HD 08 - Hydraulic Design

HYDROPOWER DEVELOPMENT
Hydraulic Design
Dagfinn Lysne • Brian Glover • Hakon St01e • Einar Tesaker
� ----- ---- -
Hydropower development
Published by
Norwegian Institute of Tecnology Oagfinn 1<. Lysne Tel 47 7 59 40 00
Division of Hydraulic Engineering Professor Fax 47 7 94 33 45
N-7034 Trondheim
Area 387 00 sq. km Electl"ical energy supply
Population 4,2 million

100% hydropower
Number of hydropower stations

Capital Oslo 460 000
in operation 600
Gross domestic product
USD 107 billion
Undergound stations 200
(of a world total of about 400)
Main export commodities:
Installed capasity 27 000 Mw
Oil and gas
Production of electric energy
Machinery, electrical equipment
Ships
(1990)121,6 TWh
Aluminium, steel, iron, othel' metals Dams over 15 m high 250
Pulp, paper
Excavated water tunnels 3000 km
Chemical products
Fish, fish products
Norway - the country of hydropower

HYDRAULIC DESIGN
ISBN 82-7598-027-5
Hydraulic Design
by Dagfinn K. Lysne, Brian Glover, Haakon Stole and Einar Tesaker.
Published by
Norwegian University of Science and Technology
Department of Hydraulic and Environmental Engineering
Printed by Tapir Uttrykk, Trondheim, Norway

Cover: Dam. Vessing waterfall
Photo: Trondheim Energiverk
Cover design: Leif Gaustad
About the authors

Dagfi n n Lysne was i ntended to be the main author of th is volume . At the
time of his sudden death in 2000, however, o n l y the outl i n e of the book
was ready and the work was cont i nued and f i n i shed by three other authors,
coord i n ated by Brian G l over. Dagfi n n Lysne, h i s background and rol e in the
Hydropower Development book series is presented separately.
Brian G l over took a Masters degree i n c i v i l engi neer i ng at the University of

Cambridge, U.K., fol l owed in 1974 by a P h D . in e n g i neeri ng hydrology at
the U n i versity of Newcastle-upon-Tyne. After 4 years worki ng in water
supp l y and construction of U.K.dams, he joi ned N ORPLAN in Norway and
si nce 1978 has p lanned and des i gned many hydropower and water
resources schemes i n Lesotho, Norway, Pakistan , Tanza n i a, Uganda,
Mad e i ra and Portuga l . From 1994-2001 he managed the upgrad i n g of
major hydro pl ants in Latvia, and is currently head of the N atural Resources
Division of N OR PLAN dea l i ng with river bas i n p l a n n i ng, hydrologic and
hydraul i c mode l l i ng, environmental and soc ial stud ies etc .
Haakon St01e took a Masters degree i n c i v i l engi neeri ng at the N orwegian

Institute of Tec hnology i n 1984, fol lowed by a Ph.D. at the same i nstitution
i n 1993. He j o i ned SI NTEF i n 1984 as a research engi neer where he worked
with i n the field of costal engi nee r i n g, hydraulic model stud ies, hydraul i c
design, sed iment transport and sed i ment hand l i ng a t hydro plants. He
establ ished the company Sediment Systems i n 1994. He j o i ned NTNU as
part-time associ ate professor i n 1997 and as a ful ltime professor in
hydraul ics and hydropower at the d epartment of Hydraul ics and
Environmenta l Engi neering at NTNU in 2001. H e has been i nvo lved in
hydro development projects, teac h i ng and research in B hutan, Eth i opia,
Nepal, Norway and Pakistan for 20 years .
E i nar Tesaker graduated as c i v i l engi neer from The Norweg ian I nstitute of
Tech no l ogy i n 1958, and obtai ned h i s d r. i ng degree ( P h D) i n hydrau l i c
engi neer ing from the same i n 1969. He worked i n a consulting firm before
joi n i ng SINTEF i n 1963 at the River and H arbour Laboratory, where he
occupied various pos itions unti l 2001. H i s activities at S I NTEF i ncluded
research and consulti ng i n r iver, coastal and offshore hydraul ics, with
sed iment transport as h i s ma i n spec ialty. He has been i nvolved i n projects i n
many countries i n Africa, As i a a n d Europe, a n d currently manages Tesaker
Van n AS, an i n dependent consulting firm .
I HYDROPOWER DEVELOPMENT I
VOLUME N O 8
HYDRAULIC DESIGN
by
Oagfinn K. Lysne, Brian Glover,
Haakon St01e and Einar Tesaker
2003
N ORWEGIAN UN IVERSITY OF SCIENCE AN D T ECHN OLOGY
DEPART MEN T OF HYDRAULIC AN D ENVIRON MEN TAL ENGINEERING
An Introduction to the Series
Hydropower planning covers a wide range of topics. Knowledge of technology, economics and
the environment is needed. Another requirement is for planning skills which largely depend on
professional expertise in the field. The transfer of experience to younger professionals has tradi
tionally come about through close and continuous working relationships between older and
younger colleagues.
Not all of this knowledge has been properly documented and there are few, if any, recent
textbooks dealing with all the topics involved. Most recent publications in the field have been
based on case studies. This situation has been the impetus for the present work. Compiling this
comprehensive and systematic documentation on the planning, design, construction and oper
ation of hydropower plants has been a challenging and time-consuming task.
In many industrialized countries professional expertise on hydropower is disappearing as the
countries' hydropower resources are becoming fully exploited. However, Norway and many
developing countries still have numerous unexploited hydropower resources. Since hydropower
is a clean and renewable source of energy when properly planned and managed, these resources
will be of increasing importance in the future. Safeguarding and recording our present knowl
edge and experience in hydropower engineering are therefore matters of global significance.
The Norwegian Contribution to Hydropower

Although hydropower technology is global in scope, the series reflects primarily Norwegian ex
perience. This is due to Norway's extensive exploitation of hydropower resources, encouraged
by the local topography, geology and climate.
Most of the country is mountainous, and in recent geological times mighty glaciers formed
numerous lakes at high altitudes. This means that even small dams can create sizeable storage
volumes which can be further increased by underwater "lake-tapping" - a technique pioneered
by Norwegian engineers.
The country's geology provides a bonus since its mountains mainly consist of solid rock,
which makes the construction of underground power stations relatively inexpensive.
Norway's climate should also be considered. The country's annual average precipitation of
1 ADO mm has very uneven geographical distribution. During the winter, when the demand for
electric power is greatest, much of the precipitation is retained on the ground as snow.
As the cheapest and most readily available waterfalls have been exploited, necessity has be
come the mother of invention forcing design engineers to find new solutions and adopt im
proved technologies. Such schemes have not only broken new ground, but are also economi
cally viable. Norway's particular natural characteristics and the pressing demand for economi
cal design have given rise to methods and solutions which represent major advances in hydro
power technology and which are widely applicable to hydropower schemes in other countries.
The embodiment of Norwegian hydropower experience in this series not only meets the
needs of Norwegian engineers but will also be of great value to engineers engaged in the plan
ning, construction and operation of hydropower plants elsewhere in the world.
About the Volumes

All volumes in the series are presented on the back cover of each volume. Each volume deals
with a separate topic. The theoretical basis for each topic is set out and followed by a descrip
tion of how it is applied in each discipline in practice. Each volume is thus a distillation of cur
rent thinking and practice within that particular topic or field.
The series is planned so that its volumes can be combined to meet the needs of different
groups of readers. It should be noted that most of the content of each volume is original and has
not been published before in existing textbooks. This means that when planning a complete
course in hydropower engineering, this series will provide a valuable supplement to conven
tional textbooks.
Acknowledgements
The authors of the respective volumes are all leading professionals within their fields. The Editing
Committee wants to extend to each of them its most sincere thanks for outstanding and unselfish
efforts in realizing this project.
The Committee also wants to express its gratitude to all financial supporters whose contribu
tion made the realization of the project possible.
Trondheim 2003
Editing Committee
DAGFINN K. LYSNE - AN APPRECIATION
This series of 1 7 volumes on Hydropower development is the work of a team

of more than 40 authors, under the supervision of a seven person editing
committee. It is thus the result of a very substantial collective effort.
Nonetheless it is appropriate to highlight the work of one person who
contributed more than any other to the realization of this series, that is
Professor Dagfinn K. Lysne. There is no doubt that this series is a result of
his vision, his tireless effort work and the inspiration he provided the rest of
the team during the whole process. It was his intention to be the main author
of this volume, but he was unable to complete the work before his sudden
death in the year 2000. It is very sad that Dagfinn could not see this
ambitious project out. Now this volume and the volumes that remained to be
completed when he died, have been finished. All of us who remain have
tried to follow in his footsteps and to maintain his demanding scientific and
engineering standards.
Dagfinn K. Lysne was born in Lrerdal in mid-Norway in 1 934. He left home at

