment size such that 35 % of the bed material by weight is finer,
Ie. = equivalent fixed sediment grain roughness diameter, taken as dM , and
dM = bed sediment size such that 65 % of the bed material is finer,
100~~------------------------------------~
50
10
3 ~~~~1~.-0----~2--~~-5~~~1~0-----2~0--~~50
'I" = [(Ps - P)/pJ[d35/(r'S))

59306062.6
Figure 4. Einstein-Barbarossa Bar Resistance Curve (1952)

290
It should be noted that many of these stage-discharge predictors were derived from data limited to
certain conditions, and thus their applicabilities are limited to those conditions. For example, the
Einstein-Barbarossa and Simons-Richardson-Haynie methods were obtained for the ripple-dune regime.
The Kennedy-Alam-Lovera and Engelund methods were derived from sand- water cases.
These methods were compared against measured data obtained from the Colorado River in Colorado
(Figure 5; Vanoni 1975), the Niobrara River in Nebraska (Vanoni 1975), and the Sacramento River in
California (Figure 6; Nakato 1990). These figures show wide variations among predictions, resulting
from incomplete understanding of the relationship between bed forms and hydraulic roughness.
Among these predictors, Brownlie reveals the best match to the measured data (Figure 6). Readers
should examine the derivations and limitations before applying any of these methods and then should
use several methods to test their suitability to a specific case under consideration.
4. Sediment Discharge Rate Formulas
There have been many formulas for calculating sediment discharges of bed materials since DuBoys
(1879) in the last century presented a relationship between sediment discharge, sediment diameter, and
shear stress acting on the bed. Many of these formulas correlate the sediment discharge to shear stress,
velocity, or stream power as well as fluid and sediment properties. For example, DuBoys' formula
relates the bed loads to shear stress by
CI. = X. T. (T. - T) (4.1)
where q. = sediment discharge per unit width (= Q.1b),

x. = coefficient.
T. = bed shear stress, and
To = critical bed shear stress for initiation of motion.
The values of To and x. are sole functions of a median bed sediment size. Many other formulas, e.g.,
Meyer-Peter (Meyer-Peter and Muller 1948) and Shields (1936), use a similar concept of correlating
the sediment discharge to shear stress. Some relate the sediment discharge directly or indirectly to
velocity, including Einstein bed load function (Einstein 1950) and Colby (1964a,b). Einstein postulated
that a sediment particle moves if the instantaneous hydrodynamic lift force exceeds the particle weight,
and that the motions should be expressed statistically. A third group of formulas relating to stream
power are represented by those of Engelund and Hansen (1967), Ackers and White (1973), and Yang
(1973, 1979). Yang hypothesized that the sediment transport rate is related to the rate of energy
dissipation, which in turn can be expressed by the stream power (product of velocity and shear stress),
which he called the unit stream power. These formulas have been summarized in many publications
(Rouse 1950; Leliavsky 1966; Raudikivi 1967; Graf 1971; Vanoni 1975; Simons and Senturk 1977;
Jansen et al. 1979; Richards 1982). Required input data and their output for some formulas are
summarized by Nakato (1990), as shown in Table 3.
291
1.2 r - - - - - - - - - - - - - - - - - - - ,
7
1.0
0.9
0.8
~ 0.7
::::.. Method
~ 0.6 1 KBnnedy, A1am, and Lovera
G> 2 Engelund
o 0.5 3 Einstein and Barbarossa
4 Garde and Raju
5 Simons, Richardson, and Haynie
0.4 6 Raudkivi
7 Mostafa and McDermid
Observed data
0.3 L -_ _. . J - _......._ _ _" ' - - _ - ' - _ - ' - _ ' - -.................
~
1.0 2.0 4.0 6.0 8.0 10.0

Velocity (fps)
59306062.7
Figure 5. Comparisons of Predicted and Observed Depth-Velocity Relationship for the

Colorado River, Colorado (Vanoni 1975)
70
o Brownlie
A Einstein-Barbarossa
60 C Engelund
Ql
A
50
IJ
g
..c: IJ
Q.
Q) 40
0
"0
Q)
OJ
. 30
u;
w
20
10
10 20 30 40
Measured Depth (ft)
59306062.8
Figure 6. Comparisons of Measured and Predicted Flow Depths for the
Sacramento River, California (Nakata 1990)
292
Table 3. Input Data Requirements and Output for Some Sediment Discharge Formulas
(Adapted from Nakato 1990)
Independent Variables
Sediment Discharge Properties of Fluid Flow Dependent

Formula Sediment Characteristics Variables (Output)
Ackers-White P, 'Y, 'Y.. D3~ d, d, U. (or S) QT

Einstein-Brown P, 'Y, 'Y.. Dso U.., (or 'Yb and S) QB
Engelund-Fredsoe P, 'Y, 'Y.. Oso V,d,S QB and <ls
Engelund-Hansen 'Y, 'Y.. Oso V, U. (or'Y and S) QT
Inglis-Lacey P, 'Y, 'Y.. Oso V, d QT
Karim P, 'Y, 'Y.. Oso q, d, S QT
Meyer-Peter-Muller P, 'Y, 'Y.. Dgo, DR' Pi V, U.., (or 'Yb and S) QB
Rijn P, 'Y, 'Y.. 0 16 , Dso, D84 , Ogo V, d, S QB and <ls
Schoklitsch DR' Pi q, S QB
Toffaleti P, T, 'Y, 'Y.. DM , DR' Pi V, d, S QB and <ls
Yang P, 'Y, 'Y.. Dso V, d, S QT
bed sediment diameter such that 16, 35, 84, 90, and Si
percent are finer, respectively,
QT' QB' and <ls total, bed, and suspended sediment load, respectively,
Pi i-th fraction of bed material group,
q water discharge per unit channel width,
'Yb hydraulic radius of bed section only,
T water temperature,
U. shear velocity, and
U.., bed shear velocity.
Other parameters are as previously defined.

293
The major problem that the engineer faces is not how to calculate the sediment discharge with given
hydraulic and sediment parameters, but which sediment discharge formula to use. We will discuss the
following 23 formulas applicable to non-cohesive bed sediment under uniform steady conditions,
without wash load:
DuBoys (DuBoys 1879; Vanoni 1975)

Scholditsch (Shulits 1935; Vanoni 1975)
Shields (Shields 1936; Vanoni 1975)
Meyer-Peter (Meyer-Peter and Muller 1948; Vanoni 1975)
Meyer-Peter-Muller (Meyer-Peter and Muller 1948)
Einstein-Brown (Brown 1950)
Einstein Bed Load Function (Einstein 1950)
Laursen (1958)
Colby (1964a,b)
Bagnold (1966)
Blench Regime Formula (Blench 1966)
Engelund-Hansen (Engelund and Hansen 1967)
Inglis-Lacey (Inglis 1968)
Toffaleti (1969)
Graf (1971)
Shen-Hung (Shen and Hung 1972)
Ackers-White (Ackers and White 1973)
Yang (1973, 1979)
Maddock (1976)
Engelund-Fredsoe (Engelund and Fredsoe 1976)
Karim (Karim and Kennedy 1981)
Brownlie (1981a, b)
Rijn (1984a, b)
Vanoni (1975) compared the following 13 sediment discharge formulas against observed data for the
Colorado River at Taylor's Ferry, Colorado (Figure 7), and Niobrara River near Colby, Nebraska:
DuBoys, Scholditsch, Shields, Meyer-Peter, Meyer-Peter-Muller, Einstein-Brown, Einstein Bed Load
Function, Laursen, Colby, Blench Regime Formula, Engelund-Hansen, Inglis-Lacey and Toffaleti
formulas. Some hydraulic conditions of the Colorado River are shown in Figure 5. These
comparisons show large variation (several orders of magnitude) predictions among these formulas and
from field data. The Toffaleti, Colby, Inglis-Lacey, and Engelund-Hansen formulas predicted
values closer to the measured data for these river conditions.
Yang and Molinas (1982) compared the following six formulas against 1,259 data sets from laboratory
flumes and five rivers: Colby, Engelund-Hansen, Shen-Hung, Ackers-White, Maddock, and Yang.
The five rivers were the Niobrara River in Nebraska, the Middle Loup River in Nebraska, Mountain
Creek in South Carolina, the Rio Grande in New Mexico, and the Mississippi River in Missouri. All
six formulas predicted the total sediment load in the rivers within approximately 200% error, as shown
in Table 4, showing both mean values and the distributions of the ratio of the computed to the
measured total sediment load. Among them, the Yang and Shen-Hung formulas show better results,
followed by Ackers-White, and Engelund-Hansen. However, the Shen-Hung formula is limited to
small rivers because it uses a dimensionally nonhomogeneous parameter in the formula, according to
Yang and Molinas (1982).
294
2.000 ,.-----------.,...----=r------,
eObserved
1.000
0.800
0.600
0.400
0.200
~
..,
g
. 0.100
~ 0.080
g
is
0.060
~ 0.040
I
.~ 0.020
:;;)
0.010
0.008
0.006
Meyer-Pater-Muller
0.004
0.002 L..-_--I.--1.-"U.....L...L..._ _J......_---I._...L...-I...-I..._--I

2 4 6 8 10 20 40 60 80100 200
Untt Water DIscharge (n3ISm)
59306062.9
Figure 7. Comparisons of Predicted and Observed Total Sediment Discharges for the Colorado River
at Taylor's Ferry, Colorado (Vanoni 1975)
The Einstein Bed Load Function, Bagnold, Ackers-White, and Yang formulas were also tested against
flume data using glass beads with a mean diameter of 0.150 mm and a specific gravity of 2.50 (Lau
and Krishnappan 1985). Among those formulas, the Ackers-White formula shows the best results,
while all other formulas overpredicted, as indicated in Figure 8.
The Engelund-Hansen, Inglis-Lacey, Toffaleti, Graf, Ackers-White and Engelund-Fredsoe formulas

were also tested by Nakato (1987) with data obtained from the San Dieguito River in California. The
relative comparison of these six formulas revealed that the Graf formula predicted highest, while the
Engelund-Fredsoe formula generated the lowest sediment load for most of the test reach. Predictions
by the Toffaleti and Ackers-White formulas were relatively close to each other.
295
Table 4. Evaluation of Six Sediment Discharge Formulas for Five Rivers (Yang and Molinas 1982)
Ratio of Computed Values to the Measured Total Sediment Load
Frequency of Occurrence (%)
In ratio of
Sediment Discharge 0.75-1.25 in 0.5-1.5 0.25-1.75 0.5-2.0 Standard
Formulas Mean (%) (%) (%) (%) Deviation
Ackers-White 1.50 31 61 75 80 0.80
Corby 0.61 13 29 71 33 0.66
Engelund-Hansen 1.51 34 58 72 79 0.75
Maddock 0.49 24 43 56 45 0.48
Shen-Hung 1.18 43 71 80 81 0.61
Yang 1.12 50 76 95 88 0.44
Nakato (1990) then compared 11 formulas against sediment data obtained from the Sacramento River in
California: Schoklitsch, Meyer-Peter-Muller, and Einstein-Brown for bed load; Engelund-Hansen,
Inglis-Lacey, Ackers-White, Karim, and Yang for the total load; and Toffaleti, Engelund-Fredsoe, and
Rijn for estimating bed load and suspended load separately. As in the companion tests, the Toffaleti
formula was the best among the total sediment load formulas tested by Nakato, as shown in Figure 9.
The Ackers-White, Engelund-Hansen, Inglis-Lacey, Karim, and Yang formulas also produced
relatively good results. These results were confirmed by Mau and Brooks (1991). Mau and Brooks
(1991) reported that the sediment discharge formula of Brownlie (1981a,b) also yielded good results for
the Sacramento River.
In addition, Woo and Yoo (1991) reported test results against river sediment data, as shown in
Figure 10. They reported that the Engelund-Hansen, Ackers-White, and Rijn formulas are more
reliable than the other formulas.
A series of performance tests of sediment discharge formulas by many researchers clearly demonstrates
a wide range of variations and limitations of these formulas. Among the 23 formulas discussed above,
the Engelund-Hansen, Inglis-Lacey, Toffaleti, Ackers-White, and Yang formulas show the most
acceptable results over a wide range of flow and sediment conditions. Thus, sediment transport codes
containing these formulas are potentially more accurate than those with other sediment discharge
formulas. However, users must be very careful to select several formulas and test them for a specific
application.
296
10
E
C, .& I:. 0
C
.& I:. 0

Q)
E' I:. 0
10
.s:: I:. 1:.0
~
is
'E
Q)
E
1.0
.& tJ/:)
"6
Q)
en Ackers-White
] .& Yang
::J
III
o Einstein
10
Q) I:. Bagnold
::E 0.1
0.1 1.0 10 100
Predicted Sediment Discharge (kglhr)
59306062.12
Figure 8. Comparison of Predicted and Measured Total Sediment Loads in a Laboratory Flume
(Lau and Krishnappan 1985)
5_ Sediment Transport Modeling
5.1. GOVERNING EQUATIONS
Alluvial flow, sediment transport, and channel roughness/channel geometry are interdependent, as
discussed previously. Governing equations for unsteady, one-dimensional flow and sediment transport
are commonly expressed as follows (National Research Council 1983; Fan 1988):
Water-continuity equation
(5.1)
Water-momentum equation (Saint-Venant equation)
g aH +
ax
..!.
A
aQ
at
+ ..!. !..
A ax
[QA 2 ] + gS _
r
~ q
A2 L
= 0 (5.2)
For a steady state
Hz +
v:
Ctz- = HI + Ct -
V; + h
(5.3)
2g 12g
297
103
At Butte City At Butte City
0 Ackers -White (ClT) o Yang (ClT)
t.. Engelund-Hansen (ClT) t.. Rijn (ClT)

102 C Karim (ClT) c Engelund-Fredsoe (lls)
f
g
V Toffaleti (qs) V Inglis-Lacey (ClT)
x
,
CD
E'
os 0
.:= 101 t..
"
en
i5 c ~
C
t..
~ t..
is
CD
rJl
"2 100
:::> t..V
."
oS C
os
~ 0
"
iii
(.)
V
Line of
Perfect Agreement
10-1
c
c
o
10-2~~~~--~~~~-U~~~~~
10-2 10- 1 100 101 102 10-2

Unit Suspended-Sediment Discharge (tonsldlft)
59306062.10
Figure 9. Comparison of Eight Total Sediment Discharge Formulas for the Sacramento River,
California (Nakato 1990)
Sediment-continuity equation for bed load dominating conditions (Exner equation)
(1_A/ Ab + aQ, - %.s = 0 (5.4)

at ax
Sediment-discharge predictor
(5.5)
tv
\0
00
Ackers - White Colby Einstein Engelund - Hansen

40% 40% 40%
>, 30 >, 30 >, 30 >,30

0 0 o
cQ) c g c
Q)
:::l 20 ~ 20 :::l2O ~2O
5r 5r 5r ~
It 10
It Il: U. 10
10 10
0 0 o o
o 1110 1/4 112 1 2 4 10 o 1110114112 1 2 4 10 011101/4112 1 2 4 10 01/101/4112 1 2 4 10
Calculated/Measured, r r
Rijn Shen - Hung Toffaleti Yang (1979)

40% 40% 40% 40%
>, 30 >,30 >,30 >- 30

o o g g
c c
Q) Q) Q) Q)
:::l2O :::l2O :::l2O :::l2O
~
U. I I ~
U.
10 10 10 10
o o o o
01110114112 1 2 4 10 011101/4112 1 2 4 10 01110114112 1 2 4 10 011101/4112 1 2 4 10
59306062.13
Figure 10. Performances of Selected Sediment Discharge Formulas (Adapted from Woo and Yoo 1991)
299
Friction-factor predictor
Sf = Fl(v,p,p.,d.,O'.,w,g,Q,d,m) (5.6)
where Ab = channel bed cross-sectional area within some arbitrary frame,

FI and Fl = functional relationships,
H = water surface elevation,
HI and Hl = water surface elevations at ends of a reach,
h. = energy head loss,
<h. and <lu = lateral inflow and lateral sediment influx,
Sf = energy slope,
VI and Vl = velocity at the ends of a reach,
a l and IXz velocity head corrections factors at the ends of a reach, and
A porosity of the bed.
If the suspended sediment dominates the transport (e.g., fine sediment), the following conservation of
mass (Ariathurai 1980; Onishi 1981; Onishi et al. 1985; Sheng 1993) may replace Equation 5.4:
Sediment-mass conservation equation
a(CA) +
at ~(AUC)
ax
= ~
ax
[e A axac ]
x
+ G. + qUI (5.7)
Erosion/deposition for deposition of non-cohesive sediment
G. = Q. ~ Q., for erosion of non-cohesive sediment (5.8)
G. = Q.. ~ Q., for deposition of non-cohesive sediment (5.9)
G

= M [ __
TCR -
To_]
1
for erosion of cohesive sediment (partheniades 1962) (5.10)
G. = wC [1 To ] for deposition of cohesive sediment (Krone 1962)

Teo
(5.11)
300
where C = sediment concentration,

G. = erosion or deposition rate,
M = erodibility coefficient,
Q.. = actual total sediment load,
= longitudinal dispersion coefficient, and
= critical deposition and erosion shear stresses for cohesive sediment,
respectively.
Note that for erosion of non-cohesive sediment, Q. accounts for both sediment discharge capacity and
availability of sediment to erode from the bed. For two- or three-dimensional cases. Equations 5.1,
5.2 (or 5.3), and 5.4 (or 5.7) will be replaced by two- or three-dimensional equations of continuity, the
Navier-Stokes equation, and conservation of sediment mass.
5.2. SEDIMENT TRANSPORT COMPUTER CODES
Sediment transport is simulated by solving Equations 5.4 (or 5.7), 5.5, and 5.6, together with the
hydrodynamic equations, 5.1 and 5.2 (or 5.3). This section will discuss some representative sediment
transport codes and their testing.
5.2.1 One-Dimensional Models. There are many one-dimensional models, mostly solving the Exner
equation for sediment transport with various sediment discharge formulas (National Research Council
1983; Fan 1988).
HEC-6: The Hydrologic Engineering Center (1977) developed HEC-6, a widely used sediment
transport code. It is an one-dimensional, movable-boundary, open-channel flow and sediment model to
simulate riverbed profile changes over years. Flow is assumed to be steady and is obtained by solving
Equation 5.3 with a step backwater computation. A series of steady flow events can be connected to
represent long-term continuous flow. The model does not use a stage-discharge predictor directly to
account for the effect of bed form on hydraulic roughness. It separates energy losses into friction loss
and form loss (due to channel expansion/contraction). Manning's n (Henderson 1966) is used in the
model to express friction loss. For sediment transport, the model uses the Exner equation (Equation
5.4) with sediment discharge formulas. A user can select one of the folIowing sediment discharge
formulas: Toffaleti, modified Laursen, Yang, DuBoys, Ackers-White, Colby, combination of Toffaleti
and Scholditsch, Meyer-Peter-MulIer, combination of Toffaleti and Meyer-Peter-MulIer, Partheniades
(1962)-Krone (1962) (Equations 5.10 and 5.11), and a user- specified relationship.
HEC-2SR: HEC-2SR is a combination of a water-routing model, HEC-2 developed by Hydraulic

Engineering Center (1982), and a sediment-routing model (Simons, Li & Associates 1980). Like to
HEC-6, HEC-2SR uses a step backwater computation method for water routing; it solves the Exner
equation for sediment routing. The model uses the Meyer-Peter-MulIer formula for the bed load and
the Einstein method to calculate suspended sediment capacity.
KUWASER: KUWASER was developed by Simons and his associates (National Research Council
1983) to simulate steady-state, one-dimensional flow and sediment transport. The sediment discharge
per unit width is expressed as a power function of mean flow velocity and depth and is site specific.
301
UUWSR: UUWSR was developed by Tucci, Chen, and Simons (National Research Council 1983) as
an unsteady, one-dimensional, uncoupled water, and sediment- routing model. Treatments of the
friction factor and sediment discharge capacity calculations are similar to those in KUWASER.
IALLVIAL and CHARIMA: IALLVIAL is a quasi-steady, finite-difference flow- and sediment-

routing model (Karim et al. 1987). Like to HEC-6 and HEC-2SR, it predicts water routing by the step
backwater method, and the Exner equation is solved for the sediment mass balance. IALLVIAL
includes an iterative coupled sediment discharge and friction factor predictor, TLTM, developed by
Karim and Kennedy (1981). IALLUVIAL has since been expanded to form CHARIMA (Holley et al.
1990). CHARIMA solves flow and sediment routing in unsteady multiply-connected fluvial channels
with reverse flows. It uses TLTM, the Ackers-White, and Engelund-Hansen formulas, and a site-
specific power low for non-cohesive sediment discharge calculations. The model also simulates
cohesive sediment routing. Jain and Park (1989) have conducted a similar modeling with the use of the
Karim's coupled friction factor and sediment discharge relationships.
STARS and GSTARS: STARS is a steady, one-dimensional water- and sediment- routing model
(Molinas 1983). Its unique feature is the use of stream tubes to divide each cross section into multiple
equal-discharge sections. This allows lateral variation of flow and sediment movements; thus the
model can simulate simultaneous erosion and deposition within the same cross section. The model uses
the Meyer-Peter-Muller, Einstein bed, load, Engelund-Hansen, Toffaleti, Yang, and Ackers-White
sediment discharge formulas. The model uses Manning's n for the friction. The use of the stream
tubes was further extended by Molinas and Yang (1986), who developed GSTARS to handle one-,
semi-two-, and semi-three-dimensional cases of supercritical, critical, and subcritical flows. GSTARS
uses the Yang, Engelund-Hansen, and Ackers-White sediment discharge formulas. It uses Manning,
Darcy-Weisbach (Henderson 1966), or Chezy (Henderson 1966) equations to determine a energy loss
along the river reach.
REDSED: REDSED is a quasi-steady, one-dimensional model to simulate water and sediment routing
for a revervoir (Chen 1988). The water routing is solved by the standard step backwater method,
while the sediment routing is solved by the sediment mass balance. The model uses the Engelund-
Hansen and Colby methods to calculate the sediment transport capacity. This model uses Manning's n
for the friction, but updates the value of n internally, depending on the reservoir's bed elevation
change.
ONED3X: The U.S. Geological Survey developed a series of computer codes collectively called
ONED3X by solving fully coupled unsteady, one-dimensional flow and sediment equations by the
multimode method of characteristics (Lai 1988). The sediment concentration is assumed to be a power
function of velocity and water depth, and its functionality is site specific. The codes use the Manning
or Chezy equation for friction.
FLUVIAL 11: FLUVIAL 11 is an unsteady, one-dimensional, finite-difference flood and sediment-

routing model formulated in a curvilinear coordinate system (Chang 1984). The model calculates
interrelated changes in channel bed profile, width, and lateral migration in channel bends. The energy
slope is divided into the longitudinal energy gradient and the transverse energy gradient as a result of a
secondary current existing in a curved channel. The model uses the Engelund-Hansen, Yang, Graf,
Ackers-White, and Parker et al. (1982) sediment discharge formulas.
302
Bhallamudi and Chaudhry's Model: Bhallamudi and Chaudhry (1991) developed an unsteady water-
and sediment-routing model to simulate aggradation and degradation of channel bottom. They solve
the Saint-Venant equation (Equation 5.2) and sediment mass-conservation equations (Equation 5.4)
simultaneously using the MacCormack explicit finite-difference method. The model can handle shocks
and discontinuities in the solutions of these equations without iterations. It uses Manning's n for
friction and power functions of unit discharge and depth for calculating sediment discharge capacity.
TODAM: TODAM is an unsteady, one-dimensional, finite-element, sediment and contaminant trans-

port code, without water-routing predictive capabilities (Onishi et a1. 1982). It solves for distributions
of cohesive sediment, non-cohesive sediment, contaminants (e.g., toxic chemicals, heavy metals, and
radionuclides) attached to the sediments, and dissolved contaminants in water and bed, with the output
of a hydrodynamic model. TODAM includes sediment-contaminant interactions (e.g., contaminant
adsorption to and desorption from sediment) and transport, deposition, and erosion of sediment and
sediment-sorbed contaminants, as well as chemical and biological degradationor/decay of contaminants.
The model solves Equations 5.7-5.11 for sediment transport with the DuBoys, Toffaleti, and Colby
sediment discharge formulas for the non-cohesive sediment. Changes of bed conditions (bed elevation
change, vertical and longitudinal distributions of bed sediment sizes and of contaminants within the
bed) are calculated by "bookkeeping" of the changes occurring during the simulation. TODAM is
applicable to rivers and well-mixed estuaries.
5.2.2 Two-Dimensional Models. There are far fewer true two-dimensional models for sediment
transport than one-dimensional models. The two-dimensional models generally solve the Reynolds
form of the Navier-Stokes equation, in place of the Saint-Venant equation. They also solve the
advection-diffusion equation (Equation 5.7) as often as they solve a two-dimensional version of the
Exner equation (Equation 5.4). The following are examples of the two-dimensional models.
TWODSR: TWODSR is an unsteady, two-dimensional (horizontal), uncoupled, finite-difference

water- and sediment-routing model (Simons et al. 1979). It uses the Reynolds form of the Navier-
Stokes equations with the continuity equation to simulate hydrodynamics, as do many other two-
dimensional models. For sediment transport, TWODSR uses a two-dimensional expression of the
Exner equation with sediment transport capacity expressed as a power function of flow discharge.
Similar to most one- and two-dimensional models, TWODSR bottom stress is the same as that of a
steady uniform flow and uses Manning's n or Chezy's C.
TABS-2 and SEDIMENT-4H: The Waterways Experiment Station developed several unsteady, two-
dimensional (horizontal), finite-element hydrodynamic and sediment transport computer codes
collectively called TABS-2 (Thomas and Heath 1988). These codes are applicable to rivers, reservoirs,
and estuaries (band ling wetting and drying areas). The main components of TABS-2 are the
hydrodynamic component, RMA-2V; the sediment transport component, STUDH; and the water
quality component, RMA-4. RMA-2V solves the Reynolds form of the Navier-Stokes equation.
RMA-2V, like most other codes, does not directly take into account the interaction between bed form
and friction factor. STUDH can calculate both cohesive and non-cohesive sediment transport by
solving Equations 5.7-5.11. It uses the Ackers-White sediment formula for bed material transport
capacity. Changes in bed conditions are handled by bookkeeping. RMA-4 uses an advection-diffusion
equation to solve conservative water quality parameters, such as salinity. Closely related to TABS-2 is
the unsteady one- and two-dimensional hydrodynamic and sediment transport code SEDIMENT-4H
(Ariathurai 1980).
303
Shimizu and Itakura's Model: Shimizu and Itakura (1989) developed a steady, two-dimensional
(horizontal) hydrodynamic and sediment transport model in an orthogonal curvilinear coordinate
system to handle symmetric and unsymmetric meandering channel flow. The model solves the Navier-
Stokes equation and the Exner equation for momentum and sediment mass conservation. It uses
Manning's n for the friction. For the sediment discharge calculation, it uses the Meyer-Peter-Muller
formula for the longitudinal sediment load, and it uses Hasegawa's (1984) expression for the lateral
sediment load.
Odgaard's Model: Odgaard (1989) also developed a steady, two-dimensional (horizontal)

hydrodynamic and sediment transport code cast in a orthogonal curvilinear coordinate system to solve
meandering flow and associated meandering development and sediment transport. Since depth-
averaged flow cannot reflect the helical motion caused by centrifugal acceleration acting on the flow,
Odgaard assumed vertical distributions of the longitudinal and lateral velocities. By linearizing
velocities, he then cast the momentum equations into two variables, lateral velocity gradient and lateral
bed slope along the centerline. The model uses the Darcy-Weisbach relation for friction. It also
assumes a power law for the longitudinal sediment discharge, while using Ashida and Michiue's (1972)
relation to correlate the lateral sediment discharge to the longitudinal discharge.
FETRA: FETRA is an unsteady, two-dimensional (horizontal), finite-element sediment and

contaminant transport code (Onishi 1981). It does not have its own hydrodynamic calculation, but its
hydrodynamic input requirements are compatible with output from the finite-element hydrodynamic
codes RMA-2 (Norton and King 1977) and CAFE (Wang and Conner 1975). Like TODAM, it
simulates transport, deposition, and resuspension of sediment, dissolved contaminants, and sediment-
sorbed contaminants in water and bed, along with their interactions. FETRA is applicable to rivers,
estuaries, and coastal waters. It uses DuBoys' formula for non-cohesive sediment without surface
waves. When wave effects are important (e.g., in a region of shallow coastal water), it uses the
formulas of Liang and Wang (1973) and Komar (1977) to obtain wave-induced sediment discharge.
Partheniades and Krone's formulas are used for cohesive sediment.
SERATRA: SERATRA is an unsteady, finite-element sediment and contaminant transport code. It is

a two-dimensional (longitudinal and vertical) version of TODAM and is applicable to rivers and river-
run reservoirs (Onishi et a1. 1982).
5.2.3 Three-Dimensional Models. There are some three-dimensional models that include sediment
transport as one of their capabilities. We will briefly discuss two of these models, as representative
cases.
FLESCOT: FLESCOT (Onishi and Trent 1985) is a sediment-contaminant version of the general
hydrodynamic-transport code TEMPEST (Onishi et a1. 1985). FELESCOT is an unsteady, tbree-
dimensional, finite-difference code and simulates flow, turbulence (k-e model), water temperature,
salinity, sediment, dissolved contaminants, and sediment-sorbed contaminants for rivers, estuaries,
lakes, coastal waters, and oceans. The code can run with or without use of the hydrostatic pressure
assumption. It uses three-dimensional forms of Equations 5.7-5.11 for sediment transport. Book-
keeping is used to calculate three-dimensional distributions of sediment and contaminants within the
bed. The code uses Darcy-Weisbach, Manning's n, or Chezy's C for the friction factor. For non-
cohesive sediment, it uses the DuBoys' formula. For cohesive sediment, it uses the Partheniades
(1962) and Krone (1962) formulas. Grant's nonlinear, wave-enhanced bottom shear stress formula
304
(Grant and Madsen 1979) is built into the code to calculate wave-enhanced sediment transport (Onishi
et al. 1993), as one of the options.
Sheng's Model: Sheng (1993) developed an unsteady, three-dimensional, finite-difference code to

simulate flow, turbulence, salinity, water temperature, and sediment and water quality parameters. It
is applicable to rivers, lakes, estuaries, coastal waters, and oceans. The treatments of friction factor
and sediment discharge are similar to those in FLESCOf. The code uses a two-mode hydrodynamic
calculation with internal and external modes. For the external mode, it calculates water surface
elevations by solving depth-averaged hydrodynamic equations with a small time step. With the
calculated water surface, the internal mode then calculates three-dimensional velocity distributions with
a much larger time step. This approach is very useful for long-term simulations.
5.3. MODEL TESTING
Many of the codes discussed above have been applied to a wide range of cases, demonstrating the
usefulness of the mathematical modeling as a decision-making tool. However, there have been few
occasions when several flow-sediment codes are tested against each other and field data. The National
Research Council (1983) conducted testing of flood level predictions and capabilities of flow- and
sediment-routing models. In their study, six computer codes were tested with data for the San Lorenzo
(California), San Dieguito (California), and the Salt (Arizona) rivers. These codes were HEC-6,
HEC-2SR, KUWASER, UUWSR, FLUVIAL-ll, and a one-dimensional version of SEDIMENT-4H.
The model testing showed wide variations in sediment load predictions among these codes, as shown in
Figure 11. The testing clearly showed the difficulties of predicting alluvial flow and sediment
transport.
6. Conclusions and Summary
An alluvial flow is characterized by the interdependency of flow, sediment transport, bed form, and
friction factors. Thus, a key to successful modeling of sediment transport is to correctly reflect this
dependency in the model. We have discussed 10 stage-discharge predictors, 23 sediment discharge
formulas, and 22 sediment transport codes. The wide scatters of their predictions clearly demonstrate
the current lack of understanding on this interdependency, which forms a major difficulty for alluvial
flow and sediment simulations. No single stage-discharge predictor, sediment discharge formula, or
flow-sediment routing code can be selected as the best method and model to analyses sediment
transport for all conditions. Thus, a user must review many methods and models for their applicability
to a specific problem and select several computer codes that contain suitable friction factor
representations and sediment discharge formulas, in addition to the required model dimensionality.
305
4X1~~-------------------------------------------------'
San Lorenzo River
-HEC2SR
FLUVIAL-11
HEC-6
3 SEDIMENT-4H .i
./
./
./
.,
t
.." '".
/ ./
................' .
...................................
..,......
............................
O~--~~--~--~--~--~~~--~--~--~--~--~
San Lorenzo River
_ UUWSR
HEC2SR
- -- KUWASER
J.
-' \
" . .1 ~ .
.i
, :..............\-:- ...:J. ..'
4 .... :-' \1
aa.
...... ,;.. ......-
.- .::............
o~--~---L--~~~~--~---L--~----~--~--~--~----~
o 4 8 12 16 20 24 x 103
River Distance (ft)
59306062.14
Figure 11. Comparison of Predicted Sediment Concentration by Six Models with Measure Data for
the San Lorenzo River, California
306
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11
CONTAMINANT TRANSPORT MODELING IN SURFACE WATERS
YASUO ONISHI
Pacific Northwest Laboratory
Operated by Battelle Memorial Institute
for the U.S. Department of Energy
under Contract DE-AC06-76RLO 1830
Richland, Washington, 99352 U.S.A
ABSTRACT. A current major environmental concern is the release of toxic chemicals to water or the
land surface, and their subsequent impacts on aquatic biota and humans. Many toxic contaminants are
persistent and undergo complex interactions in the environment. Mathematical models, supported by
coordinated laboratory and field measurements, can integrate many of the complex mechanisms
controlling contaminant transport and fate in the environment into a single framework. This paper
discusses these mechanisms, contaminant transport computer codes for surface waters, and several case
studies.
Water and sediment movement, adsorption and desorption, precipitation and dissolution, degradation
and decay processes, transformations, and contaminant transfer between surface water and other
environmental media must be considered. As examples of computer codes, the unsteady one-
dimensional TODAM and Bencala's models are considered for their model formulations to incorporate
these transport and fate mechanisms.
In addition, actual model applications are presented for the migration of radionuclides, pesticides, and
heavy metals, in rivers (ranging from small ephemeral creeks in Mortandad and South Mortandad
Canyons in New Mexico and the mountain stream of Uvas Creek in California to the large Pripyat
River in Ukraine), the James River estuary in Virginia, and Buzzards BaylNew Bedford Harbor in
Massachusetts. The applications illustrate the practical use of the codes, including potential
environmental clean-up assessments. These examples clearly demonstrate the critical importance of the
sediment-contaminant interactions on the long-term distributions of contaminants in surface waters.
1. Introduction
A current major environmental concern is the release of toxic chemicals to waters or the land surface,
and their subsequent impact on aquatic biota and humans. The chemicals of concern include heavy
metals, pesticides, radionuclides, and other toxic substances such as polychlorinated biphenyls (PCBs).
Many toxic contaminants are persistent and undergo complex interactions in the environment. To
assess the potential exposure levels of toxic contaminants in the surface water environment and their
associated risks, we must understand the nature of surface waters (Le., rivers, lakes, estuaries, coastal
waters, and oceans), the physicochemical characteristics of toxic contaminants, and the major
mechanisms by which these contaminants are transported and reduced their concentrations in surface
waters and on the land surface. Mathematical models supported by coordinated laboratory and field
measurements can integrate the many complex mechanisms controlling the transport and fate of toxic
313
1994 US Government.
314
chemicals in the environment into a single framework, making it possible to assess the potential
environmental impacts of contaminant releases and waste disposal.
In this paper, we will discuss the transport of contaminants and the mechanisms that determine their
fate in surface waters; computer codes for contaminant transport and fate in surface waters; and several
case studies illustrating the practical use of these models.
2. Contaminant Migration and Fate Mechanisms in Surface Waters
2.1. POTENTIALLY IMPORTANT MECHANISMS
Toxic contaminants are released to surface waters from various point and nonpoint sources through
direct discharges to a receiving surface water body
dry and wet deposition from the atmosphere
runoff and soil erosion from land surfaces
seepage from groundwater.
Contaminant migration and fate in surface waters are controlled by transport, contaminant exchange
between dissolved and particulate phases, fate processes, transformation, and contaminant transfer
between surface water and other environmental media, as shown in Table 1 (Onishi 1985).
Table 1. Contaminant Migration and Fate Mechanisms in Surface Waters
Mechamsms DesCriptIOn
Transport water movement
sediment movement
bioturbation in the sea or river bed
I ContamInant exchange between adsorption and desorption
dissolved and particulate phases chemical precipitation and dissolution
physical breakup
Fate processes chemIcal degradatIOn
biodegradation
radionuclide decay
Transtormatlon Yields ot degradation products
yields of radioactive decay products
ContamInant transfer between surface atmosphenc dry and wet depositIOn
water and other environmental media overland runoff and soil erosion
groundwater seepage
volatilization
315
2.2. TRANSPORT
Water Movement: Water movement is the principal means of contaminant migration. The primary
mechanisms are advection and dispersion, especially for contaminants easily dissolved in water. The
flow velocities and depths are either calculated by hydrodynamic models or determined by field
measurements. For further discussion readers are referred to studies on dispersion (e.g., Elder 1959;
Fisher 1967; Bowie et al. 1985).
Sediment Movement: Sediment movement affects the transport of contaminants both indirectly and
directly. Indirectly, sediment transport produces or changes bed sediment forms (e.g., ripples and
dunes), thus changing the bed friction factor. The change in the bed friction factor in tum affects the
flow depth and velocity. In addition, high sediment concentrations can cut light penetration in water,
thus affecting photo-chemical degradation. Directly, both suspended and bed sediments adsorb the
contaminant, which then migrates with the sediment. The deposition of contaminated suspended
sediment and the direct adsorption of the contaminant by the bed sediment can build up the contaminant
in the bed, producing a long-term source of contamination through subsequent resuspension or
desorption. However, contaminant adsorption by sediments can also reduce the concentration of the
dissolved contaminant, which is usually more readily taken up by aquatic biota.
The effects of transport, deposition, and resuspension of sediment on the fate of a contaminant become
important if
the contaminant is hydrophobic and thus has a high affinity for sorption
the concentration of suspended sediment (especially fine sediment, such as silt and clay, or organic
matter) in a receiving water is high, or
the contaminant is persistent, so that contaminated bed sediments create a long-term source of
contamination.
Bioturbation: Contaminants deposited within bottom sediment can be moved by movements of benthic
organisms within the bed.
2.3. CONTAMINANT EXCHANGE BETWEEN DISSOLVED AND PARTICULATE PHASES
Adsorption and Desorption: Through adsorption and desorption, a dissolved contaminant is transferred
to the surface of a solid material or removed from it. The quantification of adsorption/desorption is
usually expressed in terms of either a nonlinear form (the Langmuir or the Freundlich isotherms) or a
linear form (a distribution coefficient). At low contaminant concentrations (mostly occurring in the
environment), the contaminant partitioning between solids and water are usually expressed using the
distribution coefficient, ~:
amount of contaminant sorbed by sediment (2.1)

amount of contaminant left in solution
A description of radionuclide adsorption/desorption mechanisms and estimated ranges of I<.i values for
radionuclides are presented by Onishi et al. (1981). Because most contaminant transport models
316
require ~ values, Dexter (1979) and Onishi et al. (1981) have published rough ranges of ~ values for
many pesticides and radionuclides. However, there is uncertainty associated with the use of ~ for
modeling adsorption and desorption because of the complexity of the various geochemical mechanisms
(e.g., ion exchange, precipitation-mineral formation, complexation-hydrolysis, oxidation-reduction,
and colloid and polymer formulations) and interaction among them. Therefore, a great deal of caution
must be exercised in the selection of ~ values.
A more rigorous approach is to use geochemical models to solve for the coupling reactions of aqueous
chemical species and the formation of solids by adsorption/desorption (Nordstrom et al. 1979;
Chapman 1982; Pelmy et al. 1983). However, this approach requires detailed information on the Eh,
pH, and competing chemical elements, as well as geochemical equilibrium constants and a complete
mineralogical description of the sediment soil.
Precipitation and Dissolution: Effects of precipitation and dissolution on contaminant transport are
usually minor because levels of contaminant concentrations in surface water environments are very
low. Geochemical models can estimate amounts of contaminants to be precipitated or dissolved in a
given condition.
Physical Breakup: Some contaminants in a particulate phase must first break up physically (e.g., due
to weathering) before they can be dissolved into water. Such is the case for 90Sr and 137es deposited
around the Chemobyl Nuclear Plant in Ukraine after the accident in 1986 (Zheleznyak et al. 1992).
2.4. FATE MECHANISMS
Chemical Degradation: Chemical degradation can be caused by hydrolysis, oxidation, and photolysis.
A contaminant in solution may increase its stability by reacting with other chemical species to form a
new complex. In doing so, the original contaminant concentration is lowered. The hydrolysis reaction
is a special type of complex formation, in which the OR" anion acts as a reactive site, its reactions
therefore are very sensitive to the pH of the surface water. A contaminant may also form a new
complex by exchanging electrons with other chemical species in the surface-water system known as
oxidation-reduction reactions. The measure of electron activity is commonly expressed as the Eh.
Because the oxidation/reduction process may control the valence states of the contaminant and other
chemicals, it may significantly alter geochemical reactions. In addition, many organic contaminants
are photochemically transformed by adsorbing light, especially ultraviolet light. Direct photolysis
occurs when light is adsorbed by a contaminant and raises the contaminant's electrons to an excited
state, thus causing chemical degradation reactions. Indirect photolysis occurs when another substance
adsorbs light and, in its excited state, undergoes chemical reactions with a contaminant. Photolysis
depends on the intensity of the incoming light, the turbidity of the water, the degree of light
attenuation, and the photolytic characteristics of the contaminant and other associated chemicals.
Biodegradation: Many organic contaminants can be degraded by microbial activity in an aquatic

environment. The rate of microbial breakdown of a contaminant will vary depending on the
concentration of the microbial species, its metabolic rate, the amount of contaminant and nutrients (02 ,
P, N) present, and the environmental conditions (e.g., temperature, pH).
Radionuclide Decay: If a contaminant is radioactive, it will decay to produce daughter products.

Radionuclide decay is commonly expressed in terms of the radionuclide's half life.
317
2.5. TRANSFORMATION
Transformation mechanisms are related to degradation and decay mechanisms because contaminants
may themselves be products of degradation or radionuclide decay. Some of the degradation products
are as toxic as their parent complexes (e.g., the pesticide DDT). A radioactive contaminant produces a
series of daughter products, forming a decay chain. For example, uranium buried at mill tailing sites
produces very toxic radon gas as its one of daughter products. Thus, in some cases, contaminant
degradation and decay chains must also be included in the assessments.
2.6. CONTAMINANT TRANSFER BETWEEN SURFACE WATER AND OTHER ENVIRONMENTAL MEDIA
Environmental intermedia exchanges of contaminants include dry and wet deposition of contaminants
from the atmospher, contaminant influx through overland runoff and soil erosion (or contaminant
transfer from surface water to overland by irrigation), and exchange between surface and groundwater
through seepage. Volatilization is another intermedia exchange mechanism: some contaminants are in
the form of volatilizing liquids (e.g., PCBs, mercury, tritium, and iodine) or dissolved gas (e.g., H 2S,
radon) and may volatilize through the water-air interface.
3. Contaminant Transport Computer Codes
Contaminant transport models for surface water must account for the major contaminant transport and
fate mechanisms discussed above. In the deterministic approach, all of the mathematical expressions
are framed by the conservation of mass. In the three-dimensional Cartesian coordinate system, with
appropriate initial and boundary conditions, the transport equation becomes the well-known advection-
diffusion equation:
oC + U oC + V oC + (W - W J oc a
at ox oy oz ox
(3.1)
where C is the contaminant concentration; Si is the sink/source term used to express all contaminant
transport and fate mechanisms except advection and dispersion; t is time; U, V, and W are velocity
components in the x, y, and z directions, respectively; W, is the contaminant fall velocity; x, y, and z
are cartesian coordinates; and ex> ey , and ez are diffusion coefficients in x, y, and z, directions,
respectively.
In the paragraphs that follow, the governing equations of the TODAM code (Onishi et al. 1982a) are
shown as an example of Equation 3.1 associated with the contaminant transport. TODAM is an
unsteady, multiply-connected, one-dimensional, finite-element sediment and contaminant transport code
for rivers and estuaries. It consists of submodels for sediment, dissolved contaminant, and sediment-
sorbed contaminant transport.
318
Sediment Transport
The governing equation for the sediment transport is
as.
A_J + UA_J = _
as.
e A_J a [ as.] - Q/ SJ' + B(SRJ' - S .' + Q,!.
(3.2)
at ax ax x ax DjI
The boundary condition is
at x = 0 or (3.3)
where A is the cross-sectional area; B is the bed width; j is the number of sediment size fractions (equal
to 3 in the example); Sj is the concentration of sediment of the jth size fraction; Sjo is the constant
concentration of the jth sediment; t is the total longitudinal distance for each river branch; Q/ is the
lateral inflow per unit length; Q.j is the lateral sediment influx per unit length; SOj is the sediment
deposition rate per unit area for the jth sediment size fraction; and SRj is the sediment erosion rate per
unit area for the jth sediment size fraction.
For non-cohesive sediment,
Q. - Q,. (3.4)
SRj =
B
Q,.-Q, (3.5)
SOj =
B
where Q. is the the sediment discharge capacity calculated by the methods of DuBoys (DuBoys 1879;
Vanoni 1975), Tolfaleti (1969), or Colby (1964a,b). Availability of bed sediment to be resuspended
and bed armoring were then examined to determine the actual amount of bed erosion.
For cohesive sediment, the Partheniades (1962) and Krone (1962) formulas are used:
(3.6)
(3.7)
where Mj is the erodibility coefficient for the jth sediment size fraction; W.j is the fall velocity of the jth
sediment; Tb is the bed shear stress; TcOj is the critical shear stress for sediment deposition for the jth
sediment size fraction; and TcRj is the critical shear stress for sediment erosion for the jth sediment size fraction.
319
Dissolved Contaminant Transport
The governing equation for the dissolved contaminant transport is
A OC + UA OC
at ox
(3.8)
3 3
-L
j - 1
AKj (Kdj Sj C - C) - L
j - 1
B'Yj (1 - POR) Dj ~ (Kdj C CB)
The boundary condition for this equation is
C = Co at x=O or t (3.9)
where Dj is the diameter of jth sediment; CBj is the particulate contaminant concentration per unit
weight of sediment in the jth sediment size fraction in river bed; C is the dissolved contaminant
concentration per unit volume of water; Cj is the particulate contaminants concentration per unit
volume of water; Kc; is the the first-order reaction rate of contaminant degradation due to hydrolysis,
oxidation, photolysis, biological activities, and volatilization; K.tj is the distribution coefficient between
dissolved contaminant and sediment (suspended and bed load sediments) of the jth size fraction; Kt.j and
~ are the transfer rates of contaminants for adsorption and desorption with the jth sediment in bed and
in motion, respectively; POR is the porosity of bed sediment; Qc is the dissolved contaminant
contribution per unit length; 'Yj is the specific weight of the jth sediment; and A is the decay rate of
radioactive material.
For chemical degradation due to hydrolysis (Smith et al. 1977; Zepp and Cline 1977), the equation
used is,
(3.10)
pH = - 10g[H +] (3.11)
where KA> KB, and KN are the acid, base, and neutral hydrolysis rate constants, respectively. For
chemical degradation due to oxidation (Smith et al. 1977) the equation is,
(3.12)
where K.x is the oxidation rate for the contaminant and [R02"] is the concentration of free radical
present.
320
For chemical degradation due to photolysis (Smith et al. 1977), the equations are
K = 2.303 cp ~> I (3.13)

C3 J at a (II.
I" = loa exp {- (Kl + ~ S)} . ~ (3.14)
where S is the total sediment concentration; loa is the incident light intensity of wave length a; I" is the
light intensity of wave length a in water; J is the conversion constmt; Kl is the light attenuation
coefficient for water; K2 is the light attenuation coefficient due to suspended sediment in water; 8" is
the molar extinction coefficient of light with the wave length a; and IlJ is the quantum yield.
For biodegradation (Falco et al. 1976, Smith et al. 1977), the equation is
(3.15)
where KSI is the the second-order rate constant for biodegradation, and [B] is the active biomass per
unit volume.
In addition, the volatilization rate, Kcs can be estimated by
(3.16)
where do and d, are the molecular diameters of oxygen and contaminant, respectively, and Ko is the
oxygen reaeration rate through water-air interface.
Particulate Contaminant Transport
The governing equation for the particulate contaminant transport is
_
ax
a [8
x
oc.j
ax
_J - hAC. - Q/ C.
J J
+ Q. +
J
The boundary condition for this case is
at x= 0 or i (3.18)
where Cjo is the constant particulate concentration associated with the jth sediment size fraction per unit
volume of water and Qj is the particulate lateral influx associated with the jth sediment size fraction per
unit length.
321
The finite-element technique was used with the Galerkin weighted residual method to solve these
equations with the associated boundary conditions. TODAM uses bookkeeping to track bed condition
changes (Le., bed elevation change, longitudinal and vertical distributions of sediment size fractions
and sediment-sorbed contaminants within the bed).
Another example of Equation 3.1 is the unsteady, one-dimensional model developed by Bencala
(1983). A river cross section is divided into a main stream channel and a storage (dead-water) zone.
A contaminant can be adsorbed by the stational bed sediment. The governing equations are
Solute in the stream channel
ac
-+--
Qac ~ ~ [AD ac ] + qL (C - C) + S + Rl (3.19)
at A ax Aax ax AL
S = a(C, - C) (3.20)
(3.21)
Solute in the storage zone
ac,
- ~S + R, (3.22)
at A,
R, = 73, cc: - C.) (3.23)
Sorbate on the stream bed
(3.24)
where C is the solute concentration in the stream; Q is the volumetric flow rate; D is the dispersion
coefficient; A is the cross-sectional area of the channel; ~ is the lateral volumetric inflow rate (per unit
length); CL is the solute concentration in the lateral infiow; C, is the solute concentration in the storage
zone; A. is the cross-sectional area of the storage zone; a is the stream-storage exchange coefficient; C-
is the solute concentration on stream bed sediment per unit weight of sediment; ~ is the distribution
coefficient; p is the mass Qf accessible sediment per volume of stream water; {3 is the first order rate
coefficient in the stream; C, is the equilibrium solute concentration in the storage zone; {3, is the first-
order rate coefficient in the storage zone; t is time; and x is distance.
Reviews of contaminant transport models (e.g., Hoffman et al. 1978; Onishi et al. 1981, 1987; NCRP
1984) indicate that many transport and fate models have been developed for toxic contaminants for
rivers, estuaries, coastal waters, and lakes by including some of these major mechanisms. Many of the
322
models predict only dissolved contaminant concentrations, by solving the advection-diffusion equation.
Examples of these models are one-dimensional models developed by Dailey and Harleman (1972) and
Eraslan et al. (1977); two-dimensional models developed by Leendertse (1970), Yotsukura and Sayre
(1976), and Eraslan et al. (1977); and three-dimensional models developed by Simons (1973),
Leendertse and Liu (1975), Eraslan et al. (1983), and Blumberg and Herring (1986). These models do
not include the sediment-contaminant interactions (e.g., adsorption/desorption and subsequent
transport, deposition, and erosion of sediment-sorbed contaminants). Thus, these models are suited for
cases where
contaminants have very low affinity for sediments
a surface water body has very low sediment concentrations
However, if we are concerned about cases where
contaminants have high affinity for sediments
a surface water body has high concentrations of sediments, especially fine sediments
there is long-term contaminant accumulation in a surface water body,
the above models are not suitable. Many environmental problems with toxic contaminants such as
PCBs and heavy metals (e.g., copper, lead and cadmium) in Buzzards Bay, Massachusetts (Richmond
et al. 1989), the pesticide kepone in the James River estuary, Virginia (Onishi 1981), and the
radionuclide cesium in the Pripyat and Dnieper Rivers in Ukraine (Zheleznyak et al. 1992) fall into
these categories, as will be discussed later. For such cases, models must also include sediment-
contaminant interactions. Models incorporating these interactions include one-dimensional models such
as those of White and Gloyna (1969) or Shih and Gloyna (1970), CHNSED (Fields 1976), HOTSED
(Fields 1977), TODAM (Onishi et al. 1982a), and RlVTOX (Zheleznyak et al. 1992); two-dimensional
models, such as SERATRA (Onishi et al. 1982b), FETRA (Onishi 1981), Lick's model (Lick 1983),
and WATOX 2 (Zheleznyak et al. 1992); and three-dimensional models, such as RMA-lO (King 1982),
FLESCOT (Onishi et al. 1993), and Sheng's model (Sheng 1993). With known flow and sediment
distributions, compartment models such as EXAMS IT (Burris and Cline 1985) and WASP4 (Ambrose
et al' 1988) also predict transport and fate of both dissolved and sediment-sorbed contaminants. All of
these transport models use very simple approaches to handle such chemical reactions as adsorption and
precipitation.
A notable effort has been made to improve the modeling of the transport and fate of contaminants by
coupling transport models with geochemical models (Chapman 1982; Felmy et al. 1983). Geochemical
models essentially solve various chemical reactions based on mass conservation and chemical
equilibrium principles with the aid of thermodynamics (Nordstrom et al. 1979). Some of the
geochemical models, such as MINEQL (Westall et al. 1976), EQ31EQ6 (Wolery 1980), and MlNTEQ
(Felmy et al. 1984), also calculate adsorption/desorption and precipitation/dissolution. For example,
the transport model, EXAMS, was coupled to MlNTEQ to form the model MEXAMS (Felmy et al.
1983), which calculates chemical species of heavy metals, the amounts of adsorption/desorption and
precipitation/dissolution, and the migration of heavy metals.
323
4. Contaminant Transport Modeling
We will discuss five applications of transport models to rivers (ranging from small ephemeral and
mountain streams to a major river), estuaries, and coastal water. These applications illustrate the
practical uses of contaminant transport codes, including assessments of surface water remediation.
4.1. UVAS CREEK TRACER MODEUNG
Bencala's (1983) model was applied to Uvas Creek, California, to reproduce results of field tracer
experiments to illustrate the relative importance of hydrologic and sorption mechanisms on contaminant
transport. Uvas Creek is a small mountain stream with a series of pools and rimes. The stream width
varies from approximately 0.3 to 4 m, and over the 619 study reach. The streambed is mostly
composed of sediment greater than 4 mm. Chloride, sodium, and stable strontium were used as
tracers. Chloride was chosen as a conservative soluble substance, while strontium was the least
conservative because of its adsorption by bottom sediment. The injection solute concentrations were
118.7 g/ for chloride, 24.0 gil for strontium, and 65.0 gil for sodium. The tracer was injected at a
constant rate of 50.0 mllmin into Uvas Creek, whose discharge was 0.0125 m3/s over the first
15 hours (before a rainstorm hit the study area at 11 :30 pm on the day of the experiment).
Assuming no strontium sorption to bed sediment in either the main channel or in storage (fJ = f3. = 0
in Equations 3.21 and 3.23, equivalent to the chloride case), the model results were compared with the
measured strontium data. The model overpredicted its concentration as strontium moved downstream,
and it did not predict the strong tails indicated by the field data, as shown in Figure 1. However, the
model reproduced strontium arrival and peak timing well, revealing that there is no retardation of when
strontium arrives. The predicted peak concentration decreased from 1.7 mgll at the injection point to
1.0 mgll at 619 m downstream, where the observed peak concentration was only 0.3 mgli. Thus,
approximately half of the observed concentration reduction may be due to physical mechanisms, while
the other half is due to adsorption. To illustrate this point, the model was then run with the kinetic
sorption effect included, and the results show excellent agreement with measured strontium data
(Figure 2).
2.0,..----------------------,
Observations:
o at38m
o at 281m
" at 619m
1200 1600 2000 2400

Timso! Day $9306067.10
Figure 1. Comparisons of Dissolved Strontium Concentrations Predicted without Sorption

Effects and Observed Data for Uvas Creek, California (Bencala 1983)
324
2.0.---------------------,
Observations:
o at 38m
o at281m
t;. at619m
1200 1600 2400

Time of Day 58306067,11
Figure 2. Comparison of Dissolved Strontium Concentrations Predicted with Sorption Effects and
Observed Data in Uvas Creek, California (Bencala 1983)
Comparisons of predictions of strontium sorbed concentrations on bed sediment at 105 m and 281 m
downstream with observed data are shown in Figure 3. Bencala (1983) assigned ~ values in two
ways: in one, a constant ~ value was assigned, and in the other, ~ was assumed to vary inversely as
a power function of the in-stream strontium concentration. The variable ~ case matched the observed
data more closely, but both cases reproduced the trend of sorbed concentration time variations well.
This study illustrates the importance of bed sediment adsorption to reduce dissolved concentration and
of selecting appropriate Kd values.
4.2. PLUTONIUM MIGRATION IN MORTANDAD AND SOUTH MORTANDAD CANYONS
As a part of assessment for low-level radioactive waste disposal 23% was assumed to be buried in a
shallow land-burial disposal site at the head of South Mortandad Canyon, New Mexico, with an initial
concentration of 800 pCi/g. The canyon bottom-forming channels vary significantly in their sizes and
slopes. For example, upper channels in South Montandad Canyon are very steep ranging up to 20%
and they are only about one meter wide while the midsection has a wide valley with mild slope. The
canyon then becomes narrower and steeper again near its mouth where it joins Mortandad Canyon. In
most instances, the seepage rate from the canyon bottom (channel) exceeds the inflow rate to the
channel. Consequently, the channel goes dry before the flow can reach Rio Grande, even during most
storms.
Four models were applied: First, BIOTRAN (Gallegos et al. 1980) was used to simulate 100 years of
plant growth, radionuclide uptake by plant roots, and subsequent dryfall and decomposition of
contaminated plant litter, causing plutonium to appear on the land surface. The overland model ARM
(Donigian and Crawford 1976) then simulated movements of runoff water, sediment, and plutonium
(both dissolved and sediment-sorbed) on the land surface to the canyon for the following two years,
during which six major storms occurred. The hydrodynamic model DKWAV (Whelan 1980) and the
sediment-contaminant transport model TODAM (Onishi et al. 1982a) then predicted distributions of
flow, sediment, and 23% in the canyon. Only the TODAM results will be discussed here.
325
50
~ a) # ..... o Observations
at 105 m
~ 40 ## ......
c # .... - Variable Kd
eE
.Q # ....
# ....
30 # .... - - - Fixed Kd
# ....
--~
...... .........
Q)
(J
c ##
0
()
20
# " 0 0 ..........
al
-e0 10
en
0
50
b) o Observations
~ 40 r- at 281 m
~
- Variable Kd
-- ...... .. ..........
c
a7
eE
.Q
- - - Fixed Kd
30 l-
............ .
....
....
Q)
(J "
c 20 I- 0
0 0-;;- 0
------
()
al 10 f=.
-e0 0
en I I I
0
0800 1200 1600 2000 2400
Time of Day
59306067.12
Figure 3. Comparison of Predicted and Observed Strontium Concentrations Associated with Bed
Sediment in Uvas Creek, California (Bencala 1983)
TODAM simulated migration of sand, silt, clay, dissolved 239pu, and particulate 239pu associated with
sand, silt, and clay (Whelan and Onishi 1983). Predicted sediment flux matched well with sediment
flux measured under a similar short-duration flashy-flood event in Mortandad Canyon, as shown in
Figure 4. Because of the very high affinity of plutonium for sediment, most of 239Pu in the canyon
channel was carried by suspended sediment and not in a dissolved form, as shown in Figure 5. Clay
carries the most particulate 239pu while sand carries least, in spite of the concentrations of sand being
much higher than those of silt and clay (Figure 6). This difference occurs because clay adsorbed
plutonium the most, while sand adsorbed it least per unit weight of sediment.
The particulate 239pu predicted to accumulate in the bottom of South Mortandad Canyon over the two-
year simulation period is shown in Figure 7, reflecting sediment deposition and erosion patterns in the
canyon. The plutonium accumulated there represents only 1 % of the total influx of 239Pu to the
canyon, mostly of because deposition of contaminated sand. Most of the plutonium-bearing suspended
silt and clay was carried through South Montandad Canyon and deposited in Montandad Canyon,
where the flooding flow disappeared due to seepage, thus producing a contaminated bed in Mortandad
Canyon.
326
28
Measured Sediment Rux 6cm Below Water Surface
for the 15 September 1974 Storm Event at GS-2
24
~20
~
Measured Sediment Flux 6cm Above Stream Bed
for the 15 September 1974 Storm Event at GS-2
_ Sediment Rux Computed by TODAM for the
.!'l16 16 July 1976 Storm Event at GS-2
u.
C
~ 12
'i
(J)
8

iij
~ 4
OL-~--~--~--~--~--~--~--~~--~~~--~~
o 20 40 60 80 100 120 140 160 180 200 220 240
Time (min)
59306067.4
Figure 4. Predicted and Observed Sediment Concentrations in Mortandad Canyon for Two Similar
Storms Occurring on September 15, 1974, and July 16, 1976
3.0x 10-5 r--------------------------~

o Total 239pU
2.5 o Total Particulate 239pU
/::,. Dissolved 239pu
Ci) 2.0
:::.
()
.e,
~ 1.5
iI
:::I
m
a.
1:.1 1.0
0.5
o 2 3
Time (hrs) 59306067.5
Figure 5. Predicted 239Pu Concentrations at the Mouth South Mortandad Canyon for a
September 1975 Storm in South Mortandad Canyon
327
2.5 X 10-5 ,...------------_r----------------,

o Total Particulate 239pU
o 239pu with Sand
2.0 t:. 239pu with Silt
o 239pU with Clay
1.5
Time (hrs) S9306067.6
Figure 6. Predicted 23% Associated with Sand, Silt, and Clay at South Mortandad Canyon for a
September 1975 Storm in South Mortandad Canyon
6.0 X 104
illlim Clay
5.0 IE!!!I Silt
g
<:-
[J3 Sand
c:::
.2 4.0
~
E
3.0
<
-g
m
"
D-
C>
f,l
200 400 600 800 1000 1200 1400 1600 1800 2000 2200 2400
Distance from Head of South Mortandad Canyon (m) 59306067.8
Figure 7. Predicted 23% Accumulation on South Mortandad Canyon Bottom over Two-Year Period
This study demonstrates the importance of suspended sediment to plutonium migration and of sediment
deposition as a cause of bed contamination. The contaminated bed then can become a potential long-
term source of contamination that continues long after contaminant release from an original source
ceases.
328
4.3. STRONTIUM MIGRATION MODEUNG FOR CHERNOBYL NUCLEAR ACCIDENT
On April 26, 1986, Chemobyl Nuclear Plant Unit No.4 in Ukraine suffered a core-meltdown accident
and approximately 50 million curies were released to the environment over the next ten days, including
1.3 million curies of mCs and 0.24 million curies of 90Sr (Onishi et al. 1992). The Chemobyl plant is
located approximately 100 km north of Kiev, Ukraine, along the Pripyat River, which joins the
Dnieper River draining into Black Sea about 1000 km downstream.
Potentially the greatest source of 90Sr into the Pripyat and Dnieper river system is the highly contami-
nated left (east) bank floodplain of the Pripyat River directly across from the Chemobyl plant
(Voitsekhovitch et al. 1992). The floodplain is approximately 2 x 10 km in size and is contaminated
with over 8000 Ci of 9OSr. To assess the impact of 90Sr desorption from the floodplain sediment into
the Pripyat River during flooding, and to identify a potential remediation scheme to reduce this impact,
the unsteady, two-dimensional model WATOX-2 was applied to the Pripyat River and its floodplain
(Zheleznyak et al. 1992). The basic formulations of the two-dimensional WATOX-2 model is similar
to the one-dimensional model TODAM discussed previously. Due to the relatively low value of the
distribution coefficient, Kd for 9OSr , adsorption of 90Sr to sediment is not important during transport.
However, because the amount of 90Sr stored in the floodplain is so large, desorption of 90Sr from
floodplain sediment into overlying flooding water is important.
Simulation of the floodplain flow indicated that a four-year flood with 2000 m3/s discharge covers all
the contaminated floodplain, as shown in Figure 8, which depicts a steady-state hydrodynamic model
prediction for this flow. Assuming the upstream boundary condition of 90Sr to be 50 pCili, WATOX-2
predicted a more than fourfold increase of 90Sr concentrations at the downstream end, to exceed
100 pCil, the local radiological standard for 90Sr for drinking water, as shown in Figure 9.
One of several remediation approaches considered was construction of an earthen dike along the
Pripyat River in the floodplain to block off the flooding over the floodplain. Predicted 90Sr
concentrations for this case are shown in Figure 10; 90Sr concentrations were lowered less than
100 pCil, thus satisfying the drinking water limit.
I
Q)
0
c: 2000
til
iii
is
~
Q)
(;j
..J
0
0 2000 4000 6000
Longitudinal Distance (m)
Figure 8. Predicted Steady-State Velocity Distribution in the Pripyat River and its Floodplain with
Discharge of 2000 m3/s (Zheleznyak et al. 1992)
329

89306067.1
Figure 9. Predicted IUSr Concentrations in the Pripyat River and Its Floodplain for the Four-Year
Flood (Zheleznyak et al. 1992)

89306067.2
Figure 10. Predicted IUSr Concentrations with the Dike Installed along the Pripyat River
under the Four-Year Flood Conditions (Zheleznyak et al. 1992)
After this study was conducted, an ice jam formed at the downstream end of the study area, causing a
flood to cover the floodplain in January 1990. The observed IUSr concentration reached approximately
240 pCil , confirming the model prediction. Subsequently, a dike has been constructed along the
Pripyat River to prevent further flooding over this highly contaminated floodplain.
The study revealed that even such a low affinity to sediment as 90Sr has a significant impact on the
dissolved concentration. It also demonstrated the usefulness of modeling to determine appropriate
remediation activities.
330
4.4. PESTICIDE. KEPONE MIGRATION MODEUNG FOR THE JAMES RIVER ESTUARY
Kepone, a chlorinated pesticide, was released to the James River estuary at River Kilometer 120 in
Virginia from 1966 to 1975 (Onishi 1981). The James River drains to Chesapeake Bay, which is an
important commercial fishing site. Much of the kepone was adsorbed by estuarine sediment and has
remained in the bed. To assess the migration of kepone toward the Chesapeake Bay and determine
how the river can be cleaned, the sediment-contaminant transport model FETRA (Onishi 1981) was
applied to an 86-km estuarine reach to simulate tidally varying migration of kepone .
FETRA is an unsteady two-dimensional model that simulates transport, deposition, and resuspension of
sediment and contaminants, with their interactions. The model formulation is similar to that of the
one-dimensional model TODAM, except for its dimensionality, lack of detailed chemical degradation
formulations, and use of only DuBoys' formula for non-cohesive sediment transport capacity
calculations .
In this application, FETRA simulated movements of seven substances: sand, cohesive sediment (a
combination of silt and clay), organic matter, dissolved kepone, and particulate kepone adsorbed by
sand, cohesive sediment, or organic matter under tidal flow conditions. Although FETRA is two-
dimensional, it was applied one-dimensionally because of the limited field data available. Tidally
varying velocity and depth distributions were obtained using the unsteady, one-dimensional code
ELPLORE-l (Baca et al. 1973).
Because of the importance of sediment transport to kepone migration, FETRA was calibrated for a
freshwater discharges of 58 ml/s and its validity tested for sediment transport under the net freshwater
discharge of 247 ml/s. Under the calibration flow, the sediment concentration was almost constant
(about 30 mg/() over the entire study area. However, under the 247 rrils case, predicted results
revealed two peak sediment concentrations of about 100 mg/( (Figure 11). The first peak (around
River Kilometers 75 to 95) was related to extensive estuarine bed scouring there, while the second peak
was related to the existence of a null zone (where river freshwater meets salt water) around River
Kilometer 55.
The model also predicted that sediment is carrying from 20 to 50% of the kepone seaward, depending
on the tidal cycle stages. Both predicted and measured particulate kepone concentrations (Figure 12)
show a general trend of peaking around 75 River Kilometers, where a null zone of the estuary usually
forms. Because the contaminated bed sediment is the main source of long-term kepone contamination
in the estuary, it is important to know how kepone distribution in the bed changes with time. As show
by Figure 13, two trends become clear: (1) kepone levels are decreasing in the upper reach of the
estuary, where the kepone was originally released, because cleaner sediment from upriver is burying
the older contaminated sediment, and (2) the contaminated bed sediment is moving seaward. The
burial of highly contaminated bed sediment by clean upriver sediment is an important natural cleansing
of the river.
To determine the optimal locations for kepone removal operations (e.g., dredging the contaminated
bottom sediment), ten potential Kepone cleanup locations were selected (Cases A through J, shown in
the lower portion of Figure 14). Assuming that kepone would be removed from the river bed at the
corresponding reaches of the James River estuary, FETRA simulated the resulting particulate and
dissolved kepone concentrations for one month under tidal flow conditions with net freshwater
discharge of 247 ml/s in the water (Figure 14). Note that the solid lines in these figures indicate the
baseline without any cleanup (Case 1).
331
~ 140 Total Sediment Field Data for Total Sediments

(Nichols, 1972)
Cohesive Sediment
c:: o Field Data for Total Sediments
0
120 Organic Matter
(VIMS)
~ Sand
'E
Q)
g 100
0
()
'E 80

Q)
E
'i
(J)
60
0
]
t
f! 40
Q) 0
~
~ 20
(ij
~ 0
30 40 50 60 70 80 90 100 110 120 130
River Kilometers 59306067.14
Figure 11. Predicted and Measured Tidadly-Averaged Sediment Concentrations in the James River
Estuary for the Case of 247 m3/s Net Freshwater Discharge
0.28.-----------------,
- - Average Particulate Kepone
1
c::
o
- - Particulate Kepone with Cohesive Sediment
0.24 - - Particulate Kepone with Organic Matter
_ . Particulate Kepone with Sand
Field Data for Average Particulate
~ 0.20 Kepone (Dawson 1978)
"E
~
c:: 0.16
8
8. 0.12
Q)
~
"* 0.08
"S
o
.t: 0.04
If
0.00 L..-_..-.=-:=~'--...J;;.=-'--__'____''__=_........
30 50 110 130
River Kilometers
59306067.17
Figure 12. Comparisons of Predicted and Measured Particulate Kepone Concentrations at Maximum
Ebb Tide in the James River Estuary under Net Freshwater Discharge of 58.3 m3/s
332
0.35....--------------------,
- - Initial River Bed Surface Kepone Condition
~
.:;, 0.30
- - - - River Bed Surface Kepone Conditions after One Month
r::
o
.~ 0.25
"E
~
0.20
()
8. 0.15
Q)
~
Q)
u
0.10
~
::I
0.05
I
"
,
""
Ul
al
-"
"I I ""
"
CO
o~~-~-~-~-~-~-~-~-~~
30 40 50 60 70 80 90 100 110 120 130
River Kilometers
S9306067.18
Figure 13. Predicted Kepone Concentration Change in Bed Surface of the James River Estuary After
One Month Simulation under Net Freshwater Discharge of 247 m3/s
0.020
0.018
~
.:;, 0.016
r::
0 0.014
~
"E 0.012
Q)
u
r:: 0.010
0
()
Q)
r:: 0.008
8.
Q) 0.006
~
lii 0.004
j
0.002
0
30 40 50 60 70 80 90 100 110 130
River Kilometers
S9306067.3
Figure 14. Predicted Effectiveness of Ten Remediation Options, as Indicated by Resulting Total
Kepone Concentrations in Water for the James River Estuary
333
Of the ten cases tested, only Cases D and E show a significant reduction (up to 55 % and 48 %,
respectively) of both dissolved and particulate kepone concentrations. However, even in these cases,
most of the kepone reductions occur in the middle of the river, where cleanup is assumed to have
occurred, and predicted kepone reductions in the lower estuary are not significant. These simulations
also reveal that once the river is contaminated, contaminant concentrations in water tend to reflect the
contaminant level of the local bed. Thus, to reduce kepone in water over a large area requires cleanup
of the bottom of that entire large area.
This study illustrates how bed sediment can be a long-term contamination source long after the release
of contaminants to receiving surface waters. Desorption of contaminants from the bed and the subse-
quent migration of contaminants in both dissolved and particulate phases must be accounted for. The
study also clearly demonstrates that once a wide area of a surface water environment is contaminated,
there is no single effective location where cleanup will cause a major reduction in contaminant
concentrations in water over a large area. However, the natural cleansing caused by the burying of
contaminated bottom sediment by cleaner sediment can be a long-term solution in some cases.
4.5. HEAVY METAL MIGRATION MODELING IN NEW BEDFORD HARBOR
For over 30 years, waste water contaminated by PCBs and heavy metals including arsenic, cadmium,
chromium, copper, lead, mercury, silver, and zinc were discharged to New Bedford Harbor,
Massachusetts, which is a part of Buzzards Bay (Figure 15) (Onishi et al. 1993). Because of the
contamination, the harbor was designated a Superfund site by the u.S. Environmental Protection
Agency. Because PCBs and these heavy metals have a high affinity for sediment, most of the
contaminants are associated with bed sediment.
To assess migration of these contaminants and to identify potential remediation activities, the unsteady,
three-dimensional model FLESCOT was applied to the site (Onishi et al. 1993). The model simulated
flow induced by tide, wind, and water density gradient, water temperature, salinity, sand, silt, clay,
dissolved contaminants (pCBs, cadmium, lead, and copper), and particulate contaminants associated
with sand, silt, and clay.
Figure 16 shows the predicted velocity field for the top water layer near the maximum flood tide,
showing the fast-moving water passing through a narrow opening of the hurricane barrier and the deep
navigation channel outside the hurricane barrier. Repeating a sequence of one-month average flow and
an one-day storm-induced flow conditions, FLESCOT predicts sediment and contaminant
concentrations in the water and bed. The model was calibrated for both sediment and PCB cases
(Richmond et al. 1989). Examples of time-varying predicted and measured concentrations of sediment
and lead in outer New Bedford Harbor (Station 15) are shown in Figure 17. (Field sampling station
locations are shown in Figure 15.) The high peaks of sediment and sediment-sorbed lead
concentrations are due to storm flow; the associated reduction of dissolved lead is caused by adsorption
of lead by cleaner bed sediment resuspended during the storm. The small fluctuations of all three
concentration distributions are due to tidal oscillation.
Most predicted and observed sediment concentrations for all 17 sampling stations are within 2 to
4 mg/ l , as shown in Figure 18. Predicted and observed lead concentration show a generally
decreasing trend from the upstream Acushnet River area toward the Buzzards Bay, with the predictions
showing a more uniform reduction in concentration with seaward distance than the measured data
(Figure 19). The model was then used to predict contaminant concentrations resulting from various
options to remediate bed contamination.
334
i
----
.s.mu.~~l&~
,,--~
J
Figure 15. New Bedford Harbor Modeling Area
Figure 16. Predicted Velocity Distribution of the New Bedford Harbor near Maximum Flood Tide
335
25
I 2D
I.. '!$
I
S
UI
5
:~
O.
tOOO
IlOO
I IlOO
J 4IlG
2110
0
!lOll
4IlG
I 2110
Il! 2110
lOll
~ .e 10 2D ail oI\i m
Days
Figure 17. Predicted and Measured Concentrations of Sediment and Lead in

Outer New Bedford Harbor (Station 15)
ar-----------------~~----------~
i,i~ ~24.2
'110 -
j
1
I-
1-

I
.. 41-
c1~c.~O 0 0
It 21-0
oil 0 I I I I I I 1 I I I I
1 2 3 4 5 UI " U ~
Samp&IQ SIaIIan _ _
u 15 II 17
Figure 18. Comparisons of Predicted and Measured Sediment Concentrations in New Bedford Harbor
336
10'~----------------------------------,
O_.d
.1I"5Un!d
2 3 4 5 6 t w " ~ ~ U ~ ~ W
~SIoIian_
Figure 19. Comparisons of Predicted and Measured Total (Sum of Dissolved and Sediment-Sorbed)
Lead Concentrations in New Bedford Harbor
The study again illustrates contaminated sediment becoming a major source of surface water
contamination years after the contaminant discharges to a receiving surface waters. Once the
contaminants are adsorbed by sediment and settled on the bottom, changes in contaminant distribution
are very slow.
s. Conclusion
Contaminant transport and fate in surface water are controlled by water and sediment movements,
adsorption/desorption, chemical precipitation/dissolution, contaminant degradation/decay, transforma-
tion, and intermedia contaminant transfer. As illustrated by the five model applications, adsorption by
sediment and subsequent transport, deposition, and resuspension of sediment are key processes in the
evaluation of long-term contamination and determination of potential remediation options.
Because desorption is a slow process and contaminants in overlying water tend to be in eqUilibrium
conditions locally, cleanup of contaminated bed sediment over a large area will usually be required to
obtain any major reduction of contaminant concentrations in water over a large area.
337
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12
MODELING OF DAM-BREAK FLOW
A. BETA.MIO DE ALMEIDA and A. BENTO FRANCO

Technical University of Lisbon
Instituto Superior Tecnico
Civil Engineering Department
Av. Rovisco Pais, 1006 Lisbon Codex, PORTUGAL
ABSTRACT. Dam-break flows or floods (D.B.F.) have become a very important topic for
engineers. As a part of a risk and safety analysis it is now current to produce inundation maps
consistent with different dam failure scenarios and conditions. These maps are based on
numerical simulations and on computational models of dam-break floods. The dam-break
problem is now as a real problem in engineering pratice that must be solved by computational
models according to real experience and knowledge, based on historical events, physical
models and sensitivity analysis. A "state-of-the-art" of D.B.F. modeling is presented,
including recent contributions to numerical techniques advances on shock simulation and 2-D
modeling.
1. Introduction
Sources of fresh water are limited in our planet and dams are the most powerful way we have
to control and to store river flows so far. However, a dam is a potential source of hazard,
specially to densely populated areas at downstream. Among other reasons, a dam failure can
occur due to miscalculations or inadequate evaluation of any critical design condition (e.g.
hydrological or geotechnical conditions) or an error in construction or in operational
procedures.
Historical catastrophic dam failures have occurred and can occur again: e.g. according to
statistics, dams of significant size fail in the U.S. at an average rate of more than one per year
(ELLINGWOOD et al., 1993). Among the effects of such a kind of accident, the megaflood
caused by the reservoir drainage through a dam breach can be a very dramatic event in what
concerns loss of life and property. The most dangerous floods are not necessarily large ones
but the horror of a concentrated death tragedy gives a special importance to dam-break floods.
Fortunately, it seems that the percentage of dams that fail, among the total of constructed
dams, have decreased during this century (e.g. GOUBET, 1979 and 1984, and SERAFIM,
1981) due to basic improvements in the design and construction.
The distribution of the number of failures by dam types shows a higher number of cases of
fill dams (earth, rockfill and earth-rockfil dams) than concrete or masonry dams. The type of
dams with fewer failures are the arch dams (e.g. COXON, 1979; SERAFIM, 1981 and
INGLES, 1984).
Overtopping by floods and dam subsidience due to piping have been one of the major
343
M. H. Chaudhry and L W. Mays (eds.), Computer Modeling of FreeSurface and Pressurized Flows, 343-373.
344
causes of till dam failures. Foundation problems are an important potential cause of hazards
for concrete dams.
Dams seem to be much more vulnerable during and immediately after the construction,
specially within five to seven years. After this period. the risk of failure decreases. However,
it also seems that after the useful life of a dam the percentage of accidents can increase again.
In what cOncerns the height factor, the greatest number of recorded dam failures have
occurred with dams less than 20 m height, specially in the group of dams between 15 and 20 m
heigh (KLOHN, 1992).
It is very convenient to be prudent not only with the new large dams but, more and more,
with safety aspects concerning:
- the aging of dam structures and the modifications of their environmental and hydrologic
conditions;
- the increasing number of small and medium dams built with limited funds that can not
afford detailed studies.
Although the failure of man-made dams is the main topic concerning the engineers, natural
dams or obstructions to the flow caused by environmental reasons (e.g. due to sudden slope
rock or landslides) can also be very dangerous. Emergency procedures need then to be
implemented in order to avoid the overtopping and/or the dam rupture and also safely drain the
stored water. In these cases, a rupture scenario must be considered for evaluation of
downstream evacuation.
For engineers the dam break flood (D.B.F.) analysis has a real importance for their
profissional activity. In fact, new projects can be easily postponed due to safety and other
environmental reasons. A comprehensive multistage D.B.F. analysis, developped during the
different dam design stages, can be a very useful way to justify or to optimize the spillway
design flood and to overcome future conflicts and unjustified fears in the public. Any vital,
strategic or dangerous infrastructure (e.g. a nuclear powerplant) to be constructed in a river
valley will need the knowledege of the extreme maximum water levels, including these due to
dam break, should one or more dams be placed upstream.
A global floodplain management will have to include emergency evacuation procedures and
guidelines for the human and economic occupancy as long as an upstream' dam and reservoir
be a potential risk. These guidelines must be based in a special flood zone ordinance prepared
according to a D.B.F. analysis.
In what concerns the mathematical modeling, a D.B.F. is different from the ordinary
natural floods by the following main reasons:
a) very high peak discharge and water depths values;
b) eventual occurence of movable bores (or shocks) and undular jumps;
c) fast and violent flooding of the banks with strong 2-D effects in flood plains,
including oblique shock waves and a very irregular water surface;
d) flooding of previously dry land with specific dissipative effects;
e) abnormal transport of sediments from the reservoir and valley as well as of material
or debris from the dam;
345
t) sucessive or alternate suhcritical and sup<!rcritical types of flow along a very irregular
river hed;
g) unpredictahle dynamic houndary conditions at each dam site and strong dynamic
effects downstream of the main valley as well as at each tributary;
h) very difficult validation and calibration of the mathematical models for real case
studies;
In the mathematical formulation of the dam break flow, two essential parts must be taken into
consideration:
- dam breach process;
- dam break nood wave propagation through the river valley.
The classical analytical solutions are known for very idealized dam break situations. However
the solutions of the so called Dam Break Problem of Hydrodynamics are based on very
simplified flow conditions (STOKER, 1957).
From the practical engineering point of view. the analytical solutions are based on very
simplified conditions. Cascade dam failure and wave attenuation in flood plains are not
considered and can not be taken in consideration by formal solutions. However, the classical
analytical solutions are still very important because:
- they introduce some features of the phenomenon (fast positive wave front or bore,
critical conditions at dam site, negative wave, friction and inertia effects ... );
- they can provide "1-D good formal or exact solutions" .
For real engineering practice, flexible and general computational models must be used for
D.B.F. simulation and analysis according to the objectives and requirements of each case
study. It is the purpose of this work to present the requirements, characteristics and available
types of dam-break flow models.
2. General modeling objectives and requirements
2.1. GENERAL OBJECTIVES
In engineering practice, a D.B.F. analysis has the following main objective:

Evaluation and prediction of the characteristics of the flood caused by a dam failure, in
order to evaluate the environmental impact and socio-economic consequences of such
event as well as to develop emergency and evacuation plans.
A computer model is the most convenient tool for a fast and systematic analysis of the flood
effects on downstream zone. The hydraulic effeL'ts are the water depth and flow velocity
variations with time and the changes in valley geometry by erosion or deposition.
At design stage the D.B.F. analysis can also be an auxiliary procedure of the hydrologic
safety evaluation in order to establish the required dam spillway capacity. This can be done by
using, among others, the inflow design flood (IDF) methodology or the ASCE recommended
346
procedures (PANSIC and BORG, 1992 and LAU and CECILlO, 1993).
2.2. GENERAL MODEL REQUIREMENTS
Rl The model domain should extend from the dam to a distance where there is no
significant addition in nooding conditions due to dam failure. A zone at upstream should
also be modelled in order to simulate the dynamic waves along the reservoir specially in
case of a dam cascade situation.
R2 It will be very convenient that the same computational model be able to route,
through the reservoir and the downstream valley both any nonfailure hydrograph and a
D.B.F.. Submergence effects and abnormal water levels must be accepted by the model
without stability or convergence problems or run abortion.
R3 The numerical scheme must be able to reproduce fast unsteady free surface floods
for both supercritical and subcritical regimes, including bore (shock) propagation along
natural and irregular channels. A general model for river networks will be very
convenient as well as a 2-D model for nood plain modeling or other special singularities.
RS The failure of an earthen dam and the nood routing along a very erodible valley
may also justify the consideration of a sediment or solid transport modellin~ capability.
Cascade dams, with or without failure, need to be considered by the model.
R6- The computational model output must be easily available for evaluation of
potential structural damages and cost losses.
R7 The inundation maps to be produced by computer should indicate the time of
arrival of front waves and of maximum depth. Zoning according to potential damage risk
and evacuation priority should also be indicated.
R8 Sensitivity analysis should be easy to perform by the computational model: the
range of output changes due to breach parameters, channel roughness and initial or
boundary conditions will be helpful for dam designers and sarety planners.
2.3. MODELING DOMAINS AND CHARACfERISTICS
The choice of a D.B.F. model will depend on several factors as tbe characteristics of the valley
and of the dam, the importance of dam failure, the purpose of tbe analysis etc ..
For very preliminary studies it will be possible to choose very simplified metbods for rough
estimate of main flood characteristics.
For a detailed analysis and real conditions the model should be based on complete
hydrodynamic equations according to the indicated requirements. In tbis context it is still
possible to consider the following different modeling domains and their specific requirements:
a) Area close to each dam (isolated or in cascade) during (and immediately after) the
failure, where the inertia effect and 2-0 and 3-D effects, as well as the breach
characteristics, are dominant (see Section 2.1). Remark: breach equations, including
submergence effects, and flow dynamic compatibility equations are required.
b) Valley reach downstream of the dam, where bore propagation and friction effects are
very relevant, as well as sediment erosion and deposition. For flood routing along a
narrow valley a simplified 1-0 breach modeling can be good enough. Remark: shock
as well as supercritical and subcritical flow regime modelling capability (tipically 1-0
domain eventually with tributaries) is required.
347
c) Flood plains, where 2-D and storage effects are dominant as well as other local
effects. Remark: simplitied 1-0 networks or linked lateral reservoirs are crude
simplifications of the flow phenomena. Flow over an initially dry domain is a typical
problem to be solved by a 2-D model. Mixed 1-0/2-0 models can be used for
practical cases Figures 1 and 2;.
d) Distant valley reachs from ruptured dam, where the flow regime is nearly a 1-0
gradual unsteady flow.
3. Dam Breach Process
3.1. BREACH FORMATION
The breach formation process has a great intluence on the magnitude, shape and duration of
the outflow hydrograph which results from the dam failure. Dam breaks can occur either
gradually or suddenly and they can result in a total or partial failure depending on the type of
failure mechanism. The mechanism of dam break is a very complex and random phenomena.
Based on past failures, several authors have attempted to classify the various types of
breach shapes associated with each type of dam and with the cause of failure (e.g. JOHNSON
and ILLES, 1976).
BARRAGEM
lL=:. .1
MODELO 1-0
MODELO 2-D
?
MOOELO 1-D
Figure 1 - Example of mixed 1-012-0 grid scheme (ALMEIDA and RODRIGUES, 1984)
348
om 00 ' " C9
~ ~
t
- ----------"
---------------~~~'\
.......
...
, ............................. '
--
1.1 . "
Figure 2 - Example of 2-D model results( ALMEIDA and RODRIGUES, 1984):