an early age and took his B .Sc. degree at the University of Colorado in 1 959,
followed by an M.Sc. at the same university in 1 962. He then worked for three
years in the USA before returning to Norway in 1 963 to take up employment
at the Norwegian Institute of Technology (NTH) and at the River and Harbour
Laboratory (VHL) at the Foundation for Industrial and Scientific Research
(SINTEF). At the same time he canied on with his own professional studies,
which led to the award of a Licenciate at NTH in 1 970. The subject of his
thesis was sheer stress in turbulent tunnel-flow.
This was a period of extremely rapid development in Norwegian hydropower

technology, and the River and Harbour Laboratory served a series of
important functions in the great hydropower era of the 70s. Dagfinn K. Lysne
played a key role in this process, and his scientific leadership of large complex
projects in Norway and abroad laid the foundations for the scientific renown
in the hydropower field that the Norwegian University of Science and
Technology (NTNU) , SINTEF and the Norwegian consulting companies still
enjoy. During this period Lysne actively participated in projects in many
countries, including Iceland, Brazil, Thailand, Nepal, Papua New Guinea and
Tanzania, to mention only some of the most important.
These international activities were conducted in partnership with Norwegian
consulting companies. For some years, from 1 98 1 to 1 985 he was a project
manager for Norconsult and a specialist in hydraulic design for a series of
large, complex projects in Africa, Latin America and South-East Asia. When
the establishment of a University chair in Hydropower at NTH was announced
in 1 984, the whole hydropower industry was keen to see Dagfinn K. Lysne
apply for it, and there was a real sense of appropriateness and reassurance
when he let himself be persuaded to move back to Trondheim as a professor at
NTH in 1 985.
From 1 985 until his death he divided his enormous capacity for work and his
professional enthusiasm between four main fields of activity, that is teaching
Norwegian students, directing the international M.Sc. course in Hydropower
Development, developing hydropower schemes in Nepal and establishing and
running the International Centre for Hydropower (lCH). It was also at this
time that he took the initiative that culminated in the documentation of
Norwegian hydropower technology in this series of volumes.
Since the early 90s, the Norwegian hydropower sector had been seeking a
forum where the international i ssues confronting hydropower could be
discussed, and which could also serve to profile the high level of Norwegian
expertise in this area. Dagfinn K. Lysne was a central figure in this work, and
he will be regarded as both the "midwife" and godfather of the International
Centre for Hydropower (ICH), which was established in Trondheim in 1 994.
He was chairman of the interim board of ICH and thereafter a member of the
board. He was also the Centre's most important adviser and supporter. ICH
benefitted greatly from his wide-ranging national and international network
of contacts, for example in the International Commission for Large Dams
(ICOLD) and the International Energy Association (lEA).
It may be appropriate to conclude this appreciation by mentioning Lysne's

work in Nepal. In this Himalayan mountain land he identified the needs,
challenges and possibilities that particularly attracted his interest and efforts
dming the final years of his working life. Together with students and
colleagues at NTH and SINTEF he built up a laboratory for studies of the
special problems that face hydropower engineers in heavily sediment-loaded
rivers in the Himalayas. His vision was that of a perpetually renewable
hydropower bringing light and energy to the towns and villages of Nepal,
encouraging development and raising the standards of living of the people of
that country. He cast himself into this work with great energy, without sparing
himself, even after being advised that his heart might do better if he
moderated his tempo of work. Unfortunately, he was less able to think of
himself than of others; there was simply too much to be done.
We will always remember Dagfinn K. Lysne with gratitude and respect. This
series is therefore dedicated to him, he who, more than anybody else, made it
possible.
The Editing Committee

CONTENTS
1 HYDRAULIC DESIGN IN HYDROPOWER . . . . . . . . . . . . . . . . . . . . 9 .
1. 1 Introduction . ...
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 .
1 . 2 The Design Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 .
1 . 3 A Spillway as an Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

1. 4 Hydropower Project Components . . . . . . . . . . . . . . . . . . . . . . . . . . .12
1. 5 Categories of Power Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
1 . 6 Mini- and Micro-Hydro . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14
2 THEORY OF HYDRAULIC DESIGN 17 . . . . . . . . . . . . . . . . . . . . . . . . .
2 . 1 Classification of Flow . . . .17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. 2 Turbulent and Laminar Flow. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18 .
2 . 3 Velocity Head and Specific Energy . . 19 . . . . . . . . . . . . . . . . . . . . . . . .
2. 4 Formulae for Uniform Flow . . 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2 . 5 Unsteady Flow and Saint-Venant's Equations . .... . . 24 . . . . . . . . . . .
2. 6 Formulae Used for Wave and Surge Calculations . . . 26 . . . . . . . . . . . .
2. 7 Non-Stationary Pipe Flow . .. .. . . 27 . . . . . . . . . . . . . . . . . . . . . . . . . .
3 DESIGN STRATEGIES FOR HYDRAULIC STRUCTURES . . . . . . 31

3 . 1 Design Strategies .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3 . 2 Climate and Hydrology Affect Design Strategy . . . . . . . . . . . . . . . . 32
3 .3 Defining Design Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3 . 4 Common Problems and Pitfalls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
3 . 5 Stability of Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
3 . 6 Attention to Details . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4 HEADWORKS AND INTAKES . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 4 1

4 . 1 Introduction ........................................... Al
4. 2 Reservoir Versus Run-of-River Schemes . 0 42 . . . . . . . . . . . . . . . . . . .
4. 3 Run-of-River Schemes - Performance Standards 0 43 . . . . . . . . . . . . . .
4. 4 Run-of-River Schemes - Intakes 50 . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4. 5 Reservoir Schemes . . . 55
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4. 6 Intake Hydraulics . . . . . 58. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5 SPILLWAY AND OUTLETS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

5 . 1 Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 . . . . . . . . . . . . . . .
5 . 2 Spillway Gate . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . 65

. . . . . . . . . . .
5 . 3 Bridges and Piers .

. . . . . . . . . . . . . . . . . . . . . .. . . .. 66 . . . . . . . . . . . .
5 . 4 Design of Spillway Crests . . . . . . . . . . . . . .. . .. . . 67 . . . . . . . . . . . . .
5 . 5 Shaft of Syphon Spillways . . . . . . . . . . . . . . . . . 69 . . . . . . . . . . . . . . .
5 . 6 Brook Inlet Spillways . . . . . . . . . . . . . . . . . . . . . 69 . . . . . . . . . . . . . . .
5 . 7 Steep Spillway Chutes . .. . . . . . . . . . . . . . . . . . . 70 . . . . . . . . . . . . . . .
5 . 8 Chutes of Moderate Slope . . . . . . . . . . . . . . . . . . 72 . . . . . . . . . . . . . . .
5 . 9 Submerged Outlets . . . . . . . . . . . . . . . . . . . . . . . 74 . . . . . . . . . . . . . . .
5 . 10 Spillway Fuse Plugs and Tipping Gates . . . . . . . . 74 . . . . . . . . . . . . . .
6 ENERGY DISSIPATION STRUCTURES . . . . . . . . . . . .. . . . . . . . . . . 77

6. 1 Norwegian and Foreign Experience . . . . . . . . . . . . . . . . . . ... . . . 77.
6. 2 Process of Energy Dissipation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77.
6. 3 Strategy for Energy Dissipation . . . . . . . . . . . . . . . . . . . . . . . . . . . 79.
6. 4 Stilling Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.
6 . 5 Flip Buckets . ... . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 .
6. 6 Scour and Erosion Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 .

7 PENSTOCKS AND CONDUITS ...............................9 5
7. 1 General . . . . . . . . . .95 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7. 2 Friction Consideration 95 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7. 3 Losses in Bends ... . . . . . .97 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7.4 Losses in Transitions . . . . 98 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7. 5 Entrance and Exit Losses . 99 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8 TUNNEL AND SHAFT WATERWAYS ........................ 101

8. 1 General .. . .
. . . .. . . . . .. 101
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8. 2 Friction Losses . ..... . .

. . ... . . .101
. . . . . . . . . . . . . . . . . . . . . . . . .
8. 3 Shapes of Tunnel .. ... . .... ...... . ...