Flow velocity distribution at t = 4 h;flow over a dry bed plain
Earth dams do not tend to fail completely, nor do they fail instantaneously. However, any
small failure is potentially dangerous as erosion of the dam can occur, enlarging an initially
small breach. Concrete gravity dams tend to have a partial breach as one or more monolith
sections are forced apart. The time for the breach formation is in the range of a few minutes
and the typical final breach configuration is rectangular. Arch dams tend to fail completely
and in a few minutes.
As it is not possible to model in detail each failure mode and, for reasons of simplicity and
flexibility the most usual overtopping breach modelling approach consider a rectangular,
triangular or trapezoidal shaped breach that grows progressively with time downward from the
dam crest (FREAD, 1984). The final breach shape is specified by the side slope of the breach,
the width and elevation of the bottom of the breach. A piping failure mode can be simulated
as an orifice breach that grows with time until a specified maximum thickness of the dam body
above the orifice is reached. After that the upper arch will collapse and the breach simulation
is analogous to an overtopping failure.
Another technique of determining the breach evolution in earthen dams is to use material or
sediment erosion models by coupling the hydraulic flow equations with a solid transport and
sediment continuity equation.
3.2. OUTFLOW HYDROGRAPH.
According to PETRASCHECK and SYDLER, 1984 the breach outflow is governed by the
349
following factors:
1) dam height and reservoir volume and geometry;
2) size and form of the breach and time of failure;
3) initial hydrological conditions (water level and inflow);
4) downstream river geometry;
The discharge through spillways, outlet works, and dam breaches are typically computed as a
function of the reservoir water surface elevation using weir and orifices equations taking in
consideration the eventual submergence effects. An inflow hydrograph can be routed through
a reservoir using either storage (continuity equation) or dynamic (complete unsteady flow
equations) routing. The weIl known N.W.S. DAMBRK flood forecasting model offer these
two options (FREAD, 1979).
The outflow hydrograph at a dam site, for a sudden and complete dam break (e.g. arch
dam), can be introduced in the model: an analytical solution can be eventually considered as a
valid boundary condition during the tirst instants of the event.
Franco and Almeida (FRANCO, 1988, FRANCO and ALMEIDA, 1990) developed a
D.B.F. wave propagation model (ROTBARR MODEL) for general cascade dam rupture
analysis in which dams are treated as internal boundary conditions or as special computational
elements. The rupture of each dam is characterized by an imposed evolution of a rectangular
breach whose area can increase more or less fast according to the type of the dam. These
internal computational elements are modelled by the following set of equations that are solved
in each time step (Figures 3 and 4):
- one upstream characteristic equation C +;
- one downstream characteristic equation C-;
- the flow continuity equation;
- the equivalent total discharge equation (corresponding to the outflow through the breach,
the spillway, the turbines and the outlets).
r
t +.4\
_ ,- 1 - 1_ . ''----I
' ...
.'
Figure 3 - A dam as an internal computational element or node
350
....
- ... .
"'-
Figure 4 - Flow profile through the breach
An approximate local inertia effect can also be introduced in the outt10w equation. The system
to be solved is a non-linear one with four equations and four unknown quantities (water depth
and velocities at upstream and downstream sections), which is can be solved by the Newton-
Raphson technique or other similar technique. This cascade condition is very important in real
case studies (ALMEIDA and ORNELAS, 1987).
SINGH and SCARLATOS, 1988 presented five analytical models for the simulation of an
earth dam breach erosion. In these models the reservoir water-mass depletion equations,
broad-crested weir hydraulics and a specified breach-erosion relation (linear or quadratic
function of the outflow mean water velocity) are used. The interaction based models follows
the concept that once an incipient breach has been initiated, the discharging water erodes the
breach until either the reservoir water is depleted or the breach resists to further erosion. A
short list of these computational models is presented by SINGH and SCARLATOS, 1988
which is herein reproduced:
A) Flow simulation:
A I) Considering critical flow conditions at the breach and simulation of the outflow
discharge by the full hydrodynamic equations (LOU, 1981; PONCE and
TSIVOGLOU, 1981);
A2) Considering critical flow condition at the breach and simulation of the outflow
discharge by a quasi-steady-state flow equation (BROWN and ROGERS, 1977;
CRISTOFANO, 1965; FREAD, 1977 and 1984; HARRIS and WAGNER, 1967;
SINGH and SCARLATOS, 1985b).
B) Erosion and material (sediment) transport simulation:

Bl) By empirical relations (CRlSTOFANO, 1965; LOU, 1981);
B2) By bedload formulas such as those of Schoklitsch (BROWN and ROGERS, 1977
and 1981; HARRIS and WAGNER, 1967); Meyer-Peter and Muller (FREAD,
1984; PONCE and TSIVOGLOU, 1981); Smart (Fread, 1985); and Einstein and
Brown (SINGH and SCARLATOS, 1985b).
351
C) Breach morphology:
CI) Rectangular, triangular or trapezoidal (CRISTOFANO, 1965; FREAD, 1977 and
1984; SINGH and SCARLATOS, 1985b);
C2) Parabolic (BROWN and ROGERS, 1977; HARRIS and WAGNER, 1967);
C3) Regime-type (LOU, 1981; PONCE and TSIVOGLOU, 1981).
D) Other physical features:

01) Tailwater effects (FREAD, 1977 and 1981; LOU, 1981; PONCE and
TSIVOGLOU, 1981; SINGH and SCARLATOS, 1985b);
02) Stability of breach side slopes under dry conditions (FREAD, 1984 and 1985);
03) Stability of breach side slopes under saturated conditions (SINGH and
SCARLATOS, 1985a e b).
Regardless of the level of model sophistication, there is always a great degree of uncertainty
and a sensitivity analysis is always needed when using a deterministic model. BECHTELER
and BROICH, 1991 analised the validity of different sediment transport equations by making a
sensivity analysis and a comparison with experimental data obtained in a physical dam model.
The conclusion was that the sediment transport formula by Meyer-Peter/Miiller, Smart and
Cristofano provided good results, when applied to a homogeneous dam built of grained
materials; and a direct application of the sediment transport formulas to a dam built with
cohesive material is generally not valid.
3.3. DAM BREACH MODELS
A list of 1-0 dam breach models are presented in SINGH and SCARLATOS, 1988 and herein
reproduced (Table 1).
Warning: in some in real cases the breach flow can have very important 2-D (and 3-D)
effects during the dam-break process. Should safety levels close to the dam be important and
these effects need to be taken in consideration.
The modeling of the dam breach process is an essential part of a O.B.F. analysis. Real dam
breach characteristics depend on dam type and on failure mode. A breach can be total or
partial and have a more or less slow development. A breach can be formed by: 1) a sudden
removal of a portion or all of the dam structure (e.g. in concrete dams); or 2) an erosion
process of the embankment material (e.g. in earthen dams). The size, shape and time for the
development will be in fill dams a function of the erodability of the material.
The modeling of the breach as the origin of a D.B.F. can be executated according to the
following general methods:
- Complete flow-dam structure interaction, specially in breaches of earth dams, where
after breach inception the hydrodynamic equations are coupled with a transport formula
and a solid flow phase continuity equation;
- Simplified breach evolution, specially in what concerns the breach shape, as a simpler
technique of flow-breach interaction;
- Imposed conceptual breach evolution, a very popular technique for all types of dams in
352
commercial codes and in engineering practice; a breach shape evolution and the time for
the development of the breach are imposed as an imput data;
- Imposed flow discharge hydrograph, a very simplified technique; an hydrograph based
on an estimated peak discharge, flood volume and time parameters is imposed at dam
site; the unsteady flow at upstream and at downstream sides are then uncoupled.
Table 1
Mathematical Models for Dam Breach Erosion
(reproduced from SINGH and SCARLATOS, 1988)
Model and Hydro- Material Solution Breach Parameters Other

year dynamics transport method morphology (6) features
(1) (2) (3) (4) (5) (7)
CRISTOFANO Broad-crested Empirical Manual Constant Angle of None

(1966) weir flow formula iterative breach width friction,
others
HARRIS and Broad-crested Schoklitsch Numerical Parabolic Breach None
WAGNER. weir flow bed-load solution breach shape dimensions,
1967; BRDAM formula sediment
(BROWN and char.
ROGERS, 1977)
DAMBRK Broad-crested Linear Numerical Rectangular, Breach Tailwater

(FREAD, 1977) weir flow predetermi- iterative triangular, dimensions, effect
ned erosion trapezoidal others
LOU, 1981; Full hydro- Empirical, Preissmann's Regime type Critical shear Tailwater
PONCE and dynamic Meyer-Peter finite relation stress. effect
TSIVOGLOU, system and Muller differences sediment
1981 char.
BREACH Broad-crested Meyer-Peter Numerical Rectangular, Critical Tailwater,
(FREAD, 1984, weir flow and Muller iterative triangular, shear, dry slope
1985) formula, trapezoidal sediment stability
Smart char.
formula
BEED (SINGH Broad-crested Einstein- Numerical Rectangular, Sediment Tailwater,
and weir flow Brown iterative trapezoidal char. others saturated
SCARLATOS, formula slope
1985) stability
353
4. Flood Propagation
4.1. INTRODUCTION
I-D numerical models based on the Saint Venant equations have been extensively used to
simulate D.B.F. propagation in natural valleys. In the nature only flows along a complete
straight channel can be considered to be strictly one-dimensional. In rivers with variable cross
section, compound sections and/or flood plains, the flow has a strong 2-D (strictly speaking
3-D) behaviour. In these cases the free surface levels and the flow can very along all
directions velocities. This behaviour invalidates the hypothesis of a one-dimensional
simulation. Another basic hypothesis is that the pressure distribution is hydrostatic. This
assumption is violated in undular jump regimes and near a bore front where the vertical
accelerations should not be neglected (Pohle solution).
4.2. ONE-DIMENSIONAL FORMULATION
4.2. 1. Governing Equations. The Saint Venant equations for 1-D gradual unsteady free-
surface flow equations are based upon the following series of assumptions (CUNGE et a1.,
1980):
- the flow is 1-D i.e. (over each cross section the water level is horizontal and the velocity
is uniform);
- the streamline curvature is small and vertical accelerations are negligible, hence the
pressure is hydrostatic (shallow water models);
- the effects of bed friction and turbulence can be modeled by empirical resistance laws
analogous to those used for uniform and steady state flows;
- the average channel bed slope is small.
Should movable undular jumps occur and some of these assumptions are violated: e.g. the
hydrostatic pressure distribution is not valid and additional terms can be needed to account for
streamline curvature effects on the vertical pressure distribution (BOUSSINESQ, 1872;
SERRE, 1953; BASCO, 1989; ABREU and SANTOS, 1989; CARMO, 1990; GHARANGIK
and CHAUDHRY, 1991). In fact, the Saint Venant equations can be modified by assuming
that the vertical velocity varies from zero, at the channel bottom, to its maximum value, at the
free surface (SERRE, 1953). These equations, written here for a broad rectangular canal,
were called by Serre as the generalized Saint-Venant equations l (or Serre equations):
- continuity equation
(4.1)
IThese equations are also called by GHARANGIK and CHAUDHRY, 1991. refering BASCO, 1983, as
1-0 Boussinesq equations. In the literature the Boussinesq equations result from the linearization of
the Serra Term in equation (4.2).
354
- momentum equation
d
- (hu) + -
at
a
ax {hu
2
2
1 2 h3 (fu
3
s:(fu
ax at
+ - gh - - [ - + u - 2 - ( - )
2
ax ax 1
au '} = gh (S
0
- Sf) (4.2)
in which x = distance along the channel bottom; t = time; u = flow velocity in the x-
direction; h = flow depth; g = acceleration due to gravity; So = channel bottom slope and
Sf = slope of the head grade line. In equation (4.2), the term ST is called the Serre Term.
After linearization, this term become the Boussinesq Term (h02/3) (m, 3/8x/C't2) where ho = the
depth of still water level (SWL); 11 = the instantaneous water surface variation about the
SWL. Should the Serre Term, which account for the nonhydrostatic pressure distribution in
the momentum equations (4.2), be dropped and this equation is reduced to the Saint Venant
momentum equation. The Saint Venant equations for natural valleys under the divergent form
are the following ones:
dU + dF(U) = D(U) (4.3)

at ax
where U, F(U) and D(U) are the following vectors:
F(U) = IQ I D(U) = 10 I (4.4)

VQ+Fh/p -gA(Sf-So~
= cross-sectional = water = average

f:
with, A flow area; Q discharge; V flow velocity;
Fh = integral of pressure force; Fh = pg (h - y) B(y) dy; g = acceleration due to gravity;
p = water mass density; h = water depth; y = vertical space co-ordinate; B = width of cross
section at free surface elevation; Sf = head line slope; So = bed slope.
Both the Serre Term and the Boussinesq Term are third-order terms. Therefore a third (or
higher) order accurate method is needed to solve the Serre and Boussinesq equations (ABBOT,
1979). GHARANGIK and CHAUDHRY, 1991 simulate flows including an hydraulic jump by
using the Boussinesq equation (presented in a form equal to the Serre equations) and the so
called Two-Four scheme developed by GOTILIEB and TURKEL, 1976 and compared the
obtained results with laboratory tests. The computer simulations (with three models) have
shown that the Boussinesq Term have little effect on the location of the jump.
BASCO, 1989 adopted a numerical procedure proposed by ABBOT (1979) (an implicit
finite difference scheme with three time level steps), without any bore isolation or shock fitting
techniques, and concluded that for the flood waves created by dam breaches the Saint Venant
equations are adequate to model the propagation. Several authors have also concluded that
there is a good agreement between the measured experimental results, the shock fitting models
355
and the methods based on weak solutions of the Saint Venant equations (MARTIN and
DEFAZIO, 1969, TERZIDIS and STRELKOFF 1970, MARTIN and ZOVNE, 1971 and
CHAUDHRY and CONTRACTOR, 1973). However these methods must be based on the
Saint Venant equations written under the so called conservation (diver~ent) form
(RICHTMEYER and MORTON, 1967) in order to be possible to obtain valid weak solutions
for the propagating bore discontinuity (CUNGE et al., 1980).
4.2.2 Experimental Research. The applicability of different mathematical models can be

studied by using experimental facilities. In a still on going research (at Technical University
of Lisbon and at University of Coimbra-Portugal) on the range of applicability of the Saint
Venant equations, several numerical methods have been developed to solve these equations
(FRANCO, 1988) and the Serre equations: CARMO, 1990 generalized the MacCormack
scheme to solve the Serre Term and numerical results are being compared with experimental
measurements in physical models at the Civil Engineering National Laboratory in Lisbon
(LNEC).
The performance of the Serre and Saint Venant equations are being studied by essays is at a
test facility at LNEC2. In Figures 5 to 10 numerical results and photos are presented (water-
surface for t = 3 s and an hydrograph for a section at 6 m from dam) obtained for three
different ratios of initial downstream and upstream depths. The upstream depth (ho) is in all
tests equal to 0.30 m and the downstream depth (hI) have the values 0.20, 0.15 and 0.10 m
corresponding to ratios of about 0.667,0.50 and 0.333.
The experimental results have shown that different types of waves can be found as a
function of hlth o. For ratios greater than 0.5 an advancing undular surge is formed (Figure 8)
and for ratios less than 0.5 a steep wave appears (Figure 9). For a ratio = 0.5 the first wave
of the undular surge breaks (Figure 10). A brief comparison between the laboratory results
and the numerical results allowed the following preliminary conclusions:
- for hoth! greater than 0.5 (stable undular jump behaviour) the Serre equations give better
results; the schemes based on the Saint Venant equations are not able to evaluate the
maximum downstream water depth;
- for hothl less than 0.5 the Saint Venant equations produce more realistic results and the
Serre equations overestimates the downstream water depths (for a ratio equal to 0.333
the maximum water depth measured near the probe 3 was 0.18 m);
- for hothl equal to 0.5 neither Serre or Saint Venant equations can correctly model the
unstable (breaking) undular jump.
2In these particular experiments, the flume has an horizontal bottom, and a rectangular cross-section,
0.5 m wide, 0.5 m deep and 20 m long. The dam-break simulation mechanism (a guillotine-type
arrangement in which falling weights lifts a plate that simulate the dam) is located 7 m from the
begining of the channel. The transient water levels are recorded with conductance probes. The results
are also recorded by a video camara system. Similar essays were or are being conducted in other
research centers worldwide.
356
Figure 5 - I-D governing equations. Comparison between Serre and Saint Venant equations.
Numerical results for hJh} = 0.667
Figure 6 - J-D governing equations. Comparison hetween Serre and Saint Venant equations.
Numerical results for ho/h} = 0.50
Figure 7 - I-D governing equations. Comparison between Serre and Saint Venant equations.
Numerical results for hJh} = 0.333
357
. . . - <_ II _ Olio. _ OJ... _ 0 .. 7 *"T(Jt PfIOf'U - na.( J Me
f ~ v---
,
!
.,.
~ ~
- - - So ..
---- - 51. non.
--
---- -- 5.". St. V.nonl
.Ii , "
,I.
.... ,..
..........
Figure 8 - Undular wave. hJh J 0.667
fA f\r;. ~
!
&... ~ AA I'
\
... - - - So ..
--
---- -- St.
So,..
V.noIll
---- - St. !mont
.
Figure 9
'"
-.... ...
- Unstable undular wave. holhJ
- .,Ii
= 0.500
, a;
--
"
. . .;
H'fI)II(JQW'H <_ l) ..... O.lno. _ 0............. 0.= WATOI PROrU - T1I4 ) - .
r
--
----
~-
- Serre
- St. Vena'"
- - -
! ~ V~--
.vvr ,~l
--
I
----
- So ..
- 51. nonl
. . .Ii 10 . . .
' .. .... ..
, ..
Figure 10 - Abrupt wave. holh, = 0.333
358
For typical real studies the ratio hetween downstream and upstream depths are less than 0.5, a
steep bore can be formed and the Saint Venant equations seems to be adequate for the
mathematical modeling of the D.B.F. unless undular jumps are induced. Should a D.B.F. be
considered in conjunction with very high floods (e.g. for optimization of the spillway capacity)
and higher hjlh o valves need to he considered.
4.2.3 Shock Computational Techniques. Three practical methods for modeling steep fronts can
be considered (ABBOT, 1975 and CUNGE et aI., 1980):
- shook fitting methods;
- pseudoviscosity methods;
- weak solution methods.
In the shock fitting approach (CUNGE, 1970; BAllOFFET et aI., 1974 and CHEN, 1980)
the front (discontinuity) is considered as a real houndary between the upstream and the
downstream regions, where the Saint Venant equations are valid. These regions are linked by
the Rankine-Hugoniot equations (CUNGE et aI., 1980). The propagation of the discontinuity
is computed in each time step independently of the computation in the two adjacent
Saint Venant regions. This method is theoretically sound and is often used as a standard to
validate the solutions obtained by other methods. However, the detection of the surges and
their tracks are very difficult for dam break floods in natural valleys due to the secondary
waves and reflections.
The pseudoviscosity method adapted to open channel flow computations by Preissman and
Cunge (CUNGE, 1980) introduce a term that will smooth the numerical discontinuities. In
this method, a discontinuous front cannot appear (the steeper the front, the stronger the
artificial viscosity and the stronger is the diffusion). The inconvenient of these kind of
methods are that they spread the front over a large number of mesh points and the results
became less accurate without any control.
The last method applies numerical schemes to the basic equations expressed according to
the weak formulation for the conservation equations of mass and momentum (ABBOTT,
1979).
The weak solution of the differential equations written under the divergent form is based on
integral relationships (ABBOTT, 1975 and 1979). The most important advantage of this
method is that it is possible to solve the shock prohlem without any specific computer
programming. However, the shock simulation capability will depend on the characteristics of
the chosen numerical scheme: the sharp front can be dampened or can oscillate more then the
acceptable. Run abortions must be avoided and a robust technique must be chosen for D.B.F.
analysis. This last approach is the most applied in most recent dam break flood models.
A lagrangian-type scheme with a mobile computational grid (HOLT. 1977 - Godunov
scheme; and DI MONACO and MOLINARO, 1982, 1984 - finite element method) can also be
chosen. According to MOLINARO. 1991, this technique allows a greater accuracy in the
calculation of the convection term in the Saint Venant equations which make easier to apply to
the boundary condition for front wave propagation on a dry hed.
4.3 NUMERICAL TECHNIQUES FOR SOLVING THE BASIC EQUATIONS
4.3.1 Numerical Schemes. Different numerical schemes were developped for solving the basic
equations, as by example:
359
- method of characteristics (MaC). with an irregular or a fixed regular computational grid

on the x, t plane;
- finite difference method (FDM) with implicit or explicit schemes;
- finite element method (FEM).
Examples of the application of the method of characteristics can be find in CHERVET and
DALLEVES, 1970 and SAKKAS and STRELKOFF, 1973. As refered by CUNGE et al.,
1980, the method of characteristics can also be used for comparison with other methods, and
as a boundary modeling technique for other numerical techniques.
For 1-0 models, the FEM seems not to show any practical advantage over others methods
(CUNGE, 1980). An example of application of a FEM is the code developed by
MOLINARO, 1991 for ENEL (Ente Nazionale per L'Energia Ellettrica of Italy).
The FDM is currently used to solve the Saint Venant equations. Explicit FDM methods,
although with simpler code execution, are restricted by stability considerations (Courant-
Friedrichs-Lewy condition) to small computational time steps. Implicit FDM have no
theoretical restrictions on the time step due to mathematical stability. However due to
convergence and accuracy considerations they may also require a limitation of the time step.
Since a dam-break flood is very rapid event, the time step of implicit schemes can be almost
equal to that of explicit methods due to accuracy reasons (FENNEMA and CHAUDHRY,
1986). The NWS-DAMBRK (FREAD, 1979) use an implicit FDM - weighted four-point
scheme (pREISSMAN, 1961). CUNGE et aI., 1980 presented some FDM that can be used in
D.B.F. analysis.
Several second order accurate (explicit) methods are reported in the literature which are
easier to program than most of the implicit schemes (CHAUDHRY and HUSSAINI, 1985).
These higher-order methods are superior in dealing with shocks although some numerical
oscillations can appear.
FENNEMA and CHAUDHRY, 1986 and 1987 applied some recent schemes to D.B.F.:
Gabutti (explicit) Beam and Warming (implicit) and Lambda schemes (explicit) split the flux-
vector into positive and negative parts, each one corresponding to a characteristic direction,
allowing the use of the adequate scheme for the space derivatives (central for subcritical flows
and upwind for supercritical flows). SAVIC and HOLLY, 1991, presents a new method for 1-
o flows using two variants of the Godunov scheme (an integral - approach method). These
authors concluded that this method has shown superiority for dam break computations over the
other compared methods and the results agree well with the analytical solution.
An EDF (Electricite de France) code (BENOIST, 1989) use a Lax-Wendroff scheme
(explicit) with the bore Rankine-Hugoniot equations for wave propagation simulation on a
wetted river-bed.
Among the most recent contributions, the MacCormack scheme have a special importance
and is now a well known technique (GARCIA and KAHAWITA, 1986, FENNEMA and
CHAUDHRY, 1986, BELLOS and SAKKAS, 1988, FRANCO and ALMEIDA, 1988, 1989,
1990, GARCIA-NAVARRO, 1989, CARMa, 1990). The MacCormack (an explicit two time
step and second order tinite difference scheme) when used to solve the Saint Venant equation
under the divergent form a strong shock-capturing capability (Figure II), allows the simulation
of both subcritical and supercritical flows and initial conditions with sharp discontinuities.
The MacCormack numerical scheme is based on two partial time steps for each fit:
360
- predictor step:
vi>!
It&.
=vj - & (Fi - Fi) + &
1+1 I
o!
I
(4.5)
- corrector step:
vj+I I =1.2 [VjI + VIj+I - Ax

& (Rid -
I
F)+ I)
I-I
+& f)j+ I ]
I
+ (IJ+I I) (4.6)
6t = time step; 6x = space step; i, j = indices of the grid nodes on x-t plane; AJ;+I = TVD
improving term (GARCIA and ALCRUDO, 1992 a) b and - = indicates that results from the
predictor step should be used. For regular MacCormack scheme l '" O. Ar
....., - - STOllER" SOLUTION
10,00
E
-.
u
RESERVOIR DAM
TAIlWATER
tOO
..."
~
o
. ..00 2000m
Difinilion Ski Ich
'.
o.
- 100
- -
Figure 11 - Water-surface profile along the canal for t = 60 s after dam removal (Stokes
problem) for h.Jlh o = 0.004. Comparison with MacCormack numerical scheme
(FRANCO, 19l58 and FENNEMA and CHAUDHRY, 1987).
To show the shock capturing capability of the MacCormack scheme, as a solver of the Saint
Venant equations under the divergent form, the classical stoker problem is chosen
(CHAUDHRY and HUSSAINI 1983). A wide and frictionless channel with a rectangular
cross section with horizontal bottom, was considered and a dam is instantaneously and
completely removed at time t = 0+. The "exact solution" corresponds to the Stoker solution
for hllho = 0.004 (ratio between the initial tail water level and the initial reservoir surface).
One of the results is presented in Figure II (FRANCO, 1988).
4.3.2 Numerical Oscillations and Damping. The second order methods can induce numerical
oscillations around discontinuities and shocks with no physical justification (ALCRUDO,
1992).
361
Any (discretized) numerical scheme or operator modities the characteristics and behaviour
of a mathematical model by adding computational additional terms to the basic equations.
These terms explains the diffusive character of a scheme and also its shock capturing
capability. Usually, the analysis of the numerically transformed output of the mathematical
model is based on a linear Fourier analysis technique (ABBOT. 1979; CUNGE et aI., 1980) in
order to obtain the so called amplification or damping factors and the phase velocity relevant
to each single Fourier component (or wave length) of the approximate solution.
The amplification factor analysis can define: 1) a stability criteria for the numerical scheme
(e.g. for an explicit scheme the condition Courant Number ~ 1 must be fulfilIed); and 2) a
maximum or optimal damping condition for shock capturing. The phase velocity analysis will
indicate the dispersive characteristic of the scheme.
In order to improve the performance of conservative second order classical schemes
GARCIA PILAR and ALCRUDO, 1992a) b), proposed a high resolution scheme according to
the theory of Total Variation Diminishing (TVD) schemes and adapted this procedure to the
MacCormack scheme. They concluded that this improved scheme is capable of capturing
sharp discontinuities minimum numerical oscillations and allows more accurate open channel
flow computations involving hydraulic jumps or bores.
Warning - The C.F.L. condition not alway assures the stability of the solution and other more
severe conditions must also be fultilled, including the friction effects (e.g. DI MONACO and
MOLINARO, 1984). Special conditions can be deduced for TVD schemes.
4.3.3 Initial and Boundary Conditions. Usually in dam break models the initial steady-state
flow conditions are calculated by a specific code for gradually varied flow computations or by
the unsteady flow model until a steady solution is reached compatible to a fixed upstream
hydrograph or other condition.
As stated by MORETII, 1969, some numerical techniques fail because boundary conditions
are not properly handled. JIMENEZ and CHAUDHRY, 1988, reffering ABBET, 1971 (that
have compared twenty-five different techniques for computing solid wall boundary points in
supersonic inviscid flows) classified the boundary conditions into four broad categories:
reflection or image point; one-sided derivatives; based on the method of characteristics; and
miscellaneous procedures.
This four categories include all type of procedures for boundary modeling in dam break
models. Typically they are applied in conjunction with the specific equations that characterize
the boundary.
As in a physical model, the downstream boundary condition at the end of the domain is an
important part of the modeling process. In fact, it will be not feasible to include a large
domain in order to guarantee no spurious effects from downstream. The solution is to impose
a downstream rating curve: a steady-state uniform condition or other type of curve including
an empirical rating curve. Some of these techniques can induce an important backwater effe..1
after the arrival of strong D.B.F. waves. including reflections and negative waves that
propagate upstream: part of the released energy at dam sites will be "entrapped" inside the
computational domain and can modify the results in what concerns the extreme depths and the
timing of the events along the valley. To avoid this situation two boundary elements can be
developed: 1) a simplified local dynamic rating curve taking consideration the local flow
inertia and the types of flow regime (super or subcritical); or 2) a non-reflective boundary
condition. This second solution seems to be the best and has been used in several studies of
pressure transients in complex networks (ALMEIDA and KOELLE, 1992).
362
4.4. TWO-DIMENSIONAL FORMULATION
4.4.1. Governing Equations. The 2-D Saint Venant equations (or shallow water equations) in
the conservation form are the following ones (ABBOTT, 1979, FENNEMA and
CHAUDHRY, 1990):
dU +dE+dF +S=O (4.7)

at ax dy
in which
h uh vh
u~
uh
vh
E~
2
I
u 2 h +_ gh 2 F"
2
uvh
I
v h + - ah-
,
s~
-gh is:' -Sf,!

-gh SOy - Sfy
uvh
2 '"
where h = tlow depth; u = average flow velocity in the x direction; v = average flow
velocity in y direction; g = acceleration due to gravity; Sox' SOr = channel bottom slope in x
and y directions and Sfx, Sfy = slopes of the energy grade lines 10 the x and y directions.
As in 1-0 models the head grade lines slopes are generally computed using the steady state
friction formulas (e.g. Manning-Strickler formula). This conservation form will also allow the
simulation of 2-D shock and bore propagation. Some authors also consider in the 2-D shallow
water equations the terms corresponding to the components of the turbulence stress tensor.
To overcome some numerical problems when complex topography flood plains are modeled
some codes use simplified basic equations (e.g. zero convective inertia equations).
4.4.2. Computational and Numerical Techniques. According to MOLINARO, 1992, the

available 2-D models are still not robust enough to accurately simulate D.B.F. on flood plains
with complex topography and only can deal with simple geometries such as a flat or slightly
irregular bottom and vertical walls in the boundaries. It is necessary to modify this situation
in order to have reliable 2-D models for engineering practice. In what concerns the numerical
scheme, it is possible to find, in the literature, almost all the 1-0 computational techniques
generalized to 2-D models.
Some authors employ the shock fitting technique to track the bore (SAKKAS and
STRELKOFF, 1973; KATOPODES and STRELKOFF, 1978). However the most recent
models use the through methods that treat all the computational domain without requiring the
bore isolation (e.g. FENNEMA and CHAUDHRY, 1990, BELLOS et a\.. 1991 and GARCIA-
NAVARRO and ALCRUDO, 1992). KATOPODES and STRELKOFF, 1978 used the method
of characteristics with a moving-grid algorithm to simulate a two-dimensional flow induced by
a partial failure of a dam in a channel with a simplified geometry. Both finite difference
(FDM) and finite element (FEM) methods are also being extensively applied to solve the 2-D
Saint Venant equations.
AKAMBI and KATOPODES, 1988, presented a 2-D model for flood waves propagation on
dry bed with a deforming coordinate system and using a FEM technique. The authors refer
the recent developments on adaptive grid techniques for FEM simulations. Other models
363
based on the FEM can be found in the literature (e.g. DI MONACO and MOLINARO, 1988;
HERVOUET and PECHON, 1991; KATOPODES. 1984; CARMO et aI., 1993;
HROMADKE et aI., 1985; ALCRUDO and GARCIA-NAVARRO, 1992). The main
advantage of FEM models stems from the adaptahility of the computational grid to the
irregular geometry of the flood plain and the ahility to produce good results near the
boundaries.
There are recent contributions with advanced finite difference methods (FDM):
FENNEMA, 1985 presented three FDM explicit and implicit techniques: MAcCORMACK,
GABUTII and BEAM and WARMING. The last two schemes automatically switch from a
centered to an upwind type of differencing based on the sign of the characteristic directions.
Good results are also obtained by using the MacCormack scheme (GARCIA and
KAHAWITA, 1986; FRANCO and ALMEIDA, 1991, FENNEMA and CHAUDHRY, 1990,
DAMMULLER et a\., 1989, BELLaS et a\., 1991. BHALLAMUDI and CHAUDHRY,
1992; CARMa, 1990). CARMa, 1990 generalized the MacCormack scheme to solve the
Serre equations for the propagation of landslide induced waves in reservoirs.
Due to the high-frequency oscillations near the steep wave fronts, characteristic of higher-
order methods (see Figure 12), some authors use artificial numerical viscosity or damping
(e.g. Jameson method).
In practical studies, mixed I-D and 2-D modeling technique can be used differents parts of
the river valley. ALMEIDA and RODRIGUES, 1984 solved a case study by using the I-D
four-point centered implicit finite-difference scheme and the 2-D implicit finite-{\ifference
method (Leendertse Technique).
Figure 12 - Water surface in canal and flood plain by a regular MacCormack scheme:
a) t = 5 sec after dam failure;
b) t = 50 sec after dam failure (reproduced from FRANCO, 1992).
364
Another application of the MacCormack scheme (with and without artiticial viscosity) is
presented in FENNEMA and CHAUDHRY. 1990.
As stated by FENNEMA, 1990 the MacCormack scheme fails to solve an instantaneous
parcial breach for initial ratios (downstream/upstream depths) hllho < 0.25. ALCRUDO,
1992, presented a TVD high resolution scheme applied to finite computational volumes for the
simulation of 2-D flow with bores.
With the MacCormack technique modified by the TVD high resolution scheme,
ALCRUDO, 1992 was able to simulate the same example with a ratio of the downstream to the
upstream depths hllho = 0.01 (see Figure 13).
Some efforts were recently being done to adapt the FDM to quadrilaterals (not rectangular)
grid to overcome the difficulties and inaccuracies associated with the determination of flow
characteristics near the boundaries (BELLOS et aI., 1991, DAMMULLER et aI., 1989,
BHALLAMUDJ and CHAUDHRY, 1992). In spite of the remarkable efforts done in the past
decade the two-dimensional dam break flood modeling is still a difficult technique and further
more research is needed in order to develop reliable, useful and flexible computational models
for real cases in engineering practice.
Figure 13 - Water surface profile computed by a TVD high resolution scheme for the example
from the FENNEMA and CHAUDHRY, 1990 for ratio hllho = 0.01 (reproduced
from ALCRUDO, 1992).
4.4.3 Initial and Boundary Conditions. A consistent set of boundary conditions is required for
a successful application of any numerical technique. The errors generated at the boundaries
can be propagated throughout the interiors points and, in many cases, may lead to instabilities
and provoke the "explosion" of the computations. In the 2-D transient free-surface flows the
boundaries can be closed (e.g. solid wall limiting the flow field) or open (where the flow can
enter or leave the computational demain). At closed boundaries only the normal component of
the velocity is clearly defined and is necessary to find some way of computing the other
variables using information from interior points plus the boundary condition. If a non-slip
boundary conditions is considered a zero tangential velocity at the wall must then be imposed.
At open boundaries the flow regime (subcritical or supercritica1) will determine the correct
boundary conditions to be imposed. Due to discretization requirements for the derivatives the
365
boundary conditions are usually overspecified and are inconsistent with the nature and
constraints of the motion equations. This is a stiIl on going research and recent technical
literature starts enphasizing this kind of problems.
JIMENEZ and CHAUDHRY, 1988, use the Abbet procedure for supercritical free-surface
flows in which the basic idea is to apply the numerical scheme up to the wall using one-sided
differences as a first step and then, in order to enforce the surface tangency requirement, a
simple wave is superimposed on the solution to make the flow parallel to the wall.
FENNEMA and CHAUDHRY, 1990, used a reflection boundary technique (antisymmetric or
symmetric) with the Saint Venant equations in a non-conservative form. In the same paper,
and for the Gabutti scheme. boundary equations based on characteristic principles were used.
GARCIA and KAHA WIT A, 1986, used a zero first derivative technique. DAMMULLER et
aI., 1989 for modeling the unsteady flow in a curved channel used a reflection procedure
associated with the centripetal force balance equation. CARMO, SANTOS and ALMEIDA,
1993 used the radiation condition.
4.5. CONCLUSIONS
The D.B.F. propagation modeling poses the following main questions:
1 - What type of now approximation?

1-0 (e.g. along a near prismatic valley) a 2-D (e.g. along a flood plain area) or as
mixed 1-0/2-0 for compound valleys with narrow reaches and flood plains.
2 - What kind of mathematical model or water basic governing equations (of
hydrodynamics) are accurate enough (or powerful enough) to model the main features
of each particular wave propagation?
For undular jumps (when there is a very high initial flood), Serre equations are more
convenient and accurate (the curvature effects are considered).
For bores and shock modeling, the simpler Saint-Venant equations are accurate enough
provided that they are written under the divergent form.
3 - What kind of numerical scheme is the most convenient regarding stability, accuracy
and shock capturing capability?
The three basic techniques (MOC, FDM and FEM) can be chosen; however there are a
large number of sub.types for each technique according to different specific
computational algorithms and the order of approximation;
The 2nd order accurate MacCormack scheme is a powerful scheme, both for 1-0 and
2-D models, with a good shock capturing ability: recently the TVD (Total Variation
Diminishing) high resolution schemes show significant improvements for 1-0 and,
specially, 2-D shock modeling.
4 - What kind of boundary condition or modeling schemes should be chosen in order to
avoid spurious efrects on internal points or the computational domain and well
reproduce the correct physical constraint?
Non-reflective elements can be very useful for downstream 1-0 boundary condition.
Usually closed boundaries are over-specified, restricting the degrees of freedom of the
solution however the influence on the final solution seems, for several techniques, to
be rather unimportant.
366
5. Special Problems and Research
Due to the complexity of a dam-break flood wave propagation on a natural valley it is clear
that nowadays doesn't still exist a computational model to simulate with accuracy all the flow
regimes and singularities. The random nature of the dam break scenario may not justify a
detailed simulation. A great effort is being done in order to develop accurate general
computational components or solvers. Some special problems of D.B.F. propagation are
briefly given below:
- Propagation on dry bed. It is the classic Dressler dam-break problem and it has been
studied by several researchers (MONTUORI, 1964). Some recent approaches can be
find in BELL OS and SAKKAS, 1987, NATALE and SAVI, 1992. DI MONACO and
MOLINARO, 1984, AKAMBI and KATOPODES, 1988.
- Changes in flow regime (super to subcritical regimes). This problem can cause
instabilities in numerical methods and most of the presently available methods can fail in
this situation. As refered by MOLINARO, 1991 the methods based on weak solutions
or through methods are recommended. This approach is used by FENNEMA and
CHAUDHRY, 1987; FRANCO and ALMEIDA, 1991, GARCIA-NAVARRO, 1989 and
ALCRUDO, 1992.
- Flood plains and nonuniform valleys. As refered by several authors, field measurements
of maximum water level marks downstream of the Teton dam failure showed a
difference in the elevation of the water surface of almost 15 m on opposite banks
(DAMMULER et a\., 1989); 2-D flow models should be used for simulation in real case
studies and for research. Systematic analysis (by using 2-D models) can supply the
engineering practice with "transfer functions or matrices" relating input to output
conditions or flow conditions in flood plains. Curves: some water codes use the steady
state centripetal force balance equation to model the rise of the level. DAMMULER et
aI., 1989 modeled the unsteady flow along a curved channel with a channel fitted
coordinate system. Expansions and contractions: I-D energy losses are usually
calculated using Borda type formula (e.g. DAMBRK NWS MODEL). SA VIC and
HOLL Y, 1991 using a modified Godunov scheme analysed a sudden expansion
compared with other methods (Preissman, Lax Wendroff and MacCormack schemes).
BHALLAMUD and CHAUDHRY developed a 2-D model in which the non-rectangular
physical domain is converted into a rectangular computational domain. The results
obtained were compared with experimental data. Channel junctions: these kind of
singularities provoke a very complex flow with a great dependence of the flow regime
type (see CUNGE et a\., 1980; GARCIA-NAVARRO, 1989 and FUGAZZA, 1992).
More research is still needed for the accurate modeling of the hydraulic problems involved in a
D.B.F. (e.g. hydraulic resistance and roughness coefficients, sediment transport and
mud/debris tlows, flow over bridges and enhamkments, by-pass flows and landslides-generated
waves).
367
6. Available Codes
Recently, MOLINARO and FILIPPO, 1992 present a list of the available dam-break models
and their general characteristics (Table 2 and 3) that seems to be worthwhile to transcribe
herein (see also REITER, 1992).
Table 2
List of 23 Dam-Break Numerical Models Obtain From a ICOLD
(International Commission on Large Dams)
Reproduced From MOLINARO and FILIPPO, 1992
NO AGENCY NAME OF MODELS
I USA/National Weather Service DAMBRK (original)

2 USA/National Weather Service SMPDBK (Simplified Dam-Break)
5 Binnie & Partners UKDAMBRK
6 USA/COE-Hydrologic Engineering Center HEC-programs
7 Tams LATIS
8 Institute of Water Resources and Hydroelectric
Power Research (IWHR), PR China DKBI
9 Institute of Water Resources and Hydroelectric
Power Research (IWHR), PR China DKB2
10 Royal Institute of Technology, Stockholm TVDDAM
11 Cemagref RUBBAR 3
12 Delft Hydraulics WENDY
13 Delft Hydraulics DELFLO/DELQUA
14 Consulting Engineers Reiter, Ltd. DYX.lO
15 ANU-Reiter Ltd. DYNET-A NUFLOOD
-
16 ENEL Centro di Ricerca Hydraulica RECAS
17 ENEL Centro di Ricerca Hydraulica FLOOD2D
18 ENEL Centro di Ricerca Hydraulica STREAM
19 Danish Hydraulic Institute MIKE 11
20 ETH Zurich FLORIS
21 Danish Hydraulic Institute MIKE 21
22 EDF-Laboratoire National Hydraulique RUPTURE
23 EDF-Laboratoire National Hydraulique TELEMAC
368
Table 3
General Characteristics of the 23 Dam Break Models Listed of Table 15
Reproduced From MOLINARO and FILIPPO, 1992
SUBJECT "fOOF.L SnIBF.RS
Applications 1 2 5 ~ 8 9 H II 1213 14 15 U 1 I~ 19 20 21 2 2
Subcritical wet routing x x x x x x x x x x x x x x x
lSubcritical + critical deptb routing x x x x x x x x x x x x
~ubcritical dry bed I x I I x x x x x x
~ub + Supercritlcal wet x x x x x I I x x x x x x x
~ub + Sup.rcritical dry bed I x x I x x x x x x x
pradually vari.d x x x x x x x x x x x x x x x
~hocks x x x x x x x x x x x x x x x
!Floating debris and ice x x x
!cloggag. and tim. dep.ndent changes x I I x
n roughness
transport I x x I I x x
,
~.diment
IJserfriendlyness 1 2 5 ~
~ 9 10 II 12 I 14 I~ 1/ I I! I~ 2( 21 222
nput data file manually prepared x x x x x x x x x x x x x x x x x
nput data file interactively prepared x x x x x I I x x x x x
ASCU-output x x x x x x x x x x x x x x x x x x x x
Graphical output x x x x x x x x x x x x x x x x
Pre-processing 1 2 5 ~ ~ 9 10 11 121 14 1~ 16 I 18 11 2( 212 23
Digitizing cross-section x x x x x x G x x
Digitizing map data x x x x x x G x x
Graphical editing of corss-sectional data x x x x x x
Graphical editing and modifications of x x x G x x
"ootour lines data
2-3 D Graphical comp. grids x x x G x x
Graphical checking and modification of x I x
hydrological data
- Available in 1992
x - DEC workstation with operating system VMS
- Plot of channel network, cross sections, longituidnal profile
G - Uses geographic information system (GIS) as for example public domain program GRASS
369
7. Final Conclusions
Dams, like "all structures, will be broken in the end - just as all people will die in the end.
It is the purpose of medicine and engineering to postpone these occurences for a decent
interval" (J.F.Gordon).
- Unfortunately, a failure can occur during the dam lifetime. Most of the damages are due
to the flood resulting from the emptying of the reservoir. It is highly advisable to
develop flood safety and emergency plans including inundation maps, evacuation plans
and downstream zoning.
- The simulation of a D.B.F. must be done by a reliable and validated model. Recent
advances on computational hydraulics can be found in the following subjects:
I) advanced mathematical model or governing equations (e.g. Serre equations); 2) 2-D
modeling techniques; and 3) advanced numerical schemes for improvement of shock
capturing ability (e.g. MacCormack/TVD schemes).
- Advanced methodologies for analysis of D.B.F. for random dam break conditions and
for flood plain attenuation evaluation should be developed.
- As a part of a global hydroinformatic package (e.g. as simple hydraulic simulators),
D.B.F. models can be linked to advanced databases. to optimization models for spillway
design and to computer-aided decision-making methodologies for flood plain
management, as well as to digitalized maps, to C.A.D. systems and to multimedia
techniques in order to improve the capacity of using large amount of information for
decision-makers and for the public.
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13
FLOOD ROUTING MODELS
Dr Roland K Price
HR Wallingford Ltd
Wallingford
Oxon, OX10 BBA, UK
ABSTRACT. Although sophisticated simulation modelling of rivers in flood

based on the full Saint Venant equations is now common the approximate
methods for flood routing have value for teaching and rapid calculations. A
non-linear theory for flood routing is developed that respects the behaviour of
floods in rivers with extensive flood plans. A review of other approximate
methods is also included.
1 Introduction
Our concern is with the modelling of the movement of an abnormal amount of

water along a river or watercourse. Such an event may be generated by
intense rainfall or snowmelt on a catchment or may be the result of a man-
made disaster such as the collapse of a dam. The scale of the problem
however is not significant as the phenomenon that we are considering occurs
in small or large streams, in natural and artificial watercourses. In essence we
are interested in flows greater than normal and which are distinctly unsteady.
Again the timescale may be months as in a large river such as the Mississippi,
or just a few minutes as in small sewerage networks.
The need for flood routing methods arises from the requirement that the
engineer can quickly calculate particular characteristics about the movement
of the excess water. In large rivers, the propensity of human beings to site
their communities adjacent to water courses, means that there can be an
urgent need for the engineer to trace the movement of the flood and, in
particular, to estimate with reasonable accuracy the speed of movement and
the anticipated magnitude of the peak, both in terms of discharge and level.
In design, with more time available, there can nevertheless be a need for
375
M. H. Chnudhry and L. W. Mays (eds.), Computer Modeling of Free-Surface and Pressurized Flows, 375--407.
376
accurate estimates of the behaviour of flows in the river to synthetic floods,

possibly generated by synthetic rainfall of prescribed return period and
duration. Such estimates may then be used to forecast discharges and levels
along critical reaches of a river where there is a need for civil engineering
works to provide improved protection against flooding.
The history of flood routing methods originates with those engineers who had
to find pragmatic solutions to their problems of predicting flood behaviour.
Because the generation of the floods was caused primarily by abnormal rainfall
the engineers focused their calculations on conceptual tools that were more
the province of hydrologists rather than hydraulicians. Instinctively they
homed in on simple models that enabled them to reproduce the most important
parameters, namely the travel time and magnitude of the peak of the flood.
Their success lead to considerable development of a number of variants on a
theme, each using the same underlying concepts but differing in the way they
arrived at their solution, some using straightforward if laborious numerical
calculation and others resorting to graphical methods.
The advent of digital calculation machines lead to radical changes in the whole
approach to flood routing. The previously prohibitive calculations of the Saint
Venant equations, even with the characteristics method, were now a
possibility, and new finite difference techniques began to emerge. When
modern-day commercial computers first became available then the flood gates
were opened to an entirely new way of calculating the movement of water in
complex natural channels based on accurate solutions of the 1 D, 2D and 3D
equations. Today sophisticated models based on advanced solution techniques
are common-place with a number of excellent commercial products available.
Why then look back at what are in essence simplified flood routing methods?
Of what value are they to a generation that is being raised on the art of the
sophisticated and the science of the complex? One reason is that a simpler
model is a better teaching tool than the complex model in that it is possible to
examine more easily the underlying features of a particular phenomenon and
to appreciate why or how certain effects happen. Another reason is that
commercial efficiency dictates that modelling should be carried out with tools
that are appropriate for a particular task. Currently the cost of running 3D or
even 2D models for unsteady flows in sizeable river is prohibitive and cannot
necessarily be justified in terms of the benefit. And if the modelling task
requires the simulation of long periods of flows in a large complex stream
network as a basis, say, of catchment management then even the 1D full
solution models may not be justified. In this case the engineer has to resort
to the simpler models such as provided by the flood routing methods. A
377
particular instance of the use of simplified flood routing methods is in the

peripheral sub-networks to a large urban drainage network. Accuracy is
required in the core network where a full solution of the Saint Venant
equations will almost certainly be used. In the peripheral sub-networks,
provided they are dendritic, there is normally less need for accuracy, and a
simpler flood routing method which is much more efficient can be used to
predict the timings and peaks of the inflows to the core network.
Having established that there is some value in using flood routing methods
there is nevertheless a need for a word of caution before proceeding further.
The early river engineers succeeded with flood routing methods because they
found they worked for their situations. The danger is that the 'small is
beautiful' approach can obscure the true complexity of the situation.
Generally, any simplification in the analysis of a particular problem will restrict
the domain of application of the simplified analysis. If this is not recognised
serious mistakes can be made in applying the simpler flood routing techniques.
We will highlight the consequences of the approximations made in developing
the simpler flood routing methods.
2. The characteristics of flood wave propagation
Flood waves in natural channels exhibit several distinctive phenomena. These

include, in order of significance,
(i) translation
(ii) attenuation
(iii) distortion
The translation of the flood is simply the recognition that the peak of the
disturbance normally propagates in the downstream direction. This is coupled
with the notion that the bulk of the water is also moving in the downstream
direction, but it is important to distinguish between the speed of propagation
of the disturbance and the speed of the bulk of the water. In general the
disturbance travels faster than the water. That is, if the water is injected with
a tracer then the tracer lags behind the disturbance. As we will see the
disturbance, or flood wave, is in essence what is known as a kinematic wave.
The speed of the flood wave depends on parameters such as depth, width and
velocity of the flow. In particular, a flood wave that is inbank will travel faster
than a flood that is overbank and inundates a wide flood plain.
378
The attenuation (or subsidence) of a flood, that is, a decrease in the peak of
the flood wave as it propagates downstream, is not immediately obvious by
inspection. This is because the attenuation that takes place primarily affects
the peak discharge which is a derived quantity and therefore not directly
observable (unless using a flux measuring technique). However, the peak level
of a flood wave in a natural channel or river, which can be observed more
easily, is particularly sensitive to the local geometry and therefore any
attenuation in peak level is difficult to define. Nevertheless attenuation does
take place, even if it is masked by lateral inflows to the channel. In essence
provided the characteristic length scale for the disturbance is sufficiently large
and the disturbance has a well defined peak gravity will tend to flatten, or
spread out, the disturbance along the channel. The caveats in this explanation
are to accommodate the existence of the monoclinal wave which is a
disturbance that propagates without change of shape between one discharge
and a larger discharge following behind. As we will see the attenuation of the
peak discharge cannot be explained by the notion of the kinematic wave which
by definition excludes the possibility of attenuation. Instead we have to
introduce the notion of a diffusion wave, though this concept has given rise to
some confusion in the literature. The magnitude of the attenuation of a flood
wave depends on parameters such as the peak discharge, the curvature of the
flood profile at the peak, and the width of flow. Generally a flood wave that
is inbank experiences less attenuation than a flood that is overbank. It is this
characteristic that introduces the concept of storage, particularly over an
inundated flood plain, in accentuating the attenuation. The parallel is drawn
between the static storage in a reservoir that serves to delay and attenuate a
flood wave passing through the reservoir. However it is important to recognise
the dynamic behaviour of the flood wave propagation in a channel such that
if the notion of storage is used then it is referred to as dynamic storage.
The distortion of the flood wave refers to the change in shape of the wave
profile. Again this may not be immediately obvious from comparisons of, say,
the discharge hydrographs upstream and downstream. However the fact that
attenuation takes place implies that there must be some degree of distortion
symmetrically about the peak. There is also an effect on the wave profile due
to differences in the propagation speed of, say, the inbank and overbank parts
of the flood wave. This induces an asymmetric distortion. Obviously for the
symmetric distortion we will need the notion of the diffusion wave, whereas
the asymmetric distortion can be generated by the kinematic wave.
379
3. Analytical theory of flood routing
Most analytical theories of flood routing begin either from simplified conceptual
models or from a linear analysis of the 1 D Saint Venant equations for gradually
varying flow in open channels. Our objective will be to stay with the full non-
linear analysis of the 1 D equations for as long as possible while making
approximations in terms of the order of magnitude of the various terms.
The derivation of the 1 D Saint Venant equations has been dealt with
elsewhere. For our purposes it is enough to highlight the approximations
inherent in the derivation:
(i) the flow is one-dimensional in the direction of the channel:

that is, the velocity can be considered to be uniform over
a cross-section and the water level across a section normal
to the flow is horizontal;
{iiI the pressure is hydrostatic and therefore vertical

accelerations are negligible;
(iii) the steady state resistance laws may be used to model

unsteady effects due to boundary friction, form resistance
and turbulence;
(iv) the average bed slope, so' of the channel is small such that
the cosine of the angle made by the averaged bed profile
with the horizontal can be regarded as unity.
With these assumptions and following Newton's laws of motion we can

deduce:
dynamic or momentum equation:
aQ+~{Q2)+gA{ay -s +s )=0 (1 )
at ax A ax 0 f
380
conservation of mass or volume equation:
aA+aO=q (2)
at ax
Here a discharge
A cross-sectional area of flow
t time
x distance
g acceleration due to gravity
y depth of flow
So bed gradient
Sf friction slope
q lateral inflow per unit length
Equation (1) is non-linear and cannot be solved analytically except in a few

artificial circumstances. Therefore to make any progress with an analytical
approach we have to make some approximations at this stage. A way of doing
this without linearising is to carefully examine the several terms in the dynamic
equation and see if some are more important than the others for flood routing.
This can be done qualitatively by doing a scale analysis of the equations using
characteristic scales for the variables appropriate for a flood in a river.
Consider the following selection of scales for a medium sized river:
Q. - 500m 3 /s
A - 300 m3/s
y - 5m
So - 10-3
.9 - 105 m/s 2
t - 105 s
For simplicity we regard a, A and y as th~ bankfull discharge, cross-sectional

area and depth of flow respectively, and t is the duration of the flood.
From Eq (2) the length scale, X, of the flood is:
x at/A - 1 . 7x 105 m = 1 70km (3)

381
From the dynamic equation, Eq (1):
IgA ~~ III gAso I - ~rs: - 2.0x 10-2 (4)
(5)
(6)
It follows that we may write the dynamic equation as:

ey[ aQ' +~( Q2]+e ay ' -s~+s:=O (7)
A' at' ax' A' ax'
where
(8)
and
~ (9)
y=--
gAry
The dimensionless quantity E is the ratio of the characteristic surface gradient

(defined relative to the bed gradient) to the bed gradient, and similarly y is the
square of the characteristic Froude number for the flow. E is an event-based
number, that is, it depends intimately on the length scale for the event,
whereas y depends primarily on the nature of the channel. Basically E and y
define a two parameter system of equations describing one dimensional
gradually varying flows in open channels. Our concern is with the relative
importance of these two parameters, and therefore of the terms in the
equations.
As can be seen from the above analysis y ~ E < < 1 for rivers, and we can
therefore conclude that the first two terms in the dynamic equation, that is,
the inertial terms, are smaller than the third term, namely the surface slope
defined relative to the bed gradient, which, in turn, is significantly smaller than
382
the bed gradient So and the friction slope Sf.
Before we go any further we should consider the implication of this conclusion.

The most important assumption made here is that the surface slope defined
relative to the bed slope is significantly smaller than the bed slope. It is not
difficult to identify where this assumption may be invalid. For example, if there
is ponding upstream of a weir then - 1. Fortunately in a steepish river this
tends to be a local problem and at the level of simplification we are considering
can be ignored. However this limitation does point towards where the major
limitation will occur, namely in flat rivers, or more acutely in rivers where the
flow may reverse such as in the tidal reaches. We have to state therefore
categorically that the following theory cannot and must not be applied in tidal
reaches of rivers or in channels where there may be the possibility of reversal
of flow. Additionally the methods must be applied with caution in flat rivers.
We will note additional limitations later.
We now make use of this interpretation by seeking an approximation to the

basic equations to order , that is, O(). In effect we will carry out an
asymptotic analysis which recognises that a zeroth approximation to the
dynamic equation in this case is a balance between the friction slope and bed
slope, and we will then seek to derive higher order approximations.
For ease of notation we revert to the original notation while retaining yand
to identify the order of the terms. Also we should recognise that an analysis
including the irregular geometry along a natural channel will necessarily involve
complicated integrals with distance downstream and involve transformations
that at this stage we are not ready to introduce. Therefore in order to expose
the essential features of the analysis we assume that the channel has a
uniform cross-section, roughness and bed gradient. Note that we have not
made any assumption about the shape of the cross-section or the variation of
roughness across the section. An analysis that does include varying geometry
along the channel is similar to that proposed by Price (1973).
4. Basic (Y,E) flood routing equation
Working with the assumptions above the basic form of the flood routing
equation is
383
where
c (O)=~dK (11 )
o BK dy
and
(12)
Here K is the conveyance.
The derivation is given in Appendix A. Formally this equation has been derived
using the assumption y :s; E < < 1. For convenience we classify Eq (10) as
the basic (Y,E) flood routing equation.
Eq (10) is fully non-linear and will generally require a numerical solution for an
arbitrary channel or river. Before we look at suitable numerical methods and
the relationship to other flood routing methods we will first explore as far as
we can the analytical consequences of the equation and its interpretation.
5. Kinematic wave
Eq (10) was derived under the assumption that the water surface gradient
defined relative to the bed gradient is small compared with the bed gradient.
We therefore developed the theory to order E. Consider now the case where
E ~ 0, then Eq (10) becomes
ao+ c ao=c q (13)

at ax 0
This can be classified as the basic (y,O) flood routing equation. Eq (13)
describes a kinematic wave. The properties of this type of wave were first
explored by Lighthill and Whitham (1956). A kinematic wave is a disturbance
that travels in the positive x direction with speed co(O) without change in the
peak value (if q =0) though the shape of the wave profile can alter. If, for
example, the peak of the wave is travelling faster than the toe of the wave
then eventually the wave will fold over on itself like a breaking wave on a
beach. Correspondingly if the peak of the wave is travelling more slowly than
the toe of the wave the profile will fold back on itself. Both of these cases can
occur in a natural river depending on the shape of the kinematic wave speed
384
curve as a function of discharge.
30
I
x Obs erv"d sp""d of
Vl -
Vl
travel of flood p"aks
Calculat"d valv"s of
~l kin"matic wav" spe"d
~0~
'ot
U 20
"0
~ ......
"" >0 00"0
x l1' x
'0"
a.~
,,-
> 0
0"
~ ~
U 0-
~\I\ 1.0 -
" .............
- - - x ..... ' x - x x ~x_
,--:
0 .. _ _ -
0
E" I---~e------
tI c:
c: 0 -.2.-0_0-
""
0.0
o 200 400 600 800 1000 1200
Discharge (m 3 , s )
Fig 1 Wave speed vs discharge for River Wye.
As an example consider the wave speed-discharge curve for the River Wye
between Erwood and Belmont which takes the form shown in Fig 1. The
shape of this curve is typical of all reaches of river with significant natural
flood plains. Theoretically the kinematic wave speed increases from zero
monotonically with discharge, provided the channel width is approximately
uniform with depth and the flow is in-bank. However as the flow reaches
bankfull then the irregular geometry of the channel is generally sufficient to
induce a maximum value of the kinematic wave speed such that the speed is
decreasing with discharge as the flow exceeds bankfull. Thereafter as the
water inundates the adjacent flood plains or berms the kinematic wave speed
can fall sharply to some minimum value depending on the extent and flatness
of the flood plains. Most natural rivers have well defined flood plains that have
been formed over geological time. If the flow fills the flood plains then the
whole river valley will tend to act like a very wide channel. In this case the
kinematic wave speed increases again with discharge.
Similar, if not more dramatic, curves for wave speed and velocity against depth
(rather than discharge) were derived by Rusinov (1967) for the river Tvertsa.
385
Looking at the kinematic wave speed-discharge curve for the River Wye we
can conclude that the peak of a small in-bank flood in the Wye will travel faster
than any other part of the wave profile. Similarly a flood with a peak discharge
about twice the bank-full discharge will travel significantly slower then that
part of the profile which is about bank-full. In neither case however will the
wave fold over on itself, partly because the reach is too short but more
importantly because of the influence of other factors neglected in the
derivation of the kinematic wave equation, and particularly the terms of order
.
Note that the description of the kinematic wave speed curve above has been
made with reference to a natural river with flood plains where inundation is
unimpeded by flood embankments. The interpretation of what happens in a
river with extensive flood plains is also limited by the lateral flow onto and off
the flood plain. Generally flow onto the flood plain will take place sufficiently
rapidly to be considered instantaneous by this theory. However it is
questionable whether the same is true for flow off the flood plain where the
drainage time may be considerable. In this case the drainage off the flood plain
will induce a variation of water level across the channel-flood plain section
leading to a violation of the one dimensional assumption for the flow in the
river.
6. Modifications to the kinematic wave
We now want to explore the significance of the terms of order in Eq (10),

particularly in so far as they modify the kinematic wave. Ignoring lateral inflow
Eq (10) becomes
(14)
In its simplest form we can assume constant values for Co and aD. Then Eq
(14) becomes
ao+wao+p a2 0 =0 (15)
at ax watax
where w replaces Co and p replaces aD. It happens that this equation is very
386
similar to the convection-diffusion equation originally postulated by Hayami

(1951) to describe flood wave propagation:
(16)
Here K is an arbitrary diffusion coefficient. Eq (16) happens to be a convenient

equation in that it has both translation and attenuation of peaked disturbances
and a straightforward analytic solution, unlike Eq (15). In fact it directly
corresponds to the basic flood routing equation above in that it is of the same
order of accuracy. This can be deduced by replacing DO/ox in the second
derivative term of Eq (14) with -( 1/c o) oO/ot.
There is however a fundamental difference between Eq (15) and Eq (16), that

is, Eq (15) requires only two boundary conditions:
initial condition O(x,O) = 0o(x)

upstream condition O(O,t) = Ou(t)
and Eq (16) requires these conditions and a third condition:
downstream condition O(x,t) = Od as x ~ 00
Generally therefore the basic (Y,E) flood routing equation requires only two
boundary conditions, and does not need a downstream boundary condition.
This implies, of course, that the equation cannot model any downstream
influence on the propagation of the flood wave, and therefore if any such
influence is present, as from a tide, then the basic (y,E) flood routing equation
should not be used.
Interestingly this does not necessarily invalidate the use of the convection-
diffusion equation provided its derivation includes downstream effects; see
Section 10 below.
7. Analytical solutions of the non-linear (Y,E) flood routing equation.
At first sight the non-linear (y,E) flood routing equation appears difficult to
solve. However we can study solutions effectively usinQ asymptotic analysis.
387
So if we assume that
T=t-~ (17)
C
and
(18)
f=x
then Eq (14) becomes
ao +e..![ a O ( -...l ao + aO)(1 -1. dco aO)-1]=0 (19)

af aT c~ Co aT af c~ dO aT
If we ignore terms the order of E then
ao=O (20)
af
that is, 0 is a function of T only. If we now set

0=00(T)+e0 1 (f,T)+0(e 2 ) (21 )
where 0 0 is the kinematic wave solution, then the equation for 0 1 becomes
(22)
Integrating this equation, with 0 1 =0 at f = 0,

O1- a [a-
-- - O ( dc o )-11
- 09 (1- -f dco
-dOo)]
- (23)
aT Co dO o c~ dO o dT
See Price (1982). An approximate measure of the attenuation 0 1 * of the flood

peak can be obtained by setting dOo/dT = 0 giving
(24)
This expression for the attenuation was first derived by Forchheimer (1930).
388
Because
(25)
and aD is positive for Froude numbers typical of most rivers then a, * is

negative, indicating that there is generally a decrease or attenuation of the
peak discharge downstream. The attenuation is inversely proportional to the
cube of the kinematic wave speed so the attenuation is highly sensitive to
variations in this parameter. Typically Co is small for rivers with flat gradients
and therefore the attenuation of flood peaks in such rivers is likely to be larger
than in rivers with steep gradients.
In steeper rivers it is possible that aD < 0 and therefore a, * > 0 implying that
the wave increases in amplitude. This is obviously an unstable situation. The
limiting case is when aD = 0, that is,
(26)
This condition can be rewritten to give
c o =V+ J gA
B
(27)
where v = a/A. In this case the kinematic wave speed is equal to the
dynamic wave speed downstream. For a wide rectangular channel with Chezy
friction law Co = 3v/2 and the limiting condition is v V(B/gA) = F, = 2. The
equivalent for Manning's friction law is F, = 3/2. This is the condition for the
initiation of roll waves.
A closer examination of the propagation of the flood peak, taking into account
the attenuation, gives the propagation speed as
CoT)_,
Co (1 + -
O dc o I fa~ d 3 0
=co+e , --lo...o:+e----1r=o=
0 I O( 2
e +ey
) (28)
f dOD c!O; dr
Note that there are two terms of order modifying the kinematic wave speed
co' The first is proportional to the attenuation a, * and the gradient of the
kinematic wave speed curve with discharge 00' Obviously a linear flood
routing model could not accept this effect. The second term is proportional to
the third derivative with respect to T, which introduces an effect due to the
389
skewness of the discharge hydrograph about the peak. Generally the sign of
d300/d~ at the peak will be positive for small inbank and large overbank
discharges where dco/dOo is also positive, and negative for intermediate
discharges. This implies that the observed wave speed of a particular flood
wave peak will tend to be less than the corresponding kinematic wave speed
Co for a peak discharge which is well within banks or extensively overbank, and
greater than the kinematic wave speed for an intermediate peak discharge.
This interpretation has been confirmed through studies of the River Wye
between Erwood and Belmont in the UK (Price (1973)); see Fig 1. Here
observed data was adjusted using the insight gained from Eq (28) in order to
remove the dependence of the observed data on the characteristic of the shape
of the flood wave itself. Other confirmation has been provided from a
synthetic river model in which flood waves were routed using an accurate
solution of the full Saint Venant equations; see Price (1973).
9. Equivalent river model concept
The non-linear (Y,E) flood routing model presented above is essentially a two
parameter model based on Co and a o' These parameters, besides being non-
linear functions of discharge, also contain information on the geometry and
roughness of the particular river reach being modelled. It is important to note
that the functional form of the parameters can be derived from observed data
of flood peaks in the river suitably adjusted to remove dependence of the data
on the shape of the flood wave or from the geometry and roughness of the
uniform, or averaged, cross-section of channel and flood plain along the reach.
There is therefore a reciprocal relationship between the functional form of the
parameters and the river geometry and roughness. This implies that given the
parameters it is possible to deduce the geometry and roughness of the river
channel and flood plain. Such an 'equivalent river' concept was first proposed
by Price and Kawecki (1976).
The concept is in fact a powerful one because a more complex derivation of

the basic flood routing equation indicates that the parameters can be expressed
in terms of integral formulations along the river reach, taking into account the
irregular geometry of the river. In particular it can be shown that ao
approximates to
(29)
390
for small Froude numbers; Price (1973). Here L is the length of the reach, B
is the local width at discharge 0, and So is the bed gradient. The significance
of the second integral is that the integrand is the square of B/s o Therefore
large scale irregularities in the channel or flood plain width and in the bed
gradient can make a significant contribution to ao (and so to the attenuation of
a given flood event) over and above the value of ao generated for a uniform
channel with the same average width.
10. Basic (0,1) flood routing equation
Before looking at the numerical implications of the basic (y,E) flood routing
equation it is instructive to look at the related equation for which E- 1 and y
= 0. In this case it can be shown that the basic equation for flood routing is
ao+c(O y)aO_a(O y)a 2o=0 (30)
at 'ax 'ax2
along with
(31 )
(32)
Eq (30) is now strictly a convection-diffusion equation in which the convection

speed and diffusion coefficients are given by
(33)
K2 (34)
a(O,y)= 2BO
This (0,1) flood routing equation, Eq (33), is very similar to the original (y,E)
equation, Eq (10), except that we now have an equation that requires three
boundary conditions, including a downstream condition. Models based on the
(0,1) equation therefore include some allowance for downstream effects.
391
A peculiarity of Eq (30) is that the primary dependent variable is A, though the

parameters c and a are functions of y also. This opens up the possibility of
solving the equation numerically for a while keeping the parameters fixed
during a time step. y can then be adjusted according to the new values of O.
11 . Numerical flood routing
The analytical solutions can do much to help us understand the underlying

features of the behaviour of flood waves, but we need to solve them
numerically for general application.
Returning to the basic (y,f) flood routing equation, Eq ('0), we can write it in
the conservation form
(35)
For optimum accuracy we adopt a centralised 4-point finite difference scheme

where:
af __'_(f.n+1+f.n+1_f.n _f.n ) (36)

at 26t) )+1 ) )+1
af __'_(f.n+1+f.n _f.n+1_f.n) (37)

ax 26x )+1 )+1) )
in which
ft == f(j6x,nM) (38)
Eq (35) becomes
(39)
where
(43)
392
n+ '
' 2 (a
Co=--+r+- - O )n+' q - )j ~
, , +( - - (40)
n+ ~' /:;.X c 02 J+~ 2gAs 0
COj+'
_, 2 ao n q n+~
,
C,---H--(-), ,-(--)j (4' )
ne; /:;.x c~ J+~ 2gAs o
c oj +'
n+ '
C =_'_-r-2( aO)n+~+(_q_), ~ (42)
2 n+; /:;.X C~ j+"2 2gAso J
Coj
(44)
r=M (45)
/:;.x
Note that Co + C, + C2 + C3 =0
Given Ot for all j and Oon+1, Eq (39) can be used to deduce o,n+', 02n+' , ..... ,
,In ord er. S'tnct Iy coj+' n+% an d (ao/ Co 2)n+' j+ % are f '
unctions 0 f 0 j+' n+' an d
therefore require an estimate of OJ+,n+,. Such an estimate can be obtained as
0t+' + onj +, - 0t, with iterations used to refine this estimate if estimated and
predicted values of OJ+,n+' differ by an unacceptable amount. Usually Co and
ao are slowly varying functions of 0 so the first estimate is often sufficient.
Note that the finite difference scheme is directionally explicit. Linearised

analysis shows that the scheme is unconditionally stable. Where 0 is
calculated for all spatial points from upstream to downstream at a given time
t then the solution algorithm can be termed to be in the forecasting mode.
Alternatively the algorithm will be in the design mode if 0 is calculated for all
relevant times for a given spatial point, again beginning upstream to
downstream.
Eq (39) has the same form as the well known Muskingum method, except that
here the finite difference equation is non-linear. The basic (y,f) flood routing
method may therefore be viewed as a true non-linear Muskingum method.
393
12. Accuracy of the routing model
We have here two main concerns:
how do we chose the space and time increments to maintain accuracy

of the finite difference equation vis-a-vis the corresponding analytical
equation, and
what restrictions are placed on the parameters of the model to ensure

that the routing model is a reasonably accurate reproduction of
corresponding solutions generated with the full Saint Venant equations?
Returning to the linearised analytical equation:
c3Q +w c3Q + p c3 2 Q =0 (46)

c3t c3x w c3tc3x
the corresponding finite difference equation is

(47)
in which
D,=-1 +wM_ 2p (49)

ax wax
D =1 +wM_ 2p (50)
2 ax wax
(48)
(51 )
Eq (46) is now the equation for the standard Muskingum-Cunge method.
By analysing the errors in the phase speed and attenuation for standard
394
solutions to the linearised analytical and finite difference equations it can be

shown that it is sufficient to take
fl.x < 1.6wfl.t (52)
in order to achieve accuracy of within 5% for both phase speed and

attenuation; see Price (1985). Here w is the linearised convection speed as in
Eq (46). It would appear that a sufficient rule for choosing AX with the basic
flood routing method is
(53)
where c omin is the minimum value of Co for discharges greater than bankfull, and
where fl.t is selected to be less than, say, 1/10th of the duration of the wave.
Ponce and Theurer (1982) derived the condition
fl.x::s; ..!(wfl.t+ 2p) (54)

2 w
which can be interpreted as
(55)
a
Here is a reference discharge and Co can be regarded as comin' This condition
is generally more restrictive than the one above.
The accuracy of the finite difference scheme with respect to the full Saint
Venant equations can only be estimated in an approximate manner. Returning
to the scale analysis of Section 3 we can require
(56)
From Eq (A6)
I 1 ao 1< 5 (57)
I soBc ax I 100
395
or
2p <_5_ (58)
wx 100
The length scale x - -

Qt/A = ut. Taking t = 2"IP and u = kw where
k = 315 for a friction slope based on Manning's equation with a wide
rectangular channel, Eq (56) becomes
~ I1x < 2"k (59)

wl1x wl1t 20PI1t
If B I1t = 2"/10
~ I1x <~-0.3 (60)

wl1x wl1t 2
Fig 2 I1xlwl1t vs plwl1x
Fig 2 shows the region in which I1x/t>l1t and pl7.>l1x may lie. The region is
restricted though the choice of a smaller time increment improves the situation.
13. Application to the River Wye
The reach of the River Wye in Herefordshire, England, between gauging

stations at Erwood and Belmont is a convenient reach on which to test flood
396
routing methods in that the guages have long reliable records, there is usually
negligible lateral inflow and large floods cause extensive flooding of associated
flood plains. Consequently there can be very significant attenuation of peak
discharges along the reach.
This reach was the subject of an original study by the author in 1973; ref Price
(1973). The behaviour of two particular floods highlights some of the
important features of flood wave propagation that have been identified above.
Correspondingly modelling of these floods has exposed particular limitations
of the basic flood routing methods.
1200
--R~cord~d
-.-.- Pr~dict~d
1000
f\
800
~I I
xl
L"=-'
"\ BELMONT
.00
/
~\
~ ~
/I
200
I i '--,
j.~/)
~ "'" I"-
o
8 10 11
DATE
Fig 3 Flood of December 1960
The two largest floods in recent years were in December 1960 and January
1965; see Figs 3 and 4. Both floods have approximately the same peak
discharges at the upstream gauging station at Erwood (1080m3/s and 1210
m3/s respectively), but the peak discharges at Belmont downstream were 980
397
m3/s and 620m3/s respectively. This large difference in downstream peak

discharge is due primarily to the shape of the discharge hydrographs upstream.
The 1965 event was considerably more peaky than the 1 960 event and hence
the peak attenuates more rapidly downstream.
1400~------r------'------~------~
1200~------~~~~------~-------;
1000~------~~~~------~-------;
,~ 800~------H----4~--~~-'------~
C'")
E
OJ
~ 600~-----+r---~~----~~------~
o
.r.
u
~
o 400~---+~~~~~~----~~-----;
O~ ____~~____~__~~~____~~
o 3 4 5 6
Date
Fig 4 Flood of January 1965
Closer examination of the hydrographs also shows that the differential in wave
speed for different discharges leads to remarkable changes in the shape of the
hydrographs downstream both on the rise and recession.
The performance of the basic flood routing model is adequate for the rise and
peak of the events but susceptible on the recession. This is due to the failure
of the model to allow properly for drainage off the flood plain when the
assumption of one dimensionality of the flow is violated. Note that even a full
solution of the 1 D Saint Venant equations will be unable to reproduce this
effect.
398
14. Muskingum flood routing
Traditionally the Muskingum method is based on the equations

dS
""Cit =Qin -Q out (61 )
(62)
where K and a are parameters as given by
a=.!-~ (63)
2 wllx
K=llx (64)
w
See Cunge (1969). There is a very extensive literature describing research into
this type of model ever since it was first proposed by McCarthy in 1938.
One well known problem with the method is the negative outflows that may
occur if the time increment is not chosen correctly. Hjelmfelt (1985) has
shown that
(65)
for x :s 0.5 will ensure positive outflows for all positive inflow sequences.
Similarly Gill (1992) has shown that this constraint only needs to be placed on
the first time step.
Ponce (1979) claimed sufficient accuracy with a simplified Muskingum method

where llx and llt are chosen to make a = 0 and K = llt.
399
Others have worked with non-linear forms of the Muskingum storage equation,
such as
S=K[aQi~+(1-a)Q~] (66)
(67)
Singh and Scarlatos (1987) applied these models to a variety of separate data
generated by other authors and conclude that the non-linear methods are less
accurate than the linear method. Correspondingly the results of Tung (1984)
using the non-linear form of Eq (62) with sophisticated parameter estimation
are less clear. Indeed he cautions against arbitrary use of the linear method 'if
a system's behaviour appears non-linear'.
Here lies the main reason why there continues to be such a lot of confusion
about the simpler flood routing methods, that is, in distinguishing their range(s)
of validity. If the averaged channel section has a significantly variable width
with depth and the event being modelled has comparatively short duration and
the event has a sizable amplitude then it is probable that a non -linear model
has to be used in order to be reasonably sure of achieving sufficient accuracy.
Where a channel is wide with the width reasonably uniform with depth, and
the event has a long duration and small amplitude then it is likely that the linear
Muskingum method will give reasonable results.
However there are other issues that need to be considered in choosing an

appropriate method. For example the Muskingum method and its variants rely
heavily on the availability of data for previous flood events which can be used
to calibrate the parameters for the given method. There are a number of
sophisticated calibration techniques that can be used with the methods to give
highly accurate reproduction of the calibration events; see for example
Stephenson (1929) and Singh and Scarlatos (1987) and Wormleaton and
Karmegam (1984) and Aldama (1990). Provided the model has been correctly
chosen for the type of event and channel being modelled then it is reasonable
to expect that the calibrated model will perform satisfactorily for other events
in the same range as the calibration events. Where these calibrated models
break down is when there is no calibration data in the first place, and when the
model has to be applied outside its range of calibration. This is where it is
seen that the basic (y,f) flood routing model above comes into its own. The
model is based rigorously on a deterministic derivation that respects the
physics of flood wave propagation and can accommodate complex channels
that introduce severe non-linear effects. There is still the need for some
400
calibration where the kinematic wave speed for a reach of river is unknown.
However it is possible to derive a reasonably accurate functional relationship
between the kinematic wave speed and discharge based on an assumed
averaged shape for the river cross-section and an estimate of the varying
roughness over the cross-section. Refinements of this model can be made by
parameterising the general shape of the kinematic wave and attenuation
parameter curves and using these as a better basis of a non-linear Muskingum-
Cunge method.
A very interesting but different approach to flood routing in real time has been
taken by Dartus et al (1993) in which they have explored the use of a neural
net to reproduce Muskingum-Cunge routing along an open channel. The
example chosen was very simple but they succeeded in demonstrating that the
tool is accurate enough to be used in the real time maintenance of sewerage
systems. Application of the technique to more complex routing in natural
rivers would appear to have considerable promise.
15. Review of flood routing methods
A number of authors have given reviews of approximate flood routing

methods; see for example Miller and Cunge (1975), Weinmann and Laurenson
(1979), Price (1985), Freade (1992). In particular reviews by Miller and Cunge
and Freade cover not only the approximate flood routing methods explored in
this paper but also the use of accurate solutions of the full Saint Venant
equations. Following the review in this paper we can classify the various
methods as follows:
(Y,E) - non-linear: non-linear Muskingum-Cunge

(Y,E) - linear: Muskingum, Muskingum-Cunge, Hayami's diffusion
analogy
(y,O) - kinematic wave: non-linear
(y,O) - kinematic wave: linear
(0,1) - non-inertial wave (sometimes called diffusion wave, not to be
confused with Hayami's method)
(1,1) - full dynamic wave
Some advantages of simplified flood routing models are as follows:
(i) In many cases of modelling gradually varied flow in open channels

the inertial terms in the the dynamic equation are small or
negligible compared with other terms in the equation and the
401
characteristic surface slope defined relative to the bed slope is

also small.
(ii) The computation time for the simplified flood routing models is
considerably less than,say, a full solution model.
(iii) The definition of channel geometry in the basic flood routing

models is considerably simplified compared with the justified
needs of a full solution model.
(iii) There can be situations, such as real time forecasting, where

updating procedures work as efficiently with a simplified flood
routing model as with a full solution model.
Some disadvantages of simplified flood routing methods include:
(i) By definition simplified models do not have the accuracy of the

full solution models.
(ii) Simplified models also neglect particular physical phenomena

which may not be obvious to the user of such methods, in which
case gross errors can be made.
(iii) In particular, effects generated upstream by downstream events

cannot be reproduced by the simplified models; these include
upstream wave disturbances from tributaries, dams, weirs, tides,
etc.
(iv) Generally data from more events are required to have confidence
in the performance of a simplified model than for a full solution
model, though more data from a given event will be reuiqred by
the full solution model.
(v) Unless proper care is taken the results from the simplified flood
routing methods are heavily dependent on the time and distance
increments used.
See Miller and Cunge ( 1975)
16. Conclusions
402
This paper has focused on trying to give a rigorous connected account of

simplified flood routing methods based on hydraulic principles. Although one
can begin with the conceptual assumptions of McCarthy thereby deriving the
Muskingum method, Cunge has shown that such assumptions are consistent
with a hydraulic approach. The danger of beginning with McCarthy's
assumptions is that it is not obvious how to extend the linear Muskingum
method to be compatible with a full non-linear approach. The approach above
overcomes these difficulties.
It is far from clear whether the simplified flood routing methods now have
much value beyond their capability to elucidate the physics of flood wave
propagation. There exist a number of very powerful, accurate and robust
models for Simulating time dependent, gradually varying flow in complex river
networks. Despite their appetite for data such models are now replacing the
simplified flood routing methods for routine modelling of unsteady flows in
rivers.
17. References
Aldama, 'Least squares parameter estimation for Muskingum flood routing',

Journal of Hydraulics Division, ASCE, Vol M6, HY4, Apr 1990, pp 580-586.
Cunge, J A 'On the subject of a flood propagation computation method

(Muskingum method)' Journal of Hydraulic Research, Vol 7, No 2, 1969, pp
205-230.
Dartus, D, Conrivand, J M, and Dedecher, L 'Use of a neural net for the study
of flood wave propagation in an open channel', J Hydr Res, Vol 31, No 2,
1993.
Forchheimer, P, 'Hydraulik', B G Beubner, Berlin, 1930.
Fread D L, 'Flow Routing' in Handbook of Hydrology, ed D R Maidment,

McGraw Hill, 1992.
Gill, M A 'Flood routing by the Muskingum method', Journal of Hydrology, Vol

36, 1978, pp 353-363.
Gill, M A, 'Routing of floods in river channels', Nordic Hydrology, Vol 8, 1977,

pp 163-170.
403
Gill, M A, 'Translatory characteristics of the Muskingum method for flood

routing', Journal of Hydrology, Vol 40, 1979, pp 17-29.
Hayami, S, 'On the propagation of flood waves', Bulletin no 1, Disaster

Prevention Research Institute, Kyoto University, Japan, 1951.
Henderson, F M, 'Open channel flow', MacMillan Co, New York, 1966.
Hjemfelt, A T, 'Negative outflows form the Muskingum flood routing', Journal

of Hydraulic Engineering, ASCE, Vol 111, No HY6, 1985, pp 1010-1014.
Katpodes, N 0, 'On zero inertia and kinematic waves', Journal of Hydraulics

Division, ASCE, Vol 108, HY11, Nov 1982, pp 1380-1387.
Koussis, A 0, 'An approximative dynamic flood routing method', Proc. Int.

Symp. on Unsteady Flow in Open Channels, Paper L 1, Newcastle, 1976
Koussis, A 0, 'Theoretical estimation of flood routing parameters', Journal of

Hydraulic Division, ASCE, Vol 104, No HY1, Jan 1978, pp 109-115.
Lighthill, M J and Whitham, G B, 'On kinematic waves I Flood movement in

long rivers', Proc. Roy. Soc., Ser A, Vol 229, pp281-316, 1955.
Natural Environment Research Council, 'Flood Studies Report- Volume III -

Flood Routing Methods'" NERC, London, 1975.
McCarthy, G T, 'The unit hydrograph and flood routing', Presented at

Conference of North Atlantic Division, US Army Corps of Engineers, 1938,
(unpublished).
Overton, 0 E, 'Muskingum flood routing of upland stream flow', Journal of

Hydrology, Vol 4, 1966, pp 185-200.
Ponce, V M and Yevjevich, V, 'Muskingum-Cunge with variable parameters',

Journal of the Hydraulic Division, ASCE, Vol 104, No HY12, Dec 1978, pp
1663-1667.
Ponce, V M, 'Simplified Muskingum routing equation', Journal of Hydraulic

Division, ASCE, Vol 105, No HY1, Jan 1979, pp 201-221.
Price, R K, 'A non-linear theory of flood wave propagation', Appl. Math.

Modelling, Vol 6, pp 338-342, 1982
404
Price, R K, 'Flood routing methods for British Rivers', Report IT 111, HR

Wallingford, UK, 1973.
Price, R K, 'Variable parameter diffusion method for flood routing, Report IT

115, HR Wallingford UK, 1973.
Price, R K, and Kawecki, M W, 'Equivalent river models' Proc Int. Symp. on

Unsteady Flows in Open Channels, BHRA, Paper K4, Newcastle, 1976.
Price, R K, 'FLOUT, A river catchment flood model', Report IT 168, HR

Wallingford, UKK, 1980.
Price, R K, 'Flood routing' in Developments in Hydraulic Engineering - 3, Ed P

Novak, 1985.
Rusinov, M I, 'Influence of some parameters of prismatic channels with flood

plains on the velocity of release wave crests', GGI Trudy, No 140, pp 64-82),
(in Russian), 1967.
Singh, V P, and McCann, R C, 'A study of the Muskingum method of flood

routing', Mississippi Engineering Industrial Research Station, Tech Rep, MSSU-
EIRS-CE-80-2, Mississippi State Univ, Mississippi State, Miss, 1979, p 71.
Singh, V P, and McCann, R C, 'Quick estimation of parameters of Muskingum

method of flood routing', Proceedings, 14th Annual Mississippi Water
Resource Conference, Jackson, Miss, Sept 1979, pp 65-70.
Singh, V P, and McCann, R C, 'Some notes on the Muskingum method of flood

routing', Journal of Hydrology, Vol 48, Nos 3/4, 1980, pp 343-361.
Singh, V P, , Approximate integral solutions for flood routing by the Muskingum

method', Proceedings, 20th IAHR Congress, Vol 6, Moscow, USSR, Sept
1983, pp 480-486.
Sigh, V P, Scarlatos, P D, 'Analysis of non linear Muskingum flood routing', J

Hydr Div ASCE, Vol 113, HY1, 1987, pp 61-79.
Stephenson, D, 'Direct optimisation of Muskingum routing coefficients',

Journal of Hydrology, Vol 41, 1979.
Strupczewski, W, and Kundzewicz, Z, 'Muskingum method revisited', Journal

of Hydrology, Vol 48, 1980, pp 327-342.
405
Tingsauchali, T and Manandhar, S K, 'Analytical diffusion model for flood

routing', Journal of Hydraulics Division, ASCE, Vol 111, HY3, March 1985, pp
435-454.
Tung, Y -K, 'River flood routing by the non-linear Muskingum method', Journal
of Hydraulics Division, ASCE, Vol111, HY12, Dec 1985, pp 1447-1640.
Weinmannn, P E, and Laurenson, E M, 'Approximate flood routing methods:

a review', Journal Hydraulics Division, ASCE, Vol 105, HY12, 1979, pp 1521-
1536.
Williams, J R, 'Flood routing with variable travel time or variable storage

coefficients', Transactions of the ASmerican Society of Agricultural Engineers,
Vol 12, No 1, 1969, pp 100-103.
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Journal of Hydraulics Division, ASCE, Vol 110, HYK, Dec 1984, pp 1799-
1814.
406
Appendix A. Derivation of basic flood routing equation
If we assume that Sf = 02/K2 then
This indicates that 0 is a function of A, F and sO to zero order and of

derivatives of y and 0 to first order. The dependence of 0 on y and its
derivatives can be removed using the mass conservation equation. Before
doing this we note that by differentiating Eq (A 1) with respect to x then
(A2)
where
s:
1
dK (A3)
c=--
B dy
Substituting Eq (A2) and Eq (A3), Eq (A 1) now becomes
If we differentiate Eq (A4) with respect to t then
aO=BcaY_.!I~ao+~[aO+(20_ 0 2 )aO]I+O(2) (AS)

at at at 2soBc ax 2gAs o at A A 2C ax I
From the mass conservation equation, Eq (2)
Bay +ao=q (AG)

at ax
So Boy/ot in Eq (AS) can be replaced by (q-oO/ox). Unfortunately c in Eq (A5)

is a function of y. This dependency on y can be removed by rearranging Eq
(A5) to give
407
Because A and F are functions of y alone, y is therefore a function of the

expression on the right hand side of Eq (A7). Now, to order E,
c(y)=c (O)+EI 0 ao_~[ao+(2o_~)ao]1 dc o (AS)

o 2soBco ax 2gAso at A A 2 c o ax dO
Replacing Boy/at and c in Eq (A5) and simplifying the term of order E we obtain
ao=c (q_ao)_EC..!1 0 [1- yB(c _O)2]ao_ Ey..!

at 0 ax 0 at I 2s Bc 2 gA 0 A ax at
o 0 (A9)
( Ocoq ) +O(E 2 )
2gAs o
or
(A10)
where
(A11)
Eq (A 11) is for our purposes the basic simplified (T, E) flood routing equation
and is valid for any Froude number: the only restriction is on the magnitude of
E, the characteristic surface slope.
14
SIMULATION OF URBAN DRAINAGE SYSTEMS
Dr Roland K Price
HR Wallingford Ltd
Wallingford
axon, OX10 8BA
UK
ABSTRACT. The growth in urban areas has required better, more acccurate and
efficient modelling of drainage. Simulation models that can reproduce both free
surface and pressurised flows are reviewed. Attention is given to the modelling
of the complex hydraulic phenomena generated in networks of closed conduits.
1. Introduction
An increasingly important aspect of computational hydraulics is the modelling

of unsteady flows in urban drainage systems. When it is recognised that 80%
of the worlds population will live in urban areas by the year 2020 then the
provision of services to those urban areas will help to determine the quality of
life experienced by the great majority of the world's population. Of these
services the supply of good quality drinking water and the removal of waste and
excess storm water already rank as being among the most important.
Increasingly therefore the development of urban drainage systems and their
maintenance and rehabilitation are seen as a vital part of city utility
management. Accordingly the ability to plan the development of urban drainage
systems effectively and efficiently, and also to ensure that they are properly
maintained and controlled, relieves the pressure on scarce resources of capital
and manpower. Good quality simulation models for urban drainage systems can
therefore provide a valuable means for drainage engineers to understand how
their complex and expensive systems actually perform, and to plan effectively
for their extension, rehabilitation or improvement.
Because of the massive world-wide capital investment in urban drainage the

market for urban drainage simulation models is large. It is not surprising
therefore that the development of such models that have taken place have
largely been driven by commercial rather than purely research interests.
Consequently a number of significant details of such models are not readily
409
410
accessible. This lecture however attempts to explore the key issues facing the
developers of urban drainage simulation software. We focus, as before, on the
essential physics of the various phenomena involved and their interpretation in
algorithmic terms. However it should always be borne in mind that the concern
with the software implementation of the physics and the algorithms is driven by
the need to model commercially unsteady free surface and pressurised flows in
large and possibly very complex networks of closed conduits. This requires
efficiency in the calculations as well as standard attributes of commercial
software such as ready access to asset databases, ease of use, particularly in
model building and verification, and an attractive and efficient way of processing
and analysing results. Because of the large number of separate aspects to
modelling urban drainage systems and to integrating such modelling into better
management of urban drainage assets, increasingly the corresponding
computational hydraulic modules are being implemented within sophisticated
hydroinformatics systems by the larger water utilities.
2. Hydraulics of flows in closed conduits
Our concern is with a number of regular closed or open conduits linked in a

network whose function is to drain waste water or storm flows away from
urban areas. Generally the network is designed to enable water to drain under
gravity to an adjacent natural stream. Usually the networks will therefore be
dendritic, that is, with a tree structure having main 'trunk' drains and associated
'branches'. Thistype of network ensures that flows will most of the time be in
a 'downstream' direction. Provided the conduits are steep enough then the
velocities will be sufficient to prevent deposition of sediment on the invert.
Sometimes however, particularly in networks draining flat urban terrain, it is
impossible to retain a dendritic structure for the network, and cross-connections
have to be introduced to relieve excess flows in one part of the network and to
divert them to another part, or the network is deliberately designed to be looped
in order to maximise storage in the system. Such systems are obviously more
prone to sedimentation and therefore to greater maintenance costs.
Consequently it is all the more important to understand the unsteady behaviour
of the flows and to use such information to improve the operation and
maintenance of the systems.
Generally the sizes of the conduits in a given network increases incrementally

downstream. This is to ensure that the conduits have sufficient capacity to
convey the increased flows which are accumulated from joining branches.
Indeed storm conduits are normally sized such that they have sufficient capacity
to accommodate without surcharging flows generated by a synthetic design
rainfall over the urban catchment with a specified return period and duration.
The design flow will normally be different for each conduit deRending on the
part of the overall catchment draining to the conduit. Correspondingly if an
411
actual rainfall event occurs which has a rarer return period than the design event
then there is the possibility that the generated flows at some points in the
network will exceed the capacity of the local conduits and surcharging will
occur. If the storm event is severe enough then there could also be some
surface flooding, that is, water emerges from the system to inundate the local
urban catchment. In that the drainage system is constructed in the first
instance to remove excess water running off from the urban area then the
system will in this case be said to have failed. Obviously the engineer cannot
completely prevent surface flooding in that a sufficiently rare storm event will
at some stage occur to cause any system to fail. However the system will have
been designed to limit the frequency of surface flooding or of some other target
criteria, such as an overflow discharge to an adjacent stream or the filling of a
storage tank or the operation of a pump.
Generally therefore the flow in each conduit will normally have a free surface.
Some conduits may even be dry except during a rainfall event. On rare
occasions the flow will increase and fill a closed conduit generating pressurised
flow within the conduit itself.
2.1 Free surface flow
An urban drainage conduit normally has a uniform cross-section along its length
and a uniform gradient. Because the dimensions of the cross-section are
typically one or two orders of magnitude less than the length of the conduit then
unsteady free surface flow can be readily modelled using the 1 D Saint Venant
equations. The only additional features of concern are the entrance and exit
losses to the conduit. Typically at each end of the conduit is a manhole, which
is a storage chamber giving access to the conduits upstream and downstream.
Benching is normally provided through the manhole to limit the loss of energy
under free surface flow conditions, thereby limiting backup into upstream
conduits. A manhole however may well have more than one conduit entering
it, so the combination of the flows may induce some additional head loss.
Nevertheless it is not usual for there to be a significant head loss through the
manhole or at the entrance or exit to a conduit when the flow has a free
surface.
In common with unsteady uni-directional free surface flows in open channels

bulk disturbances travel with approximately the kinematic wave speed, though
dynamic waves are obviously also present. Typically a disturbance will take the
order of a minute to travel along a 1 m circular conduit at about 1 :500 gradient.
An important parameter of a given conduit is its capacity, that is, the flow that
it can take without surcharging, or flooding if an open channel. Assuming
normal depth flow, that is, the hydraulic gradient is parallel to the bed of the
412
for a circular conduit or for any other closed conduit the maximum discharge
under the normal depth condition can be at a depth below the soffit (or obvert)
of the conduit; see Fig 1.
~
~
o
--------------------1:,:
Ci
Q)
o
Discharge
Fig 1 Discharge vs depth for a circular pipe.
2.2 Pressurised flow
Here the situation is much more complex, particularly during the transition
between free surface and pressurised flow and vice versa. Consider first the
transition from free surface to pressurised flow in a circular conduit. Assume
that there is a free outfall at the downstream end of the conduit. As we have
already noted the maximum capacity of such a conduit occurs before the water
depth reaches the soffit. So the question arises as to what happens as the flow
increases (steadily) beyond the capacity of the conduit. The only thing that can
happen is for a hydraulic gradient to be built up that overcomes the additional
friction introduced by the soffit of the conduit and the larger head loss generated
at the upstream manhole when further turbulence is generated there. Note that
the effect is even more marked in a wide rectangular closed conduit. Even with
only a small increase in discharge there can be a very dramatic increase in water
level in the upstream manhole in order to generate the necessary hydraulic
gradient.
Usually however the discharge varies not only slowly but can vary rapidly. The
transition in this case will take place with the water level reaching the soffit of
the conduit at the upstream end of the conduit while the depth downstream is
413
is still below the soffit. In such a case the surcharge 'front' travels down the
conduit very quickly to fill it completely.
The physics of the phenomenon at the upstream end of the conduit is not trivial.
When the water level rises in the manhole to drown out the soffit of the conduit
air is usually entrained giving a two phase flow. This has two effects: the first
in increasing the turbulence and therefore the head loss, and the second in
reducing the effective capacity of the conduit to carry the water. Both of these
effects act to increase the water level in the manhole. As the water level
increases however the air entrainment is reduced and the contribution to the
head loss decreases. Therefore the effective head loss in the upstream manhole
varies according to the depth in the manhole above the outgoing soffit, reaching
a peak at some depth before decreasing for greater depths; see Fig 2.
1.4
'" e 00
'"
- - Lindvall
1.2
b 6 Howarth &
x Saul
'" Archer
~'" --0 et al.
1.0
'",
~ '"
0.8
0.6
0.4
0.2 ~
.... '"
.. u
o
<
i
Fig 2 Headloss vs proportional depth in manhole.
Consider now the reverse situation where the conduit is surcharged and the flow
is slowly decreasing. Again we assume a free outfall at the downstream end
where the effective water level defining the hydraulic gradient is at the soffit of
the conduit. Strictly the flow decreases until the hydraulic gradient is just
414
greater than the gradient of the conduit and the water level in the upstream
manhole is just above the outgoing soffit. For any further decrease in the
discharge there will be a rapid drop in the water level all along the conduit to
give a hydraulic gradient similar to the gradient of the conduit and a similar
discharge. In effect the discharge and depth have followed a hysteresis curve
in going from free surface flow to pressurised flow and vice versa. Again it
should be noted that the hysteresis is most pronounced for wide rectangular
closed conduits.
~ Yc - -- --
Fig 3 (i) Flow conditions in closed circuits
Pressurised flow is well known to produce rapid transmission of disturbances

along a conduit according to the speed of sound in water. Therefore in marked
contrast to the propagation speed of disturbances under free surface flow
415
conditions the propagation of disturbances under pressurised flow in a 1m

circular conduit 100m long can be less than a second. Such differences call for
careful modelling of urban drainage networks.
~\~~
=-
- Yc
~"""""~~~""
+~~~'\,~~
~ -----_L ____ _
~~~~~
~~~~""~
~
Fig 3 (ii) Flow conditions in closed circuits
Fig 3 shows the various conditions that can occur in a long conduit whether
under free surface flow with sub- or super-critical flow conditions affected by
the end conditions, or with the conduit partially or totally surcharged.
Before going on to look at the equations and algorithms we note that although
surcharging due to the discharge exceeding the capacity of closed conduit is
very significant in identifying throttles in a network, conduits also surcharge
because of backup from downstream. In this case a conduit can have the stable
416
situation of free surface flow upstream and pressurised flow downstream. (A

stable situation in reverse cannot occur). Of course reverse flow can occur also,
whether under free surface flow conditions (which is comparatively rare in
dendritic networks) or pressurised flow conditions (which is more common).
3. Governing equations for free surface and pressurised flows
The 10 equations for gradually varying flow in open channel conduits are the
dynamic equation
(1)
and the mass conservation equation

B fJy + fJQ =0 (2 )
at Ox
where Q discharge
A flow area
y depth
g acceleration due to gravity
So bed gradient
K conveyance
t time
x distance
8 angle made by conduit with horizontal
Of particular importance is the definition of the conveyance K. Whereas a

number of modellers use Manning or Chezy, a standard form used in the UK is
that proposed by Colebrook and White:
K(y)=-Ab2gRlog 1o ( k. + 2.Slv ) (3)

14.8R P1128gRs o
Here R hydraulic radius

k,. roughness height
v kinematic viscosity
This form has the advantage of including both the smooth and rough turbulence
conditions.
Under normal flow conditions where the hydraulic gradient is equal to the bed
417
gradient of the conduit then

1
(4)
Q=K(y)st
Rather than deduce the depth of flow by iteration from Eq (4) Bretting's equation
(Bretting (1948)) may be used for circular conduits:
y=~COS-l [3.125-(3.1252-5.25+12.5~)';'j (5)

n Q
where Q is the pipe-full discharge. In various circumstances urban drainage

modellers will use simplified versions of the full Saint Venant equations. The
standard simplifications to the dynamic equation are:
Non-inertial:
aY -s + Q2 =0 (6)
OxoW
Muskingum-Cunge:
(7)
where
c= dQ (8)
~
(9)
Here Ao and Bo are the flow area and surface width at normal depth for discharge
Q.
Kinematic:
-s + Q2 =0 (10)
W
418
The non-inertial equations are used to avoid difficulties with the non linear
convection of momentum, whereas the Muskingum-Cunge model is used for
reasons of computational speed.
The pressurised flow equation can be written in the form
Ljk dQjk Ljk AKjk

--+hk-h+(-+--)Qk Qjk =0
I I (11)
gAjk dt J ~ 2g~ J
where
(12)
Here Qjk discharge in conduit jk

d jk diameter
Ljk length
AKjk head loss coefficient
hj upstream water level in manhole j
hk downstream water level in manhole k
The head loss coefficient defines the cumulative entrance, exit and bend losses,
if any. For convenience these losses are notionally regarded as being at the
upstream manhole.
Obviously, provided the water is treated as incompressible and the conduit walls
are inelastic then the discharge along the conduit will be uniform. This is an
marked contrast to the case of unsteady free surface flow. Here the discharge
can vary significantly along the conduit and therefore any solution of the free
surface flow equations have to include such variations. In practice this will
normally mean that the finite difference solution is obtained at increments along
the conduit. The corresponding solutions at interior points along the conduit for
pressurised flow are redundant. A straightforward way of dealing with this
difference is simply to change the equations being solved when the transition
between free surface and pressurised flow takes place, and therefore to change
the solution algorithm. This procedure is adopted with a degree of success by
some of the commercial urban drainage models; see for example MOUSE
(Lindvall (1984)), CARADAS (Cunge (1984)), SPIDA (Richens (1985)), DWOPER
(Freade (19xx). This approach does have, however, some disadvantages. In
particular the need to radically change the solution procedure increases the
amount of 'book-keeping' required during the computations. Priessmann (1961)
suggested an ingenious alternative, namely that the standard method for free
surface flows can retained even when the flow is pressurised if a conceptual
vertical slot is assumed in the crown or soffit of the conduit; see Fig 4. In this
419
way the calculations can proceed at all times as though free surface flow exists
even if the conduit is technically surcharged.
Siol - - - - - - - I
Pipe
Fig 4 Conceptual slot
In order to introduce the slot without significantly reducing the accuracy of the
equations it is necessary to replace the surface width, B, in the mass
conservation equation by the expression
gAf
B=-
c p2
where AI is the pipe-full cross-sectional area and c p is the velocity of pressure

waves of water in a full pipe. Typically c p is of an order greater than 100m/s.
Gomez et al (1992) have examined the sensitivity of the slot parameters with
an implicit finite difference method for the Salnt Venant equations. They
concluded that although the theoretical slot width should be 1 mm for the case
study they were considering a much larger value of 2cm could be used without
loss of accuracy. (This gave for their example a Courant number the order of
30; see below).
420
One corollary to the use of the Priessmann slot is the way in which head losses
are introduced, particularly under pressurised flow conditions in the conduit.
Rather than integrate the head loss into the pressurised flow equation (which is
not now possible if the free surface flow equations are retained) the head loss
at the entrance and exit to a conduit are treated distinctly as a discontinuous
change in water level.
As indicated in the above discussion on the dynamic equation for pressurised

flow the head losses at the entrance and exit to the closed conduit can be
significant, that is, of a similar order compared to the head losses along the
conduit. Data from experiments on headlosses at two-way junctions by Archer
(1978), Lindvall (1984) and Howarth and Saul (1984), and taken from Yen
(1987), are shown in Fig 2. The headloss coefficient shows a clear dependence
of degree of surcharge in the upstream manhole. The head loss coefficient must
therefore be treated as a function of proportional depth in the manhole.
Eq (10) defines the discharge through the conduit jk in terms of the water levels
in the upstream and downstream manholes. The water levels in the manholes
change in time according to the net inflow or outflow:
(13)
where Vj volume in manhole j

Ojj discharge into manhole j from conduit ij
Ojk discharge from manhole j (to manhole k downstream)
Ojn inlet discharge from the surface runoff to manhole j
Oout discharge out of manhole j such as to surface flooding, if
any.
The manhole storage equation, Eq (13) above, is straightforward to use, except

that the plan area is normally a function of depth. Generally there will be a
storage chamber below ground with a narrow access shaft leading up to the
ground surface. Another issue to be considered at this point is the storage of
flood water discharging from the manhole if the surcharging in the conduits is
extreme. It is customary therefore to include a model of the above ground
storage to accommodate excess water issuing from the manhole. This can, for
example, be defined as a variable plan area with depth, though normally the
scarcity of data on the ground profile and the lack of knowledge on what
happens to emerging flood water normally means that fairly simple above ground
storage models are adequate.
Where there is surface flooding there is always the possibility that the flood
water will move over the ground surface away from the manhole where it
421
originated, or where surface runoff is unable to enter. This overground flood

flow can be very significant in some climates, particularly those that experience
very intense rainfall on a frequent basis. Engineers may in such conditions
deliberately design above ground flow paths for excess runoff and flooding.
This is typically done in urban areas in Canada where there are basements, and
in Australia where a major-minor system of drainage is standard in some cities.
Generally most drainage models do not explicitly include the modelling of such
overground systems, though recent developments would appear to make such
modelling comparatively straightforward provided the data are available to define
the hydraulics of the overland flow paths.
Besides the structures of closed conduits and manholes at junctions, there are
a number of other structures used by urban drainage engineers in their systems.
These include overflows such as weirs, side-weirs, and orifices, sluices, valves,
syphons and pumps.
The standard equations for such structures include:
weirs and sluices

(14)
orifices
(15)
sluices
(16)
here Cd is a discharge coefficient, W is the length of the weir or width of the

sluice, Hd is the depth of opening of the sluice, and Ao is the area of the orifice.
In order to complete the system of equations that can be defined for the
simulation of free surface and pressurised flows in drainage networks it is
necessary to specify the internal boundary conditions at the end of the conduits
and at outfalls from the network. Generally the boundary condition at the
upstream and downstream ends of a conduit will be formed by the discontinuity
in water level generated by a discrete head loss. However situations can arise
where there is no flow into the conduit from 'upstream' or a free overfall
'downstream'. No flow into the conduit simply means that the discharge there
is zero, whereas for the free outfall the strict assumption is that there is critical
flow at the outfall if the flow upstream is sub-critical, and normal depth flow if
the flow upstream is super-critical.
422
At an outfall from the network there could be the need to specify a receiving
water level such as generated by a tide or stream in flood.
Any node can receive inflow. The storage equation at a manhole is defined to
include inflow generated from rainfall-runoff from the ground surface or from
arbitrarily defined sources.
4. Full solution models
There are a range of methods used regularly to simulate unsteady flows in urban
drainage systems. These include:
(i) characteristics
(ii) explicit
(iii) implicit
4.1 Characteristic methods
A thorough development of the characteristic method for free surface flows has
been given by Yen (1973). In fact Yen examined four schemes including
(i) the Courant scheme which is strictly an explicit scheme

(ii) the first order scheme which is a pseudo-explicit scheme
(iii) the second order scheme which is a pseudo-implicit scheme solved
by a predictor-corrector method, and
(iv) the four-point noncentral implicit scheme applied to the canonical
form of the characteristics equations.
In terms of volume conservation the second order scheme is the most

satisfactory. Similarly the second order scheme is always stable provided the
Courant condition is satisfied, whereas the four-point non-central implicit
scheme is unconditionally stable and therefore the time and space increments
can be selected independently, in theory.
A basic problem with the non-implicit forms of the characteristic method is the
efficient handling of pressurised flows with the Priessmann slot concept for
which very small time increments are needed, and associated problems of mass
conservation. Generally therefore such methods have not been exploited
commercially to the extent that the implicit methods have.
4.2 Explicit methods
The most significant of the explicit methods used in urban drainage is the
modified Euler method adopted by SWMM-EXTRAN; Roesner (1983). Here Eq
423
(1) and Eq (2) are manipulated to give
aQ=_ gn 2 QIVI+2VaA+V2aA_gAaH
Of 4 Of Ox Ox (17)
1. 49 2 R"'"
where V is the velocity. The corresponding finite difference form of this

equation is written as
Q Jk~+I =Q.nJk _ ----.

kat I V.n I Q~+I +2~ MAt + ( r ) ~ -AI At
Jk Jk Jk-n jk ~
R"'" Jk (18)
_~( H2 -H I ) at
~
with the continuity equation in the form
(19)
Here the superposition of a bar denotes an average value, and P is the plan area
of the node.
Eq (17) and Eq (18) are solved sequentially to determine the discharge in each
conduit and the water level at each node over a time increment. The modified
Euler method adopted by Roesner involves the calculation of values of discharge
and water level at the half time step. The procedure can be summarised as
follows:
(i) Compute the discharge at t + ~t/2 in all conduits based on the

values of the water levels at time t.
(ii) Compute the water levels at all nodes at time t + ~t/2 based on
the average of the discharges at time t and at time t + M/2.
(iii) Compute the discharges in all conduits at time t + ~t based on the
water levels at t + ~t/2.
(iv) Compute the water levels at time t + ~t for all nodes based on the
average of discharges at time t and time t + ~t.
For stability this scheme requires

L'J k_
ats __ (20)
and
{g5j~
P.H .
AtsC I (21)
m
J maxJ
jk
424
where C'dimensionless is constant - 0.10, and Hmaxj is the maximum water

surface rise in time step .6.t.
Roesner states that time increments the order of 10 secs are typical for most
applications. Some adjustments are made to the way in which surface are is
assigned to the nodes for particular special cases, such as when there is no flow
down the conduit but there is backing up from the manhole downstream.
Although the SWMM-EXTRAN code is distributed widely it has particular

problems of robustness due to its uncertain stability for larger time increments.
Other than in SWMM explicit schemes have not been used commercially for
urban drainage modelling though there is increasing interest in schemes such as
those proposed by McCormack (see Garcia-Navarro (1992)) and Roe (see
Priestley (1989)) because of their ability to model discontinuous flows
accurately.
The essence of Priestley's version of Roe's scheme is to formulate the governing

equations in the form
(22)
where
,!!= (A, Q) T (23)
(24)
(25)
Priestley then defines a parameter vector w given by

!!.= (wl' w2 ) T= (A l / 2 , VAl/2) T (26)
This enables him to generate solutions of the form

(27)
u t1 =ut+j,i+1/2 (A j ,i+1/2 ~O) (28)

425
and
P.H .
.1t<C' ) max) (21)
- ~Qjk
where C'dimensionless is constant - 0.10, and Hmaxj is the maximum water

surface rise in time step /;, t.
Roesner states that time increments the order of 10 secs are typical for most
applications. Some adjustments are made to the way in which surface are is
assigned to the nodes for particular special cases, such as when there is no flow
down the conduit but there is backing up from the manhole downstream.
Although the SWMM-EXTRAN code is distributed widely it has particular

problems of robustness due to its uncertain stability for larger time increments.
Other than in SWMM explicit schemes have not been used commercially for
urban drainage modelling though there is increasing interest in schemes such as
those proposed by McCormack (see Garcia-Navarro (1992)) and Roe (see
Priestley (1989)) because of their ability to model discontinuous flows
accurately.
The essence of Priestley's version of Roe's scheme is to formulate the governing

equations in the form
(22)
where
(23)
F(u)=(Q Q2 +gA2 0h)T (24 )

-- 'A 20A
b=(O (gA 2 Oh) -gA(h + QIQI T (25)

- , 2 OA x x K2
Priestley then defines a parameter vector w given by

~= (WI' w2 ) T = (A1I2 , VAII2) T (26)
426
This enables him to generate solutions of the form

n+l n
Ui+1 =Ui+1+<Pj,i+112
(A
j,i+II2>-O
) (27)
n+l
~ =Ui
n
+<Pj,i+112 (""j,i+1I2-<O ) (28)
in which
(29)
where j,i+l/2 is the 'signal' from the j th wave with speeds Aj,i+l/2' directions
ej,i+l/2 and strengths 0j,i+l/2' These are given by
(30)
(31)
(32)
where M is the averaged value of c3h/c3A.
Sweby (1984) has shown that stability may be ensured by the condition
at
1-;rx\i=II2I:S1.0 (33)
for all j. The source terms 12 are treated in a similar manner. Once the manhole
storage is included and the additional head losses are imposed at the entrance
and exit to the conduit then the method can be applied to a network of
conduits. Wixcey (1992) has applied the method to such a network with the
Priessmann slot to accommodate surcharging. The value of the method is that
it readily models moving shocks; its disadvantage is that it is limited by the
stability criterion to small time increments and therefore to long computation
times. Other forms of the method are being investigated, including an implicit
form to get round the limitation on the time increment.
427
As computers become more powerful or as these schemes are exploited for

parallel processing then it is likely that they will become more popular in
commercial applications.
4.3 Implicit methods
Implicit methods have the advantage that they can be formulated to have good
stability characteristics for large time increments and can therefore exhibit
robustness in modelling very complex situations. For this reason most
commercial codes are based on one of two main methods:
(i) the 6-point scheme used in the commercial package MOUSE (see
Lindvall (1984)), and
(ii) the 4-point scheme used in the commercial packages CAREDAS
(see Cunge (1984)), SPIDA (see Richens (1985)), DAMBRK (see
Freade (1988)).
4.3.1 6-point scheme
Here Q and h are calculated at alternate points along the conduit with Q defined
at each end. h is then given by the water levels in the upstream and
downstream manholes. Care has to be taken in formulating the discrete
head losses at the ends of the conduit, and at structures. Generally, as in
MOUSE, the resulting finite difference equations are linearised in the dependent
variables. A connected set of algebraic equations for the Q and h along the
conduits, for the boundary conditions, and for h at manholes, is solved using a
standard matrix technique. Abbott (1979) has explored this scheme extensively
and it is well known to be efficient and robust. For details of MOUSE see Hoff-
Clausen (1981) and Lindvall (1984).
4.3.2 4-point scheme
Here Q and h are defined at each computational point along a conduit with
computational points at each end of the conduit. h is given by the water levels
in the upstream and downstream manholes and there is a discontinuous change
in water level between each manhole and the conduit due to the discrete
head losses defined at the upstream and downstream ends of the conduit. There
are similar discontinuous changes in water level at all control structures. Each
of these structures, like the definition of a normal discrete head loss, are defined
between a manhole and the end of a conduit. This offers the possibility, as in
SPIDA say, of building up complex structures consisting, for example, of several
pumps and a sluice, out of a number of conceptual links each representing a
single structure (pump, sluice, weir) and each connecting a given manhole to a
given conduit.
428
The 4-point weighted implicit finite difference scheme is based on the

approximations
of
Ox Ax
8 (e+J+11 _e+
J
1 ) + (1-8)
Ax
(fD fD)
j+1- j (34)
where 8 is the weighting parameter which for stability has to be >0.5. These
expressions are substituted in the dynamic and continuity equations to give
2"::\t(Q~+I_Q.D +Q~+I_Q.D) +J!.... (Q2)D+1_( Q2)D+1] +(1 (1-8) [( Q2)? _( Q2)?]

2 )+1 )+1 J J ..::\X A J+1 A J ..::\X A J+1 A J
8 D+1 D+1 ( 1- 8) D D 1 8 D+1 D+1 8 D D)
+g [2" (Aj+1 +Aj ) + 2 (Aj+1 +A;) ] trx
f
[ (Yj+1 -Yj ) + (1- ) (Yx+1-Yj ]
+i[( QIQI )?+1+( QIQI )?+1]+ (1-8) [( QIQI)? +( Q:Q: )?]-s

2 K2 J+1 K2 J 2 K2 J+1 K2 J 0
FO
(35)
and
(36)
This produces a large set of non-linear algebraic equations. Some

implementations of the scheme, as with the 6-point scheme, linearise this set
of algebraic equations in the increments during a time increment for the
dependent variables. However there are advantages in following Amein and
Fang (1970) and solving the set of algebraic equations over each time increment
using a Newton-Raphson strategy. This aims at producing a solution to the non-
linear equations at the forward time level using an iterative approach whereby
corrections are sought to improve the estimates of the dependent variables or
their increments over a time increment. The procedure can be described as
follows.
The flow in each conduit is described by discharges and water levels at a

number of regularly spaced computational points. Typically in most urban
429
drainage applications the spacing will be the order of 10m. The discharges and
water levels at adjacent points are linked through two non-linear equations. If
there are N points along the (single) conduit there will be 2N unknowns and 2N-
1 equations. The system has therefore to be completed by the two end
boundary conditions that link the discharges to the (discontinuous) changes in
water level between the ends of the conduit and the corresponding manholes
due to the additional head losses, if any.
The 2N non-linear equations are alilinearised. The 2N-2 linearised equations for
the (single) conduit form a banded matrix equation for which the unknowns are
the increments in the discharges and water levels along the conduit. This matrix
is manipulated to eliminate all variables except the discharge and water level
increments at the two manholes either end of the conduit. This results in two
equations of the form
(37)
where 6Q1' 6Y1' 6Q 2 and 6Y2 are the increments at the two ends of the
conduit. Similarly there is a sequence of recurrence relations relating the water
level and discharge increments along the conduit to the water level increments
at the ends. These are used to calculate the interior increments when the level
increments at the end of the conduit are known.
The two end boundary conditions are assumed to be of the general form
(38)
where Q j and Yj are the discharge and water level at the end i of the conduit,
and H lj is the water level at the adjacent manhole. This form includes all the
ancillary structure features that are normally included in urban drainage
modelling, with the possible exception of a long side weir.
The two end boundary conditions are linearised to yield two equations of the
form
(39)
430
Once the manhole water level increments are known Eq (39) are sufficient to
compute the conduit end water level and discharge increments.
To find the manhole water level increments the continuity equation can be
written as
(40)
where j labels all the conduits incident at the current manhole. Pi is the area of
the manhole and Bj takes the value + 1 at one end of a conduit and -1 at the
other.
The difference equation corresponding to Eq (27) yields a difference equation for

each node as follows
(41)
Eq (37), Eq (39) and Eq (41) are now manipulated to eliminate the discharge
increments from the linearised continuity equations in favour of the water level
increments at each manhole. This produces two equations of the form
(42)
where Ij is the manhole at the far end of conduit j.
This set of equations forms a sparse matrix with two off-diagonal non-zero
terms corresponding to each conduit in the network, and one diagonal non-zero
corresponding to each node. The off-diagonal terms represent the influences of
water level changes at either manhole on the other manhole. The order of the
matrix is equal to the number of nodes in the network.
SPIDA (see Richens (1985)) uses a commercial matrix solver to generate the
water level increments at the manholes. The procedure above is then reversed
to define the discharge and water level increments at the ends of each conduit,
and then the increments along the conduits. These increments are then used
to update the actual discharges and water levels at the new time level through
out the network, and this update is tested for convergence. If convergence has
been achieved for the current time increment then the calculations proceed to
the next time increment; otherwise the procedure is repeated for the current
time increment using the new calculated values in order to improve the solution.
The disadvantage of the iterative non-linear scheme as in SPIDA is that a

number of iterations have to be carried out at each time increment, rather than
a single iteration as with a linear scheme. Obviously the number will vary
431
depending on how rapidly the flow is changing in time. There are however
some considerable advantages in having an iterative scheme. The first is that
the same level of convergence can be achieved at each time increment implying
that there is a consistent and known level of accuracy maintained throughout
the calculations. There is no such guarantee of consistent accuracy with the
linearised schemes. Secondly there is a rationale for changing the time
increment. So, for example, if the flow is changing very slowly it is likely that
only one or two iterations may be needed to achieve convergence. Therefore
the time increment can be increased, such as doubled, for example. If only one
or two iterations are needed with the new, larger time increment then the time
increment can be doubled again, and so on. Similarly if a number of iterations
are required then there will be good reason to decrease, or halve, the time
increment. Because the iterative scheme should give quadratic convergence
then more than several iterations will certainly indicate a failure to converge and
the need to decrease the time increment.
Changing the time increment in this manner produces a very efficient solution
with consistent accuracy. Because of the significant and very rapid changes
that can take place in, for example, water levels at manholes in an urban
drainage system, it is found that time increments the order of a fraction of a
second may be required at some time in a simulation whereas time increments
the order of 450 secs may be appropriate during quiescent periods. However,
because the non-linear equations are being solved caution is needed to anticipate
when changes may occur suddenly; that is, the calculation has to avoid being
trapped into a solution that is not physically valid due to using too large a time
increment. For example, such a solution could occur if the water level is
predicted below the invert of the conduit. Some degree of 'intelligence' has to
be built into the software in order to make the calculations robust.
Initialisation of the water levels and discharges throughout a network is normally

required at a steady state. A number of different ways of defining the initial
flow have been used, but the one that seems to be most robust is by generating
flows from the assumption of no discharges anywhere in the system other than
an artificial base flow in each conduit; see below. The water level in each
manhole is set to the lowest invert of the outgoing conduits. The simulation is
then started with the initial dry weather and water levels at the outfalls phased
in linearly over a thirty minute period. Time increments can increase to a
maximum of 1920 secs and the weighting factor in the finite difference scheme
is set to unity during the initialisation in order to provide additional damping of
any oscillations. A steady state is assumed to have been achieved when there
is negligible change between successive time increments. Care is needed in
dealing with pumping stations where the pumps switch on and off according to
water levels in the wet-wells. It is preferable to avoid the oscillations generated
by the pumps switching on and off by linearly interpolating the discharge
through a pump according to the water level between the switch-on and switch-
off levels.
432
4.3 Problems with the implicit schemes
There are two well-known problems with the implicit techniques above. The
first concerns sub- and super-critical flows. The equations and solution
algorithms as formulated above are suitable for sub-critical flows but not for
super-critical flows. An implicit scheme that permits moving hydraulic jumps,
that is, with sub- and super-critical flow regimes, can be formulated (see Freade
(198x)) but such a scheme involves an unacceptable overhead for most urban
drainage applications. Although the velocity head can be important in steeper
conduits when the flow is varying rapidly most commercial methods tend to
drop the inertial terms as the flow approaches critical. So, for example, SPIDA
phases out the inertia terms according to a characteristic Froude number for
steep conduits, and dynamically with the actual Froude number for less steep
conduits. Full account of the surface gradient term is retained so that
downstream effects are simulated. SPIDA does not resort at all to the kinematic
wave approximation in that it is entirely inappropriate for surcharged flow.
The second problem concerns small discharges and low water depths. Unless
care is taken in the formulation of the finite difference scheme then two
solutions for water depth for a given discharge can be generated; see Fig 5. The
numerical solution may therefore oscillate between two flow states; see Cunge
et al (1980). One way of avoiding the instability is to modify the finite
Depth y
Critical
depth
FlowQ
Fig 5 Critical depth for low flows.

433
difference representation of the conveyance term in the dynamic equation. The

average of the upstream and downstream values is replaced by a simple
upstream weighting. If the inertial terms are not present in the dynamic
equation, that is, for steep conduits say, then this procedure guarantees
stability. If, however, any proportion of the inertial terms are retained then there
is still some risk of instability. This risk is minimised by correctly choosing the
space increment. Robustness is also assisted by assuming a small base flow
along each conduit which is input at the 'upstream' end and removed at the
'downstream' end.
5. Simpler models
Methods based on a full solution of the Saint Venant equations have been
limited until recently because of difficulties in making them robust for
commercial use. Indeed there continue to be difficulties with the various
methods, and each one has its own advantages and disadvantages. Therefore
simpler methods of modelling unsteady urban drainage flows have often been
preferred.
Another reason for adopting simpler methods has been that design methods,
that is, those methods used to prescribe the size and gradient of a conduit, have
had to be based on simpler techniques because in design only upstream effects
are taken into account; downstream effects have to be ignored. Additionally
sizing of a conduit assumes that it is sufficiently large to convey a calculated
design flow without surcharging. Consequently it has been argued that if an
urban drainage network is being designed then its performance to limit the
frequency of surface flooding should be demonstrated using a simulation method
that under free surface flow should convey the design event without surcharging
any conduit. This of course can only be done if the simulation method uses the
same algorithms for free surface flow as the design method.
Generally therefore the simpler simulation methods have grown out of the
modelling experience gained from designing networks. For this reason these
methods have been restricted to the simulation of flows in dendritic rather than
looped networks.
Various simplified routing methods have been used for free surface flow along
a conduit, ranging from the simple time lag method (linear kinematic wave), non-
linear kinematic wave, the Muskingum-Cunge method, and the diffusion analogy.
The real problem comes in dealing with pressurised flow in the conduits. As an
example of what can be done with the simpler methods we consider one such
method in some detail.
434
5.1 WALLRUS-SIM
WALLRUS was originally a design and analysis tool for urban drainage, that is,
it included a range of prescriptive design techniques and a simulation method to
assess the performance of the design for events rarer than the design event. In
particular the objective was to determine the frequency of surface flooding at
each point in the network; see Price (1981).
The simulation method is designed to reproduce the free surface flow conditions
generated by a hydrograph-based design method and is restricted to dendritic
networks of conduits. The surface flow is simulated using a linearised
Muskingum-Cunge technique whereas pressurised flow in any conduit is
modelled assuming the conduit is full and the pressurised flow equation is
applied to the whole conduit. This requires accurate book-keeping of those
conduits which have free surface flow and those that have pressurised flow at
any time during the simulation.
5.1.1 Pressurised flow equations
The finite difference equation for the Muskingum-Cunge method is described in

a previous lecture. Here we focus on the finite difference form of the
pressurised flow equation.
If we define
and
then Eq (10) and Eq (12) become

Ljk ..::lQjk n j 1 Ljk AKjk
- --n:- +hJc-hj+-O (..::lhk-..::lh) + ( - + - - )
gAjk at 2 J ~ 2g~i (43)
(Qj~+O..::lQjk) I Qj~ I =0
and
..::lVj ~ n 1 1 1
- - . (QI;;+-O..::lQ .. ) +Q'L+-..::lQjk-Q. --O..::lQ .
..::It 1. '2 IJ J.. 2 m 2 m
(44)
1
+Qout + 2 O..::lQout=O
435
where 8 is a weighting parameter defined here such that 1 ~ 8 ~ 2 and A takes

the value:
h.-e
A=min{ ~ ujk I l } (45)
h j -eujk
Here eujk is the upstream soffit level of conduit jk, and hj is the water level in
manhole j when the discharge in conduit jk is equal to the pipe-full discharge,
when there is no backup from manhole k downstream, and A = 1 The
expression for A states that the effect of the head loss at a manhole increases
linearly from zero to its full value as hj varies between eujk and ht.
From Eq (30):
(46)
LlQjK can now be substituted in Eq (31) to obtain an equation in Ll Vj' Ll V k and

Ll Vi alone, where Llhj = Ll V/Pj etc. Note that Pj will normally be the cross-
sectional area of the manhole or the area of surface flooding. The end result of
this manipulation is a set of linear equations in the dependent variables {Ll Vj} of
the form
(47)
where ~ = {Ll Vj} and A is a symmetrical matrix of variable bandwidth.
5.1.2 Transition between free surface and pressurised flow
Because different methods are used to calculate free surface and pressurised
flows then it is important to define the transition carefully. The modelling of
such transition must necessarily make some approximation to what happens in
reality and certain criteria are therefore needed to define whether or not a
conduit is pressurised or not. These criteria are as follows:
Conduit jk becomes pressurised if:
(48)
436
Here Bjk is 'surcharge' coefficient defined by

Lot AKjk
Bot=_J + _ _ (49)
J 2 2
Kjt 2gAjk
- -
Qjk is the pipe-full discharge and hj is h' k is the effective water level in manhole
k. Generally, if conduit k is not pressurised h'k = edjk . Then h\ is defined by
(SO)
where edjk is the downstream soffit level of conduit jk, d k, is the depth (or
diameter) of conduit kl and Ykl is the normal depth of flow in conduit k defined
using Bretting's equation or its equivalent. Conduit kl may however be
pressurised, in which case h' k = hk.
The flow in conduit j reverts to free surface flow if
(51)
Note that whether a conduit is surcharged or not may depend on backing up

from water levels in certain sewer ancillaries such as on-line tanks and pumping
station wet-wells, or on water levels backing up from outfall flaps. Similarly if
the water level in an on-line tank is less than the outgoing conduit soffit level
the flow in that conduit may still be pressurised in the reverse direction. In this
case hj is replaced by the effective water level e ujk '
5.1.3 Inclusion of upstream storage
A conduit may be the first pressurised conduit down a branch. In this case
back-up may occur into the conduit or conduits immediately upstream. This
back-up, in effect, provides additional storage which should properly be taken
into account when calculating the water level in the manhole upstream of the
pressurised conduit. The volume of storage in the manhole may take the form
(52)
437
where Sij is the surface area of the additional storage in conduit ij upstream and
edjk is the downstream soffit level of pipe ij. Sij is assumed to be the horizontal
projection of that part of the cross-sectional area for conduit ij which does not
contain any flow; see Fig 6. For simplicity it is assumed that the free surface
flow depth can be defined as having an average value in terms of the upstream
and downstream discharges and that Sij = 0 if hj = edij . The flow depth is
calculated using Bretting's equation for circular conduits.
Fig 6 Level pool effect
A difficulty with Eq (39) is that Sij is a function of discharge or depth, and

therefore of time. So
dV dhj dSij dyi dQij (53)
dt = (Pj+I:iSij ) dyi +I:i dYi dQij dt (hj-edi)
where Yi is the depth corresponding to the average discharge Qij along conduit
i. Pj + ISij is the effective plan area in manhole j and the additional term on the
right hand side of Eq (53) becomes a notional inflow or outflow to the manhole
depending on the sign of dQ;/dt. The value of dQ;/dt is calculated for each non-
pressurised conduit i from the numerical change in Oi over one major time
increment (as specified for the free surface flow calculation) and the values of
dO;/dYi and dy/dOij are calculated at the new time level
The values of Sij for different conduit sections are calculated by defining first the
normal depth and area of flow and then deducing the residual area from the total
cross-section. This area is then projected onto the horizontal using the known
conduit gradient.
438
5.1.4 Procedure
The method works as follows. At any given time in the simulation the conduits
are considered in end order, that is, the order in which they would be considered
in doing a design, in which no conduit can be designed until all of the conduits
upstream have been designed.
(i) A test is made on a given conduit to see whether or not it is

surcharged. The test for surcharging includes
(a) Is the conduit surcharged because the (average) discharge

along the conduit exceeds the pipe-full capacity?
(b) Is the conduit surcharged because the water level

downstream is above the downstream soffit and the
hydraulic gradient necessary to drive the flow through the
conduit is such that the upstream water level would need to
be above the upstream soffit?
Note that these tests are made on the current flow information in
the conduit and the new discharge into the conduit at the upstream
end form conduits upstream or from rainfall-runoff to that conduit.
(ii) If the conduit is not surcharged then the new discharges along the
conduit are calculated using the Muskingum-Cunge algorithm
which is directionally explicit and beginning at the upstream end of
the conduit. Typically a time increment the order of 15 to 30 secs
is used.
(iii) If the conduit is surcharged then the pressurised flow equation

cannot be used to solve for flow along the conduit until it is known
whether or not the downstream conduit is pressurised. Therefore
the surcharging test is carried out on the downstream conduit.
(iv) If the downstream conduit is not surcharged then it is assumed

that the current conduit is the downstream member of a connected
surcharged group of conduits. The pressurised flow equations for
each conduit, together with the relevant upstream manhole storage
equations, are then solved simultaneously using, say, a linearised
implicit technique. Because of the rapid changes in water level
that can take place in manholes upstream of conduits that are
surcharged because the discharge is greater than the pipe-full
capacity then the solution of the pressurised flow equations is
439
restricted to one second time increments. This implies that a

number of time increments are needed to make up the major time
increment used for the free surface flow calculation. Because the
number of conduits in a surcharged group can change significantly
between one major time increment and another then it is important
not to make the major time increment too large in order to keep the
change in number of surcharged conduits as small as possible
between major time increments.
(v) If the downstream conduit is surcharged then the current conduit

is stored on a stack as it is a member of a connected group of
surcharged conduits. The flow in the current conduit will not be
calculated until the downstream conduit of the group has been
located.
(vi) The method then moves on to the next conduit in end order.
Because the network is branched then this conduit could be at the
top end of a joining branch.
Each conduit is dealt with in order until the system outfall is reached. The
method then returns to the first conduit and begins again at the new time level
and for the next major time increment.
A difficulty with this type of method is in dealing with the internal boundary
conditions at control structures such as weirs, sluices and pumping stations.
Where there is free surface flow upstream and downstream of such a structure
the flow over or through the structure can be dealt with explicitly. Otherwise
for pressurised flow the equations describing the flow have to be included in the
linearised set of equations for the connected surcharged group of conduits.
Where flow is diverted to another part of the network then, provided the conduit
receiving the flow is at the top end of a branch, is not surcharged, and the
calculations for the branch have yet to be done, the method can accommodate
loops in the network to this limited extent. Generally reversed flow back from
the connecting branch downstream of the overflow is not permitted in this
method.
440
6. Application of simulation models
Event 1 Pipe 1 U Event 1 NodeS
0.20 1.8
0.16 1.4
] .<=
ii
u. ~
0.12 1.0
0.08 2.6
0.04 2.2
10 20 30 10 20 30 40 50 60
lime(m) lime(m)
(A) Upstream inflow (8) Water level at node 5
10 20 30 40 50 60
lime(m)
(C) Upstream flow into pipe 22
Fig 7 Results for Oresrund Sewer
A difficulty with the verification of urban drainage simulation models is that the
full models include a number of sub models such as rainfall generation and
surface runoff. These models are well known to have significantly greater errors
than the simulation models, particularly those which solve the full Saint Venant
equations. One well known set of data that does not include the vagaries of
rainfall and runoff is from experiments on the Ores und sewer in Denmark; see
Per Jacobsen (1983). This is a length of sewer which is 2km long and the input
can be controlled by pumping from upstream. A difficulty with this data set is
the uncertainty about the roughness of some lengths of the sewer where there
is know to be penetration by tree roots. Application of the SPIDA model is
shown in Fig 7; see Richens (1985). Generally this is the sort of accuracy that
can be obtained without considerable attention to variations in roughness.
441
Besides the problems of rainfall and rainfall-runoff there are also issues of
sedimentation and water quality. Generally these are regarded as being beyond
the scope of this lecture. However fixed bed sedimentation does increase the
magnitude of the roughness in the pipes and this has to be taken into account
when calibrating a model. Whereas the roughness of a clean pipe may be as
small as O.3mm large scale sedimentation in conduits can increase the
roughness height to more than 100mm. At this scale the roughness elements
can be of a similar order to the size of the conduit. Care is therefore needed to
ensure that the conveyance function does not give negative values for small
depths of flow the order of the roughness height.
7. Conclusions
We have explored a number of alternative methods for simulating flows in urban

drainage networks. The simpler methods have been used widely in the past but
are limited by their inherent hydraulic approximations and assumptions such that
they are largely inappropriate for the flatter looped networks of drains. This
leaves the full solution methods. Generally it is difficult to distinguish between
these methods in terms of accuracy of reproduction of observed flows. Instead
other criteria have to used namely robustness, speed of calculation, need for
special hydraulic effects.
So far as robustness is concerned then commercial methods like CAREDAS,

MOUSE and SPIDA appear to be superior, largely because of their
commercialisation. Speed of calculation however is a different matter. Here we
have yet to see significant advances which are being made possible by recent
research. For example, a limitation of the implicit methods is the use of the
same time increment throughout the network at any given time. Yet the need
for a small time increment is dictated by very localised requirements such as
where there is a transition between free surface and pressurised flow.
Elsewhere larger time increments could be used. This affects speed of
calculation. If a way can be found of isolating those parts of a network where
a small time increment is required, such as in WALLRUS-SIM, then it is
reasonable to assume that there could be significant gains in speed. However
this does not appear possible with the implicit methods. Consequently attention
is being given again to the explicit methods, such as Roe's scheme, in the hope
that a spatial variation in time increment can be used with the added advantage
that particular hydraulic phenomena such as moving hydraulic jumps can be
accurately reproduced with the minimum of effort.
There is little doubt that there will continue to be vigorous development of urban
drainage simulation models for some time to come.
442
8. References
Abbott, M B, 'Computational Hydraulics: Elements of the Theory of Free

Surface Flows', Pitman Publishing Ltd, London, 1979.
Amein, M and Fang, C S, 'Implicit flood routing in natural channels', J Hyd Div,
ASCE, 96, HY12, 1970, pp 2481-2800.
Archer, B, Bettess, F, and Colyer, P J, Headlosses and air entrainment at

surcharged manholes', Report IT 185, HR Wallingford, UK, 1978.
Bretting, A E, A set of practical hydraulic formulae based on recent experimental

research; comparison with older formulae. Appendu 24, 2d Meeting,
International Association of Hydraulic Structions Research, Stockholm, Apr. 7-9,
1948, pp 20.
Cunge, J A, and Wegner M, 'Integration numerique des equations d'ecoulement

de Barre de Saint-Venant par un schema implicite de differences finies.
Application au cas d'une galerie tantot en charge, tantot a surface libre', La
Houille Blanch no 1, pp 33-39, 1964.
Cunge, J A Holly, F M and Verwey A, 'Practical Aspects of Computational River

Hydraulics, Pitman Publishing Ltd, London, 1980.
Cunge, J A, and Mazaudou B, 'Mathematical modelling of complex surcharge

systems: Difficulties in computation and simulation of physical situations', Proc
3rd Int Conf on Urban Storm Drainage, Goteborg, Sweden, 1984, Vol 1, pp
363-373.
Freade D L, The NWS DAMBRK Model: Theoretical Background/User

Documentation HRL-256, Hydrologic Research Laboratory, National Weather
Service, Silver Spring, Md., 1998.
Garcia-Navarro P, and Saviron J M, 'McCormack's method for the numerical

simulation of one-dimensional discontinuous unsteady open channel flow', J
Hydr. Res., Vol 30, No 1, 1992, pp 95-106.
Gomez, M, Poez, A, Dolz, J, 'Transients, free surface, pressure flow, slot width
sensitivity analysis' Hydraulic Engineering Software IV, Elsevier, 1992, pp 419-
430.
Hoff-Clausen, N E, Havno, K, and Kej, A, 'System 11 Sewer - a Storm Sewer

Model', Proc, 2nd Int Conf on Urban Storm Drainage, Urbana, Illinois, 1981.
443
Howarth, D A and Saul, A, 'Energy loss coefficients at manholes', Proc 3rd Int.
Conf on Urban Storm Drainage, Goteborg, Sweden, Vol 1, pp 127-136, 1984.
Jacobsen, Per, 'Surcharged sewer simulation', DIF's Spildevandskomite, 1983.
Linberg, S, and Jorgensen, T W, 'Modelling of urban storm sewer systems',

Proc Int Symp on Comparison of Urban Drainage Models with Real Catchment
Data, Dubrovnik, Yugoslavia, 1986, pp 171-181.
Lindvall, G, 'Head losses at surcharged manholes with a main pipe and a 90 0

lateral', Proc 3rd ICUD, Vol 1 , Chalmers Univ of Technology, Goteborg, Sweden,
pp 137-146,1984.
Price, R K, , Wallingford Storm Sewer Design and Analysis Package', Proc 2nd
Int Conf on Urban Storm Drainage, Urbana-Champaign, Illinois, 1981.
Priestley, A, 'Roe-type schemes for super-critical flows in rivers', Numerical

Analysis Report 13/89, Dept of Maths, Univ of Reading, 1989.
Priestley, A, 'A quasi-Riemann method for the solution of one-dimensional

shallow water flow', Numerical Analysis Report 5/90, Dept of Maths, Univ of
Reading, 1990.
Priessmann, A, 'Propagation des intumescencs dans les canaux et rivieres', 1st

Congo French Assoc for Computation, Grenoble, 1961.
Richens, P, 'Development of an accurate simulation model for urban storm

sewers', Report IT297, HR Wallingford, Wallingford, 1985.
Roesner, LA, Shubinski, R P, Aldrich, J A, , Stormwater Management Model -

User's manual version III', US EPA, 1983.
Sweby, P K, 'High resolution schemes using flux limiters for hyperbolic

conservation laws', SIAM J Num Anal, 21, 1984.
Wixcey, J R, 'An investigation of algorithms for open channel flow calculations' ,

Dept of Maths, Univ of Reading, 1992.
Wixcey, J R, Lewy, M, and Price, R K, 'Computational modelling of highly

looped networks of storm sewers', Proc Hydrosoft'92, Elsevier, 1992.
Yen, B C, 'Urban drainage hydraulics and hydrology: From art to science', 4th
Int. Conf. on Urban Storm Drainage, Lausanne, Switzerland, Vol 1, pp 1-24,
1987.
Yen, B C, 'Methodologies for flow prediction in urban storm drainage systems',

Rep no 72, Dept. Civil Engng, U. of Illinois at Urbana Champaign, 1973.
Part II
Pressurized Flows
15
DERIV ATION OF ONE-DIMENSIONAL CONSERV ATION
EQUA TIONS OF PRESSURE TRANSIENTS
C. SAMUEL MARTIN
School of Civil Engineering
Georgia Institute of Technology
A tlanta, Georgia 30332
United States of America
ABSTRACT. The one-dimensional partial differential equations of mass and momentum

are derived by applying control volume methods to an elastic conduit containing a
compressible fluid. The derivation is accomplished by choosing a control surface to be
represented by a differential element having cross sections (ends) fixed in space and wall
boundary coincident with the pipe wall. By not including the pipe wall itself in the control
volume the developed relationships do not directly include effects of the structure other
than those of radial motion.
1. Introduction
The one-dimensional transient flow equations of mass and momentum conservation can
be best derived by application of both the general transport and the Reynolds transport
theorems.The Reynolds transport theorem is used widely in two- and three-dimensional
problems in fluid mechanics with various complexities. The concept of control volume and
control surface is quite appealing for compressible fluids as well as for elastic boundaries
that occur in closed-conduit transient situations. While most applications of the Reynolds
transport theorem are for fixed control volumes, in waterhammer problems with elastic
pipes the more general case of a moving and deforming control volume must be carefully
employed.
The conservation laws of mass, momentum, and energy must be directly applied to the
fluid system; that is, a collection of fluid mass or some definition of fluid particles. While
the system approach is convenient for particle or rigid-body dynamics, this Lagrangian
approach is normally not convenient in fluid dynamics, in particular for unsteady flows.
Instead of applying the Lagrangian approach of following individual fluid particles,

nearly all fluid dynamicists prefer the Eulerian method of observing the passage of fluid
through a fixed space, often referred to as a control volume. In fluid transients, however,
the control volume is often moving and deforming, creating some difficulty in the correct
447
448
formulation of the proper differential equations.
The Eulerian approach can be formulated by mathematically relating the conservation

laws, which only apply to systems, to control volumes. This transformation, based upon
sound mathematical principles, is called the Reynolds transport theorem, which provides
the relationship between the control volume and its control surface to the basic
conservation laws of mass, momentum and energy for the moving and deforming volumes.
Subsequent to the treatise by Truesdell and Toupin [1], Hansen [2,3] developed a
general transport theorem based strictly upon mathematical relationships. As shown by
Whitaker [4] and Slattery [5], this general theorem is related to any volume, not nec-
essarily a fluid system or control volume. It also invokes Green's theorem relating a
volume integral to a surface integral. If S is any extensive property, or simply a variable,
then
-dS = -as + V-(SW) (1)

dt at
where w is the velocity of the surface of any arbitrary volume '<taCt). From Eq. (1) the
general transport theorem can be expressed as
General Transport Theorem for A ny A rbitrary Volume '<taCt):
!! f Sd'V = f as d'V f V-(SW)d'V

+ (2)
dt Va(t) "lit) at va(t)
The third term including the divergence can be related to a surface integral by Green's
Theorem
f V-(SW)d'V f S(w-fl)dA = (3)

Va(t) Ait)
where ii is the outward normal. Using Green's Theorem for an arbitrary volume '<taCt), the
general transport theorem, Eq. (2), can be applied to a control volume '<t(t) in space
occupied by fluid
!! f Sd'V = f as d'V f S(w-fl)dA

+ (4)
dt Vet) Vet) at A(t)
Moreover, the general transport theorem, Eq. (2), which is valid for any arbitrary volume
'<ta(t) , can also clearly be applied to a system of fluid mass with volume '<ts(t) and system
surface area As(t), as follows:
449
General Transport Theorem for Fluid System Volume \I.(t) :
!!.- JSd'r/ = J as d'r/ JS(Veii)dA + (5)

D t "'s(t) "'it) at As(t)
where V is the velocity of fluid particles, not necessarily that passing through the control
surface. Note that the material derivative applies to the first term. The Reynolds transport
theorem can be formulated to link the conservation laws for a system to the control
volume and control surface by use of Eqs. (4) and (5). These two equations are linked
together at the same instant for which \ls(t) = \I(t) and A,(t) = A(t). Hence the second term
in both equations is equal. Clearly the first term and the third term of the respective
equations are not equal inasmuch as the former corresponds to different definitions of the
derivatives, and the latter integrals relate to different velocities in general. By combining
Eqs. (4) and (5) we have
Reynolds Transport Theorem for Control Volume \I(t) :
!!.- JSd'r/ =!! JSd'r/ JS(V - w)endA + (6)

D t "'s(t) d t "'(t) A(t)
where the vector Vr = V - w is referred to as the relative velocity between fluid and
control surface. Equation (6) relates the system variation on the left-hand side to that of
the control volume on the right-hand side. The conservation laws of mass, momentum and
energy are invoked for the system on the left-hand side of Eq. (6). We define S to be an
extensive property and B an intensive property per unit mass such that S = pB. Therefore
we have, for conservation of mass and momentum
Summary of Values of Sand B for Mass and Momentum
Conservation Extensive Property, Intensive Property, L. H. S. of

Law S B Equation (6)
Mass p 1 0
Momentum
pV V I:.P
2. Control Volume of Pipe Section
The Reynolds transport theorem can now be applied to a section of elastic pipe through
which a compressible fluid is flowing. The volume integral term on the right-hand side of
Eq. (6) can either be for an elastic conduit with (a) cross-sectional slices that move with
450
the conduit wall or Cb) slices fixed in inertial space. If the limits on this volume integral
are variable, Leibnitz's rule must be invoked. The sketch below in Figure 1 is chosen with
the cross-sections at each end of dx fixed in space for convenience.
~ ~
-- -
~ ~~ ~ w=o
V=w(Y,=O)
~ ~ ~~ ~ PAY + :x(PAV)~X
V V=w(Y,=O)
~~ - --
w=O
Figure 1. Control Volume of Fluid Element with Ends Fixed in Space
For Figure 1 the following quantities are defined:
'it.Ct) = Volume of system
'itCt)= Control volume
ACt)= Area of control surface
v = Velocity of fluid
w = Velocity of control surface
v, = V - w = relative velocity
d'it = A dx
B = Intensive property per unit mass
B = 1 for mass conservation
B= V for linear momentum

451
Assuming that the fluid remains in contact with the walls, V = wCVr = 0) on the conduit
surface. On the fixed ends w = 0 and V is as shown. For these assumptions the Reynolds
transport theorem may be expressed as
Reynolds Transpon Theorem in terms of Vr = V - w"

(7)
3. Continuity (B= 1, S = p) :
Since the integrand Sd'<i= pd'<i=dm , the integral on the left-hand side of Eq. (7) is zero
from the law of conservation of mass for a non-reacting fluid, resulting in
(8)
or
tJ.x
o = !!fpAdx + ~ p (V -fl)A (9)

dt L.J r
o
The limits '<i(t) and A(t) are for the control volume. For the volume integral the differential
becomes dx, and the limits constant from 0 to Llx. For one-dimensional flow at each end
of the control volume, the surface integral can be resolved into two summations since
Vr = 0 on the wall, yielding
(10)
Upon referring to Figure 1, and recognizing that Llx is a constant
a
o = -(pA)ll.x a
+ pAY + -(pA Y)ll.x - pAY (11)
at ax
which can be reduced to
o =[~(PA) + ~(pA Y)]ll.X (12)

at ax
452
Dividing by Ax and taking the limit
a
-(pA) +
a
-(pA V) =0 (13)
at ax
4. Linear Momentum (B = V, s = P V) :
The surface forces of pressure p and shear 'to are shown on the control surface in
Figure 2, along with the body force of weight.
p+oP ~X
oX
pA+ gx(PA)~X
PAy2+ gX(PAy2)~X
pA p+ oP ~x
oX
Figure 2. Forces and Stresses on Control Volume and Control Surface
The Reynolds transport theorem, Eq. (6), can now be now applied to linear momentum as
explained above for S = P V, yielding
~-
L.JF =- - + f pV(Vrefl)dA
df pVdV -- (14)
dtV(t) A(t)
Taking the component of the force equation in the flow or x - direction, Eq. (14) becomes
(15)
453
Equation (15) can be expanded term-by-term to
pA 1[
+ -
2
p + p + -ap]aA
fl.x -
ax ax
a
fl.x -pA - -(PA)fl.x
ax
(16)
Since W = pg~, P = nD for a circular pipe, and sin e = !J.zJAx = dzldx, we have:
1. ap aA fl.x2 + p aA fl.x - ~(PA) fl.x - pgA fl.z - 't P fl.x

2axax ax ax 0
(17)
= ~(pA Y)/l.x + pAV2 + ~(pAV2)fl.x - pAV 2

at ax
Dividing by Ax:
1. ap aA fl.x - A ap - pgA Bz - 't P = ~(pA Y) + ~(pA V2) (18)

2 ax ax ax ax 0 at ax
Finally, in the limit, as l!.X~O
- A lap + pg Bz] - 't P = ~(pA Y) + ~(pA V2) (19)

ax ax 0 at ax
Or
_ pgA[-1-ap +az]_
- 't p -_ v[ a(pA) + _a(.:.!.-PA_Y)~]
pg ax ax 0 at ax
(20)
+ pA
av + v av]
[iii ax
Letting the piezometric head be defined by H = p/pg + z, and recognizing the term on the
right-hand-side of Eq. (20) that satisfies continuity, Eq. (13), the linear momentum
equation can be expressed as
454
aH - 't P = pA [av
- pgA- av]
- + V- (21)
ax at
0 ax
Or, in non-dimensional form
![av + vav] = _ aH _ 4'to (22)

g at ax ax pgD
If m= dmldt is the mass flow rate along the conduit, the continuity equation, Eq. (13),
can be written as
a(pA) = _ a(pA y) = _ am (23)

at ax ax
Equation (23) shows that both fluid compressibity through p, or conduit elasticity via A,
can affect the gradient of mass flow m along the conduit. The fluid bulk modulus is
defined as
K = dp (24)
dp/p
For circular conduits for which pl2 E I(D/e), the elastic modulus can be expressed
E=D--.!!:L (25)
e dAIA
Equation (23) can now be written in terms of pressure change ap
an
_r_ + an
v_r_ + pa 2 _av = 0 (26)
at ax ax
where
Kip
a = (27)
DK
1 +--
e E
Referring back to the pressure form of momentum, Eq. (20) , rather than the piezometric
455
head fonn, Eq. (21)
av + Vav
-
1 ap . 4 "t
- + - - +gsm6 + - - =0
0
(28)
at ax p ax pD
Equations (26) and (28) are the one-dimensional equations of mass and momentum,
respectively, in pressure fonn.
5. VariOllS FODDS of Conservation Equations
Although the pressure fonn of the conservation equations can be used, the use of
piezometric head H through
p = pg[H -z] (29)
is quite convenient. Earlier this relationship was applied without allowing p to be a

variable in this definition. Allowing p to vary and employing the bulk modulus K, Eq. (29)
is differentiated to yield
dp = p g [dH-dz] (30)
1- P
K
The continuity and momentum equations therefore become
(31)
and
(32)
If Eqs. (31) and (32) are to be employed instead of Eqs. (26) and (28), then the
corresponding fonn of the fonner needs to be applied for initial conditions. For cases for
which p / K 1 we get the following standard fonn in both references Chaudhry [6] and
Wylie and Streeter [7]
456
aH aH . a 2 av
-+V-+Vsm6+--=0 (33)
at ax gax
and
av
-+V-+g-+--=O
av aH 4't"o
(34)
at ax ax pD
Normally the V sine term is neglected as well as the terms yaH/ax and yay/ax, which
can be shown to be of the order of the Mach number, yielding
(35)
and
av +g-
-
aH +4't"o
- - =0 (36)
at ax pD
6. Steady Flow
Regardless of the equations employed, the initial conditions should be a subset of the
general unsteady pair, as concluded by Wylie [8]. As shown by Martin and Naghash [9],
for a rigid conduit
d(pY) = 0 (37)
dx
clearly showing a variation of V with x for a compressible fluid, notwithstanding a similar
influence for an elastic conduit. For ap/at =0 Eq. (26) can be expressed
(38)
dx
If the pressure gradient is eliminated from Eqs. (26) and (28) the velocity for steady flow
conditions becomes, with use of the Darcy-Weisbach f
457
(39)
Moreover, the gradient of piezometric head is
1_ p]/y2
dH K 2gD (40)
dx
For small values of p/K and low Mach numbers (Via 1), Eq. (40) reduces to the well
known hydraulic gradient for steady flow
dH = _ /y2 (41)
dx 2gD
In conclusion, any pair of the above continuity and momentum equations may be
employed, depending upon the degree of detail required, but the initial conditions need to
be a subset of the pair chosen.
7. References
1. Truesdell, C., and Toupin, R. A., in Handbuch der Physik, Edited by S. Fliigge,
Springer-Verlag, Berlin, 1960.
2. Hansen, A. G., "Generalized Control Volume Analyses with Application to the Basic
Laws of Mechanics and Thermodynamics", Bulletin Mechanical Engineering
Education, Vol. 4, 1965, pp. 161 - 168.
3. Hansen, A. G., Fluid Mechanics, John Wiley and Sons, 1967.
4. Whitaker, Stephen, Introduction to Fluid Mechanics, Prentice-Hall, 2nd Edition, 1968.
5. Slattery, John C., Momentum. Energy. and Mass Transfer in Continua, Robert E.
Krieger Publishing Company, 1st edition, 1981.
6. Chaudhry, M. H., Applied Hydraulic Transients, Van Nostrand Reinhold, 2nd Edition,
1987.
7. Wylie, E. B. and Streeter, V. L., Fluid Transients in Systems, Prentice-Hall, 1993.

458
8. Wylie, E. B., "Fundamental Equations of Waterhammer", Proceedings ASCE, Journal

of Hydraulic Engineering, Vol. 110, No. HY4, April 1984, pp. 539-542.
9. Martin, C. S. and Naghash, M., Discussion of "Fundamental Equations of

Waterhammer" by E. B. Wylie, Proceedings ASCE, Journal of Hydraulic Engineering,
Vol. Ill, No. HY8, August 1985, pp. 1192-1194.
16
NUMERICAL METHODS FOR SOLUTION OF
GOVERNING EQUATIONS
A.P. BOLDY
HYDROtransient SIMulation Unit
Department of Engineering
University of Warwick
Coventry CV 4 7AL
England
ABSTRACT. A review of the history of the developement of techniques for the simulation
of transient flow is presented. Since the method of chamcteristics is generally accepted as
the most suitable solution method for the basic equations describing transient flow, it is
presented in detail.
1. Historical review
The literature relating to pressure transient, or waterhammer as the subject is known, is
extensive and covers the last 100 years. Contributions to the literature range from the
purely theoretical, such as early attempts to use Laplace transforms, through discussions
of analysis methods to reports of particular transient conditions in individual plant or fluid
systems.
It would be inappropriate to include much of this in the present text and the scope of this
review will be restricted to the development of the basic theory of transient propagation,
the development of modern analysis techniques, concentrating on the use of finite difference
based computing models.
1.1 FOUNDATION OF WATERHAMMER THEORY
The first recorded work on waterhammer was due to Weber (1865) and Michaud (1878)
who noted the oscillatory nature of the phenomenon and the influence of pipe elasticity;
neither realised the connection to the earlier work on sound wave propagation that can
be traced back to Euler's solution of the wave equations in 1750. During the 100 years
following Euler's work the data on sound waves was extended by D'Alembert, Bernoulli,
Young, Savant and Liscovious and E.H. and W. Weber. In 1848 Wertheim noted that the
acoustic velocity in water submerged organ pipes was less than that predicted by the wave
speed expression
Co = (~r5 , (1)
459
M. H. Chaudhry and L. W. Mays (eds.), Computer Modeling of FreeSurface and Pressurized Flows, 459-484.
460
which is appropriate for an unconfined mass of fluid; Helmholtz attributed this to the
elasticity of the pipe walls in the same year.
Korteweg (1878) established equation (2) for wave speed in a fluid contained within an
elastic conduit by assuming that the longitudinal and bending stresses set up in the pipe
wall could be ignored and that the wavelength was long compared to the pipe diameter and
this has remained the basis for much later work.
e-t
C 1
(2)
Co = (1 + 5
Experimental work by Kundt, and other workers confirmed this expression within limits of
-10% to 4%.
Lamb (1898) extended this work to include longitudinal stresses, obtaining a cubic
expression in c, with two finite roots related to a fluid borne wave speed slightly less than
that predicted by Korteweg and a pipe wall borne wave speed lower than the acoustic
velocity for the wall material, due to the presence of the fluid.
At this time Joukowsky (1900) published the results of a comprehensive experimental
programme undertaken in the Moscow Water Works that laid the foundations of all subse-
quent water hammer analysis. Joukowsky's work is notable as it derived for the first time
the relationship between surge pressure rise, wave speed and the change in fluid velocity.
For an instantaneous flow stoppage Joukowsky developed the expression:
/:lp = pCVo . (3)

In the development of this expression Joukowsky realised the importance of wave speed
and the significance of wave reflections within the pipe system, introducing the concept of
pipe period, ie. the time taken for a generated wave to travel to a reflecting boundary and
return.
The results presented in Simin's 1904 translation show agreement within 15% on
pressure measurement and 2% on wave speed, remarkable achievements for the instru-
mentation employed. Joukowsky for the first time established a rational explanation for the
complex pressure variations experienced within pipe networks by introducing the concept
of reflection and transmission at pipe boundaries, by recognising the importance of pipe
period and by developing an expression linking pressure rise to fluid density, wave speed
and velocity change.
While Joukowsky is generally credited with the foundation of waterhammer theory,
there is evidence, presented by Wood (1970) that an American researcher, J.P. Frizell,
developed similar expressions linking pressure variations to wave speed and flow velocity
for sudden valve closure in 1897.
During this period Allievi was active in Italy and in his Notes 1-4, (1903-1913), es-
tablished the Joukowsky relationship by making the same assumptions as Joukowsky and
Korteweg, namely a frictionless pipe, uniform pipe dimensions, an homogenous wall mate-
rial, and a uniform velocity distribution. Allievi developed the wave equations by ignoring
the convective terms, for example:
(4)
461
which may be solved by a general method proposed by Rieman and d'Alembert yielding:
P-Po=F(t+x/c)+/(t-x/c) , (5)
where x is measured in the initial flow direction and FO and 10 represent waves propagated
in the -x and +x directions respectively.
Allievi used equation (5) to extend Joukowsky's results to slow valve closures, ie. valve
closures that take longer than one pipe period. This definition of time in terms of pipe peri-
ods is central to the understanding of pressure transient propagation. Allievi also extended
Joukowsky's work to allow prediction of pressure variations at points along a pipeline, rather
than just at the closing valve, introducing the first graphical analysis technique, based upon
wave superposition.
Many of the simplifications introduced by Joukowsky and Allievi have now been dis-
pensed with, for example friction is normally included in modern analysis techniques and the
influence oflongitudinal stresses in the pipe wall is now routinely included via a coefficient,
C', introduced by Parmakian (1955) into Korteweg's wave speed expression:
c 1
- = (6)
Co (1 + (W) C') 05'
.
where C' is dependent upon pipe restraint and Poisson's Ratio. However Halliwell (1963)
has shown that variations in Young's Modulus, E, have a greater effect on wave speed.
Thus the basic concepts of waterhammer theory were established by 1913 and have
proved accurate up to the present day. The means to analyse transient phenomena in
fluid systems however would have to wait a further 50 years until the advent of fast digital
computing.
1.2 DEVELOPMENT OF WATERHAMMER ANALYSIS FROM 1910 TO 1950
It was 1925 before an English translation of Allievi's work was generally available. In the
interim a number of other researchers were active, Gibson, de Sparre and Rateau in Europe,
Carpenter and Barraclough (1894), Peak (1900) in the USA, Kennedy (1964). During this
period Johnston (1915) developed a rigid column theory and Gibson (1920) independently
developed an equivalent to Allievi's method.
In addition a series of approximate methods were proposed some individually, ego Ven-
sano and Warren (1915), and others based on partial translations of the earlier European
research. The use of the approximations without an understanding of their limitations or
their basic assumptions led to a wide range of predicted pressure surge levels for any partic-
ular case. Contemporary approximations were later compared by Kerr (1968) for a typical
valve closure and resulted in predictions from 65% to 535% above the observed pressure
surge level.
During this period the expansion in the number of large scale water distribution net-
works and hydro-electric plants, particularly in the USA, made the provision of an accurate
design and analysis method vital, and this became available in the early 1930's due to the
work of Loewy (1928), Schnyder (1929) and Bergeron (1932), (1957),tracable to the earlier
work of Massau (1900). For some reason Loewy's contribution is often neglected and the
developed technique is normally referred to as the Schnyder-Bergeron graphical method.
462
The major advantage of this graphical technique was the inclusion of friction by means
of discrete pressure drops, referred to as friction joints, along the length of the pipeline
analysed. The disadvantages included the possibility of cumulative graphical errors, the
inherent complexity accompanying accurate friction modelling and the inability to use the
technique as an iterative design tool prior to the computerisation of the technique in the
early 1960's, ego Thorley and Enever (1979).
This period did however see an enormous increase in interest in waterhammer as an
engineering problem, particularly in the USA where AS ME and ASCE held symposia in
1933 and 1937. Angus (1935), (1937), (1939), presented a series of papers in this period de-
tailing the application of the graphical technique to a wide range of installations commonly
encountered. More recently Marples (1966) and Pearsall (1966) presented papers on the
application of the graphical method, while Harding (1966) presented the first computerised
version, therby overcoming many of the technique's shortcomings.
A number of analytical solutions to the complete wave equations were proposed during
this period, generally involving the linearization of the friction term. Wood (1938) intro-
duced Heaviside operational calculus and presented a solution for a simple pipeline and
instantaneous valve closure. Rich (1945) proposed the use of the Laplace-Mellin transform
for the same simple case. Both solutions linearized the friction term, poor approximation in
the basically turbulent flow regime normally associated with surge events, and both resulted
in complex mathematical solutions for even the simplest surge case.
Thus up to the mid 1950's the best available technique was the Schnyder-Bergeron
graphical method, indeed texts detailing the application of this methodology were still be-
ing published as late as Pickford (1969), well into the next developmental stage, namely
the use of digital computing allied to the finite difference based method of characteristics.
1.3 THE INTRODUCTION OF DIGITAL COMPUTING METHODS 1950-1970
The method of characeristics is a general mathematical method that is particularly suited

to the solution of pairs of quasi linear hyperbolic partial differential equations linking two
dependent and two independent variables. The equations defining pressure transient prop-
agation and surge pressure levels within fluid piping systems and wave propagation in open
channel or partially filled pipe flow belong to this family of problems.
The method was first proposed by Rieman in 1860 while he was studying finite ampli-
tude sound wave propagation in air. In 1900 Massau employed the method in a study of
unsteady flow in open channels. The first application to pressure transient analysis was
due to Lamoen (1947), while two later contributions by Gray (1953), (1954) received wider
attention. Neither author considered the use of a computer. Following Gray's work a con-
siderable number of papers were presented in the USA employing this technique, among
the first being Ezekial and Paynter (1958) and most significanly Streeter with a range of
co-authors, (1962), (1966), (1967), (1969). Much of the published work rested on the pre-
sentation of the method of characteristics by Mary Lister (1960), which remains the basis
for the analysis techniques in this text.
In the UK and Europe interest in the use of the method of characterisics developed
rapidly with papers by Fox (1968), Evangelisti (1969), Swaffield (1970) and by the early
1970's this technique was established as the standard technique for transient analysis, a
fact clearly evident in the wide range of international papers presented at the first BHRA
463
Pressure Surge conference in 1972.

Streeter and Lai (1962) claimed that the method of characteristics was the equivalent
of treating the frictional loss as a uniformerly distributed loss along the whole pipeline.
However this is strictly not the case, rather the method extends and improves upon the
graphical technique's friction joint approach by utilising the computers ability to introduce
as many friction joints as the analyst would wish, thus allowing the model to approach the
continuously distributed friction loss case. This discussion was active in the 1960's, partic-
ularly supported by the last users of the graphical technique. Reference to a description
of the graphical method and a comparison to the method of characteristics solution will
reveal more similarities than differences between the two approaches, ego Enever (1970).
Both rely on the modelling of the transmission of changes in flow conditions through the
pipe network along lines in the time - distance plane whose slopes are determined by fluid
density and wave speed, and both represent frictional losses at discrete locations based
upon the application of steady uniform flow values of friction factor to the local unsteady
flow conditions. The graphical technique and its computerised version are now of historic
interest only.
1.4. FINITE ELEMENT METHOD
The finite element concept, first used as a general method in structural analysis has grad-
ually evolved to a well proven approximation technique for solving differential equations.
The method is powerful in solving boundary value problems in which the space domain,
even in three dimensions, can be subdivided into manageable subdomains so that each
domain is easily approximated with a wide range of selectable shape functions to obtain
the desirable level of approximation. It is known that simple shape functions which do not
satisfy the convergence criteria can still produce a satisfactory solution. Furthermore, in
general, accuracy can be improved by increasing the number of, and reducing the size of
the elements in the sensitive regions. However, the method is less successful than the finite
difference technique in the solution of time dependent problems because the time domain is
far more difficult to model simultaneously with the space domain. Consequently most finite
element applications in time domain problems adopt a hybrid alternative; finite difference
in time and finite element in space.
Watt (1975) applied the clasical variational (Galekin) method to the simulation of tran-
sient flow. The method requires the selection of shape functions for the two unknowns (flow
and potential) as a function of space. These functions are substituted into the governing
differential equations which are then discretized in time by the finite difference technique
resulting in a time marching procedure. Since it is impossible to device a shape function to
represent a rapid change in the flow variables caused by say a pump trip or a rapid valve
closure, the finite element is unable to trace the effects of a steep pressure wave and is,
therefore, dispersive.
1.5. DEVELOPMENT OF THE METHOD OF CHARACTERISTICS MODEL 1970 -

1990
The introduction and acceptance of the method of characterisics as the most suitable tech-
nique for the analysis of pressure transient phenomena opened up the whole pressure surge
464
subject. This technique has allowed previously difficult transient conditions to be treated
and designs for systems modified to prevent potentially damaging transient propagation.
Areas that have particularly developed since the introduction of computing methods have
included problems involving gas release as line pressure falls in response to negative tran-
sient pressure wave propagation and problems involving cavity formation modelling during
column separation, both with and without gas release. In this later case the advantages
of the computing methods over their earlier graphical counterparts is particularly clear
as the accurate monitoring of cavity growth and collapse is essential in determining the
final interface fluid velocity, which in turn determines, via Joukowsky's relationship, the
resulting pressure surge on cavity collapse. The small time steps inherent in the computing
simulation make this possible.
Similarly the introduction of computing methods based on the method of characteris-
tics has allowed progress in the study of the interface between fluid borne transients and
the vibration of structures, a subject of obvious importance in the design of pipe system
supports and also of importance in the study of structurally transmitted sound waves. The
interaction of machines and pipe flows can also be studied utilising these methods, improv-
ing understanding within the design of hydroelectric power stations and the design of surge
alleviation devices.
The introduction of rapid computing techniques also has an implication for the use of
pressure transient analysis as a design tool, rather than as a problem solving technique only
utilised following the demonstration of a surge generated problem within a fluid system.
This implication has perhaps the most far reaching consequences and illustrates the correct
use of computing power within the engineering system design process.
2. Method of characteristics.
The prediction of pressure transient propagation within complex pipe networks, possibly
incorporating pumps, valves, turbines and surge relief devices, as well as numerous junc-
tions and possible changes of pipe material or dimension, requires an orderly and flexible
mathematical model in order to provide the accuracy needed for system design. While
simple numerical methods and later graphical methods have been available since the end
of the 19th century, Allievi (1904), Bergeron (1935), the complexity of more modern fluid
systems dictates a computer based numerical approach.
The basic equations of pressure transient theory, may be shown to be a pair of quasi
linear hyperbolic partial differential equations. As such these equations may be transformed
into a pair of total derivative equations suitable for solution by a finite difference technique
via the method of characteristics. This mathematical technique was used in 1860 by Rie-
mann in a study of sound wave propagation in air and by 1900 by Massau in a study of
open channel flows. The first known application to pressure transient analysis was due to
Lamoen, (1947) followed by Gray (1953), although the method was well established in the
treatment of supersonic flows by this date.
The method of characteristics is now established as the standard solution technique
for the basic equations describing transient flow. However this predominance had to await
the arrival, in the mid 1960's, of efficient high speed digital computers. As will be shown
the method has the great advantage of being conceptually descriptive of the transmission
of transients through a pipe network. The restriction that the method only applies along
465
characteristic curves drawn in an x - t plane having a slope dependent upon the local wave
propagation and flow velocities leads naturally to a linkage between the propagation of the
real transient in the pipe network and the numerical model.
This restriction also explains why the method was embryonic until the advent of high
speed digital computers. The characteristic slopes determine the model time step and in
general these are very small. The time step depends on both the wave speed appropriate
to the fluid - pipe combination, commonly in the region of 1000ms- 1 , and the length of the
pipe section choosen as the internode distance, possibly as short as 1m if the pipe network is
small scale and complex, or as great as 1km in long distance pipeline problems. The choice
of an internode distance depends on the number of locations at which a knowledge of the
transient pressure oscillation would be useful to the designer, however it cannot be greater
than the actual length of the pipe being considered, setting an upper limit on time step
equal to half the pipe period. In the two cases mentioned the time step would be 0.001 s
and 1 s respectively, however in the latter case the total simulation time required would of
necessity also be much greater, so that a simulation of transient propagation would require
many thousands of computing steps. This calculation alone illustrates why the method was
not exploited prior to the 1960's.
The exploitation of the method of characteristics for transient analysis, in conjunction
with the use of digital computing techniques, was introduced in the mid 1960's by a number
of authors, most notably in the US by Streeter and Lai (1963), Streeter and Wylie (1967),
Streeter (1969), and in the UK by Fox (1968). In each case the basis for the analysis
was the method of characteristics as described by Lister (1960). Following these method
establishing publications the technique has become the standard analysis technique with
many authors applying and modifying the basic method to model associated problems.
2.1. THE TRANSIENT FLOW EQUATIONS
In the derivation of the equations of momentum and continuity describing transient flow,
no restrictions were placed upon the fluid type, beyond its homogenuous and Newtonian
nature, and the enclosing conduit was also treated as a general conduit so that the developed
equations may be seen to apply equally to liquid or gas flows or to both full bore or free
surface liquid flow situations.
The momentum equation may be expressed as:
L1 = /Jv + ov + 9 oH + fvlvl = 0 (7)

ox at ox 2m
in velocity - head terms, or:
ov ov 1 -op - . fvlvl
L1 = v -
ox + -ot + -pox 9 sm a +-2m
-= 0 (8)
in velocity - pressure terms.
As pressure transient analysis crosses the more traditional disciplinary boundaries within
fluid mechanics both sets of units remain in current use and therefore the derivation of the
method of characteristics in both will be presented.
466
In the above equation it will be noted that the convention that the pipe has a negative
slope in the initial flow direction, has been maintained, as shown by the sign of the gravity
force term, thus sin a = -oz!ox. Similarly it will be seen that a generalised definition of
the frictional resistance term has been maintained, expressed in terms of the flow hydraulic
mean depth, m, ie. the ratio of flow cross section to wetted perimeter; this will simplify
the later application of the derived equations to free surface or non- circular cross section
conduits. The use of the absolute flow velocity, lvi, in the frictional representation is
standard practice as it ensures that the frictional forces always act to oppose the local flow
direction.
The continuity equation may be expressed as:
20V
L2 = pc ox + vpg (OR.) oR = 0
ax +sm a + pgTt (9)
in velocity - head terms, or:

2 av op op
L2 = pc -
ox
+ vox
- +- = 0
ot
(10)
in velocity - pressure terms.
Equations (7) and (9) or (8) and (10) are a pair of quasi linear, hyperbolic, partial differ-
ential equations and as such are not readily solvable. The method of characteristics allows
the transformation of these equations into a pair of total differential equations suitable for
solution by finite difference based numerical methods, and particularly by the computeri-
sation of such techniques.
2.2. METHOD OF SOLUTION
The equations of continuity and momentum may be combined as:
(11)
2.2.1. velocity-pressure: Using equation (8) for Ll and equation (10) for L 2 , equation (11)
may be expressed by:
L
OV
= [ox (
v + Ape
2) + OV] [OP ( 1 ) OP]
at + A ax AP + v + at -
.
9 sm a + fvlvl
2m = 0 .
dv OV dx OV
Now since V=1>I(X,t),
dt = ox dt + ot '
dp opdx ap
and since p = 1>2(X, t) .
dt = ax dt + at .
Substitution of these expressions into L allows the combined expression to be rewritten as:
fvlvl
L = -dv
~
dp
+ A-
~
-
.
9 sm a +- - =0
2m'
(12)
467
dx 2 1
provided that Tt = v + )..pc = )..p + v ,
1
which implies that )..=-.
pc
Therefore the combined equation may be written, in velocity-pressure terms as:
dv 1 dp . fvlvl
- ---gsma+ - -
dt pc dt 2m
= 0, (13)
dx
provided that dt = v c. (14)
These equations are the characteristic equations and, as a pair of total derivative equa-
tions, are solvable via the application of finite difference techniques. The two relationships
obtained from equation (13) are dependent upon dx/dt = v + cor dx/dt = v - c, from
equation (14), and are known respectively as the C+ and C- characteristics and will be
shown to represent the way in which information is transmitted through unsteady flow.
2.2.2. velocity-head: Following a similar process in velocity - head terms yields a combined
expression:
L= [~: (v+ )..pc 2) + :] + )..pg [~~ C1+
p v) + 0:]
+)..vpgsin a + fvlvl = 0 ,
2m
dx 2 1
and if dt = v + )..pc = )..p +v ,
1
implying, as before, that )..=-,
pc
then the combined total differential equation becomes:
dv ~dH ~vsina + fvlvl = 0, (15)

dt c dt c 2m
dx
provided that Tt=vc. (16)
The form of the combined equations may be seen to be suitable for finite difference
treatment, however the dx/dt expressions that are inherent in the transformation of the
original partial derivatives into the more convenient total derivatives place restrictions on
the solution. It is these dx/dt expressions that give the method its name as to comply with
them the solution is restricted to a pair of characteristic directions in the x - t plane.
Referring to Figure 1 the combined equations (13) and (14), or equations (15) and (16),
relate the known conditions at Rand S in an x - t plane to unknown conditions at P. In the
general case illustrated the spatial and temporal increments between Rand P and between
Sand P may differ and strictly the characteristic lines linking RP and SP are curved. Such
a representation will allow the prediction of conditions at P and, by subsequent forward
movement of the base times, will allow the solution to proceed further.
468
t+At3
t
Note: General solution requires
z and t to be calculated.
L-_ _ _ _ Z s
Figure 1.(a) General solution by the method of characteristics.
Time S
(zs,ts)
Distance
Figure l.(b) First order approximation to the C+ and C-

characteristics in an x - t plane.
469
However the generalised grid in this form is unweildy and does not readily lend itself
to an orderly solution. Figure 2 illustrates the more widely used method of specified time
intervals. Here a rectangular grid in time and distance increments is set up and the charac-
teristic equations are assumed, at least in a first order approximation, to be straight lines
linking known conditions at two points to unknown conditions at an intermediate point at
some time in the future; the respective slopes based on wave speed and flow velocity at R
and S.
I-
I 6
Figure 2. Method of specified time intervals. The time and distance

increments are linked to the flow velocity and wave speed by the Courant Criterion.
The generalised slope of the characteristic lines is:

dx
dt = v c,
and it will be seen that it is therefore a necessary condition that the base points for these
two characteristics, known generally as the C+ and C- lines, fall within ~x of the position
of the point for which conditions are to be calculated, as shown in Figure 2. This clearly
implies a relationship between the time and distance increments for the method of specified
time intervals, usually defined as the Courant Criterion, given by:
~x
~t< --.
- v+c
In a great many pressure transient applications the Courant Condition may be reduced to:
~x
~t:::;-,
c
470
as the wave propagation velocity, c, is much greater than the local mean flow velocity. For
example wave speeds are often in the region of 1000ms- I while flow velocities are usually
less than 10ms- I . However there are special applications where this simplification cannot
apply, for example in conditions where there is a high free gas content, in very thin walled
pipes or in gas flows or free surface flows.
A second limitation upon the method of characteristics may also be demonstrated by
reference to Figure 2. If the condition that v = c is met then the characteristic line becomes
vertical and no solution is possible. This condition is equivalent to the introduction of a
discontinuity, such as a shock wave or a hydraulic jump, into the flow as a boundary between
two types of flow regime. The method of characteristics remains valid on either side of the
discontinuity, however additional equations would be necessary to allow the solution to
proceed across it.
The wave speed may not of course remain constant along the whole length of a pipe or
throughout a network. Local changes in pipe wall thickness, pipe material, pipe diameter
or free gas content will all affect wave speed and it may be necessary to take these variations
into account. It is however imperative that the time step utilised in the calculation remains
a constant for all the constituent pipes within the network.
The equations derived are only valid along the C+ and C- characteristics in the x - t
plane. The development process has however left the equations of momentum and continuity
otherwise unrestricted in their application.
These characteristic lines may conceptually be considered to define the transmission of
information through the pipe network or unsteady flow being considered. Changes in flow
conditions are only transmitted along these C+ and C- lines and it is this transmission
process that is perceived as the propagation of pressure transients. Thus it would be correct
to see the propagation of transients as a normal occurrence in any flow situation where the
demands made upon the system are changed, for example either by a change in pump
delivery, turbine load or discharge valve setting.
An interesting aspect of this approach to transient propagation concerns the situation,
already mentioned, where v > c, ie supersonic gas flows or supercritical free surface flow.
In this case both the C+ and C- characteristics lie upstream of the point P, as shown
in Figure 3, and thus information cannot propagate upstream, a well known phenonena in
both the supersonic and supercritical flow regimes.
Figure 2. illustrates an x - t grid set up under the method of specified time intervals
with the characteristic lines passing through the adjacent nodes as shown. If conditions at
Rand S are known at time t then the unknown conditions at P at one time step later may
be calculated from the following first order finite difference approximations of equations
(13):
1 . fVRlvRI~t
=
vp VR - -
~R
(pp - PR) + gSlllO!R~t -
2mR
, (17)
when ~; = v + c, the C+ characteristic.
and
1 . fvslvsl~t
Vp = Vs + pes
-(pp - ps) + gSlllO!s~t -
2ms
, (18)
471
S I ~
.:lz
-I
Figure 3. C+ and C- characteristics in a x - t plane for the method of specified time

intervals. Note that characteristic P S' lies upstream of point C if the fluid velocity
exceeds the wave speed; normal conditions in supercritical open channel flow.
472
dx
when - = v - c the C- characteristic.
dt '
These two equations are often reduced for simplicity to:
vp = Kl - K2 . pp for the C+ characteristic, (19)
vp = K3 + K4 . pp for the C- characteristic, (20)

where
VR + -P R .
+ gSlll 0RLlt -
fVRlvRILlt
, (21)
PCR 2mR
1
(22)
PCR
ps.
Vs - -
pcs
+ gSlllosLlt - fvslvslLlt
2ms
, (23)
1
(24)
pcs
as all the relevant conditions are known at Rand S. This form of the characteristic
equations is used to simplify the presentation of boundary calculations.
The equivalent velocity - head relationships may be stated as:
VP=KI-K 2 Hp for the C+ characteristic, (25)

VP=K3+ K 4 H p for the C- characteristic, (26)
where
Kl = ( g.
VR 1- -smoRLlt -
CR
flvRILlt)
2mR
+ --,
gHR
CR
(27)
9
K2 (28)
CR
Vs 1 + -slllosLlt -
( g. flvslLlt) gHs
K3 - -- , (29)
Cs 2ms Cs
9
K4 (30)
Cs
In the case where the added simplification that c > > > v is appropriate and the C+ and
C- characteristics pass through points A and B, shown in Figure 2. The above equations
remain valid with the obvious notation change that values identified as at Rand S become
values at A and B respectively.
The implication of a first order approximation is that the flow velocity and wave speed
values vary slowly between R, Sand P, an assumption justified by the small time increments
normally dictated by the method of characteristics; thus it follows that the characteristic
lines are straight. It also follows that the velocity at P does not enter into the frictional
representation, allowing the avoidance of an unknown squared velocity term and the reten-
tion of a simplistic simultaneous solution of the above equations. Similarly the retention of
473
a first order approximation considerably simplifies the modelling of the system boundary
equations.
In general terms the first order approximation may be expressed as:
lXO
XI f(x) dx = f(XO)(XI - XO) ,
while the second order approximation may be expressed as:
l XI
Xo
f( x) dx = 0.5 (f (xo) + f (Xl . (Xl - XO)
Under a second order finite difference scheme the characteristic equations become:
Vp = VR - ~ (~+ ~) (pp -
2p cp CR
PR) + ~g
2
(sinap + sinaR) ~t
--12 (fvplvpl
2mp
+ fVRIVRI)
2mR
ut
'
A
dx
when dt = 0.5 (vp + Cp + VR + CR), i.e. the C+ characteristic,
Vp = Vs + ~ (~+ ~) (pp -
2p cp ~
ps) + ~g(sinap
2
+ sin as) ~t
_ ~ (fvplvpl + fvslvsl) ~t
2 2mp 2ms '
dx
when dt = 0.5 (vp + Cp - Vs - cs), i.e. the C- characteristic,
resulting in the introduction of a quadratic in the unknown velocity at position P.