. . 103
. . . . . . . . . . . . . . . . .
8. 4 Singular Losses ........................................106

8. 5 Losses at Niches and Rockfalls . .... ..... ... . . . 107 . . . . . . . . . . . .
8. 6 Effect of Tunnel Lining on Losses ... . . .. ... . ... 109 . . . . . . . . . . .
8. 7 Optimising Tunnel and Shaft Size .. ..... .. .... ..... .109 . . . . . . .
8. 8 Intakes and Gate Plugs ..................................111

8.9 Lake Tap Intake Construction .............................111
9 SEDIMENT TRANSPORT AND SEDIMENT HANDLING ...... 117

9. 1 Introduction ...........................................117
9. 2 Sediment Transport in Theory.............................119
9. 3 Sediment Data Needs for Hydropower ......................128
9.4 Settling Basin Design . .. . . .. .136
. . . . . . . . . . . . . . . . . . . . . . . . . . .
9. 5 Reservoir Sedimentation ... . . . . .14 5 . . . . . . . . . . . . . . . . . . . . . . . . .
9. 6 Handling of Sediments in Reservoirs . .. . 14 7 . . . . . . . . . . . . . . . . . . .
9. 7 Scour Protection Works ... ... . . .... .155. . . . . . . . . . . . . . . . . . . . .
10 HYDRAULIC MODELS .................................... 159

10. 1 Introduction and History .. .. ........ ..... . 159 . . . . . . . . . . . . . . .
10. 2 Problems Suitable for Laboratory Modelling .................160

10. 3 Hydraulic Laboratory Models .............................162
10. 4 Model Laws for Scaled Models. . . 164 . . . . . . . . . . . . . . . . . . . . . . . . .
10. 5 Problems Requiring Special Modelling Techniques .. 166 . . . . . . . . . .
10. 6 Model Calibration .... .. ..... .. . ... . .168 . . . . . . . . . . . . . . . . . . .
10. 7 Hydraulic Laboratories .... . .. ... . .. . .. 17 0 . . . . . . . . . . . . . . . . . .
10. 8 The Future of Hydraulic Models ...........................17 0

10.9 Principles of Numeric Modelling ......... . ..... . 17 1 . . . . . . . . . .
APPENDIX A ............................................ 17 7
DESIGN AND CONSTRUCTION OF SPILLWAY AND
DIVERSION WORKS ...................................... 1 7 8
A. 1 General Comments . .. . . . . ....17 8
. . . . . . . . . . . . . . . . . . . . . . . . . .
A. 2 Spillways .. ... . .. ..
. .
. . ...
. . .. .17 8
. . . . . . . . . . . . . . . . . . . . . . .
A. 3 Submerged Bottom Outlets and Diversion Works ..............184

A. 4 Air Entrainment and Air Supply ... . . . . .188 . . . . . . . . . . . . . . . . . . .
A. 5 Protection Against Erosion ....... ... ... .189 . . . . . . . . . . . . . . . . .
A. 6 Hydraulic Model Tests . ....... . . ... .....19 0

. . . . . . . . . . . . . . . . .
A. 7 Field Inspection and PeIformance Testing ...................19 0

A. 8 References ............................................19 0
REFERENCES ............................................19 1
1.
HYDRAULIC DESIGN IN HYDROPOWER
1.1 Introduction
Hydropower involves harnessing the energy in flowing water, and it is not sur
prising that hydraulics is foremost in many of the design challenges which
hydropower projects hold. A basic knowledge of hydraulics is essential for
any hydropower engineer, and indeed many countries use the title "hydraulic
engineer" to describe their specialists in hydropower design. This book is
designed to assist the civil engineer in practical design of hydraulic structures
contained in hydropower projects.
Therefore, this book will not go deeply into the basics of hydraulic theory, but
rather assume these to be known by most readers, or to be adequately
described in standard text books. For those who wish a better understanding of
hydraulic theory, references [ 1 ] , [2], [3], [ 1 0] , [ 1 5] and [ 1 9] are recommended.
Nevertheless, for the sake of completeness, a brief introduction in the theory
of hydraulic design is given in Chapter 2 and some essential equations are
given there, or occasionally in the following chapters.
The aim of the book is rather to give practical guidance on the application of
hydraulic theory to the design of hydraulic structures, and to document how
hydraulic structures have been designed in the past, particularly in Norway,
balancing hydraulics with other design considerations such as cost and safety.
1.2 The Design Process

Design of hydraulic structures requires the integration of technical, economic,
safety and environmental design criteria into a process which gradually devel
ops the final optimum design of the structure. The process should usually lead
the designer through several circles where all of the design criteria are exam
ined in turn, but where each circle leads to a more precise design. An attempt
to illustrate the process is shown in Fig. I . I , and an example is given later.
9
Hydraulic Design in Hydropower
Start
Life-cycle cost Technical

opti m i sation functionality
(hydrau l ics,
stabil ity etc . )
Safety and
environment
Fig. 1.1
The design process. Conceptual design
The outer circle may represent the first conceptual design of the structure
where matters such as its location, orientation and general form of the struc
ture are determined. This process is often described as the "design on the
back of an envelope" because of its "sketchy" nature and the lack of elaborate
calculations. This is a very creative process where various ideas are brought
in. Although many of them are rejected, the good ones are retained in the
conceptual design of the structure. Technical calculations are few in number
and only approximate, but all of the design criteria must be addressed and the
concept is not satisfactory until all major cliteria have been satisfied and the
outer design circle in Fig. l . l has been completed. Hydraulics has a role to
play, and the designer must have a good feel for the hydraulic functionality of
the structure ( e.g. identifies and pays attention to zones of erosion damage),
if necessary checking by applying some commonly used hydraulic equations.
The design process can then move on to an inner circle where the design is
detailed to a greater degree and the calculations of its functionality, cost,
safety and environmental impact are made in more detail, and some major
parameters optimised. This circle might be termed the "feasibility design",
where the resulting design is optimised, costed, and documented in a few lay
out drawings showing major dimensions and quantities. At this point it is pos
sible to assess and document the environmental impact of the structure,
including any safety aspects, and propose any mitigation measures for signifi
cantly negative impacts. The design should not change substantially after the
completion of this circle, since documentation of the project would conse
quently have to be reworked, new costs derived, and new editions of the feasi
bility reports and environmental impact assessments produced and submitted.
At this stage in the design there may occur a pause of about one year or more,
while the project is being scrutinised, approved and financed. An extra circle
may be added to refine the design for production of tender documents (if
10
applicable), but in many cases the construction may be approved on the basis
of feasibility designs alone. This latter case has become more common in pri
vate sector financed projects where tender competitions for construction are
rare, and if used may be based on a "design and construct" form of turnkey
contract where the contractor is assigned responsibility for the further design
of the structure. The hydraulic design aspect is central in this process, and the
main dimensions of the structure are mainly a result of hydraulic calculations,
combined with calculations of structural stability under different hydraulic
load situations, and naturally cost considerations.
There is, however, a need for at least one final circle where the detailed or final
design of the structure is made and construction drawings issued to site. Hope
fully this process will not alter the major dimensions of the structure, but
rather add detail to all parts of the structure, preparing the appropriate rein
forcement drawings, steel gate details etc . , thus allowing manufacture to start
and site construction works to begin. The hydraulic design may already be
substantially complete and only checks on hydraulic functionality need be
made. If not already done, the final hydraulic calculations must be written up,
and the results of any hydraulic model tests or computer modelling docu
mented in their final form. The hydraulic specialist should be involved in final
detailing also, particularly in the shaping of details such as grooves, joints and
transitions in high velocity flow regions.
To measure the success of the design process, one can revert to the outer cir
cle, i.e. the original design concept, and compare this with the final design. If
the two are roughly similar, the design concept has been judged sound and
worthy of further refinement and approval. If they are different, it implies that
the original concept was found lacking or did not fulfill all the design criteria
in an optimal way. This can be likened to jumping out of the Oliginal design
circle and creating a different design concept (a new circle) which later proved
to be the one which enabled the final design to be "circled in" and finalised.
1.3 A Spillway as an Example