Generally the use of a second order approximation has not found favour in the ap-
plication of the method of characteristics to pressure transient modelling. Equally valid
predictions may be obtained from the first order approximation without the complexity
introduced py the need for an iterative solution as the unknown wave speed and velocity at
P appear in the friction term (velocity) and the characteristic slope (wave speed and veloc-
ity). It is of historical interest that, in the early stages of the acceptance of the method of
characteristics as the standard technique for the analysis of transients, considerable discus-
sion revolved around the representation of friction, Harding (1965), and the acceptability
of the 1st order approximation, Streeter and Lai (1963) discussion by Paynter and Gray.
2.3. INTERPOLATION AS A MEANS OF DEFINING BASE CONDITIONS
Variable wave speed along the length of a pipe, duct or channel leads to different slopes for
the C+ and C- characteristics. However the Courant Criterion must be satisfied so that,
as shown in Figure 4, the points Rand S become closer to P and separate from the nodes
on either side of P.
Assuming that initial conditions are known at all nodes at time t, then it is necessary to
determine the conditions at Rand S at time t in order to apply the characteristics solution
already developed. The most common solution is to interpolate linearly between conditions
474
Figure 4. Time step based on the maximum value of the wave speed and velocity leads to
significant interpolation errors in the flow regions exhibiting lower v and c values. Relative
positions of Rand S illustrate the problem.
at A and C to obtain conditions at R and similarly between C and B to obtain conditions

at S.
The technique is set out below, however interpolation must be recognised as a potential
source of serious rounding errors in the numerical modelling of pressure transient propa-
gation. Although this problem will be returned to later, it is worth mentioning at this
stage that interpolation effectively implies that a pressure transient arriving at A or B at
time t determines conditions at R or S at that time. This effectively increases the speed
of propagation of the transient and also decreases the rate of change of pressure or veloc-
ity that it imparts to the flow it passes through. Both effects lead to a rounding in the
predicted transient, Vardy (1976). Figure 4 illustrates the conditions that result from a
variable wave speed and comparable flow velocity magnitudes along the length of a pipe.
The characteristic slopes change along the pipe depending on the local values of c and v,
this results in the positions of Rand S, relative to P, varying along the pipe. The degree of
interpolation therefore also varies along the pipe length and care must be taken to ensure
that the resulting rounding errors do not become excessive.
Referring to Figure 3 as the general case where both c and v vary along the pipe and
also where the possibility that v > c is allowed to exist so that both the C+ and C-
characteristics slope downstream, a series of equations may be presented linking conditions
at Rand S (or S') to conditions at A, C and B.
For the C+ characteristic passing through R and linking conditions at R at time t to
conditions at P at time t + !!!.t, consideration of the velocity variation yields:
Vc - VR Xc - XR
-=--....::..:.=
Vc - VA!!!.X
= ( VR+CR-,
) !!!.t
!!!.X
475
since Xc = XP and ~X = Xc - XA .
Similarly the wave speed terms yield:
Cc - CR Xc - XR ( ) ~t
.-:::.--...:.:.= = VR+CR - .
Cc - CA ~x ~x
Simultaneous treatment of these equations results in a series of interpolation relationships

that allow the determination of base conditions at R:
VR = 1 +Vc8 +(vc8 (VACC - VCCA)

- VA + Cc - cAl
(31)
and (32)
For the pressure or head terms:
PR = Pc - (pc - PA)8(VR+ CR) }

(33)
HR = Hc - (Hc - HA)8(vR + CR)
A number of points need to be stressed concerning the above equations :
1. Quite obviously if the wave speed is a constant, but still comparable in magnitude to
the local flow velocity, the above equations will yield the interpolated values of flow
velocity v with no modification.
2. In cases where the velocity is negligible with respect to a constant wave speed, the
equations may be simplified as:
Vc - VR
Vc - VA
= 8CA,
thus VR=VC-8q(vC-VA) '
and pressure, PR, or head, H R, is given by:
also Cp = CA = CB
When the wave speed exceeds the local flow velocity, the C- characteristic slopes upstream
and the base conditions are found at point S in Figure 3. By a similar series of substitutions
to those above the following expressions may be derived:
(34)
476
(35)
For the pressure or head terms:
Ps = Pc + (pc - PB)B(vs + Cs) }

(36)
Hs = Hc - (Hc - HB) B(Vs + cs)
If c v, and is assumed to be constant, then these equations reduce as before to:
Vc - Vs
Vc - VB
= BcB,
thus vS=VC+BCB(VB-VC) ,
and pressure, Ps, or head, H s, is given by:
PS=PC+BCB(PB-PC) ,
Hs = Hc + BCB(HB - Hc) .
2.4. IMPLICATIONS OF INTERPOLATIONS WITHIN A TRANSIENT ANALYSIS
Satisfaction of the Courant Criterion requires that
(37)
at all points along a particular pipe or channel. An orderly simulation of a network con-
sisting of a large number of pipes joined in reality by pipe junctions, and in the model by
the solution of a series of suitable boundary equations, requires that the same time step is
utilised for all the constituent pipes.
If wave speed and flow mean velocity varies along the length of a pipe or channel then
the Courant Criterion clearly must be rewritten as:
!::!..t < !::!..x , (38)

- V max + Cmax
where V max and C max are the maximum values of wave speed and velocity along that pipe
at that particular time step. It is worth noting that these maximum values may well change
at the next time step. Similarly at any time step the maximum values of wave speed and
flow velocity may not be found at the same node. This point is illustrated by Figure 4.
Thus the degree of interpolation necessary may well vary along the length of the pipe
or channel, from the acceptable close to the location of the maximum values of v and c, to
the unacceptable where these values are low. In this context unacceptable may be taken to
imply that the interpolated base condition, point R or S in Figure 4, lies close to the node
P being calculated, with subsequent unacceptable rounding errors being introduced by the
mechanism already described.
477
In most pressure transient applications, ignoring the influence of a large free gas content,
the wave speed along a particular pipe length may be taken as constant, calculated on the
basis of pipe wall dimensional and elastic data and fluid density and compressibility values.
( This convenient simplification may not be assumed in either gas flow transients or in the
study of free surface surges.) In this simplified case therefore it is sufficient to ensure that
the Courant Criterion is satisfied by writing:
f:!..t = f:!..Xl = f:!..x2 = ... = f:!..x n (39)

(v+ch (v+ch (v+c)n
ie. the distance increment varies between individual pipes as a means of ensuring a constant
time increment for the network simulation as a whole.
This solution is both convenient and simplistic. However, as shown in Figure 5, it is
always necessary for anyone pipe to have at least one f:!..x increment, ie. to have two nodes,
one at entry and one at exit. If a pipe network consists of a number oflong pipes with some
very short side branches, possibly leading to storage tank entry valves or pump discharge
connections, then this solution can become unduly costly and slow if the short pipe lengths
are allowed to determine the time step for the network as a whole.
Pipe entry l----------------l Pipe exit
Upstream.
boundary
Downstream.
boundary
l~",---x~
Figure 5. Example of a short pipe where the pipelength becomes a single
f:!..x. C+ and C- characteristics are available for solution
at the boundaries as shown.
For example if f:!..xs is the length of a short tank entry stub pipe from a long manifold
type distribution gallery, then the number of nodes in the gallery can easily become excessive
if the system time step is based upon f:!..xs
Doubling the number of nodes in a particular pipe length quadruples the number of
calculation steps necessary to acheive a given total simulation time as the distance increment
affects the time step magnitude. In this particular case the art of modelling dictates that
the stub pipe be incorporated into a boundary condition that describes the flow condition
478
in the distribution gallery at the point where flow is both diverted into the stub pipe, and
subsequently the tank, and also continues to flow along the distribution main. Figure 6
illustrates this condition.
Flow disrtibution gallery featuring short branch pipes

dictating length of Az in the main pipe.
I I
Boundary
1
\ Replacement of stub pipes by boundary condition
incorporating branch pipe and the valve.
Boundary includes
junction and the
-
valve.
C+, C- characteristics
availa.ble for pipes upstream and
downstream of the boundary.
Figure 6. Illustration of technique to avoid the use of a short

Ax for a complex network.
In applications where variations in the calculated wave speeds are small between the
network's constituent pipes, an alternative solution is to recognise that the accuracy of the
pipe and fluid data utilised to calculate the wave speed may not justify adherence to unique
wave speed values having a small numerical spread. In such cases it is often sufficient to
assume a constant wave speed for the system as a whole and to carry out a number of
sensitivity runs of the model to ensure that the approach does not lead to unaceptable
variations in predicted pressures. Interpolation may be seen as necessary for two reasons:
1. Variation in wave speed and flow velocity along anyone pipe in the network dictates
variable characteristic slopes for the nodal increments in that pipe so that interpola-
tion is required to determine the base values at Rand S so that the simulation may
continue. This is often the case in gas and free surface flow transient analysis, Figure
4 illustrated this case.
2. Variation in wave speed between the individual pipes in a network, possibly due to
changes in diameter, wall thickness or material properties, result in the highest wave
479
speed dictating the magnitude of the time increment. In this case many pipes in the
system may require analysis with a time step considerably smaller than that dictated
by the Courant Criterion, resulting in the introduction of interpolation, as shown in
Figure 7.
Pipe 2
Pipe 1
..
Pipe 3
Junction of 3 pipes, possibly
of different diameter, wall
thickness and/or ma.terial, each
has its own wa.ve speed. Time step
kept constant by varying ~z.
Figure 7. Application of the method of specified intervals at a pipe junction.

Each pipe has its own ~x, however ~t is constant for all pipes.
Both these applications of interpolation should be avoided, or at least minimised by

careful choice of the time interval, ~t and modification to the value of the pressure wave
speed.
2.5. SETTING UP THE BASE CONDITIONS

It will already be apparent that the techniques described all depend upon the flow conditions
being known at all points along all the pipes within the network at time zero. This implies
that the transient calculation process must be be proceeded by a steady state analysis of
the network to determine these base conditions.
480
For full bore flow liquid, or gas flows, the steady state initial condition can be zero flow,
provided that the pressures or head values along the system are known. In free surface flow
situations this presents a difficulty normally overcome by assuming an initial flow presence
in the channels.
The steady state analysis of networks is well documentad elsewhere and is straighforward
provided that accurate representations of flow frictional and separation losses are available.
An interesting test of a method of characteristics transient analysis is the accuracy with
which the model returns the system to its initial flow condition following the passage of a
transient caused by an excursion in some boundary condition.
Once the initial conditions along the network have been determined, the transient anal-
ysis may proceed, initially by determining the base conditions at all of the points identified
as Rand S and then calculating the time step to be used by searching for the maximum val-
ues of the local flow velocity and wave speed at each node along each pipe in the network.
Reference to Figure 4 will indicate that at the first time step the conditions of velocity,
pressure and wave speed at all internal nodes may be determined without reference to the
boundary conditions, however beyond the first time step the relationships at each of the
system boundaries must be incorporated.
2.6. FRICTIONAL REPRESENTATION

Frictional representation remains one of the areas within transient modelling that is gener-
ally unsatisfactory. In equation (1) the general form of Darcy's equation was introduced in
the form fvlvl/2m. The absolute sign ensures that frictional forces oppose time dependent
motion and the hydraulic mean depth allows the general application of the relationship to
closed conduit or free surface flows. However the friction factor f is normally determined
from the Colebrook - White relationship, in turn based upon a considerable body of fun-
damental research all undertaken under steady fully developed flow conditions. It is this
that causes the difficulty in the modelling of transient frictional resistance. During the pe-
riodic reflections of a pressure transient within a pipe network the local flow will reverse in
response to the passage of the transient. Any semblence of a fully developed flow condition
disappears and the application of a steady flow friction factor can therefore readily be seen
to be at best an approximation. While attempts have been made to address this difficulty,
with some success in the laminar flow regime at the expense of model simplicity, Zielke
(1968), no advance in the turbulent flow regime can be claimed, Shuy and Apelt (1983).
However it must be stressed that, while frictional damping underestimation is common
in all transient modelling, the effect is to slightly overestimate peak pressures or column
separation existance times so that the problem is not considered to be of major significance.
One result of this difficulty has been the use generally of a fixed friction factor rather than
introducing locally calculated friction factors dependent upon local flow Reynolds Numbers,
a minor simplification to the model.
Generally frictional effects act to damp the pressure fluctuations following pressure tran-
sient propagation. However in high frictional loss systems with a low initial flow rate the
regain of frictional head following a flow stoppage may exceed the transient propagated.
This effect, known as line packing, is automatically included in the method of character-
istics solution provided that the initial flow conditions along the network were correctly
481
represented.
2.7. NETWORK SOLUTIONS

The presentation of the method of characteristics given in this text has concentrated upon
the development of the finite difference equations necessary to solve for unknown flow con-
ditions at any node along a pipe, duct or channel provided that conditions at adjacent
nodes at an earlier time step were known.
In order for the solution to proceed it will be necessary to provide this boundary infor-
mation in a form compatible with the single C+ or C- characteristic that is always available
at a pipe entry or exit.
Boundary condition representation within the method of characteristics is the most
challenging aspect of the technique as it often requires a fundamental understanding of
the fluid mechanics of the interface in order to generate an equation that both describes
accurately the boundary conditions and also is compatible with solution with the available
characteristic.
In general, boundary conditions may be sub divided into three broad categories:
1. Passive boundary conditions that arise as a result of the design of the system, for
example junctions of two or more pipes, constant pressure reservoirs, dead ended
pipes, open discharges or changes in pipe cross section, material or wall thickness.
2. Active boundary conditions that represent equipment connected to the system, for
example valves, pumps or turbines.
3. Boundary conditions that arise as a result of the propagation of transients within

the network and which are therefore not necessarily identified as being present at the
design stage or by a simple examination of the system layout. In this category fall
the boundary conditions needed to represent column separation, trapped air or gas
release due to low system pressures. This category may also include moving boundary
conditions, for example the interface formed by the representation of a train moving
through a tunnel or the discontinuity between free surface and full bore flow in an
initially partially filled conduit under surcharging conditions.
In general suitable boundary equations will link either flowrate or pressure to time.
In the case of some equipment boundary conditions it may be necessary to relate these
variables via a monitoring of the equipment over the time period considered, for example
valve position against time data will be linked to valve pressure loss against position data
in order to provide a suitable boundary condition to be solved with the pressure - velocity
C+ or C- characteristic available at either pipe entry or exit. In other cases the required
boundary equation will only be activated if the indicated conditions in the pipeline reach
certain trigger levels, for example the representation of a pressure relief valve will need to
be present in the numerical model and will lie dormant until required by the solution.
Given the convention adopted in this text, that distance increases in the initial flow
direction it follows that a C- characteristic will always be available at pipe entry and a C+
characteristic will always be present at pipe exit.
482
While the development of suitable boundary conditions provides the main area of inter-
est for the numerical modeller utilising the method of characteristics, it has been necessary
to provide a basic development of the method from the base equations of momentum and
continuity and to demonstrate that the solutions generated are general in application.
References
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Ricardo-Garoni, Rome, 1925.
Angus R. W. (1935) "Simple graphical solution for pressure rise in pipes and pump dis-
charge lines". Journal Eng. Inst. Canada Vol 18.
Angus R. W. (1937) "Waterhammer in pipes, including those supplied by centrifugal pumps:
a graphical treatment". Procs. IMechE Vol 136.
Angus R. W. (1939) " Water hammer pressures in compound and branched pipes". Trans.
ASCe, Vol 104.
ASME (1933) "Symposium on Waterhammer".
Bergeron L. (1932) "Variations in flow in water conduits". Comptes rendres des travaux
de la Soc., Hyd.de France, Paris.
Bergeron L. (1957) "Waterhammer in hydraulics and wave surges in electricity". J. Wiley,

New York.
Carpenter R.C. and Barraclough S.H. (1894) "Some experiments on the effects of water-
hammer". Trans AS ME.
Enever K.J. (1970) "The use of the computerised graphical method of surge analysis". The
City University Pressure Transient Symposium, London, Nov.
Evangelisti G. (1969) "Waterhammer analysis by the method of characteristics". L'Energia

Elletrica, Vol 10, no. 10 - 12.
Ezekial F.D. and Paynter H.M. (1957) "Computer representation of engineering systems
involving fluid transients". Trans. ASME, Vol 79.
Fox J.A. (1968) "The use of digital computers in the solution of waterhammer problems".
Procs. ICE, Vol 39.
Gibson N.R. (1920) " Elastic fluid column theory". Trans. ASCE, Vol 83.
Gray C.A.M. (1953) "The analysis of the dissipation of energy in waterhammer". Procs.
ASCE, Vol 119.
Gray C.A.M. (1954) " Analysis of waterhammer by characteristics". Procs. ASCE.

483
Halliwell A.R. (1963) "Velocity of a waterhammer wave in an elastic pipe". Procs ASCE,
Vol 89.
Harding D.A. (1966)" A method of programming graphical analysis for
medium speed computers". Procs. IMechE, Vol 180.
Jenkner W.R. (1971) "Uber die Druckstoss-geschwindigkeit in Rohrleitungen mit quadrat is-
chen und rechteckigen Querschnitten". Schweiz. Bauzeitung, 89 Jahrgang, Heft 5, pp 99-
103,4 Feb.
Johnson R.D. (1915) "Rigid fluid column waterhammer theory". Trans ASCE, Vol 79.
Joukowsky N. (1900) "Uber den hydraulisher Stoss in Wasser - lietungsrohren". Memoirs
de l' Academie Imperiale des Sciences de St Peters burgh, 1900 translated by 0 Simin as
Waterhammer Procs. AWWA Vol 24, 1904.
Kennedy J.F. (1964) "A short bibliography ofreferences on waterhammer". Journal New
England Water Work Assn., Vol 78.
Kerr S.L. (1968) "Surge problems in pipelines - oil and water". Trans. ASME, Vol 98.
Korteweg D.J. "Uber die Fortphlanzungsgeschindigkeit des Schalles in elastisches Rohren.
Annalen der Physik und Chemie". 5 Floge Band 5.
Lamb H. (1898) "On the velocity of sound in a tube as affected by the elasticity of the
walls". Mem. Manchester Lit. Phil. Soc. July.
Lamoen J. (1947) "Le coup de bellier d'Allievi, compte tenu des pertes de charge contin-
ues". Bull. Centre de Etudes, de Recherches et d'Essais Scientifiques des Constructions du
Gerrie Civil et d'Hydraulique Fluviale, Tome II, Dosoer, Liege.
Lister M. (1960) "The numerical solution of liyperbolic, partial differential equations by

the method of characteristics". Mathematical methods for digital computers, J .Wiley New
York.
Loewy R. (1928) "Druckschwankungen in druckrohrleitungen". Springer, Wein.
Marples E.I.B. (1966) "The significance of surge diagrams". Procs. IMechE, Vol 180.
Massau J. (1900) "Memoirs sur l'integration graphique des equations aux derivees par-
tialles". Ann. Ass. Ingrs. Sortiis des Ecoles Speciales de Gand, 23 : 95 - 215. Translated
as Unsteady Flow H.J.Putnam, Rocky Mountain, Hydraulic Laboratory, Colorado, 1948.
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les effets". Bull. Soc. Vaudoise Eng. Arch., Lausanne.
Parmakian J. (1955) "Waterhammer analysis". Longmans Green.
Pearsall I.S. (1966) "Waterhammer effects due to branched and stepped pipes". Procs.
IMechE, Vol 180.
Peek G.M. (1900) "Pressure in a pipe due to a stoppage of the flowing fluid". Trans ASME.
484
Pickford J.A. {I 969} "Analysis of surge". Macmillan, London.

Rich C.R. {1945} "Waterhammer analysis by the Laplace-Mellin transformation". Trans.
ASME.
Schnyder O. {1929} "Waterhammer in pump discharge lines". Schweizerische Bauxeitung
Vol 94, no 22, 23.
Streeter V.L. and Lai C. {1962} "Waterhammer analysis including fluid friction". Jour.
Hyd. Div, ASCE, Vol 88.
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Streeter V.L. {1969} "Waterhammer analysis". Jour. Hyd. Div., Nov.
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Vensano H.C. and Warren M.N. {1915} "Waterhammer approximations".
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Queens University, Kingston, Ontario.
17
METHODOLOGIES FOR RELIABILITY ANALYSIS OF WATER
DISTRIBUTION SYSTEMS
Larry W. Mays
Chair and Professor
Arizona State University
Tempe. Arizona 85287-5306
ABSTRACT. There have been no universally accepted methodologies or even definitions developed
for the reliability of water distribution systems. Only recently have there been any major attempts to
develop various methodologies for the assessment of reliability of these systems. This paper presents
the background for new methodologies for water distribution system reliability. reliability analysis of
pumping system. and reliability - based optimization models for water distribution systems. The
methodology from water distribution system reliability computes model and system reliabilities using
Monte Carlo simulation. The methodology for the reliability analysis of pumping systems is based
upon a frequency and duration analysis procedure that can consider both mechanical failures and
hydraulic failures. An optimization methodology for the reliability - based design of water
distribution networks is presented that interfaces a nonlinear programming optimizer. with a hydraulic
simulator and a reliability mode\.
1. Introduction
The reliability of water distribution systems is concerned with two types of failure. namely.
mechanical failure and hydraulic failure due to pipe breakage. pump failure. power outages.
control valve failure etc. Hydraulic failure considers system failure due to demands and
pressure heads being exceeded that could be the result of changes in d~mand and pressure
head. inadequate pipe sizes. old pipes with varying roughness. insufficient pumping capacity
and insufficient storage capability. Since either the mechanical measure or the hydraulic
measure alone are inadequate to measure the system reliability. it seems reasonable to unify
this definition by specifying the reliability as the probability that the given demand nodes in
the system receive sufficient supply with satisfactory pressure head. In other words. the
failure occurs when the demand nodes receive either insufficient flowrate and! or inadequate
pressure head. Similarly. a nodal reliability is the probability that a given demand node
receives sufficient water flowrate with adequate water pressure head.
Mechanical reliability is the ability of distribution system components to provide
continuing and long term operation without the need for frequent repairs. modifications. or
replacement of components or subcomponents. Mechanical reliability is usually defined as
the probability that a component or subcomponent performs its mission within specified
limits for a given period of time in a specified environment. When quantified. mechanical
reliability is merely an expression of the probability that a piece of equipment is operational
at any given time. The mathematical evaluation of mechanical reliability is well developed
and has been used in the analysis of mechanical and electrical systems (Billinton and Allan.
1983. 1984; Henley and Kumamoto. 1981).
Hydraulic reliability is a measure of the performance of the water distribution
system. The hydrauliC performance of the distribution system depends to a great degree on
the following factors: (1) interaction between the piping system. distribution storage.
485
486
distribution pumping, and system appurtenances such as pressure reducing valves, check
valves, etc.; (2) reliability of the individual system components; (3) spatial variation of
demands in the system; and (4) temporal variation in the distribution system may be more
important than the average system reliability (Cullinane, 1989).
Network reliability analysis models based upon considering mechanical failure have
been developed for electrical, chemical, and mechanical engineering systems and processes,
but only a few studies have been reported on the reliability of water distribution networks
recently (Mays, 1989, Hobbs and Beim, 1988; Duan, 1988; Quimpo and Shamir, 1987;
Mays, and Cullinane, 1986; Wagner, Shamir and Marks, 1986, 1988a, b; Duan and Mays,
1987; Tung, 1985). The reliability of water systems due to the hydraulic failure resulting
from mechanical failure was considered by Su, Mays, Duan, and Lansey (1987) in an
optimization model. None of these previous works actually quantify a system reliability.
The urban water distribution system is composed of three major components:
pumping stations, distribution storage, and distribution piping. These components may be
further divided into subcomponents which can in turn be divided into sub-subcomponents.
For example, the pumping station component consists of structural, electrical, piping, and
pumping unit subcomponents. The pumping unit can be further divided into sub-
subcomponents: pump, driver, controls, power transmission, and piping and valves. The
exact definition of components, subcomponents and sub-subcomponents is somewhat fluid
and depends on the level of detail of the required analysis and to a somewhat greater extent
the level of detail of available data. In fact, the concept of component-subcomponent-sub-
subcomponent merely defines a hierarchy of building blocks used to construct the urban
water distribution system.
Reliability of water distribution system components can be evaluated by the time-to-
failure analysis or by load-resistance interference analysis. This paper focuses on new
methodologies for: water distribution system reliability; reliability analysis of pumping
systems; and reliability-based optimization models for water distribution systems. The
objective of this paper is to present the theoretical background for these new methodologies.
The publications by Mays (1989a, b) also present these methodologies along with others,
including detailed example calculations and application. The reader is referred to these
publications for a complete understanding of these methodologies. (Bao and Mays, 1990;
Coals and Goulter, 1985; Goulter and Bouchart, 1987; Hobbs, Beim and Gleit, 1987; Lansey
and Mays, 1987, 1989; Lansey, Duan, Mays and Tung, 1989; Mays and Cullinane, 1986;
Mays, Duan and Su, 1986; Mays, 1989a, b; Su, Mays, Duan and Lansey, 1987; Tung, 1985;
Tung, Lansey, Duan and Mays, 1987; and Woodburn, Lansey and Mays, 1987).
2. Methods for Reliability Analysis of Water Distribution System Components

2.1. RELIABILITY CONCEPTS
The analysis of reliability and availability requires an understanding of some basic terms,
which are defined in this section. The concepts represented by these terms will be used in
later sections to quantify reliability and availability.
The common thread in the analysis of reliability and availability is the selection of an
appropriate failure density function. Failure density functions are used to model a variety of
reliability-associated events including time to failure and time to repair.
The reliability R(t) of a component is defined as the probability that the component
experiences no failures during the time interval (o,t) from time zero to time t. given that it is
new or repaired at time zero. In other words. the reliability is the probability that the time to
failure T exceeds t, or
487
R(t) = f f(t) dt (1)

t
where f(t) is the probability density function of the time to failure. Values for R(t) range
between 0 and 1. The probability density function f(t) may be developed from equipment
failure data, using various statistical methods. In many cases, a simple exponential
distribution is found appropriate. The unreliability F(t) of a component is defined as the
probability that the component will fail by time t. Unreliability can be defined
mathematically as
f
t
F(t) = f(t) dt = 1 - R(t) (2)

o
The failure rate met) is the probability that a component experiences a failure per unit of
time t given that the component was operating at time zero and has survived to time t. Note
that the failure rate met) is a conditional probability. The relationship of met) to f(t) and F(t)
is given as
f (t)
m (t) = R(t) (3)
Sometimes, the failure rate is called hazard function. The quantity m(t)dt is the probability
that a component fails during time (t, t + dt). Values for m(t)dt range from 0 to 1. Given the
failure rate, the failure density function and the component reliability can be obtained as
equations (4) and (5), respectively (Kapur and Lamberson, 1977).
(') : m(.) exp [-j m(h) dh] (4)
(5)
2.2. TIME TO FAILURE ANALYSIS
Since the time to failure of a component is not certain, it is always desirable to have some
idea of the expected life of the component under investigation. Furthermore, for a
repairable component, the time required to repair the failed component might also be
488
uncertain. This section briefly describes and defines some of the useful terminology in the
field of reliability theory that is relevant in the reliability assessment of water distribution
systems.
The mean time to failure (MTTF) is the expected value of the time to failure, stated
mathematically as
MTIF = J t f(t) dt (6)

o
which is expressed in hours.

Similar to the failure density function, the repair density function, g(t), describes the
random characteristics of the time required to repair a failed component when failure occurs
at time zero. The probability of repair, G(t), is the probability that the component repair is
completed before time t, given that the component failed at time zero. Note that the repair
process starts with a failure at time zero and ends at the completion of the repair at time t.
Similar to the failure rate, the repair rate r(t) is the probability that the component is
repaired per unit time t given that the component failed at time zero and is still not repaired
at time t. The quantity r(t)dt is the probability that a component is repaired during time (t, t
+ dt) given that the components failure occurred at time t. The relation between repair rate,
repair density and repair probability function is
r(t) =~ (7)
G(t)
Given a repair rate function r(t), the repair density function and the repair probability are,
respectively,
i
g(l) = r(l) exr [ - r(h)dh 1 (8)
G(I) = 1- exr [ - i 1
r(h)dh (9)
The mean time to repair (MTfR) is the expected value of the time to repair a failed
component. The MTfR is defined mathematically as
MTIR = J tg(t)dt (10)
o
where g(t) is the probability density function for the repair time. The MTfR is expressed in
hours.
489
The mean time between failures (MTBF) is the expected value of the time between two
consecutive failures. For a repairable component. the MTBF is defined mathematically as
MTBF = MTIF + MTIR (11)
The mean time between repairs (MTBR) is the expected value of the time between two
consecutive repairs and equals the MTBF.
2.3. AV AILABILITY AND UNA VAILABILITY CONCEPTS
The reliability of a component is a measure of the probability that the component would be
continuously functional without interruption through the entire period (o.t). This measure is
appropriate if a component is nonrepairable and has to be discarded when the component
fails. However. many of the components in a water distribution system are generally
repairable and can be put back in service again. In that situation. a measure that has a
broader meaning than that of the reliability is needed.
The availability A(t) of a component is the probability that the component is in operating
condition at time t. given that the component was as good as new at time zero. The reliability
generally differs from the availability because reliability requires the continuation of the
operational state over the whole interval (O.t). Subcomponents contribute to the availability
A(t) but not to the reliability R(t) if the subcomponent that failed before time t is repaired
and is then operational at time t. As a result. the availability A(t) is always larger than or
equal to the reliability R(t). i.e . A(t) ~ R(t). For a nonrepairable component. it is operational
at time t. if and only if. it has been operational to time t. i.e. A(t) = R(t). As shown in Fig. 1.
the availability of a nonrepairable component decreases to zero as t becomes larger. whereas
the availability of a repairable component converges to a nonzero positive number.
The unavailability U(t) at time t is the probability that a component is in the failed state at
time t. given that it started in the operational state at time zero. In general. the U(t) is less
than or equal to the unreliability F(t). and for nonrepairable components they are equal.
Because a component is either in the operational state or in the failed state at time t;
therefore.
A(t) + U(t) = 1 (12)

Conditional failure intensity. I(t). is the probability that a component fails per unit time at
time t. given that it is in the operational state at time zero and is operational at time t. The
quantity I(t)dt is the probability that a component fails during a small time interval (t, t + dt)
given that the component was as good as new at time zero and operational at time t. The
quantity m(t)dt is the probability that a component fails during the time interval given that
the component was repaired at time zero and has been operational to time t. The quantities
l(t)dt and m(t)dt differ because m(t)dt assumes the continuation of the operational state to
time t or that no failure occurred in the interval (O,t), whereas I(t)dt only assumes that the
component is operational at time t, i.e., intermediate failures between time zero and time t are
not important to the calculation.
A(t) "# m(t) general case

A(t) = m(t) nonrepairable component (13)
A(t) = m constant failure rate r

490
1.0 I
I REPAIRABLE COMPONENT
<
)-'
..
>-
-'
< NON-REPAIRABLE COMPONENT

-'
<
>
<
O.O~---------------------------------- ______________ ____--

~
TIME
Figure 1. Availability for Repairable and Nonrepairable Components
c;j
~
>Ii
....
c:
:::>
::
...< REPAIRABLE COMPONENT
...0
..
1.0
c:
w
::E
:::>
z
0
w
>-
U
w NON-REPAIRABLE COMPONENT
'-
X
w
OL-____________________________________________________
TIME-
Figure 2. Expected Number of Failures for Repairable and Nonrepairable

Nonrepairable Components
491
The unconditional failure intensity. w(t). is the probability that a component fails per unit
time at time t. given that it started in the operational state at time zero. The unconditional
failure intensity is obtained from the analysis of equipment failure data (Henley and
Kumamoto. 1981).
The expected number of failures W(t. t + dt). given that the component started in the
operational state at time zero. is defined as
f
t+dt
W (t,t + dt) = w(h)dh (14)

t
For a nonrepairable component. W(O.t) = F(t) and approaches unity as t gets larger. For a
repairable component. W(O.t) diverges to infinity as t becomes larger. Typical curves of
W(O.t) are shown in Fig. 2.
The conditional repair intensity. u(t). is the probability that a component is repaired per
unit time at time t. given that it started in the operational state at time zero and failed at time t.
The repair rate. r(t). and u(t) differ in a manner similar to the relation between l(t) and m(t).
u(t) = r(t) = 0 nonrepairable component

(15)
u(t) = r constant repair rate r
An unconditional repair intensity. v(t). is the probability that a component is repaired per
unit time t. given that it started in the operational state at time zero.
The expected number of repairs during (t.t + dt) given that the component started in the
operational state at time zero is
f
t+dt
V(t,t + dt) = v (t)dt (16)

t
For a nonrepairable component V(O.t) = 0 and for a repairable component. V(O.t) -too as t
gets larger. Henley and Kumamoto (1981) developed a number of relationships between the
various reliability (availability) parameters.
Using exponential failure and repair density functions. the resulting failure rate ~ and
repair rate 11. according to the definitions given previously. are constants equal to their
respective parameters. For a constant failure rate and a constant repair rate the analysis of
the whole process can be simplified to analytical solutions. Henley and Kumamoto (1981)
use Laplace transforms to derive the unavailability as
U(t) = -1L [1 _ e-~+l1)t] (17)

~+ 11
and the availability

492
A(t) :: 1 - U(t) :: -1L. +-!L (18)

1l+1l 1l+1l
The steady state or stationary unavailability U(e) and the stationary availability A(e) for t
approaches are, respectively,
00
MTTR
U(oo) :: -1!...- :: (19)
1l+1l MTTF +MTTR
and
-.-!l..- MTTF
A(oo) :: (20)
1l+1l MTTF + MTTR
As time gets larger, the steady state (or stationary) unavailability and availability for the
pump can be calculated. The following relation is also true
U(t) :: 1 _ e-(Il+TI)t
(21)
U(oo)
2.4. STATIC RELIABILIIT ANALYSIS
The reliability of a hydraulic system is defined as the probability of the resistance Y to exceed
the loading X. i.e. the probability of survival (Tung and Mays. 1980). The terms "stress" and
"strength" are more meaningful to structural engineers. whereas the terms "loading" and
resistance" are more descriptive to water resources engineers. The risk of a hydraulic
component. subsystem. or system is defined as the probability of the loading exceeding the
resistance, Le . the probability of failure. The mathematical representation of the reliability R
can be ex pressed as
R :: P(Y > X) :: P(Y - X > 0) (22a)
where P( )refers to probability. Y is the resistance. and X is the load. The relationship
between reliability and risk (R) is
R::I-R (22b)
The resistance of a hydraulic system is essentially the flow carrying capacity of the system.
and the loading is essentially the magnitude of flows through or pressure imposed on the
system by demands. Since the loading and resistance are random variables due to the
various hydraulic and demand uncertainties. a knowledge of the probability distributions of
Y and X is required to develop reliability models. The computation of risk and reliability
can be referred to as "loading-resistance interference." Probability distributions for load and
resistance are illustrated in Fig. 3. The reliability is the probability that the resistance is
greater than the loading for all possible values of the loading.
The word "static." from the reliability computation point of view, represents the worst
single stress. or load. applied. Actually, the loading applied to many hydraulic systems is a
random variable. Also. the number of times a loading is imposed is random.
493
fx (x)
and f x (x) (Loading) fy (y) (Resistance)
fy(Y)
a x, y
a y
Figure 3. Graphical Illustration of the Steps Involved in

Reliability Computation
494
2.4.1. Reliability Computation By Direct Integration. Following the reliability definition

given in equation (22a), the reliability and risk of a hydraulic structure can be expressed as
(23)
in which fy( ) and 1)( ) represent the probability density functions of resistance and loading,
respectively. The reliability computations for a hydraulic structure require the knowledge of
the probability distributions of loading and resistance. A schematic diagram of the reliability
computation by equation (23) is shown in Fig. 3.
To illustrate the computation procedure involved, we consider that the loading X and the
resistance Y are exponentially distributed, Le.,
-A. x
fx(x) = Axe xI X ~0 (24)
(25)
Then the static reliability can be derived by applying equation (23) in a straight forward
manner as
f \e-V [1- e-A-.Y] dy

00
=
o
=--- (26)
Ax + AY
For some special combinations of load and resistance distributions, the static reliability can
be derived analytically in the closed-form. In cases in which both the loading X and
resistance Y are log-normally distributed, the reliability can be computed as (Kapur and
Lamberson, 1977)
f
00
R= cj)(z)dz = cf) (z) (27)

-z
495
where f(z) and F(z) are the probability density function and the cumulative distribution
function. respectively. for the standard normal deviate z given as
(28)
where x' == Inx. y' == Iny. '( refers to the mean and 0' refers to the standard deviation. The
table of values of the cumulative distribution function F(z) for the standard normal deviate is
available in any standard statistics textbook.
In cases in which the loading X is exponentially distributed and the resistance is normally
distributed. the reliability can be expressed as (Kapur and Lamberson. 1977)
R= 1-~( ~ -exr [ -H 2V'.-~~)1

(29)
[1-+~1
2.4.2. Reliability Computation Using Safety Margin/Safety Factor.
Safety Margin The safety margin is defined as the difference between the project capacity
(resistance) and the value calculated for the design loading SM == Y - X. The reliability is
equal to the probability that Y > X. or equivalently.
R = P(Y - X > 0) = P(SM > 0) (30)
If Y and X are independent random variables. then the mean value of SM is given by gSM ==
gy - gX and its variance by s2 SM == s2y + s2X. If the safety margin is normally distributed,
then z == (SM - gSM)/s SM is a standard normal variate z. By subtracting gSM from both
sides of the inequality in equation (30) and dividing both sides by SSM' it can be seen that
(31)
The key assumption of this analysis is that it considers that the safety margin is
normally distributed but does not specify what the distributions of loading and capacity must
be. Ang (1973) indicates that provided R > 0.001. R is not greatly influenced by the choice
of distribution for Y and X and the assumption of a normal distribution for SM is
satisfactory. For lower risk than this (e.g . R = 0.00001). the shape of the tails of the
496
distributions for Y and X becomes critical in which case accurate assessment of the
distribution of SM or direct integration procedure should be used to evaluate the risk or
probability of failure.
Safety Factor The safety factor SF is given by the ratio of Y/X and the reliability can be
specified by P(SF > 1). Several safety factor measures and their usefulness in hydraulic
engineering are discussed by Yen (1978). By taking logarithms of both sides of this
inequality
R = P(SF > 1) = P[ln(SF) > 0] =P [In(Y IX) > 0] (32)
If the resistance and loading are independent and log-normally distributed. then the risk can
be expressed as
y
1..:..L
[
1+CV2] x
n Yx 1+ C~
(33)
where CV are the coefficients of variations. Applying the safety-factor approach to the
simple water distribution system would yield the same reliability as that of direct integration
because the exact distribution of SF. in this example. is lognormal.
3. Model for Water Distribution System Reliability
3.1. METIlOOOLOGY
The reliability of a water distribution system can be defined as the probability that the system
will provide demanded flowrate at required pressure head. Due to the random nature of
pipes roughness, water demands. and required pressure heads. the estimation of water
distribution system reliability is subject to uncertainty. This section presents a methodology
by Bao and Mays (1990) to estimate the nodal and system reliabilities of a distribution
system accounting for such uncertainty using Monte Carlo simulation.
The objective of this section is to present a methodology to quantify the hydraulic
reliability for a water distribution system. More specifically. the objectives can be stated as:
(1) develop a methodology based upon Monte Carlo simulation to evaluate the nodal
and/or system reliability of water distribution system associated with the hydraulic
failure;
(2) incorporate the uncertainties of demand and pressure head requirements and the
uncertainty in pipe roughness;
(3) investigate the impact of uncertainty in pipe roughness on nodal and system
reliability; and
(4) examine the sensitivity of reliability to various probability distributions of water
demand. pressure head. and pipe roughness.
The methodology developed herein can be used in the analysis of existing water distribution
systems or in the design of new or expanding systems. This methodology can also be
497
incorporated into optimization-based models for the optimal reliability-based design of water
distribution systems.
The hydraulic uncertainty is considered by treating the demand. pressure head. and pipe
roughness as random variables. Assuming the randomness of water demand (Qd) and the
pipe roughness coefficient (C) follows a probability distribution. a random number generator
is used to generate the values of Qd for each node and C for each pipe. For each set of
values of Qd and C generated. a hydraulic network simulator is used to compute the pressure
heads at the demand nodes. provided that the demands are satisfied. The required pressure
head (Hd) at given nodes can be treated as constant with both lower and upper bounds or as
a random variable. The corresponding nodal and system hydraulic reliabilities are then
computed.
The framework for the methodology is based upon a Monte Carlo simulation consisting
of three major components. namely. random number generation. hydraulic simulator. and
computation of reliability. The random number generator is the core of the methodology
and is used to generate values of the random variables of demand (Qd). pressure head (Hd).
and the Hazen-William coefficient for pipe roughness (C). For each set of values of Qd. Hd.
and/or C generated. the University of Kentucky (Wood. 1980) hydraulic simulation model
(KYPIPE) is used to determine pressure heads for the nodes throughout the water
distribution system. After a certain number of iterations. the nodal or system reliability is
computed.
In the design of a water distribution system. it is very difficult to predict the future
demands for each node. Even for the existing water distribution system. the nodal demand
often changes due to many factors. Because of the randomness or uncertainty in the
demands and pressure heads they are considered as random variables. The hydraulic uncer-
tainty due to the randomness of water demand can be incorporated by assigning an
appropriate probability distribution and its parameters for demand of flowrate and/or
pressure head over a time period. Water demand actually varies throughout the day and
could be divided into different periods each having a different demand level. Similarly. the
uncertainty in determining the pipe roughness can be accounted by specifying a distribution
for C in the random number generator.
Since the needed reliability data available for water distribution systems is usually minimal.
it may be difficult to select the probability distribution that should be used in generating Qd.
Hd. and/or C. In order to perform sensitivity analysis. ten distributions (normal. lognormal.
Gumbel (minimum value. and maximum value). uniform. triangular. Pearson type III. log-
Pearson type III. Weibull. and trapezoid distributions) were used in this study. The values of
the required pressure head (Hd). the demand (Qd). and the pipe roughness coefficient (C)
could be treated as known to be specified by the engineer or as random variables to be
generated by simulation.
3.1.1. Nodal Reliability. The nodal reliability (Rn) is the probability that a given node
receives sufficient flowrate at the required pressure head. So theoretically the nodal
reliability is a joint probability of water flowrate and pressure head being satisfied at the
given nodes. However. it is difficult to mathematically derive and compute this joint
probability. For instance. the flowrate and pressure head at a node are not independent. The
approach used herein is to compute the conditional probability in terms of pressure head
provided that the water demand has been satisfied or vice versa. This approach assumes that
the water demand is satisfied (Qs = Qd). The nodal reliability can be defined as the
probability that the supplied pressure head (Hs) at the given node is greater than or equal to
the minimum required pressure head (Hd l).
498
(34)
Alternatively. both lower and upper bounds of required pressure head. Hd l and Hd u, can be
considered. In this case the nodal reliability is the probability that the supplied pressure head
(Hs) at a given node is greater than or equal to the minimum required pressure head (Hd l )
and less than or equal to the maximum required pressure head (Hd u),
Rn = P (H~ ~ Hs > H~ I Qs = Qd)
~ ( f , (H,) [ <t f dl (H~) dH~)(1 -t <H~) dH~)] dH,

fdu (35)
where fs( ) represents the probability density functions of supply. and fdl( ). fdu( )
represent the minimum and maximum requirements of pressure head at a given node,
respectively. If the required pressure head (Hd) is considered as a constant with lower
bound (~l). the nodal reliability is given. respectively. below
R =P(H >Hdl)=foo f(H)dH (36)

n sIs s s
Hd
or with lower and upper bounds. (Hd l) and (Hd u). the nodal reliability is
f
HdU
R
n
= P (Hud ~ H
s
~ HI)
d
= IS
f (H) dH
S S
(37)
Hd
3.1.2. System Reliability. Although the nodal reliabilities depict a fairly complete reliability
measure of the water distribution system. it is also convenient to use a single index such as
"system reliability" to represent the composite effect of the nodal reliabilities. Such an index
is difficult to define because of the dependence of the computed nodal reliabilities. 111ree
heuristic definitions of the system reliability are considered (Cullinane. 1989).
The system reliability (Rsm) could be defined as the minimum nodal reliability in the
system.
499
(38)
where Rni is the nodal reliability at node i. and I is the number of demand nodes of interest.
Another system reliability could be the arithmetic mean (Rsa). which is the mean of all nodal
reliabilities.
I
""
..J Rm.
i=l
R = --::--- (39)
sa I
A third approach could be to define a the system reliability as a weighted average (Rsw).
,which is a weighted mean of all nodal reliabilities weighted by the water supply at the node.
I
""R,Q.
..J m SI
i=l
R =~--- (40)
sw I
LQ
i=l
Si
where Q si is the mean value of water supply at node i.
3.2. ALGORITHM
The procedure to evaluate the nodal and system reliability of a water distribution for
hydraulic failure is illustrated in the flowchart in Fig. 4. The algorithm includes the
following basic steps:
(1) Assign distributions to Qd. Hd. and/or C.
(2) Generate Qd. Hd and/or C using Monte Carlo simulation.
(3) Compute Hs at all nodes using the hydraulic simulator KYPIPE. assuming Qd is
satisfied (Qs = Qct>.
(4) Compute nodal and system reliabilities.
A computer program for determining nodal and system reliabilities was developed in
FORTRAN V on the CDC Dual Cyber system at the University of Texas. The input data for
the model includes the physical description of the water distribution system required for
KYPIPE. the number of data sets of Qd. Hd and/or C to be generated. type of distribution and
its parameters for the random variables. etc. Different types of distributions (normal.
lognormal. Gumbel (minimum value. and maximum value). uniform. triangular. Pearson type
III. log-Pearson type III. Weibull. and trapezoid distributions) are coded in the simulation
model for examining the sensitivity of the system and nodal reliability to the distributions.
The computer program is written with such flexibility that the pressure head can be treated as
either constant or random. and either with lower bound only or with both lower and upper
bounds. In order to study the uncertainty of pipe roughness in a particular pipe the
simulation model can investigate the case that only the specific pipe of interest has random
values of its roughness while the pipe roughness coefficients in the remaining pipes are
500
No
Assign probability Assign

dist'n of C and/ or Q d
C and/or Qd
Generate C and/or Qd
by Monte Carlo
for each pipe and/or node Continue
Use KYPIPE to
compute Hs
No
Assign probability dist'n of Hct

if Hct is random
Compute nodal reliability using

appropriate equation (34,35,36, or 37)
Compute system reliability

using appropriate
equation (38,39, and/or 40)
Figure 4. Flowchart of Algorithm to Evaluate System Reliability

501
assumed to be constant. The sensitivity analysis of nodal or system reliability to a particular

nodal demand can be done in a similar manner. Refer to Bao and Mays (1990) and Mays
(l989b).
4. Reliability Analysis of Pumping Systems

A new methodology for the reliability analysis of pumping stations for water supply systems
by Duan and Mays (1990) is presented in this section which considers both mechanical
failure and hydraulic failure. The reliability methodology mOdels the available capacity of a
pumping station as a continuous-time Markov process. using bivariate analysis and
conditional probability approaches in a frequency and duration analysis framework. A
supply model. a demand model and a margin model are developed that are used to compute
the expected duration of a failure. expected unserved demand of a failure. expected number
of failures in the period of study. expected total duration of failures in the period of study
and expected total unserved demand in the period of study.
The frequency and duration analysis. referred to herein as the FD approach. allows
derivation of various reliability indices and is well-suited for analyzing the reliability
performance of a pumping system. Not only the failure probability. but also the failure
frequency and the cycle time between failures can be analyzed by this approach. Hobbs
(1985) was one of the first to recognize the importance and applicability of frequency and
duration analysis to water supply systems. Some of his work includes the development of a
methodology to compute the expected unserved demand and the inclusion of storage in the
FD computations.
This section presents a new methodology to analyze the reliability of pumping systems
using a modified FD analysis to make the reliability analysis more realistic and complete.
Both the mechanical failure and hydraulic failure of pumping systems are analyzed in
computing the reliability parameters for the methodology. Hydraulic failure in this context
refers to not meeting required demands and required pressure heads. The methodology has
been programmed into a computer code called RAPS (Reliability Analysis of Pumping
Systems). RAPS is used to determine the following eight reliability parameters for pumping
systems: (1) failure probability; (2) failure frequency; (3) cycle time between failures; (4)
expected duration of a failure; (5) expected unserved demand of a failure; (6) expected
number of failures in the period of study; (7) expected total duration of failures in the
period of study; and. (8) expected total unserved demand in the period of study. RAPS has
been tested on example problems ranging from two pumps and five demand states to ten
pumps and twenty-five demand states.
4.1. RELIABILITY DEFINTI10NS
A stochastic process is a collection of random variables. X(t) referred to as the state of the
process at time t. Herein. a state is the number of operable pumps in a supply model. the
level of demand in terms of both pressure head and flowrate in a demand model. and the
difference between the amount supplied and the amount demanded in a margin model.
Reliability is the probability of remaining in an operating state as a function of time given
that the system started in the operating state at time t = O. The operating state (up) refers to a
pump being operable. i.e. it is either in operation or can be put into operation. whereas a
failed state (down) refers to a pump which has a mechanical failure and is not operable.
Availability is the probability of being found (or residing) in the operating (or operable)
state at some time t in the future given that the system started in the operating state at time t =
O. Unavailability is the probability of reSiding in the failed state at some time t in the future
given that the system started in the operating state at time t = O. The fundamental difference
between reliability and availability is that the former requires that the system be in the
operating state continuously while the latter does not. Hence the availability or unavailability
applies to repairable systems such as pumps in water supply systems. Availability considers
502
the operation-failure-repair process. whereas reliability only considers the operation-failure

process.
The failure rate. m. repair rate. h. and the failure frequency. f. are defined as
= number of failures in a time period

(41)
J.l total operation time
number of repairs in a time period

(42)
total repair time
f = number of failures in a time period

(43)
total operation & repair time
The transition rate is defined as the number of times a transition occurs from a given state
divided by the time spent in that state. which is either m or h.
Consider a single pump which can be in an operable state or in a failed state. as shown in
the state-space diagram in Fig. 5. If it is assumed that the time to failure and the time to
repair follow the exponential distribution. then the transition rate is either the failure rate m
or the repair rate h which are constants and the mean time to failure (mf = 11m) and the
mean time to repair (mr = llh) are finite. It is further assumed that its current state (up or
down) depends only on the immediate previous state. which allows this stochastic process to
be described as an ergodic Markov process. That is. every state of the Markov process can
be reached from all other states of this Markov process either directly or indirectly.
The cycle time between failures is
1
T=- (44)
f
T. mf and mr (Fig. 5) are typically called the MTBF (mean time between failures). MTTF
(mean time to failure) and MTTR (mean time to repair). respectively. Stationary (steady-
state or as time approaches infinity) availability and unavailability. i.e. those which have
constant failure and repair rates. are defined as (Billinton and Allan, 1983)
mf mf 1 f
A = II =-=-- = (45)
=
(ll + J.l) m f + mr T J.lT J.l
and
mr r 1 f
u= u = =-=-=- (46)
(ll + J.l) m f +mr T llT II
where A and U are, respectively, the availability and the unavailability.

From equations (45) and (46), the frequency of entering a particular state is
503
Pump
~ ...
JIll'" Pump
Operable
(Up) ....... Failed
(Down)
11
(a) State Space Diagram for Pump
Up
Down ........ .
T
(b) Mean Time/State Space Diagram

for One Pump System
Figure 5. Single Pump System

504
f = All = U11 (47)
which says that the frequency of entering the up state is the probability of being in the state
times the rate of departure from the state or is the probability of not being in the state times
the rate of entry into the state. The basic concept described above for a single repairable
pump can be applied to multiple pump systems. It should be pointed out that this concept
applies to the long-term or average behavior of the system and is not valid for time
dependent probabilities or frequencies.
To further explain concepts of frequency and duration analysis for multi pump systems.
consider a two-pump system (Pump A and Pump B) in which each component (pump) is
considered to have an up state (operable) and a down state (failed) with failure and repair
rates. rnA. hA and mB. hB for pumps A and B. The state space diagram for this system is
shown in Fig. 6. State probabilities can be obtained by simple independent combinations.
For example. the state probability for state 1 is PI = hAhB/[(hA + mA)(hB + mB)]. Because
the states of the system are mutually exclusive. the state probabilities can be combined to give
the probability of residing in any set of cumulated states. As an example for a series pump
system Pup =PI and Pdown =P2 + P3 + P4 whereas for a parallel system Pup =PI + P2 +
P3 and Pdown = P4
The frequency of encountering an individual state is obtained using equation (47). the
individual state probabilities and the rates of departure or entry to states. Consider that the
two-pump system rates of departure and entry are as follows. Using the previous definition
of the frequency of encountering state I is
f} = p} x (rate of departure from state 1)
11A 11B (11A + !is)

=
(l1 A + 11A )(l1 B + !is)
This concept only applies to communicating states. For example. in the case of state 1. the
only communicating states are 2 and 3 with rate of entry of hA and hB. respectively;
therefore. the frequency of state 1 is fl = P2hA + P3hB. The frequency of encountering
state 4 is f4 = P4 x (rate of departure from state 4) or f4 = P2mB + P3mA. Similar
derivations can be made for f2 and f3 which are the frequencies of encountering states 2 and
3. respectively.
The mean duration of each state is the mean time of residing in each of the states. If mi.
m2. m3 and ffi4 are the mean durations of states 1 through 4. then mi = lI(mA + mB). m2 =
l/(mB + hA). m3 = 1/(mA + hB) and ffi4 = lI(hA + hB). For a series system of two identical
pumps. m 1 is the MTTF or mean up time of the series system. For a parallel system of two
identical pumps. ffi4 is the MTTR or the mean down time of the parallel system. The cycle
time for each of the individual states is the reciprocal of the frequency of encountering the
state T = lIf by equations (44).
The frequency. duration and cycle time of individual states only provide a partial answer
to the reliability analysis of pumps. There may be several states of the system which would
have a similar impact on the system behavior. States leading to the same system outcome can
be combined or cumulated. Consider the two-pump system state space diagram in Fig. 6.
The cumulative frequency of combining states 3 and 4 is denoted as f34. Transition
frequencies included in f34 are the frequencies of all transitions that leave and enter the
confined state (3 and 4) and must ignore all transition frequencies that occur between state 3
505
State 1 ).LA . State 2

AUp A Down
BUp BUp
T1A
~ ~
).LB
,
T1B ).LB
, T1B
).LA
State 3 State 4
AUp A Down
B Down B Down
T1A
(a) State Space Diagram
Rate of Rate of
State
Departure Entry
1 ).LA + ).LB T1A + T1B

2 ).LB + T1A ).LA + T1B
3 ).L A + T1B ).LB + T1B
4 T1A + T1B ).LA + ).LB
(b) Rates of Departure and Entry for States
Figure 6. State Space for Two Pump System

506
and 4 because they do not represent transitions out of the combined state. Cumulative
=
frequency is f34 f3 + f4 - (frequency of encounters between 3 and 4) so
f34 = f3 + f4 - (P3 IlA + P411A)
= P 3 (IlA + 11 B) + P 4 (11 A + 11B) - P31lA - P411A
= (P3 + P4) 11B
The above procedure can be formalized into a recursive equation (Bi11inton and Allan,
1983) which was originally applied to electrical power generation systems. The recursive
evaluation of cumulative frequency has applicability to systems in which individual states
lead to different levels of system outcome. This is important in pumping systems in which
an additional pump increases the output capacity of a system. The procedure uses the
limiting state probabilities derived above to compute the probability and frequency of
cumulated states. The states of the system G = 1, ... ,n) must be ordered so that the smallest
(least pumping capacity) output state is considered first and the largest (greatest pumping
capacity) last or vice versa. The rate of departure from state i to states of greater capacity G-
1, j - 2, ... ,1) is l+j. Similarly, the rate of departure from state i to states of smaller capacity G
+ 1, j + 2, ... ) is Lj- The frequency of entering state j is
f.
J
= P.J (A.+J. + A.-J.) (48)
because the frequency is the probability of being in state j, Pj. times the rate of departure
from state j. The rate of departure from state j is (l+j + Lj) because state j can depart either to
a state with higher capacity or to a state with lower capacIty.
Because the states are mutually exclusive, the cumulative probability (Pj) of residing in
either state j or states below j, G+ \, ... ,1), is
, ~ ,
P. = P. + L PI = P. + P. 1 (49)
J J 1= i+l J J+
The cumulative frequency (fj) of encountering either state j or states below j, (j + 1, j +

2, ... J) is
507
f. = f. +
J J
[l=j+l
fl - (frequency of encounters of states below j + 1)
~
= P. A... +
J +J
[f.'
J+
1 - A. .]
P.J-J
(50)
These equations are recursive such that the new values of P j and fj can be evaluated directly
using the previous values. In the case of continuous time Markov processes, the analyses are
normally based on the transition rates I which are hand m.
The transition rates have different definitions in the supply model, the demand model and
the margin model (as explained later). In the supply model, l+j and Lj are transition rates of
going to a state with higher pump capacity and lower pump capacity, respectively. As an
example considering a two-pump system if one pump fails then the transition rate Lj = m or
if one pump is repaired so that it is operable, then l+j =h. In the demand model, l+k and Lk
are transition rates of going to a state with higher demand and to a state with lower demand,
respectively. In the margin model, l+j is the transition rate of going to a state with a larger
margin, where a margin is simply the difference between supply and demand, and Lj is the
transition rate to a state with a smaller margin, respectively.
4.2. FREQUENCY AND DURATION ANALYSIS OF SUPPLY
For the sake of clarity, a pumping station is referred to as several pumps without any storage
facilities while a pumping system consists of a pumping station and a storage tank connected
by pipes. The model developed in this section is called the supply model, which, together
with the demand model and margin model to be developed later, form the basis for the FD
analysis. The supply model answers the following questions. What is the probability that a
pumping station will operate with one pump down, or with two or more pumps down? How
frequently will this happen and, on the average, how long will this event (state) last, etc.? .
Pump operation is defined through the use of a head-characteristic curve (or simply a
pump curve) which relates its discharge to its total dynamic head (or simply head) as a
continuous functional relationship. The point where a pump operates on the pump curve is
dependent upon the hydraulic characteristics of the distribution system defined by the
system head curve. Both the head and discharge are used to quantify a state of the Markov
process describing the pumping station. Many pumping stations have identical pumps,
hence, identical states are states that have identical characteristic curves.
4.3. FREQUENCY AND DURATION ANALYSIS OF DEMAND
Hobbs, Beim and Gleit (1987) adopted a demand model for a water supply system that
considered only two demand levels for each day where each demand level is a state. A
demand model of a four-state ergodic Markov process is developed in this section. State i in
a single day has a mean duration of ei, i.e., the first state in any day has a mean duration of
el/day, the second state has a mean duration of e2/day, etc. The mean durations of four
demand states in any particular day must satisfy
508
(51)
Because of the special structure of the four state Markov process defining the demand
model, the desired probability can be derived more easily using a frequency balance
approach than using the conventional limiting state equations (Billinton and Allan, 1983).
C w is a set that contains all the demand states that have a mean duration of ew and ni is the
total number of occurrences of demand state i; then, the state probability is
el for state 1
p = { (52)
i n.e
IW
IT i E C
W
W = 2, 3, 4
where Tp is the total period in days. Duan (1988) provides a detailed derivation of equation
(52). The frequency of demand state i is
I for state 1
f ={
i n/T otherwise (53)
The transition rates for demand states can be computed using
r
for i =1
A+1. = 0 e1
for i E (C 2 UC4 ) (54)
l/e3 for i E C3
and
0 for i E (C 1 UC3)
A.-I = l/e2 for i E C2 (55)
l/e4 for i E C4
Each demand state is characterized by both a flowrate and a pressure head. States having
equal pressure heads but different flowrates or equal flowrate and different pressures heads
are considered as different states. In the demand model, identical states are defined as the
states that have equal pressure heads and flowrates but different mean durations. Other
quantities of a merged demand state i can be computed such as the demand. Di, the head, Hi,
the number of occurrences, ni, the departure rate, Ii = I+i + Li, and the mean duration of the
new merged demand state i.
509
4.4. FREQUENCY AND DURATION ANALYSIS OF PUMPING STATION-STORAGE

FACILITY SYSTEMS
The margin model combines the supply model and the demand model by computing the
difference in supply and demand. A margin state k is defined as the joint occurrence of
supply state j and demand state i. The key to computing a margin state correctly is to
compute the expected volume of water in the storage tank at the beginning of the margin
state.
The volume of water in a circular storage tank at the beginning of margin state k is
denoted as V. A tank is divided into vertical segments for which Vg is the g-th value. Since
V is determined by both the demand and supply. it is considered as a random variable. so the
expected volume of water is the storage tank is
Ek(V) = L VgP
g
y I S,D(V=Vg 15=5j'D=Di )
= 0.785 ql L YgPy I S,D (Y = Yg I 5 = 5j' D = D j ) (56)

g
where PYIS.D is the probability of volume Y given the supply (S) and demand (D).
respectively. Sand D are viewed as a single random variable. f is the diameter of the storage
tank. Y is the depth of water in the storage tank at the beginning of margin state k.
To compute Ek(Y) by equation (56). the joint probability distribution of Y and (S. D) is
required. The marginal probability peS = Sj. D = Dj) can be obtained from this joint
probability distribution. The required conditional probability in equation (56) can be
computed using
p[Y=Yg 5 =5. D=D.J

1
l' 1
= --~--r---------~---=- (57)
P(5 = 5j' D = Di)
The expected volume of water in the storage tank at the beginning of margin state k can be
determined by substituting equation (57) into equation (56).
The mean duration of the margin state is also used to quantify a margin state. The
transition rates of margin state k are
(58)
Ak=A
-
.+A.
+1 -j (59)
which are used to compute the mean duration of margin state k.

510
(60)
Using the expected volume of water Ek(V)in the storage tank at the beginning of margin
state k and the mean duration of margin state k, mk' the magnitude (or the margin) of state k
can be computed using
(61)
where Qsj(HOi) is the supply discharge expressed as a function of the demand head HOi
given by the pump characteristic curve corresponding to supply state j; QOi(HOi) is the
demand given by the demand model; and Vmax is the maximum volume of water allowable
in the storage tank. Equation (61) is referred to as the margin model of the pumping station
with a storage tank.
The probability that a margin state k occurs is
Pk = P1. P.
J
(62)
for demand state i and supply state j. Similar to equation (48), the frequency at which
margin state k occurs is
(63)
The following margin model is an equation to compute the magnitude of a margin state
for the pumping station without a storage tank,
Mk ={[ ~j (HOi) -QDi (HOi)] m k,if[ ~j(HOi) -QDi (HOi)] < a

a otherwise (64)
Other quantities of margin state k of the pumping station without a storage tank can be
computed using the same equations for the pumping station with a storage tank, i.e,
equations (60), (62) and (63).
The frequency and duration analysis of pumping station-storage facility systems can be
performed using the above model. A failure of the pumping station-storage facility system
is defined as an event in which the required pressure head and discharge are not satisfied.
From the definition of the margin models, whenever a margin state has a negative magnitude,
a failure occurs.
The FD analysis for the pumping station with a storage tank can be performed in the same
way as that for the pumping station without a storage tank as shown above. All the
information for the pumping station with a storage tank is available at the end of the FD
511
analysis for the pumping station without a storage tank with the exception of the margins,
which can be computed using equation (61). However, further considerations can even
eliminate more computations.
From equations (61) and (64), a margin state in the case of a pumping station with a
storage tank can only be negative if its counterpart in the case of a pumping station without a
storage tank is negative. This is a useful observation which leads to significant savings in
computational effort. This suggests that in order to find the negative margin states in the
case of a pumping station with a storage tank, only the negative margin states in the case of a
pumping station without a storage tank need to be examined. Consequently only those
Ek(V) values need to be computed which correspond to the negative margin states in the FD
analysis in equation (56) for the pumping station without a storage tank. This also explains
why the FD analysis for the pumping station without a storage tank should be performed
first. If the FD analysis for the pumping station with a storage tank were performed first,
then all the margin states would have to be re-examined when performing the FD analysis for
the pumping station without a storage tank.
4.5. ADDmONAL RELIABILITY PARAMETERS
The reliability parameters used in the conventional FD analysis are, in general, not sufficient
to characterize completely the reliability performance of a water supply system. For
example, two water supply systems with the same failure probability, failure frequency and
cycle time can cause totally different failure effects, if the first one almost completely stops
supplying water during every failure while the second still supplies a large proportion of
water that is demanded. Maybe the Simplest way to realize this problem is to consider the
margin state array. Suppose there are two pumping station-storage facility systems whose
margin state arrays look exactly the same except the negative margin states of the first system
have much larger margins (absolute values) than those of the second system, then the above
mentioned problem occurs. That is, the failure probability and frequency of these two
systems will be the same despite the fact that customers of the first system suffer a lot more
than those of the second system. Therefore, the following reliability parameters are
suggested: (1) the expected duration of a failure, E(m); (2) the expected unserved demand
of a failure, E(UD); (3) the expected number of failures in the period of study, E(N); (4) the
expected total duration of failures in the period of study, E(Tm); and (5) the expected total
unserved demand in the period of study, E(TUD).
Consider a set containing all the negative margin states (Mk < 0) in the margin state array,
then the expected duration of a failure for the set of margin states k is
E(m) = k e K (65)
The expected unserved demand of a failure is
E(UO) = k e K (66)
512
and the expected number of failures in the period of study is

,
E(N) = T f (67)
p
where TP is the period of study in days and f' is the cumulative failure frequency computed
in the FD analysis.
The expected total duration of failures in the period of study is
E(T ) = E(N) E(UO) (68)

m
and the expected total unserved demand in the period of study is
E(TUO) = E(N) E(UO) (69)
Similar to the cumulative failure probability, the cumulative failure frequency and the
cycle time between failures, these five reliability parameters should be computed twice; once
for the case of the pumping station without a storage tank and once for the case of the
pumping station with a storage tank.
The unavailability, failure frequency, cycle time, expected number of failures E(N),
expected total duration of failures E(Tm) and expected total unserved demand E(TUD)
decrease after the storage tank is added into the pumping station. The expected duration of
a failure and unserved demand of a failure increase because, introducing a storage tank, it is
more likely that the margin states with smaller negative margins (absolute value) will become
positive margins while the margin states with larger negative margins will remain negative.
Hence, E[m] and E[UD] after the storage tank is introduced are normally larger than those
before the storage tank is introduced. However, since the expected number of failures
decreases, the net result of introducing the storage tank is a reduction in the expected total
duration of failures and the expected total unserved demand, hence, the above results are
consistent with reality.
Among the various teChniques applied to the reliability analysis of water supply systems,
the FD method is a very promising reliability analysis methodology for a pumping system.
However, several weaknesses in the conventional FD analysis should be improved to make the
analyses more realistic and complete. The methodology developed in this paper is such an
attempt. The computer code RAPS computes the eight reliability parameters: failure
probability, failure frequency, cycle time, expected duration of a failure, expected unserved
demand of a failure, expected number of failures, expected total duration of failures, and
expected total unserved demand. The methodology considers the volume of water in the
storage tank at the beginning of a failure and takes into consideration both the flowrate and
the pressure head in analyses. RAPS does not consider any nodal reliability; nor can it
consider the mechanical failures of pipe networks. The model developed herein can be used
to analyze existing pumping systems and to design new systems. This model has been
incorporated into a reliability-based optimization model by Duan, Mays and Lansey (1990)
and Mays (1989a, b).
513
5. Optimization Model for Reliability-Based (A vailabHity) Design of Water

Distribution Networks
5.1. PROBLEM FORMULATION
The overall optimization problem for a general water distribution network design can be
mathematically stated as a function of the nodal heads, H, and the design parameters. The
pipe flows, Q, are a second set of system variables but are not included since they can be
written in terms of H via the flow equations. Since the nodal pressures are generally
considered the restricting constraints in design, the general model can be formulated, with
respect to this set, as
Objective
Minimize Cost f (D, H) (70)
subject to
a. Conservation of Flow Constraints G(H, D) = 0 (71)
b. Energy Equations (loop equations)

c. Head Bounds (72)
d. Design Constraints j.(ID :s; j(D) :s; j(D) (73)
e. General Constraints w(H,D) :s; w(H,D) :s; w(H,D) (74)
f. Reliability Constraints rOO ::; r(R) ::; r(R) (75)

where D is the vector of decision variables which are defined for each component in the
system and represents the dimension of each component, such as diameter of the pipes,
pumps size, valve setting, tank volume, tank elevation, etc. The design constraints are usually
simple bounds but are shown as functions for the general case. The vector R represents the
reliability constraints. The vector H represents the heads at specified locations in the system,
with Hand H being the lower and upper bounds, respectively. The general constraint set W
may include bounds on such parameters as velocity.
5.2. SOLUTION APPROACH
The proposed solution approach employs a technique whereby the problem is reduced to a
form that is more manageable by large-scale nonlinear programming (NLP) codes. The
technique reduces the problem by writing some variables called "state" variables which are
dependent in terms of other "control" (independent) variables using equality constraints.
This step results in a smaller, reduced problem with a new objective and small set of
constraints, many of which are simple bounds, that can now be effiCiently solved by existing
NLP codes. In this problem, the pressure heads, H, will be defined as the state or basic
variables and written with respect to the design parameters, D, the control or nonbasic
variables. This variables reduction technique has been successfully applied to problems in
econometric control, oil and gas reservoir management, groundwater management, and large
water distribution systems without a reliability constraint (Lansey. 1987).
514
SET DESIGN PARAMETERS
COMPUTE ENERGY COST

0.0
OPTIMIZATION MODEL H.Q SIMULATION MODEL
COMPUTE HYDRAUUC AVAILASIUTY,

UNDER NORMAL CONDmONS
0.0
COMPUTE HYDRAULie AVAILABIUTY,

UNDER BREAK CO NDmONS
0.0
Figure 7. Major Calls Between the Optimization Model and the

Simulation Model
515
A water distribution simulation model can be used to solve the network equations for the
nodal heads given a set of design parameters. Figure 6 shows the general concept for linking
between the simulation model and the optimization routine. A computer program,
WSA VOPT (Water .s.upply AVailability OPTimization), has been developed. More
specifically, the solution approach in WSA VOPT will incorporate three basic calls to the
simulation program. These interactions are shown in Fig. 7. In addition, calls are made to
the simulation model for calculation of the required gradients.
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Structural Engineering Division, American Society of Civil Engineers, Vol. 99, No. ST9,
pp. 1891-1910, 1973.
Bao, Y. and L.W. Mays, "Model for Water Distribution System Reliability," Journal of
Hydraulic Engineering, ASCE, Vol. 116, No.9, September 1990.
Beim, O.K. and B.F. Hobbs, "Analytical Simulation of Water System Capacity Reliability 2.
A Markov Chain Approach and Verification of the Models," Water Resources Research,
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Billinton, R. and R. Allan, Reliability Evaluation of Engineering Systems: Concept and

Technigues, Pitman Books Ltd., London, 1983.
Billinton, R. and R. Allan, Reliability Evaluation of Power Systems, Pitman Books Limited,
London, England, 1984.
Coals, A. and I.C. Ooulter, "Approaches to the Consideration of Reliability in Water

Distribution Networks," Proceedings of the 1985 International Symposium on Urban
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Water Forum 1986: World Water Issues in Evolution, American Society of Civil
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Cullinane, M.J., Jr., "Methodologies for the Evaluation of Water Distribution System
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of Texas, Austin, Texas, 1989.
Cullinane, M.J., K.C. Laney, and L.W. Mays, "Optimization-Availibility Based Design of
Water Distribution Networks," Journal of Hydraulic Engineering, ASCE, Vol. 118, No.3,
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Duan, N., "Optimal Reliability-Based Design and Analysis of Pumping Systems for Water
Distribution Systems," Ph.D. Dissertation, Department of Civil Engineering, The
University of Texas, Austin, Texas, 1988.
Duan, N. and L.W. Mays, "Reliability Analysis of Pumping Stations and Storage Facilities," in
Hydraulic Engineering, Proceedings edited by R.M. Ragan, pp. 600-605, American
Society of Civil Engineers, New York, 1987.
Duan, N. and L.W. Mays, "Reliability Analysis of Pumping Systems," Journal oj Hydraulic
Engineering, ASCE, Vol. 116, No. I, pp. 230-248, Feb, 1990.
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Duan, N., L.W. Mays and K.E. Lansey, "Optimal Reliability-Based Design and Analysis of
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ASCE, Vol. 116, No.2, pp. 249-268, Feb. 1990.
Goulter, I. and F. Bouchart, "Joint Consideration of Pipe Breakage and Pipe Flow
Probabilities," Proceedings of the American Society of Civil Engineers 1987 National
Conference on Hydraulic Engineering, pp. 469-474, 1987.
Henley, E.J. and H. Kumamoto, Reliability Engineering and Risk Assessment, Prentice-Hall,
Inc., Englewood Cliffs, N.J., 1981.
Hobbs, B., "Reliability Analysis of Water System Capacity," Proceedings of the American
Society of Civil Engineers Specialty Conference, Hydraulics and Hydrology in the Small
Computer Age, edited by W. Waldrop, pp. 341-346, 1985.
Hobbs, B.F. and G.K. Beim, "Analytical Simulation of Water System Capacity Reliability 1.
Modified Frequency-Duration Analysis," Water Resources Research, Vol. 24, No.9, pp.
1431-1444, 1988.
Hobbs, B, G.K. Beim and A. Gleit, "Reliability Analysis of Power and Water Supply Systems,"
Strategic Planning in Energy and Natural Resources, edited by J.A. Bloom, et aI., 1987.
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Kapur, K.C. and L.R. Lamberson, Reliability in Engineering Design, John Wiley and Sons,
New York, 1977.
Lansey, K.E., "Optimal Design of Large-Scale Water Distribution Systems Under Multiple
Loading Conditions," Ph.D. Dissertation, The University of Texas, Austin, Texas, 1987.
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in Hydraulic Engineering, Proceedings, edited by R. M. Ragan, pp. 475-480, American
Society of Civil Engineers, New York, NY, 1987.
Lansey, K.E. and L.W. Mays, "Optimization Model for Water Distribution System Design,"
Journal of Hydraulics Engineering, American Society of Civil Engineers, Vol. 115, No.
10, pp. 1401-1418, October 1989.
Lansey, K.E., N. Duan, L.W. Mays and Y.-K. Tung, "Model for Water Distribution System
Design Under Uncertainties," the Journal of Water Resources Planning and
Management. ASCE, Vol. 115, No. 10, pp. 630-645, September 1989.
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227, July 1989b.
517
Mays, L.W. and M.J. Cullinane, Jr., "A Review and Evaluation of Reliability Concepts for
Design of Water Distribution Systems," Miscellaneous Paper EL-86-1, U.S. Army Corps
of Engineers, Environmental Laboratory, Waterways Experiment Station, Vicksburg,
Mississippi, January 1986.
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Design," Proceedings, Water Forum 1986: World Water Issues in Evolution, M.
Karamouz, et aI., ASCE, 1272-1279, 1986.
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Mathematical Programming, Vol. 14, No.2, 1978.
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Determination," Proceedings in Hydraulic Engineering, proceedings, edited by R. M.
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Su, Y.-c., L.W. Mays, N. Duan and K.E. Lansey, "Reliability-Based Optimization Model for
Water Distribution Systems," Journal of Hydraulic Engineering, ASCE, Vol. 114, No. 12,
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Division, American Society of Civil Engineers, Vol. 106, No. HY5, pp. 893-913, 1980.
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Hydraulics Division Specialty Conference, Orlando, FL, 1985.
Tung, Y-K., K.E. Lansey, N. Duan and L.W. Mays, "Water Distribution System Design by
Chance-Constrained Model," Proceedings of the 1987 National Conference on Hydraulic
Engineering, p. 588-593, 1987.
Wagner, J.M., U. Shamir and D.H. Marks, "Reliability of Water Distribution Systems," Report
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Methods," Journal of Water Resources Planning and Management, ASCE, 114(3), 253-
275, 1988a.
Wagner, J.M., U. Shamir and D.H. Marks, "Water Distribution Reliability: Simulation
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Waterloo, Ontario, Canada, June 1978.
18
PRESSURE WAVE PROPAGATION IN TWOCOMPONENT FLOW
C. SAMUEL MARTIN
School of Civil Engineering
Georgia Institute of Technology
A tlanta, Georgia 30332
United States of America
ABSTRACT.
The one-dimensional equations of motion for a two-component mixture are expressed

in conservation form. For numerical analyses, the equations are reduced to that of a
one-dimensional homogeneous bubbly model which neglects any relative motion between
the two phases. Hence, the three conservation relationships -- conservation of the gas mass,
of the liquid mass, and the mixture momentum -- yield a set of differential equations that
can be solved by various numerical methods. Comparison of the theoretical and measured
speed of sound is made for both bubbly- and slug-flow. Finally, various numerical schemes
are compared with existing experimental results in the literature.
1. INTRODUCTION
The presence of free gases in liquids can markedly alter the results as well as
complicate analyses regarding the prediction of waterhammer pressures. There are
numerous instances in practice for which a liquid flowing in a conduit contains either
vapor or gas, or both, as a mixture. A vapor-liquid mixture of the same chemical substance
would be termed two-phase, whereas a gas-liquid combination would, strictly speaking, be
called two-component. Typical transient problems associated with two-phase steam-water
flows are (1) sudden interaction of steam and water, (2) rapid depressurization of water at
high pressure and temperature, and (3) cavitation of cold liquids. In both steady and
transient flow, two-component gas-liquid mixtures may occur as a result of free or
entrained gas, or because of the evolution of dissolved gas from solution due to a drop in
pressure or increase in temperature above saturation levels. In this development the
appellation two-phase is applied to both gas-liquid and vapor-liquid combinations. Gases
may be present either in the dissolved or the entrained state, or both, in cooling-water
systems of fossil-fueled and nuclear power stations, in sewage pumping lines, or in crude
oil lines. The effect of the gas compressibility on the wave-propagation speed, and on the
resulting pressure changes, must be considered in any transient analysis for which even the
519
520
smallest amount of gas may be present.
If pressure changes during a transient lower the pressure to, or near to, the saturation
vapor pressure of the liquid, large quantities of gas dissolved in the liquid may evolve from
solution and thereby considerably alter the wave propagation speed. The possible effect of
any dissolved gas or free gas in a liquid is frequently ignored in the transient analysis of
pressure drop in liquid pipelines subsequent to the loss of power to a pump. In practice
free gas probably occurs frequently as a result of the evolution of dissolved gas (gas
release) during a transient. In sewage, however, the free gas content is usually great enough
to have a measurable effect on the acoustic velocity. Pearsall [1] has shown by actual tests
in sewage pumping lines that the acoustic velocity can be reduced by as much as 86
percent as a result of gas content. Later controlled experiments by Martin and
Padmanabhan [2] illustrated the effect of cushioning of injected air into water flow without
gas release. Although dissolved gas in a liquid can not affect the acoustic velocity provided
it remains in solution, gas release during a pressure reducing transient produces the same
end result. As shown by Swaffield [3] and Driels [4], the cushioning effect of released gas
during a severe pressure drop can significantly reduce the maximum pressure rise during
resurge. Kranenburg [5] and Wiggert and Sundquist [6] have demonstrated the importance
of the consideration of dissolved gas and its evolution on the simulation of liquid-column
separation and gaseous cavitation in liquid pipelines.
In large circulating-water systems of nuclear and fossil-fueled power plants the water
is usually saturated with gas, especially if the system contains cooling towers in the circuit.
Due to the required height of the condenser to accommodate the high number of tubes and
the usual low pumping head, the water pressure in the condenser box may even be negative
during steady-flow operation, allowing for possible gas release and entrapment during
normal operation. The calculation of pressure transients subsequent to pump failure can be
complicated by the initial two-phase regime in the condenser as well as further gas release
as the pressure is further reduced toward vapor pressure. Martin and Wiggert [7,8] have
shown the wide discrepancy between actual experimental transient pressure data in a large
cooling-water system and a single liquid-phase theory that completely ignores any presence
of gas, dissolved or free. It is very apparent that there is a dire need for (1) good
two-phase flow models for transient calculations and (2) a better understanding of the
physical chemistry of gas evolution and gas absorption in liquids.
2. DEFINITION OF TWO-PHASE FLOW REGIMES AND MODELING LAWS
In any development of accurate and definitive comprehensive analytical models,

whether one-, two- or three-dimensional, one must recognize the fact that two-phase flow
in conduits can occur in various regimes. Depending upon a number of factors, but in
particular upon the mass flow rates in the respective phases, the flow pattern may range
from completely dispersed gas (bubbly flow) to completely dispersed liquid (mist or
annular mist). Gravity can produce a significant effect on the flow pattern development as
the conduit inclination is changed. For steady flow some of the flow regimes that have
521
been identified for vertically upward flow and horizontal flow are presented in Figure 1.
The number of possible regimes that can be identified in either case depends to some
extent on the observer.
The vast difference between some of the flow patters exhibited by Figure 1 would
suggest that the possibility of the development of a universal two-phase analytical model
is rather remote. In fact, the effect of relative velocity between the phases, phase
interaction, and heat, mass and momentum transfer can have a much greater effect for one
flow regime than another. Although the most suitable model may vary depending upon the
flow regime analyzed, for flow in long conduits the assumption of one-dimensionality is
usually not a severe limitation.
.. ....
011
i=?: . ~ ~.
...
{ .... 0 . 0
BU bbl ':10' 0."'." .".0 '. " ~
..
0
0 .0 0 -
'

0 '0
., ,
0; ~ .
D
0
'.
..
. .
o '.
0
0 O
<:> Plug :c:::::;:? o :c:=:::J
0
... 0
0
D ~ b
.-.
Q. Stratified
o
0
.. ..
O~
~rz;
0..,.
.. .
. .
-.. "..
0
C:7.'
0
--. . 0
0
n
~-----':)"\'---~)
.~:
o
0
SI ug n
I'r(_ - . . - / . :
6"
:
o~ !!-
~ ~ ~ . . . . . . . . . . '...
A nnular. ' . . . . . '.
Bubbl':l Slug Churn Annular
a) Vertical Flow b) Horizontal Flow
Figure 1. Definition of Two-Phase Flow Regimes
As reported by Wallis [9], the most widely used analytical models are the homogeneous
model, the separated-flow model, and the drift-flux model. Unless there exists a significant
difference in the velocities of the respective phases the homogeneous model can be applied
with moderate success to dispersed flows, whether bubbly or droplet. In the homogeneous
model the components are treated together as a single pseudofluid with average properties.
Inasmuch as the slip between the gas and liquid is not considered, the gas and liquid
velocities are assumed equal at every instant.
In some transient and steady flows, inertial and gravitational effects can play an
important enough role that the relative velocity between the air bubbles and the liquid
should be considered. Hence, apart from the simplicity involved, a homogeneous model
may not be appropriate in many cases. In the separated-flow model the phases are
considered to flow side-by-side, interacting with each other. Generally, a separated-flow
model will necessitate six equations to represent the conservation of mass, momentum, and
energy of each of the phases. Additional equations describing the interaction between the
522
phases are also needed, severely complicating the problem. Often a simplified version of
a separated-flow model is used in which one or more of the conservation equations are
written for the mixture rather than for the individual phases. In this type of formulation
only the velocity difference between the phases is included.
In the drift-flux model the relative motion between the two phases is given attention
rather than the motion of the two phases individually. This model is particularly
remarkable, in that it can include the effect of velocity and concentration profiles.
However, since several empirical relationships are an essential part of the drift-flux model,
it may not have a general applicability for a wide range of problems. The relative
advantages and disadvantages of each of the above models are dependent upon the nature
of the transient two-phase flow.
3. DEFINITION OF TWO-PHASE FLOW QUANTITIES
For a flowing two-phase mixture there are two mass flow rates, two concentrations, two
velocities, etc. The subscripts used for the two phases are t for the liquid and g for the gas
or vapor. Considering the entire conduit cross section the average volumetric concentration
of the gas is defined by a . If the respective gas and liquid densities are Pg and PI the mean
mixture density Pm is
Pm = a Pg + (1 - a) P, (1)
The total mass flow rate G is given by
(2)
in which Gg and GI are the mass flow rates of vapor and liquid, respectively. The flowing
mass concentration or mass quality is defined as
G
'11 = g (3)
Gg +G,
the total volumetric flow rate or discharge
(4)
for which the volumetric concentration or quality

p= <?g (5)
<?g + <?,
The inherent difference in the velocity of the two phases allows for the possibility of
numerous definitions of velocities and fluxes. The volumetric flow rates per unit area, or
volumetric fluxes, are defined as
523
Q (6)
Mixture i A.
Qg (7)
Gaseous Phase
A.
. Q, (8)
Liquid Phase it = A
from which
The velocities of the two phases are based upon the area occupied by each phase
V = Qg = ig (10)
g IX A. IX
and
Q,
V, = (11)
(1 - IX)A. (1 - IX)
In some models the relative velocity
Vr=Vg-V, (12)
is employed, while the drift-flux model is based upon the use of the velocity of the gas
phase relative to the center of volume of the mixture.
4. ONE-DIMENSIONAL EQUATIONS OF MOTION
The fact that two-phase flow in conduits can occur in many different regimes -- bubbly,
slug, chum, wispy-annular, and annular, to name a few -- complicates the development of
comprehensive one-dimensional models. The most widely used models are the
homogeneous model, the separated-flow model, and the drift-flux model. Unless there
exists a significant difference in the velocities of the respective phases, the homogeneous
model can be applied with moderate success to dispersed flows, whether bubbly or droplet.
Relative velocity effects can be incorporated into the separated-flow and drift-flux models.
In the latter case, however, one must have knowledge of the drift-flux or drift-velocity term
in the momentum equation. The first step in the analytical modeling of unsteady two-phase
flow is deciding upon the proper constitutive equations; that is, whether they are to be
homogeneous, separated, or drift-flux representations. The next step is the development and
testing of various explicit or implicit numerical modeling techniques.
For a two-phase or two-component mixture a one-dimensional separated-flow model

will require six equations to represent the conservation of mass, momentum, and energy
of each phase. Additional relationships are needed to describe the interaction between the
524
phases. Frequently, a simplified version of a separated-flow model is employed in which

one or more of the conservation equations are formulated for the mixture rather than for
the individual phases. Only the velocity difference between the two phases is included in
this type of formulation, which is usually called a drift-flux model, Wallis [9]. Although
empirical information is required, the effect of both local velocity and void fraction profiles
can be incorporated into the analysis.
Separated-Flow Model.-- In the separated-flow model the fluid and flow properties of each
phase are considered separately. The phases can be imagined to flow side by side at
different velocities. Interphase interaction can be incorporated into the six conservation
equations of mass, momentum, and energy. Of course, the solution can only be effected
if the constitutive relationships of shear stress, heat transfer, momentum transfer, phase
change, and thermal and caloric equations of state can be defined. In the following
development all flow properties are cross-sectional averages. As derived by Yadigaroglu
and Leahy [10] the mass conservation equations are
~(p aA) + ~(p a VA) = rA (13)
at g ax g g
for the gas or vapor phase and

a a
at[PtC1- a)A] + ax[p/(l- a)V/A] = -rA (14)
for the liquid phase. The cross-sectional area of the pipe is A, and x is the axial coordinate
along the pipe. The quantity r represents the mass rate of phase change or gas absorption
or production per unit volume. Clearly a constitutive equation is needed to incorporate this
quantity into any analysis. The conservation equations of momentum for the phases can
be formulated to include the effect of interfacial shear as well as the effect of mass transfer
r on the momentum transfer. For the gas or vapor phase
a a
a/Pga VgA) + ax (pga VgA) =
2
(15)
The liquid-phase momentum equation is

a a 2
at (Pl(l - a) J-lA) + ax (p/(l - a) Yt A)
(16)
- (1 - a)A ~~ - gPl(l - a)Asin6 - 'tw/P1 + 'tjPj - rV/A
The interfacial shear and interfacial perimeter are 'tj and Pj' respectively. The shear stress
imparted by the wall to the gas perimeter Pg is 'twg The corresponding shear stress and the
525
portion of the wall wetted by the liquid are 't..t and Pt, respectively. The pipe is inclined to
the horizontal at the angle O. In the derivation of Eqs. (15) and (16) it was assumed that
the momentum transfer between phases due to mass transfer can be related to the liquid
velocity Vt, above.
Although energy conservation equations can be derived separately for each phase, they
are combined here to form the mixture energy equation
~[p cx(e - L)A + p,(l - cx)(e,-.E.. )A] +
at g g Pg P,
(17)
in which qw is the wall heat transfer and q the volumetric heat generation. The specific
energy for each phase is defined by
v;2k e (18)
ek = hk + - + gzsm
2
in which the subscript k refers to either subscript g or t and hk is the enthalpy for the
respective phase. The five conservation Eqs. (13-17) and Eq. (18) must be supplemented
with constitutive relationships for
in order to effect a solution.
Homogeneous Model.-- For the homogeneous model the two phases or components are
treated as a single pseudofluid with average properties. As explained in Martin et aI. [11],
it is assumed that there is no relative motion or slip between the phases, or V g = Vt = V.
The mass, momentum, and energy conservation equations for the pseudofluid are identical
to those for a single-phase flow. The conservation of mass is obtained by adding Eqs. (13)
and (14)
~(p A) + ~(p VA) = 0 (19)
at m ax m
The mixture conservation of momentum for Eqs. (15) and (16) becomes
~(p
at m
VA) + ~(p
ax m
V 2 A) = -A ap - gp Asine -
ax m
"w P (20)
From Eq. (17) the conservation of energy for the mixture is

~ [p (e - L )A] + ~ [p e VA] = q P + qA (21)
at m m Pm ax m m w
The homogeneous model is suitable for flows for which the effect of relative motion is
526
negligible and there is no interfacial mass, momentum or heat transfer. For example, a
separated-flow model is required to assess the effect of vapor or gas production by use of
a constitutive relation for r.
5. TRANSFORMATION OF EQUA TIONS OF MOTION
From a limiting two-equation set from the homogeneous model to a complete

six-equation set from the separated-flow model, the method of characteristics can be
applied if the system of equations is hyperbolic. For example, if no slip is allowed in the
separated-flow model, and if the gas momentum is neglected in the mixture momentum
equation, the following three-equation set evolves from Eqs. (13), (14), and (16)
~(p aA) + ~(p a VA) = rA (22)
at 8 ax 8
~ [p,(l - alA] + ~ [p,(l - a) VA] -rA (23)

at ax
and
~[p,(l-a)VA] + ~[p,(l-a)V2A]
at ax (24)
-A ap - gp,(l - a)Asin6 - .wP

ax
Following the procedure of Martin et at. [11], the material derivative is defined as
d = ~ + V~ (25)
dt at ax
and the fluid elasticity
dp. k = g I
-1_ (26)
Kk dt ' ,
The rate of change of the pipe area can be related to the pressure by
ldA = Rdp (27)

A dt Ee dt
in which E is the thickness of the pipe wall, and E is Young's modulus of elasticity of the
pipe material. Substitution of Eqs. (25 - 27) into the continuity equation results in
527
[~ + ~] dp + .! da. + av = 0 (28)
Kg Ee dt a. dt ax
1 D ] dp 1 d(l - a.) av - 0 (29)

[ Kl + Ee de + (1 - a.) dt + ax -
The simplified mixture momentum equation can be written as

dV + 1 ap + ...LVIVI + gsin6 = 0 (30)
dt PI (1 - a.) ax 2D
if
(31)
in which f is the Darcy-Weisbach resistance coefficient for the mixture.
The three equation set represented by Eqs. (28 - 30) constitutes a quasi-linear
hyperbolic system. Following the techniques described by Forsythe and Wasow [12], the
characteristic roots and compatibility relations can be found. Equations (28 - 30) can be
rearranged into the more convenient form
aa. + Vaa. _ c av = b (32)
at ax 1 ax 1
(33)
av av ap
+ V- + c3 - = b3 (34)
at ax ax
in which
(35)
[~
Ee
+ ~
Kg
+ (1 -
Kl
a.)]
1
(36)
528
1
(37)
PtO - a)
(38)
PgPI (
D
Ee
a
+ -K +
(l -
K
a)
g 1
r (l_la )Pl + ~] (39)

1 1
Kg K,
b =-gsin6-
3
L2D VIVI (40)
As shown by Martin et al. [11], the characteristic roots for the system of Eqs. (32-34) are
(41)
and
"-2,3 V a (42)
in which
a 2 = _ _ _ _ _ _1_ _ _ _ __
(43)
(1 - a) Pl[_D- + _a + ....:..(l_-_a...:...)]
Ee Kg K,
The compatibility relations for Eqs. (32-34) can be formulated in a straightforward manner,
(Forsythe and Wasow [12] or Ames [13]). Along the two characteristic lines for pressure
wave propagation
dx = V a (44)
dt
and the compatibility equations are
dp ~ dV 'f ab3 (45)
dt c3 dt c3
529
For the third characteristic

dx
v (46)
dt
and the compatibility equation is
(47)
The significance of Eqs. (46) and (47) can be exemplified by relating pressure, gas density
and void fraction. Assuming ~ :. Kg in Eq. (36), and substituting Eq. (26), Eq. (47)
becomes
d [ a: Pg 1
dt 1 - a: = 0
(48)
which is the differential form of Boyle's Law. Whereas Eq. (45) governs the propagation
of pressure pulses along the characteristic lines given by Eq. (44), Eq. (47) or alternately
Eq. (48) relates to the transport of the gas phase along the characteristic dxldt = V, which
in many pressure transient problems is much steeper on a x-t plane than are the dxldt=V
a lines. This is graphically shown in Figure 2. The three compatibility relations can be
integrated, each along its respective characteristic to yield a simultaneous solution for p,
V and a.
c Characteristic
Figure 2. Definition Sketch for Characteristic Lines and Path Line in x-t Plane
It should be mentioned that a six-equation set, depending upon whether or not the problem
is well-posed, can lead to complex roots, as explained by Lyczkowski [14].
530
6. ACOUSTIC VELOCITY
Equation (43) is the theoretical acoustic velocity or wave propagation speed of a

pressure wave in a two-phase mixture under the associated assumptions of homogeneous
flow and no slip. The term DIEt can be important in single-phase liquid flow or in two-
component flow with very low values of the void fraction a. For moderate to low values
of a the pipe wall elasticity effect is minimal, however. The effect of the gaseous
component is represented by two quantities -- the void fraction a and the pressure p, as
represented by the bulk modulus of elasticity of the gas Kg. For a very inelastic metal pipe
the pronounced effect of both the pressure and void fraction are clearly apparent by the
two curves on Figure 3, which are plots of Eq. (43).
ffiOOr----------r----------r---------~----------,
1200
t)
11)
~
El
.S
'"
"0
11)
800 p=0.5 MPa (Gage)
11)
0..
V)
11)
~
~ 400
p= 0 (Gage)
0
0 0.005 0.01 0.Q15 0.02
Void Fraction a
Figure 3. Theoretical Acoustic Velocity for Homogeneous Two-Phase Flow
Various investigators have measured the acoustic velocity in two-phase and two-
component flow situations. Many of the measurements have been conducted in the bubbly-
flow regime. Figure 4 shows the results reported by Kobori et al. [15], as reported by
Wylie and Streeter [16], for an air-water mixture for low void fractions.
Researchers in acoustics have also investigated the effect of the frequency of oscillation
on the acoustic velocity. Historically, there have been such investigations by Semenov and
Kosterin [17], Grolmes and Fauske [18}, and Karplus [19]. Regarding the effect of bubble
size and sound attenuation, the paper by Silberman [20] provides fundamental
531
1250 (X)
o Experiment
0
- Theory
\.
u 1000
0
...
(1) Static Pressure
-S!:. 0.324 MPa
8
.S 750
'"
"0
(1)
(1) \
~
(1) 500 ~
~ ~
~ ~
~ ~ r--
250 0
0.002 0.004 0.006 0.008 0.010

Void Fraction a
Figure 4. Measured and Theoretical Wave Speed in Air-Water Mixture, Kobori et aI. [15]
treatment of the subject. Figure 5 shows recent measurements by Ruggles, Scarton, and
Leahy [21,22] for different bubble sizes in a bubbly batch-flow apparatus.
r-
I76
130
C,)
 rI2 u
~ 
!3 ~ 126
!3
.9 168
oS
.9
oS 122
"0
 "0
 164 
p,. 
Vl p,.
Vl 118

~ 160 
~ ~
~ 114
156 0
Frequency in Hz Frequency in Hz
Figure 5. Effect of Frequency and Bubble Size on Acoustic Velocity, Ruggles et aI. [21,22]
532
Slug Flow.-- As reported by Wallis [9], slug flow may occur in conduits in all orientations
-- horizontal, sloping, or vertical. For horizontal vertically upward, and vertically
downward slug flow, the magnitude of the relative velocities, the drift velocity, and the
relationship between bubble velocity and the fluxes of the two phases are fairly well
understood for steady conditions. For the transmission of pressure waves in slug flow the
presence of voids in the liquid slug, the existence of a thin liquid film on the pipe wall,
and the incomplete transfer of momentum between phases can be expected to have an
effect on the magnitude of the pulse speed. If the void fraction is increased beyond 0.2,
then bubbles begin to coalesce, forming larger bubbles, eventually leading to the slug flow
regime, especially for vertical flow (Figure 1). As reported by Martin et ai. [11], two-
phase bubbly flow and slug flow of an air-water mixture was investigated in a 26.0 mm
clear lucite pipe 18.8 m in length. The thick-walled pipe shown in Figure 6 forms an
inverted U. Water enters the pressurized reservoir and flows vertically upward through the
HORIZONTAL LEG
AIR INJECTION ASSEMBLY

COMPRESSED AIR
SOURCE
r.-;
!
'.
a:
w
8.
',0. V-:COPPER SLEEVE a:
f ; '.: ;, l-AIR w
a:
U)
I SINTEREDo :.: :~;

8 STAINLESS
STEEL ~
;:rSTREAMLlNED ENTRANCE
~ t
TUBE
WATER
AIR
/ ' i'-...INFLUENT
REGULATED . .j I '\
AIR PRESSURE ~f=.-M---J
-CONTROL VALVE
-""
EFFLUENT
SEE AIR
INJECTION ASSEMBLY--~
-~
SCALE
I I I I I I I
a 0.5 1.0 1.& 2.0 2.5 3.0 BEND
METERS METER
Figure 6. Inverted U-Tube Air-Water Facility, Martin et ai. [11]

533
streamlined entrance, which is always submerged. Compressed air is injected into the
flowing water through a porous wall made of sintered stainless steel. Although the
apparatus was controlled to yield bubbly flow for the results reported by Martin et ai. [11],
by increasing the mass flow rate of air the bubbly flow regime became slug flow. Details
of the characteristics of vertical slug flow under nominally steady-state conditions are
described in Martin [23]. Pulse propagation within the slug-flow regime have been
published by Martin and Padmanabhan [24]. For the slug-flow regime the valve at the
downstream end was moved suddenly, but not necessarily completely to the closed position
in order to generate pulses. By utilizing the time-of-travel method, the acoustic velocity
was determined at various locations -- vertical legs and horizontal leg. Figure 7 shows the
results for a range of void fractions in the slug-flow regime, compared to the theory of
Henry, Grolmes, and Fauske [25]. Clearly, the homogeneous model yields a much better
representation than their theory (also see Hsu and Graham [26]), which is based upon time-
of-travel between idealized plugs of gas and liquid placed end-to-end.
700r-----~----~------~-----r----~------,
Slug-Flow Theory of
Henry, Grolmes and Fauske
500
Experiment
200
Homogeneous
-
Flow Model (a(= 341 m/sec ; a g = 616 m/sec)
100
..
o~----~----~------~----~----~----~'
0.3
Figure 7. Wave Propagation in Slug-Flow Regime, Martin and Padmanabhan [24]

534
7. SHOCK WAVES
The propagation speed of small-amplitude pressure pulses is equal to the acoustic

velocity, and hence can be represented by Eq. (43). As the propagation speed increases
with an increase in pressure and a decrease in void fraction, however, a compression wave
propagating in a gas-liquid mixture undergoes a continuous change in form due to the
steepening of its front, a process which may ultimately result in the formation of a shock
wave, as depicted by the sketch in Figure 8. In contrast to waves generated in shock tubes,
shocks formed in flowing bubbly mixtures may undergo even further changes in shape as
a result of prevailing gravitational and frictional pressure gradients. The structure of a
shock wave in a bubbly gas-liquid mixture is characterized by a steep-rising frontal region,
pressure oscillations at the rear of the shock, and a smooth region over which the pressure
gradually attains its final value. Shocks are classified according to the phenomena of
compression, frequency dispersion, and dissipation, all of which are associated with the
radial and translational relative motion of the bubbles.
, Po
-,
/ 1. 1
SHOCK SPEED U
4
If a shock actually forms during the transient, like characteristic lines will intersect,
rendering invalid the usage of the irregular grid method of characteristics described earlier.
The Hugoniot or conservation relationships of continuity and momentum across the shock
must also be employed for either an irregular of fixed-grid method. Shock wave formation
was investigated in the inverted U-Tube facility shown in Figure 6 by Padmanabhan and
Martin [27]. For the most rapid valve closure 50 ms) and the lower range of the void
fraction, a shock wave was always found to form somewhere along the pipe. Figure 9
shows the actual characteristic lines from a computer simulation indicating a steepening
535
of a weak shock wave for the closure of the downstream valve.
t
0.09
0.08
0.07
U)
CI
z 0.06
0
u
w
U)
0.05
~
w 0.04
:&
j:::
0.03
0.02
0.01
2 4 6 8 10 12 14 16 18 x
DISTANCE ALONG PIPE IN METERS VALVE
Figure 9. Irregular Grid Illustrating Shock Formation in U-Tube Apparatus [11]
The steepening of pressure waves was also experimentally investigated by Martin and
Padmanabhan [2] in an apparatus consisting of a 13.41 mm copper tube 102 m in length,
Figure 10. Tests were conducted by first establishing an equilibrium steady flow of water
and air in the copper tubing, and then rapidly slamming manually the quick-acting gate
valve at the discharge end of the pipe. Figure 11 is a composite of the results of the
pressure traces at all nine pressure taps for one set of conditions; namely an initial
reservoir pressure, Po = 0.207 MPa, and an initial volume concentration, or quality, Po =
0.0050. This latter quantity is the ratio of the volumetric flow rate of the gas phase to the
total flow rate of both phases. The steepening of the compression wave as it propagates
up the pipe suggests the formation of a shock wave. The increase in the wave propagation
speed as the pulse moves in the negative x-direction is also apparent when the loci of the
initial rise of the pressure traces are plotted on a space-time plane (x - t plane), as shown
in Figure 12.
The data for the run shown on Figure 12 suggests that, even though a shock probably
formed in the vicinity of xIL = 7/8, its corresponding speed and thickness varied
continuously to a location beyond xIL = 112. A further evidence of shock formation before
xIL = 7/8 is the appearance of higher frequency pressure fluctuations behind the
536
compression wave on all the traces except x/L = 1. These fluctuations generally are
associated with larger bubbles and an associated adiabatic behavior. As indicated by the
COIL DIAMETER
I... 927 mm
~I
COIL
x/L = 1/2 O-<==========::J HEIGHT
564mm
1
FROM SUMP BEND
PUMP c===============~==t=~~==~METER
x/L = 1
l
TUBE DIAMETER = 13.41 mm
TUBE WALL THICKNESS = 1.24 mm
TUBE LENGTH = 102 m TO SUMP
Figure 10. Schematic of Copper-Tubing Apparatus
pressure traces on Figure 12 the steep shock wave that reaches the pressure tank reflected
back as an initially sharp rarefaction wave, gradually flattening out as it propagated back
toward the valve at nearly a constant speed.
The paper by Padmanabhan and Martin [27] reports on the structure of shock waves
in two-component gas-liquid mixtures. For shock-wave photographs obtained over a range
of air concentrations, no significant changes in the shock structure were observed, except
that the oscillations behind the shock appeared to be strong in the downcomer and very
weak in the riser of the inverted V-Tube of Figure 6. The effect of the frictional and the
gravitational pressure gradients on shock structure appears to be negligible when comparing
the pressure traces of equilibrium shocks.
537
RESERVOIR 130 = 0.00500

x/L=O
2= 0.207 MPa
0.202 MPa o
II
II
I I
I 1
x/L= 1/8
0.I79 MPa
I
, 1
, 1
, 1
I I
I
x/L= 114
0.155 MPa 1
1
I
I
\
oj
r;l.; x/L= 3/8
~ 0.13~_M!'a_
.9 0]5
e::s e~ 0.50
~~
...'"'"
II)
r;l.; x/L= 112 e 1:1

r;l.; .~
0.25
0.108 MPa
0
x/L= 5/8
0.0848 MPa
x/L= 3/4
0.0614 MPa
x/L = 7/8
O.0379MPa
I
I
I
VALVE,'
x/L= 1 I
0.0145 MPa
o 0.2 0.4 0~6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2
Time in Seconds
Figure 11. Pressure Traces Showing Shock Formation in Copper-Tubing Apparatus

538
\ \\ \
\ \ \
~n~~~5
1\ 1\ 1\ 1\ \ ~o
C:O:oCl eee
1\ \ \ \ \ \ 1\
\ \ \ \ \\
'\
1\
\ "\ \ \ \\ 1\ :\
1\
\ \ \ \ \
\ -\ \ \ \ 1\ \
11
1\ \ ~\ \ \ \
I--~
1.0
..A ~
~ VIj
~ ~~~~~
~ oo
~~d ~~~
0__
.#
~o
Ij II
C:O:oCl eee
fl ~~
/- Vj (1 Ifll
/ V VI ) Jj
'/ ) II I If ]
/
~
/
v/ VJ J 1 J
~
l!.,o
VI 1/ I J /I o
o
Figure 12. Space-Time Plots of Front of Shock Wave in Copper-Tubing Apparatus [2]
539
8. NUMERICAL ANALYSIS TECHNIQUES
Numerical solution to Eqs. (44-47) can be accomplished either by using an irregular

grid of characteristics, or by constructing a grid of specified time and distance intervals in
the x-t plane. For rapid pressure increases shock waves can form in mixtures similar to
those in gas dynamics. Like characteristics then begin to intersect, signifying the formation
of a shock, as shown in Figure 9. A complete simulation of the propagation of a strong
shock along a conduit necessitates satisfying Hugoniot shock equations as well. In the case
of weak shocks or no shock at all it is convenient to approximate the characteristic and
compatibility equations on a fixed grid of constant ilt and ilx increments. It is possible to
allow ilt to vary from time step to time step, however, so that interpolation errors can be
minimized. Wiggert and Sundquist [28] have recently employed a modified method of
characteristics that reduces numerical interpolation errors that occur in situations with a
variable wave speed.
When attempting to analyze transient pipeline flows in which free gas is present, either
by entrainment or by release mechanisms, problems are encountered due to the unavoidable
presence of numerical dispersion and attenuation produced by the chosen finite-difference
scheme. Physically, such flows likewise are dispersive because the acoustic wave speed is
variable, being dependent upon the instantaneous void fraction and system pressure.
Unfortunately, the degree of attenuation often times is of the same magnitude for both
mechanisms, and thus it becomes difficult to ascertain the true nature of pressure and flow
perturbations propagate through a piping system. In a number of unsteady flow situations
-- pump startup or shutdown in a large cooling water condenser -- perturbations containing
high-frequency components likely do not exist, in part due to the nature of the excitation,
and due to the probable presence of entrained air. The choice of an appropriate numerical
scheme then becomes one which will minimize the numerical errors, possess ease of
assembly, and execute efficiently.
In the literature, numerical schemes that have been developed for one-dimensional
two-component flows include the method of characteristics, Lax-Wendroff, explicit-
implicit, a plethora of explicit schemes, and pure implicit methods. With the explicit
techniques, the analyst is restricted to a time step based on the Courant criterion C =
ailtlilx. For relatively slow transients this may be an unnecessary constraint, resulting in
excessive computation times. In addition, since the acoustic wave speed is variable, one
must be conservative and select a time increment using a maximum expected value of the
wave speed. Additional problems encountered include the use of interpolations for the
method of characteristics, the need for artificial damping with the Lax-Wendroff and other
explicit schemes, and biasing or weighting when using the implicit methods.
If the constitutive equations can be written in so-called conservation form, the two-step
Lax-Wendroff [29] numerical scheme defined in Figure 13 has the advantage that shock
waves and other discontinuities can be treated. Kranenburg [5] has employed this technique
for the analysis of gaseous cavitation and liquid-column separation in conduits. Richtmyer
540
and Morton [30] have explained in detail the Lax-Wendroff explicit scheme and the
associated stability conditions. The first step in this procedure is to formulate the three
constitutive equations in conservation form. Details of the numerical procedure are
discussed in Martin et al. [11]. For situations for which shock waves may occur the
solution produces an overshooting of the shock front, followed by damped oscillations. The
overshooting and associated oscillations can be completely eliminated by introducing
additional numerical damping or pseudoviscosity. This is accomplished by means of a
smoothing parameter e, which can be utilized only if e is greater than eo, a reference value
of 8. By trial a value of eo can be attained which ensures that the smoothing operation just
suppresses the high frequency oscillations, and at the same time has the least effect on the
low frequency ones. In the past numerical modeling of one-dimensional unsteady
two-component or two-phase flow has been accomplished using different algorithms,
among them the method of characteristics, explicit-implicit schemes, and others. The
modeling of these complex flows has posed special problems due to the unavoidable
presence of numerical dispersion and attenuation.
t
~o First Step
i i+l
0
i+2
i+3
Second Step
.'
t+2~t j+2
,
t+~t
\; j+ 1
1".'
;/
' ..... j
x
x x+~x x+2~x
Figure 13. Definition of Lax-Wendroff Grid Martin et al. [11]
As indicated by the sketch on Figure 13, the Lax Wendroff two-step scheme is an
explicit finite-difference scheme of second-order accuracy. The first step, which may be
considered as an intermediate step, is of first-order accuracy. Details describing the method
and discussion on stability criteria are available in Martin et al. [11].
The Explicit-Implicit scheme formulated by McGuire and Morris [31] is a combination

of the explicit scheme and the implicit scheme they proposed earlier. The paper by
Padmanabhan et al. [32] explains of the formulation of the finite-differencing. Figure 14
illustrates the grid employed and the respective computational nodes for both the explicit
and implicit calculation modes.
541
o EXPLICIT IMPLICIT
j+2
1
j+l
1
T }-LlX-+
i+l i+2 i+3 i+4
Figure 14. Definition of Grid for Explicit-Implicit Numerical Scheme [32]
A numerical approximation which has found success in unsteady one-dimensional

open-channel flow analysis is the four-point centered implicit scheme. Like the three-point
implicit scheme, it does possess the feature of employing a time step greater than that dic-
tated by the Courant criterion; that is, it is possible to allow C > l. Figure 15 shows the
grid employed and the cell used for formulation of the equations, which result in the final
solution of a system of simultaneous nonlinear algebraic equations, as explained by
Wiggert et at. [33].
t
I 1+ 1
j+1
Tot.t i
Figure 15. Definition of Grid for Four-Point Implicit Method [33]

542
Finally, Chaudhry and Hussaini [34] introduce three second-order explicit

finite-difference schemes -- termed MacCormack, Lambda and Gabutti methods. They
show that, for the same accuracy, second-order schemes require fewer computational
nodes and less computer time as compared to those required by the first-order characteristic
method. The MacCormack scheme [35] consists of both predictor and corrector steps, but
is second order in accuracy in both space and time. It is basically dissipative, and in both
predictor and corrector steps one-sided finite-difference approximations are used. The
method allows for forward finite-difference approximations in the predictor part and
backward finite-difference approximations in the corrector part. As explained by Chaudhry
and Hussaini [34], in what is called a second alternative, the order is reversed. For the
Gabutti [36] formulation, the equations in the characteristics form are employed with so-
called one-sided finite differences for the predictor and corrector parts of the computations.
9. V ALIDA TlON OF NUMERICAL MODELS WITH EXPERIMENTATION
The homogeneous model was verified by comparing numerical results with experiments
conducted using a two-component mixture. In this case the vapor or gas source term r was
assumed to be zero. The transient reported in the paper by Martin et aI. [11] was generated
by a spring-operated quick acting gate valve at the exit. By proper adjustment of the spring
the duration of valve closure could be varied from 5 ms to 100 ms. Pressure traces from
three transducers are shown on Figure 16 for an initial water velocity of 1.428 mlsec. The
initial values of the void fraction no are listed for the three locations along the conduit.
a8~----~----r---~----~----r----'
...... u
:::>
C
"u
Ii
!i
... u
'"
a
:::>
'"
... I (b) - 13.1m, a. -
'.1183
U
Figure 16. Comparison of Lax-Wendroff Scheme with Experiment for Weak Shock [11]
543
The numerical results are based upon the application of the Lax-Wendroff technique to the
hybrid homogeneous separated-flow model presented by Eqs. (22-24). Except for a slight
phase shift and the greater attenuation for the measured data, the Lax-Wendroff scheme
yields reasonable agreement with experiment. The irregular grid of characteristics could
not be employed without the use of the Hugoniot conditions because of the intersection of
the negative characteristics that propagate upstream from the valve. Figure 17 represents
a comparison of an explicit-implicit scheme with the Lax-Wendroff technique,
Padmanabhan et al. [32], yielding results comparable to the experimental results shown in
Figure 16.
2.0
0.5
2.0
~ =0.75, ao - 0.0145
......
0
......
1.5
0
i=
<
a:
w 1.0
a:
:;)
:g
w
...a: 0.5
2.0
[- - 0.25, ao = 0.0143
'"
1.5
1.0
0.5
---LAX-WENDROFF; N - 120, 8 r = .03
-----EXPLICIT-IMPLlCIT;
N - 60, a 2, d = 0.25
Figure 17. Comparison of Explicit-Implicit Scheme with Lax-Wendroff Method [32]

544
A comparison of the results of a fixed grid characteristic solution and the

Lax-Wendroff scheme is shown on Figure 18, on which the experimental pressure traces
are omitted in the interest of clarity. For an 80 ms valve closure no intersection of like
characteristic occurred when constructing the grid of characteristics. The lack of steepening
from x = 18.3 m (near the valve) to x = 4.6 m (near the reservoir) also occurred in the
experiment, suggesting the absence of a significant shock formation. Except for the
expected additional damping caused by the Lax-Wendroff scheme as compared to the
method of characteristics, the two results compare favorably. Secondary effects such as
frequency-dependent friction, relative motion of phases, etc. are not critical here as the
techniques are applied to the same constitutive equations.
o.a
- - - - LAX-WENDROFF
0.&
,
I
I I
I
I I
I I
...... D.4
...=
c
l!
II
~
~D.2
(I) x -'''3m, QD- 1.017
...=
IJ
IlC
... 0.& Y-'.32&mJ
D.4
0.2~------~----------~----~----~----"
o U D.4 U U
TIME IN SECONDS
Figure 18. Comparison of Method of Characteristics with Lax-Wendroff for No Shock [32]
545
In order to verify the validity of the some of the above numerical models presented in
the previous sections, experiments were conducted on the piping system shown in Figure
19, Chaudhry et at [37]. The length of the pipe was equal to 30.6 m and its diameter was
26.0 mm. The air pressure in the tank could be controlled by a pressure regulator. The rate
of water inflow into the left tank was measured by means of a bend meter. Under
equilibrium conditions, this flow rate corresponded to the mean flow rate through the pipe.
Compressed air was injected into the test pipe through a porous wall portion of the
entrance, as shown in Figure 19. A micrometering valve with a fine adjustment was used
to measure the rate of mass inflow of compressed air. Transient-state pressures were
monitored by high-frequency-response pressure transducers at three locations. The three
stations are located at x = 8.0 m, 21.2 m and 30.6 m, respectively, from the upstream end.
An air-water mixture was established in the test pipe by controlling the exit valves and the
pressure of the injected air at the inlet. The flow velocity was maintained at a high enough
rate so that slug flow could be avoided by limiting the rate of air injection.
-
Regulated Air
Pressure
Air Injection
Assembly
Regulated Air
Pressure
~
Water
Influent
l(x= 8.0 m) 3(x= 30.6 m)e
Pressure Transducers Valve
Bend
Meter 1 - - - - - - - - 30.6 m ---------1.,
Figure 19. Schematic of 30.6 m Long Two-Component Air-Water Flow Facility [37]
Both the MacCormack and Gabutti numerical schemes described above were used to
compute the transient-state pressures in the pipeline. The upstream boundary was a
constant-level reservoir while the downstream boundary was the known pressure history
at pressure transducer located at Station 3. A velocity boundary condition was not used at
the downstream boundary because the measurement of the rate of closure of the exit valve
and, consequently the measurement of velocity was very difficult. Characteristic boundaries
were used in both the schemes. In the Gabutti scheme, two-point finite difference
approximations were used at the nodes adjacent to the boundaries if three points were not
available in the desired direction. The computational time interval was selected such that
the Courant stability condition was satisfied at all nodes with the computed values at the
unknown time level. If necessary, the conditions were computed with a reduced time
interval. Figure 20 represents recorded pressure traces at Station 3 (x = 30.6 m), which are
utilized as downstream boundary conditions for the numerical schemes for experimental
runs labeled Tests 1 and 2. The computed and measured pressures were compared at
Stations 1 and 2 for two different test conditions.
546
H>O,------------------------------, 100
Va = 2.42 m/sec Va = 2.94 m/sec
Clo=0.0023 ~ 10 Clo =0.0053
f=0.0205
...~o 10
f=0.0195
9
.9 .9
e 40
~
e 20
""
0~~~0~~~~~C.~~~1.72~~,~
. ~~~~-7
2.0 2.0 Co 0.0 O. 1.2 1.1 2.0
TIme in Seconds Tune in Seconds

(a) Test 1 (b) Test 2
Figure 20. Recorded Pressure Traces Upstream of Downstream Control Valve [37]
For Test 1, the constant upstream reservoir pressure Po was 18.46 m of water absolute
and the steady flow velocity Va = 2.42 mls. Steady air mass flow rate GgO = 4.1(10-6) kg/s,
0.0 = 0.0023, and f = 0.0205. The measured variation of pressure head at the downstream
end, which is used as boundary condition is shown in Figure 20a. Figures 21 and 22 show
the comparison of measured with simulation utilizing the MacCormack and Gabutti
schemes, respectively.
H>O,------------------------------, 100
Simulation ~ - Simulation
Experiment
~IO ---- - Experiment
'S
9 60
.9
e 40.
e~ 20
~~~~0~0--~C~.~L-~1.~2~~I~.~~2~D--~~
"" 0.
2.4 0 0..0 0.8 1.2 1.6 2D 2.4
TIme in Seconds TIme in Seconds
(a) x = 8.0 m (b) x = 21.2 m
Figure 21. Simulation of Test 1 Using MacCormack Scheme [37]
10.0,------------------------:::---:---:---. IOO,-----------------------=-~~-.
Simulation Simulation
B
~ 80.
Experiment
~
~
80.
Experiment
'S 'S
e 60 9 60
.9
"
.~ 40 Q) 40.
~
"" 20.
F----~ '"~ 1----
20
~~~~0~~--~o.~.8~L-~1.2~~~I~A~--2~D~~~2~ ~~~~o.~.4~~~M.-L-71.2~~~I~A~~2~D~~~2~
TIme in Seconds Time in Seconds
(a) x = 8.0 m (b) x = 21.2 m
Figure 22. Simulation of Test 1 Using Gabutti Scheme [37]

547
For Test 2, Po = 21.70 m, Vo = 2.94 m/s, GgO = 11.5 (10-6) kg/s, a o = 0.0053 and f =
0.0195. Figure 20b shows the measured variation of transient state pressure at the down-
stream end. The wave speed with only water in the pipe was equal to 715 m/s. Typical
comparisons for MacCormack scheme are shown in Figure 23 and for the Gabutti Scheme
in Figure 24. It is clear from these figures that transient pressures are satisfactorily
simulated by the simplified model and the numerical schemes presented herein. However,
it can be seen that the wave dissipated at a slower rate with theory than measured.
00,--------------:---, 100
Simulation Simulation
II Experiment II Experiment
~ 80
~ 80
~0 60 'a
9 9 60
"e
.... 40 .9.0
e
51 20
51
e
~
20
O~~'0~
.~-,0~
.~~1~2~~I~.6~~2~.0~~
2 .
0
0 0 . 0.1 1.2 1.6 2.0 2.4
TIme in Seconds TIme in Seconds
(a) x = 8.0 m (b) x = 21.2 m
Figure 23. Simulation of Test 2 Using MacCormack Scheme [37]

100,---------------:-----,
Simulation IOO,--------------=Si=-m-ul=-at7io-n--,
Experiment !l Experiment
~ 80
'a
9 60
.9
Lo
" 40
0.4 0.8 1.2 1.6 2.0 2 .

TIme in Seconds
(a) x = 8.0 m (b) x = 21.2 m
Figure 24. Simulation of Test 2 Using Gabutti Scheme [37]
Wiggert et al. [33] have investigated the usefulness of the four-point implicit scheme
applied to gas-liquid mixtures by initially considering pump power failure in a large
pipeline with extremely low air content. The pipe is horizontal, 1564 m in length and 4.57
m in diameter. A reservoir is situated at the downstream end. The piezometric head
downstream of the pump is predicted and plotted herein for comparison purposes. The void
fraction remains sufficiently low (ao = 10-6 ) so that the flow regime is that of a
single-component liquid. The solution for the Courant number C = 1, as shown in Figure
25, approximates very closely the solution given by a standard method of characteristics
analysis. Additional runs were made with C ranging from 1 to 100, with results similar to
those in Figure 25. The parametric study indicated that the implicit method is stable up to
C = 20 and maintains sufficient numerical accuracy. As C increases to 100, stability is
maintained, but the accuracy deteriorates.
548
roor-----------------------~
80
Characteristics Grid and

- - - Fixed Grid of Characteristics
o Implicit Method
20
0L-----~8------~M~----~2~4~----~32~-----4+.0~--~48
Time in Seconds
Figure 25. Comparison of Implicit Scheme with Fixed Grid of Characteristics [32]
Instead of solving the one-dimensional two-phase equations presented herein, it is also

possible to apply single-phase liquid simulation (waterhammer equations) between lumped
gas masses. This method is referred to as the discrete free-gas cavity model. Initial
treatment was afforded by Wylie [38]. The experimental results published by Akagawa and
Fujii [39] have been used by Wylie [40] as the basis for application of the discrete free-gas
cavity model. Figure 26 from Wylie [40] is a comparison of simulation with the
experiments of Akagawa and Fujii [39]. The test rig utilized by the latter was a 20.4 mm
pipe 19.4 m in length. The transient was generated by the rapid closure of a downstream
control valve, similar to the configuration shown in Figure 19, with CXo = 0.026.
0.6.-----------------,
e; - Simulated
oj
.0<; 0 Experimental Experimental

.S 0.4
e e
~~ ~~
0 0L.-_-0 2- - -O"-.4---0....,.6---o"O.-=-S---,'1.0 oL_~L--=~t::==~
'"
...L.. 0 0.2 0.4 0.6
_ __".'_:__-~
O.S 1.0
Time in Seconds Time in Seconds
(a) x = 12.42 m (b) x =19.4 m
Figure 26. Comparison of Discrete Gas Model with Experiment, [39,40]
549
It has been shown that the two-component gas-liquid flows in pipes may be treated as
pseudofluid flows for small void fractions and homogeneous mixtures. Two second-order
explicit finite-difference techniques are used for solving the governing non-linear partial
differential equations. These techniques capture the shock without any special treatment
and are therefore preferable to commonly used method of characteristics. Computed results
compared satisfactorily with the experimental results demonstrating the validity of the
model and the computational techniques.
10. REFERENCES
1. Pearsall, I. S., "The Velocity of Water Hammer Waves," Symposium on Surges in

Pipelines, London, November 2-3, 1965, Proceedings, Institution of Mechanical
Engineers, Vol. 180, Part 3E, 1965-66.
2. Martin, C. S., and Padmanabhan, M., "The Effect of Free Gases on Pressure
Transients", L'Energia Elettrica, Vol. 52, No.5, May 1975, pp. 262-267.
3. Swaffield, J.A., A Study ofthe Influence of Air Release on Column Separation in an
Aviation Kerosene Pipeline, Proceedings, Institution of Mechanical Engineers, 186,
1972, pp. 693-703.
4. Driels, M.R., An Investigation of Pressure Transients in a System Containing A
Liquid Capable of Air Absorption, TRANS ASME, Journal of Fluids Engineering,
Vol. 95, No.4, December 1973, pp. 408-414.
5. Kranenburg, c., "Gas Release During Transient Cavitation in Pipes," Journal of
Hydraulics Division, ASCE, Vol. 100, 1974, pp. 1383-1398.
6. Wiggert, D. C., and Sundquist, M. J., "The Effect of Gaseous Cavitation on Fluid
Transients," TRANS ASME, Journal of Fluids Engineering, Vol. 101, No.1, March
1979, pp. 79 - 86.
7. Martin, C. S., and Wiggert, D. C., "Hydraulic Transients in Cooling-Water Systems",
Final Report, Electric Power Research Institute, EPRI GS-6427, Project 1342-1, June
1989, 154 pages.
8. Martin, C. S., and Wiggert, D. C., "Critique of Hydraulic Transient Simulation in
Cooling-Water Systems", ASME First International Multiphase Fluid Transients
Symposium, Winter Annual Meeting, Anaheim, December 1986, Vol. FEAl, pp. 29-
40.
9. Wallis, G. B., One-Dimensional Two-Phase Flow, McGraw Hill, New York, 1969.
10. Yadigaroglu, G., and Leahy, R. T., "On Various Forms of the Conservation Equations
in Two-Phase Flows," International Journal of Multiphase Flow, Vol. 2, 1976, pp.
477-494.
11. Martin, C. S., Padmanabhan, M. and Wiggert, D. C., "Pressure Wave Propagation in
Two-Phase Bubbly Air-Water Mixtures", Proceedings, Second BHRA International
Conference on Pressure Surges, London, 1976, Paper C1.
12. Forsythe, G. E. and Wasow, W. R., Finite-Difference Methods for Partial Differential
Equations, John Wiley, New York, 1960.
13. Ames, W. F., Nonlinear Partial Differential Equations in Engineering, Academic
Press, New York, 1965.
550
14. Lyczkowski, R. W., Gidaspow, D., Solberg, C. W., and Hughes, E. D.,
"Characteristics and Stability Analyses of Transient One-Dimensional Two-Phase
Flow Equations and Their Finite Difference Approximations", ASME Paper 75-
W AlHT-23, Presented at Winter Annual Meeting Houston, Texas, November 30 -
December 4, 1975.
15. Kobori, T., Yokoyama, S., and Miyashiro, H., "Propagation Velocity of Pressure
Wave in Pipe Line", Hitachi Hyoron, Vol. 37, No. 10, October 1955, pp. 1407-1411
(in Japanese).
16. Wylie, E. B. and Streeter, V. L., Fluid Transients in Systems, Prentice Hall, 1993.
17. Semenov, N. I., and Kosterin, S. I., "Results of Studying the Speed of Sound in
Moving Gas-Liquid Mixtures", Teploenergetika, Vol. 11, No.6, 1964, pp. 46-51.
18. Grolmes, M. A., and Fauske, H. K., "Propagation Characteristics of Compression and
Rarefaction Pressure Pulses in One-Component Vapor-Liquid Mixtures", Nuclear
Engineering and Design, Vol. 11, 1969, pp. 137-142.
19. Karplus, H. B., "Propagation of Pressure Waves in a Mixture of Water and Steam",
Armour Research Foundation, Report ARF 4133-12, 1961.
20. Silberman, E., "Sound Velocity and Attenuation in Bubbly Mixtures Measured in
Standing Wave Tubes", The Journal of the Acoustical Society of America, Vol. 29,
No.8, August 1957, pp. 925-933.
21. Ruggles, A. E., Scarton, H. A., and Leahy, R. Y., "An Investigation of the
Propagation of Pressure Perturbations in Bubbly Air-Water Flows", ASME First
International Multiphase Fluid Transients Symposium, Winter Annual Meeting,
Anaheim, December 1986, Vol. FE-41, pp. 1-9.
22. Ruggles, A. E., Scarton, H. A., and Leahy, R. Y., "Relationship Between Standing
Waves, Pressure Pulse Propagation, and Critical Flow Rate in Two-Phase Mixtures",
TRANS AS ME, Journal of Heat Transfer, Vol. 111, No.2, May 1989, pp. 467-473.
23. Martin, C. S., "Vertically Downward Two-Phase Slug Flow", TRANS ASME, Journal
of Fluids Engineering, Vol. 98, No.4, December 1976, pp. 715-722.
24. Martin, C. S., and Padmanabhan, M., "Pressure Pulse Propagation in Two-Component
Slug Flow", TRANS ASME, Journal of Fluids Engineering,Vol. 101, No.1, March
1979, pp. 44-52.
25. Henry, R. E., Grolmes, M. A., and Fauske, H. K., "Propagation Velocity of Pressure
Waves in Gas-Liquid Mixtures", Cocurrent Gas-Liquid Flow, Edited by E. Rhodes
and D. S. Scott, 1969.
26. Hsu, Y. Y., and Graham, R. W., Transport Processes in Boiling and Two-Phase
Systems, McGraw-HilI, 1976.
27. Padmanabhan, M., and Martin, C. S., "Shock-Wave Formation in Flowing Bubbly
Mixtures by Steepening of Compression Waves", International Journal of Multiphase
Flow, Vol. 4, 1978, pp. 81-88.
28. Wiggert, D.C. and Sundquist, M. J., Fixed-grid Characteristics for Pipeline Transients,
Proceedings, ASCE, Journal of Hydraulics Division, Vol. 103, 1977, pp. 1403-1416.
29. Lax, P. D. and Wendroff, B., "Systems of Conservation Laws," Communication on
Pure and Applied Math., Vol. 13, 1960, pp. 217-237.
551
30. Richtmyer, R. D., and Morton, K. W., Difference Methods for Initial- Value Problems,
Interscience Publications, New York, 1967.
31. McGuire, G. R., and Morris, J. L., "Explicit-Implicit Schemes for the Numerical
Solution of Nonlinear Hyperbolic Systems", Mathematics of Computation, Vol. 29,
1975, pp. 407-424.
32. Padmanabhan, M., Ames, W. F., and Martin, C. S., "Numerical Analysis of Pressure
Transients in Bubbly Two-Phase Mixtures by Explicit-Implicit Methods", Journal of
Engineering Mathematics, Vol. 12, No.1, January 1978, pp. 83-93.
33. Wiggert, D. C., Martin, C. S., Naghash, M., and Rao, P. V., "Modeling of Transient
Two-Component Flow Using a Four-Point Implicit Method", AS ME Symposium on
Numerical Advances for Fluid Transient Analysis, Fluids Engineering Conference,
Houston, June 20-22, 1983, pp. 23-28.
34. Chaudhry, M. H., and Hussaini, M. Y., "Second-Order Explicit Finite Difference
Schemes for Waterhammer Analysis," TRANS ASME, Journal of Fluids Engineer-
ing, ASME, Vol. 107, No.4, December 1985, pp. 523-529.
35. MacCormack, R., "Numerical Solution of the Interaction of a Shock Wave with a
Laminar Boundary Layer," Lecture Notes in Physics, Edited by M. Holt, Vol 8,
Springer-Verlag, New York, N. Y., 1971, pp. 151-163.
36. Gabutti, B., "On Two Upwind Finite-Difference Schemes for Hyperbolic Equations
in Non-Conservation Form," Computers and Fluids, No. 11, No.3, 1983, pp.
207-230.
37. Chaudhry, M. H., Bhallarnudi, S. M., Martin, C. S., and Naghash, M., "Analysis of
Transient Pressures in Bubbly, Homogeneous, Gas-Liquid Mixtures", TRANS ASME,
Journal of Fluids Engineering, Vol. 112, No.2, June 1990, pp. 225-231.
38. Wylie, E. B., "Free Air in Liquid Transient Flow", Proceedings, Third BHRA
International Conference on Pressure Surges, Canterbury, 1980, pp. 27-42.
39. Akagawa, K., and Fujii, T., "Development of Research on Waterhammer Phenomena
in Two-Phase Flow", ASME-JSME, Thermal Engineering Conference, Honolulu,
1987, pp. 333-349.
40. Wylie, E. B., "Low Void Fraction Two-Component Two-Phase Transient Flow,"
Proceedings, First International Conference on Unsteady Flow and Fluid Transients,
HR Wallingford and IAHR, Durham, England, September 1992.
11. NOTATION
a Wave-propagation speed in gas-liquid mixture in elastic pipe

A Cross-sectional pipe area
bI b 2 , b3
, Terms in characteristic equations
C I , C2 ,c3 Terms in characteristic equations
C = a ,1.tJtu Courant stability parameter
D Pipe diameter
Specific energy of phase k
Elastic modulus for pipe wall material
Darcy-Weisbach resistance coefficient
552
g Gravitational acceleration
Gk Mass flow rate of phase k
hk Enthalpy of phase k
jk = Q,)A Volumetric flux of phase k
Kk Bulk modulus of elasticity of phase k
P Average pressure in mixture
Pi Interfacial perimeter
Pk Wall perimeter for phase k
qw Wall heat transfer
q Volumetric heat transfer
Qk Volumetric flow rate of phase k
t Time
V Average velocity of homogeneous mixture
Vg =j.ja Average velocity of gas phase
VI = j/(1- a) Average velocity of liquid phase
Vr = Vg - VI Relative velocity
x Distance along pipe
a Average cross-sectional void fraction
~ = Q/(Qg+Q) Volumetric quality
'Y Specific heat ratio
11 = G/(Gg+GIl Mass quality
[' Source term for gas or vapor production
e Angle of pipe with respect to horizontal
e Smoothing operator
An Characteristic root
Pk Average cross-sectional mass density of phase k
'tw Boundary shear stress
'ti Interfacial shear stress
Subscripts: :
Interfacial quantity
k = g, t Respective subscripts for gas or liquid
m Mixture quantity
n Characteristic root
o Initial value
r Relative velocity
w Wall quantity
19
DEVELOPMENT OF WATER QUALITY MODELS
Robert M. Clark, Director

Drinking Water Research Division
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268
Introduction
Passage of the Safe Drinking Water Act in 1974 and its Amendments in
1986 (SDWAA) is changing the way water is treated and delivered in the
United States. Under the SDWAA the U.S. EPA is required to regulate
chemical contaminants and pathogenic microorganisms in drinking water.
Emphasis has shifted from a primary concern with treated drinking water
to attainment of standards at the point of consumption. Two regulations
promulgated under the SDWAA, the Surface Water Treatment Rule (SWTR) and
the Total Coliform Rule (TCR) specify treatment and monitoring
requirements that must be met by all public water suppliers. The SWTR
requires that a detectable disinfectant residual be maintained at
representative locations in the distribution system to provide
protection from microbial contamination. The TCR regulates coliform
bacteria which are used as "surrogate" organisms to indicate whether or
not system contamination is occurring. Monitoring for compliance with
the Lead and Copper Rule is based entirely on samples taken at the
consumers' tap. The current standard for trihalomethanes (THMs) is 0.1
mg/L for systems serving more than 10,000 people but the anticipated
Disinfectants and Disinfection By-Products (D-DBP) Rule may impose the
current (or a reduced) THM level on all systems. This regulation also
requires monitoring and compliance at selected monitoring points in the
distribution system. Some of the regulations promulgated under the
SDWAA may, however, provide contradictory guidance. For example, the
SWTR and TCR recommend the use of chlorine to minimize risk from
microbiological contamination. However, chlorine or other disinfectants
interact with natural organic matter in treated water to form
disinfection by-products. Raising the pH of treated water will assist
in controlling corrosion but will increase the formation of
trihalomethanes.
It is clear that the SDWAA has forced the inclusion of the entire
distribution system when considering compliance with drinking water
standards. Some of the factors that influence the changes in water
quality between treatment and consumption include: chemical and
553
554
biological quality of source water; effectiveness and efficiency of

treatment processes; adequacy of the treatment facility, storage
facilities and distribution system; age, type, design, and maintenance
of the distribution network; and quality of treated water (Clark and
Coyle, 1990). A factor, infrequently considered, that may influence
water quality in a distribution system is the effect of mixing of water
from difference sources. Water distribution systems frequently draw
water from multiple sources, such as a combination of wells, and/or
surface sources. The mixing of waters from different sources takes
place within a distribution system and is a function of complex system
hydraulics (Clark, et al., 1991; Grayman, et al., 1988).
Another factor that may have a significant effect on distributed water
quality is the design philosophy for distribution systems that has been
generally adopted in the United States. Distribution systems are
frequently designed to ensure hydraulic reliability, which includes
adequate water quantity and pressure for fire flow as well as domestic
and industrial demand. In order to meet these goals large amounts of
storage are usually incorporated into system design, which results in
long residence times, which in turn may contribute to water quality
deterioration.
A number of mathematical models have been developed to assess the
movement and fate of contaminants within drinking water distribution
systems. Such models include: dynamic and steady state hydraulic
models which simulate the flow quantity, flow direction and pressure in
the system; steady state water quality models and flow tracing models
which determine the movement of contaminants, their flow paths and
travel times through the network; dynamic water quality models which
simulate the movement and transport of substances in water under time
varying conditions.
These models are becoming an effective tool for evaluating water
quality in distribution systems and have the potential for offering a
number of benefits to the water utility industry. Application of those
models include predicting water quality degradation problems,
calibrating system hydraulics, designing water quality sampling
programs, optimizing the disinfection process and evaluating operational
and control strategies and storage reservoir design and the operation of
distribution systems. From an economic viewpoint these models could be
used to plan and design new systems, to evaluate the effect of repairs
and rehabilitation prior to construction, and to locate booster
chlorination in the system to optimize disinfection. A key factor in
using water quality models is a proper specification of the
transformation mechanisms of water quality parameters.
This paper will discuss the author's experience in the development of
both steady-state and dynamic water quality models. Basic elements of
network characterization, model calibration and skeletonization will be
presented.
Overview of Water Distribution Models

Modeling is a way of studying the behavior of real world situations in a
555
controlled environment. Models include both physical and mathematical

representations. In the era of computers, most mathematical models are
implemented on a computer and referred to as computer models.
The use of mathematical models for the analysis of distribution
systems dates back to the 1930s. Models have evolved from early manual
Hardy Cross network flow analyses, to the development and wide
availability of computer based hydraulic network models in the 1970s and
1980s, to the emergence of distribution system water quality models in
the 1980s and finally, the ongoing integration of modeling a~d mapping
systems into comprehensive, user friendly systems for analyzing and
displaying hydraulic and water quality issues in a distribution system.
Such models may be used to assess alternative operational and design
decisions under normal or emergency conditions. They are also
frequently used to study likely design needs in the water system in
response to future growth.
Model Types
A variety of computer based mathematical models of water distribution
systems have been developed and used within the water industry to study
distribution system behavior. Such models may be divided into four
general categories:
hydraulic models which simulate the flow quantity, flow
direction, and pressure in the system;
water quality models and flow tracing models which simulate the
movement and transformation of substances in the water;
optimization models which examine a wide range of operational
and/or design variables and select the best solution based on a
stated objective function and specified constraints; and,
analysis/display methods which perform various analyses and/or
display the results of modeling.
Each type of model serves a particular purpose in the assessment of
water quality in a distribution system and thus, should be part of a
tool kit available to the engineer who wishes to investigate water
quality issues in a distribution system.
Representing A Water Distribution System

All water distribution system models represent a network as a series of
connected links and nodes. Links are defined by the two end nodes.
Generally links serve as conveyance devices (e.g. pipes) while nodes
represent point components such as junctions, tanks, treatment plants,
etc. In most models, pumps and valves are represented as links. Water
demands are aggregated and assigned to nodes; an obvious simplification
over real world situations where individual house taps are distributed
along a pipe rather than at junction nodes.
Network representation is more of an art than a science. Most
networks are skeletonized for analysis, which means that they contain
only a representation of selected pipes in a service area. This issue
556
will be discussed in more detail with regard to water quality modeling

at the end of this paper.
A minimal skeletonization should include all pipes and features of
major concern. Nodes are usually at pipe junctions, where pipe
characteristics change as in diameter, C-value, material, at locations
of known pressure, at locations where pressure valves are desired.
Network components include pipes, reservoirs, pumps, pressure relief
valves, control valves, altitude valves and check valves. For steady-
state modeling a key input is information on water usage such as demand
and consumption. Usage is assigned to nodes in most models and may be
estimated several different ways. Frequently, demand is estimated by a
count of structures of different types using a representative
consumption per structure; meter readings and the assignment of each
meter to a node; and to general land use. A universal adjustment factor
should be used so total usage in model corresponds to total production.
Modeling Temporal Variations

In the real world, we know that most phenomena and behavior vary over
time. Models that assume no variation over time are referred to as
steady state models. In distribution system models, steady state models
assume that demands are constant and operations are constant (e.g. tank
water level elevations remain constant and pumps are either on or off at
a constant speed). Though such assumptions may not be valid over long
periods of time, steady state models can provide some useful information
concerning the behavior of a network under various representative
situations such as fire demand, night time low demands, etc.,
Models that allow for variations over time are referred to as
temporally dynamic models. Most network distribution hydraulic models
incorporate temporal variation by stringing together a series of steady
state solutions and refer to this method as extended period simulation
(EPS). For example, in the EPS mode, demand at a node may be assumed to
be 100 gpm from 2 PM to 3 PM and then 150 gpm from 3 PM to 4 PM. Thus,
one steady state solution may be assumed from 2 PM until 3 PM and a
different solution may be calculated from 3 PM to 4 PM. Further
temporal dynamics may be incorporated by checking the water level in a
tank and, if the water level reaches a maximum allowable level at 3:20,
then another steady state solution is started at 3:20 with the tank
discharging instead of filling. Though the EPS solution does introduce
some approximations and totally ignores the transient phenomena
resulting from sudden changes such as a pump being turned on, these more
refined assumptions are generally not considered significant for most
distribution system studies.
Some of the characteristics of water usage for the EPS mode are as
follows:
The EPS mode requires information on temporal variations in water
usage over the period being modeled
Most models permit temporal patterns to be defined for groups of
nodes
The best available information on temporal patterns should be
557
estimated (some industrial users have continuous meters, schools,

etc.)
literature values can sometimes be used for a first guess at
residential patterns
Analysis of information from SCADA system can be used to estimate
systemwide temporal pattern
Model Calibration
Calibration is an important part of the ""art" of modeling drinking
water distribution systems. Model calibration is the process of
adjusting model input data (or, in some cases, model structure) so that
the simulated hydraulic and water quality output sufficiently mirrors
observed field data. One way of viewing calibration is to think of a TV
screen showing observed and predicted values with knobs available to
adjust the predicted values. Calibration is the process of adjusting
the knobs so that the predicted value provides the closest estimate for
the actual valves. Calibration can be difficult, costly and time
consuming. The extent and difficulty of calibration is minimized by
development of an accurate representation of the network and its
components. A traditional technique for calibration is to use fire flow
pressure measurements. Pressures and flow in isolated pipe sections are
measured in the field and the pipe friction factors are adjusted to
reflect the data.
Another method is to use water quality tracers. Naturally occurring
or added chemical tracers may be measured in the field and the results
used to calibrate hydraulic and water quality models. The most common
tracer is fluoride. It is relatively conservative, safe and can usually
be added (or normal feed can be curtailed) and the movement can be
traced in the system using hand held analyzers. For conservative
tracers, adjustments may be made primarily in the hydraulic model to
adequately match the predicted and observed concentrations.
Another calibration technique is to measure predicted tank height
derived from computer simulations against actual tank height during a
given period of record.
Hydraulic Models
Mathematical methods for analyzing the flow and pressure in networks
have been in use for over half a century. They are generally based upon
well accepted hydrodynamic equations. Computer based models for
performing this type of analysis were first developed in the 1950s and
1960s and greatly expanded and made more available in the 1970s and
1980s. Currently, dozens of such models are readily available on
computers ranging from micro computers to supercomputers.
Hydraulic models were developed to simulate flow and pressures in a
distribution system either under steady state conditions or under time
varying demand and operational conditions. Hydraulic models may also
incorporate optimization components which aid the user in selecting
558
system parameters which results in the best match between observed

system performance and model results.
Water Quality Models

Unlike hydraulic modeling of distribution systems, water quality
modeling is a relatively recently development generally dating back to
the early 1980s. Water quality models are used to trace the movement of
contaminants or any element in the water in the distribution system.
They may also be used to calculate the age of the water within the
distribution system or to determine the source(s) of water throughout
the system. Water quality models generally utilize the results of
hydraulic models as part of their solution techniques. like hydraulic
models, water quality models may be either steady state or dynamic and
contaminants may be treated as either conservative or may experience
decay or growth as they move through the system.
Application of Models
There are a set of steps that are ideally followed in applying network
models (Clark, et al., 1988):
1) Model selection - Definition of model requirements and selection
of a model (hydraulic and/or water quality) that fits your
requirements, style, budget, etc.
2) Network representation - Representation of the distribution
system components in the model.
3) Calibration - Adjustment of model parameters so that predicted
results adequately reflect observed field data.
4) Verification - Independent comparison of model and field results
to verify the adequacy of the model representation.
S) Problem definition - Definition of the specific design or
operational problem to be studied and incorporation of the
situation(i.e. demands, system operation) into the model.
6) Model application - Use of the model to study the specific
problem/situation.
7) Analysis/display of results - Following the application of the
model, the results should be displayed and analyzed to determine
the reasonableness of the results and to translate the results
into a solution to the problem.
System Modeling
Engineering analysis of water distribution systems is frequently limited
to the solution of the hydraulic network problem, i.e. given the
physical characteristics of a distribution system modeled as a node-link
network and the demands at nodes, the flows in links and head at all
nodes of the network are determined. This problem is formulated as a
set of simultaneous nonlinear equations, and a number of well-known
559
solution methods exist, many of which have been coded as computer

programs known as hydraulic network models.
In addition to the hydraulic analysis problem, however, there are
other problems of interest in the analysis of water distribution
systems. The calculation of the mixing of water from different sources
in the system is of concern where sources of different water quality may
exist. The calculation of travel time from a source to any demand node
in the network may be of use in analyzing water-borne disease data, or
examining time-dependent quality parameters, such as trihalomethane
levels.
For each of these types of problems, an intrinsic solution variable of
interest is the concentration of a particular constituent within the
water. For the travel-time type of problem, the variable is the age of
the water, assuming that the water is of some defined age at each source
in the system.
The problems are formulated by assuming that a steady-state hydraulic
solution of the system is known, i.e. all flows throughout the system
are known and satisfy mass balance at the nodes. Then, as each element
of water proceeds from a source to a demand node, it may undergo a
transformation as it passes along each link, and is mixed at nodes with
water from other portions of the network. By assuming complete mixing
at each node, a linear equation in the intrinsic variable and the known
flows can be written for each node, based on conservation principles.
With the unknown taken as the value of the intrinsic variable at each
node, and known boundary conditions at sources to the network, N
equations in each of the N unknown nodal variables can be written and
solved by standard methods.
By appropriate definition of the variables, a general formulation for
each of the three generic types of problems (concentration, travel time
and cost) can be developed, as described in the following.
Formulation
Concentration/Mixing Problem - When multiple sources of water provide
input into a distribution system, the determination of the mixing of
water throughout the network is important in issues of quality
calculation (Males, et al., 1985). Tanks discharging into a system can
also be considered sources. Tracing the flow of water (and the flow of
any associated constituent of that water) through the system can thus
provide insights into the quality and stability of water, the area of
influence of tanks or reservoirs, operating techniques to maximize
delivered water quality, etc. All these problems require the
calculation of the amount of a particular constituent available at a
node, and can collectively be formulated as a concentration/mixing
problem.
For purposes of illustration, the concentration/mixing problem can be
developed for the simple case of a network having two separate sources,
each with a different contaminant concentration of SC t and SC 2
discharging into a water distribution network. The mlxing problem is
then defined as the determination of contaminant concentration emerging
560
from any node under any set of demands. In this initial illustration,
tanks are not considered. The extension to include tanks is described
later.
The basic assumptions of the formulations are that of steady state
analysis and complete mixing at nodes. In addition, there is assumed to
be no loss or decay of the contaminant (e.g. the constituent of
interest), but only conservative mixing at nodes. Thus, water entering
the upstream end of a pipe will have a certain defined concentration
that will be maintained at the downstream end of the pipe. At the
downstream end, a junction exists, at which mixing of all waters
influent to the junction takes place. It is assumed that the
contaminant concentration of the water leaving the junction is based on
complete mixing of the influent water and the conservation Qf mass of
the contaminant. Under these assumptions, all water leaving the
junction will have the same concentration of constituent.
Numeric Example - A simplified network can be used to demonstrate the
manner in which the equations are set up. Assume a two-source network
consisting of 5 links and 4 nodes, as shown in Figure 1.
Figure 1. Example Problem

It is assumed that the flows have been determined previously by a
hydraulic analysis, such that continuity is maintained at all nodes.
The link-associated flows, flows from the two external sources, and the
node demands are shown in Figure 1. The concentration case is
illustrated below, assuming that the concentration at source 1 is SC"
and that the concentration at source 2 is 5C2 Observing the flows at
each node and the associated flow directions, the following equations
can then be written for each of the four nodes:
(100*SC,) (1)
c, = 100
(60*C, + 25*C3 ) (2)

C2 '" 85
561
(50*SC 2 ) (3)
C3 ~ 50
(30*C, + 50*C 2 + 15*C3 ) (4)
C4 = 95
There are thus 4 equations in 4 unknowns that can be solved given the
known values of the boundary conditions SC, and SCa. In this simplified
case, these equations can be solved by direct substitution, whereas in
more complex cases, matrix methods are applied. This procedure when
originally developed was called "Solver" (Males, et a1., 1985).
Implementation of Solver - The formulation discussed in the foregoing
has been implemented as a Fortran program in conjunction with the Water
Supply Simulation Model (WSSM) originally developed by the u.S. EPA's
Drinking Water Research Division. Within the WSSM, a data base of node-
and link-associated information (such as flow, cost, etc) is maintained.
The Solver module was implemented in the WSSM set up the coefficient
matrix. Solver then proceeded to solve these equations using a sparse-
matrix solution code developed by Chandrashekar (1984). The resultant
node-associated p. values are stored in the data base, and were then
available for further calculation or display as a numerical, shaded or
contour map. The data-base orientation of the WSSM means that once the
appropriate data were stored in the WSSM data base, a run of Solver was
specified with only a small number of input items (typically only 5
storage locations in the data base, and external SP j boundary conditions
for each of the external source nodes).
Treatment of Storage Tanks in the Formulation - The Solver formulation
was steady state. Tanks that were filling (i.e. water is entering the
tanks) in the steady state hydraulic solution present no problem, but
tanks discharging into the system had to be handled somewhat
differently. The Solver algorithm considered any node at which water
enters the system from other than an upstream link to be an external
source that must have a correspondingly specified water age. Water in
tanks, however, does not come from a true external source; rather, it is
water that at some previous time passed through the network, originating
at the true external sources. Thus, e.g., in the travel time solution,
water in a tank discharging into the system has a certain age, a
function of how long it took the water originally to reach the tank, and
the detention time in the tank. Thus, it was necessary to define the
water age for tanks discharging into the system. This was handled by
developing a tank-fill hydraulic scenario, i.e., one that portrayed the
hydraulics of the system when the tanks are filling (such as a 1ate-
night, low-demand situation). The Solver module was run to determine
the water age values associated with the filling tank nodes. These were
used as the basis for the water age values for the tank-discharge
hydraulic scenario. It was necessary to manually determine appropriate
modifications to the water age values developed through the tank-fill
scenario, e.g., to handle detention time in tanks.
562
Examples of Solver Usage

The New Vienna, Ohio water distribution system was used as a case study
to demonstrate this technique (Clark and Males, 1986). The system is
relatively small, and was modeled with some 50 links and 50 nodes. The
system has a single elevated tank and draws water from 1 of 2 sources,
but not both. A contract with neighboring water system requires that
New Vienna purchase a minimum amount of water each month. Once that
minimum amount has been reached, a New Vienna-owned well water source is
used. An engineering study of the New Vienna system provided detailed
information on the physical system and construction and operation costs.
This made feasible the use of the New Vienna system in demonstrating the
cost-of-service analysis of the Solver algorithm.
Four hydraulic scenarios were developed, representing 4 conditions of
flow within the network of interest as follows:
1. Scenario I - Discharge to system from locally owned treatment
plant and tank.
2. Scenario II - Tank filling from a treatment plant source.
3. Scenario III - Discharge into the system from purchased water and
tank.
4. Scenario IV - Tank filling from purchased water source.
The model was then used to find the minimum cost scenarios for utilizing
water from the two sources.
Dynamic Water Quality Algorithm Ddevelopment
A dynamic water quality model for a water-distribution system was
developed is part of the water supply simulation model. It was used as
a numerical routing solution to trace water quality through a
distribution network. The distribution system was represented by a
link-node system. Demands and inflows (both volumes and concentrations)
were assumed constant over a user-defined period and a quasidynamic
externally generated hydraulic solution was required for each period.
Thus, the flow and velocity for each link were known from the hydraulic
solution for each time period. Each time period was evenly divided into
an integer number of computational time steps At. Each link was then
divided into sublinks by a series of evenly spaced subnodes (though the
distance between subnodes may vary from link to link or for a link at
different time periods), such that the travel time from a subnode (or
node) to the adjacent subnode (or node) was approximately equal to At.
The geometry of this representation is shown in Figure 2.
LINK LENGTH' L

,.
SUB UNK
. SUB
NOOE
NOOE
LENGTH.6X
Figure 2. Link-Node Terminology

563
The number of sublinks NX j , within a given link i, was determined by
= (~~) (5)
At
rounded to the closest integer number, where Lj = the length of the link
i; and Vt = the velocity in the link i. The length of each sublink AX j ,
is calculated as
(6)
With this information, water quality routing is computationally very

simple, since flow travels through one sublink in each time step. Thus
the concentration at a subnode is equal to the concentration at the
immediately upstream subnode during the previous time step. This
process may be expressed by the equation
(7}
where Cx t = the concentration at subnode x at time step t; an~ Cx+1.t+1

is the concentration at subnode x + 1 at time step t + 1. ThlS process
is shown graphically in Figure 3.
TI T. Ta
GENERAL EQUATION:
c,...,- c..,
_ERE c .. ' CONCENTRATION
AT SUI NODE XATnME STEP,
EXAMI'lE ISeE SHADED ARROW):

CuC...
Figure,3.
- 6T
General Routing Procedure for Dynamic Algorithm

The described formulation assumes that the constituent being modeled
is conservative (i.e., there is no natural degradation or growth). If
the constituent is not conservative, it can usually be represented by a
first-order decay (or growth) function of the form
ct+l = Ct e-kAt (8)

564
Then this process can be incorporated into the routing procedures by

including a decay factor DF calculated as
DF = e- kAt (9)
where k = the decay coefficient. The decay factor is then included in

the routing equation in the following manner:
CX + 1 t+l = DFx Cx. t (10)
In the routing procedure, concentrations at a junction node are

calculated as the flow-weighted average concentration of all links
flowing into that node during each time step. At all nodes,
concentration at the start of a time period is equal to the
concentration at the end of the previous period. For the first time
period, concentrations at nodes are provided as initial conditions for
the procedure. Observed concentrations or concentrations derived from a
steady state model such as Solver can be used. Concentrations at
subnodes are interpolated from the concentration at the subnodes at the
end of the previous period. This interpolation process is needed
because the number of subnodes in a link depends on the velocity in the
link (see Eq. 5) which may change between periods. For the first
period, concentrations at subnodes are interpolated from the initial
node concentrations provided as input to the procedure.
A special case in routing occurs when a link receives no flow during a
period. Under these circumstances, for conservative contaminant routing
(i.e. no decay), the number of subnodes and the concentration in these
subnodes remains constant throughout the time period and equal to the
concentrations in the previous period. If a decay function is being
used, then the decay factor is applied during each time step to decrease
the concentration in the link.
A key consideration in applying the dynamic water quality model is the
selection of the computational time step used within time periods. The
only absolute constraint in selecting the time step is that the length
of all time periods must be an even multiple of the time step. If the
time step selected is too large, then the number of subnodes will be
relatively small, and the resulting predictions will be less accurate.
This is especially true of short links where the time of travel through
the link is less than 0.5 X At. In this case, the quality is
transferred through the link with no transformation. Decreasing the
time-step lengths results in more time steps and subnodes, thus
increasing the computational time. Some sensitivity analysis is
generally expected to be required to select a time step that results in
an acceptable solution with an acceptable amount of computational time.
565
Solution Procedure
The information required by the dynamic model may be classified into
three categories: general information, initial conditions, and
information required for each time period.
The solution algorithm used in the dynamic water quality model
operates sequentially by time period. During a time period, all
external forces affecting the water quality are assumed to remain
constant (i.e. demand, well pumpage, tank head, etc.). For each time
period, the following steps are followed:
1. For each link determine the node number associated with the
upstream end (end from which flow emanates) and downstream end. For
links that have no flow during the period, node numbers should be left
blank. In this example, to avoid confusion, letters are used for node
identifiers. However, in actual operation, numbers should be used to
identify nodes.
2. Invert this array so that for each node, the links using that node
are known. A convention should be set such that a link flowing into a
node is recorded as positive, while a link flowing out of a node is
recorded as negative.
3. Determine an ordered list of links and nodes arranged such that
prior to a node or link appearing in the list, all upstream nodes or
links have appeared in the list. This list may be generated by
algorithms that start at upstream. The resulting ordering is not
unique.
4. Process the ordered node/link list in the order of the list. For
each element, concentrations are calculated at the start of the period
and the end of each time step in the period.
5. For a node, the concentration at the start of the time period is
set equal to the concentration at the end of the previous period, or,
for the first period, is set at the user-supplied initial node
concentration. For subsequent time steps, the concentration is
calculated as the flow-weighted concentration for all flows entering
the node (from links, well, or tanks). This may be expressed
mathematically as
(11)
where C. t= concentration at node i during time step t; and Cj t and

Q1 t = tke concentration and flow, respectively, from element j during
tlme step t, where j is summed for all elements flowing into node i.
6. Each link is divided into an integer number of sublinks such that
the time of travel for that period through each sublink is equal
(approximately) to the time step. As described previously, there is
an approximation in order to ensure an integer number of sublinks.
7. Concentration at each node and subnode at the start of a time
period is set equal to the concentration at the end of the previous
time period. Two special cases are the initial time period and the
566
(relatively common) case in which the number of sublinks differs

between periods due to changes in velocity and/or flow direction. For
the initial time period, concentration for a subnode is interpolated
from the user-supplied initial concentrations at nodes using the
equation:
(12)
where Ck = the concentration at the kth subnode (counting from the

upstream node); C1 = the concentration at the upstream node; C2 = the
concentration at the downstream node; and NSL = the number of sublinks
in the link. For the second case, concentration at a subnode is
linearly interpolated from the concentrations in adjacent subnodes (or
nodes) at the end of the previous time period.
8. For each time step in the time period and each subnode in the
link, compute the concentration using the concentration at the
previous subnode from the previous time step. If decay is being
simulated, then modify the concentration by multiplying by the decay
factor. Similarly, the contribution of the link to the concentration
of the node at the downstream end is calculated and later used in
calculating the node concentration after contributions from all links
are known.
The process described (steps 4-8) is repeated for all time periods.
An example of the movement of a contaminant is shown in Figure 4 .
... -0-0 r.~
e---o
OlMCHOI< Of flOW
i::>n
..
j)!~fi:!!O~ Of now
i~n

OlMCflON Of tww
t<:::t;if
.. ,
tn~.<::nOI< Of 'law
'f::>14
e
o'"eno~ Of now
, -0 rm

OO>~C1'lO" Of ,ww
0- 0 10\< fa
.
'iS~
OlMCl'lO~ Of now
0
tnMCl'lON Of' %oOW 0 0 1 17
0 0 0- 0 1':'t' j$
WflfCfi" or "1:1*'
~.O-M$:~~~~'if!!:Mro:~~;1Itt(m(::$:~~~
Figure 4. Example Movement of Contaminant within Link

567
In this example, the relative concentration within each subnode is shown

by the depth of shading, with black corresponding to high concentration
and white corresponding to low or zero concentration. As shown, during
each time step, the contents of a subnode moves to the adjacent subnode
traveling in the direction of flow. In this example, at the end of a
time period (e.g. after time step T3), the direction of flow changes and
the number of subnodes change due to an increase in velocity.
Accordingly, the high concentration packets shift direction and move
from right to left.
Dynamic Algorithm Example

Figures 5 through 9 illustrate the application of the dynamic algorithm
to a small hypothetical system which is shown with various initial
contaminant concentrations at each node.
Node C
Wen
Co - 20
Node 0
Co - 50 ___oJ
Ink e
L-2000 ft.
Link 7
Link 5 L-eOOO ft.
L-SOOO ft.
Link 4 L-12000 ft.

Node B
Co - 50
Figure 5. Sample Network

568
300 GPM
>#C-SO
PERIOD 1
300 GPM
a-30 GPM
V=60 FPM
NX-3
a-50 GPM
V-20 FPM
NX-20
Figure 6. Sample Network With Hydraulic Solution

for Period 1
569
i
Q:I'~~!:(SM (;( th~>..:,
~)pm~ p,:}fl(gt
LF0F.t-<n
NO;:3Q lSf"10 Sur: NU0i':: '~~-of!C'o$~ln:! tk>"'s
Figure 7. Solution to Algorithm for Period 1

570
300 GPM
.t C- 100
PERIOD 2
100 GPM
a-30 GPM
V-SO FPM
NX-3
a-30 GPM
V-20 FPM
NX-20
Figure 8. Sample Network With Hydraulic Solution for Period 2

and Initial Conditions From Period 1
571
"'~~~~~~
m~~~Mrnmrowoommwooww
Ii>
U=.CtND
N:)c:>i- ~j')t:S $1.Jp N4d.e Coj:1C~r:U!iti(!~H;
0< <W $100-100

04(Hi9 *~
~n.JOO-_
Figure 9. Solution to Algorithm for Period 2

572
For example, at node A, the initial concentration of a contaminant is

given as 100 (Figure 5). Figure 6 depicts the hydraulic system after
the system has solved for the conditions that hold in period 1. Figure
7 illustrates the way the flow varies in the pipe with the time steps
within period 1. The upper left corner is period 1 at time step zero.
Moving through the various time steps in a period allows one to see the
routing of a given packet of water in the pipe. Time step 16 represents
the last time step in period 1. Figure 8 shows the flows and demands
that exist in the pipe network during period two under a given set of
demand conditions. Figure 9 shows the contaminant movement in Period 2.
Figure 10 is intended to summarize the variations in quality that take
place spatially in the system. The contour plots show the movement of
the contaminants in the network over a period of time. This analysis
illustrates the enormous amount of variability that can take place
within a distribution system based on time, hydraulic demand and other
time varying conditions.
Skeleto~ization and Water Quality

As discussed, mathematical modeling has proven to be an effective tool
for assessing the impacts of operational and structural alternatives in
water distribution systems (Grayman, et al., 1991). However, as in all
modeling, the quality of the results is dependent upon model
assumptions. In water distribution system modeling a primary decision
is always the manner in which the distribution system is represented by
selected pipes rather than inclusion of all pipes. This "thinning" or
"skeletonization" is generally dictated by economics or limitations of
the model. An increased number of pipes requires more data, greater
data entry time and computational time and increased effort in assessing
and displaying the results. It is generally perceived that exclusion of
smaller pipes feeding localized areas does not significantly influence
the global flow and pressure patterns. However, elimination of smaller
pipes may distort water quality modeling results.
Historically, the need for skeletonization dates back to the earliest
manual applications of the Hardy Cross procedure for balancing
distribution systems. This procedure required extensive calculations
and, by necessity, was limited in the number of pipes that could be
included. With the advent of computers and software for simulating
water distribution system networks, the limitations related to computer
program limitations (generally dictated by the computer memory) and by
the effort required in representing large numbers of pipes in a network.
In recent years, computer programs capable of simulating large
distribution systems (Sarikelle and Chunag, 1989) have been developed
and mechanisms for efficiently developing detailed representations of
large networks have been demonstrated. With such tools available, there
are some who argue that skeletonization is not necessary and the full
system representations should become the norm (Kroon and Schulte, 1989).
However, even with these developments, the limitations of distribution
system models especially those resident on micro computers, and the
large level of effort required to present all pipes in a large network
573
PERIOD 3
TIME STEP 16
ICO
ICO~_---
FIGURE 10 SIMULATED CONTAMINANT MOVEMENT UNDER DYNAMIC

CONDITIONS
574
and to subsequently analyze and comprehend the results of such a

representation, still dictate in most practical cases, the use of
skeletonized representation of the distribution system network.
Eggener and Polkowski (1976) performed a case study in which they
represented part of the distribution system in Menomenie, Wisconsin. In
comparing the results from a hydraulic model applied to a network
representation including all pipes to one in which 32% of the pipes
(mostly 4" pipes) were not included, they report a drop of 9% in the
quantity of water that can be delivered to a specific node under a given
pressure, under fire flow conditions between the full representation and
the skeletonized representation. Characklis (1988) studied the impacts
on skeletonization on both hydraulic modeling and water quality
modeling. He represented the Saltonstall Service Area of the SCCRWA
distribution system in New Haven, Connecticut, by a link-node system
ranging from 74 to 180 links with the following conclusions: a) pressure
is increased by a maximum of 16% for a system demand of 8.25 MGD (when
increasing the number of links from 74 to 190); and b) pressure is
increased by a maximum of 2% and chlorine residual decreased by a
maximum of 28% for a system demand of 1.24 MGD. The overall conclusion
of the study is that the degree of skeletonization allowable in the
predictive modeling of chlorine residuals is site specific.
STUDY AREA
In order to study the effect of skeletonization and water quality, a

case study was constructed based on the Cheshire Service Area of the
South Central Connecticut Regional Water Authority (SCCRWA). The SCCRWA
is a large regional water system serving over 100,000 customers in the
New Haven, Connecticut Region.
The Cheshire service area is connected to the main system through an
interconnection that is used only in rare emergency or drought
conditions. Additionally, the town of Meriden purchases water on an
intermittent basis from SCCRWA that is supplied from the Cheshire
service area. However, since the interconnection to the main system is
used only in highly unusual situations and the intermittent supply
connection to Meriden can be treated simply as another water demand.
Cheshire can be represented as an independent block.
The town of Cheshire is a primarily residential area. This service
area is fed by two separate well fields, the North Cheshire Well Field
composed of four wells with a combined capacity of 3.6 million gallons
per day (MGD) and the South Well Field with two wells and a capacity of
2.5 MGD. Storage is provided by two adjacent tanks, Prospect Tanks 1
and 2, which float on the system with 2.5 million gallons of storage
each. The height of these tanks are 25 feet and typically the tanks
operate in a range of 16 to 19 feet with the operation of the wells
manually controlled by an operator in response to the tank water levels.
Average daily sendout for Cheshire is approximately 2.2 MGD during this
winter and slightly more in the summer. Water use does not vary
significantly by the day of the week. Highest water use occurs during
the morning and evening with lowest water use during the night.
575
Skeletonization. In order to study the impacts of skeletonization on

modeling results, the Cheshire service area was represented by four
levels of skeletonization. These levels varied from representation of
essentially all pipes in the system to a gross skeletonization including
pipes representing approximately 32% of the total length of the system.
A description of each of the levels of skeletonization is shown in
Tabl e l.
An AutoCAD program and the associated AutolISP programming system were
used to perform the skeletonizations and to create input files for the
models. The complete network representation was derived from a USGS
Digital line Graph (OlG) road network representation (Males, et al,
1989). The road network representation was modified to exclude roads
that did not include water lines and to add water lines that did not
follow roads. Each water line was then assigned a pipe diameter.
Water demands were assigned to nodes by defining meter route boundary
polygons in AutoCAD. The total water demand for each meter route was
then evenly distributed among all nodes in each meter route. This
procedure assured that the total water demand for each level of
skeletonization would remain constant and that the demands were
spatially distributed to the greatest degree possible commensurate with
the known spatial patterns.
TABLE 1. STATISTICAL PROPERTIES OF SKElETONIZATION lEVELS

Pi~ l~th in Feet ~ Pi~ Size*
Pipe
#of #Of volune
level link Nodes Total 16 M 12- 10" 8 M 6" 4" ~MGl
46 38 180,410 43,350 95,950 13,283 27,827 0 0 1.14

(14) (22) (4) (6) 0) (0)
2 64 48 216,913 43,350 96,978 13,256 64,329 0 0 1.14
(14) (22) (4) (6) (0) (0)
3 2n 206 387,991 48,358 109,534 16,426 212,344 1,329 0 1.n
(22) (59) (13) (182) (1) (0)
4 688 569 564,955 48,940 134,894 17,207 318,675 42,890 2,349 2.27
(30) (132) (26) (418) (73) (9)
* # of links in each pipe size is in parenthesis.
MOOELS
Several models were applied in studying the impacts of skeletonization

on model accuracy. These models included a hydraulic simulation model,
a flow tracing model, a steady state water quality simulation model and
a dynamic water quality model. Additionally, several analytical
programs used to compare the results of the application of the models
under varying skeletonization schemes were develop and applied. The
details of each of these models is available in the literature.
576
RESULTS
The analysis included the application of the hydraulic model, WAOISO,

and the flow tracing model, FlOWTRC, in the steady state mode and the
application of WAOISO and the water quality simulation model (OWQM) in
the dynamic (extended period simulation) mode (Gessler and Walski, 1985;
Grayman, et al., 1988). The results of the application of these models
were analyzed in several ways in order to identify the effect of
skeletonization on the accuracy of the models. Because actual field
data was not available, the model applications using the full system
representation (level 4) was assumed to result in an accurate
representation. The error introduced by the other skeletonizations was
assumed to be reflected in the difference between the results of the
models using those skeletons and the full system (level 4)
representation.
System Performance. As more pipes are added, the velocities decrease
since there is a greater cross sectional area for the delivery of the
same amount of flow. For example, with levell, only 28.3% of the pipe
length has a velocity less than or equal to 0.5 fps. With the full
system representation (level 4), that percentage increases to 77%.
As expected, the quantity of flow increases with the more detailed
skeletonizations because there is a greater cross sectional transmission
area due to the added pipes.
The pressure differences vary significantly between scenarios.
Additionally, the greatest change in pressure differences are between
levels 1 and 2.
Quality Results. Chlorine residual - Chlorine residual in a
distribution system decays with time. Therefore, it is a good measure
of the travel time from the sources of the chlorine. Within the FlOWTRC
model, chlorine is represented by a first order (exponential decay)
function. A chlorine residual of 10 (units) was assumed at all sources
including the tank and a decay coefficient of 3 per day was used
(Characklis, 1988). With this decay rate, the chlorine level will decay
to 50% of the original amount after five and a half hours and to 5% of
the original amount after one day. In order to assess the full impacts
of skeletonization on chlorine residual, the total demand weighted
chlorine residual was calculated for each scenario and each
skeletonization. This statistic is calculated by summing the product of
water usage at each node and the chlorine residual and then dividing the
resulting total by total water usage.
The variation in chlorine residual between skeletonizations may be
associated with two phenomena. As indicated previously, the velocities
generally decrease with the increase in pipes included in the
skeletonization. This results in larger travel times and thus,
decreased chlorine residuals. Additionally, the more detailed
skeletonizations include more pipes feeding areas of low water usage.
These areas typically have long travel times associated with them and
again, resulting in lower chlorine residuals. The steepest decrease in
chlorine demand is from level 1 to level 2. However, there is still a
577
significant decrease in chlorine residual from the moderately detailed

skeletonization (level 3) to the full system skeletonization (level 4).
Water age - Water age is calculated by FlOWTRC as the
flow weighted travel time from all sources to each node.
Dynamic Water Quality Analysis. In the final analysis of this study,
the DWQM (dynamic water quality model) was used to determine the impacts
of skeletonization on the prediction of water quality in a distribution
system under dynamic conditions. A 24-hour usage and well operation
schedule was selected based on the operation of the Cheshire system on
April 18-19, 1989. For this analysis, only levels 1,2 and 3 were used.
The number of links in the full system (level 4), exceeded the limits of
the WADISO model. Using the model in the EPS mode hydraulic results,
DWQM was applied with a concentration of 100 units in the inflow from
the North Well Field and using the decay values discussed previously.
All other sources were set a concentration of o. The hydraulic pattern
was repeated for four 24-hour periods and detailed time series
concentrations were generated for selected nodes.
When the concentrations are averaged over the 4-day period at each node
the resulting spatial pattern of average concentrations is as shown in
Figure 11.
As illustrated, the concentration in the vicinity of the North Well
Field is at or near 100 with values decreasing with increasing distance
from the North Wells. For each node, the average difference in
concentration between level 3 and level I, and the average difference in
concentration between level 3 and level 2 were calculated and plotted in
Figures lIb and Ilc respectively. For level I, the difference between
this skeletonization and level 3 exceeded 15 units in two areas as shown
in Figure lib. For level 2, the maximum difference was 15 units at only
one node, and generally the magnitude of the differences were smaller
and covered smaller areas than for level 1.
Summary And Conclusions

Passage of the Safe Drinking Water Act in 1974 and its Amendments in
1986 (SDWAA) is changing the way water is treated and delivered in the
United States. The SDWAA has forced the inclusion of the entire
distribution system when considering compliance with drinking water
standards. Water quality models provide a mechanism by which the
factors that influence the changes in water quality in a distribution
system can be understood.
Both dynamic and steady-state models are utilized to characterize water
quality changes in distribution systems. Steady-state models are
relatively easy to apply but may yield deceptive results. Dynamic water
quality models are highly data intensive but can yield many insights as
to the factors that affect water quality in distribution systems.
578
a} A verage Concentration Predicted

by O\\"QM for SkeletoniUltion ,;
GE;"'D
o <looit
o I to2{)ooits
o 20 to 50 UllilS
6 50 w 00 UllilS
III OOw99uniw
_ ;.99!lnilS
b) Average difTerence in concentration c) Average difTerence in concentration

between skeletonization 1 and 3 between skeletonization 2 and 3
1 to:; wUB
5 to 10 Ulliw
>!Oooiw
FIG.I1 : EFFECT OF SKELETONIZATION ON RESULTS

OF DYNAMIC WATER QUALITY MODELING
579
An important aspect of modeling water quality is the network

representation including skeletonization, calibration and validation.
Acknowledgements
The authors would like to thank Ms. Jean Lillie, Ms. Diane Routledge and
Messrs. Steve Waltrip and Richard Findsen for their assistance in
preparing this manuscript.
REFERENCES
Characklis, W.G., "Bacterial Regrowth in Distribution Systems." AWWA

Research Foundation, Denver, CO, 1988.
Clark, R.M. and Males, R.M., "Developing and Applying the Water Supply
Simulation Model." Journal of the American Water Works Association,
August 1986, pp. 61-65.
Clark, R.M., Grayman, W.M. and Males, R.M., "Contaminant Propagation in
Distribution Systems." J.EE, ASCE, Vol. 114, No.4, August 1988.
Clark, R.M. and Coyle, J.A., "Measuring and Modeling Variations in
Distribution System Water Quality." Jour. American Water Works
Association, 82:p.46, August 1990.
Clark, R.M., Grayman, W.M., Goodrich, J.A., Deininger, R.A. and Hess,
A.F., "Field-Testing Distribution Water Quality Models." Jour.
American Water Works Association, pp. 67-75, July 1991.
Eggener, C.L. and Polkowski, L.B., "Network Models and the impact of
Modeling Assumptions." J.AWWA, April 1976.
Gessler, J. and Walski, T.M., "Water Distribution System Optimizarion."
TREL-85-11, WES, Corps of Engineers, Vicksburg, MS, 1985.
Grayman, W.M., Clark, R.M., Males, R.M., "Modeling Distribution System
Water Quality: Dynamic Approach." Journal of Water Resources Planning
and Management, Vol. 114, No.3, May 1988, pp. 295-312.
580
Grayman, W.M., Males, R.M. and Cl ark, R.M., "The Effects of

Skeletonization In Distribution System Modeling," in Computers in
the Water Industry. Proceedings of the AWWA Computer Conference,
April 14-17, 1991, Houston, TX, pp. 661-681.
Kroon, J.R. and Schulte, A.M., "Interactive Graphic Network Aalysis,
Data Maintenance and Data Presentation." AWWA Computer Spec. Conf.
Proc., Denver, CO, 1989.
Males, R.M., Clark, R.M., Wehrman, P.J. and Gates, W.E., "Algorithms
For Mixing Problems In Water Systems." Journal of Hydraulic
Engineering, Vol. III, No.2, February 1985, pp. 206-219.
Males, R.M., Grayman, W.M. and Clark, R.M., "Use of Digital Data Bases
in Establishing Pipe Networks for Hydraulic and Water Quality
Modeling." AWWA Computer Spec. Conf., Denver, CO, 1989.
Sarikelle, S. and Chuang, Y., "Analysis of Water Distribution Systems
on a Supercomputer." AWWA Computer Spec. Conf. Proc., Denver, CO,
1989.
20
APPLYING WATER QUALITY MODELS
Robert M. Clark, Director

Drinking Water Research Division
U.S. Environmental Protection Agency
Cincinnati, Ohio 45268
Introduction
The Safe Drinking Water Act of 1974 and its Amendments of 1986 (SOWAA)
requires that the U.S. Environmental Protection Agency (USEPA) establish
maximum contaminant level goals (MCLGs) for each contaminant which may
have an adverse effect on the health of persons. Each goal is required
to be set at a level at which no known or anticipated adverse effects on
health occur, allowing for an adequate margin of safety (Clark, et a1.,
1987). Maximum Contaminant Levels (MCLs) must be set as near to MCLGs
as feasible.
Although the SDWAA clearly specifies that MCLs shall be .at at the
consumer's tap, most regulatory concern has been focused on water as it
leaves the treatment plant before entering the distribution system. The
only SDWAA regulations that emphasize system sampling are those that
deal with microbiological contamination and total trihalomethanes
(National Interim., 1976).
However, interest is growing in acquiring an understanding of
variations in water quality that are found in drinking water
distribution systems (Chun and Selenick, 1985; Metzger, 1985).
Acquiring such an understanding and then predicting the propagation and
distribution of waterborne substances in distribution networks requires
insight into the kinetics of formation of chemical and biological
substances as well as the hydrauliCS of mixing and transportation.
Modeling techniques are currently used in the operation of water
distribution networks and can be developed to predict the history and
spatial distribution of waterborne contaminants in networks.
In applying models to a water distribution system, the degree of
temporal variation and the specific issues that are being studied
determine the types of models that are most applicable. Steady state
modeling represents external forces as constant in time and determines
solutions that would occur if the system is allowed to reach
equilibrium. In dynamic modeling, demands and supplies are allowed to
vary and the resulting time varying solution is determined.
In both steady state and dynamic modeling, a distribution system is
represented by a link-node network (i.e. pipes are presented as links
and junctions of pipes, wells, tanks or starts of pipes as nodes).
HydrauliC models are used to determine flows and velocities in links.
581
582
Water quality models are used to determine variations in the

concentrations of a contaminant throughout the distribution system. The
hydraulic and water quality models may be an integrated package or the
results of an application of a hydraulic model .ay be input to a water
quality model for subsequent analysis.
Hydraulic models of water distribution systems have been widely used
and documented (Sarike11e, et a1., 1985; Shawcross, 1985; Tanner, 1985;
Clark, et a1., 1985). In steady state hydraulic models, demands, well
pumpage, and tank flows and heads are constant throughout the simulation
and the resulting steady state (equilibrium) flow and velocity
throughout the network is determined. Most dyna.ic hydraulic models of
water distribution systems are more correctly classified as quasi-
dynamic" models. In this type of model, demands and inflows are fixed
for a time period and the resulting flow patterns and tank response
determined. During the next period, demands and inflows may be changed
and the hydraulic conditions from the previous period are used as
initial conditions.
Until recently, most models which represent the water quality in a
distribution system were steady state models. In steady state water
quality models, the steady state hydraulic solution is used along with
concentrations in water sources to determine the resulting steady state
spatial distribution of concentrations throughout the network. The
"Solver," developed as part of EPA's early research on water quality
models, is an example of such a steady-state quality model, uses a
series of simultaneous equations describing the water quality at each
node to determine the steady state concentrations throughout the network
(Clark & Hales, 1986; Clark & Males, 1985; Males, et al, 1985).
This paper will describe the development of both steady state and
dynamic water quality models and give examples of their application
based on the author's experience. One of the early projects designed to
investigate the feasibility of water quality modeling development was a
cooperative agreement initiated between the North Penn Water Authority,
lansdale, PA (NPWA) and the USEPA's Drinking Water Research Division to
study the mixing of water from multiple sources of supply. As a result
of this project a steady state water quality model, a contaminant
dispersion model and a dynamic water quality model have been developed
and applied. In addition, techniques for semicontinuous monitoring of
volatile organic contaminants were developed (Clark, et a1., 1988).
These models were extended to the South Central Connecticut Regional
Water Authority and a more sophisticated model called EPANET has
developed as a result of this research.
North Penn Project

At the time of the study (1985) the North Penn Water Authority (NPWA)
served 14,500 customers in 10 municipalities with an average of 18.9
thou m~day (5 mgd) of water per day. Water sources included a 3.785
thou m/day (1 mgd) treated surface wat~r source purchased from the
Keystone Water Company and 15.14 thou m/day (4 mgd) from 40 wells
operated by NPWA. Figure 1 is a schematic representation of the
583
362 km (225 .i) of pipe in the NPWA distribution system, showing the
location of wells, the Keystone -tie-in" and the 3 pressure zones:
Souderton Zone; lansdale low Zone; and Hillcrest Zone .
.. 'l'lmloa
W041a
HI'-NortI>!'en"
l"~
s-~
x.. ~"'v~
......
""-""'Z_~
Figure 1. North Penn Water Authority distribution system.