We may take the example of a spillway for a dam to illustrate the theoretical
design process described above. In the outer circle, its technical functionality
may be determined by choosing the design outflow flood, and working out
what width, height and level the structure must have to pass this flood at an
acceptable reservoir level. Consideration of costs and economics will result in
a good siting for the structure, for example where rock is known to have a suit
able foundation level or good erosion resistance can be expected of down
stream terrain. Safety and environmental aspects must be considered seriously
at this stage otherwise the concept will not be sound. Considerations would
then include the advantages and disadvantages of installing and operating a
gated spillway, with the resultant risk of human operator failure and safety
risk. The impact of energy dissipation should be considered on the environ
ment. Will the structure result in unacceptable erosion or spray generation,
and if so can it be redesigned to reduce the problem? Will the structure cut off
access during spills, and if so is a bridge needed and where?
11
During the next design circle the designer will pedorm numerous hydraulic
calculations of the structure's operational functionality under different condi
tions (high floods, extreme floods, ice-free and ice-cover conditions, one gate
open, all gates open, with trash disposal etc.). At the same time the structural
stability of the structure will be calculated, and some major dimensions deter
mined ( breadth of gate pillars, depth of downstream slab, upstream grout cur
tain, downstream drainage blanket etc.). Costs will be determined largely
after, and as a result of the hydraulic design, but the designer must have a good
feeling for whether the chosen design is cost-effective over the life cycle of
the structure. The designer must not leave the design incomplete in that envi
ronmental impact is considered unacceptable. If for instance the spillway
alters downstream flow patterns or results in inadequate energy dissipation,
the designer must include and cost erosion protection works as far down
stream as is necessary. Flood protection works upstream must be designed and
included in costs for the same reasons.
Finally during the final design process, the hydraulic designer may wish to
use a hydraulic model to better document the functionality of the structure,
investigate the success of the energy dissipation structures, and if necessary
refine the design. This applies to most complex spillways, and is further dis
cussed in Chapter 1 0 . The hydraulic designer should also check all details,
particularly in high velocity flow regions, ensuring that cavitation risk is
minimised.
1.4 Hydropower Project Components

The different components of a hydropower plant present different challenges
to the designer, all with an element of hydraulics involved. For instance, the
headworks structures must be designed to control water levels, pass floods
safely without damage or overtopping of the dam, and allow sediment to be
flushed past or settled for removal in a controlled manner. The intake must
allow water to enter the waterways smoothly with minimal energy loss, mini
mal vortex formation and minimal sediment ingress, as well as containing an
arrangement to divert or block unwanted trash and floating debris. In cold cli
mates ice formation is an important extra consideration. Design of headworks
is the subject of Chapter 4.
Spillways and outlet structures are diverse in nature, where hydraulic consid
erations play a very important role as described in Chapter 5. These structures
usually create a need for substantial energy dissipation downstream, and this
is the subject of Chapter 6, where various types of energy dissipation struc
tures are described. Here the objective is to ensure that the enormous energy
contained in flood flows is safely passed and dissipated with a minimum of
erosion or scour, ensuring the structure remains intact and stable for its long
design life of 1 00 years or more.
The hydropower waterways will often consist of canals, tunnels and penstocks,
all of which are designed for minimal loss of energy, generally through designs
which ensure smooth flow conditions with only gradual changes in direction
and velocity. Chapter 7 describes the design principles used for smooth con
duits, while Chapter 8 describes the interaction between hydraulics and other
12
design aspects for rough conduits, which comprise most of the tunnel and shaft
waterways constructed in a modern hydropower project.
The flow will be controlled by gates or valves, and this equipment is described
in Book 1 2 of the series on Mechanical Equipment, together with the
hydraulics of the hydropower turbine itself. However there are important prin
ciples to be followed in designing and detailing the structures containing the
gates, as bliefly desclibed where relevant in Chapters 4- 8.
Sedimentation in reservoirs and design of sediment handling facilities are

increasingly important aspects of hydropower projects, particularly in tropical
climates and mountain regions. Chapter9 is devoted to this subject alone, and
recent research and development has led to advances in sediment handling.
This includes sections on scour and bank protection as well as a brief intro
duction to the complex theory of sediment transport.
Almost all hydropower plants of any magnitude have necessitated the use of
either physical or numerical models when theoretical calculations become dif
ficult or umeliable. The art of utilising hydraulic models for refining designs is
a subject in itself, and is covered only briefly in Chapter 10.
Although this book is primarily intended to document the development of

hydropower engineering in Norway, this country is blessed with a climate,
topography and geology which means that major flood events are only moderate
in size. As a result, the hydraulic design problems associated with them are rela
tively moderate and can be overcome at low cost. Thus it is necessary to utilise
some examples from tropical climates to illustrate many of the major design
challenges facing the hydraulic designer in such countries. Perhaps more than in
other books in the series, this book will be drawing on foreign experience
gained by Norwegian consultants and research institutions from an increasing
number of projects now constructed around the world in tropical climates.
1.5 Categories of Power Plants

There are many ways of categorising hydropower plants as shown in Table 1 . 1
below.
PARAMETER CATEGORIES
Storage capability Run-of-river versus storage scheme (dai ly, weekly
or seasonal)
Role in the power Base load, peak load or pump storage.
system Isolated power plant, cascade p lant or plant in an
integrated power system
Table 1.1
Size (installed capacity) Micro, mini, small, medium, large
Categorising
Type of turbine / head Bulb, Kaplan, propeller, cross-flow, Francis, Pelton
hydropower plants.
Hydropower plants are often categorised according to their capacity to store

water and this has significant bearing on the hydraulic design challenges they
pose. The storage capability or the size of the reservoir related to the mean
annual inflow (Capacity to Inflow Ratio - CIR) is a useful parameter to differ
entiate hydropower plants. The CIR illustrates the level of flow regulation in a
13
river. The CIR is particularly an important parameter when it comes to

hydropower development in sediment-loaded rivers. For instance, the lifetime
of a reservoir is directly linked to the CIR, the average concentration of sedi
ments in the river flow and the trap efficiency of the reservoir.
1.6 Mini- and Micro-Hydro

Although this book is mainly addressing the hydraulic design of structures
included in large and medium sized hydropower plants, a special mention
must be made of the approach to mini- and micro- hydro plants. These are
often defined as plants with a capacity of some 1-2 MW or less.
Hydraulic design principles apply to all hydropower plant structures irrespec

tive of scale. Where appropriate, and when design budgets permit, it is advis
able to go through the design processes described in this book for all scales of
plant. This approach will give the best results in a well-functioning safe and
reliable hydropower plant. However, it is often considered inappropriate and
too costly to carry out full and detailed design of all hydraulic structures in a
mini-hydropower plant, and certainly the economics of micro-hydro almost
always prevents the engagement of professional hydraulic designers.
Therefore compromises must be made, and hydraulic design may be curtailed

or reduced to the extent of the project designer applying general rules from
guidelines and textbooks. There are some excellent design manuals available
for micro-hydro, such as references [4] and [5] .
Mini-hydro projects of 200 k W capacity or more, and all dams which are clas
sified as dams in the relevant national legislation (in Norway dams of 4 m or
more in height), should be checked for good hydraulic design by an experi
enced designer. Faulty design of spillway structures can lead to serious acci
dents if for example the dam becomes overtopped, or erosion below the faulty
structure leads to structural failure. It is therefore strongly advised that
hydraulic design of mini-hydro also incorporates a hydraulics specialist if the
rest of the design team do not have sufficient experience in hydraulics.
The design principles applied to mini-hydro are no different from those

applied to large hydro. The difference is simply the scale of the problem, the
design budget available and the resultant need to simplify the design calcula
tions and take care of essential principles rather than refining the details. The
design capacities of all hydraulic structures should be documented, the energy
dissipation examined and considered in the design, the head loss calculated
and included in optimising waterway dimensions and sizes of gates etc.
The content of this book can therefore be very relevant for the designer of a
mini-hydro scheme as well, but design of such schemes should always con
sider how far the hydraulic detailed design can and need go. It should always
be remembered that the book has primarily been written with larger projects in
mind, and some chapters will become less relevant, allowing short-cuts to be
made where appropriate.
14
Fortunately, high velocity flow problems are often non-existent in mini-hydro,

and energy dissipation needs are usually small. Sediment sluicing and sedi
ment handling may become an even greater problem than with larger hydro
plants. Therefore Chapters 4 and 9 should be considered essential reading for
the mini-hydro plant designer. Failure to adhere to basic design principles on
sediment handling has lead to complete failure and abandonment of many
mini-hydro plants around the world, and is one of the most common reasons
for their failure to perform as planned.
Mini-hydro design will try to avoid underground constructions, and canal

design will become the predominant hydraulic design challenge. Canal lining
will be important in weighing the advantages of minimal head loss and water
loss with construction difficulty and cost. Mini-hydro plants around the world
have ususally found it economic to include a canal lining rather than omit it,
and without a lined canal, cleaning and maintenance can become a big prob
lem for economic operation.
Similarly, choice of penstock material is often an area where hydraulic calcu

lations are needed in conjunction with evaluation of pipe availablity, cost,
transport and construction difficulty etc.
Hydraulic models are seldom j ustified for mini-hydro plants, although simple
rough scale models built cheaply can become a useful design tool, particularly
for demonstrating three-dimensional flow patterns, and the design is usually
improved when such a model has been used. Numeric computer models can
be used, but are expensive and require skilled specialists. Application of gen
eral rules, simple equations and empirical formula are prefelTed, together with
a conservative attitude in the design of some mini-hydro components. For
instance it can be more expensive to use computer programs to determine
dynamic instability problems than to modify the design conservatively at the
outset to avoid any uncertainty.
15
2.
THEORY OF HYDRAULIC DESIGN
2.1 Classification of Flow

Hydraulic theory operates with the following classification of flow conditions:
A Steady flow (not varying significantly with time)

- Uniform flow (not varying along the length of the flow)
- Varied flow (depth or flow geometry varies along the stream direction)
- Gradually vmied flow
- Rapidly varied flow
B Unsteady flow
- Unsteady uniform flow (very rarely encountered)
- Unsteady varied flow
- Gradually varied unsteady flow
- Rapidly varied unsteady flow
Furthermore, the flow can either be free sUlface (open channel) flow, or can be
contained in a conduit without a free sUlface. All the above categories can
apply to both open channel and contained types of flow. However, with the
exception of very long uniform waterways, most hydraulic design associated
with hydropower engineering comes under the category of varied flow. The
simplest design exercises are those where steady flow is gradually varied,
Rapid Gradual Rapid Gradual Rapid Gradual Rapid
---
Sluice . \
- -
.£ Energy line
\.
- - +I � Flow over
gate
Contraction
below
the gate __ ��II{
Hydraulic
jump � I(
. - - - --- __
1
\\ \'
a weir
///
,-- -- - - ---
- -
Fig. 2.1
Different types of
steady flow (from [1]).
17
Themy of Hydraulic Design
while rapidly varied steady flow must also be calculated in connection with
hydraulic drops or jumps (see Fig 2. 1 ) . Most of the remainder of this chapter
will discuss these cases, since many hydraulic designs can be made using
these calculations alone.
On the other hand, rapidly varied unsteady flow involves complex mathematics,
normally tackled by advanced computer programs and hydraulics specialists.
This is the area where water-hammer, surge and hydraulic stability problems are
to be solved, a subject which is considered best left to specialists rather than
tackled as an integral part of the overall design of hydraulic stlUctures. Never
theless, a basic understanding of rapidly varied flow is essential to any designer,
and this book gives some approximate lUleS of thumb and some desctiptive
accounts of dynamic problems and how they can be solved in the design.
2.2 Thrbulent and Laminar Flow

Flow types are further divided according to the effect of viscosity. When flow
is slow and has a low inertia, the effect of viscosity is dominant and determines
the flow behaviour. This is called laminar flow, because the water particles
travel in smooth relatively straight lines, with infinitesimally thin layers of
flow sliding at different velocities past each other without mixing between lay
ers. Typical flow velocity distribution is as shown in Fig. 2.2 with increased
velocity related to distance from the boundary or pipe wall. Lamjnar flow
occurs generally in smooth pipes with low velocities, and is seldom encoun
tered in the engineering of hydropower schemes. However, particular attention
must be paid to viscosity effects and laminar flow when small scale physical
models are used to test the hydraulics of the schemes (see Chapter 10).
---- ,--------- ---t-------

I �i iL
f--
h
�
SOUndary
layers
Fig. 2.2
---- ' --------- �- -- -------
Typical velocity dis

tributions of turbulent
and laminar flow. Laminar flow Turbulent flow
Any small irregularity in the flow direction or streamline is likely to disturb

the laminar flow pattern, and the flow soon becomes turbulent, particularly
when inertial forces overshadow any effect of viscosity. The relative impor
tance of these two factors is determined by the Reynolds Number, Re where
V·L
Re = - (2. 1 )
V
V i s the velocity of flow, V is the hlnematic viscosity of the liquid at the pre
vailing temperature, and L is a measure of length, usually set equal to the
18
Theory of Hydraulic Design.
hydraulic radius of the conduit or the diameter of the pipe or the diameter of
the particles falling through the liquid. At low Reynolds Number (up to
approximately 500 for pipes and open channels) flow is laminar while at high
Reynolds number (above 4000 for pipes and 1 2500 for open channels), the
flow is fully turbulent. Unfortunately there exists a transition zone between
these two where neither of the sets of hydraulic theory is fully applicable and
hydraulic calculations can become awkward or tend to misrepresent the real
life flow situation. Fortunately for hydropower designers the transition zone is
only rarely encountered, and fully turbulent flow is the general rule.
Turbulent flow can be represented reasonably accurately by inertial forces

caused by gravity alone, and the dimensionless Froude Number F, is an
important factor by which to categorise turbulent flow regimes.
F=_V_ (2.2)
�
In this case the parameter d usually represents the mean depth of flow across
the channel section (area of flow divided by length of free smface).
Flow at low Ft"oude numbers is charactelised by smooth surfaces and very lit
tle formation of eddies, and is called sub-critical flow. A very important
change occurs as velocities increase and the Froude number passes 1 .0. The
smooth flow becomes faster, the depth becomes lower and the flow is rather
unstable. This is known as super-critical flow, and surprisingly sudden
changes can occur (rapidly varied flow) such as the hydraulic jump when the
flow will suddenly return to deeper sub-critical state, but with considerable
turbulence and associated loss of energy. Three dimensional effects can
become important and can cause flow irregularities, standing waves and a tur
bulent and unpredictable flow behaviour, with disruption of the free smface
(visible as "white water" with extensive spray or air entrainment).
2.3 Velocity Head and Specific Energy

The reader is referred to standard hydraulics textbooks such as references [ 1 ] ,
[2] , [3], [ 10], [ 1 5 ] , [ 1 6], [ 1 8] , [ 1 9] etc. for the description o f energy and
momentum principles, so we will move on to describe the consequences of
these important principles, and particularly to the energy line and the impor
tant concept of velocity head. Flowing water can be measured by its free sur
face level and its contained energy line, described by adding the velocity head
to the smface level. The velocity head is defined as a · V 2 ! 2g , where a is a
coefficient depending on three-dimensional effects or cross-channel turbu
lence. For nOlmally straight or smooth channels a is approximately 1 .0 and
can be neglected. However in meandering river channels it again becomes sig
nificant and should be estimated and reintroduced into the equations. It is an
important peculiarity of the velocity head that it is equivalent to half of the
mean flow depth when the Froude Number is 1 .0 (flow at critical depth - see
Fig 2.3).
19
Theory of Hydraulic Design
Energy line l _ _ _ _ _ _
Velocity head = Vm2/2g

Mean velocity = Vm
Mean depth = dm
Fig. 2.3
Critical flow when dm = Vm2/g
Flow at critical depth
in a channel.
Another useful concept is that of specific energy, E, defined as
V2
E = D · cos 8 + a - (2.3)
2g
This gives a measure of the energy contained in the flowing water above the
channel bed as it passes over varying sections of the channel or pipe, and can
be drawn by adding the values of E to the bed profile at all points along the
flow direction. This line is known as the energy line for the steady state flow
condition being examined. Specific energy may vary as the bed profile varies,
but total energy must always decrease along the flow direction, i.e. the energy
line must always fall relative to the horizontal plane. The loss in energy line
level is termed the hydraulic loss, and is usually measured in terms of the head
in metres. Some examples are illustrated in Fig 2. 1 , showing how friction and
gradual transitions cause energy losses and decrease the value of total energy
relative to a horizontal datum line. Particular note can be taken of the concen
trated loss in energy found in a hydraulic jump, which is a case of rapidly var
ied flow and requires further explanation.
A plot of flow depth against specific energy for any particular channel for a
given discharge will reveal the characteristic shape shown in Fig 2.4. There
are two asymptotes, one as the velocity approaches zero, and the velocity head
becomes negligible in relation to depth of water (the 45 degree line asymp
tote), and the other as velocities become faster and the velocity head becomes
very large relative to depth. A particular feature of this diagram is the observa
tion that most values of specific energy have two alternative depths of flow,
one supercritical y1 and one subcritical Y2. However there is only one value
- -
of critical depth Yc at the position of minimum specific energy, which is the

-
critical flow condition F = 1 . O.
->-
N
0
....
.r:.
y
0.
>: (])
>- -0 C
0 (])
"
.... ! !
(]) :::>
Energy line
.r:.
I. I'
£�-
.r:.
··· : : i;;, ''- ··· · F r��2;· ,{�f

'
/
· p
0. 0. ro Y2
(]) (]) E
-0 -0
2
(]) Y2 Y2
«
ro
c
_____ _ _ _ � - - -L - - - - - - - - - - -
-- -------r- ; : l t
2 - Yc
_____ �____ _____ _____
! 0 Q� I
_
p
E2
C' 1 :
1_ _ _ _ _ _ _ _
« ,
= l ----------- --- --- ,
Y
"---
--- -1---c--
I -----O- --
-- 0
0 E 2 ,1 1 El E
Fig. 2.4 I�I Initial
Specific energy and depth
alternative depths. Specific-energy curve Hydraulic jump
20
TheOlY of Hydraulic Design
This diagram helps greatly in the understanding of the hydraulic jump. A

supercritical incoming flow on a relatively flat channel will have properties
placing it in the bottom half of the curve. The flow can continue like this until
some discontinuity or protrusion in the channel section, or even friction forces
cause it to retard suddenly and jump back into the sub-critical state, but with
significant turbulence and loss of energy. The plot of specific energy in Fig 2.4
shows what has happened.
2.4 Formulae for Uniform Flow