Surface water entered the NPWA system at the Keystone tie-in. The
rate of flow into the system was determined by the elevation of the tank
in the Keystone system, and by a throttling valve at the tie-in. Flow
was monitored continuously, and was relatively constant. Water flowed
into the lansdale pressure lone and from there entered the lawn Avenue
tank, from which it was pumped into the Souderton Zone. Additional
water, from the Hillcrest Pressure Zone, entered the lansdale system at
the Office Hillcrest transfer point; this water was solely derived from
wells in the Hillcrest lone. Except for unusual and extreme
circumstances, such as fire or main breaks, water did not flow from the
Souderton Zone into the lansdale Zone nor from lansdale into Hillcrest.
There were distinct chemical characteristics of Keystone water
compared with well waters. Keystone water contained total
584
trihalomethanes (TTHMs) at significantly higher levels than the well

water. Certain wells showed the occurrence of trichloroethylene (TCE)
and/or Cis-l,2-dichloroethylene(cis-l,2-DCE). Inorganic chemicals also
vary fra. well to well, and between the wells and Keystone.
1lE1lIRlC HYDUUlIC 1ICDE1ING APPROACH
The NPWA distribution system was modeled in a network representation

consisting of 528 links and 456 nodes. The system was characterized
hydraulically and Solver was applied to a series of typical steady state
conditions. An atte.pt was .ade to "match" the distribution of
historical total trihalomethane (TTHM) data by selection of an
appropriate flow scenario. Historical TTHM data from April 1984 and
April 1985 were used to develop average concentrations for TTHM. The
predictions were excellent.
DYNAMIC VARIATIONS IN WATER QUALITY DATA
To investigate the nature of water quality variability under dynamic

conditions with the system, a sampling program was conducted at six
sites. Sampling sites were selected based on spatial variations
determined from this historical data and modeling results. Figure 2
shows the various sampling points used in the field study and Figure 3
depicts the results of the intensive sampling program using TTHMs as a
tracer.
laboratory and field evaluations demonstrated the TTHMs in the
Keystone water had reached their formation potential and were relatively
stable and any TTHMs formed from well sources were relatively minor.
Figure 3 also depicts the variation in hardness at these same pOints
(hardness is primarily associated with flow from the wells). At the
Mainland sampling point a flushing back and forth of water between the
surface source and the well sources can be seen. The peaks of the TTHMs
at Mainland are approximately 12 hours out of phase with the peaks from
the wells indicating that water flow at this point was affected by the
surface and ground water sources. These results point out the problems
in attempting to predict a dynamic situation using a steady-state
approach.
Contaminant Propagation In A Distribution System

The work described previously demonstrated the feasibility of predicting
general contaminant patterns in a distribution system. However, it is
also useful to be able to trace water and contaminant movement in a
system.
To perform this analysis, a model was used to establish a non unique
"hydraulic ordering between all nodes and links in a distribution
system. The ordering ensures that prior to operating on a given node,
the flow from all links into that node have previously been analyzed.
Prior to operating on a given link, flow from the upstream nodes have
been determined. Using the above ordering mechanism at each node, the
585
Figure 2. Sampling points for field study.

total flow entering the node was calculated as the total flow entering
from all incoming links plus flow entering directly into the node if the
node is a source. Similarly, the flow entering the node that originates
from the designated source is calculated as the total flow in each link
that emanated from the designated source. The fraction of flow entering
the link emanating from the designated source is simply the ratio of the
two values.
The average travel time from source node j to node i is calculated by
the following formula:
TTij = (l:[(TTkj+TTki)oFkjoQki]/(I:FkjoQki)} (1)
where
= travel time from source node j to node i
= the summation over all directly upstream nodes k
= travel time in the link from node k to node i
= the fraction of flow at node k from source node j
= flow link from node k to node i
586
'"
14",_
....... iIO
-
...
W"i~
,......,..,"'"'3"'""
........
.. - 10
iIO
1-*",......
f$-,,"$fi:l~
Figure 3. Sampling results from six sampling stations in

North Penn Water Authority
The minimum travel time from a source node to any node is the shortest
time path between the nodes. This value is calculated by analyzing
links and nodes using the previously described hydraulic ordering. At
each node, the travel time is calculated for each entering link by
adding the minimum travel time at the directly upstream node and the
travel time in the link. The entering link with the minimum travel time
is assigned to the node. A similar procedure is used to calculate the
maximum travel time for each node.
A normalized travel time divergence index is calculated for each node
using the following equation:
Divergence Index = H llaX - H llin (2)

TTllin
where HIII8X., and H llin are the maximum and minimum travel times
respectivelY
This index is a measure of the divergence in travel times via
alternative paths.
The water tracing model was designed for use in connection with a
hydraulic model of a distribution system. The information required
corresponds to the network information used as input to a hydraulic
model supplemented by flow information generated by the model. The
input information required is listed in Table 1.
587
Table 1. Input Information Utilized by Water Movement Model
Source node to be analyzed

Link Information
Link number
Upstream and downstream node number
Link length
Link diameter
Flow (quantity and direction)
Source node numbers and inflows
APPLICATION Of CONTAMINANT PROPAGATION MODEL
The contaminant tracing model was applied to the North Penn distribution
system under varying steady state conditions reflective the differing
operating conditions and demands described earlier. In the first
application, average demand was assumed and all wells were operating at
the normal supply rate. Two sources were studied for this scenario:
water supplied from the Keystone transfer [4.12 ~/min (1089 gpm)] and
water emanating from well NP14 [1.18 mlmin (311 gpm).
TRAVEL TIME
As would be expected, time of travel is approximately related to the

distance from the source. Travel times to some small dead end pipes can
be very long (i.e. several days) because the average demands at these
points are very low. Figure 4 illustrates the calculation of the travel
time diversity index for flow emanating from Keystone.
A higher value of the diversity index indicates a greater normalized
difference between the maximum and minimum travel time to that node.
An extension of this work is described in the following section in the
development of a dynamic water quality model.
Dynamic Water Quality Algorithm Development
The dynamic water quality model described in this paper uses a numerical
routing solution to trace water quality through a distribution network.
As described earlier the distribution system 1s represented by a link-
node system. Demands and inflows (both values and concentrations) are
assumed constant over a user defined period and a quasi-dynamic
externally-generated hydraulic solution is required for each period.
Thus, the flow and velocity for each link is known from the hydraulic
solution for each time period. Each time period is evenly divided into
an integer number of computational time steps (At). Each link is then
distance between subnodes may vary from link to link or for a link at
588
Tmax-Tmin
Tmin
~<0.1
IJlII]llIl) 0.1-1
">5
[]['l1-5
Figure 4. Travel time diversity from Keystone transfer to various

points in system (average demand conditions and wells on
normal supply rate)
different time periods), such that the travel time fro. a subnode (or
node) to the adjacent subnode (or node) is approximately equal to At.
divided into sublinks by a series of evenly spaced subnodes (though the
A key consideration in applying the dynamic water quality model is the
selection of the computational time step used within time periods. The
only absolute constraint in selecting the time step is that the length
of all time periods must be an even multiple of the time step. If the
time step selected is too large then the number of subnodes will be
relatively small and the resulting predictions will be less accurate.
This is especially true of short links where the time of travel through
the link is less than 0.5 x At. In this case the quality is transferred
through the link with no transformation. Decreasing the time step
lengths results in more time steps and subnodes thus increasing the
589
computational time. Some sensitivity analysis is generally expected to

be required to select a time step which results in an acceptable
solution with an acceptable solution with an acceptable amount of
computational time.
SOlUTlOII PROCEDURE
The information required by the dynamic lOdel may be classified into

three categories: general information, initial conditions, and
information required for each time period. This required information is
summarized in Table 2.
Table 2. Information Required by the Dynamic Water Quality Model
General Information
At Time Step
General Network Information:
Node numbers associated with the end of each Link
Link lengths
Pipe diameters
Node number associated with each source
Node number associated with each tank
Tank geometry
Initial Conditions:
Concentration at each node at the start of simulation
Volume in tank at start of simulation
Information Required for Each Period:
Direction and flow in each link
Velocity in each link (optionally may be calculated based on pipe
diameter)
Concentration in source flow
The solution algorithm used in the dynamic water quality model

operates sequentially by time period. During a time period, all
external forces affecting the water quality are assumed to remain
constant (i.e. demand, well pumpage, tank head, etc.).
MODE L APPLI CATI 011
The dynamic water quality algorithm was implemented as a microcomputer

590
based dynamic water quality model written in FORTRAN. Versions for both
an Apple Macintosh computer and IBM-PC (or compatible) computer were
developed. The model was applied in a full-scale demonstration of the
North Penn Water Authority distribution system.
The dynamic water quality model was used to model the movement of
constituents in the North Penn system. A 36-hour period was simulated
corresponding to conditions present during the sampling program
conducted on November 14-15, 1985. Hydraulic conditions in the system
were determined using the WADISO hydraulic model (Gessler and
Walski, 1985). Parameters of that model were adjusted so that predicted
tank levels and flows at selected sites represented those measured
during the sampling period. A comparison of leasured and modeled
hydraulic conditions at three locations are shown in Figure 5.
""
,1!!;-~........-+..'o-J.......-,i:IC:--..A.-....,lIIIi:-..........~40
n"", (!Iou",)
",00r--------~-."........,
1m .. K~1IoIto
Figure 5. Comparison of measured and simulated hydraulic conditions
Flows in the network were aggregated into seven periods, ranging in

length from 2 hours to 7 hours, during which flows throughout the system
remained relatively constant. These flows were input into the dynamic
water quality model along with information on initial tank water levels.
Three water quality constituents were modeled: total trihalomethanes
(TTHMs), chloroform and hardness. Chloroform is present only in the
Keystone water source. Another component of TTHM, bromoform, is formed
591
1n the systea from precursors present 1n many of the wells. Based on

sampling results, a constant chloroform concentration of 38 ug/L was
introduced into the model at the Keystone import. Similarly, initial
concentrations of chloroform of 45 ug/L, 1 ug/L and 1 ug/L in the Lawn
Avenue Tank, Elevated Tank and Chestnut Street Standpipe respectively
were used based on the field sampling results. The dynamic water
quality model was initially applied for a 24-hour period and the
resulting nodal concentrations used as initial conditions for the 36-
hour model application. This means of estimating initial conditions is
based on the assumption that the model will reach a non-steady state
equi1ibriu. within the 24 hour periodic cycle. Exa.ination of modeling
results and results of the field sampling program validated both
assumptions. For all runs of the dynamiC water quality model,
chloroform was treated as conservative and a hydraulic time step of 30
minutes was used.
The hardness of the water sources for the North Penn system varies
considerably. During the sampling period average hardness for the
Keystone water was 218 mg/L. No measurements of hardness were taken at
the wells during the sampling period but based on routine sampling
during the months previous to and following the sample period, average
hardness for the wells varied from 179 to 413. The results of the
predicted hardness as compared to sampling measurements.
Examination of the results of the application of the dynamic water
quality model to the North Penn system indicated both close agreement
between predicted and observed results and some anomalous behavior. For
chloroform, TTHM and hardness the general levels of concentration
compared very favorably to the observed values at the three selected
sampling stations. In each case there were some differences in the
timing of peak or minimum values. When the spatial variation of
predicted TTHM concentrations were compared to the historical average
TTHM level, the same general patterns were apparent. Additionally, the
predicted patterns bracketed the pattern corresponding to the long term
historical average; a result that would be expected since the two
selected times correspond to the extreme spatial patterns during the
sampling period.
There are several known factors which could contribute to the
variation between predicted and observed values. These factors are
summarized below:
1. Observed temporal variations in the concentration of TTHM,
chloroform and hardness at Keystone were not represented in the
simulation.
2. Field data on TTHM concentrations at the wells was not available
and thus assumed values were not based on observed values.
3. Field data on hardness in well water was not available during
the sampling period so that representative values based on
sampling at other times were used.
4. The non-conservative aspects of TTHM and chloroform were not
represented in the model application.
5. Flows from the hydraulic model were aggregated into periods of
592
various lengths thus losing some accuracy in representing high

frequency hydraulic occurrences in the model.
Mode1 Extens 1on

In order to extend the application of the water contaminant propagation
.ade1ing effort described earlier, the U.S. EPA initiated a cooperative
agreement with the University of Michigan. In conjunction with U.S. EPA
the University of Michigan initiated a program with the South Central
Connecticut Regional Water Authority to test previously developed
.adeling concepts including field studies to verify and calibrate the
models discussed previously (Clark, et al., 1993b).
SYSTEM CHARACTERIZATION
The South Central Connecticut Regional Water Authority (SCCRWA) serves

the Greater New Haven area of Connecticut. Water is supplied to
approximately 95,000 customers (380,000 individuals) in 12
municipalities. The SCCRWA service area is divided into 16 sfparate
pressure/distribution lones. Average sendout is 189.2 tbou m/day
(50 mgd) with a safe yield of approximately 280.1 thou ~/day (74 mgd).
Water sources include four surface water sources (Lake Gaillard, Lake
Saltonstall, Lake Whitney, and the West River System). A fifth surface
source (the Maltby Lakes) does not meet quality standards and has not
been used for the past decade. There are five well fields serving as
sources (North Cheshire, South Cheshire, Mt. Carmel, North Sleeping
Giant and South Sleeping Giant). Approximately 80% of the water in use
in the system comes from surface sources with the remaining 20% from
wells. All water is treated with chlorination, filtration and addition
of a phosphate corrosion inhibitor. The system includes 22 pumping
stations, 23 storage tanks and approximately 2091.7 km (1300 mi) of
water mains.
SCCRNA is an ideal test case for the usefulness of contaminant
propagation modeling because sources of water include both surface water
and subsurface water. Within the past several years, New Haven has
experienced various water quality problems within the distribution
system, including biofil. build-up leading to taste and odor problems,
and coliform regrowth in violation of the Safe Drinking Water Act. The
complexity of the system makes interpretation and understanding of these
problems difficult.
SYSTEM 1IOOE1I1IG .
The preliminary efforts in developing and validating a model for the

SCCRWA were concentrated on the Cheshire service area. This area is
relatively isolated. and provided a prototype for modeling the remainder
of the system. In order to validate the model an extensive study was
planned in which the fluoride feed at the North and South Well Fields
were turned off and the propagation of the fluoride free water tracked
through the system. In the following sections the various steps
593
required to accomplish this task will be described. The first step in

the process was establishment of a data base for the service area.
HYDRAUliC 1IOOE1I1IG
Prior to the application of the Water Quality Modeling effort and

related field study, extensive hydraulic analyses were conducted on the
system. For the preliminary modeling described in this paper, the full
SCCRWA system network was represented by approximately 520 nodes and 700
links. A network skeletonization was prepared based, in part, on a
previously developed network representation developed by Malcolm Pirnie
for SCCRWA. This representation was modified based on the most current
mappage supplied by the Authority. For other service areas, the
distribution system mappage was used to develop a network
ske1etonization at a level of detail consistent throughout the system.
The network was drawn as a mylar overlay to the USGS 1:24000 scale
topographic maps. In most cases, the system was represented by
"skeletonizing" the system (i.e. selectively choosing pipes based on
their size and perceived impact as transmission mains). In a few cases,
"surrogate" pipes were used to represent the effects of several pipes.
For example, a single 35.6 cm (14 in) pipe may be used to represent the
effects of a pair of parallel 20.3 cm (8 in) and 30.5 cm (12 in) pipes.
In these model applications, the hydraulic and water quality models were
applied to the Cheshire system simulating the proposed fluoride study.
SIMULATING THE FIELD STUDY
The first step in the modeling process after the data base development
and hydraulic models had been implemented was to apply the steady state
and dynamic water quality models developed as a result of the North Penn
study to the Cheshire system to simulate the propagation of fluoride
feed water and thereby to select sampling locations when the fluoride
feed was actually turned off.
System operation information for Cheshire for the period March 3-4,
March 5-6, and April 18-19, 1989 were used in the simulations. The
information utilized well pumpage rates, tank inflow/outflow data, and
calculated service area water usage on an hourly basis. For each of the
three periods, a 7-day simulation was run in which the 24 hour period
was assumed to repeat itself seven times. Fluoride concentrations were
initially set at a value of 100 (an arbitrary datum) at all nodes and in
the tank. Then at time=O, the fluoride concentration at both wells was
set to zero. Simulated concentrations in the system were observed for 5
days and then the fluoride was restarted and the system observed for
another two days.
The results of the simulation are presented in a series of graphics
for each of the three sampling periods. The simplified network
representation used in the modeling runs is presented in Figure 6. This
map shows the location of the wells, the tank, and 5 other nodes at
which detailed simulated time series data are presented.
594
Figure 6. Schematic of Cheshire distribution area in SCCRWA
The results of the simulations provide much information for design of

the field sampling program. Foremost is the large impact of the tanks
on the system. There are two tanks located adjacent to each other and
it was assumed that both tanks float on the system and would thus act in
an identical manner. The dynamic water quality model assumes that the
tank is fully and instantaneously mixed. Within the simulation, the two
tanks were represented by a single tank with a diameter equivalent to
the two tanks.
DESIGN OF THE FIELD PROGRAM
Based on the simulation results and the objectives of the proposed field
study, a preliminary field testing program was designed. Much
refinement was required based on actual availability of manpower,
variations in the operation of the system, etc. However, the plan
served as a starting point for final design of the sampling plan.
Unfluoridated water was picked as the tracer because fluoride is
regularly added to the water at a concentration of approximately 1 mg/l
as required by the State Department of Health Services, it does not
dissipate from the water, it is easily tested for, and turning off the
fluoride feed could be done with no health or aesthetic affects to the
water. A fluoride concentration of between 0.8 mg/l and 1.2 mg/l in
public drinking water is required by the State Department of Health
595
Services Public Health Code. The natural background concentration of

fluoride in the Cheshire wells is approximately 0.10 I9fl. By tracing
the changes in the fluoride concentration in the distribution system,
accurate travel times could be determined for the water in the
distribution system by relating the time the fluoride feed was shut down
at the wellfields to the time it dissipated at the sampling points.
PREPARATION
The suggested sites for continuous analyzers were at three elementary

schools and the Cheshire Town Hall, based on their strategic location in
the distribution system (Figure 7).
'*--
.. GrR utnpItng SIte
Conttnuous analyftf
Figure 7. Cheshire service area map
The staff requirements were tremendous, considering the number of

personnel and varied skill levels needed to run the study. Personnel
were needed to: plan, prepare, manage, and oversee the entire
operation; collect samples on a 24-hour-per day basis; check the
continuous analyzers and automatic samplers daily; run the fluoride
analyses on the grab samples and make the necessary operational
adjustments.
CARRYING OUT THE FIELD STUDY
The official start of the study began when the fluoride was shut off at
596
both the north and south Cheshire wellfields simultaneously on Tuesday,

November 28, 1989, at approximately 7:30 AM. At this time the full
sampling schedule went into effect and samples were collected and
immediately delivered to the command center for fluoride analysis.
After the field portion of the study was completed, the laboratory
work continued for several weeks to finish analyzing the 2150 samples
collected. The analyzer strip charts were then converted from millivolt
output to fluoride concentration, and the significant changes were
summarized for the entire study period (Hess, et al., 1991).
RESULTS OF THE FIELD STUDY
Turning Off the Fluoride. Results from the study were very encouraging.
The model predictions, for the propagation of the non-fluoridated water
through the system were very close. Figure 8 is a comparison between
the model predictions and the field sampling results for nodes 37,182
and 570 (tank). The general trends predicted in the simulation are
borne out by the field study. As can be seen from node 520,
concentration in the tank discharge increases/decreases until it
approaches the calculated concentration level in the tank. This effect
is probably due to a lack of complete mixing in the tank.
The behavior of the tanks are of particular interest. During the
early portion of the sampling period, tank height variations were held
to a minimum <0.91 m (3 ft). After two days, little change in fluoride
concentrations was found in the tank and, as a result, the water level
was then allowed to vary approximately 2.44 m (8 ft). The wider range
in tank height variation has the effect of turning the water over
relatively rapidly. Even with the rapid turn over it takes nearly ten
days to fully replace old water with new water in the tanks. It is
clear from this analysis that tanks could have a detrimental effect on
water quality, particularly as water ages in the tank.
Turning On the Fluoride. The simulated values compared well with the
actual field data. In both situations of turning the fluoride "off" and
"on," the values simulated were gradually decreased and increased from
the North Well. This is because the fluoride is added prior to the
clearwell thus dampening the effects of any changes. Fluoride changes
at the South Well can be seen almost immediately in adjacent nodes.
Another modeling consideration was the fact that laboratory analyses
never detected less than 0.05 mg/l fluoride because of instrument
sensitivity. Thus, the model results were adjusted accordingly.
Effect of Residence Time. From the study it is clear that some portions
of the Cheshire System have long residence times.
long retention times are very significant with regard to the
concentration of various contaminants or substances as they are
propagated through the system. For example it is well known that
trihalomethanes increase with time and that chlorine decays over time.
Because these changes have public health significance a study was
initiated to simulate chlorine propagation in the Cheshire Service Area.
The following equation was used to describe chlorine decay using the
597
O.l
.,0-1
rJu
0 ..
0.4
0.1
~ ..
0.0
0
.,:
1 0,8
0.$
C
J
0,.
0.1
\1.1
Figure 8. Actual vs. Predicted Fluoride Concentrations

for Cheshire
598
dynamic capability of the conta.inant propagation model (Grayman,

et a1., 1988):
C Coe- kt (2)
where
C the concentration of chlorine
at tiE in lt9/l
Co initial concentration of chlorine
in I19!l
k dec., rate or ~tilization of chlorine
1n t111e (days- )
t time 1n days
For purposes of this analysis the following assumptions were
made:
Co 2 mg/l
k - 1 day-1
Residual chlorine was simulated based on two operational cycles (0.91
m [3 ft] and 2.7 m [9 ft] tank height variations) for the pumps and
tanks serving the Cheshire System (Prospect Tanks) (Clark, et a1.,
1993b). Based on the results and assumptions of the simulation study,
it was clear that chlorine residual has the potential of changing
dramatically with time throughout the system.
One reason for these variations is explained by the way most water
systems in the U.S. typically operate if storage tanks are involved. A
load center may be supplied directly from a source while the tank is
filling (American Water Works Association, 1989). Transport times are
relatively short and chlorine decay is low. The feed water mixes with
water in the tank, which typically has very large volumes, making the
actual residence time of water in the tank quite large. When the pumps
are off, the load center is fed directly from the tank resulting in
water that is relatively old.- If we assume that equation 1 describes
the decay of chlorine with respect to time, then low chlorine residuals
under this scenario would be expected in the tank discharge water.
Table 4 shows the frequency of simulated chlorine residual levels at
various nodes in the Cheshire system. In Table 4 the two operating
scenarios mentioned previously are evaluated.
TABLE 4. SIIIIlATED CHLORINE RESIDUAL IN THE
CHESHIRE SYSTEM (168 hra)
0.91. (3 tt) V,riation 2.7. (9 ft) Variation

Chlorine R_lduel AYII_ Duration Chlorine Reslul AYII. Our.tion
(frequeney) (hra) (frequency) (hrs)
~.2 >0.2-0.5 ~.2 >0.2-0.5 !0.2 >0.2-0.5 ~.2 >0.2-0.5
Node No. !lIll 11111 III" 11111 111/1 11111 11111 11111
37 14 o 7.6 0 2 3 15.0 14.0

88 1 9 a.a 3.5 1 3 13.0 16.7
182 10 4 6.9 4.a 2 3 14.0 13.2
323 o o o 0 o o o 0
537 1 5 5.0 3.a 2 2 23.5 14.1
599
The authors believed that the implications from the simulation study
were so important that a verification study was initiated using another
portion of the SCCWRA service area.
On August 13-15. 1991. a sampling program at the Cherry Hill/Brushy
Plains Service Area was initiated with the goal of validating the
previously discussed si.ulation results. The purpose of this sampling
program was to gather information to characterize the variation of water
quality in the Service area and to study the impact of tank operation on
water quality.
Verification Study
The Cherry Hill/Brushy Plains Service Area covers approximately 2 square
miles in the Town of Branford in the eastern portion of the SCCRWA area.
This Service Area is almost entirely residential containing both single
family homes and apartment/condominium units. Average water use during
the sampling period was 1700 ~/day (0.46 mgd). The water distribution
system is composed of 20.3-cm (8-in) and 30.48-cm (12-in) mains as shown
in the sche.atic in Figure 9.
ScaJe
1500 feet
457.2 meters
SP - DeSignates
sampling point
Figure 9. link-llode lepreeentation of the Cherry Hill/Brushy Plains

IletllOrk wi th f'I.tIIp& On Sc_r I 0
600
The terrain in the Cherry Hill/Brushy Plains Service Area is generally

.oderately sloping with elevations varying from approximately 15.2
(50 ft) mean sea level (msl) to 70.1 m (230 ft) msl.
PIlE-SAMPLING PROCEDURES
Prior to the sampling period, the WADISO hydraulic .odel and the dynamic
water quality model developed by the U.S. EPA were applied to simulate
flow patterns within the Service Area. Additionally, during the periods
of May 21-22, July 1-3, July 8-10, and July 30-August 1, 1991, chlorine
residuals were IOnitored (utilizing a Rosemount model 4024 portable free
chlorine analyzer and chart recorder) at the tank and operational
patterns (pump records and tank water level variations) were studied.
SAMPLING PROCE~ES
At 9:00 AM on August 13, 1991, the fluoride feed was shut off at the
Saltonstall plant. Because the feed is prior to the filtered water
storage tanks, the fluoride concentration actually leaving the plant
decreased gradually rather than ceased entirely when the feed was turned
off. At that time, a 'circuit' was begun in which samples were taken at
each of the seven distribution sampling sites in addition to samples at
the pump station (on the effluent side) and at the tank.
Figures 10 and 11 show the results of the fluoride sampling study and
the modeling efforts at each of the sampling nodes. From these results
it is clear that the modeling effort matches the sampling efforts quite
well with the exception of the dead ends. The shaded areas at the top
of the individual plots in Figures 10 and 11 show the on and off cycle
for the pumps. Clearly, the pump cycles heavily influence water quality
at several sampling pOints. For example, at node II, during the pumps
on cycle the fluoridated water is pumped into the system. When the
system is being fed from the tank (pumps off) the system is receiving
water that had reached an equilibrium concentration of fluoride prior to
the stoppage of the fluoride feeders.
Chlorine Residual Modeling

As mentioned previously the two scenarios evaluated during the sampling
study were with the pumps on" and "pumps off" condition. Table 5 shows
the length of pipe in feet, average velocity in feet per second,
residence time in days and the average chlorine residual at the
beginning and ending nodes for various links in the system with the
pumps on.
Using the upstream and downstream chlorine concentration and the
residence times in the link, the chlorine decay coefficient was
calculated for each link. Chlorine demand was calculated based on a
first order assumption as defined by equation 1. A bench study was
conducted in which chlorine demand for the raw water was calculated
using Cherry Hill/Brushl Plains water, and the chlorine decay rate was
calculated as 0.55 day'. This decay rate might be considered as the
Node 3 Sample RMUIta
NodeS
ON OFF ON OFF ON OFF ON OFF ON -Prodlct" ON OFF ON OFF OM 01' ON OI'F OM
1.2 1.2 - - -
~1 i 1
!o. . ..................................................... !o.

i :
)0.
.0.4 .0.4
r
10.2 .. .. .. .. .. . .. . .Ift' . . . . . . . . . . '.' )0.2
...
5 10 20 21 JO 31 40 ... 10 55 5 10 1. 20 21 30 31 40 ... 10 II
l' Houn from 10 a",I1131'111 Houn froa 10 am 1113111
Node 10 Node 11
ON OFF ON OfF ON OFF ON OFF ON ON OFF ON on OM OfF ON OfF ON
1.2 1.2
i' i'
1'
10
0.'
r f4
r
f' 0.2 0.2
10 11 20 . :to M 40 45 10 61 10 I. ..ao 30 40 10 .
Houn IroIII 10 _ II1M1 Houn .... ,. _

III.'
~
Figure 10. Results from Fluoride Sampling Study at Nodes 3,6,10,11 0
0\
Sample RMUlIa Node 25 o
Node 19 tv
ON OFF ON OFF ON OFF ON OFF ON - P,.dlc:t.d ON OFF ON OFF ON OFF ON on ON
1.2..,..-------------------------.., u-fi-----'---------'----,
i' . . . . . '1. ... i'
1' 1'
:110.1
)0
i .

0.4 ~0.4 .................. , ............ .

"Ii'
:I Ju
,0.2o I ~ '; '; . ....: oI I
o I 10 11 10 II 30 34 40 41 10 55 Ii 10 ,. 10 21 30 34 40 41 10 15
HounIn. 10 .... 1113181 HourI fnNft 10 .... 1113181
NodeM
Node 28
ON OFF ON on ON OFF ON OFF ON ON OF' ON on ON on ON OF' ON
-- 1.I-fi--L---I---------i----.....I--,
:-......... .o' .... St .. ,......,. lie ................ i 1..,- ..
i'0.' 0.'
1 0.' 1 0.'
J
J::: J::]"".......................... 1
o i , , , , , , , , ,
I
I 10 11 10 II 30 31 40 41 10 II Ii 10 11 10 If 30 34 40 41 .. 15
I
.......... ,0 .... 111_, ...... .,..'..... 111.,
Figure 11. Results from Fluoride Sampling Study at Nodes 19,25,28,34
603
TABlE 5. HYDRAUlIC COIIDITI!lNS MING "PUlPS !IN'' SCEIlAIUO
Chlorine
Conc. .tratlon
Link Residence In II8Il Decay Ratio of
legimlngJEndlng Length* TI_ (UplJtr_ Coeffi~1 ..t Pipe to
Nodes (ft) (deys) DOIoI1IIt~) (days ) Bulk Decay
1-3 3700 0.0414 1.08/1.00 1.86 3.38

1-6 4400 0.0321 1.08/1.00 2.40 4.36
6-11 3800 0.0286 1.00/0.98 0.71 1.29
6-10 4900 0.8049 1.00/0.36 1.27 2.30
11-19 5400 0.1634 0.98/0.16 11.09 ZO.16
11-25 4350 0.0424 0/98/0.94 0.98 1.711
11-34 64000 1.3714 0.98/0.12 1.53 2.711
25-28 2400 1.4937 0.94/0.16 1.19 2.16
Tank 3.000 0.94/0.16 0.59 1.07
To convert fro. ft to IUltlply by 0.3048
bulk decay rate or the decay rate of chlorine in the treated water. As
can be seen by the ratio in column 6 of Table 5, the total systeM demand
is much higher than just the bulk decay rate. This additional demand is
most likely due to pipe wall demand, biofilm and tubercles and is very
Significant. It is conceivable that some system components may
ultimately have to be replaced in order to meet water quality goals.
The links resulting in dead ends (which also had the lowest average
velocity during the pumps on scenario) also exhibited the highest
chlorine demand. It is also clear from column 5 in Table 5 that a
single first order decay rate will not predict chlorine residual
adequately.
DEAD ENOS
Based on this and previous studies, the authors believe that not only
tanks but dead ends in distribution systems are very Significant in
terms of both water quality and contaminant propagation modeling.
Clearly, if the potential water usage with regard to volume of water in
a dead end is high, the dead end section may flush out rapidly depending
on water usage patterns. If the water usage is small with regard to
volume of water in the dead end section, then water usage patterns have
little impact on the flow in this section. Under these conditions the
water will have a very long residence time, and it will be difficult to
maintain chlorine residuals. The sensitivity of water quality modeling
results to water usage in the vicinity of dead ends also makes it very
difficult to accurately model such situations. The authors believe this
is an aspect of distribution systems that needs further study.
604
DISCUSSION OF RESULTS
Results from this study are consistent with the findings of others in
showing that water quality varies dramatically fro. point-to-point in a
drinking water distribution system (Geldreich, et a1. 1972; Maul, et a1.
1985a; Maul, et a1. 1985b; leCheva11ier, et a1. 1987). This study goes
beyond these earlier studies by presenting a plausible hypothesis as to
why this deterioration takes place and demonstrates how system design
and specific operating scenarios, such as direct pumping and/or the use
of storage tanks, can influence the nature of water quality variation
within the systa.. It also demonstrates the usefulness of water quality
propagation models in assessing both the impact and the causative
mechanisms for those variations.
Developing A Storage Tank Model

As indicated earlier, the simulations utilized in this paper assumed
complete mixing of the storage tanks examined. However, sampling data
from the Prospect Tank and other studies (Kennedy, et al., 1991)
indicated that is not necessarily the case. Therefore, a storage tank
model was developed and is described in this section.
The field of computer modeling of water storage tanks is a relatively
recent area of development. In a currently ongoing cooperative
agreement between EPA and the University of Cincinnati (Rossman, 1992),
the use of physically based models which describe the hydrodynamics of
jets entering a water tank is being investigated. An earlier study
(Germales, 1975) investigated the mixing of liquids in a tank.
In the present study, an approach which uses a "systems" model
combining concepts associated with both hydrodynamic models and
statistical models, is utilized. Specifically, a 3-compartment tank
model is described with the interchange between compartments
representing the major physical processes in tanks.
3-COMPARTMENT MODEL
Water quality models generally represent tanks as continuously stirred

tank reactors (CSTR) (Grayman and Clark, 1991; Grayman and Clark, 1993).
However, analysis of field sampling studies and data from laboratory
studies of tanks indicates that there is considerable variation in the
behavior of tanks and that in many cases, the CSTR assumption is not a
good representation.
Two related phenomena that lead to the breakdown of the CSTR
assumption are 'short circuiting' between the inlet and outlet of a
tank, and the presence of zones within the tank that are 'dead' areas or
where mixing with the remainder of the tank is limited. In short
circuiting, a direct flow path between the influent and effluent line
results in a 'last in-first out' situation rather than full mixing.
These phenomena may be due to design features or may result from
environmental situations such as temperature stratification.
A 3-compartment model is suggested as a means of representing a wide
605
range of tank situations. As illustrated in Figure 12, in the

3-compartment model, the three compartments are identified as:
Compartment A represents the volume of the tank near the inlet/outlet
where short circuiting would most likely occur; Compartment C represents
the tank volume where interchange with the main body of the tank is
limited (dead zone); and Compartment B, the main body of the tank.
--
~
COMPARTMENT B
Variable Size Main Zone
COMPARTMENT
C
'Dead Zone' -
COMPARTMENT A
. ..
-- ..
I ..
'Short Circuiting Zone'
Figure 12, Schematic Representation of 3-compartment Tank Model
These separate 'compartments' are purely conceptual in nature and in

fact, for example, Compartment C may represent several different parts
of the tank (e.g. corners in a rectangular basin or the upper portions
of tank) where the interchange is limited.
In the model, compartments A and C are assumed to be of fixed volume.
Compartment B varies in size as the water level in the tank changes.
Each of the compartments are assumed to be represented as continuously
stirred tank reactors though at any time, the concentration of the
constituent of interest may vary between the compartments. A time lag
is introduced through a numerical difference solution technique which
operates on an hourly time step. All flow is assumed to enter and exit
through Compartment A. In order to maintain the fixed volume of this
compartment, the flow rate between Compartments A and B must be the same
as flow rate between Compartment A and the distribution system. The
flow rate between Compartments Band C is assumed to be adjustable. The
lower the exchange rate, the 'deader' the zone. Figure 13 illustrates
the age of water in the compartments.
606
1~~--------------------------------~
0.5 1 1~ 2 2~ 3
Time from stan In days
1,000
~
Q.
(!)
.5
~
[:
,1,0000
Time from stan in days
1.2...-------------------------------,
Predicted
r...
0.2 , .

OL-___L -_ _ ~~ __ ~~ __ ~ ____ ~ _ _ __ J
o 0.5 1 1.5 2 2.5 3

nne from start in days
Figure 13. Sample Output from 3-Compartment Tank Model

607
Model Results
The 3-compartment model was applied to both the Prospect Tank and the
Brushy Plains Tank. At the Prospect Tanks, fluoride was modeled while
at the Brushy Plains Tank fluoride, chlorine ~nd water age were studied.
For the Prospect Tanks, there was no indication of a dead zone so that
only Compartment A and Compartment B were represented in the model. As
a basis of comparison, a single compartment model was assumed and the
results compared to the concentrations in the effluent line as
determined from the field study (see Figure 14).
1,. '" 1-1 i6- ::W ~~ tM ~~ ;W~ ~_~ ~ m 1~2 JU 30W

rlme,t.~ F~~. ~QfI......./:I
Figure 14. Comparison of Modeled and Sampled Fluoride

Concentrations at Prospect Tanks
As illustrated, though the predicted concentration curve generally
followed the trend of observed concentrations, it did not represent the
variations that occurred for an 8 to 12 hour period as the tank switched
from filling to emptying. As illustrated in Figure 14 the 2-
compartment model with compartment A equal to 2830.0 m~ (lOO,OOO cu ft)
resulted in a significantly improved representation of outflow
concentrations.
For the Brushy Plains Tank, the dominant phenomenon was the apparent
dead lone. To model this, Compartment C volume was set at 328.5 m
(lOO,OOO ~a1) and an exchange rate between Compartment Band C was set
at 0.19 mlmin (50 gpm). These parameter values resulted in a good fit
608
when modeling fluoride concentrations in the tank discharge. For

chlorine, the decay coefficient also significantly affected model
results where a coefficient of k 0 and k 1 days-' were used
respectively. Water age was also simulated for the Brushy Plains Tank.
Age of water was estimated for the tank inflow and for the initial tank
water age by use of historical chlorine data. Using these values, the
water age was manually calculated and input into the model. The
resulting predicted time patterns of water age within each compartment
showed there is a general increasing trend for water age in the tank
with fluctuation around this trend which is most pronounced for
Compartment A as the tank changes fra. f111ing to emptying and vice
versa. Because of the reduced exchange between compartments Band C,
the age in Compartment C is always greater than in Compartment B. The
relationship between water age in the three compartments is a good
indicator of the dynamics occurring within the 3-compartment tank model.
Application Of EPANET
The new generation of water quality models are highly sophisticated. An
example of this type of model is EPANET, developed by the Drinking Water
Research Division of EPA's Risk Reduction Engineering Laboratory
(Rossman, 1993). [PANET performs extended period simulation of
hydrauliC and water quality conditions within drinking water
distribution systems, calculates flows in each pipe and pressure at each
pipe junction, the height of water in each tank, and the concentration
of dissolved substance at each junction are calculated during a multi-
time period simulation. Water age and source tracing can also be
simulated. EPANET consist of two programs. One is a hydraulic/water
quality simulator and the other is a graphical user interface for
interactively running the simulator and viewing its results.
Key features of the program include:
modular, highly portable C language code with no pre-set limits on
size of network,
a simple data input format based on a problem oriented language,
a full-featured, extended period, hydraulic simulator that can
handle various speed pumps, and either level- or timer-control
rules on pump and valve operation,
an improved and more efficient algorithm for tracking water
quality changes over time throughout a network,
the capability to consider water quality reactions both within the
bulk flow and the pipe wall.
The graphical user interface allows one to edit EPANET input files,
run a simulation, and view the results all within a single program.
Simulation output can be visualized through:
color-coded maps of the distribution system with full zooming,
panning, and labeling capabilities and a slider control to move
forward or backward through time,
spread$heet-1ike tables that can be searched for entries meeting a
specified criterion,
time series graphs of both predicted and observed values for any
variable at any location in the network.
609
EPANET has been applied in the following situations:

chlorine decay dynamics in New Haven, Connecticut as well as five
other cities across the u.s.
Source blending and trihalomethane propagation in North Marin,
California
the effect of altered tank operation on water quality and age in
Ann Arbor, Michigan
control of total dissolved solids in a California irrigation
district's water reclamation project
Summary And Conclusions

It is clear that water quality modeling can provide many useful insights
as to the effect of system operation on the spatial and temporal
variation associated with water quality in drinking water distribution
systems. There is increased interest among federal and state regulatory
agencies and water utilities in the factors that result in water quality
deterioration between the treatment plant and the consumer's tap. This
has resulted in a number of efforts being made to develop models that
predict the propagation of contaminants in distribution systems. The
U.S. EPA, in cooperation with the North Penn Water Authority, developed
and tested such a model. In order to extend the application of the
model, a study was initiated in conjunction with the South Central
Connecticut Regional Water Authority. As part of this study, fluoride
feed was cut off and the propagation of non-fluoridated water into the
system studied. The model predicted the results of the field study
well. Of particular note was the behavior of the tanks in the Cheshire
portion of the distribution system.
This study was intended to be a preliminary assessment of potential
impacts of tank design, location and operation on the water quality of a
distribution system. The results of both the field study and the
hypothetical modeling exercise strongly indicate that tanks do indeed
have a very significant potential impact on water quality. Furthermore,
these impacts vary significantly for different conditions, are
influenced by the interaction of many operational and design factors,
and are frequently counter intuitive. Because of the diversity of the
impacts and large range of alternative situations, development of a set
of specific guidelines for tank design, siting and operation is
unlikely. Rather, it is recommended that modeling and analysis tools be
refined to facilitate site specific analysis.
In order to validate the model's prediction, another study was
conducted using the Cherry Hill/Brushy Plains Service Area of SCCRWA.
The hydrauliC model used in tandem with the dynamic water quality model
gives surprisingly good representation of the fluoride and chlorine
concentrations for the main line area between the pump and the tank.
For areas off this mainline, the concentrations appear to be very
sensitive to water use and accurate modeling is difficult without
additional information (that is difficult to obtain) on detailed water
use in these areas. Clearly, these are some significant problems
associated with routine system operations which are embedded in the
610
design of the system. Most systems consist of at least one tank to

maintain free flow and system reliability. However, these tanks may
also have an adverse impact on water quality. These tradeoffs in public
safety versus public health need further study.
Acknowledgements
The authors acknowledge the assistance of Ms. Diane Routledge, Ms.
Jean lillie, Mr. Steven Waltrip, Mr. Richard Findsen and Dr. James
Goodrich of the u.S. EPA; Dr. Richard Males of RMM Technical Services;
Dr. Walter Grayman, Consulting Engineer; Mr. Harry Borchers, North Penn
Water Authority, Ms. Judy Coyle, Consulting Chemist, formerly of North
Penn; Dr. Rolf Deininger of the University of Michigan; Mr. Jeffrey
Finkeldey and Mr. larry Wymer of the Computer Sciences Corporation;
Messrs. Alan Hess, Ron Walters, Tom Barger, Gary Thibodeau, John
Savinelli and Darrell Smith of the South Central Connecticut Regional
Water Authority.
References
American Water Works Association Distribution System Requirements for

fire Protection, AWWA Manual M31, First Edition, American Water Works
Association, 6666 W. Quincy Ave., Denver, CO 80235, 1989.
Chun, D.G. and Selznick, H.l., Computer Modeling of Distribution System
Water Quality, in Computer Applications in Water Resoyrces. Proceedings
of the Specialty Conference sponsored by the Water Resources Planning
and Management Division, American Society of Civil Engineers, New York,
NY, pp. 448-456, June 1985.
Clark, R.M., Lykins, B.W., Goodrich, J.A., "Infrastructure and
Maintenance of Water Quality," in Distribution Symposium Proceedings,
AWWA Distribution Division, Seattle, WA. American Water Works
Association, Denver, CO 80235, September 1985.
Clark, R.M. and Males, R.M., "Simulating Cost and Quality in Water
Distribution." Joyrnal of Water Resoyrces Planning and Management,
Vol. 11, No.4, American Society of Civil Engineers, pp. 454-466,
October 1985.
Clark, R.M. and Males, R.M., "Developing and Applying the Water Supply
Simulation Model." Journal AWWA, 78(8), pp. 61-65, August 1986.
Clark, R.M., Adams, J.Q., Miltner, R.M., Cost and Performance Modeling
for Regulatory Decision Making, Water, Vol. 28, No.3, pp. 20-27, 1987.
611
Clark, R.M., Grayman, W.M., Males, R.M. and Coyle, J., "Modeling
Contaminant Propagation in Drinking Water Distribution Systems."
J. Water SRT Aqua, No.3, 1988, pp. 137-151.
Clark, R.M., Goodrich, J.A. and Wymer, L.J., "Effect of the Distribution
System on Drinking Water Quality," J. Water SRT. Aqua, Vol. 42, No.1,
pp. 30-38, 1993a.
Clark, R.M., Grayman, W.M., Males, R.M. and Hess, A.F., "Modeling
Contaminant Propagation in Drinking Water Distribution Systems,"
Journal of Enyironmental Engineering, ASCE, Vol. 119, No.2,
March/April, 1993b, pp. 349-364.
Geldreich, E.E., Nash, H.D., Reasoner, D.J. and Taylor, R.H., 1972.
"The necessity of controlling bacterial populations in potable water:
community water supply." For JAWWA 64:596-602.
Germeles, A.E., "Forced Plumes and Mixing of Liquids in Tanks," J.Fluid
Mechanics, Vol. 71, Part 3, 1975.
Gessler, J. and Walski, T.M., Water Distribution System Opti.ization,
TREL-85-11, WES, Corps of Engineers, Vicksburg, MS, October 1985.
Grayman, W.M., Clark, R.M. and Males, R.M., "Modeling Distribution
System Water Quality: Dynamic Approach." Journal of Water Resources
Planning and Management, ASCE, Vol. 114, No.3, May 1988.
Grayman, W.M. and Clark, R.M., "Water Quality Modeling in a Distribution
System," Proc. AWVA Annual Conference, Philadelphia, PA, 1991.
Grayman, W.M. and Clark, R.M., "Impact of Storage on Distributed Water
Quality, accepted for publication in ~.
Hess, A.F., et al., "Field Sampling Procedures for Calibration of a
Water Distribution System Hydraulic Model," Proceedings of the Water
Quality Modeling in Distribution Systems Conf., Cincinnati, OH,
February 1991.
Kennedy, M.S., Sarikelli, S., Moegling, S., and Suravallop, K. "Mixing
characteristics in distribution system storage reservoirs." Proceedings
of the AWWA Annual Conference, Philadelphia, PA, June 1991.
LeChevallier, M.W., Babcock, T.M. and Lee, R.G. 1987. "Examination and
characterization of distribution system biofilms," Applied and
Enyironmental Microbiology 53:2714-2724.
Males, R.M., Clark, R.M., Wehrman, P.J. and Gates, W.E. "Algorithm for
Mixing Problems in Water Systems," Joyrnal of the Hydraulics Division,
ASCE, Vol. III, Mo. 2, pp. 206-219, February 1985.
612
Maul, A., El-Shaarawi, A.H. and Block, J.C., 1985a. "Heterotrophic

bacteria in water distribution systems, I. Spatial and temporal
variation." The Science of the Total Environment 44:201-214.
Maul, A., El-Shaarawi, A.H. and Block, J.C., 1985b. "Heterotrophic
bacteria in water distribution systems, II. Sampling design for
monitoring." The Science of the Total Environment 44:215-224.
Metzger, I., Water Quality Modeling of Distribution Systems," in
Computer Applications in Water Resources. Proceedings of the Specialty
Conference sponsored by the Water Resources Planning and Management
Division, American Society of Civil Engineers, New York, NY,
pp. 422-429, June 1985.
National Interim Primary Drinking Water Regulations, Environmental
Protection Agency, Office of Water Supply, Washington, DC 20460,
EPA-5700-9-76-003m, pp. 9-12, 1976.
Rossman, L.A., "EPANET--An Advanced Water Quality Modeling Package for
Distribution Systems, to appear in the Proceedings AWWA Annual
Conference, San Antonio, TX, 1993.
Rossman, L., Personal Communication, 1992.

Sarikelle, S., Hehrfar, K.E., and Chuang, Y.T., "Incorporating Graphics
in Water Distribution Systems, in Computer Applications jn Water
Resources. Proceedings of the Specialty Conference sponsored by the
Water Resources Planning and Management Division, American SOCiety of
Civil Engineers, New York, NY, pp. 412-421, June 1985.
Shawcross, J.F., "Modeling Complex Water Distribution Systems," in
Compyter Applications in Water Resources. Proceedings of the Specialty
pp. 438-442,June 1985.
Tanner, T.L., "Adopting a Pipe Network Analysis Computer Program," in
Compyter Applications in Water Resources. Proceedings of the Specialty
pp. 430-437, June 1985.
21
SLOW TRANSIENTS IN CLOSED CONDUIT FLOW - PART I
NUMERICAL METHODS
BERND-UWE ROGALLA and ANDREAS WOLTERS

Universitlit Hannover
Appelstr. 9A
30167 Hannover
Federal Republic of Gennany
Abstract: A numerical method is presented in this paper which may be applied to mass oscillations
as well as to the water hammer equations. The method is based on a combination between an implicit
fmite difference method (IFD) and the method of characteristics (MOC). The MOC/IFD method
is used to investigate the instationary behaviour of pipeline systems in the transition region between
inertially-govemed processes and the spreading of pressure surges. A comparison between the results
obtained from the rigid water column model (RWCM) and the MOC is also presented.
1. Introduction
The objective of design planning is to dimension pipeline systems in new constructions, or when
extending existing installations or replacing installation components, in such a way that they may
be safely and economically operated over a long service life.
In addition to economic aspects such as construction and operating costs, the safety planning
concept is of decisive importance with regard to the operation of the installation. This includes
the control of flow processes under normal operating conditions as well as for scheduled changes
in operation and malfunctioning of the system.
The normal operation of an installation is characterized by a stationary, i.e. temporally con-
stant pressure head and volumetric flow distribution within the system.
Scheduled changes in operation are changes which are purposely introduced in order to
achieve a disturbance-free transition from one stationary operating state to another stationary
operating state. Measures necessary to achieve this include, e.g. the starting-up or shutting-off of
pumps, the opening or closing of valves or the intervention of the process control system.
Malfunctioning of the system is characterized by events which cannot be influenced. Examples
of this include: the failure of pump motors, the unintentional opening or closing of valves, the
jamming of safety valves or the failure of the process control system.
Considering the example of a district heating installation, the operational behaviour of a complex
pipeline system will be examined in closer detail. District heating systems are hydraulically
closed systems in which water is used for transporting heat. Water is pumped from the heating
plant to the customer in the supply line and from the customer to the heating plant in the return
line. The extraction of heat is subject to continuous fluctuations which are governed by the time
of year, the time of day and the outdoor temperature. The heat extraction fluctuations lead to
613
614
instationary operating states due to the fact that the circulated quantities of water must be
matched to the quantities of heat extracted.
In order to ensure fault-free operation of the installation, the regulation is being increasingly
automated. The process control system employed for this purpose result in frequent changes in
the operating speeds of pump units, which in tum induce pressure and flow fluctuations.
As a result of the progressive expansion of such systems, smaller networks are being con-
nected together and supplied by several heating plants. In the case of these compound networks,
it is possible to redistribute the level of energy generation between the individual heating plants.
This gives rise to the question of the most economically efficient solution regarding heat genera-
tion and distribution. The optimization software developed to solve such problems provides
suggestions for alternative modes of operation. This leads to a redistribution of the quantities of
inputted heat between the various heating plants as well as the intervention of the process control
system, which together give rise to instationary operating states in the network.
Every change in operating conditions leads to instationary pressure head and flow variations in
the pipeline system. Depending on how rapidly flow and pressure head variations occur, the
following classification scheme may be derived:
model class steady-state slow rapid

transients transients
operating situation single operating scheduled changes in malfunctioning
states operation emergency cases
simulation period - hours minutes
time step - seconds tenth of seconds
friction yes yes yes
inertia no yes yes
compressibility no yes/no yes
elasticity
Slow transients, i.e. weakly instationary processes, which will be investigated here in greater
detail, are characterized by the absence of the high frequency components of pressure head and
flow fluctuations. They may be subdivided into pure mass oscillations and processes in which
both the inertia and compressibility of the fluid influence the solution.
The method of characteristics (MOC), which is most commonly applied for computing high
frequency pressure surges, limits the computational time step to values of less than one tenth of
a second. If the method is employed to compute slow transients, uneconomically long computa-
tion times result for the necessary simulation period of several hours due to the fme time
discretization - despite the development of increasingly powerful computers.
The most commonly applied method reported in the literature is the rigid water column model
(RWCM). As suggested by its name, this method is based on the assumption of rigid water
columns, i. e. compressibility and elasticity effects are neglected while inertial and frictional
effects are taken into consideration.
Flow processes to which these assumptions apply are described as inertia-controlled mass
oscillations. As the propagation of pressure waves cannot be described by this method, a necessa-
ry prerequisite when applying the method is that the flow processes take place sufficiently slow.
615
If this is not the case, there is a danger that meaningless results are computed.
Examples of the numerical prepocessing and the ranges of application of the RWCM are given
in the work of Onizuka (Ref. 12), Shimada (Ref. 14) and Wood (Ref. 17). Further details of these
studies, including the examples investigated by the authors, are described in Part II.
In this paper, a new computational method is presented which is based on the theory of elastic
water columns. In this method, it is only necessary to match the time step to the temporal beha-
viour of the flow processes to be investigated.
2. Basic Equations
2.1. REYNOLDS TRANSPORT THEOREM
Most of the basic physical laws are given for a specific quantity of mass B. For example, New-
ton's second law of motion gives the relationship between the change of momentum and the
forces acting on the surface of the mass. In fluid flow, we are not usually interested in the motion
of a given quantity of mass. Instead we are interested in the flow through a region. The Reynolds
transport theorem relates the intensive property z for a specific quantity of mass, to that of a
specified region KV.
The specified region is called a control volume KV. The boundaries of the control volume are
subdivided into a closed boundary BA and an open boundary KA where the inflow into and out-
flow from the control volume take place. The open boundary KA is called the control surface.
For the three-dimensional case, the Reynolds transport theorem is given by
~
dt
Jz dV = i Jz dV aJZY !! dA = Ji
B(I) B(I)
+
B(I) KV
dV + JZ Y !! dA
KA
(2-1)
The last two terms can be rewritten as
Ji dV Jz y!! dA = J(i
KV
+
KA KV
+ diV(YZ)) dV (2-2)
For closed conduit flow, it is permissible to neglect the velocity components perpendicular to the
pipe axis s. This leads to a one-dimensional theory in which the values of the pressure p and the
velocity v along the pipe axis s are sufficient to describe the flow.
Furthermore, the cross-sections A(s,t) are taken to be perpendicular to the pipe axis s, so that
the normal vectors n of the cross-sections are parallel to the pipe axis s. Integration over the con-
trol volume KV can be replaced by integration over A(s,t) along the pipe axis s
(2-3)
616
\
2.2. CONSERVATION OF MASS - CONTINUITY EQUATION
=
Substituting z pinto Eq. (2-3),
we obtain the conservation of
mass for one-dimensional closed
conduit flow 7~
,
BA
KV
'
\
\\",
\
.(pyA)
p y A + - - ds
as
.f (0at (p A) + Ts(P
0 v A) )ds = 0 ~\
\
",;; rlO/
PYA\
(2-4) ~
This may be expressed by the
differential equation
V
Fig.2-1 Notation for the continuity equation
o 0
(jt(P A) + Ts(P v A) = 0
(2-5)
Partial expansion of Eq. (2-5) and rearranging terms gives
at + Vas
p1 (op Vas + as - 0
op) 1 (OA oA ) ov_ (2-6)
+ A at +
Introducing the total derivative

d( ... ) 0( ... ) ds 0( ... ) 0( ... ) 0( ... )
(it = at + dtdS = at + Vas (2-7)
we obtain
Idp+~dA+ov=O (2-8)
pdt A dt as
The first two terms describe the storage of mass within the control volume KV. The third term
res presents the change of inflow and outflow through the control surfaces KA of the control
volume KV.
2.3. CONSERVATION OF MOMENTUM - EQUATION OF MOTION
Substituting z =p v into Eq. (2-3) gives the equation of motion for one-dimensional closed
conduit flow
f. (0 0
(jt(P v A) +Ts(P vv A) ds = EF ) (2-9)
This may be expressed by the differential equation

617
~(pvA)+~(pvvA) =Ef (2-10)

at as
Expanding the terms in parentheses and rearranging gives
a
v ( _(pA) a
+ v"'"l':'"(pvA) ) + pA_
av + pvA_ ~
av =...f (2-11)
at as at as
According to the continuity equation (2-5), the sum of the two terms in the square bracket is
zero.
av +
p A ( dt Vas ~
av) =...f (2-12)
The external forces acting on the

control volume can be subdivided
into four parts. The resulting
forces in the direction of the pipe
axis s are given by
a) Pressure forces acting on the

cross-sections KA
ds
Fig. 2-2. Notation for the equation of motion
aA ~
= -P
as ds - A
as
VP ds (2-13)
b) Pressure forces acting on converging or diverging sides BA
_ 1(
FBA - - P + (p +""L)ds
2 as
ap) as aA _ aA
....,- ds = p_ds
as
(2-14)
c) Weight of the fluid
FG = pAb,ds = -pAgsina (2-15)
d) Shear forces between the fluid and the pipe walls. Assuming a steady-state flow profile, these
may be calculated from the DARCY-WEISBACH friction formula
618
4A
Fs = -'tUds = -'t_ds 1 4A
= -_pAvlvl_ds A_
= -pA _ v Iv
_I ds (2-16)
D 8 D D 2
The sum of the external forces is given by
'" F
f = _L_ = -p aA - A up
An
+ P aA + P A g sma
. - pA_
A v_Iv_I (2-17)
as
T"
~
ds ds ds D2
Substituting Eq. (2-17) into Eq. (2-12) yields
pA ( av +v av) =-AuP-pAgsma-pA
An . A vlvl
_ __ (2-18)
at as as D2
Dividing by pA
av
(at + Vas
av)
+ pas
1 ap .
+ g sma - ~~=O (2-19)
D 2
and introducing the total derivative given by Eq. (2-7), we obtain the equation of motion
1 ap + gsma
_dv + _'"""" . +_
A_v Iv
_I -_ 0 (2-20)
dt pas D 2
The first term describes the change of momentum, i.e. the inertia effects. The second term ac-
counts for the change of pressure forces. The third term describes the gravitational force and the
fourth term represents the friction force.
With the continuity equation (2-8) and the equation of motion (2-20) we have two equations for
the four unknowns pressure p, velocity v, density p and area A. In order to solve for the un-
knowns, we require two further equations or simplifying assumptions.
2.4. RIGID WATER COLUMN MODEL
The rigid water column model (RWCM) is based on the assumptions that the density p and the
cross sectional area A remain constant, i.e. the storage of mass within the control volume is
neglected.
p = const. ; A=const..... dp =0; dA =0 (2-21)

dt dt
Substituting Eq.(2-21) into the continuity equation (2-8) yields the continuity equation for a
rigid water column model
av = 0 (2-22)
as
619
The equation of motion remains unchanged. Rewriting the continuity equation for the RWCM
and the equation of motion in terms of the pressure p and the mass flow m gives
1 Om =0 (2-23)
pA ds
__ Om lOp. 1.. m1m I =0

1 ~+_","\,,:"+gsma+_ (2-24)
p A (1[ P as D 2 p2 A 2
From Eq.(2-23) it can be seen, that the mass inflow and outflow for a pipe reach are the same,
i.e. no storage of mass takes place within the pipe.
Eq. (2-24) states that the mass flow m depends on time t only and that the pressure p
depends on the distance s only. Thus, the partial derivatives can be replaced by total derivatives.
Multiplying Eq. (2-24) by pA and rearranging terms gives
dp -pAgsma
_dm = -A_ . 1.. _
- _ mimi
_ (2-25)
dt ds D2pA
Integrating Eq. (2-24) from point i to point k over ds

k k k k k
Jdm ds = dm Jds = -A JdP - pAgsina JdS - ~ mimi Jds (2-26)

jdt dtj I i D2pA j
we obtain
L _dm = A(p.- p) - pALgsma

. L _
-1.. _ mimi
_ (2-27)
dt 1 k D 2p A
Eq. (2-27) is an ordinary first order differential equation with the two unknowns m and p. A
numerical method to solve this type of equation will be discussed in Chapter 3.
2.5. SLIGHTLY COMPRESSIBLE FLUID ELASTIC PIPE WALLS
In order to solve the continuity equation (2-8) and the equation of motion (2-20), we require two
further equations. These two equations may be obtained by assuming that the fluid inside the
pipe is slightly compressible and that the pipe walls are linearly elastic.
2.5.1. Thermal state equation. The density p of a fluid is in general a function of the tempera-
ture T and the pressure p.
p = f(p,T) (2-28)
For a gas this relationship is given by the thermal state equation pIp = RT. For a liquid there is
no equivalent relationship available. It may be supposed however, that the liquid behaves baro-
tropically, i.e. the density p depends on the pressure p only.
620
p = f(p) (2-29)
This type of state equation is given by the linear relationship between a density change dp and
a pressure change dp
1 dp _ 1 dp
(2-30)
pdt - EF Cit
where Ep is the elasticity modulus of the fluid.
2.5.2. Linearly elastic pipe wall. Presupposing that the conduit walls are linearly elastic, the
relationship between the strain Er and stress O't is given by
(2-31)
where Ew is the elasticity modulus of the pipe wall. The relationship between the hoop stress O't
in a thin-walled pipe and a constant pressure p inside the pipe is given by
O't = .;: (2-32)
Combining Eqs. (2-31) and (2-32), and calculating the derivative yields
d = dr = d ( P r
r V
1= EwS 1 (r dp + P dr) (2-33)
Multiplying Eq. (2-33) by 2 1t r and substituting A = 1t r, dA = 2 1t r dr yields the following

upon rearragement
1 dA
Adt (2-34)
Eq.(2-34) gives the linear relationship between area changes dA and pressure changes dp.
2.5.3. Continuity equation for a slightly compressible fluid with linearly elastic pipe walls.
Substituting Eq. (2-30) and Eq. (2-34) into Eq. (2-8) gives
Idp 1 dp Ov- O
EF dt + ~dt + d'S - (2-35)
1)
After rewriting Eq. (2-35) as

621
dp +
dt (2-36)
a = (2-37)
we obtain the continuity equation for slightly compressible closed conduit flow
dp +pa zov =0 (2-38)

dt as
or, expressed in terms of partial derivatives
Op +vop +pa zOv =0 (2-39)

at as as
With Eq. (2-19) and Eq.(2-39) we have two partial differential equations for the two unknowns
pressure p and velocity v. The numerical methods applied to solve this type of problem will be
given in Chapters 4 and 5.
2.5.4. Slow transients. The continuity Eq.(2-38) may be written as

dp Ov _ 0
paz dt + as - (2-40)
For large wave speed values the first term may be neglected compared with the second term.
Thus, we obtain
ov =0 (2-41)
os
This is the same as Eq.(2-22) derived earlier, assuming p = const. and A = const., i.e. no mass
storage. Thus, the assumption of p = const. and A = const. is equivalent to the assumption
a ~ 00. For very high wave speeds, pressure changes propagate instantaneously through the
system. Thus, only inertia effects are accounted for.
2.6. TYPE OF THE PARTIAL DIFFERENTIAL EQUATIONS
Presupposing that the fluid velocity V is small compared to the wave speed a, the convective
terms
622
(2-42)
can be eliminated in Eq. (2-19) and Eq. (2-39). We then obtain
Op + p a 2 OV =0 (2-43)
dt ds
OV lOp . A.vlvl_ (2-44)

-=;:- + + gsma + - - - - 0
-"""L'"
(]I. pas D 2
For practical purposes it is more convenient to write the equations in terms of the two dependent
variables pressure p and mass flow m. This can be achieved by substituting
(2-45)
into Eq.(2-43) and Eq.(2-44), which gives
Op + a2 am = 0 (2-46)
dt Ads
Om +AOp =-pAgsina-~mlml (2-47)

at ds D 2pA
These two first-order quasi-linear partial differential equations may be expressed in matrix form
as
aU
-=+A-==S
aU (2-48)
at -os-
with
S =[
-
0 A. 1
P A g sina - 2D v Iv I
(2-49)
The eigenvalues of matrix A determine the type of the differential equations. With
a2 (2-50)
det(A-aE)=O :> a 2 -_A= ... a=a
- - A
both eigenvalues are real and distinct. Thus, the equations represent a set of hyperbolic partial
differential equations. Equations of this type are referred to as wave equations.
623
3. Rigid water column model (RWCM)
3.1. RIGID WATER COLUMN EQUATION FOR A SINGLE PIPE
Multiplying Eq.(2-27) by 1 / (pg)
~g
d(;) = A
dt
(~-
P
~l-
P
g g
ALsina - A.!: ;\;\
D 2gA
(3-1)
and substituting the volumetric flow Q and the pressure heads Hi and Hk
m (3-2)
Q =-;
p
we obtain
~
g
dQ = A (H - z. - H + z ) - A L sina -
dt I I k k
A.!:D Q2gA
IQ I (3-3)
Introducing the identity sin a = (Zk - Zj ) / L we can simplify Eq.(3-3) to obtain
dQ = g A (H - H ) _ ~ Q IQ I (3-4)
dt L I k D 2A
The numerical method used to solve a given problem will be explained by way of a simple
example.
3.2. EXAMPLE FOR THE RWCM
The simple pipe system shown in Fig. 3-1

consists of one pipe with a standpipe a the T H,=H H. =H*
l~ft end and a constant-head reservoir at the Q* = f ( t ) ~ ___-+--------<~+---
nght end. i Q
At the left end, the boundary condition is
given by a time-varying volumetric flow
Q. = f(t). At the right end the water level is
prescribed, i.e. Hk = H.
Fig. 3-1 : Simple pipe system for the RWCM
The first equation describes the volumetric
flow variation within the pipe
~~ = gt (H-H) - ~ ~~I =F1(Q(t),H(t),t) (3-5)
The second equation is given by the relationship between the imbalance of the volumetric flow
Q. - Q and the head H at the standpipe
624
(3-6)
3.3. NUMERICAL SOLUTION USING THE RUNGE-KUTTA METHOD
Eqs.(3-5) and (3-6) constitute a system of two ordinary differential equations
dQ = FI (Q(t) , H(t), t) ; dH (3-7)

_ = F2 (Q(t) , H(t), t)
dt dt
Integrating Eqs.(3-7) over an interval t.t yields
I
I+AI I+AI
QI+AI = Q I + IFI (Q(t),h(t dt; HI+AI = HI + F2 (Q(t), h(t dt (3-8)
I
The classical Runge-Kutta method provides an approximation for the integrals expressed by
the two recursive formulae
(3-9)
with the parameters

(3-10)
For the given example, we obtain
k
QI
= [g
A (H - H *) -
L I D 2A
~ 1 I].'
QI QI k
HI
=At[Q*-QI]
A
(3-14)
625
(3-15)
[
Q' - Q + kQI
IT J (3-16)
kH2 = At
A
_ [gA (HI
kQ3 - At -
kH2 _ _ A.
+- H) -
(3-17)
L 2 D
(3-18)
(3-19)
(3-20)
Substituting Eqs.(3-14) - (3-20) into Eq.(3-9) yields the values for the the two unknowns QI+AI
and Ir+61 with a trucation error of O(At4).
In the case of complex pipeline systems with pumps and valves, the Runge-Kutta method is
unsuitable due to the fact that the underlying differential equations may behave stiffly. In this
context, stiff implies that small changes in one variable result in large changes in the computed
results. This occurs, e.g. when trottling action of a valve is very severe. A series of special
solution techniques are available for stiff systems of differentail equations. These include the
methods of Gear (Ref. 9) and KapslRentrop (Ref. 10). In Ref. 1 (Bullogh and Robbie), eight
different numerical methods for the prediction of mass oscillations in closed conduits are
compared.
626
4. Method of characteristics (MOC)
The most common method adopted for solving the wave equations is the method of characteris-
tics. This method transforms the two quasi-linear partial differential equations, as formulated in
terms of the two independent variables s and t, into four ordinary differential equations. Two of
these ordinary differential equations (compatibility equations), are only valid along the
characteristic lines defmed by the two remaining differential equations. The numerical solution
is performed by integrating the compatibility equations along the characteristic lines.
In the next three Sections the essential steps of the method of characteristics will be explained in
some detail, because in Section 6 this method will be combined with the implicit finite difference
method of Section 5 to generate an efficient method for calculating slow transients.
4.1. CHARACTERISTICS EQUATION
The continuity Eq. (2-47) denoted by L\ and the equation of motion Eq. (2-48) denoted by ~
:l.. a2 i:hn i:hn dp +~mlml =0

L =
I en
up +
Ads
= 0 .
'
L =
2 dt
+A
Ts
+pAgsina
D2pA
(4-1)
are combined linearly to give
<pER (4-2)
After rearranging terms, we obtain
<p (dp
""h
01
A dp) + (i:hn
+ - -.,:-
<p as at
<pa om) _ _
A
2
as
. _ A. Imlm
.....,...... + ---.,:- - P A g sma - - -
D 2p A
(4-3)
If the independent variable s is permitted to be a function of time t , then we obtain the total
derivatives
dp _
<it -
(dp dp) -_(OJ)
en + dsdt Ts A dp)
en + <pTs ds _ A
... dt - <p
(4-4)
dm = (om ds i:hn) = (i:hn <pa 2 om) ... (4-5)

dt dt + dt ds dt +--X-ds
Examination of Eq. (4-4) and Eq. (4-5) yields
ds = A = <pa 2 ... <p = A (4-6)

dt <p A a
The two ordinary differential equations for the characteristic lines are
627
ds = a (4-7)
dt
Substituting Eq. (4-6) into Eq.(4-3) gives
A(dP
-a -ata Ts
dp) (am
+
am) __ . _Almlm
dt'a Ts - pAgsma D 2pA
(4-8)
Inserting the total derivatives then yields the compatibility equations
_ a dm
dp + _ _ .
= -ap gsma A_
- a_ 1m_1m_ ds = a (4-9)
dt Adt D2pA 2 dt
Eq. (4-9) with the plus sign is valid along the characteristic line ds/dt = +a and Eq. (4-9) with
the minus sign is valid along the characteristic line ds/dt = -a Multiplying Eq. (4-9) by dt and
=
substituting the identity dt ds/a we obtain
dp + ~ dm = -pgsina ds - ~ Imlm ds (4-10)

A D 2p A2
4.2. FINITE DIFFERENCE EQUATIONS - FIXED GRID METHOD
lit
j-1 j j +1
J lis
l
'1
lis
l
'1
lis
l
'1
Fig. 4-1 : Notation for the fixed grid method
lis
l
'1
The pipeline is divided into N reaches, each having a constant length AS. The nodes at the pipe
ends are dermed as node i and node k. The interior nodes are labelled as j-l, j, j+ 1 . The ratio
between the time step At and the reach length AS must satisfy the ordinary differential equation
for the characteristic lines, i.e. AS/At a . =
4.2.1. Interior nodes
For an interior point j, the unknown pressure pt61 and the unknown massflow ~1+61 can be
detennined by integrating Eq. (4-10) from node j-l to node j along C+ and by integrating
628
Eq. (4-10) from node j+l to node j along C-. see Fig. 4-2
c+
lit
j -1 j j +1
l
'1
lis
l
'I
lis
l
'1
Fig. 4-2 : Interior nodes
s. s.
Integration along C+ yields
J, J
1.61 HM
~ ~
+ dp + ~ dm = -p g sina. Jds - ~ 1m 1m JdS (4-11)

Pj_)
A , R1j_1 5
D 2p A2 5
(4-12)
and integration along C- yields
(4-13)
(4-14)
By introducing the constants CL RL CR' RR' which depends on values at time t only
CL = - Pj-It-a
-mt
j _1 + p
A
gsma.=o;
A. (4-15)
A
CR =- Pj.lt+a t
A ~.l - PA
g sma. 11s; (4-16)
Eq. (4-12) and Eq. (4-14) can be rewritten as
Pjt.At + (aA R)+ L mj

tAt
+ C = 0;
L Pjt.At _ (a R)
A + R mj
t.At + C=0
R
(4-17)
629
or with
(4-18)
we obtain
(4-19)
Eq. (4-19) provides two equations for the two unknowns pt.t
and ~t+.t. The values of these un-
knowns can be determined by solving both equations simultaneously. This yields
(4-20)
4.2.2. Boundary nodes. For each of the boundary nodes i and k. we have only one equation.
lit
J j
+~___ lI_S_ _ -+~ +~____ lIS _ _ -+~

Fig 4-3 : Boundary nodes
For C- at node i we obtain
(4-21)
and for C+ at node k
(4-22)
Using the identities Ill; = Dl;t and mt = - Il\; and by introducing Zr. = 1/'4.. ~ = 1'4.. Eq.(4-21)
and Eq.(4-22) can be written in matrix notation as
(4-23)
To solve for the unknowns. we require boundary conditions at the end nodes. i.e. a given external
630
mass flow or a given pressure. At junctions, further equations are available from the other pipes
connected to the junction.
4.3. PRACTICAL APPLICATION OF MOC
The simple pipe system shown in Fig. 4-4 consists of two pipes. Pipe 1 has a length L j which is
three times the length of pipe 2, denoted by ~. The boundary condition at the left end (node 1)
is given by a time-varying flow m l " = f(t). At the right end (node 5) a constant pressure
=
Ps" const. is prescribed.
m~=f(t) pipe 1 pipe 2 p;=const

l1 L1 l4 L, l5
'1 '1 '1
2 4 5
Fig 4-4 : Simple pipe system
For the interior nodes 2 and 3, the unknowns P2t+61, mt6l , P3t+61 and m3t+61: can be determined by
using Eq.(4.20).
The unknowns at the two boundary nodes 1 and 5 and the junction node 4 are solved using
the matrix representation of the reach equations. For pipe 1 from node 1 to 4 we obtain
(4-24)
and for pipe 2 from node 4 to 5
(4-25)
631
The node continuity equation for each node yields

m12 m 21 2 m23 m 32 3 m3~ m~3 4 m~s mS-I 5
=0= ==o= ==o= "'==0= <:==0<:==
. ~m= ~ ~
.
m 1 = f[ t) 0 m 3= 0 m~ = 0 ms
2
m l =m 12 0= m21 +m23 0= m32+m34 0= m 43+m4S ms = m54
Using the node continuity equations, the matrix assemblage process yields
,~ 1[:: ]!+AI (4-26)
ZL Ps
Eq.(4-26) represents three equations for the five unknowns PI' P2' P3' m l2 , and m54. With the
given boundary conditions mt!
= m l2 = f(t) and Ps = Ps' = const. we obtain
(4-27)
Due to the fact that the method of characteristics is an explicit method, the system of equations
is decoupled, and can be solved for the three remaining unknowns PI , P4 and ms.
4.4. THE METHOD OF CHARACTERISTICS AND SLOW TRANSIENTS
The solution of hydraulic transient problems using the method of characteristics may be subjected
to limitations when dealing with networks, particularly with regard to the maximum permissible
time step. In a network pipe system, the maximum permissible time step of the method is dic-
tated by the shortest pipe in the system. This is especially a problem if slow transients have to
be analysed.
The method of characteristics requires that for a pipe of length L the number N of reaches AS
must be an integer multiple of the pipe length, i.e.
L (4-28)
NAs=L; As
N
The relationship between the time step At, the reach length AS and the wave speed a is given by
the Courant number CN
632
(4-29)
The method of characteristics with a fixed grid and no interpolations requires, that CN = 1. This
yields
N =_a_
L at (4-30)
For the shortest pipe in the system, this condition is satisfied by choosing N = 1 and calculating
the required time step
L. (4-31)
at,)'I = ~
a
For all other pipes in the system, the wave speed must be adjusted to satisfy the condition that
the number of reaches is an integer multiple of the pipe length, i.e.
_L_=XER (4-32)
a at,y,
choosing N as the nearest integer value to X, the modified wave speed is given by
L
a
mod
= N at
(4-33)
')'I
For slow transient calculations a large time step can only be obtained by neglecting short pipes
or by a gross change in wave speed. As both adjustments can introduce large errors in the com-
puted results a small time step is unavoidable. Consequently the application of the MOC for a
slow transient analysis is not recommended due to the large computational time required.
5. Implicit finite difference method (IFD)
The most severe disadvantage of the method of characteristics is the fact that the time step At
cannot be selected independently of the reach length AS. This drawback can be eliminated by
using an implicit finite difference method in which the time step At can be chosen independently
of the reach length AS. The method of characteristics requires that C N = 1. For slow transients, we
often require a larger time step, resulting in CN > 1 or even ~ 1. In the following four Sec-
tions a well-known method employed for open-channel transient flow calculations will be applied
to slightly compressible closed conduit flow.
633
5.1. PREISSMAN SCHEME
The Preissman scheme uses the following finite dif-

ference approximation for the partial time derivative
av
_ =
af-z
1 [V'+A'
-, - V'
At
-I + V'+A' - -V'k
-k
At
1 (5-1)
t
U,
and for the partial derivative along s
V' - -V'
-k k (5-2)
l 6s l
As Fig.5-1 ": Notation IFD method
1
in which t'} is a weighting factor. A stable solution may be obtained by the use of 0.5 < t'} ~ 1.
Expanding the partial derivatives gives
t+At t t+4t t , ,
ap _ PI - Pi + Pt - Pk + (1_t'})Pk-Pi (5-3)
dt = 2At As
and
dm_ (5-4)
dt = ----::-2A~t---
The friction term is approximated by the linear relationship
(5-5)
Substituting the coefficient R
R =~ Im/ + mk' I (5-6)

D 8pA
into Eq. (5-5) yields
1m 1m _ R
A. ---=
-D mi'-oA' + R mk'+A' (5-7)
2pA
5.2. FINITE DIFFERENCE FORMULATION FOR THE CONTINUITY EQUATION
Substituting Eqs. (5-3), (5-4) and Eq. (5-7) into the continuity equation (2-46) for a slightly com-
pressible fluid, we obtain
634
(5-8)
Rearranging tenos and rewriting the result in matrix notation yields
(5-9)
5.3. FINITE DIEFFERENCE FORMULATION FOR lEE EQUATION OF MOTION
Substituting Eqs. (5-3), (5-4) and (5-7) into Eq. (2-47) gives
m:~-m;~~";~-m,' +A [~P;~:;'~ + (1-~) " ' ; : ) : ...
(5-10)
or in matrix notation
+[(1-~)A
As
_(1_~)A][Pi]t
As Pk
+[_1
2At
1 ][mi]t [ 0
2At mk + -p Agsina
] (5-11)
5.4. MATRIX FINITE DIFFERENCE EQUATIONS FOR ONE PIPE REACH
Introducing the identities mi = IIlu, and mk = - mki, and combining Eqs. (5-9) and (5-11) yields
A 1 All [~
[ ?_ 2 At ? 2 At [PiPk ]t~t = __AsI __ R
~ 1[mik]t~t
As (5-12)
~A ~A _1_+R mki
As As 2At 2At
635
which may be expressed as the compact matrix equation

(5-13)
with
AI All
a =
[
"i2 2At "i2 2At ; (5-14)
- t'}A t'}A
As As
(1~t'}) (1~t'}) 1;
AI
"i2 2At d =[
c - [
- (1~)A - 1 1
2At 2At
In order to combine the Preissman scheme with the method of characteristics, the matrix equation
must be refonnulated as follows
! t+At = !!!. t+At +~ or (5-15)
This may be achieved by premultiplying Eq. (5-15) with Q-I

(5-16)
Q-I is given as
b-
I
= -2-t'}--r_l_~ [_: t-: :: --i H-~-:
1+2RAt
At
At
1+2RAt
1 (5-17)
The result of the matrix multiplication may be written as

636
(5-18)
The matrices 1. 1. ,g are symmetric and depend either on constants or on values at time t. The
matrices and the vector!! are given by
AI
?" 4~
As ~AAt
At + As (1 +2RAt)
A
?" 4~
1 As ~AAt
At - As (1 +2RAt)
1
I = b-1 a = [ (5-19)
- - - A 1 As ~AAt A 1 As ~AAt
?" -4-~ -At - As (1 + 2 R At) -a2 -4-~ -At + ....,.As-.,...,(1:-+-:2:-:R".....,..At~)
1 1 ~CN 1 1 ~CN
--+
4~ CN (1 +2RAt) 4~ CN (1+2RAt)
A
=-
a ~CN 1 1 ~CN
--+
4~ CN (1 +2RAt) 4~ C N (1 +2RAt)
[
?"
AI As (1-~)AAt
4~ At - As (1 +2RAt)
A
?" 4~
1 As (1 -~) A At
At + As(1 +2RAt)
1 (5-20)
f = b-1 C =
- - - A 1 As (1-~)AAt A 1 As _ (1 -~) A At
?" -4-~ -A-t + """As-"""(1:-+-:2:-:R::-A""'t~) ?" 4~ At As(1+2RAt)
1 (1-~) CN 1 1 (1-~)CN
- - + ....,..,....--::-:=-:-......
A 4~ C N (1 +2RAt) 4~ CN (1 +2RAt)
=-
a 1 1 (l-~)CN (1-~) CN
- - + ....,..."...--:-:=-:-~
4~ CN (1 +2RAt) 4~ CN (1 +2RAt)
= b-1e = [12-: - 2(1+~RAt) 1-~ 1

2~ + 2(1 +2RAt) 1 (5-21)
.& - - 1-~ 1 1-~ 1
-2-~- + -::::2~(':'""1+~2::-:R::-A~t""') 2~ 2(1 +2RAt)
h = b-1 e = [
P AgsinaAt
1 + 2 R At
1 (5-22)
- - - _ P AgsinaAt
1 +2RAt
637
5.5. PRACTICAL APPLICATION OF IFD
The simple pipe system already described in Chapter 4 will be used in the following example.
The reach lengths are as indicated below.
..
m:=f(tJ pipe 1 pipe 2 p;=const.

l1 L. l4 L. l5
'I 'I 'I
/IS,
" Fig. 5-1 : Slmple pipe system 'I
The element matrices for pipe 1 - reach 1, 2, 3 and for pipe 4 - reach 1 are given by
12 PI m Sl
II ][ ]'+At = [I l2 ]'+At +
[I . ] (5-23)
I I I'
122 P2 ~I ~
(5-24)
The matrix assemblage process yields (5-25).

t-.At
t-.At
1111 1112 0 0 0 PI Iml2 lSI
1121 1122 + 2122 2123 0 0 Im21 + 2m23 =0 IS2+2S2
P2
0 21 32 2~3 + 3133 3134 0 P3 2m32 + 3m34 = 0 + 2S3 + 3S3
0 0 3143 3144 + 4144 414s P4 3m43 + 4m4S = 0 3S3 + 4S4
0 0 0 41S4 4Iss Ps 3mS4 4ss
The element mass flows at each internal node summ to zero in the above system of equations as
external inputs and extractions at these nodes are specified as being zero a priori (in compliance
with the continuity equation). The unknown element mass flows at the internal nodes can thus be
638
eliminated. The remaining unknowns are coupled with each other. This is always the case in an
implicit method. The system of equations is tridiagonal and must be solved simultaneously. We
have five equations for the five unknown pressures P,-Ps and for the two unknown massflows m'2
and m54 With the given boundary conditions m," = m'2 and Ps = Ps", we obtain
t+At
, s,
'I" ' 112 0 0 0 P, m,
t ....t
, 12, '1 22 + 2122 2123 0 0 P2 'S2 + 2S2

0
(5-26)
0 21 32 2133 + 3133 3134 0 P3 0 + 2S3 + 3S3
0 0 3143 3144 + 4144 414s P4 0 3S3 + 4S4
0 0 0 41 54 41ss Ps" ms 4ss
These are the five equations for the five unknowns PCP4 and ms.
5.6. IMPLIClTE FINITE DIFFERENCE METHOD AND SLOW TRANSIENTS
The continuity equation for the rigid water column model was given by
dV =0 (5-27)
as
Substituting the finite difference approximations yields
t+.:1t t+At t t
m. -m1 mt-m
t'}' + (l-t'}) 1 =0 (5-28)
&; &;
Eq.(5-12) can be rewritten in matrix notation, using the continuity equation for the RWCM as
follows
o
[-~ ~ 1[::] = [- ~ -R t+R [::l
0 t ....t _
t'}
_
t'} 1 t ....t
(5-29)
2At 2At
On inspection, it is seen that matrix! is transfonned into !. and matrix . is transfonned into .'.
The matrices Q. .\1, ~ remain unchanged. As expected the matrix products 1r' ! and 1rt .' yield
639
~AAt
&(1 +2RAt) 1 (5-30)
~AAt
&(1 +2RAt)
_ (1-~)AAt
&(1 +2RAt)
(1-~)
AAt
&(1 +2RAt)
1 (5-31)
f' = b-1 C = [
- - - (1-~)AAt _ (1-~)AAt
&(1 +2RAt) & (1 +2RAt)
r
All tenns containing the wave speed in Eqs. (5-24) and (5-25) are cancelled. The matrices and
f are also obtained when a limiting-value analysis is perfonned on the matrices! and f for high
Courant numbers.
This is illustrated in the following by considering the example of the matrices! and l' . By
substituting
& ~ (5-32)
a Grid = - I it = ""(""'1-+"""'2:":R=-A"'-t-:-)
At
in Eq. (5-30) and Eq. (5-19), this yields
(5-33)
I =~
- llund
and hence
lim c...... -! = r (5-34)
High Courant numbers, and hence the above convergence, may be imposed numerically by a very
large wave speed (rigid water columns).
6. Combination of the MOC with the IFD
6.1. DISCRETIZATION
For a given time step 6t and a given wave speed a, the reach length 6S which satisfies the condi-
tion CN = 1 is defined by 6SM The relationship between the length of a pipe in the network
system L and 6SM detennines the discretization in space as well as the choice of the numerical
method.
640
- - - - - -.... ---. Type 1 : L < AS M
" For pipes with a length L less then reach length ASM one
IFD element will be used. The eN number for the IFD
elment is always greater than 1.
t' l
f,s KL
1
f,s.,
1
Fig. 6-1 : Type 1
Type 2: ASH <L< 2 ASH
, ~,' :,,
~--------,r-----""'--~
For pipes with a length L greater than ASM ,

but less than 2 ASM one MOe reach and ,
,
one IFD element will be used. The eN ,
number for the IFD elment is always f, t ,,
greater than 1. It is also possible to choose ,,
one IFD element with a eN number of ,
less than 1. To avoid combinations of ~-------""~----""'--.
IFD elements with eN numbers less than L As

and greater than 1. one MOe reach is con- L 'I
sidered in each case.
Fig. 6-2: Type 2
Fig. 6-3: Type 3

f
For pipes with a length L greater than 2 ASM MOe reaches are employed at the beginning and
end of the pipe. and one IFD element within the pipe. The eN number for the IFD elment is al-
ways greater than 1. It should be mentioned that for pipes with L > 4 ASM. the application of
third order explicit finite difference methods is also possible.
641
No adjustments to the wave speed are necessary (Type 2 and 3). Short pipes (Type 1) pennit
larger time steps as there are no limitations imposed on At by the Courant's stability criterion.
6.2. EXAMPLE ILLUSTRATING THE COMBINATION OF MOC AND IFD
A simple pipe system is used to demonstrate the assemblage process and the solution for the un-
knowns.
m~=f(t) pipe 1 pipe 2 p;=const.