Uniform flow in open channels is very often calculated using Manning's
equation:
Q = -.L . A - R 2 /3 . �Is (2.4)

n DO
where Q is the discharge in m3/s, A is the cross sectional flow area in m2 , R is

the hydraulic radius in m (A divided by the wetted perimeter), So is the bottom
slope, or more precisely tan(slope angle) and n is the Manning friction coeffi
cient. The inverse of n, symbol M or k, the latter known as the Strickler coeffi
cient, is also much used in Europe. This is an empirical formula which is not
dimensionally correct, which leads to the fact that the Manning friction num
ber M has the dimension m 1 /3/s.
Manning coefficients are found in [ 1 ] where also Cowan's formula for n is

found: 11 = (no+nj+112 +113 +114)m5' In this formula the contributions from 6 dif
ferent factors are used to compute Manning's n. The factors are "material
involved", "degree of irregularity", "variations of channel cross section", "rel
ative effect of obstructions", "vegetation" and "degree of meandering" (ref [ 1 ]
tables 5 .5 and 5.6). We also refer to chapters 7 and 8 for more details on fric
tion factors in closed conduits.
In practice, uniform flow is usually only achieved in long channels of uniform

slope and cross-section, such as those used in long headrace canals or in irri
gation projects. However, under some circumstances, natural river channels
can approach uniform flow conditions, and the flow in the river can be esti
mated by using the Manning formula over a stretch of the river with relatively
uniform width and depth. In this way the uniform flow depth in the river can
be used as a first estimate of the tailwater curve for a new power house site.
One of the properties of the uniform flow equation is that the depth of flow in
any channel where channel friction determines the hydraulic conditions will
tend to approach the uniform flow depth, no matter what the initial conditions
are in the channel.
Manning's equation can also be used in tunnels. The relation between the
work made against the fliction force Ff along the tunnel length L and the fric
tion head loss hf is Fr L mgh} where m is the mass of the water in the tunnel
=
F
of length L. B y using this and the fact that for uniform flow, So = S.r == _ 1
_ ,
II1g
we can rewrite Manning's equation on a more convenient form for tunnel
flow:
21
TheO lY of Hydraulic Design
(2.5)
where V is the average velocity.
The Ch€zy formula, V = C�RSo where

' C is the Ch€zy resistance factor, is
no longer used to any significant extent, but is mentioned here for the sake of
completeness.
When the average velocity, pipe dimensions and relative roughness are
known, a friction factor corresponding to the Reynolds number can be found.
The head loss is then found using the Darcy-Weisbach equation, which is the
most commonly used friction formula for determining losses in pipes and con
duits with uniform roughness. The Darcy-Weisbach equation relates the fric
tional loss hf and Darcy's friction factorfDarcy :
. L V2
11.r = jDareI'.
• (2.6)
2g
D �.
where L and D are the pipe length and diameter, V is the average velocity and
g is the acceleration of gravity. In a horizontal pipe or in a closed pipe circuit,
the frictional loss is a pressure loss: 11 = � , where p is the density and
1 pg
t1p is the pressure drop over the pipe length L. Otherwise, the frictional loss
can be a loss in potential energy or a combination of loss in potential energy
and pressure.
Darcy's friction factor is often called Moody's friction factor because it is

used in the Moody diagram (see Fig 2.5) which shows the friction factor as a
function of the Reynolds number. Laminar flow is observed up to about Re =
2000. The flow in a smooth pipe (glass, plastic) then follows the line marked
"smooth pipes" which is defined by the Prandtl-von Karman equation. At
Reynolds numbers above 2000 a critical zone is observed before the flow
becomes turbulent above Re "" 4000. For rough pipes, a transition zone is
found for Reynolds numbers above approx. 4000 before a state of complete
turbulence is obtained where the friction factor no longer varies with the
Reynolds number. The flow is turbulent in the transition zone, but the term
"complete turbulence" is reserved for the case where f is constant, i.e the flat
portion of the curves.
The flow in hydropower penstocks and tunnels is usually turbulent and fol
lows different trajectories in the Moody diagram depending on the relative
roughness £ (the equivalent sUlface roughness divided by the pipe diameter).
R
The zone above e "" 4 000 is usually applicable for the hydraulic design of
most hydropower penstocks and tunnels. One should keep in mind that f is a
function of the Reynolds number and therefore the velocity (except in the
regime of complete turbulence in rough pipes), so that one does not use the
same value for f when calculating the head losses for greatly different flow
rates in the same pipe.
22
: "oft t�,
I .
� � � 0.025
� ��
!::) � �.
� � N � �
Lamin r
Vl <::>
(1:> <::>
\.J)
Laminar Critical J:ansltlon�
(1:> �
........, '<
0.02
flow �zone"l _ zone "\ Complete turbulence, rough pipes
....
I�r-
0.01 8 .I 0.05
� O
S· -, I
,
�
- OQ 0.016 0.04
�
. i3
:::s
.....
.... 0.014 � �� 0.03
\
� '::+-,
r-- "\
;:.:
(1:>
C3
1:'1---
\
0.02
_
� ;:l 0.012
f} � �f� - I
t'-- t- I 0.015
is' z:;
<::>
'" 0.01 �Fa I�h:� --+-. r-
AJ
Cl)
Re , \ ��j';� � �
� 0.01
� di;!i: �' �....r-:I-�f-

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11 0.008 -
t:l ......
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Cl)
.....
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§: 0.008 0 .006
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<::> . ""'
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0.007
I 0.004
c
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0-
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f::::::-... I'
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� 0.005 0.001 <::>
�l' �r-r- '"
�
'" � \ �
'" .... 0.0008
II
0.0.32- 10-3- 1
(1:> <::>
�--- .... 0.0006
�
I �::::---"
'" ..... k (mm ) r-....
(1:>
��
•
I--t- .3
� 0.004 Riveted steel 1 0. 0004
t:l
'" tS..
0.0.0.211 552
Concrete
T
+-
--l-+---!-
....+.:
. I'+oI..++I--I-++++
?;-
....t':�t-- ff i:l
0.0002
-. Wood stave ... <;:
;:
.....
;:- 0.003
Cast i ron �!=::f::�
t-- r--
t--. . 1' .... .
0.0001
....
i=i'
r" ..... 1
Galvanized steel
640.0.000000003I J
1:; '
�r--I-. 0
(1:>
0.0.0045015
... '"
Asphalted cast iron
N
�
Commercial steel
Smooth pipes
r """� OOL�
0.00003
o'Q'
W �.
l'--
0.0025
or wrought i ron
�t::: ......
t"1--:r--
I ;:
D rawn tubing
I
0.002 1 1 I 1 111 1 1 'R::::: �-t..L 1 0.00001
8
1 03 1 04 1 05 1 06 1 07 10
ud
Reynolds n umber Re = -
v
Correct application of the Darcy-Weisbach equation can permit quite accurate

field verification of head loss calculations for old penstocks and even tunnels
of a wide variety of age and roughness. Further discussion of this subject is
found in Chapter 7 and detailed documentation of losses in old penstocks is
found in reference [7] . One should also note that the skin friction coefficient
for fully developed pipe flow is sometimes called the Fanning friction factor,
but fnure.\' = fAlutllly = 4 · fFtII/l/i/lg
In order to use these principles for open channel flow, a modified Moody dia
gram is used since the typical characteristic length dimension used in the
Reynolds number is different, and then becomes the hydraulic radius .
2.5 Unsteady Flow and Saint-Venant's Equations

Moving on to the hydraulics of unsteady flow, the mathematics becomes more
complex. For gradually varied unsteady flow, Saint-Venant's equations are
valid as described later. For rapidly varied unsteady flow, such as during gate
or valve closures, channel surges, turbine starts and stops, dam break situa
tions etc., special methods should be applied. However, Saint-Venant's equa
tions are sometimes used as a first approximation.
The mathematics becomes complex, and the solution of the Saint-Venant

equations involves inherent instability in the calculation. Computer programs
have been developed over recent decades (see Chapter 1 0) and have taken over
the laborious iterative mathematical procedure previously used in solving
these equations. However, it is wise for the designer to become aware of the
limitations and pitfalls of using such modern computer programs uncritically.
Rapidy varied flow computer simulations can appear realistic and credible to
the inexperienced user, yet be found later to be unrealistic and directly mis
leading if the user has not identified the shortcomings of the program in its
attempt to simulate the real-life situation.
The Saint-Venant's equations describe unsteady flow. The first is a continuity

equation, and the second is a dynamic equation, which can be said to be the
Navier-Stoke's equation written in one dimension for river flow. The equa
tions are derived below, though not rigorously. For example the second equa
tion is derived with momentum rather than energy principles, and the pressure
distribution coefficient f3 or the energy coefficient a is omitted.
Let us consider a river element with cross section area A and length Llx where
the discharge QJ is the inflow and Q2 is the outflow, as shown in Fig. 2.6
Using the relation that "volume in - volume out = accumulated volume" we
write
and by rearranging and using differentials, we obtain the Saint-Venant's first

equation:
(2.7)
24
Channel friction
s lope = Sf
Rise in water
su rface during Llt
LlA = i ncrease i n
cross-section during
Llt seconds
b Fig. 2.6
Channel bed slope = So Continuity of
unsteady flow in a
rectangular channel.
Assuming a constant and small bottom slope (So) and a rectangular profile of
width b, we derive the second equation starting with Newton's second law:
(2.8)
where F ' Fg and Ff are pressure, gravity and friction forces, In is the river
P
element's mass and a is the acceleration.
The net pressure force is the difference between the forces provided by the
1
(
upstream and downstream pressures:
1 ay
F , = - pgy · by - pg · -b y + -dx
)2 (2.9)
I 2 2 ax
where y is the depth at the upstream part of the river element, p is the density
and g is the acceleration of gravity. Discarding the second and higher order
terms ( dx2 . . . ) and writing the mass, also only to the first order, as pby dx, we
obtain
_ pgby ay dx
Fp ax = _g dy (2. 1 0)
In pby · dx ax
Separating the force of gravity into its two components, respectively parallel
to and perpendicular to the direction of flow, we get
F
----.JL - S0 g
- (2. 1 1 )
m
and we define
F't'
- =S g
J
m
Inserting these expressions for the specific forces into our formulation of
Newton's second law, we obtain by some rearranging:
25
(2. 1 2)
which is Saint-Venant's second equation. Chapter 1 0 mentions the use of the

numerical solution of these equations in computer programs.
2.6 Formulae Used for Wave and Surge Calculations

We will also take a look at some formulae for calculating the velocity and
amplitude of surges or waves in a channel based on [3] and [ 1 5] . A sudden
opening of an inlet gate, will give a wave of rising water level proceeding
downstream. The increase of water level L1y in a rectangular channel is then
given by
(2. 1 3)
where Qo and QJ are the initial and final discharges respectively, v and y are
the initial velocity and water level in the channel and b the width of the chan
nel. In the case of a sudden complete closure of a gate, valve or turbine at the
downstream end of a channel, a wave of rising water level proceeding
upstream will be generated. Then, the maximum height of the surge in a rec
�Ym," < (;: J

tangular channel is given by E.Feifel's equation:
+ +2 ;> (2. 1 4)
where v and y again are initial velocity and water level. In both these cases, for
moderate height waves the velocity of the wave can be approximated by the
C�NY +%4 J
Saint-Venant celerity equation, denoting c as the wave celerity:
(2. 1 5)
which for small waves (relative to the depth) can be further simplified to
c= ftY . This is the velocity of the wave relative to the velocity of the flow.
Thus, the absolute wave velocity Vw relative to a fixed point is equal to the
wave celerity in still water, but becomes transposed faster in a downstream
direction if the water is initially flowing at velocity v. This is therefore repre
sented by the equation:
Vw = c + v (2. 1 6)
In most cases the wave celerity will be greater than the steady flow velocity v,
and The equation for a wave travelling in an upstream direction therefore
becomes:
Vw = c - v (2. 1 7)
There are also 2 types of wave, the rising or "advancing" wave, which rapidly
becomes stable in shape and can be transmitted long distances in low-friction
channels, and the retreating wave, which is inherently unstable and rapidly
flattens out and dissipates. Therefore, the problem of sudden closure of a gate
is relevant for a rising wave travelling upstream and seldom relevant for the
26
The01Y of Hydraulic Design
downstream direction. However, the problem of a sudden opening of a gate or

rapid start up of a turbine is relevant for a rising wave travelling downstream,
and seldom of any relevance for the upstream direction.
In the special case of an advancing wave superimposed on supercritical initial

river flow, the wave front will steepen and form a "hydraulic bore", which is a
form of rapidly moving hydraulic jump . Although rare, such a phenomenon is
quite dangerous to anyone on the river when the bore arrives. The phenome
non has also relevance for the dam-break event which is often simulated using
computer programs (see Chapter 1 0).
2.7 Non-Stationary Pipe Flow

A pressure wave in a pipe filled with water travels at a velocity c relative to the
water (analogous to open channel wave celerity but much faster), which can
be calculated from
1
c =
{� t�)
+
(2. 1 8)
where p is the liquid density, K is bulk modulus of the liquid (for cold water at
moderate pressures, K is about 2 GPa), d is the pipe diameter, t is the pipe wall
thickness and E is the elastic modulus of the material of the pipe (f.ex. 200
GPa for a steel pipe). The magnitude of the rise in pressure caused by sud
denly reducing the velocity from u 1 to u2> expressed as a change of head, is
(2. 19)
With appropriate values for water, a reduction of velocity of 3 m/s corre

sponds to an increase of head of about 440 m. A sudden increase of velocity
will instead give a decrease of head. Both of these situations are critical for the
design of penstocks, pipes and steel linings in tunnels, as mentioned in Book
1 2 Mechanical design.
-
Finally, the hydraulic designer must often take account of hydraulic stability
of closed conduits such as headrace and tailrace tunnels or penstocks. This is
to ensure that the governor can be designed for stable regulation of the unit
without the need to introduce a surge chamber or similar arrangement for
dampening out the hydraulic oscillations caused by changes in turbine flow or
load. The following formula can be applied as a rule of thumb to predict regu
lating stability:
T
>5 (2.20)
T,I'
_"
which is the ratio between the unit's and the waterway's inertia. This condi
tion being verified means that the turbine-generator unit can operate in a stable
way up to full load on an isolated grid.
Ta is the acceleration time of the unit, a function of the inertia, rotational speed
and nominal output of the turbine-generator unit. Ta will normally be in the range
of 5 to 7 seconds for larger units and down to 2 to 3 seconds for small units.
27
I. VI
(2.2 1)
Tw is a waterway constant. V is the upstream water velocity, and I is the length

of the different sections of the penstock. Hlle! is the net head to the turbine.
HWL
-------,1'- Head loss
Fig. 2. 7 TWL
Governing stability
conditions for a sim
ple system.
The above criteria is only a first approximation, and more advanced calcula
tions must be done later, often with the help of complex hydraulic stability
computer programs.
Governing stability is not necessarily a requirement for a turbine-generator

unit. A unit can operate without own governing stability, just "hanging" on the
grid, or it may be designed for stable operation only for partial load. Still,
pressure rise conditions during shut down of the unit have to be taken into
consideration when analysing the necessity of a surge shaft.
One particular aspect has to be considered when designing an installation with

a surge shaft: the area of the surge shaft has to be sufficiently large to avoid
unstable level oscillations between the head water and the surge shaft. The
Thoma criterion can be applied as a rule of the thumb to calculate the mini
mum area necessary for the surge shaft:
> La Vo2
A (2.22)
2ghf (H - h r )
A is the area of the surge shaft; a and L are respectively the area and the length
of the water conduit between the intake and the surge shaft. Va is the water
velocity at full load in the same conduit and hf the corresponding head loss. H
is the gross head.
A safety factor of 1 .5 is often used for increasing the sUlface area when apply
ing the Thoma criterion.
28
HWL
H
Fig. 2.8
L TWL System with s�uge

shaft. Thoma cri
terion and surge
conditions.
The surge shaft will normally be designed to avoid overflow in the worst pos
sible conditions of upsurge. Likewise downsurge should be limited to avoid
introduction of air in the water conduit. Calculating the upsurge correspond
ing to the momentary shut-off of the full-load flow and assuming no friction is
a simple way to get an order of magnitude for the surge:
- [cd: . V
h up - fpl 0
(2 23)
•
Ftiction will reduce the upsurge while it will increase the downsurge. Friction
will also progressively dampen the oscillations. After an initial surge, opera
tion of the unites) in the station can lead to new surges which may come in
addition to the initial surge. It is usual to define a "worst possible sequence",
used as a design criteria for the surge system. For the upsurge this sequence
can be: full-load rejection of the unit followed by new start and loading the
unit up to full-load at the worse possible time. A still harder criteria would be
to consider a new load rejection at the worse time. Such calculations can be
rather complex and require the help of adequate computer programs.
29
3.
DESIGN STRATEGIES FOR HYDRAULIC
STRUCTURES
3.1 Design Strategies