" 71l L. 5 l
71 71
""" ",
"',I"
1"<"
" "
/<IOG I I F~"""
1 5
!,
71 71 71 71 1
Fig. 6-4 : Pipe System
Pipe 1 (Type 3) contains 2 MOe reaches and one IFD-element. which are given as
(6-1)
(6-2)
(6-3)
Pipe 2 consists of one IFD-element
(6-4)
642
Nodes 1, 4 and 5 are system nodes and nodes 2 and 3 are internal nodes according to the
discretization in space (Type 3) of pipe element 1.
The matrix assemblage process yields the following system of linear equations (Eq. (6-5,
t+At
t+At
'ZR 0 0 0 0 p, 'm'2 -'CR 'ZR
0 'ZL + 2122 2~3 0 0 P2 'm2, + 2m23 -' CL 'ZR + 2S2

0 21 32 3ZR + 3133 0 0 P3 2m32 + 3m34 + 2S3 - 3CR 3ZL
0 0 0 3ZL + 4144 4145 P4 3m43 + 4m45 _3C L 3ZL + 4S4
0 0 0 4154 41 55 P5 3m54 4S5
which, in contrast to Eq. (5-26), is partially uncoupled. One then obtains
(6-6)
(6-7)
(6-8)
Introducing the boundary conditions for this example, we obtain 5 equations which are decom-
posed into 3 uncoupled systems of equations for the remaining unknowns pI - p4 and m5 .
As indicated by the relationship (5-34), pipe elements of Type 1 with high Courant numbers are
approximated as mass oscillations. This applies to a pressure surge computation with the wave
speed a
L < < aElement a t Syat.... ~ C = a ElemeDl at System (6-9)

ElemeDl N L
ElemcDl
( llruemeJ , as well as to the imposed computation of a mass oscillation with a large value of a
(6-10)
(~WCM ) This aspect, including the ensuing computed results, will be investigated in further
detail in Part II of this paper.
22
SLOW TRANSIENTS IN CLOSED CONDUIT FLOW - PART II
VALIDATION AND APPLICATION OF THE NUMERICAL METHODS
BERND-UWE ROGALLA and ANDREAS WOLTERS

Universitat Hannover
Appelstr. 9A
30167 Hannover
Abstract : Several selected test examples were investigated for instationary boundary conditions
with different frequency characteristics. The results computed by the MOC/lFD method were compared
with those obtained from the RWCM and the MOC. The importance of slow transient analysis
in relation to process-controlled pipeline systems is demonstrated by considering the example of
a district heating system.
1. Introduction
In order to validate the combined MOCIIFD method presented in the ftrst part of this paper, three
different examples taken from the literature were investigated. In the examples considered, the flow
states induced by the prescribed boundary conditions range from very slow inertially-govemed
processes to the high-frequency spreading of pressure waves.
If the RWCM is employed for the computations, it must be clear in advance that inertia effects
predominate in the flow process to be investigated. An a priori estimate of the errors introduced
by neglecting compressibility and elasticity effects is normally not possible.
For this reason, the selected examples were each investigated using the method of characteristics
(MOC), the combined characteristic/implicit ftnite difference method (MOCIIFD) and a rigid body
model (RWCM). The computed results are presented in detail and compared with each other. Any
additional information available in literature sources referred to which relate to the computed results
was also used in this validation. As the MOCIIFD and the RWCM were developed with the objective
of economizing on computer time, the computation times required in each case were determined
and compared with one another.
In addition to the classical analysis of pressure surges in the practical design of pipeline systems,
the regulation of weakly instationary flow processes by means of a process control system is gaining
increasing importance. In this context, it is important to investigate how quickly a scheduled change
in operation may be introduced without inducing high-frequency pressure and flow disturbances.
This is examined in further detail by considering the example of a district heating system.
643
644
2. Validation of numerical methods for slow transients
2.1. EXAMPLE I - THREE-PIPE SYSTEM
2.1.1. System description. Example 1 is taken from Ref. 17. (Wood/Funk/Boulos). The pipe
system shown in Fig. 2-1 consists of one valve, two constant-head reservoirs and three pipes
connected at a single junction node. The valve between node 4000 and node 5000 regulates the
flow into a specified head region behind the valve. The time-varying boundary condition is
given either as a ramp change in the head at node 5000 or as a sinusoidal variation in the head
at node 5000. The global data and the data for the nodes, pipes and valve are given below. The
steady-state condition is summarized in Tables 2-1 and 2-2. Values marked by an asterisk are
prescribed values.
1000
Global data
density p = 1000 kg/m3 3000}>-_ _
wave speed a = 1200 m/s

acceleration g = 10 m/s2
Table 2-1 : Nodal data / steady-state results 2000
z H Q
(m) (m) (m3/s)
1000 0 *30.50 0.19 5000
2000 0 27.00
3000 0 *27.40 0.04
Fig. 2-1 : Three-pipe system
4000 0 23.95
5000 0 *22.90 -0.23
Table 2-2 : Pipeline data / steady-state results
node i node k D L 'AI~ Q

(m) (m) (-) (m3/s)
pipe I 1000 2000 0.30 150 0.0193 0.19
pipe 2 3000 2000 0.25 120 0.0251 0.04
pipe 3 2000 4000 0.30 90 0.0192 0.23
valve 4000 5000 0.30 - 1.9786 0.23
For this simple system the characteristic time TE is quite simple to calculate. It is given by twice
645
the time taken for a wave to propagate from one end of the system to the other, i.e. from node
1000 to node 4000.
2 (150 + 90) = 480 = 0.4 s

1200 1200
The corresponding lowest frequency fE or the natural

frequency COs is given as
1 1
fE = - = - = 2.5 Hz r~ n
TE 0.4 I
I'
1 J
c.q, = 21t fE = 21t 2.5 = 15.7_
s ul~ u
"-
'" 0.0 0 . 0.8 l- If, 2.0 2.
These values can be checked by exciting the system with StQt
2.7.00
Mll"I
26.55
I'boc
31.38 - - node 2000
lime (s)
an impulse or step change and observing the resulting Fig. 2-2 : Eigenfrequency
oscillations computed by the MOC.
2.1.2. Analyzed situations. The system was analyzed for six situations. For the cases 1-3, the
system was driven by a ramp change in head at node 5000. The head was increased from its
initial value of 22.9 m to 27.5 m. The time for the ramp change was 4 s, 1 s and 0.25 s for the
cases 1,2 and 3, respectively. For the cases 4-6, a sinusoidal change in head at node 5000 was
prescribed. The amplitude was 1O % of the initial value and the period was 4 s, 1 sand 0.25 s
for the cases 4, 5 and 6 respectively.
AlI cases were analyzed using a time step At of 0.0125 s for the MOC and a time step of
0.05 s for the RWCM. The time step was selected, on the basis of the boundary condition with
the highest frequency, which was dermed by a period of 0.25 s. In order to resolve the highest
frequency, the maximum permissible time step in the RWCM was limited to 5 time steps per
cycle, which yields 20 time steps per cycle in the MOC. The reach length ASMsatisfying CN = 1
was 15 m. The number of reaches for each pipe using the MOC was ten for pipe 1, eight for
pipe 2 and six for pipe 3. As the wave speed was not modified for the MOC, it can be expected
that the MOC yields the correct theoretical values.
The RWCM results were obtained by selecting a wave speed of a = 1 000 000 mls for the
MOC/IFD method. For each pipe in the system one IFD element was used. The CN numbers
were 333 for pipe 1, 416 for pipe 2 and 555 for pipe 3. Thus, compressibility and elasticity
effects are eliminated in the numerical solution.
2.1.3. Discussion of the results. For case 1 and case 4 the selected change was slow in relation
to the characteristic time of 0.4 s. Thus, it can be expected that the RWCM results only deviate
slightly from the results obtained by the MOC. From Figures 2-3 and 2-4 showing the head
change at the junction node 2000, it can be seen that both methods produce the same results for
case 1 and that fair agreement is obtained for case 4. The amplitude errors, as dermed by the
ratio between the amplitude AM of the MOC and the amplitude AR of the RWCM, are sum-
marized in Table 2-3. The amplitude error is less than 1 % for case 1 and 6 % for case 4. The
646
errors for case 4 arise at the start of the response, i.e. for the fIrst cycle and diminish during the
subsequent computation time, due to damping of the system.
For cases 2 and 5, the time for the change approaches the natural frequency of the system.
The results computed by the MOC show ripples in the calculated values, with a frequency that
is related to the characteristic time. These ripples are due to elasticity and compressibility
effects. The RWCM, which neglects these effects, produces results which correspond to the
average values of the MOC results. The amplitude error is 11 % for case 2 and 36 % for case 5.
As the results computed by the RWCM are only rough estimates of the physical processes the
RWCM should not be applied, even for preliminary design studies.
For cases 3 and 6, the boundary conditions are given by time constants which are lower than
the natural frequency. Such boundary conditions always produce rapid transients in which wave
effects predominate in the computed results. As expected, the computed head oscillations are no
longer comparable, especially for case 6. An application of the RWCM for rapid transients is
thus inadmissible.
Table 2-3 : Comparison of the computed results
MOC RWCM Error

Min. Max. AM Min. Max. AR (%)
Case 1 27.00 28.92 2.02 27.00 28.91 2.01 <1
Case 2 27.00 29.35 2.35 27.00 29.09 2.09 11
Case 3 27.00 30.36 3.36 27.00 29.15 2.15 36
Case 4 25.79 28.13 2.34 25.89 28.07 2.18 6
Case 5 25.35 28.73 3.38 25.90 28.08 2.18 36
Case 6 25.30 28.68 3.38 25.96 28.03 2.07 39
2.1.4. Resonance. The results shown in Fig. 2-5 were obtained by driving the system by a sine
wave with a period equal to the characteristic time TE. The calculated heads show diverging
oscillations, which indicates resonance. The RWCM is not able to produce resonance because
the terms which are responsible for these effects has been eliminated.
2.1.5. How slow is slow? Chaudhry and Wood indicate that the RWCM can be applied if
ff4; / a 1, in which ff is the eigenfrequency of the prescribed boundary condition and 4; is
a characteristic length of the pipe system .
As indicated by the computed results, all those with Tf > 4 s are in sufficient agreement for
preliminary design purposes. We obtain
2..240
4 _
=_ == 0.05
1200
For the given example wF 1 is defmed by W F < 0.05. This transition number W F will also be
computed for further examples, in order to ascertain the way in which the transition between the
slow transient region and the rapid transient region can be defmed.
647
2.1.6. Application of the combined MOCIlFD method. Cases 2 and 5 have been reanalyzed
using the MOC/IFD method.
The time step selected was the same as for the RWCM, i.e. four times larger than the time
step for MOC. The reach length 6SM for the selected time step of 0.05 s which satifies CN = 1
was 60 m. Pipe 1, with a length of 150 m, was discretized by two MOC reaches and one IFD
element (type 3). For pipe 2, with a length of 120 m, two MOC reaches were used, whereas for
pipe 3, with a length of 90 m, one MOC reach and one IFD element (type 2) were required.
The results for the two cases analyzed (as given by Fig. 2-6) are in very good agreement.
The amplitude errors summarized in Table 2-4 are less then 1.5 % for both cases.
Table 2-4 : Comparison of the computed results
MOC MOC/IFD Error

Min. Max. AM Min. Max. AR (%)
Case 2 27.00 29.35 2.35 26.97 29.32 2.35 *1,3
Case 5 25.35 28.73 3.38 25.32 28.72 3.40 *0,9
2.1.7. Computer time requirements. The RWCM and the combined MOC/IFD method were
introduced particularly to economize on computer time. In Table 2-5 the computer time require-
ments of the MOC, of the combined MOC/IFD method and the RWCM are compared The com-
putational time was determined on a PC under MS-DOS with a i486 DX running at 25 MHz.
Table 2-5 : Required computer time
MOC MOC/IFD RWCM MOC MOC/IFD RWCM

Case 2 20.4 s 5.9 s 5.8 s 100 % 29 % 28 %
Case 5 25.2 s 7.2 s 6.8 s 100 % 29 % 27 %
The MOC requires about 3.5 times more computer time compared to the MOC/IFD method and
about 3.7 times more compared to the RWCM for this example.The difference between the
MOCIIDF method and the RWCM is very small because both methods are using the same basic
technique, the only difference being that the wave speed to be very high in the RWCM and thus
a smaller number of IFD elements were required.
In cases where the flow process lies between the inertia-controlled region and the rapid transient
region, the combined MOC/IFD method is superior with regard to the computed results as well
as to the computational time required.
648
~ Wood three-pipe system / case 1 ramp 4-.0 s

l:f
E
"'"
o~--------------------------------------------------------------------~
-------------
~~4---------~-=~-~-------~----------------------~
1!" - - - - - - - - - ~
~o ~
i~Nl u i + - - - / - - - - - = " " " " ' - - - - - - - - - - - - - t
c.
~~======~------------------------------------~
'"
"~O.O
Stat "In
2.0
Mo.
4- .0 6.0 B.O
I
10.0
I
llme Ie)
12.0
22.90 22.90 27.50 - - - - - node 5000 .. polnt A boundary concH t Lon H-f [t I
27.00 27.00 2B.92 ----- node 2000 polnt B MOC dt = 0.0125 a
27.00 27.00 2B.91 - - - node 2000 point B RWCM 4- dt IMOC}
~ Wood, three-pipe system / case 2 , romp 1.00 s

l:f
'""
o~----------------------------------------------------------------~
~ /r' .. -L\:":;L-'T\.,........~\:c\r'..... \~'. .,_... ,:<L''?'""... ~ ... _ ... ~ ... _,~ .....-,~... ~
...L\ ...
~: r-----~~/
i~~-----------/--f-----------------------------------------------------~
~
c.
~+=====------------------------------------------------~
'"
"o~----~----r----,-----r----~---,r----.----,-----,----,-----.----~
"'0.0
Stat "In
..,.
2.0 4-.0 6.0 B.O 10.0
tLme leI
12.0
22.90 22.90 27.50 - - - - - node 5000 polnt A boundary condlUon H-( It)
27.00 27.00 29.35 ----- node 2000 polnl B MOC dt = 0.01258
27.00 27.00 29.09 - - - node 2000 point B RWCM 4- dt IMoe I
~ Wood, three-pipe system / case 3 , romp 0.25 s

l:f
"-r----,-----,-----.-----r-----r---r-r----,-----.-----.-----r-----r----~
~O.O 2~0 I 4-.0 6.0 B.O 10.0 12.0
Stat Mln Hmc tlme Ie)
22 .90 22 .90 27.50 - - - - - node 5000 .. polnl A boundary condltlon H .. f(tl
27.00 27.00 30.36 ----- node 2000 point B MOC dt = 0.0125a
27.00 27.00 29.15 - - - node 2000 poLnt B ~WCM 4- dt [MOe)
Fig. 2-3 : Results for a ramp head change

649
Wood three-plpe system / cose ~ sLnusoLdaL. perLod ~.O s

~
~-r--------------------------------------------------------------------,
~
o~--------------------------------------------------------------------~
E
'"
-If) "'--__ "'-"' _ _
~~~~~--~~_,,~----------,.~~----~~,-,-----------J'~c-----~,,~----------~
r. " ./
-~/ ', ./
~_/ " "
~-~
~o
~~~--~~----------------~~~----------------~~~----------~
~N
0.
~4-----------~--------~~----------~--------~----------~~------~A
~
-
~
0
"'0 .0 2.0 4.0 5.0 8.0 10. a 12.0
Stat
22.90
""n
20 .50 25.20 - - - - - node 5000 c polnt A boundary condlllon Hflt)
llme lei
27.00 25.79 28.13 - - - - - node 2000 polnt B MOC dt ~ 0.0125 e

27.00 25.89 28.07 - -
- node 2000 polnt B RWCM 4- dt (MOC)
~ Wood, three-plpe system / case 5 , slnusoldal. perlod 1.0 s

~
~
0
'"
!
OJ :.-' /\ "
)~ / \
,~o.
"OJ
~N
0.
~
'"'"
~
~o .0 2.0 4-.0 5.0 8.0 10.0 12.0

22.90
Stat
""n
20.50 "".
25.20 - - - - - node 5000 polnl A boundary condl t Lon H.f (t I
llme lei
27.00 25.35 28.73 - - - -- node 2000 polnt B MOC dt ~ 0.0125 s

27. 00 25.90 28.08 - - - node 2000 poLnl B RWCM 4- dt)MOC)
~ Wood, three-plpe system / case 6 , slnusoldal. perlod 0.25 s

~
~
o~--------------------------------------------------------------------~
'"
~o
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~H
0.
~
~~H+Ht+H~H+~~~H+Ht+H~H+~~~H+Ht+H~H+~~~H+Ht+HH+H+~~~H+Ht~
....
) ) I
~o .0 2.0 4.0 5.0 8.0 10.0 12. a
Stat
""n llme lsi
.
22.90 20 .50 25.20 - - - - - node 5000 polnl A boundary condl t lon H",f (t I
27.00 25.30 28.68 - - - - - node 2000 polnt B MOC dt 0.0125e
~
27.00 25.96 28.03 - - - node 2000 polnt B RWCM 4 dt (MOC)
Fig. 2-4 : Results for a sinusoidal head change

650
I I " I I J 'i' 0:.4. ~,
~ Wood three-pil'', systtom: I case: 7 !: si:nusC\id'1'L. ~dod
,
~ ,, ,,
,
,, , , ,, ,
,,
E
" ,, ....
,
f-
,
"-
,.., ,
" , , ,
~~~~~~~~~~~~~~~~-rl
'\
,I ,
(' 1"
, , I , \ ', \ , I ,, , I ,," \ , "i'
,
,:1 ':,/ , \ ~
\ I \
;- ~/
,
\
'y
\ :I
\ :1 \ \
,
.v
\
y
~~~~--~~T-~--~--~-iT-~--~--T--iT--+--~--T-~T-~--I.T--+-~T-~~
"
~N
a.
~
~~--~~~~'-~~~~~~"~+-~~~~~~~4r~~~~~+-~~~~~1
~~-----r----,-----,--L-r~--r-r----rrr--~r-L--';-~-'~--~--+--T---'~
~o.o
t(me
I I I I I I I J
Slal Mln o~ ~11.3 ': ?Q :: 2.t: : .3 : {~4-I'O
22.90
27.00
27.00
20.61
0.3~
25.92
25.19~node$OpO
52.60 ----- node 2000
28.08 - - - node ~O~O
ppl~t A )ooUondar~condltl,on'H.fI~1
pblM B Me<; dt ,. q.012~
pplpt B pWfM 4- .: d~ (MOC': :
a: ',
I, I, I
Fig. 2-5 : Resonance
~ Wood three-pipe system I case 2 ramp 1.00 s

~
~
Q~----~---'r----.-----r----r----'-----r----'-----r----'-----r----~
N O. O 2.0 ~.O 6.0 8.0 10.0 12.0
Stat Hln Hax t lme lsi
22.90 22.90 27.50 - - - node 5000 point A boundary condltlon H.I Itl
27.00 27.00 29.35 ----- node 2000 point B MOC dt 0.0125 a
27.00 26.97 29.32 - - - node 2000. point B MOC/IFD ~ dllMOCI
~ Wood! three-pipe system I case 5 slnusoldal. penod = t.O s
~
~
0
~'"
". I'
10
~~
~,
,~o. ')
"'"
fN
a.
~
~
~O.O
Stat
22.90
Hln
20.60
....
2.0 ~.O
25.20 - - - - - nods 5000 = polnt A

6.0 8.0
boundary condll Lon Hsf (t I
10.0
llme lei
12.0
27.00 25.35 28.73 ----- node 2000 polnl B MOC dl 0.0125 a

27.00 25.32 28.72 - - - node 2000 polnt B MOCI IFD ~ dllMOCI
Fig. 2-6 : Results for the MOC/IFD method

651
2.2. EXAMPLE 2 - PIPING NETWORK
2.2 .1. System descprition. Example 2 is taken from Ref. 16, Wood/Funk/Boulos. This system was
selected owing to the fact that it is relatively complex, despite the relatively small number of
nodes and connecting elements. The system consists of 13 computational nodes, 13 pipelines,
3 constant-head reservoirs and one pump. The system is fed by a pump whose suction side is
connected to a constant-head reservoir with a water level of 100m. The pump throughput is
1191 Us for a pumping head of 60.2 m and a pump speed of 1000 rpm. Water is removed from
the system at nodes 6000 and 9000 at a constant rate of 400 Us and SOO US, respectively. Water
is fed into reservoir 5RES and removed from reservoir 7RES so that the head in each reservoir
remains constant. For several loading cases, an air vessel with an initial air volume of 20 m3
was included directly behind the pump.
The elevation of the nodes, the constant pressure heads of the reservoirs, the constant extrac-
tions at nodes 6000 and 9000 as well as the computed steady-state results for the remaining
nodes are summarized in Table 2-7. Table 2-S contains the corresponding information for the
pipelines, while Table 2-6 contains the pump data. Values marked by an asterisk are prescribed
values.
4000 6
2 3
3000
CJ CJ CJ
CJ CJ CJ
CJ
OJ ;: CJ
N 8
9
Table 2-6 : PumI! data
7RES
Q(Vs) H(m) N(rpm) 8000

0 SO WOO
1200 60 WOO
Fig. 2-7 : Piping network
ISOO 40 1000
Global data
density p = WOO kg/m3 ; acceleration g = 10 rn/s2
vapour pressure head ho = -10 m; wave speed a = 1200 rn/s
652
Table 2-7 : Nodal data - steady-state results
z H Q
(m) (m) (Vs)
sue 90 *100.0 1191
0000 90 160.2
1000 90 159.7
2000 90 159.2
3000 85 158.3
4000 85 150.0
5000 85 144.5
5RES 85 *100.0 90
6000 85 136.8 *-800
7000 80 145.8
7RES 80 *145.0 -81
8000 80 150.6
9000 75 142.8 *-400
Table 2-8 : Pipeline data - steady-state results
node i node k D L A Q
(m) (m) (Vs)
pipe 1 0000 1000 0.80 100 0.01282 1191
pipe 2 1000 2000 0.80 100 0.01478 1191
pipe 3 2000 3000 0.80 200 0.01518 1191
pipe 4 3000 4000 0.50 500 0.01852 658
pipe 5 4000 5000 0.40 200 0.01518 477
pipe 6 5RES 5000 0.30 100 0.01643 89
pipe 7 5000 6000 0.40 200 0.01826 566
pipe 8 7000 6000 0.30 300 0.01528 234
pipe 9 7000 7RES 0.30 200 0.01625 81
pipe 10 8000 7000 0.40 400 0.01647 315
pipe 11 8000 9000 0.30 300 0.01493 219
pipe 12 4000 9000 0.30 400 0.01647 181
pipe 13 3000 8000 0.50 700 0.01493 534
In the case of computations based upon the MOe, the time step t.tMOC was determined from the
length of the shortest pipe as follows:
653
At = _Lmln = ~=---:-
100m
= 0.0833s ;
a 1200m/s
The length of the remaining pipelines is an integer multiple of the reach length AS M = 100 m.
The number of reaches using the Moe was one for the pipes I, 2 and 6, two for the pipes 3, 5,
7, 9, three for the pipes 8, 11, four for the pipe 10, 12, five for the pipe 4 and seven for the
pipe 13.
In the case of computations based upon the MOC/IFD method, the time step selected was :
4 x AtMOC ' The corresponding reach length of 400 m, yields one IFD element for the pipes I, 2,
3,5,6,7,8,9, 11, one Moe reach for the pipes 10, 12 and one combined MOC/IFD element
of type 2 for the pipes 4 and 13. For the RWCM the wave speed adopted was 1000 000 m/s
and time step of 10 x AtMOC was selected. For each pipe one IFD element was used. The period
of the eigenfrequency of the system was approximately determined to be TE = 3.2 s by driving
the system with a ramp change in pressure head at node 0000.
2.2.2. Loading cases. The following loading cases, given in the paper of WoodlBoulos/Funk
were investigated :
Case 1 I Case 2 : pump trip off. In this loading case, it was assumed that the speed of the
pump decreases from 1000 rpm to 0 rpm within one second. To account for the return flow, the
pump was treated as a loss in accordance with its performance curve. The system was computed
without an air vessel in case I, whereas an air vessel installed directly behind the pump was
taken into account in case 2.
Case 3 I Case 4 : 50 % increase in pump speed. In these loading cases, the pump speed was
increased by 50 % to 1500 rpm within 5 seconds after 5 seconds of computing time. The system
was computed without an air vessel in case 3 and with an air vessel in case 4.
Case 5 I Case 6 : sinusoidal change in pump speed. In these loading cases, the pump speed was
varied sinusoidally with an amplitude of 10 % of the initial speed. The period of the speed
change was T =20 s in case 5 and T = 10 s in case 6, respectively. No air vessel was taken into
accout.
2.2.3. Discussion of the computed results.

Case 1 I Case 2 : pump trip off. The computed pressure head curves for node 9000 predicted by
the Moe differ considerably from those optained by the RWCM due to the fact that the vapour
pressure is attained in the computations based upon the MaC and high frequency pressure oscil-
lations occur as the vapour pockets implode. As elasticity and compressibility effects have a
decisive influence on the pressure head curves, the RWCM cannot be applied.
The volumetric flow curves only differ slightly; the MaC yields small oscillations about the
volumetric flow curve computed by the RWC model. The curves are given in Fig. 2-8 and 2-9.
With the inclusion of an air vessel (case 2), the pressure head curves computed by the two
methods are comparable. Although the MaC still produces oscillations of about 2.5 m. They
fluctuate about the pressure head curves computed by the RWC model. The MOC/IFD results
are in close agreement to those computed with the Mae. The maximum errors are less than
1 %. The volumetric flow curves computed by the three methods are almost identical. The
results for both cases are given in Figs. 2-9 and 2-10.
654
Case 3 I Case 4 : increase in pump speed. For case 2 (without air vessel), the pressure head
curves at node 9000 computed by the MOC show considerable oscillations which the RWCM is
unable to reproduce. The maximum deviation is about 10 m at the start of the response. The
results computed by the combined MOC/IFD method are almost indentical to those obtained
from the MOC. Again, the volumetric flow variations computed by the three methods are in
very good agreement. With the air vessel included, the head changes as well as the volumetric
flow changes are almost identical (see Figs. 2-10 and 2-11).
Case 5 I Case 6 : sinusoidal change in pump speed. These two loading cases were also in-
vestigated using all three computational methods. As is evident from the pressure head curves
presented in Figs. 2-12 and 2-13, amplitude errors between the MOC and the RWCM mainly
occur during the first cycle of the oscillation and are subsequently damped out. This behaviour
may be explained by the fact that the exciting sine function H = f(t) does not smoothly connect
with the stationary solution but is initiated with the maximum gradient dH/dt. This causes
pressure waves to be induced at the start of the computation, while mass oscillation effects
predominate as the computation proceeds.
The shorter the selected excitation period Tf' the larger are the induced amplitude errors
between the results of the MOC and the RWCM. In case 5, with a period of Tf = 20 s, the
maximum amplitude error is about 15 %. In case 6, with a period of Tf = 10 s, maximum devia-
tions of 35 % occur. Even for preliminary design studies, both values are too high; i.e. a com-
putation using the RWCM is only able to provide a rough estimate of the pressure head distribu-
tion.
The results computed by the MOC/IFD method only differ slightly from those of the MOC.
The maximum amplitude errors are about 2 % and 4 % for cases 5 and 6, respectively. The
volumetric flows computed by all three methods only differ by about 3 % relative to one
another.
Table 2.9 : Comparison of selected results
AMOC AIfD ARWCM MOC/IFD RWCM

Case 3 47.9 46.9 41.4 2.1 % 13.6 %
Case 4 42.3 42.3 41.9 <1% <1%
Case 5 14.74 14.38 12.45 2.4 % 15.5 %
Case 6 19.41 18.64 12.55 4.0 % 35.3 %
Case 7 48.90 - 48.89 - <1%
Case 8 42.40 - 41.40 - 2.4 %
2.2.4. Transition number W F In order to estimate the values of Tf for which sufficiently accurate
results are computed by the RWCM, the transition number wf was also determined in this case.
In this example, the choice of the characteristic length is not as simple as in example 1. For this
reason, the following approach was adopted. On the basis of the approximately determined
eigenperiod TE = 3.2 s, and assuming that the pressure wave propagation time is about 2 LJa,
the characteristic length is given by
655
.... L = TEa = 3.2 1200 = 1920m

E 2 2
Assuming that wF = 0.05 also applies in this case, the following value is obtained for TF
_1 1920
TF
1200
This implies that for values of TF > 32 s, the computed results should only deviate slightly from
one another. In order to check this supposition, the effects of slowly increasing (TF =32 s) and
slowly reducing (TF= 32 s) the pump speed were investigated in accordance with case 1 and
case 3, respectively. The computed results for these two cases 7 and 8 presented in Figs. 2-14
and 2-15 indicate that the amplitude errors for this example are each less than 3 %, and hence
the estimated value of T F stated above may be considered as being reliable.
2.2.6. Computer time requirements. In Table 2-10 the computer time requirements are compared
for all analyzed cases. The computational time in was determined on a PC under MS-DOS with
an i486 DX running at 25 MHz.
MOC MOC/IFD RWCM MOC MOC/IFD RWCM

Case I 20.9 s - 3.9 s 100 % - 19 %
Case 2 23.2 s 11.4 s 5.2 s 100 % 49 % 22 %
Case 3 19.4 s 7.4 s 3.8 s 100 % 38 % 20 %
Case 4 21.1 s 9.5 s 4.1 s 100 % 43 % 19 %
Case 5 22.3 s 9.1 s 4.5 s 100 % 41 % 20 %
Case 6 21.6 s 8.6 s 4.0 s 100 % 40% 19 %
Case 7 19.8 s - 4.0 s 100 % - 20 %
Case 8 19.5 s - 3.9 s 100 % - 20 %
e:
Wood plplnQ network I case 1 pump trtp off. no atr teric Wood ptptng network I case <1 pump trtp off. wt th atr tank '"
.. 1 II I ~+I------------------------------------~
!
~ ~ 1 H/I II I I
~
~ 1'1 1111111 111.11 h. I
Ii.
~+Itillitlltfllil'I'f-I-lltHfI-ffiI'WlHrUllIffl~I"H;J!!tiH\\tMl'Y1''1liHl"ImI'llft'llI~tfIIrJf~~"*"';,.,.
..;~'-........-............-..l I
0
St~:oU "I 10'.0 I 20'.0 30'.0 '0'.0 50'.0 60.

tlme Ie)
'tt~
.;
St ..
0.0 10'.0 20'.0 30.0 '0'.0 SO.O
tlrr. I:Y'
67.77 -10.00 90.88 - - - node 9000 HOC dt 0.08333 67.77
.'n
IS.oo 61.n - - - node 9000 HOC dt 0.08333 a
67.77 18.80 67.77 - - -"""" SOOO RW01 dt 10 dl n1OC1 67.77 19.07 67.93 - - - - - node 9000 P1CJCIIFD dl ,., dt II'1OCI
- 67.77 19.07
-
67.77 - - - node 9000 RW01 dt 10 dtlMCJCI
Wood plplng network I case 1 pump trtp all. no atr teric Wood ptptng net work I caee 2 pump trtp all. wt th atr teric
o
~ ~
iii
~ iii
7 ,-~. -... --. ------ --- -----====---
~
::: ",.1'
~.;
~M k r ~.
~
~~!!r
.;
o "
o
o
~I N
0.0 10.0 20.0 30.0 40.0 So.o 0.0 10.0 20.0 30.0 40.0 50.0
Slot H,... (~? St .. tlme ,:y.
So.1
.'n
SO.1 8 26.8 - - - """" _s HOC dt 0.0&333 SO.1 "'n
90.1 8 21.3 - - - """" _ S HOC dt 0.08333
82"'.3 ____ A_A_A"
ncc::t. 5RES 821.'" ------ .. ,. node ~S
90 .1 90. t RW01 SO.1 90.1 RW01
-80.3 -80.3
-
SSS.S ----- """" _ S HOC dt 0.08333 -80.3 -80.3
-
~.1 - - - - - node ~ HOC dt 0.06333
-80.3 -80.3 5S4.4- - - - - node TRES RW01 -80.3 -80.3 562.I----""""_S RWCI1
Fig. 2-8 : Pump trip off, no air vessel Fig. 2.9 : Pump trip off, with air vessel
Wood plplng network I case 3 lncrease In punp speed. no al r lonl- Wood plplng network I case 4 lncrease In p....mp speed. wlth al r lc
!!! !!!
~ 1) r"
! !
~ ~
I
~
II
1
c.
~ a J
~ ~
~
iii 0.0 10.0 20.0 30.0 40.0 50.0 60.
iii 0.0 10.0 20.0 30.0 40.0 50.0 60.
Stot "In tlme leI Stot "In t lme leI
67.8 67.8 1 15.7 - - - node 9000 HOC dl 0.08333 8 67.8 67.8 1 10.1 - - - node 9000 MOC dt .. 0.08333 B
67.8 67.5 114-.4- - - - - - node 9000 I'1OC/IFD dt 4- dllMOCJ 67.B 67.7 110.0 - - - - - node 9000 MOCIIFD d t . 4-. dt (HOC]
67.8 67.8
-
109.2 - - - node 9000 RW01 dt 10 dt (MOe) 67.B 67.8
-
109.7 - - - node 9000 RWO'1 dt 10 dt (MOe)
Wood plplng network I coae 3 lncrease In punp speed. no at r lon. Wood plplng network I case 4- lncrease In punp speed. wL lh at r tc
o
N
.; ~ .; """'-
---~,.\
_0 -,.\ -----<~
~ ~ !
\~, ~ '\" I
~ ~- - -~ ~-
~---------------------
-I
o ---- --
~ ~
0
." 1 1 1 1 I 1 :il
, 0.0 10.0 20.0 30.0 40.0 50.0 60. ' 0.0 10.0 20.0 30.0 4-0.0 50.0
Stot "In lLme lal Stat Hrne 1~9'
90.1 -535.9 90.1 - - - node 5IlS HOC dt 0.06333 90.1 "'n
-536.1 90. I - - - node 5IlS HOC dt 0.08333
90.1 -535.8 90.1 ----.-- node 5RS RW01 90.1 -535.9 90.1 ---------- node SRE:S RW01
-80 .3
-80.3
-441.0
-4-40.S
-
-80.3 ----- node 7RS
-80.3 - - - - node 7RS
HOC
RW01
dt .. 0.08333 -80.3
-80 .3
-441.0
-4.41.0
-
-80.3 ----- node ~s
-80.3 - - - - node 7RES
HOC
RW01
dl 0.08333
Fig. 2-10 : Increase in pump speed, no air vessel Fig. 2-11 : Increase in pump speed, with air vessel a.
u.
-.-J
0-
VI
00
Wood plplng network I case 5 slnusoldoL cl'1onge In pump speed. T= Wood plplng network / coee 6 slnusoldal change ln P'-"l' speed. T
~, ~.-----------------------------------------~
~I ~+I----------------------------------~
! !
, j;. \ '- \0
~ -}~ . I I(:\ Ae.A r.s 7....\
.
"" ~ ./ 7 ;' " ' 7'1 l,. _;r 4I<i: r
r~I -... C>
" .... \IJ 'C Y~
..1$1 "I '\, \'\. I \ ,1
a
~I ~I
~I ~I
0.0 ID,,;! 20.0 30.0 4.0.0 50.0 60. 0.0 1~ 20.0 30.0 4-0.0 50.0
Slat tlme leI Stot tlllMl (~V
67.77 "'n
60.65 75.39 - - - node SOOO MOe dt 0.08333 III 61.77 "'n
57.83 77 .2.4 - - - node 9000 MOe dt 0.08333 III
67.77 60.89 75.27 ----- node 9000 P'tX/IFD dt 4 dt (HOC) 67.77 59.07 77.71 - - - - - node 9000 MOe/IFO dt I,. dt (MOe)
67.77 61.54- 73.99 - - - node 9000 IlW01 dt 10 dt (HOCI 67.77 61.4.1 73.96 - - - node 9000 IlW01 dt 10 dt (MOe)
Wood plplng network I coae 5 s l nuso l da l change l n puIIl) speed. T. Wood plplng network / coee 6 slnuaoldal change ln puIIl) speed. T
~I
iil
-o~ -o~
~~ ..............................................
<:::::::::? ~ ............., ............., ~ 1
~~
.........-:::-- ~ .....-:::=----. ~4
. F
~ -------- ~ ----- , - l ~ ~.", --- -~--- .----.... ----- <~---........ -l
~I ~ I
Q
iil
'", 0.0 10.0 20.0 30.0 4-0.0 50.0 60. , 0.0 10.0 20.0 30.0 4.0.0 50 .0 60.
Stat "Hn t lme leI Stot tlme leI
90.1 5.9 1 50.5 - - - node 5RS MOe dt 0.08333 .. 90.1 "'n
38.8 126.6 --- node 5RS MOe dt 0.08333 8
90.1 9.5 14.8.9 ------.. -- node 5RS IlW01 90.1 4.3.3 121.9 -------- node SRE::S IlW01
-80.3 -126.6
-
-4.2..9 - - - - - node 7RS MOe dt 0.0&333 -80.3 -Ioa.s
-
-58.5 ----- node 7RS MOe dt 0.08333 8
-80.3 -12.4.2 -4.4..2 - - - - node 7RES RW01 -80.3 -106.0 -61.8 - - - - node 7RE:5 IlW01
Fig. 2-12 : Sinusoidal change in pump speed, Tf = 20 s Fig. 2-13 : Sinusoidal change in pump speed, Tf = 10 s
Wood plplnQ network / case 7 slow decrease In p..mp speed T=32.s . Wood plpLng network I case 8 slow lncreoae In p..mp speed' T=32a
oj ~-r-----------------------------_,
~I ~4----------------- __~-----------~
S
~
~Cs;: ~-+------~-
0. 0.
j ~ ~1-------~~-----------
.; ~ 1---.,----,,-
0.0 10.0 20.0 30.0 40.0 50.0 60. 0.0 10.0 20.0 30.0 40.0 50.0
Slot t ltne (el Stot U.- I~Y'
67.77 lB.87
"'" 67.77 - - - node 9000 Moe dt 0.08333 e 67.8 67.8
"'" 110.2 - - - node 9000 Moe dt 0.06333 e
67.77 18.86 67.77 - - - node 9000 RWCI'1 dt 10 dllMOCI 67.8 67.8 109.2 - - - noda 9000 RWCI'1 dt 10 dt (MOe)
- -
Wood plplng network / case 7 slow decrease In punp speed T:z32.s Wood plplng network / caae 8 slow lncreose In p..rnp speed T .. 32e
l<:
~
/-
.... ----------------- ---------~
_0
iig / 00
::. ~// '"
--- ---
~/
~o / ~
-~ --- --
-l<: ~
-~ ~- -----------
./ ~/
~/
o
-----"' ....... ~
o
"0.0
Stot
10.0 20.0 30.0 4-0.0 50.0 60.
tlrne [el
..
'0.0
Stot
10.0 20.0 30.0 4-0.0 50.0
Ume I~Y'
90.1 ","
90.1 8 23.8 - - - node ,"",S Moe dt 0.08333 e 90.1 -535.8
"'" 9 0. t - - - node '""'S I'OC dt 0.08333 II
90.1 90.1 823.7 ........ , node 5RES RWCI'1 90.1 -535.8 90.1 _._------- nodIt SRES RWCI'1
-80.3
-80.3
-80.3
-80.3
-
563.1
563.1
- - - - - nc:x:iII 7k1[S
- - - - node 7~S
Moe dt
RWCI'1
0.08333 -80.3
-80.3
-440.9
-4-4-0.9
-
-80.3
-80.3
----- ~ ~S
- - - - node 7R:S
HOC
0WCI1
dt O. 08333
Fig. 2-14 : Slow decrease in pump speed, TF = 32 s Fig. 2-15 : Slow increase in pump speed, TF = 32 s
8;
1.0
660
2.3. EXAMPLE 3 PIPE NETWORK
2.3.1. System description. Ex-

ample 3 is taken from Ref.12 t-------?_-~~'OOO
(Onizuka).
The pipe network 1 shown
in Fig. 2-16 consists of 7
6000 5 5000
pipes, 2 valves, 2 constant- 2000
head reservoirs and one ~~--------"'+.OOO
elevated tank with a cross-

sectional area of 78.54 m2
The nodal data are given in 7000
Table 2-11. The data for the
3000
pipelines and valves are sum-
marized in Table 2-12. Values Fig. 2-16 : Pipe network with elevated tank
marked by an asterisk are
prescribed boundary conditions.
The dimensions of the pipe . . . . - - - - - - - - - - - - - - - - - - - - - - - - - - ,
network 2 shown in Fig. 2-17 ---__- -......'.000
are assumed to be the same as 0000
those for pipe network I, a~((t)
except that the tank is

'DOD
removed from the system and 6000
2000
a pump has been introduced .~I-4<:-'-'---------"t <DOD
at node 0000. The pump

performance curve is given by
Q; (m)
7000
Hp = 70 - 6.24
Fig. 2-17 : Pump driven pipe network

2.3.2. Analyzed situations.
In his paper, Onizuka analyzed two cases.
In case I, slow transients following a very slow valve throttling were simulated. The two
valves at the reservoirs are throttled simultaneously in order that the flow changes from the maxi-
mum steady-state flows to a reduced steady-state. The results for the two steady-states, which are
referred to as state I and state II, are given in Tables 2-11 and 2-12, respectively.
The author adopted a time interval of 360 s for the operational period of both valves in order
to obtain a sufficiently slow and smooth valve motion. The discharge coefficients C; and Cg were
varied linearly with time from 1 to 0.04 in 360 s and thereafter held constant with time. The
relationship between the discharge coefficients Cj and the loss coefficients ~ for the valves are
given by
~
661
The discharge coefficient for the open valve is C1 = I, which yields a corresponding loss coeffi-
cient of ~ = 1. For the partially-closed valve with C1 = 0.04, we obtain ~ = 625.
Table 2-11: Nodal data I steady-state results
node z(m) HI QI Hu Qu Hm Qm
(m) (m3/s) (m) (m3/s) (m) (m 3/s)
0000 0 *50.000 1.7903 *50.000 0.4745 64.556 0.9298
1000 0 45.255 - 49.667 - 63.286 -
2000 0 1.207 - 46.602 - 58.108 -
3000 0 0.924 - 46.514 - 57.963 -
4000 0 37.951 - 49.153 - 61.124 -
5000 0 37.951 - 49.153 - 60.645 *-0.4000
6000 0 *0.000 -0.9549 *0.000 -0.2374 *0.000 -0.9549
7000 0 *0.000 -0.8354 *0.000 -0.2371 *0.000 -0.8354
Table 2-12 : Pipeline. valve data I steady-state results
node i node k D L QI Qu Qm
(m) (m) (m 3/s) (m 3/s) (m 3/s)
pipe 1 0000 1000 1.00 1000. 0.0179 1.7903 0.4745 0.9298
pipe 2 1000 2000 0.30 1000. 0.0268 0.2197 0.0580 0.0753
pipe 3 2000 3000 0.50 2000. 0.0226 0.0486 0.0271 0.0348
pipe 4 1000 4000 1.00 2000. 0.0179 1.5705 0.4165 0.8544
pipe 5 4000 5000 0.50 50. 0.0266 0.0000 0.0000 0.4000
pipe 6 4000 2000 0.50 1000. 0.0266 0.7838 0.2065 0.2245
pipe 7 4000 3000 0.50 1000. 0.0266 0.7868 0.2100 0.2299
valve 8 2000 6000 0.50 - 1-625 0.9549 0.2374 0.2651
valve 9 2000 6000 0.50 - 1-625 0.8354 0.2371 0.2647
In case 2, the system was driven by a pump at node 0000. The flow rate at node 5000 was
specified with respect to time as
Q = 0.2 (1 -cos( ~:ot)) (m 3/s)
for the time interval 10 ~ t ~ 180 s. For t > 180 s, the flow rate remained constant, i.e.
Q(t) = 0.4 m3/s.
The two valves were throttled simultaneously in the same way as described for the previous
662
case, and the flow changed from steady-state I to steady-state m, as shown in Tables 2-11 and
2-12, respectively.
2.3.3. Discussion of the results.The steady-state results for state I and II are identical to those
obtained by Onizuka. For state m, the computed values deviate significantly from those given by
Onizuka. The reason for this has not yet been ascertained.
Onizuka applied the RWCM. The time integration of the systems of ordinary differential equa-
tions was performed using the classical Runge-Kutta method described in Chapter 3. Onizuka
reported that a fixed time step of 1 s was adopted after several trial runs in order to obtain a
stable solution.
In this paper, the MOC/IFD method with a wave speed of a = 1 000 000 rn/s was applied in
order to calculate the RWCM results. A time step of 1 s and 5 s was adopted. The computed
results are compared with the results obtained by the MOC using a time step of 0.05 s and with
the results given by Onizuka in his paper.
For case 1, the pressure heads and the volumetric flows computed by the MOC and the RWCM
are very similar and agree closely with the results of Onizuka. Slightly oscillations in the pressure
head at node 3000 are given by the RWCM with a time step of 5 s. The maximum head at node
3000 computed by the MOC yields 47.34 m. The RWCM with a time step of 1 s gives a value
of 47.34 m and for a time step of 5 s a value of 47.43 m was obtained. The pressure head curves
as well as the volumetric flow curves are given in Figs. 2-16 and 2-17
For case 2, the pressure heads computed by the MOC shows small oscillations during the
throttling of the valve which the RWCM cannot reproduce. The maximum head at node 3000 is
73.76 m for the MOC, 74.55 m for the RWCM with a time step of 1 s and 74.69 m for the
RWCM with a time step of 5 s, i.e. the amplitude errors are always less than 3 %. Onizuka
reported a maximum value of 74.20 m which is in almost identical to the value obtained here.
The pressure heads curves and the volumetric flow curves are given in Figs. 2-18 and 2-19.
node MOC RWCM RWCM MOC RWCM RWCM

6t=O.05s 6t=ls 6t=5s 6t=O.05s 6t=ls 6t=5s
Case 1 393 s 25.8 s 3.3 s 100 % 6.5 % 0.8 %
Case2 373 s 21.2 s 3.2 s 100 % 5,7 % 0,9 %
Onlzuka MOC dt=O.05 a Onlzuka plpe network case 1 - RWCM dt=I.00 a
iii ~~~=====-:4r.___ ~.=~=J =_ iii~ -J-- _ _____ J

.1----- -----
.
~.;~ I :
/ ~ ~.;C=--t-=-
!- ;' !.'"
~I ,/
~ .// -1 /
~ ...........
...... ~I .; fnn ..n.,.. n.....,......; .............
O. 100. 200. aDo. 4.00. 500. O. 100. 200. aDo. 400. 500.
Slat tlma (~~O Slat tlms {~yo
4-5.25 4.5.25
"'" 4 .7.66 - - - Node 1000 45.25 4-5.25
"'" 4 -7.66 --- Node 1000
0.92 0.92 47.34. ~--------. Node 3000 0.92 0.92 4.7.34. --.------- Node 3000
37.95 37.95
-
4-3.58 - - - - - Node 4.000 a7.95 37.95
-
4-3.58 ----- Node 4000
37.95 37.95 4-1.54- - - - - Node 5000 37.95 37.95 4-1.54. - - - - Node 5000
o Onlzuko plpa network case 1 MOe dt=O.05 a Onlzuko plpe network coee t - RWCM dt=5.00 a
~-r-------------
}_ --r -- _____ 1
_~T=-======---------------JC'--u-----------u---
"'I~~===== .~ c_
~~ ~ ! .' -
><"'--'----"j . . . . , I
0 0
"F:::;;: ... ''m' ....... ~tm;,m;;/.//
100. ZOO. aDo. 4.00. 500. 600 O. 100. 200. aDo. 400. 500. SOD
Slot tlme tel Stat tl",. [a]
t:1. ,. . .- ;-. . ,- - .
1.790 1.279
"'" 1 .790 - - - ql IPlpe 11 45.25 4.5.25
"'" 4 -7.66 --- Node tODD
0.04-9 0.037 o.079 .....
q3 IPlpe 31 0.92 0.92 47.43 ------_ ... Node 3000
0.000 0.000
- q5 IPlpa 5]
I.OS7 - - - - - 37.95 37.95
-
43.58 - - - - - Node 4000
0.955 0.221 0.955 - - - - Q8 37.95 37.95 41.54- - - - - Node 5000
Fig. 2-18 : Example with elevated tank, Results of MOC Fig. 2-19 : Example with elevated tank, Results of RWCM
g:
W
0--
~
Onlzukc plpe network case 2 MOC dt = 0 05 s Onlzuko plpa network case 2 RWCM dt=I.OO s
~ ~
A
f
AA r A:------------------------------------
~.; ''i! ~.;
! ,,/' / ! ,
-'
." ----
----- __ ---~
-- .I
." -------- -~-
~~
- //'/!
I~ ~
Ii ,/
./ :
~ .-,' !!!
.... ......
-------------------------------------------------
------_.-
.; .;
O. 100. 200. 300. 400. 500. GOO O. 100. 200. 300. 4-DO. 500. GOO
Stot "In llma (e) Slat "In tlme [sl
45.25 40.03 67.58 - - - Node 1000 45.25 4(1.03 66.S\ - - - Node 1000
0.92 0.92 73,7S ---------. Node 3000 0.92 0.92 74.55 ----.'.' Node 3000
37.95 30.70
-
71.38 - - - - - Node 4000 37.95 30.69
-
71.02 - - - - - Node 4.000
37.95 30.21 70.90 - - - - Node 5000 37.95 30.21 70.54. - - - - Node 5000
c Onlzuko plpe network case 1 MOC dt::O.05 s Onlzuka plpe network caae 2 RWCM dt=5.00 s
~-r-----------------------------,
:r===~~~~~~~~~1~~-------
.. A-
tl ~ -1 __ --=- A---~
2~
~~. J
~ ----- ~-~-~~// / ]
i~t ',' ----------------1
,
,--------------- :1--.--.. ;-. .- . .;---------,---------;. . -.. ;. .-.. . ,
C! r-mnnin--n---r-----:.-:.T~~--I-------im-- I
go. 100. 200. 300. 4.00. 500. GOO O. 100. 200. 300. 4.00. 500. GOO
Stat "In tl".. tal Sial ",n tlme leI
1.790 1.279 1.790 - - - Ql (Plpe I J 4.5.25 4.0.03 6 6.6t - - - Node 1000
0.049 0.037 0.079 ----.---.' q3 [Pi.pe 31 0.92 0.92 74. .69 ---------- Node 3000
0.000 0.000
-
t .OS7 - - - - - q5 (Pi.pe 51 37.95 30.71
-
71.05 - - - - - Node 4-000
0.955 0.221 0.955 - - - - 08 37.95 30.22 70.57 - - - - Node 5000
Fig. 2-20 : Example with pump, Results of MOC Fig. 2-21 : Example with pump, Results of RWCM
665
3. Application
The practical application of the different model classes as well as the associated computational
methods will be illustrated by considering the example of a district heating compound network.
A detailed account of the computed results will be dispensed with here owing to lack of space.
Instead, further details will be given of the different problem defInitions.
3.1. BOCKLEMOND/CHORWEILER DISTRICT HEATING SYSTEM
3.1.1. System Description The Bocklemiind/Chorweiler district heating compound network of the
GEW Cologne AG is shown in Fig. 3-1. The compound network was formed by combining
together the district heating networks of Bocklemiind and Chorweiler, which were operated
independently and each supplied by a separate heating plant in the past.
The two component networks were connected in order to supply the two regions with heat
generated by the combined heating and power plant (CHP) at Merkenich and thus achieve a more
economical mode of operation. The Bocklemiind heating plant (HP) serves to cover the peak heat
load or is able to supply the network independently under low load conditions. The major
hydraulic components of the Bocklemiind HP are shown in Fig. 3-2, whilst the Merkenich CHP
is shown in Fig. 3-3.
The main transporting pipelines between the Merkenich CHP and the Bocklemiind HP are
approx. 15 km long. Including all partial networks, the total length of pipeline is approx. 81 km
with a pipeline volume of 5900 m3 Pump stations (PS) are installed along the transporting
pipeline. The Neusser Landstr. pump station is a symmetrical pressure boost station with pumps
in the supply and return lines. A pump is installed in the Nettelheimerstr. PS which is normally
operated as a pressure booster in the supply line. In special cases, i.e. when the flow direction
reverses at the pump station, the pump may be switched to operate in reverse. A pump is also
installed in the Hindemithweg PS, which normally serves as a pressure booster in the return line.
This pump may also be switched to operate in reverse when the flow direction reverses.
The consumers served by the transportation pipeline are directly connected to it. The con-
sumers in the partial networks are connected via pressure reduction and mixing stations. The feed
pressure in the partial networks is controlled at the stations by means of hydraulically-operated
pressure-reducing valves. Hydraulically-operated differential pressure valves are installed in the
house stations for regulating the volumetric flow. Return pumps are installed in the return lines
from the stations.
3.1.2. Numerical Model In constructing the numerical model, special hydraulic features must be
taken into consideration which distinguish district heating networks from other pipeline networks
and which have a strong influence on the instationary behaviour of the network.
- District heating networks are hydraulically-closed systems in which the supply and return
pipelines are hydraulically coupled via the generating plants and the consumers.
- A large number of pumps are often distributed throughout the system, whereby pumping is
generally required to overcome friction rather than to overcome geodetic height differences.
The pumps in such systems are process controlled according to different criteria or adjusted
manually (control criteria: pressure in the network, differential pressure, mean pressure ).
The numerical model developed for the Bocklemiind/Chorweiler district heating compound
network includes all transportation supply and return lines as well as all partial networks.
666
Moreover, the major hydraulic components of the Merkenich CHP, the Bocklemiind HP, the
pump stations and all house stations are also incorporated in the model.
The model consists of 1122 computational nodes, 944 pipelines, 13 pumps, 22 hydraulical-
ly-operated pressure-reducing valves, 124 hydraulically-operated differential pressure control
valves, 18 check valves or pump bypasses and one air vessel. The entire process control system
of the plant is also simulated in the numerical model.
Fig. 3-1: District heating compound network Bocklemiind / Chorweiler
- -'-----1 ,,
,
,,
l. __ ~ ___ ~
Fig. 3-2 : HP Bocklemiind Fig. 3-3 : CHP Merkenich

667
3.2. OPERATING CASES - CONTROL OF THE PLANT
In the past, the network was hydraulically uncoupled when both heat generation plants were in
operation. The possibility of supplying the network by two heating plants in the future will be
taken advantage of in order to realize a more economically optimized mode of operation. For this
purpose, a sliding mode of operation is applied in the network. In this context, sliding implies
that the quantities of water fed into the network may vary between the two plants, whereas the
flow rate in the network itself remains constant. For this sliding mode, a series of operating
modes were investigated, two of which will be considered here in more detail.
In operating mode I, the entire network is served by the Merkenich CHP. The quantity of
water circulated in the network fluctuates between 400 t/h and 1500 t/h depending on the time
of year, the time of day and the outdoor temperature. It is presupposed that the circulating pumps
at the Merkenich CHP maintain a prescribed pressure difference between the supply and return
lines. Depending on the flow rate, the pumps in the supply and return lines at the Neusser
Landstr. PS operate so as to attain a constant pressure increase in each case. A prescribed
pressure in the supply line is maintained at the Nettenheimerstr. PS, while the pressure difference
at Bocklemiind is sustained by the Hindemithweg PS. The hydraulic grade line and the flow
directions in the entire system are uniquely defined. The flow scheme, including the process
control system, is shown in Fig. 3-4 for operating mode I.
PS Netteshelmerstr
dp=f (0)
u
c
'".,E
'"uo
CD
"-
I
PS HI ndeml thweg
PS Neusser LBndstr,
Fig. 3-4 : operating mode I
In operating mode II, the network is served by the Merkenich CHP as well as the Bocklemiind
HP. The quantity of water fed into the system by the Merkenich CHP is 400 - 1500 t/h, whilst
100 - 500 t/h is inputted at Bocklemiind. The flow rate in the network ranges between 400 and
1500 t/h. The control targets of the circulating pumps in the Merkenich CHP and the pumps in
the Neusser Landstr. PS correspond to those of operating mode I. The Nettenheimerstr. PS and
the Hindemithweg PS are out of service. The supply and return pumps in the Bocklemiind HP
operate so as to maintain a prescribed pressure in the supply line. In this operating mode, the
flow direction at Bocklemiind is no longer uniquely defmed, as both power plants are operating
in an opposed manner. The stagnation point in the transportation pipeline thereby alternates
between the two power plants depending on their relative inputs. The flow scheme, including the
668
process control system, is shown in Fig. 3-5 for operating mode II.
dp.f (0)
.---------------,
, ,
,, ,,
"co
.",
.,E
"uo p
CD
Cl.
I
dp ,---------------------
dp.f (0)
PS Neusser landstr
Fig. 3-5 : operating mode II
3.3. DESIGN OBJECTIVES - DEFINITION OF THE PROBLEM
The objective of the investigations carried out was guarantee the operational safety of the plant
in the event of scheduled changes in operation, i.e. when switching between operating modes, and
in the event of malfunctioning, such as the failure of a single pump or the failure of several
groups of pumps.
The induced pressure and flow fluctuations which occur as a result of malfunctioning are
high-frequency processes. Consequently, the methods employed to compute these processes must
be able to describe the spreading of pressure waves in the system, e.g. the method of characteris-
tics or the combined MOC/IFD method. The objective of fault investigations is to ensure that
pressure fluctuations remain within permissible limits by adopting appropriate measures.
Switching processes between different operating modes represent scheduled changes in operation.
In such cases, a disturbance-free transition from one stationary state to another stationary state
must be guaranteed. For the district heating system considered here, the stationary initial and end
states are uniquely dermed by the hydraulic grade lines for the supply and return lines, as shown
in Figs. 3-6 and 3-7 for the operating modes I and II, respectively. During the transition from
operating mode I to mode II, the Bocklemiind HP is brought into operation, the quantity of water
inputted by the Merkenich CHP is reduced, and the pump groups at PS Nettelheimerstr. and
Hindemithweg are shut down. In addition, the process control system for the plant is switched
over. This results in a reversal of the flow direction in the vicinity of Bocklemiind.
In order to guarantee a disturbance-free transition, the changing of pump speeds, the opening
and closing of valves, as well as the changeover between control criteria must be carried out
sufficiently slowly. In this context, the objective of the computations is thus to determine what
is meant by "sufficiently slowly". In order to achieve this, it is necessary to compute relatively
slow hydraulic changes of state over a long period of perhaps several hours. Methods such as the
MOC/IFD with relatively large time steps, or even the RWCM, are very suitable for this purpose.
669
aupply Una
~
.......~ -cet!l- -Q!I- -IE- .. -1919" - .. 'i!)- . . . . . . . . ~ -!lI!!- - - --G _ .. ~ -~I!I- -& -(!to" -G- .... ~ .. _ .. ~_ ~l!I-l!Il!G- __ ~ -1!&-t!El
. return llne
~
Fig. 3-6 : steady-state hydraulic grade lines for the supply and return line - operating mode I
i~ i
J Ij
I .
! !I m., _~ t f
~ e-oQI-"""-"1!'#--- i!I-- . . . . -G&--I!II!I-----&--.l ~I!I-& -11-_-19--_", ___ -&_~.eee ___ I!II!t'- eB-t1!I
return lll"e
l!g
J
I til.
Fig. 3-7 : steady-state hydraulic grade lines for the supply and return line - operating mode II
670
4. Summary
In addition to the classical analysis of pressure surges (malfunctioning of the system), an un-
derstanding of weakly instationary flow processes (scheduled, process-controlled changes of ope-
rating states) is gaining increasing importance in the planning and design of complex pipeline
systems. In this context, its important to estimate how quickly a system may be shifted from one
stationary operating state to another without inducing high-frequency pressure and flow distur-
bances.
The MOC/IFD method is especially suitable for describing the transition region between a pure
mass oscillation (low-frequency phenomenon) and the spreading of pressure waves (high
-frequency phenomenon). The method includes a rigid water column model (RWCM) when the
wave speed for all pipelines in a system are chosen to be correspondingly large. By means of a
simple comparative calculation without the need for additional numerical computations, it is thus
possible to determine whether the response of the system is predominantly governed by inertia.
In the case of pressure surge calculations, pipelines with Courant numbers 1 are approxi-
mated by means of a rigid water column model. In contrast to the pure method of characteri-
stics, it is neither necessary to adjust the wave speed for these pipelines nor to dispense with the
modelling of short pipelines in favour of a practicable time step.
For the computation of weakly instationary flow processes in complex pipeline systems, the
MOC/IFD method has the following advantages compared with classical computational methods.
- Shorter computation times compared with a fully-implicit formulation (IFD):

The MOC portions serve (under certain prerequirements) to decouple the system of equations.
The dimension of the resulting partial system of equations is less than the number of system
nodes. In the case of a fully-implicit formulation, the number of unknowns is generally larger
than the number of system nodes.
- Shorter computation times compared with a fully-explicit formulation (MOC):

The Courant criterion limits the maximum permissible time step. This limitation become
more severe when the instationary boundary condition itself permits a considerably larger
time step. The latter always applies in the case of weakly instationary processes.
- Greater reliability compared with a rigid water column method (RWCM):

In the case of a rigid water column formulation, compressibility and elasticity effects are
neglected a priori. This can lead to completely erroneous results if the instationary process is
not predominantly governed by inertia.
The investigation presented here was carried out within the scope of the BMFf project "Simu-
lation of the control behaviour of district heating networks SR", Sponsorship Number
0326907C. Reference to the BocklemiindlChorweiler district heating compound network in Sec-
tion 3 was granted by kind permission of the project partner GEW Cologne AG.
671
s. References
TEXTBOOKS
1. Chaudhry,M.H., "Applied hydraulic transients", Van Nostrand Reinhold Company, 1987

2. FoxJ.A.," Transient flow in pipes, open channels and sewers", Ellis Horwood Ltd, 1989
3. Swafield,J.A. / Boldy,A.P., "Pressure surges in pipes and channels", Gower Press, 1991
4. Thorley,A.R.D, "Fluid transients in pipeline systems",D&L George Ltd, 1991
5. Wylie,E.B. / Streeter,V.L., "Fluid transients", 1983, FEB Press, Ann Arbor
PAPERS
6. Bullough,J.B.B. / Robbie,J.F., " Accuracy of numerical procedures applied to mass oscil-

lation in closed conduits", Ith Int. Conf. on Pressure Surges, 1972, Canterbury, Paper A6
7. Chaudhry.M.H. / Holloway.M.B., " Stability and accuracy of waterhammer analysis", Adv.
water resources, 1985, Vol. 8, No.9, 121-128
8. Chaudhry,M.H. / Bhallamundi,M.S., "Analysis of transients in homogeneous gas-liquid
mixtures", 6th Int. Conf. on Pressure Surges, 1989, Cambridge, Publ. BHRA, Paper 11
9. Gear,C.W., "The automatic integration of stiff ordinary differential equations", Comm. of
the ACM, 1971, Vol. 14, No.3
10. Kaps,P. / Rentrop.P, "Generalized Runge-Kutta methods of order four with stepsize control
for stiff ordinary differential equations", Numerische Mathematik, 1979, Vol.33, 55-68
11. Karney,B.W., "Energy relations in transient closed-coduit flow", J. Hydr. Engrg. ASCE,
1990, Vol. 116, No. 10, 1180-1196
12. Onizuka,K., "System dynamic approach to pipe network analyses", J. Hydr. Engrg. ASCE,
1986, Vol. 112, No 8, 728-749
13. Shimada,M., "Graph theoretical model of slow transient analysis", 1. Hydr. Engrg. ASCE,
1989, Vol. 115, No.9, 1165-1183
14. Shimada,M., "State-space analysis and control of slow transients", J. Hydr. Engrg. ASCE,
1992, Vol. ll8, No.9, 1287-1304
15. Vardy,A.E.," On the use of the method of characteristics for the solution of unsteady flows
in networks", 2nd Int. Conf. on pressure surges, 1976, London, Paper H2
16. Wiggert,D.C / Sundquist,MJ., " Fixed-grid characteristics for pipeline transients", J. Hydr.
Div. ASCE, 1977, Vol. 103, HY 12, 1403-1416
17. Wood,DJ. / Funk,J.E. / Boulos,P.F., "Pipe network transients - distributed and lumped
parameter modeling", 6th Int. Conf. on pressure surges, 1989, Cambridge, Paper Dl
18. Wylie,E.B., "Advances in the use of MOC in unsteady pipeflow", 4th Int. Conf. on
pressure surges, 1983, Bath, Publ. BHRA, Paper A3
23
MODELLING OF RAPID TRANSIENTS
A.P. BOLDY
Coventry CV 4 7AL
England
ABSTRACT. The modelling of rapid transients in an internal flow system by the method
of characteristics involves the solution of the C+ and C- characteristic equations at each
internal node in each pipe. The boundary conditions in the system are solved by the
combination of the upstream C+ characteristic, the downstream C- characteristic and
additional information defining the performance of the boundary condition.
The principle is demonstrated by developing all the necessary equations to simulate
the transient response of a reservoir-pipe-valve system due to a linear closure of the valve.
These equations are incorporated into a computer program and the results of a series of
simulations of the linear valve closure are presented.
The equations necessary to simulate the transient response of a pump, air vessel and a
turbine are also presented.
1. Introduction
The solution of the momentum and continuity equations defining transient flow by means of
the method of characteristics has been presented and also identified the necessity to provide
suitable equations to express conditions at the pipe boundaries.
Boundary equations must be defined at each pipe entry and exit and must therefore
include the treatment of pipe junctions, changes in pipe material or dimensions, defined as
passive boundaries; or interfaces with equipment such as pumps, valves or turbines, defined
as active boundaries. It is the change in conditions at a boundary that initiates the transient
to be analysed by the method of characteristics. In addition to active and passive boundary
conditions there exists a third category of boundary condition that arises as a result of the
transient propagation through the pipe network, for example the constant pressure zone
boundary invoked during the vapour pocket formation and column separation that may
occur as a result of transient propagation or reflection, or the introduction of surge relief
device boundary equations dependent upon the pressures reached.
673
674
2. Boundary Conditions
Figure 1 illustrates the condition that one C+ or C - characteristic is always available at
either pipe entry or exit. Thus an equation of the form:
Vp = K1 - K2 . Hp (1)
or
Vp =K3+K4.Hp (2)
will exist at a boundary to link known conditions at time t to unknown conditions at time
t + 6.t. Therefore a further equation, or set of equations, is needed in terms of the velocity
and piezometric pressure head at the boundary in order for the solution to proceed.
__ ________
~ ~r---------~~ ______ ____I*At
~
r
Boundary
Condition
,2
PipeJ+1
Figure 1. Boundary condition at junction of pipes J and J + 1.
It is the choice and development of the boundary equations that presents the greatest
interest and challenge in the application of the method of characteristics to the study of
unsteady flow transient problems. Normally a V = f(H), or a V or H = f(time) expression
is utilised at the boundary, however a range of other possibilities exist, for example in the
case of valve closure, the mode of closure will be important; similarly in the case of pump
shut down the speed - time relationship will need to be referred to. Boundary conditions
can therefore become complex in themselves, such as a reversible pump turbine or and air
inlet/outlet pressure surge alleviation valve.
There is extensive literature relating to the modelling of boundary conditions during
unsteady flow simulations. Some active boundary devices such as pumps and turbines
are defined by performance characteristics which are usually derived experimentally under
quasi-steady state conditions. In the absence of other information it is assumed that these
characteristics are valid during a transient flow scenario.
675
The modelling of any boundary condition involves the following steps:

1. Identification of the boundary condition.
2. Development of a suitable boundary equation to represent the physical boundary,
together with a statement of any time dependency or need for any other time related
data, ego valve closure mode.
3. Development of a solution algorithm for the combination of the C+ and C- charac-
teristic equations with the defined boundary conditions.
In most pressurised internal fluid flow situations it is possible to make the C+ and C-
characteristic lines pass through the mesh points thereby, avoiding interpolations. This
is achieved since the pressure wave speed for most commercial fluid/pipe combinations is
greater than 300m/s and the uncertainty in the absolute value is at best 5%. Therefore,
the value of the fluid velocity may be neglected in comparison with the value of the pressure
wave speed and the Courant condition may be reduced to equation (3) by taking the limit
of the inequality:
tl.t = tl.x (3)
c
In order to satisify equation (3) for each pipe in a system it is necessary to modify (up or
down) the specified data value of the pressure wave speed for each pipe. This modification
of the pressure wave speed may be contained within the uncertainty of its value by the
specification of an appropriate time interval.
3. Reservoir-Pipe-Valve System
In order to demonstrate the above philosophy of modelling rapid transient flow, a simple
hydraulic system consisting of an upstream reservoir, a single pipe and a (closing) discharge
valve will be considered. The representation of the reservoir and the valve boundary con-
dition are presented, utilising the appropriate C+ or C- characteristic, equation (1) or (2)
in terms of velocity and piezometric head. The resulting equations are incorporated in a
computer programme which may be used to demonstrate the effect of the time for a valve
closure on the transient flow in the system.
3.1. RESERVOIR
The boundary formed by a reservoir may be termed a passive boundary and can be in-
corporated into the model based on the design and layout of the system. The presence of
a constant pressure head reservoir may also be used to form an artificial termination to a
system if further upstream reflections are unlikely to return within the simulation time of
the model.
At a constant pressure reservoir, shown in Figure 2, the boundary equation is supplied by
the assumption that the pressure head at the pipe to reservoir interface remains unchanged
as the transients propagate and are reflected within the network. Referring to Figure 2:
Hp(J, 1) = HRes , (4)

hence Vp(J, 1) = K3(J, 2) + K 4(J, 2) HRe. , (5)
676
from the C- characteristic, equation (2).

The above equation neglects the velocity head loss for flow out of a reservoir and also
assume a zero separation loss at entry or exit from the reservoirs. If inclusion of these
losses is required then the equations may be modified as:
H (J 1) _ H _ (M + k)Vp(J, 1)lVp(J, 1)1 (6)

p , - Rea 2g
where M = 1 for flow out of the reservoir,

M = 0 for flow into the reservoir.
and k is the appropriate separation loss coefficient,
having two values corresponding to the flow direction
at the reservoir to/from pipe interface.
----,vt~~
Hres
EGL
J,1 - . . , - - - -_ __
J,2
Figure 2. Boundary conditions provided by a constant pressure head reservior

connected to the upstream pipe end.
Equation (6) is solved with the C- characteristic so that:
Vp(J, 1) = K3(J, 1) + K4(J, 1) (HRea _ (M + k)Vp~ 1)lVp(J, 1)1) (7)
Values ofVp(J, 1) are monitored at each time step to determine the time at which the value
of M and the loss coefficient, k, is to be changed from that corresponding to positive flow
677
out of the reservoir to that corresponding to negative flow into the reservoir. (Positive flow
defined in the increasing x direction). Note that the absolute value of Vp(J, 1) will ensure
that the pressure head loss terms change sign as the flow direction changes.
In many practical situations the calculations may be simplified by using the value of
the appropriate velocity calculated at the previous time interval for the pressure head loss
terms in equation (6).
3.2 VALVE TERMINATING A PIPELINE
The operation of a valve terminating a pipeline is one of the most common sources of
transient propagation within a network. It is therefore an active boundary condition.
EGL
\
\
J,n(J) J,n(J)+
Figure 3. Valve boundary condition at the downstream end of a pipe.
Referring to Figure 3, modelling the transient propagation from a valve terminating a

pipeline requires the solution of the available C+ characteristic with the valve discharge-
head relationship at any particular valve setting. Thus the solution requires information as
to the valve position, and hence the discharge coefficient at each time step. The necessary
equations may be expressed as:
(i) The C+ characteristic at the downstream end of pipe J connected to the valve may be
expressed as:
Vp(J, n(J) + 1) = Kl(J, n(J)) - K2(J, n(J)). Hp(J, n(J) + 1) , (8)
(ii) The discharge through the valve is given by:
Qp(J,n(J) + 1) = (CdAV)[2g(Hp - Zv)JO. 5 (9)

678
where Cd is the valve discharge coefficient

A V is the valve area
Calculation procedure
Equation (8) is expressed in terms of discharge as:
Qp(J, n(J) + 1) = B1 + B2 Hp(J, n(J) + 1) (10)
where
B1 = A(J)K1(J,n(J))
B2 = -A(J). K2(J, n(J))
From equation (9) the steady state discharge through the valve may be expressed as:
(11)
Dividing equation (9) by equation (11) and rearranging yields:
2 [Q~(J,n(J) + 1)]2. 7 2
[Qp(J,n(J) + 1)] = (Hj!,(J,n(J)+l)-Zv) .(Hp(J,n(J)+l)-Zv) (12)
where 7, the relative valve opening is given by:
(13)
Equation (12) may be written as:
[Qp(J,n(J) + 1)]2 = B3 [Hp(J,n(J) + 1) - Zv] (14)
where B3 = [Q~(J,n(J) + 1)]2. 7 2

Hj!,(J, n(J) + 1) - Zv
and substituting for Hp(J,n(J) + 1) from equation (10) yields:
[Qp(J, n(J) + 1)]2 + B4 Qp(J, n(J) + 1) + B5 = 0 (15)
where
B4 = -B3/B2
B5 = B1 B3/B2 + Zv B3
Equation (15) may be solved for the discharge by the Newton Raphson technique. The
value of 7 as a function of time must be specified either in tabular form or by an equation.
3.3 COMPUTER PROGRAM
The simple BASIC computer program included in Appendix I is based on the equations
679
presented in sections 3.1 and 3.2 and is capable of simulating the transient flow in a reservoir-
pipe-valve system caused by a linear valve closure.
3.4 SIMULATIONS OF VALVE CLOSURE

In order to demonstate the results produced by the BASIC computer program the following
parameters of a reservoir-pipe-valve system are specified:
Pipe length 500.0 m
Pipe diameter 0.25 m
Pipe angle 0.0
Wave speed 1000.0 m/s
Initial fluid velocity 1.0 m/s
These values are selected so that the pipe period equals one second and the Joukowski
pressure head is 100m. Figure 4 shows the pressure head - time plots at various points
along the pipe for a range of linear valve closure times.
4. Other typical active boundary devices

In order to simulate the transient flow in complex pipe networks it is necessary to devise
algorithms for the time dependent solution of all the concievable active and passive bound-
ary conditions. A few of the more complex active boundary conditions are discussed here.
4.1 PUMP START-UP OR TRIPPING.

The starting or stopping of pumps is one of the most common boundary conditions which
generates transients in a network and under such conditions the pump is termed an active
boundary. During normal start-up and shut-down transient flows are propagated through
the network, and must be regarded as normal occurrences. Transients caused by emer-
gency pump operation, such as sudden power failure to the pump motor, are usually very
severe and their effects on the network should be investigated during the design phase.
Power failure initiates a reduction in the pump speed since the inertia of the pump/motor
combination is usually small compared to the inertia of the fluid in the network. Therefore
the pump discharge decreases rapidly causing negative transient pressure waves to travel
downstream into the pump discharge pipe network, and positive transient pressure waves
to travel upstream in the pump suction pipe. It is mormal practice to install a non-slam
check valve (in addition to the isolating valve) on the discharge, which usually prevents any
reverse flow through the pump.
If there is no check valve, the flow through the pump reverses followed by a reversal of
the pump speed, at which time the pump is operating as a turbine. Pump performance
characteristics covering the zones of normal pumping, energy dissipation (positive speed,
negative flow) and turbining are required to simulate the transient response of the pump
under such circumstances. A detailed discussion of all the possible zones of operation is
presented by Chaudhry (1987).
In the general case of a pump located between two pipes, J and J + 1, the characteristic
equations and pump performance characteristic data may be expressed as:
680
(i) The C+ characteristic at the downstream end of pipe J:
Vp(J, n(J) + 1) = Kl(J, n(J)) - K2(J, n(J)) . Hp(J, n(J) + 1) . (16)
(ii) The C- characteristic at the upstream end of pipe J + 1:

Vp( J + 1,1) = K3( J + 1,2) + K 4( J + 1,2) . Hp( J + 1,1) . (17)
(iii) Continuity of discharge at any time. Assuming the pump boundary consists of np
identical pumps operating in parallel, each discharging a flow of Qp, then:
Vp(J,n(J) + 1) A(J) = np Qp = Vp(J + 1,1) A(J + 1). (18)
(iv) The head Hp across the pump is defined as the change in total energy and therefore
must include both the piezometric head and the velocity head:
Hp = Hp(J + 1,1) - Hp(J, n(J) + 1) + tJ.V Ht+At (19)
where LlVH t+At = 2~ (Vt+At(J + 1,1)2 - vt+At(J,n(J) + 1)2)

(v) Pump performance characteristics.
The method of representing the pump performance characteristics is based on that pro-
posed by Marchal, Flesch and Suter (1965) and commonly refered to as the Suter Method.
The prototype pump characteristics are obtained from model test data using homologous
relationships, which in turn, enable the characteristics to be transformed into the following
non-dimensional forms:
0
h
2 + v2
as a function of tan -1 ;- (0) = (J , (20)
(3
02 + v 2
as a function of tan- 1 =
(;) (J. (21)
0=- (3 =-,
N T
where h=~
HR
v= !L TR
QR NR
and subscript R refers to a reference point on the pump characteristic. Figure 5 shows an
example of a pump performance characteristic, for all possible zones of operation, presented
in a form based on the Suter Method. These curves may be stored in a data bank as a series
of points such that linear interpolation is appropriate between adjacent points. Values of
op, v p , h p , and (3p at the end of the time interval are required and the relevant section of
the pump performance characteristic is obtained as follows:
Extrapolate values of 0 and v calculated at previous time intervals to obtain estimated

values Oe and Ve. Both 0
and v undergo a smooth change during any transient
flow, unlike h, and therefore Oe
and Ve are very close approximations for op and vp.
Calculate (Je from:
(J e = tan -1 (Oe)
-;;;.
681
Key
H .. head,
N- speed,
Q .. discharge,
T .. torque
d.z. = 'dissipation zone' m E IV
o 2 6
9=can- 1 a./u 9=ft+tan- 1(a.1u

2J.------~~~~----------~----~~~-,~"--------1
-
" :0
..+
-hI(a~):
- - - Ma3+u3):
Cl --".,~,~----~----~
iii .................
-
0
" :0
+
} -1
-2
C B A H G F E 0
pump normal turbine : turbine
turbining: pumping pumping
H<O
, ,
:energy : energy, H>O:
H>O 11>0
rewne energy
Q>O , d.z. Q>O flow
Q<O Q>O, d.z.
N>O d.z. '
H<O N>O 11>0 N<O 11>0: N<O: H<O
T<O T>O T>O T<O, Q>O
Q>O Q<O Q<O :
N>O N>O N<O , N<O
T>O T>O T<O I T<O
,
~: rcl2 rc ~ 3rc12 h=O
h.()
Figure 5. Representation of pump performance characteristics

in a form based on the Suter Method.
682
Determining the stored data points (from the specified data bank) on either side of
8e and the corresponding values of:
h
and
a2 + v2 a 2 + v2
The coefficients for the straight line passing through these points may then be calcu-
lated and assuming that the operating point corresponding to the required values of
a p, vp, hp and f3p lie on these lines then:
hp
a 2p + v p2
= at + a2 . tan - t (a vpp ) (22)
f3p
2
a 2p +v p
= a3 + a4 . tan - t (a vpp ) (23)
6. Differential equation for the rotating masses. During the transient flow the out-of-
balance torque, T, on the pump is related to the moment of inertia I K gm 2 of the rotating
masses (impeller, motor, water) and the deceleration dw/dt by:
T = _I dw = _I 27r dN . (24)
dt 60 dt
Calculation proceedure:
The objective is to determine a p and vp.

The moment of inertia of the rotating masses is usually expressed as:
GD 2 (N.m 2 ) = 4g1 .
Since 13 =: and a =~,
TR NR
GD2 27r NRda .
R __ _
equation (24) becomes I-' (25)
4g 60 TR dt
Since the value of tlt used in the computer simulation of the transient flow is very
short (usually less than 0.18), an average value for 13 may be assumed. Also a first order
approximation for the deceleration is appropriate, therefore equation (25) becomes:
_ (13 + f3p) 4g60TR = a p - a
2 GD 2 27rNR tlt
or a p + Xlf3p = X2 , (26)
where Xl = 609~Rtlt
and X2 = a - f3Xl .
GD 7rNR
The C+ and C- characteristic equations (16) and (17) are expressed in terms of dis-
charge as follows:
Qp(J,n(J) + 1) = X3+X4Hp(J,n(J) + 1) (27)
Qp(J+l,l) = X5+X6Hp(J+l,1) (28)
683
where
X3 = A(J) K1(J, n(J

X4 = -A(J) K2(J,n(J
X5 = A(J + 1) K3(J + 1,2)
X6 = A(J+1).K4(J+1,2).
Multiplying equations (27) and (28) by X6 and X4 repectively, subtracting, and combining
with equations (18) and (19) yields:
npQp(X4 - X6) = (X4. X5 - X3 X6) + X6 X 4(Hp - ilV Ht+~t) . (29)
In order to simplify the calculations the value of the velocity head difference at time
t may be used instead of the unknown value at time t + ilt. Therefore equation (29) is
expressed as:
X7 Qp = X8 + X9 . Hp (30)
where
X7 np(X4 - X6)
X8 = X4 X5 - X3 X6 - X9 ilV Ht
X9 X6X4.
Substituting the unknown non-dimensional ratios vp and hp into equation (30) produces
the following expression for hp:
hp = X10 vp + Xl1 (31)
where X10 = X7 QR and Xl1 X8

X9HR = - X9HR
Combining equations (31) and (32) results in the following relationship between the two
unknowns a p and vp:
It = a1 (a; + v;) + a2 (a; + v;) tan -1 ( ; ; ) - X 10 . vp - X 11 = 0 . (32)
Combining equations (26) and (23) results in a second relationship for the two unknowns:
h = a3 (a; + v;) + a4 (a; + v;) tan -1 ( : ; ) + ;; - ~~ = 0 . (33)
Equations (32) and (33) form a pair of nonlinear equations in the two unknowns a p
and vp, and are solved using an iterative Newton-Raphson technique. If ap(l) and vp(l)
represent the initial estimates for a p and vp which satisfy equations (32) and (33), then
better estimates are given by:
a p(2) = ap(l) + flap (34)

vp(2) = vp(l) + flvp (35)
684
where
(36)
and
(37)
oft 012 oft 012
OVp . oOp - oOp . oVp
In the above equations the value of the functions ft and 12, and their derivatives, are
evaluated using op(l) and vp(l). The required differentiations of ft and 12 are:
-o [tan -1 (op)]
- = -- vp - and - 0 [ tan -1 (op)]
- = -V p
+ o~
--=--"-...".
oOp vp v~ + o~ oVp vp v~
therefore
oft
oOp
= 2a1op + a2vp + 2a2op tan- 1 ( : ; ) ,
oft
oVp
2a1vp - a20p + 2a2vptan-1 (:;) - X10 ,
012
oOp
2a30p + a4 v p + 2a4op tan- 1 ( : ; ) + ;1 '
012
oVp
= 2a3vp - a40p + 2a4vptan-1 (:;) .
Convergence of the solution

The required value of the unknowns op and vp are obtained from equations (34) and (35)
if:
(38)
where E is set at some small value (0.001 say). If either ofthe inequalities stated in equation
(38) are not satisfied then:
the coefficients at, a2, a3 and a4 of equations (22) and (23) are re-established, and the
calculation procedure repeated until the required convergence of the solution is achieved.
685
The value of all the remaining unknowns are obtained by appropriate substitution in the
above equations:
from equation (22) hp = (0; + v;) (a l + a2tan-1 (~:)) ,
from equation (23) {3p = (0; + v;) (a3+ a4 tan- l (~:)) ,

by definition = vp QR and Np = op N R ,
Qp
from equation (18) Qp(J,n(J) + 1) = Qp(J + 1,1) = np Qp,
V (J (J)+l)= Qp(J,n(J) + 1) and V (J+ll)= Vp(J+l,l)
therefore p ,n A( J) p, A( J + 1) .
hence, from equation (27) H p( J, n( J) + 1) = Q p( J, n( 1: 1) - X3 ,
and from equation (28) H (J

p,
+ 1 1) = Qp(J + 1,1) - X5
X6
No suction pipe
In some pumping installations the suction pipe is either absent or short enough to be
neglected. In such cases the above calculation procedure can still be used by modifying the
parameters X7, X8, and X9 as follows:
The water elevation in the suction reservoir is assumed to remain constant during the
transient flow, therefore
Hp(J,n(J) + 1) in equation (19) is replaced by Haue = constant

and substituting for Hp(J + 1,1) from equation (28) yields equation (30) where:
X7 np
X8 = X5 + X6 (Haue - ~V Ht)
X9 X6.
4.2 AIR VESSEL.
The most common use of an air vessel is as a pressure surge control device to limit the
minimum transient pressure head in a pipeline system downstream of a pump during the
transient flow following a pump trip due to a power failure.
For the general case of an air vessel located at the junction of two pipes, J and J + 1,
the equations for this active boundary condition may be expressed as:
(i) The C+ characteristic at the downstream end of pipe J
Vp(J,n(J) + 1) = Kl(J,n(J)) - K2(J,n(J)). Hp(J,n(J) + 1) (39)

686
(i) The C- characteristic at the upstream end of pipe J +1

Vp(J + 1,1) = K3(J + 1,2) + K4(J + 1,2). Hp(J + 1,1) (40)
(iii) Continuity of discharge at any time
Qp(J,n(J) + 1) = Qp(J + 1,1) + Q~+VAt (41)
where Q~Vt is the discharge INTO the air vessel at the end of the time interval.
(iv) The air volume inside the air vessel is assumed to satisfy the polytropic gas law ex-
pressed as
(42)
where, at time t + 6t, H D is the piezometric pressure head of the air inside the vessel, Zw
is the water elevation, and Hb is the barometric pressure head.
(v) The head at the junction and the head loss across the orifice entry/exit of the air vessel
may be expressed as
k QHAtl Qt+At I
Hp(J, n(J) + 1) = Hp(J + 1,1) = HgAt + AV 2 AV (43)
2g AR
where k is the entry/exit orifice head loss coefficient, a function of the flow direction, and
specified as data.
(vi) The change in the air volume during the time interval is given by
hAirvoZ At = AirvoZ t - AirvoZ HAt = 0.5 6t( Q~V't + Q~v) (44)

(vii) The elevation of the water surface in the air vessel is given by
Zt+At _ zt 8Airvoi At
w - w+ AAV (45)
Solution procedure
The C+ and C- characteristic equations are expressed in terms of discharge as follows
Qp(J,n(J) + 1) = X3-X4Hp(J,n(J)+1) (46)

Qp(J + 1,1) X5 + X6 Hp(J + 1,1) (47)
where
X3 = A(J)K1(J,n(J))
X4 = A(J) K2(J, n(J))
X5 = + 1) K3(J + 1,2)
A(J
X6 = A(J + 1). K4(J + 1,2)
Substituting equations (46) and (47) into the continuity equation (41) yields
Hp(J + 1,1) = Y3 + Y4 Q~V't (48)

687
where
Y3 = (X5 - X3)/(X4 - X6)

Y4 1/(X4-X6)
and
Hp(J, n(J) + 1) = Hp(J + 1,1)
Substituting equation (48) into equation (43) yields
k Qt+~t IQt+~tl
Ht+~t = Y3 + Y4. Qt+~t _ AV AV (49)
D AV 2g Ah
Substituting equations (49), (44) and (45) into equation (42) yields the following expression
for QAV at time t + llt
where
Y5 Y3 - Zw - 0.511t Q~v/AAV + Hb
Y6 Y 4 - 0.511t/ AAV
Y7 = -0.5k/(gAh)
Y8 = Airvol t - 0.511t Q~v
Y9 = -0.511t
Equation (50) is solved for the unknown Q~+v~t using the Newton-Raphson technique which
is stable since a very good estimate may be obtained by extrapolating values calculated at
previous time intervals.
The calculated value of Q~+v~t is then sustituted into the relevant equations in order to
calculate the remaining time-dependent variables for the air vessel boundary condition.
4.3 HYDRAULIC TURBINE

The boundary condition for a hydraulic turbine is similar to that of a pump but the following
factors complicate the simulation:
In addition to the four quantities of dynamic head H, discharge Q, torque T and speed
N defining a pump characteristic, an additional parameter has to be introduced for
any turbine in order to define the position ao ofthe guide vanes (wicket gates). For a
Kaplan turbine the blade angle 130 must also be taken into account. For a reversible
pump-turbine the performance characteristics cover the four quadrants obtained by
the combinations of Q and N .
In some installations the pressure rise upstream of the turbine generated during a
load rejection is controlled by opening a relief valve connected to the spiral casing at
the same time as the guide vanes are closed. The discharge characteristics of the relief
688
valve must be incorporated in the boundary condition and the continuity equation
becomes:
Qp(J, n(J) + 1) - Qrv = Qt = Qp(J + 1,1) (51)
where Qrv is the relief valve discharge and Qt the turbine discharge .
If the turbine is not connected to a large electrical network, the turbine speed will
not remain at the sychronous speed during a load change. The differential equations
describing the control function of the turbine governor (hence the movement of the
guide vanes) must be incorporated, introducing a number of additional variables.
A complete description of the method of solution for a hydraulic turbine boundary

condition is outside the intended scope of this presentation. Detailed information may be
obtained from the following references Boldy (1976, 1983, 1989), Pejovic (1989), Chaudhry
(1987), Martin (1989). The performance characteristics of a reversible pump-turbine are
discussed below, defining the additional parameters which must be considered.
Pump-turbine performance chamcteristics.
For the purpose of transient simulations the performance characteristics are usually repre-
sented by two sets of four-quadrant curves which define:
1. the variation of unit discharge Qn with unit speed nn,
2. the variation of unit torque Tn with unit speed,
both for the range of guide vane openings ao. Figure 6 shows a typical set of such perfor-
mance characteristics. The unit parameters are defined by:
ND
Unit speed nn = VIi
(52)
Qt
Unit discharge Qn = D2VIi
(53)
T
Unit torque Tn = D3H (54)
where: N is the turbine speed (rpm)

D is the turbine runner diameter (m)
H is the net head across the turbine (m)
Qtis the turbine discharge (m 3 s- 1 )
T is the torque on the turbine (Nm)
The turbine performance characteristics provide two relationships which can be ex-
pressed as:
Qn = 4>d n n,ao) (55)

Tn = 4>2(nn,aO), (56)
689
0.8
0.6
0.4
a... 0.2
;'
~ 0.0 ---------
~
'2
~.2
,/
...- Guide _1IIgio (dcgRJes)
;:J ,/
--32 16--
~.4 / .'
/ --28 12-----
--24 8---
~.6
.. -----20 4--
~.8
cIosed- - --
-1.0
-100 -80 -60 -40 -20 0 20 40 60 80
Unit speed n11
250
200
~
u
=
e-
150
100
50 ---- ....... _.........
--<-'..~.,l
/~~\_
. "\
---'::',,'\\\:
~ 0.0 c - __~~ _ _ ~~~~
'2 -I. ". -_

;:J -50 Guide vane angle (degrees) : - _~--- ____
-100 --32 16--
--28 12 -----
-ISO ---24 8---
-------20 4 __
-200 cIosed----
-250
-100 -80 -60 -40 -20 0 20 40 60 80 100
Unit speed n11
Figure 6. Four-quadrant performance characteristics

of reversible pump-turbine.
690
but has also introduced three new variables in the turbine speed N, torque T, and guide
vane position ao. Therefore two more relationships are required in order to solve the
turbine boundary condition. Equation (24), relating the torque to the deceleration of a
pump, applies to a turbine and can be expressed as:
(57)
and the final relationship, defining the guide vane closure as a function of time, is usually
specified as data:
(58)
Therefore the turbine boundary provides five relationships, equations (51), (55), (56),
(57) and (58), which together with the C+ and C- characteristic equations provide seven
equations allowing the following seven unknowns to be determined:
Vp(J, n(J) + 1) and Hp(J, n(J) + 1)

Vp(J + 1,1) and Hp(J + 1,1)
Turbine speed, N,
Turbine torque, T,
Guide vane position, ao.
691
APPENDIX I
BASIC computer program: Simulation of transient response of a
reservoir-pipe -valve system due to a linear valve closure.
I.O~ ~(t-)
I ~.
O.L----""'il---~t
"Al.tI~
: DIN YUOI,H(40I,VI(40),HI(40)
5 PRINT ' ' ' f f P"nu. Sur,. Pr., ....... :PRINT
10 PP.INT' Oih In,d':PRINT
:0 C.,
PRINT' Pi,. L.. ,tb = 'j
40 INPUT l :PRlNT
~o PRINT' PiPi Oialilft I.) = 'j
.0 111M D:PRINT
'Q PP.INT ' Pi,. An,1I (ridin" , 'j
10 INPUT ":PRINT
"Q PP.INT WiY lti (.Isl = 'j
:')0 INPUT C:PRINT
:10 PRINT' frich.n fiCI" ' .;
::0 INPUT F:PRINT
::0 PRINT' Inihil Oischu,. (""es) = ';
1~0 INPIJT OO:PRINT
i ~O PRINT' HII Inlftnl (I) = j
i 60 INPUT AI: PRINT
liO PRINT' Till LI.il (\) = ':
:ao INPUT AlIPRINT
110 PPINT' Willr L... I ( ,.1 t v.lvOi , ';
:00 INPUT RlPRlNT
210 PRINT' Vii .. CI.ntl fi .. IS) = ';
::0 INPUT T3:PRINT
230 OPEN SURGE ,RST' FOR OUTPUT AS 8
240 OPEN sa.GP FOR OUTPUT AS 9
:~O PRINT 9,'"'' 'rOSSltl Sur!, R.ulh .... :PtlNT 8,:PRINT 8,
260 PP.INT (Q,' O.t.' T
U.
:\5 PRINT (8,' ==.. .PJINT 8,
270 [m[.! 7f--..J.~"'1 dJ:...
'4 .... ~
SII'., "r~ ~ ~ -f..k
S"~. ",. == ~ ~t f.:.4
692
,30 PRINT (S.' !lIDI lfn9tft (I) = ",

:,5 PRINT (8, ~SING lI;l
:'0 P~INT (8,' Piu Oiilun II' = ':
:'5 P~INT (8, USING 11:0
:)0 PPINT 3.' Piot ~n~lt I radun" = "
;05 PRINT 8, USING II;"
:10 PPINT (8,' w.v. SOtU III" = ';
:15 PPINT 3, USING lI;t
::0 PPINT 8,' Friello. factor = "
::5 PPINT (8. llSING lI;f
::'1 P~INT (3,' Inltl.1 OlS'h.r~' tt'ltell = '.
::5 PPINT 8, USING lIiQO
;~O PPINT (8.' Tilt Inhrv.l (II = "
:JS PPINT (8, 'JSING II;~I
::0 P~INT (a,' Ti .. LlIIt (I) = "
:~5 PPINT 8, USING II:A2
:OOP1.INT(8,' W.hrLfV.I( ,.j.,.) = 'j
:;5 PPINT (8, USING lIiP.
:70 PRINT (8,' 'I. Iv. (lolUr! Ii III =':
:75 PRINT (3, USING II:T3
J\O H" .... 1"ltuI Condition ......
1,0 P(=4tATNIII s _l-
1:0 &=~.~07 At: .. ~
.,
440 NI=INTIl/IJ,I'C)tO.S\
J~O (=If(l,ltNII
JoO VO=4.0.QO/IP('OfO)
J30 HO=ftlfYOfVO/(2.0'NlfGtO\
J'10 H(NI'II=~-ry.5'YOtVO/G
~)O V(~I+II=VO
jlO fOP. !=! TO NI
510 V([ I=VO
530 H(NI'I-II=~(Nhll-l'HO
:,0 NElT !
j50 81=oOt90/H( II
j55 T="'O
':,0 H~ tff+ hd inItial Cancutun, tffff
:70 RE~ tUf Hint Inltul con41tlon'i I ..
~iO pmT [l,:PIINT (8,
:'11) PI!::: P~::Q.2St(Nhll: P!S:O~5l(Nl+t): PU:Nl: ?51=N1tt
':".10 P9tNT 8.' Til! Pf"Usurl Mud (I) at Nodt-
\0 PRINT (8.' 'I) I "artor I,d ~ N'I'
,20 PI=' :.(( ((.[ (m[ U[[ (m[ [((.r('
,,0 PPlNT (" [ISING PI;T.H(PUI,H(pm.H(Plt\.H(P4ll,H(PStl
,40 PPINT p, USING PI.T,H(PII\,H(P211.H(Pltl.H(Pdll.H(P511
'50 PPINT llSING PI:T,H(PUl,H(P211.HIPlII.H(P41).H(P511
693
~ ~ ~At
ilO REN ftft 1'"slInl Cdculillans .....
7:0 T.T+II -r-~'t ~ ~ ~
740 If 1<=A2 THEN 780
750 PRINT' Tilt lui! Ruchtd. Enltr Nt. Ulit
;,0 INPUT IZ
no If P=12 THEN 1400
'so REN ... InlorlOr P,uts ff.
710 fOR I=2 TO NS
SOO U=VCI' I)
820 A-Fto,S'U'A8SIUJtIllD
830 A=U'GflH( I'II-U'SIN(N)'!I )/C-I
8dO U.V(( -I )
860 B=f.O,S'UtABSIUltAI/D
~70 B-U'6f1U'SININ1UI-HI l-I) )/C-8
B80 V!(1)=O.SI(A'8)
890 HlCll:0.S'CI(A-81/G
~OO MElT I
'10 REN 1ft R.If .."r &0 .. 01 .. fflf

'1,0 HI (Ht+l I=R-O. SI( I 'SGH(V(N1+!)) )fV<M1+1 \IV(NS'! \I0.S/6
'10 U=YINS 1
;~o 8=0.SlffllU8S(U\IAI/D
';0 B:IJ'G'WfSIN(N)fAI-HIMS I) IC-B
170 VI<HSfII-8'6'HlCNSf! )/C
'gO RE" ft. V.I .. eounu .......
,~ U-V(Z)
1010 A=Ftl.0IUtA8SIUltAI/D
1n 20 l=ll'GflHC2)-UfSIN(NIUII/C-1
1,'10 S=O.;~IPIOtD
t'40 81=StA
1050 82=-S+GlC
1160 If T'=T3 THEN 1090
10701h!.<l-l/r;
:')30 GOIO lieD
l')~O 92=0.0
1m GOIO 1110
11 00 83=8~tlqtlq
1110 84--~JIB2
11"08S=81f8l/BZ
! 1;0 92=0.511 -8d+SUR( 84184-4 -Ot85))
1140 YIIlI=Q2IS
:::0 HIIII=<02-811182
1100 PEN ftt 1.I,dll, H anQ V Itltff
1170 fOR 1=1 10 HSf!
! 180 VI I )=~I (I) ,,~ ~ ~ ~ V !)l.; q,..J. '! 1.1:
1190 H( I)=HIII)
1,00 MElT I ~ 'I'~ ~ crJ ,~.11:
1:10 ~E1f fff Prut out :-enltt tff
1,20 PRINT [g, USING PI:T,H(PIS),H(PZS),H(P3Sl.H(P4S),HfPSt)
l,lO PRINI (', US[NG PI:T.H(PUI,H(P2!l.HIP3S1,H(PUl.H(P5S)
1240 PRINT US[NG PI:l,H(P!S\,H(P1Sl,H(P311,H(pm,H(P5!1
I:IQ GOIO 730
! ~OO Cl OSE il
:l10 ClOSE ['
: J20 END
694
F = 0.0; T3 = 0.1 6.
, '-----:-------+----,---...,
:::0 0
F = 0.4; T3 = 0.1 6.
:0 00" - - - - - ; - - - - - : - - : - - , - - -. . .- - , . . . ,
Figure 4. Pressure head - time variations at various nodes in a pipe

upstream of a linear closing valve. T3 is the valve closure time.
695
lilt. ".IM
."r-------------~~----~----~
..........;....................:...................i_ ........... _._.l.... ____ ._
..........! ' j { _
j..... T\"
.. . . .
:. . I . \
......... .............. -.......... ._ ..........
. . i.:.: . :. . .i
~,o ................,.... .
F = 0.0; T3 = 0.25 s.
TlM.I'
..f.......... .. .. ........ ..........................."....................,.................. ~
/'\ A . . /~
\ ~~ ....\... !
\/ '\ /
'v..............v .
F = 0.0; T3 = 0.50 s.
r\ \ ,
\ ....... .. . ..
u::
..... .
tl:.
u. . 'Jj
................ .
~,l . 1
,...,j,--~----,-----,- ,;00,,'------;-----~---:r----.,:-----

696
' .. f .... ......:.... ............: .. ................:................... ~ ...................-l
z5"\ . . n
. . .
. . . .............. ~.
:: ......
"d:'\;
F = 0.0; T3 = 0.75 s .
...
::OOo~---i---..,;..--....,.--......---J
\. . . . . . . . . . L"\. . . . . . . . . . . . . .
"'-..l . . '\.J
:!OOol---;---..,,----.---""7"----J
F = 0.0; T3 = 1.00 s.
\. . .. . .;f\j
" - ,-
. . . . . ..'. . . . . . . . .
---.,- .... _ ... --,
-, ...... ---." ..
-,-, ..... -.--".
:.;OO",!---;---""---"""'--""7"--....,J ;:oool---.,....-----...,..--~--_!

697
.. Of.............,.................,...................j
::!OOoi---;:---::,---,----:----i
F = 0.0; T3 = 1.25 s.
:::OOol----,,.---,--.....,,.----:----i :::oooi---..---:----r---:---!

24
VERIFICATION OF RAPID TRANSIENTS MODELS
A.P. BOLDY
Coventry CV 4 7AL
England
ABSTRACT. The results of rapid transient simulations may be verified by a combination

of the following methods which are discussed in detail:
the ability to reproduce theoretical results,
comparison with reliable laboratory and/or site measurements,
the ability to maintain steady state conditions.
1. Introduction
The validation of computer predicted results of pressure surges in complex systems is a

question that is always raised particularly with reference to recent standards regarding
quality assurance. Extensive alpha and beta testing of software is obviously essential but it
is practically impossible to quarantee that any computer program is bug free. Therefore, it
is essential that the person using rapid transient simulation programs has sufficient under-
standing of hydraulic transient principles to check that the simulation results are viable.
2. Simulation of theoretical results

Any pressure surge computer program should be able to reproduce theoretical results. For
example in the reservoir-pipe-valve system presented in the previous lecture, a valve closure
in a time less than the pipe period (2L/e), generates the theoretical Joukowski pressure
head (eVo/g) upstream of the valve, as shown by the sequence of simulations presented in
Figure 4 (Modelling of Rapid Transients).
In the absence of pressure surge control, the full Joukowski pressure head drop is usually
developed in a long (> 3Km) pipeline downstream of a pump following a pump trip due
to power failure unless the pressure drops to vapour pressure first.
699
M. H. Chaudhry and L. W. Mays (eds.). Computer Modeling of Free-Surface and Pressurized Flows, 699-707.
700
3. Simulation of measured results

In principle this is the best means of validating the results of a computer simulation pro-
gram. In practice there are a number of factors to be taken into consideration, such as:
the accuracy of the measured results of the transient event,
the accurate recording of the steady state conditions prior to the transient event so
that the simulation is based on the same conditions.
As part of the detailed design phase of the Dinorwig pump storage hydroelectric scheme
probably hundreds of computer simulations of the transient response of the hydraulic sys-
tem due to the various operational scenarios were performed. The computer program used
for this investigation was validated as far as possible against site recordings taken at Foyers
pump storage hydroelectric scheme during commisioning, as shown in Figure 1. The accu-
racy of these site recordings is impossible to quantify since detailed notes of the test are
not available.
During the commissioning of the Dinorwig pump storage hydroelectric plant several
load rejection test were performed and recorded in sufficient detail to enable subsequent
comparative computer simulations to be made. Figure 2 shows the results of one such
comparison for the load rejection of one turbine from approximately 201MW.
4. Simulation of steady state

By definition a computer program designed to simulate the transient flow in any system
must be capable of maintaining steady state conditions. Therefore, an appropriate method
of validating a program is to simulate the unsteady flow of a system from a steady state
condition, through the transient event and back to the original steady state conditions.
This is demonstrated by the following case studies.
4.1 HYDROELECTRIC TURBINE: BROADSIDE TREATMENT WORKS

Figure 3 shows the schematic layout of the proposed hydroelectric turbine and valve ar-
rangements upstream of the Broadside water treatment works. The following sequence of
events designed to divert the steady state flow of 1.3m 3 / s through the turbine without any
transient increase in the total discharge to the treatment works.
1. Initial steady state conditions: Valve V3 closed and the turbine stationary with the
blades at the minimum setting of 2. Valve VI closed. Valves V2 and FV2 open to
pass the maximum allowable flow of 1.3m3 / s to the treatment works.
2. Valve operations: Valve V2 closes 100-0% in 120 seconds. After 60 seconds valve V3
opens 0-100% in 75 seconds.
3. Turbine operation: The turbine blades are fixed at position 2 until the turbine speed
reaches synchronous speed; the blades then open to the required setting in 120 seconds.
4. Final steady state conditions: Valves VI and V2 closed. Valve V3 open and the
turbine passing 1.3m 3 / s to the treatment works.
701
Figure 4 shows the valve movements together with the transient flow through the valves
and the total discharge to the treatment works which starts and finishes at the specified
1.3m 3 / s. Figure 5 shows the time-dependent variation in static pressure head which start
and finish at the same values.
4.2 FIRE MAINS.

Figure 6 shows the schematic layout of a proposed pipe network for a fire fighting system.
Under steady state condition, with no hydrant discharge, a pressure of approximately 12
bar is maintained in the system by small jockey pumps. In the event of a fire two main
electric duty pumps supply the design maximum flow of 6301/ s to any of the hydrant points.
The following sequence of events are typical of the simulations undertaken:
1. Initial steady state conditions: Two main electrical duty pumps delivering a steady
discharge of 6301/ s to the hydrant point at node 28.
2. Transient conditions: Simultaneous trip of both electric pumps due to a power failure.
The diesel stand-by pump starts approximately 7 seconds after the trip. An air
vessel at the pump station cushions the transient flow in the system during the pump
changeover.
3. Final steady state conditions: The single diesel pump delivering a steady discharge
of 6301/ s to the hydrant point at node 28.
Figure 7 shows the time dependent discharge of the two electrical pumps and the single
diesel pump. Following the simultaneous trip of the two electrical pumps the pump check
valves close very quickly due to the presence of the air vessel. The air vessel maintains a
discharge into the system, as shown in Figure 8, until the diesel pump starts approximately
7 seconds after the electrical pumps trip. The air vessel limits the drop in static pressure
head downstream of the pumps, as shown in Figure 9, during the time interval before the
diesel pump starts.
The start-up of the diesel pump causes the pump discharge to overshoot the steady state
value, as shown in Figure 7, due to the transient drop in static pressure downstream of the
pump (see Figure 9). As the static pressure head downstream of the recovers the discharge
through the diesel pump decreases and eventually settles down to a value corresponding to
the original steady state discharge, as shown in Figure 7.
Figure 10 shows that time dependent discharge at the hydrant point at node K3, starts
and finishes at the steady state discharge of 630 lis.
702
- - Site recorolng
Speeo - - - - calculatea
30
.
-g 250
<:
~200
III
30
15
2
0
>
" 1
,
Time elaps8(!: s
1~ 1b
Figure I(a). Foyers power station: Predicted and recorded results

for a full load rejection of 150MW.
- - S,le recoro,ng
- - - - Calculateo
31
20r
~ I
:.:l I
10~
J -~--t-~o----''''O~::::;2==_;::--
0);-'
Figure I( b). Foyers power station: Predicted and recorded results

for a pump trip.
703
700
Q
o
e
..
;;
i600
1i
l
500
600r
!560~
~ I
;; 5201"
~ 't --=-----.------
20
I
~~O------;-----~------~O------~------'O~-----'~<
rim. ,
Figure 2. Dinorwig power station: Predicted and recorded results

for a load rejection of one turbine from 201MW.
/ Pipeline
T
FYI VI
700 mm Pipeline
V3
---1 Turbine
i W
FV2 V2
'"
/ /
v
24" Pipeline 40" Pipeline

I
Figure 3. Broadside Hydroelectric Project.
Schematic layout of the turbine and valves.
704
I~ r---------------~--------------T_--------------~------------~
......
i
~
u
~
~
Q O~ r-~~--~----~_~------------~------~~----+_------------~
~-------L-- __ __ __________ ____________

~ ~ ~ ~~ ____________..l 0
lOll :100 000
Tunc (8)
Time dependent variation of discharge and valve position.
~ r---------------~r_--------------~----------------_r----------------~
15
~--------------~~~~----------_+----------------~----------------4
10
UpIlmamO(
'3 15
:t
20 ~----7r--~--~------.----.-_+----------~~~==~~~~~
\
TUIbina iDieI
15 ~--~------~--~I----------------_+----------------~----~~~~~~
10
I
100 200 100 400
Time (s)

Time dependent variation of static pressure head.
705
83
Hydrant Nodes
Pump
Station
11 27
54 12
30
14
32
16
18
20
60
25
Figure 6. Schematic layout of the pipe network for a fire fighting system.
706
"'" ""-
0
~ f>;-!pwDl
--~
en
0 .
~
~=
j~ 0.4
EIecIric
is
i
pump
o.1
0
10 10 30 .. 50 10 10 00 100 110
Time (s)
Figure 7. Fire fighting system.

Time dependent variation of pump discharge.
/1 r---~--~----r---~--~--~--~----~---r--~--~ /
"
\ I / Ak!Olume
~--~~~--~----~--~---+--~----+---~--~----4
\ \
I I~ I I I I I O~
! : I \\~
~ Il ~~++4-~--~----+---~---+--~----+---~---4--~
ri/ I \ ~ I
I
T~~ I
" "Iw"'! ~~~~ I I I I

10 ~-------7--~L-~~~~--~
I __~~__~__~__~~~
,___~!-,--I~I.. ~I_I~I
.. -,--I---L---.L..1---l./
10 20 )0 10 10 00 100 110
Time (s)
Time dependent variation of air volume and discharge into air vessel.
707
150
100
~i-/ ---- ----
'~\/
'---Dieoetipump
~
.\0
10 20 50 60 10 ao 90 100 110
Tune (s)

Time dependent variation of static pressure head at the pump discharge.
J-
I
I
I
I 1
I I I I
~: I , \
V
I
0.6
I
! ~ I I I I I I
!
I
I Vl I I I I \
I I I
i
I
i I \
II I I I \
1
,
I
I I I
I
0.2
! ;
I \
I I
0.1
! I I I I I
I
I i I ! !
II I Ii II I
i ! I
10 '0 30 50 60 70 100 110
Time (8)

Time dependent variation of discharge at hydrant node 25.
25
MODELING OF COMPLEX CLOSED CONDUIT SYSTEMS
THE CASE OF COOLING WATER SYSTEMS
A. BETAMIO DE ALMEIDA and E. KOELLE

Technical University of Lisbon (portugal) and Sao Paulo University (Brazil)
ABSTRACT. The experience gained with general computer models of pipe networks, and
other complex closed conduit systems, has modified the role of modeling in hydraulic
engineering pratice. In fact, the computer modeling based on nodes and general elements has
changed the focus of modeling efforts from specific mathematical models, only valid for each
type of hydraulic sistem, to element modeling that can be a part of any type of system or
global model. This concept improved the versatility of the computational techniques with the
need for reliable computational elements.
As an example, this concept is applied to the modeling of cooling water systems.
1. Introduction
Among the industrial hydraulic systems, the cooling-water circuit of thermoelectric

powerplants has been a topic of great importance, specially in what concerns the hydraulic
transients modeling. In this type of powerplant the generators are driven by steam turbines.
After it leaves the turbines the steam passes around a large number of small diameter tubes
contained in a special chamber known as the condenser where the steam condenses. The
cooling water flow passes through these tubes and gains heat from the steam. This heated
coolant can be either discharged to the source or it is passed through a cooling structure, to
reduce its temperature, and be used again.
Cooling water circuits can also be found in other industrial systems (e.g. in the automobile
industry): the general characteristics are similar though with different topology, dimensions
and discharges as well as specific components.
In what concerns the cooling of heated flow, three types of water cooling systems can be
found (CHAUDHRY and MARTIN, 1980): 1) once-through systems; 2) recirculating or
closed systems; and 3) mixed systems.
Powerplant cooling water systems vary considerably from one installation to another.
however the following general hydraulic characteristics can be indicated for once-through
systems (Figure 1):
- pumps maintain the coolant flow through the condenser components with small statk
head; almost all the pumping head is being caused by headlosses along the circuit;
- very significant head losses at the condensers where the pressure is typically
subatmospheric;
709
710
- high flow velocities, due to economic reasons, and entrapped air can occur at steady-
state in some of the system components.
oj CONDENSERS AlII VALVES
'I~I ::III I t---- --------....-t

.~ f 85110
-"-
: 7~ r .-~-~!. -:-!Q-o: I ~_-_-_-_-_-_-_-_--.=.l:~s-,-,m,,--_-_-_"-_-_-_-_-_~

3t
b) l
CONDENSERS
Figure I - Cooling circuit example (favazzano powerplant-Italy):

a) vertical arrangement;
b) view on plant.
Recirculating or closed circuits with cooling towers can be high-head systems where the
condensers are normally pressurized.
The particular configuration of any cooling circuit will influence the hydraulic transients
behaviour and will be a factor to be considered during design. In engineering practice, the
computational models of water cooling systems have the following main objectives:
- to make steady-state analysis (e.g. steady-state pumping head and power calculations and
verification of forces, pressures and flow velocities);
- to make transient analysis (e.g. maximum and minimum transient pressure envelopes
along the circuit) and to verify pressure control techniques;
- to simulate an automatic operation of the system in real time.
The design of a complex closed conduit (pressurized) system, including the reliability and
safety analysis, can be executated by general computational models or simulation modules
based on the node-element concept.
However, some special components of the cooling circuits need to be developed and
validated in order to well perform their role in the model.
711
2. General Closed Conduit Computational Models
2.1. BASIC PHILOSOPHY
A general computational model for any closed ~onduit system can be based on the node-
-element concept, as developed by KOELLE. 198~ and ALMEIDA and KOELLE, 1992, or on
any other equivalent concept. The ~omponents of the system can be considered as elements
that are linked, among them, by nodes ac~ording to each particular topology. As a cooling
water system is a special pumping system with the typical components of this kind of system
plus their specific components or elements:
a) Typical elements of pumping systems: pipes and pipe singularities, pumps, valves,
air vales, intake. reservoirs. special anti-surge devices etc.
b) Special elements of cooling circuits; condenser element, seal-pit, cooling tower or

other cooling device, non-retlective element. etc.
Typically the cooling circuit is a low head system where very low transient pressures can
occur along the pipes orland on certain components (e.g. the condenser in a thermoeletric
powerplant). Cavitation and water column separation can then occur and the model must be
prepared to consider these phenomena during a numerical simulation. These particular
phenomena were the core of an intense research activity during the seventies and eighties. A
large amount of information and data can be found in the proceedings of all Round Tables
promoted by the Group on Hydraulic Transients in Power Stations of IAHR from 1971 to
199tl, under the coordination of Prof. M. Fanelli (e.g. BONNIN et al., 1977; BONOLIS,
1979; FENINI and FANELLI, 1980; ALMEIDA, 1982; and FANELLI, 1987). As a result of
these efforts advanced computational models for transient two-phase flows were developed
(e.g. FANELLI, 1971; ANELLI, 1975; WIGGERT et al., 1983; CAPOZZA et al., 1983; and
CAPOZZA, 1981).
2.2. THE NODE-ELEMENT (NODELE) MODELING TECHNIQUE
2.2.1. Basic concept. A pressure pipe network system like a cooling water system (CWS) is
composed by I-D flow wmponents or ELEMENTS that are physically linked through
NODES. Each element has two nodes and each node receives or distributes the flow from or
to other elements connected to it.
The computational model must include the basic equations for modeling each pipe or non-
pipe element (element characteristics) and a node equation to model the physical network
linkage effect. The node equation gives the capacity to link several pipe elements and non-
pipe elements and to reproduce the overall hydraulic response.
The hydraulic characteristic of each element can be a function of several effects like these
ones:
1A very complete report on cooling water systems was published by EPRl (MARTIN and WIGGERT,
1989).
712
- tlow resistance (or head dissipation) effect:

- head increase (or pumping) effect:
- rigid mass inertia (or inertial) effect;
- elastic mass effects:
- volumetric or storage capacity effect.
The importance of each of these effects will depend on both element and tlow disturbance
types and can be modeled as concentrated (lumped) or as distributed effects.
A pipe element can have tlow resistance (headloss), mass inertia (rigid inertia) and elastic
wave propagation in both ways (elastic effect). A complete pipe element will model these
three effects as distributed along its length by a subdivision technique (pipe sub-elements and
computational sections - Figure 2).
--- ---
A) Hlltl
_'.0
Inllu~nc~ zon~ on
H,ltl , _ , - - - O,ltl and 02111.

0-' (nod~ dischargesl
8) _ Hllt-III
... _.0
H21t I
_ ... .0
H,It I
cY
... -- HIt-ali
L ~ ......
..... - -
Figure 2 - Hydraulic characteristic of a network element:

a) concentrated dissipative and inertial effects (non-pipe or pipe elements);
b) distributed dynamic (wave) effect (pipe element).
A non-pipe element like a valve can be modeled as a concentrated dissipative device, the local
inertia and elastic effects being neglected in almost all the cases. A reservoir or an air vessel
will have a concentrated or lumped storage capacity.
A simplified element modeling technique will correspond to simpler equations (algebraic
and ordinary differential equations) and numerical schemes. A complete pipe element model is
based on a pair of partial differential (hyperbolic type) equations that reproduce the elastic
wave behaviour (plus another pair of similar equations if the tluid-pipe wall interaction is also
modeled). Neglecting the elastic waves along the pipe element will transform this pair of
713
equations into an ordinary differential equation.

Spel:ial effects have been taken in I:onsideration, most of them under a research status (see
ALMEIDA and KOELLE. 1992):
- non-linear effects on the pipe distensibility;
- pipe wall inertial effects;
- unsteady hydraulic resistance modeling;
- non-uniform tlow velocity 3-D effects;
- tluid-pipe interaction;
- cavitation and water-column separation.
2.2.2. The Fundamental Node Equation. This equation will reproduce the physical connection
between each element and the network topology. The state variables of each pipe element, on
the node where it is I:onnel:ted, obeys to an equation of this type (see Section 3.1):
(2.2)
for "converging" pipes (pipe positive tlow into the node). or
(2.3)
for "diverging" pipes (pipe positive tlow out of the node), where Hp is the head and Qp is the
pipe flow, at each node section.
The coefficients C L , C R indudes the dissipative effects as well as the H, Q values, of each
elastic wave, one time step before its arrival at the node at instant 1. The coefficients BL , ~
are a function, among other parameters, of the wave celerity. These equations are the basic
MOC equations. A general node of the pipe network is represented in Figure 3, where MC is
the number of pipes that "converge" towards the node and MD is the number of pipes that
"diverge" from the node. according to the positive sign of each pipe flow being MT the total
number of pipes. A specitied discharge D(t) can also be considered in each node as well as the
discharge QPE of any non-pipe element that is linked to the node. In a convergent J pipe the
node section will be the last (N) section and in a divergent K pipe the node section will be the
first one.
Applying the MOC equations at each pipe section linked to the node, MT equations and
2MT state unknowns (Q and H at each pipe node section) are obtained.
By assuming a common head Hp at the node, MT-l equations are obtained. A more
advanced analysis can indude local headlosses and local inertia at each node connection.
By continuity considerations, one more equation is obtained:
Me MD
L QN.J - L QI.K =QPE + D(t) (2.4)
hI K=I
where QN.J = tlow of "converging" pipes; QI.K = flow of "diverging" pipes; D(t) = known
time variable discharge at the node; and QPE = the discharge of a non-pipe element linked to
the node.
714
~ (t J (S=c,:.f,~~ ~,,"c:.l"'d
/ 0 1 51::'\<:1';.1
... c /
/
c:~nv.r9U'\9 /
"
:JI~.
flCl'T'lc"ts ~! ' l\e"~"CM

,,1.""eM als<~r;.1
oJ. (J)
""0 :-",@";1I'!9 ~IC.S el""'."'!S

'::1:,( )
o Pita CO:::!.lI'I9 toJ

"CO(
e P;D~ ~I""= "0"" 0
OpIJ) I O;IKI
Figure 3 - Internal node scheme (ALMEIDA and KOELLE, 1992)
By using these equations, the node equation can be obtained:
(2.5)
where,
(2.6)
(2.7)
Without any non-pipe element linked at th~ node (QPE = 0), the node equation can directly
furnish the node head Hp:
(2.8)
715
With the known node head Hp. the discharge at each pipe can easily be obtained by equations
(2.2) and (2.3).
If a non-pipe element is linked between two internal nodes, the two node equations and the
non-pipe element equation or characteristics (see Section 5) will furnish QPE and the two node
heads.
3. Pipe Elements
3.1. ELASTIC TYPE MODEL
Typical solvers in time domain analysis are based on the method of characteristics2 (MOC).
This method transforms the basic set of partial differential equations (elastic model) of mass
and momentum conservation into algebraic equations. valid along two families of characteristic
lines on the (x,t) plane.
Each pipe element can be divided into computational pipe sub-elements, each one with a
length Llx. A pipe element will have N + 1 computational sections, being N the number of
sub-elements. For each computational section from i = 2 to i = N, the state variables Hp and
Qp can be obtained in each instant tp, by solving two explicit (MOC) equations (CHAUDHRY,
1979). For a tixed staggered cross-grid scheme these equations are the following ones
(ALMEIDA and KOELLE, 1992):
(3.1)
with L (and signal -) for a C+ line and R (and signal +) for a C- line. The state variables can
be obtained by means of the equations,
Qp = (C L - C R) I (B L + BR )
(3.2)
Hp =C L -B L Qp
For the fixed staggered grid, the coefticients CL.R and BL.R are the following ones (Figure 4):
CL,R = HA.B B QA,B + ~ IQA.B! QL.R

(3.3)
BL.R = B + R IQL,RI
2
2However, other techniques or methods can also be used (e.g. finite element method - WATT, 1980).
716
with
(3.4)
where BL,R - a and R =f& I (2g DA 2 ) and A = pipe cross-section: D = pipe diameter;
a = pressure ..!a~e celerity; f = Darcy-Weisbach coefficient; g = gravity acceleration; and 6.
x = space step. Interpolation errors and stability problems can be avoided if the total pipe
element length L, verifies the stability condition:
L=N & =Na.& (3.5)
where 6.t = time step. Should 6.x > a6.t and an interpolation technique must be applied: a
spatial interpolation, along x axis or a temporal interpolation, along t axis. Numerical wave
damping will occur with potential severe accuracy problems.
i. tJ. r. .1
: ~
A c B N +1 :x:
( i-I) (i) ( i + I)
PIPE ELEMENT
Figure 4 - Method of characteristics. Staggered cross-grid on plane (x,t)

717
Warning - the ba~ic MOC equatillfls (3.1) are valid for one-phase flow without cavitation
effects. In low-head circuits, the transient pressure along some of the pipe elements can be
lower than the atmospheric pressure and gas release and cavitation effects can not be
neglected. Among these effects a two-phase bubbly flow can occur and the celerity will be
pressure dependent (see Section 3.3).
3.2. SIMPLIFIED PIPE ELEMENTS (RIGID MODEL)
A pipe element can be modeled like a rigid fluid column in a few situations like these ones:
- very gradual flow velocity and pressure variations;
- non confined free surface boundary conditions;
- very small pipes between other elements or components.
The unsteady tlow regime for these wnditions can be very similar to that of an ideal fluid
element with an infinite celerity value and horizontal characteristic lines (e.g. mass oscillation
type of flow). This simpler mathematical model can be easily adapted to the explicit MOC
structure by choosing quasi-horizontal characteristic lines according to a fictitious celerity
a* = llx/t:.t, where t:.x can be made equal to pipe length h.
Warning - the fictitious celerity LI~t of a "rigid" pipe element can greatly modify the solution
and it will be necessary to be cautious with this approximate model. In fact when a* " a (e.g.
L "typical t:.x in elastic pipe elements) a sub-inertial behaviour will appear with a very
dampened response due to the high "numerical compressibility" effect. In these cases, an
elastic similitude condition can be necessary in order to tind an equivalent pipe cross-section
and avoid large errors.
3.3. CAVITATING PIPE ELEMENTS
3.3.1. Bubbly Flow Modeling. As a first approach, a cavitating pipe element can be developed
to deal with two types of transient cavitation. Firstly a bubbly flow type and secondly a water
column rupture or separation type.
For the first type of flow, one of the most important characteristics is the wave celerity
variation as a function of the amount of free air or gas mass within the liquid (WYLIE and
STREETER, 1978; CHAUDHRY. 1979). By assuming an ideal isothermal air (or gas)
behaviour a solving equation, for easy implementation with the MOC technique, can be
deduced:
a =ao y ( CC + y.7- )-0.5 (3.6)
where CC = cavitation correction factor; a = variable celerity; ao = regular celerity without

cavitation; y* = local absolute piezometric head. The CC cavitation factor can be expressed
by
(3.7)
where R* = ideal gas constant: T* = absolute temperature; mg = free air mass by unit
718
volume of the mixture; p = liquid specific mass. Should a transient pressure be below the gas
saturation pressure and the CC value will increase according to the gas release phenomenon3
(KRANENBURG, 1973; TULLIS et ai., 1976: MARTIN. 1981 and ZIELKE et ai., 1989). In
each computational instant the CC factor can be recalculated by the following algorithm
(ALMEIDA, 1981 and 1983):
(3.8)
in which k is an empirical constant (about 0.2 s') for water), Yb is the! barometric height and
(3.9)
Both parameters, CC and BET A, have a L2 dimension.

This kind of bubbly-flow modeling will imply a space or time! inte!rpolation technique
because the celerity (a(t) < ao) will change during the transie!nt cavitation phase with
numerical damping effects (KRANENBURG, 1973). It will be also nece!ssary to control the
minimum pressure value in each time step. In fact the vapour pressure is a tlow compatibility
problem because, when y* :: Yv is imposed, two different Qp values can be! obtained (one for
each MOC equation). Should the pipe axis have an intermediate high point these two
discharge values may have opposite signals and the column fluid continuity will be broken: the
bubbly flow model must then be replaced by the water column rupture modeling.
In what concerns the two-phase headlosses the following type of empirical formula is used
by CISE (CAPOZZA et aI., 1983) for the two-phase loss of head by unit length (1):
(3.10)
where m :: specific mass flow-rate; DH :: hydraulic pipe diameter; (j = surface tension;

p = density; and Kl :: 0.087; K2 = 1.4; K3 = -0.86; K4 = 0,4; and Ks = 1.2.
As shown by WYLIE, 1980, the MOC compatibility equations can be modified for bubbly
flow:
(3.11)
3The following empirical formula for mg is proposed by Zielke et aI., 1989:

( p. - Pm\
mg = K) l-P;;;-) exp
"'2
Re
"3
where Ps = saturation pressure; Pm = minimum pressure after the drop and 0. 1 = 3.32;
0.2 = -9.2 (P m/Ps); 0.3 = 0.86.
719
dt
dx = a o -.,.....--- (3.12)
~1+C/y2
where C = (a. Y*)o a0 2 /g and a. = volumetric void fraction. The free air can have a positive
effect by damping the pressure waves (overpressure attenuation) or a negative effect by
increasing the flow velocities: air reahsortion conditions and pipe system characteristics are
very important for this two-phase behaviour (ALMEIDA, 1983).
3.3.2. Water Column Rupture Modeling. According to the pipe profile and the transient
characteristics, the free air and vapour cavity volume may become very large and occupy all
the pipe cross section along a signiti.:ant pipe length. A large vapour cavity will be formed
and a water column rupture modeling technique will be necessary for this case if no special
protection device is provided. The pipe element will have an intermediate reference section
and two air or vapour volumes V L and VR will be considered for each side of this pipe section
(Figure 5):
/l\:;fL = - (QPL + QL) flt 12

(3.13)
/l\:;fR =-(QPR +QR)flt 12
with QR' QL = discharges at left and right side sections for t-L~t. Different situations must be
considered:
- weir flow, at high point, if any of the partial volumes 'v'R or "iL becomes negative but
total volume is still positive; in this case the "negative" water volume will be placed on
the other side of the reference pipe section;
- cavity volume closure, should the total volume becomes negative and the two sides of
the water column will be rejoined with potential very high overpressures (Figure 7), in
this case the non caviting pipe element equations will be valid again.
At each side of the reference section the head values HpL and HpR will be:
(3.14)
where NL,R = water level at each side of the reference section, obtained by continuity
considerations; Pv = vapour pressure: y = water specitic weight. Between the variable free
surface or water level NL.R and the nearest non cavitating pipe computational sections elastic
or a rigid model can be followed.
A more refined model will include the effect of the gas release from the water and the
variation of pressure within the cavity volume. The wave damping and energy dissipation
along a bubbly flow seems to increase but it is still not easy to model this effect.
720
II
,
SuDtlly 110'"
( region
/ I.'
,
4x box
~t~--~--------~------~---~
Vaoour volume
Figure 5 - Water column rupture model in a pipe element
In long horizontal pipelines the transient cavitation can induce another kind of flow
behaviour such as a free surface flow with a long vapour and air volume along the pipe. This
kind of transient cavitation can be modeled by a free surface unsteady flow technique. Shock
waves can also be induced in very long pipes (ENEVER, 1977)4.
A review of two-phase models is presented in ALMEIDA, 1987.
4. Dynamic Pipe-Support Element
The internal pipe pressure can induce concentrated forces (an torques) that will actuate on the
pipe structure. Pipe cross section area changes and bends are the most sensible zones to this
effect. The generated internal forces (hydrodynamic) can be equilibrated or balanced as
approximate criteria for the complete developmenl of true shock waves induced by positive pressure
-I An
waves due to bubbly flow in pumping systems is the following one (ALMEIDA, 1981):
with D = delivery pipe diameter with, KF values comprised between 0.5 and 1.0 and
p , }. = dimensionless characteristic parameters; seems reasonable to conclude that it will be difficult
such event.
721
follows:
I - by direct transfer to anchor blocks or other very strong and rigid medium, as it is
the case of pipes with expansion joints:
2- by pipe structural internal stress balance allowing a free pipe movement on its
supports;
3- as in the case 2 with pipe imobilization in a few intermediate supports.
Case I is the typical situation in water conveyance systems with concrete pipes or other similar
tubes and in classic design of hydroelectric schemes. Case 2 is mostly found in industrial steel
pipe networks (e.g. plant internal networks) with small or moderate internal pressures.
Examples of the mixed solution (Case 3) can be found in high head hydroelectric schemes
(with great pipe elevation differences) and also in large diameter pipelines in oil industry. The
Case 2 concept analysis can imply a fluid-structure interaction modeling technique.
A special node or !line - support element can be considered for a coupled, though non-
interactive. fluid transient and support resistance analysis (Case 3 concept). In this type of
analysis the dynamic response of the pipe structure and/or the pipe support is supposed not to
modify the fluid response. The main objective is to evaluate the pipe support behaviour
(transmitted forces and node displacement), during a transient or unsteady flow regime. For
this type of modeling, the tluid node eguations must be improved with more equations
including those concerning the pipe support dynamic response and eventually including, an
approximate pipe (dynamic) structural influence on the unbalanced forces.
In a fixed (inertial) reference frame, the momentum equation for the pipe-support node
element (i pipes) control volume (Figure 6) is,
~ (I),i + Fp;) + Fps + W = f'ic d~V dV' + ISe pv (v.n) ds =0 (4.1)

I
where 'iI c is the control volume and So the boundary surfaces with normal ii and Fn
= fluid
force due to internal pressure: FPi = axial wall force; Fps = pipe support reaction force;
V = absolute flow velocity: W = controle volume weight. During a fluid transient regime
FFi' Fpj , Fps and V will be time dependent.
The pipe support force Fps will be related to the stiffness characteristics of the support
structure as well as of the coupled mass:
Fps + [M] d + [C] d+ [K] d = 0 (4.2)
where [M], [C] and [K] are the nodal mass (including lumped pipe wall and virtual fluid
masses), damping and stiffness (including lumped pipe stiffness) matrices and d is the pipe
displacement vector. In most of the cases, equation (4.2) can be simplified by assuming a one-
degree oscilator modeling for the pipe support structure.
722
'~
x
Figure 6 - Pipe-support element with weak or non-interaction capability
S. Non-Pipe Elements
5.1. GENERAL NON-PIPE EQUATION
Any hydraulic structure or device such as, tlow control structures (valves); pumping stations
(pumps); waterhammer protection structures (e.g. surge shaft, air chamber, one way surge
tank, pump by-pass etc.); and special components (e.g. condenser); can be treated as a non-
pipe element between two nodes. Each of these nodes will be linked to one or more pipe
elements. These boundary nodes can be designated by node I and node 2 and the reference
discharge can be chosen as from node 1 to node 2 (Figure 7).
Most of the non-pipe element are modeled as a lumped parameter or inelastic (incompressible)
element: the discharge QPE leaving node 1 will be always equal, in module, to discharge QPE
entering node 2. The head difference HpE , between nodes I and 2, can then be obtained by
subtracting the two node equations:
(5.1)
with H pl , HP2 = head at nodes I and 2 and

723
(5.2)
Equation (5.1) is the compatibility non-pipe element equation and the parameters EE and BE
characterize the dynamic conditions in the two boundary nodes of the element. An additional
equation is needed in order to be possible to calculate the state variables Hpl HP2 and QPE: the
characteristic non-pipe element equation. This equation will strongly depend on the type and
function of the hydraulic structure or device to be modeled and it will link the node head
difference Hpi - Hn to the discharge QPE tlowing through the non-pipe element:
(5.3)
Local inertia and lumped compressibility effects can be included in this relationship. From
(5.1) and (5.3) results the so called the non-pipe element equation:
(5.4)
HP1= ?
I
I
I
..
I
I
non - pipe element
EIII2
.-- Node coefficients --
Figure 7 - Non-pipe element between two nodes

724
5.2. VALVES AND OTHER SINGULARITIES
The characteristic equation for line valves between two pipe elements. and other types of
singularities, can be expressed by.
(5.5)
being C a function of valve (or singularity) type and geometry and of the stopper position e.
The non-pipe element equation can be transformed in this one:
(5.6)
with
F ::: BE (always positive) and G::: _ EE (5.7)

C C
At each instant t, the position e of the valve stopper can be imposed according to each kind of
valve manoeuver, linear or non-linear. In some cases 9(t) will also depend on the state
variables (e.g. in pressure and discharge control valves).
Most of the local losses are also expressed by a similar formula (5.5) and a special element
to characterize such type of headlosses can be modeled as a "valve" with a constant opening or
constant C coefficient. In networks nodes. the local headloss coefficients will be also a
function of the flow ratio between the pipe branches.
Attention must be paid to valve cavitation phenomenon as the valve discharge
characteristics can be strongly moditied by it.
5.3. PUMP ELEMENT
For pumps and other hydraulic turbomachines, two state variables (usually rotational speed
and flow) define its performance for a given geometry. In model tests it is possible to obtain
the other variables (as a function of the first ones) which characterize the interaction between
the rotor and the flow. There are several possible dimensionless coefficients resulting from
the combination of the dependent variables, such as tl (machine head), M (shaft torque),
(shaft horsepower) and n (efficiency) with the kinematic quantities Q, Nand p (specific mass
of the fluid) and dimension n. However, if we take the reference values H R , MR , P R and l1R
and we define the dimensionless quotients h ::: HIH R , 13 = MIM R , Y = PIP R , 0 = l1/l1R' we
can disregard the fluid characteristic 12. and the dimension of the turbomachine n. Therefore,
the following classic dimensionless quantities (Suter parameters) are defined (CHAUDHRY,
1979):
WH= h (5.8)
a? +v 2
725
The complete characteristil:s curves can be adjusted by means of Fourier Series (KOELLE et
aI., 1990) with X = 1t + arctan via:
(5.9)
(5.10)
The coefficients of each series are determined through the least square method by means of the
expressions:
I 2L .
Aj=-+:L FicosJXi ,j=O,I. ... m
L i~l
(5.11)
I 2L
B j =-+:L Fi sinjXi .j=I,2, ... m
L i=l
in which 2L is the number of pairs (Xi' Fi), taken from tables, used in the adjustments and
m < 2L is the number of terms of the series adopted in the adjustment. For pumps, with
m = 20 the differences are insignificant and smaller than the tests experimental error.
The advantage of the use of Fourier Series in the analysis of transient situations are
obvious: several calculations steps are saved in comparison with the numerical processing
using discrete values and linear adjustments that require additional interpolations. Besides, the
quantity of data (the coefficients of the series) that have to be stored is reduced in compltfison
with the table of discrete values. Furthermore, the term - to - term derivation of the series
facilitates the iterative calculations through the Newton - Raphson Method.
The fundamental pump element equations are the following ones:
- turbomachine characteristic curves (e.g. Suter parameters);
- rotating mass inertia equation;
- valves (motorized or check valves) or other minor losses characteristic equation included
into the turbomachine element:
- motor torque characteristics.
These equations as well as the node equations can be solved by the Newton-Raphson technique
in order to obtain at each instant, the value of the pump discharge QPE = v QR and the pump
speed N = a NR
A lumped pumping station element can also be considered which includes k parallel and
identical pumps, motorized valves and by-pass with special valves (e.g. non-return or check
valves or pressure reducing valves). In this case, the total discharge will be (Figure 8).
(5.12)
726
where v I OR will be the discharge through the hy-pass. Accepting a lumped modeling
technique. the set of equations of a pumping system with valves and a hy-pass can be solved
hy the Newton-Raphson technique. Different operational conditi~)ns can he imposed at each
pump or at each set of parallel pumps: pump start-up. pump trip-off or pump speed variation.
A - REAL SCHEME B - EQUIVALENT SCHEME
<lJ.o
vi _
ClR
0 Pump
[><] Valve
Qr;
y -
ClR c::=- Hon-return valve
C - SYMBOLIC COMPUTATIONAL SCHEME
Figure 8 - Modeling of a pumping plant with parallel pumps and by-pass (ALMEIDA and
KOELLE, 1992)
5.4. WATERHAMMER PROTECTION DEVICES
The protection of hydraulic systems against very high or very low pressures may be achieved
by special protection devices like these ones:
727
- air vessels:
- open surge tanks and stand-pipes;
- relief valves:
- by-pass around the pumps:
- motorized and control valves.
Each device will correspond to a non-pipe element to be linked to a node. The most
efficient/economic protection scheme will depend on the constraints and characteristics of the
system: design experience is a very important factor for decision, however, for complex pipe
systems, computer analysis and simulation are fundamental to choose which protection system
is the more adequate one to use.
5.5. NON REFLECTIVE BOUNDARY ELEMENTS
Complex pipe networks has pipes with different diameters and lengths. In a large pipe system
it is possible to identify critical areas where the pressure transients are much more important
or relevant. We can detine secondary or tertiary zones where any main flow disturbance is not
detected because the transmitted pressure waves are completely dampened or dissipated.
It is sometimes important to study, with a very great detail (very small dt), a local
component response (e.g. a check-valve closure or a potential pressure wave transmission
across a pipe or a node). In these cases there is a fundamental disturbance generated by a
network element and only a very small network zone will affect the phenomena under analysis.
In order to save computer time and storage, and also to avoid reflected waves, a special pipe-
boundary element was developed: the non-retlective boundary element (NRBE). This element
has the following characteristics: all the pressure wave arriving from upstream will be
"absorbed" without any retlection. This pipe-boundary element it is equivalent to an infinite
pipe (ALMEIDA and KOELLE, 1992).
Each pipe linking the network under analysis to other secondary zones can be substituted by a
NRBE: this element will nullify any retlected pressure wave in each boundary. The transient
phenomenon can then be analysed without the intluence of the other parts of the network and
with lesser computer storage and time.
6. Specific Components or Cooling Water Systems
6.1. CONDENSER ELEMENT
6.1.1. No cavitation Regime. A typical water cooling circuit of a power plant has the
following components (Figures I and 9):
- water intake, including the protection screens and the water treatment system;
- pumping plant with one pump, or more pumps in parallel, with motorized valves at the
delivery side (discharge control valves);
- delivery circuit or pipes carrying the water to the condenser;
728
- condenser and respective inlet and outlet tunes:

- cooling towers or other cooling devil:es. in dosed CWS;
- return circuit or pipes carrying the water fmm the condenser;
- downstream arrangement for minimum pressure imposition (seal pit or siphon);
- water outlet structure or canal, in once through systems.
NODE - ELEMENT DISCRETIZATION
A v CA C CR s
Figure 9 - Typical once-through C.W.S.
The condenser consists of a large number of tubes with small diameter, where the water flows,
and reservoirs at the respective ends (water boxes). The condensers may have one or two
passages. In the first case the bundle of tubes has a water box at upstream and another at
downstream. In the second case, there are two sets of tubes placed one over the other and
three water boxes: inlet and outlet boxes, also placed one over the other, and an intermediate
box receiving the water from the first set of tubes and introducing the flow into the second
one.
When outlet pipes connection to the condenser is placed at the top of the water box, the
computational model should be able to distinguish the partial volumes of air at the water box
and at outlet pipes. The consequences of this behaviour are the following ones:
1 - flowrate from the water box to the outlet pipes can be restricted to a critical weir
flow;
729
2 - in some cases, the cavity may not collapse after pump tripping or, if this collapse
occurs, the overpressures can be lower because the velocity of the reverse flow from
the downstream boundary will be lower:
3 - air introduction into condenser may control the reverse flow and overpressures inside
the condenser.
Air introduction into the condenser can be obtained by opening and closing the air valves
(vacuum breakers), according to pre-determined pressure, after pump tripping, or according to
signlas from pressure transducers and microcomputers. It has been argued that air
introduction should only be allowed in exceptional cases. Many condensers have air
evacuation equipment on top of the condenser boxes to avoid entrapped air and to make easier
the tlow start-up.
The condenser element is the most critical CWS element because the condenser is a place
propitious to the accumulation of free gas and air. The altimetric position as well as the
pressure drop and the temperature increase (about lOOC) are favorable to cavitation phenomena
occurence in both steady and transient regime. Large overpressures can occur inside the
condenser due to water column separation and/or reattachement after a pump trip-off or during
a pump start-up (PIGA and SAMBIAGIO. 1975).
Due to the relatively small pipe lengths and other sub-component dimensions the condenser
model can be obtained by considering a combined technique based on the rigid flow model
with lumped elastic effects (wat.!r and gas compressibility and walls distensibility). The inlet
and outlet pipes are replaced by two equivalent pipes located, respectively, at upstream and
downstream of the highest point. The basic equations for no-cavitation transient flow
modeling are the following ones:
- lumped compressihility
.1Q = Q _ Q, = "d, dPc (6.1)

c I - K , dt
where ~Qc = difference of inlet (QI) and outlet (Q2) tlow rates at nodes 1 and 2 and at
each instant; \;I, = water volume in the condenser; Kc = compound water
compressibility and wall distensibility coefficient; Pc = internal pressure;
- head conservation equation
LlHc = HI - H2 =
=- f (ACi
(6.2)
dQ,i + R,i IQ,i I Q'i)
i=1 dt
with
where i = 1,2 for the two (inlet and outlet) equivalent condenser tubes; ~Hc = head
730
difference at nodes I and 2; Lc = total equivalent length of tubes; A" = equivalent pipe
cross-section area; Rc = equivalent head loss coefficient of real inlet and outlet
condenser tubes Rbc = total head loss coefficient of the bundle of pipes and respective
water boxes; ~c = head loss coefticient of condenser values; and Q"i = discharge at
"tube" i with QcI = Q I and Qc2 = Q2;
- two node equations (compatibility MOe equations with other elements).
These four equations are enough to obtain the four unknown quantities (HI' H2 Q I and Q:0 of
a no cavitation mode or no air/vapour cavity situation at the top of the condenser element.
6.1.2. Cavitation Regime. When pressure suddenly drops in the condenser element, a
cavitation phenomena will occur with the following eftects (Figure 10):
- development of dissolved air into free air (gaseous cavitation). due to the variation of
saturation concentration proportional to pressure (Henry's Law);
- air volume variation due to pressure variation, by assuming a polytropic process with an
exponent n;
- water vaporization when absolute pressure Pc reachs the tension of the saturating vapour
(vaporous cavitation);
- a large cavity (water column separation) will be formed from the top of the condenser
and a "free surface" flow will occur from the upstream box (water level Zu) to the
downstream box (water level ZD); the continuity of the flow is interrupted as long as the
water column is splitted into two parts;
- should the outlet condenser pipe be connected to the top of the downstream water box
and a weir flow can occur, during a transient cavitation situation. between this water
box and the outlet and return pipes. In fact, as long as the water level ZD1 in the water
box is higher then the lower lip level ZWL at the pipe bend section (Figure 11) and the
water level ZD2 at downstream column is low enough and do not create any
submergence effect, a free water fall can be considered; an inverse flow can also occur
for opposite water level difference;
- the flow geometry and the physical constraints can change inside the condenser element
during a transient regime; additional unknown quantities and equations will be needed
for different flow scenarios.
The following general equations for the condenser cavitation regime can be introduced
(condenser water column separation model):
- first (or upstream) continuity equation
(6.3)
where Q I = discharge at node I (condenser upstream node); Q b = discharge through

the bundle of pipes; Aub = horizontal section of the upstream water box and equivalent
upstream horizontal section of pipe bundle (a known function of water level Zu);
731
, I
~ '-J A lilt VAlvES
1. - 0 - - -------
'NUKE
111'_ EVENTUAL sUeBLY FLOW
Figure 10 - Regions in a C. W .5. where cavitation and water column separation can occur
Vi
9
TH
(absolute pressure p*)
1
Vg (absolute pressure p*)
ZWl
Qb _s
Figure II - Condenser dement with cavitation (adapted from FANELLI, 1987)

732
- second (or downstream) continuity equatilln
_ dZ OI
Q b -Q ow -AOb-- (6.4)
dt
where Qow = discharge over the lower lip of pipe weir to the sub-vertical outlet pipe;
AOb = horizontal section of the downstream water box and equivalent downstream
horizontal section of the pipe bundle (a known function of water level ZOI); should the
putlet be connected to the bottom of the water box and there is no weir discharge;
- outlet pipe continuity equation
(6.4a)
or
Q Q _ dL e2
ow - 2 - Ae2 dt (6.4b)
for Z02= ZBO and Le2 < Lo - Lvo

where Q2 = discharge at node 2 (condenser downstream node); Ae2 = outlet pipe cross-
section area; Z = condenser top level; ZBo = bottom outlet pipe level; Lo = outlet pipe
length; Lvo = sub-vertical outlet pipe reach length; Lc2 = horizontal outlet pipe length.
- weir equation at the water box outlet (FANELLI, 1987)
Q
ow
=A (h c ) ~~
(gA(hJ (6.5a)
for free-flow weir, with A(h e) = wet section over weir lip, a known function of the
critical flow depth he; b = top width of free surface on were section; or, when h > he.
Qow = A (h) J2g (H - h) (6.5b)
for submerged weir tlow. with h = tlow depth over weir (ZD2 - ZwJ and
H = ZOI - ZwL (Figure 11).
- bundle headloss equation
(6.6)
733
for both Zu < &rc and ZOI < &rc conditil)ns: Rb.: is a function of the geometry and
pipe roughness as well as a function of Zu - ZOI. 5.
- cavity air/gas volume equation (polytropic process)
p.g =p.go (Vgo)n (6.7a)

Vg
with
where Pg' = variable absolute gas cavity pressure: Pg' = atmospheric absolute
pressure: vgo = spe..:iti..: volume of the cavity gas at P' = Pgo'; V g = idem at P' = Pj:';
V g = total volume of the air/gas cavity and Ma = free air/gas mass inside the cavity;
the volume V g is the total cavity volume (emptied volumes inside the water boxes and
pipe bundle as well as at outlet pipe);
- cavity air/gas mass equations
I - air entrance; air mass can enter into the condenser element downstream water box)
through an air pipe or vacuum breaker device, that opens to the atmosphere as long as
Q2 - QI > 0; the air mass M. entered up to instant t > to will be,
M. =f 10
S. V./v. dt (6.8a)
where to = opening instant of the vacuum-breaker; S. = cross-section of the air pipes;

V. = air speed in the pipes at the condenser entrance section; v. = air specific volume;
the air speed is a function, among others, of the absolute cavity pressure Pg', according
to the head equation applied to the air motion in the pipes that feeds air into the
condenser; there are different forms of this equation related to the unstem
characteristics; a rigid model was presented by FANELLI, 1987 (approximate equation
of the pneumatic circuit):
H. -
_~ v.lv.1 + 11.2 Ha v.lv.1
11.1 - - -
1
, 413 + 11.3
1
2g K; R.
n-I n-I (6.9)
Ha dV. .Iin (p;)--;;- _(p;J--;;
- g -dt- + n P""
e
V ao
e g ( n -1 )
5The headloss coefficient of th~ bundle of pipes for full pressurized mode can be carrected by (bJh)2.
where he = depth of water inside each full water box and h = variable water depth (PROVOOST,
1979).
734
where Ha == vertical length of the air pipes: K. == Strickler's CQefficient of air pipe;
Ra == hydraulic radius of air pipe: n == coefficient of the polytropic process
(I > n > 1.4 for the air); 1..\. 1..2, 1..3 == non-dimensional approximate coefficients (valid
for Va > sonic speed) that take into account the pressure variation along the air pipes
(FANELLI, 1987):
these coefficientes are time-dependent. Simpler equations were proposed by

PAPADAKIS and HOLLINGSHEAD. 1976 based on the equations of the air flow
through an air valve6 (see also PAPADAKIS, 1979 and PROVOOST, 1979).
Should the condenser pressure increase (Q2 - QJ < 0) and Va ~ 0 (inversion of the air
6The equations are these ones:
n
-
Pg
d -g
'1
+ '1
dP; P;o n ~ m
ac - - = -
dt dt Pa
in which n = air polytropic coefficient; 'if g = air volume inside the condenser; P;o = atmospheric
pressure; p. = air density for atmospheric conditions and <Pm = air flow rate.
P;o 2n I P; \
n- I
- - - 1 1 - -.-1--
p. n - I I Pgo J n
for subsonic flow, or
P;o~
p. n- I
for sonic flow, where Pac = air specific mass for conditions inside the ~ondenser; Cv = valve
discharge coefficient and S. = cross-section of the air pipes.
735
motion in the air pipes). Usually there is a claret valve that closes as soon as V. < 0
and the communication with the atmosphere is interrupted (t = tc); and until air
expulsion pressure is reached. the air mass inside the cavity will be constant:
M. = constant (6.8b)
In this situation, and for t > tc ' equation (6.7a) is replaced by,
(6.7b)
The air volume 'd g (t) in all situations must obey to the global cavity continuity
equation:
(6.10)
where'd g = total air volume inside the condenser including the outlet pipe; and QI'
Q2= condenser node discharge;
II - gas release; another source of free gas can be the cooling water inside the condenser
element, due to transient pressure drop and saturation concentration variation; the mass
of free air/gas produced or released by this way can be obtained by the following
computational equation based on Henry's law (pAPADAKIS nad HOLLINGSHEAD,
1976; ALMEIDA, 1981 and ALMEIDA and HIPOLITO, 1991):
(6.11)
with
where Mit); Mit - ~t) = free air/gas mass released by water at instant t and t - ~t;
MAL (t) = water mass releasing air/gas; J3 = constant of the exponential law of gas
release; and ~mc = difference between the equilibrium mass concentrations at each
instant and at the initial conditions;
736
111- air expulsion; for t. > te , it can occur I) that Pg inside the cavity reaches the air
expulsion pressure p.x" and 2) O2 - 0 1 < 0; for these conditions an air valve or pan
valve opens and it can be assumed that. for t > t. and O2 - 0 1 < 0,
p; =P;x (6.7c)
vg(t) = vg{tJ
(6.8c)
IV - cavity collapse; should the total air/gas volume be zero. with 0 1 - Q2 > 0, and the
cavity will collapse; and the ordinary basic equations for no-cavitation flow will be valid
again; should the condenser pressure he reduced again, and cavitation with water column
separation be detected (\1 g > 0) and the pam valve will close and air can re-entry again
through the vacuum-breaker valves.
This condenser element as two main computational modes (and a few sub-modes): 1) no-
cavitation: 2) and cavitation conditions. In these two modes the number of unknown quantities
and of equations is very different (Table 1). We have a set of ordinary differencial equations
to be solved by any robust numerical method and a set of mode criteria in order to control the
choice of the right equations for each situation.
Tahle 1
Condenser Element Modeling Closure of the Governing Equations
TYPE OF REGIME UNKNOWN QUANTITIES EQUATIONS
HI' H2 2 node equations

eq. (6.1)
No cavitation QI' Q2 eq. (6.2)
Total =4 Total = 4
Cavitation with water Zu' ZDI, ZD2 2 node equations

column separation and air p. eq. (6.3)
entrance/expulsion including g eq. (6.4)
weir tlow QI' Q2 eq. (6.4a)
eq. (6.5a) or (6.5b)
Qow. Qb eq. (6.6)
Ma. Va eq. (6.7a, b, c)
eq. (6.8a, b, c)
Total = 10 eq. (6.9)
Total = 10
737
Remarks: This rather ~(lmrlete ~()ndenser model can be rather ~umbersome for validation and
for preliminary transient or design analysis; very simplified elastic and rigid models can be
developed for preliminary engineering purposes. The degree of precision with which the
condenser is represented is reflected in the results speally in what concerns the overpressures
due to cavity ~ollapse or water column reattachment.
6.2. SEAL-PIT ELEMENT
In order to control the steady-state minimum condenser pressure in once-through cooling

circuits, a seal-pit or equivalent structure can be introduced downstream of the circuit return
pipe. The downstream head is imposed by a free outfall over a weir; the free outflow equation
is,
(6. 12a)
valid for Z,p > N,I"

or
Qw =0 (6. 12b)
for Zs::; N sp , where Qw = discharge over the weir: Zsp = water surface level; Nop = weir
crest elevation: Bs = weir width; and Cs = weir discharge coefficient; the imposed head Hop
at downstream node of the return pipe element will be,
- sp + - Q~
H sp -Z -,- (6.13)
2gA;p
where Asp = seal-pit horizontal section.
6.3. OUTLET CANAL ELEMENT
An outlet canal element, with a free-surface flow, can be placed downstream of a C.W.S.; for
transient analysis a non-ret1ective boundary element can be a good approximation as a response
of an infinite tailrace canal without wave refle.:tions and headlosses; in this case the water level
variation !:;Zoe will be,
(6.14)
where hoc = steady-state canal depth; and 6Q oc = canal discharge variation; and boc = outlet
canal width. Another simplified way to model the outlet canal is to accept an unsteady
uniform flow regime or a simply rating curve as a boundary element.
738
7. Water Column Separation Induced by Val\'t!S
A water column separation can occur immediatdy downstream a pump valve (or other flow
control device) during a very fast flow interruption. In this case the pressure drops until the
vapour pressure is reached and a vapour pressure is reached and a vapour (mixed with gases)
can completely fill a pipe reach.
The tlow reversal, downstream the valve. will tend to close the vapour cavity. The
maximum overpressure due to the closure of this cavity has been a very controversial topic.
The most severe situation is the following one: I) the flow stoppage across the valve is almost
instantaneous: 2) there is no headloss along the pipe. Some experimental results show that the
maximum head variation ~HJ:
(7.1)
where
..:\HJ = a Vo and 11 ~ I
g
The value of 11 will depend on the non-dimensional parameter Pv (pipe cavitation

characteristic) defined as
- aVo
Pv=- (7.2)
gHv
where Hv = difference head between downstream reservoir and vapour cavity close to the
valve. The water column separation and a cavity vapour can occur if Pv > l. According to
ALMEIDA, 1981 the 11 value is a function of Pv.
It can be concluded that, under the considered assumptions, the maximum overpressure
(above the initial head) due to the cavity collapse, is 3 ~HJ: the triple of Joukowsky
overpressure can occur when Pv is very close to the unity.
The pipe headloss and other additional energy dissipation due to thermodynamic effects can
slightly modify the value of ~HM (typically decreasing it).
By computer modeling and numerical simulations it can be possible to find the best valve
manoeuvers in order to protect the cir.:uit. Different domains or modes of flow behaviour at
the condenser and near the valves can he found (FANELLI. 1981; FANELLI, 1987):
- no water column rupture;
- water column rupture without reattachement:
- water column rupture with reattachement:
- idem with admissible overpressures.
739
Similar investigations can h~ made in what conc~rns the emptying of the circuit and the
counter-rotation of pumps.
In a real circuit an automatic system can now be implemented based on sensors (for
knowledge of the parameters and conditions intluencing the transients) and choice by
microcomputer of the optimal values of the control parameters (e.g. closure time of control
valves) and sets the actuators of the control components. Other sensors would follow the
actual development of the transients and to order an emergency action if necessary.
Compound and compensation strategies can then be adopted, as for example: to provide a flow
control structure (set of control valves or gates) that can close as soon as there is a complete
pump's tripping; this manoeuver can create an overpressure from upstream and the condenser
could remain without vacuum problems (ENEVER, 1977).
Optimization of the cooling circuit without air admission can be tried by optimizing the
closure time Tc of the pump control valves (FANELLI, 1987). By computer simulation it may
he possihle to specify Te. as a function of the upstream (river) level, in order to avoid air entry
at condenser element.
8. Concluding Remarks
A cooling water system is a special type of a closed conduit system with potential cavitation,
entrapped air and water column separation at the condenser. A very important effort was
made in the lest 20-25 years on modeling techniques and a basic research motivated by
transients in C.W.S ..
A large numher of contributions on C.W.S. were presented to several conferences and
meetings. Among the several topics that were studied the following ones were very important
for computational modeling: cavitation and bubble dynamics; two-phase flow (bubbly flow)
models and models with column separation; experimental techniques and model validation with
comparisons between field tests and numerical simulations. As a result of these efforts the
recent computational models are reliable enough for engineering practice in what concerns the
simulation of pressure transient after pump trip-off. The quality of the numerical simulations
will depend on the correct modeling of the components of the system (e.g. pumps, valves and
condenser) and of the transient tlow phenomena (e.g. cavitation and free air behaviour).
Field tests and experimental studies should continue in order to improve our knowledge on
two-phase phenomena and to validate the computational models.
On-I ine system for safety control and more powerful computer-aided systems for design and
analysis can be expected in the future.
REFERENCES
ALMEIDA, A. B. - Transient Analysis of a Typical Cooling Water Circuit. Proceedings of the 5th
International Symposium on Water Column Separation, IAHR, Obernach, 1981.
ALMEIDA, A. B. - Cooling Water Systems, Typical Circuits and their Analysis, Proceedings of
Intercambio Intemacional sohre Transientes Hidniulicos e Cavita~ao, Ed. M. H. Chaudhry and E.
Koelle, Vol. I, S. Paulo, Brazil, 1982, Paper D1.
ALMEIDA, A. B. - Variahle Cderity Modding by the Method of Characteristics, Proceedings of the
Numerical Methods for Fluid Transient Analysis, ASME, FED, Vol. 4, Houston, 1983.
740
ALMEIDA. A. B. - Some Contributions to th~ Transi~nt Macrocavitation Knowledge and Modeling

(1978-1987). Proceedings of the 8th Int~rnational Round Tabl~ on Hydraulic Transients in Power
Stations, IAHR, Ed. A. B. de Alm~ida and 1. Per~ira, Madeira. Portugal, 1987, Pa~r D1.
ALMEIDA, A. B.; HIP6LITO, J. N. - Transi~nt Macrocavitation Simulation for Hydraulic Pumping
Systems. Proceedings of the 5th International Symposium on Water Column Separation, IAHR,
Obdernach, 1981. pp. 419-447.
ALMEIDA, A. B. and KOELLE, E. - Fluid Transi~nts in Pipe Networks, Computational Mechanics
Publications, Elsevier Applied Scienc~, 1992.
ANELLI, R. - Simulazioni di Transitori Idraulici nei Circuit di Raffredamento delle Centrali
Termoelettriche: Primi Applicazioni (Simulation of Hydraulic Transients in Cooling Circuits of
Thermoelectric Powerplants), L'Energia Elettrica. N 6, 1975, pp. 305-311 (in Italian).
BONNIN, J. et al. - Etude des Regimes Transitoir~s dans les Circuits Hydrauliques de Refrigeration des
Centrales Thermiques (study of Transient R~gime in Cooling Circuits of Thermoeletric Powerplants).
La Houille Blanche, N 4, 1977, pp. 335-343 (in Fr~nch).
BONOLIS, D. et al. - Hydraulic Transients in Som~ N~w Thermal Power Plants of ENEL. Proceedings
of the IV International Symposium on Water Column Separation, ENEL, 1979.
CAPOZZA, A. - TRANSID: A Computer Program for the Analysis of Hydraulic Transients in
Condenser Cooling Circuits. Proceedings of th 5th International Symposium on Water Column
Separation, IAHR, Obernach, 1981, pp. 449-486.
CAPOZZA, A. et al. - A Two-Phase Flow Model ttlf the Diffused Cavitation Theory 6th International
Symposium on Hydraulic Transients in Pow~r Stations, Gloucester, 1983.
CHAUDHRY, M. H. - Applied Hydraulic Transients. Van Nostrand, New York, 1979.
CHAUDHRY, M. H. and MARTIN, S. C. - Cooling Water Systems. Closed - Conduit Flow, Lecture
N 8, Fort Collins, 1980.
EN EVER, K. J. - Further Investigation of Theory of Shock Waves in Bubbly Liquids, Bulletin de la
Direction des Etudes et Recherches, EDF, N 2, 1977, pp. 29-46.
ENEVER, K. J. - Reduction of Pressure Surges in a Cooling Water System by Means of the Controlled
Closure of an Exit Valve. Proceedings of th~ 4th International Symposium on Water Column
Separation, ENEL, Cagliari, 1979, pp. 190-203.
F ANELL!, M. - II Regime Transitorio nei Circuit de Raffreddamento dei Condensatori per Ie Grandi
Unita Termoelettriche. 1- Studi di Carattere Analitico (The Transient Regime in Cooling Circuits of
Condenser for Thermoelectric Powerplants). L'Energia Elettrica, N 12, 1971, pp. 729-815 (in
Italian).
F ANELL!, M., et al. - A Proposal for Automatic Control of Water Cooling Circuits in Trip-off/Start-up
Events without Air Admission. Proceedings of the 5th International Symposium on Water Column
Separation, IAHR, Obernach, 1981, pp. 307-337.
FANELLI, M. et al. - The computation of Hydraulic Transients in Condenser Cooling Water Circuits as
a Mass Oscillation Phenomenon. Proc. 8th International Round Table or Hydraulc Transient in
Power Stations, Ed. by A. B. Almeida and J. Pereira, Madeira. 1987.
FANELLI, M. - Draft Report (1986), IAHR Working Group on Transients with Water Column
Separation, Vol. 1,2,3, IAHR Congress. Montreal. 1987.
FENINI, G. and FANELLI, M. - Recent Developl11~nts of a Existing Transient-Simulation Programme
for Cooling Water Circuits. Proceedings of the. 3nd International Conference on Pressure Surges,
BHRA, Canterbury, Vol. I, 1980, Paper FI, pp. 261-2789Paper F1.
KOELLE, E. et al. - Analise da Opera"iio Transit6ria da Usina Hidroelectrica - A Representa'Yiio
Analftica das Caracteristicas das Maquinas Hidniulicas (Hydroelectric Plant Operation Analysis - The
741
Analytical Repn:sentation "f the Charaderisti.:s of the Hydraulic Machines), Proc. of the Int.
Symposium HYDRO 90. S. Paulo, Brazil, 1990 (in Portuguese).
KRANENBURG, C. - Transient Cavitation in Pipelines. Delft University of Technology, Com. on
Hydraulics, Report 73-2, 1973.
MARTIN, C. S. - Gas Release in Turhulent Pipe Flow. V International Symposium on Water Column
Separation, IAHR, 1981.
MARTIN, C. S. and WIGGERT, D.C. - Hydraulic Transient in Cooling-Water Systems, EPRI, Final
Report, 1989.
PAPADAKIS, C. N. - Numeri.:al Workshop. Solution Method. IV International Symposium on Water
Column Separation, ENEL. 1979.
PAPADAKIS, C. N. and HOLLINGSHEAD, D. F. - Air Release in the Transient Analysis of
Condensers. Proceedings of the 2nd International Conference on Pressure Surges, BHRA, London,
PaperGl, 1976,pp. GI/I-14.
PIGA, E. and SA~fBIAGIO. G. - Contrihuto Sperimentale Allo Studio dei Transitori in Presenza di
Cavitation Negli Impianti Ji RaffreJdamento delle Centrali Termoelettriche (Experimental
Contribution to the Study of a Transient Regime with Cavitation in a Cooling Circuit of a
Thermoelectric Powerplant). L'Energia Elettrica, N 7-8, 1975, pp. 393-407 (in Italian).
PROVOOST, G. A. - Numeri.:al Workshop. Solution Method. IV International Symposium on Water
Column Separation, ENEL. 1979.
TULLIS, J. P. et al. - Water Hammer Analysis with Air Release. Proc. 2nd International Conference on
Pressure Surges. BHRA. 1976. Paper.
WATT, C. S. et al. - Comhination of Finite Difference and Finite Element Techniques in Hydraulic
Problems. Proc. 3nd International Conference on Pressure Surges, BHRA, 1980, Paper B2.
WIGGERT, D. C. et al. - Modeling of Two-Component Flows in Cooling Water Condenser Systemas,
6th International Symposium on Hydraulic Transients in Power Stations, Gloucester, 1983.
WYLIE, E. B. - Free Air In Li4uid Transient Flow, Proc. Third International Conference on Pressure
Surges, BHRA, Canterhury, 1980.
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ZIELKE et al. - Gas Release in Transient Pipe Flow, Proceedings of the 6th International Conference on
Pressure Surges, BHRA, 1989, Chapter I, pp. 3-14.

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Computer Modeling of Free-Surface

and Pressurized Flows

The Series is published by an international board of publishers in conjunction with the

A Life Sciences Plenum Publishing Corporation

C Mathematical Kluwer Academic Publishers

F Computer and Systems Sciences Springer-Verlag

- via online FILE 128 (NATO-PCO-DATA BASE) hosted by ESRIN,

- via CD-ROM "NATO-PCO-DATA BASE" with user-friendly retrieval software in

Series E: Applied Sciences - Vol. 274

Springer-Science+Business Media, B.V.

ISBN 978-94-010-4417-2 ISBN 978-94-011-0964-2 (eBook)

Printed on acid-free paper

All Rights Reserved

Part I. Free-Surface Flows

1. Governing Equations for Free-Surface Flows by J. A. Liggett 3

2. Finite-Difference Methods for Shallow-Water Flow Analysis by J. A. Liggett 33

3. Computation of Flows With Shocks and Bores by M. H. Chaudhry 63

4. Boundary Integral Equation Method for Free-Surface Flow Analysis

5. Finite-Element Methods for Free-Surface Flows by J. l. Finnie 115

7. Upwinding and Characteristics in FD and F-E Methods by A. Malcherek and

13. Flood Routing Models by R. K. Price 375

15. Derivation of One-Dimensional Conservation Equations of Pressure Transients

16. Numerical Methods for Solution of Governing Equations by A. P. Baldy 459

17. Methodologies for Reliability Analysis of Water Distribution Systems by

19. Development of Water Quality Models by R. M. Clark 553

22. Modeling of Rapid Transients by A. P. Baldy 673

23. Verification of Rapid Transient Models by A. P. Boldy 699

A. Betamio de Almeida, Professor of Civil Engineering, Technical University, Lisbon,

Adrian P. Boldy, Department of Civil Engineering, University of Warwick, Coventry, UK.

M. Hanif Chaudhry, Professor of Civil Engineering, Washington State University, Pull-

John I. Finnie, Department of Civil Engineering, Moscow, ID, USA.

B. H. Johnson, Waterways Experiment Station, Vicksburg, MS, USA.

James A. Liggett, Professor of Civil Engineering, Cornell University, Ithaca, USA.

C. Sam Martin, Professor of Civil Engineering, Georgia Institute of Technology, Atlanta,

Larry W. Mays, Chairman of Civil Engineering Department, Arizona State University,

Bernd Rogalla, 3S Consult GmbH, Garbsen, Germany.

Yasuo Onishi, Battelle Pacific Northwest, Richland, WA, USA.

Roland K. Price, Manager, Wallingford Software, Wallingford, Oxfordshire, UK.

Werner Zielke, Professor, University of Hannover, Hannover, Germany.

The best working definition of free surface flow is the following:

Free surface flow occurs in a deformable solution region whereby

A physical definition of free surface flow is:

Free surface flow occurs in a liquid where one or more of the

1. The Equations of Free Surface Flow

1.1 THE HYDRODYNAMIC EQUATIONS

where t is time, p is fluid density, u, is the component of velocity in the i-direction,

The equations of motion are

p( Cu, + u Ou,) = _ pg Oh _ Op +.!. 1I.i. Cu, + II iPu, (1.2)

p(Cu' +u, Cu,) = _ pg ah _ Op (1.3)

- a~ + .!.U 2+ P +gh =/(t) (1.5)

Using (1.4) in the equation for conservation of mass produces Laplace's

1.2 BOUNDARY CONDmONS

be applied there. The first, the "dynamic condition," is a statement of pressure.

P= constant on the free surface (1.9)

The "kinematic boundary condition" is a consequence of topology; it states

Figure 1.1. Steady, two

"t = d" (1.11)

Combining the steady and the unsteady parts

In two dimensions it is convenient to work in a coordinate system that is

Figure 1.3. The coordinate

o~ = _ o~ sin IJ+ o~ cos fJ

1.3 A NOTE ON DERIVATIVES

o~ = (o~) _o~ a" (1.18)