Before embarking on the design of any hydraulic structure, it is advisable to
consider the design from a strategic viewpoint, before any calculations are
made and the designer gets deeply involved in the details. A successful design
strategy lies at the heart of all sound hydraulic designs, and is a prerequisite
for successful operation throughout the lifetime of the structures.
The designer must start with a good understanding of all the natural forces
that are at work, in rivers and in reservoirs and dams. This includes not only
hydraulics, but also geomorphology and sediment transport, ice forces (where
appropriate) and not least the statics of structures withstanding water pressure.
Some background knowledge in mechanical engineering and in geology/rock
mechanics can be an added advantage, and is highly recommended for those
wishing to make a career in modern design of hydraulic structures. In the
modern world, computer programs have taken over most of the difficult
mathematical calculations, but the designer must remain personally in charge
of integrating all the different factors into a successful design, and those
designers with a good all-round education and broad experience will be more
able to take charge of complex and challenging design assignments.
Success or failure is often determined very early according to the design

strategy adopted. The golden rule is to form a design, which works with the
forces of nature and minimises situations where the design must work against
these forces. Thus structures built in a liver should seek to fit into the flood
flow conditions prevailing at the site. For example, siting of gates and high
velocity outlets in riverbeds rather than on flood plains will reduce the
downstream erosion that is caused by the new structure because the river bed
is naturally more erosion resistant than the flood plain. Siting intakes at the
outside of bends in the river will make use of the locally higher flow velocities
to flush bed load past the intake rather than having an intake blocked by
sediment deposited naturally on the inside of the bend.
Another example is how and when to create energy dissipation. Most dams and
diversion structures tend to increase downstream erosion, and the design strategy
must first decide where and how the extra energy is to be dissipated. Choices can
be made between flip buckets and plunge pools or conventional stilling basins,
31
Design. Strategies for Hydraulic Structures
underwater energy dissipation contra free-jet dissipation in air, dissipation of

energy on rocky river beds or on smooth concrete stlUctures. The following
chapters will give some examples, but it must be stressed that each design case is
unique. No design should be copied, no matter how successful it was in the first
case, without obtaining a good understanding of why the design was successful.
A thorough design review will reveal if or when the same design will not be
successful, for instance because of different bedrock conditions or different
sediment canying characteristics prevailing at the new site.
It is necessary during the intitial design phase to have a humble attitude to the
great forces which water carries, both when stationary and when in motion.
No designer should underestimate these forces. Even a few metres of head can
create high flow velocities with high erosive power. Cavitation damage can
occur at mean velocities as low as 1 2 m/s if the design detailing is poor.
Therefore it is advisable to prioritise sound hydraulic design in fonning the
initial design concept rather than cost savings. It can be tempting to save
investment costs by taking risks in the design concept (for example as a result
of management pressures from the investor), but operational problems from
poor hydraulic designs can be very costly and dismptive, and the designer will
be blamed for the remainder of the operational life of the structure. In some
cases of poor design, maintenance of hydraulic structures as a result of erosion
or cavitation damage can be the largest component in all maintenance budgets.
Furthermore, if operational stoppages are needed for repair works, the lost
income can become an even greater economic burden.
The design strategy is paramount in the first layout sketches of the design. The
designer should often work both in plan and in longitudinal section,
examining first the location of the structures, then calculating the hydraulic
profile along the most critical streamlines. By working with good detailed
maps, the three dimensional nature of hydraulics will be remembered and
accounted for, while this is often overlooked by designers working exclusively
with one-dimensional calculations and hydraulic profiles. Plan drawings will
reveal probable locations of back-eddies, poor approach conditions etc., and
give realism to the design assumptions.
The designer must be velY aware of past experience and research, and know
where and how to access the literature. This often starts with acknowledged
textbooks on hydraulic theory and applied hydraulics, but much modern
experience is only documented in journals and published papers on specific
topics. During the post-war construction boom in the USA, detailed
documentation was made available not only on research and testing, but also
on practical designs of existing dams (see references [4] , [6] , [7] and [8])
3.2 Climate and Hydrology Affect Design Strategy

The natural flow pattern in most Norwegian rivers is a result of the Nordic winter
when most of the precipitation occurs as snow. A large proportion of the
precipitation will be stored in the catchment as snow cover. The resulting lUllOff
in the liver reaches an annual low level dming the winter and a high level during
the snow melt season during spring and early summer (see Book No. 7 -
"Hydrology").
32
Design Strategies Jor Hydraulic Structures
A similar pattern occurs also in tropical regions where there is a distinct rainy
season as well as a dry season. For instance the flow pattern in all Himalayan
Rivers is formed by the annual monsoon. An annual hydrograph from Kali
Gandaki River in Nepal is shown in Figure 3 . 1 . An even greater range of flows
is experienced than in Norway, and the need for reservoir storage to
supplement low flows may be a primary consideration. In such circumstances,
this will dictate the hydraulic design strategy to be adopted, and reservoir
sediment handling will become a primary consideration in the hydraulic
design.
The water below line a) will be utilised by a pure run-of-river plant. The water
utilisation level may be raised to line b) if a run-of-river hydropower plant
with a daily peaking reservoir is constructed. If some of the remaining flood
season water shall be utilised during the dry season, a seasonal reservoir must
be established. This is illustrated by line c) in Figure 3 . 1 . This horizontal
graph is a simplified illustration, in reality the curve, which divides the water
consumed by the power plant and the water spilled during floods will not be
horizontal. The size of the reservoir related to the mean annual runoff, the so
called capacity inflow ratio (CIR), will detelmine the level of utilisation of the
water resources in the river basin. The higher CIR is the less water will bypass
the power plant through the spillways and thus be lost for power production
during floods. This concept is discussed in Book 5 "Planning and
-
Implementation of Hydropower Projects".
MEAN DAILY DISCHARGES

KALI GAN DAKI RIVER, NEPAL
1 500
1 000 1�1
Mil I, c)
500 I � \V\r
l �"
Fig. 3. 1
b) Annual hydrograph
AA. .J r----
a)
o Jor Kali Gandaki
0 1 .01 .86 02.03.86 0 1 . 05.86 30.06.86 29.08.86 29.1 0.86 27.1 2.86 River, Nepal.
Time
Illustration oJ the level oJ water utilisation in rivers with a long low jim,v
season:
a) Pure run-oj-river plant
b) Run-oj-river with daily peaking reselvoir
c) Reservoir scheme with seasonal water storage
On the other hand, the climatic conditions at a particular site may mean that
dealing with ice may become the primary consideration, as it often is in
Norway, where sediment transport is usually low, and the latter becomes a
minor or negligible consideration in choice of design strategy.
33
Design Strategies for Hydraulic Structures
3.3 Defining Design Criteria

It is necessary to define the design criteria at the start of the design process.
The more precisely these can be defined the more suitable the design will
become. Typical design criteria for hydraulic structures can be categorised in
several groups:
1 . Functionality, I.e. how the structure operates or performs its intended

function
2. Safety, i.e. whether the structure remains safe under both normal and
extreme events
3 . Cost, i.e. whether the design allows the structure to meet the above criteria
at lowest life cycle cost
4. Aesthetics, i.e. whether the environmental and landscaping aspects are
both acceptable and pleasing
It is the first group which often is the hardest to determine and set out in a
precise manner. Take for instance a dam. It must retain water but not without
some leakage. What is an acceptable amount of leakage from the dam? This
can be viewed in terms of economics of operation (volume of water lost
multiplied by the economic value of that water), or in terms of safety
(acceptable leakage rates from an embankment dam before stability is
threatened). Doing this analysis early in the design process would enable a
suitable leakage rate to be defined and used as a design criteria throughout the
design work.
A flood spillway is another example. Typically the spillway should pass all
conceivable floods safely, but the design criteria must be quantified much
better before they become useful to the hydraulic designer. The spillway
should pass all normal floods without overtopping and breaching the dam, but
also without causing excessive upstream flooding. A design flood of 1 000
years return period can be used to set up one design cliteria; e.g. the highest
flood water level upstream with a return period of 1 000 years. This criterion is
often used for spillways in major dams, but is too conservative for say river
diversion structures with small retention volumes.
The latest dam safety regulations in Norway categorise dams into three safety
categories, according to downstream consequences of a breach. The definition
has been made more precise, leaving very little room for subjective judgement
in which category a particular dam belongs to. In borderline cases, dam break
calculations are carried out to measure exactly the number of residential units
at risk downstream. This is an example of how design criteria can and should
be defined and quantified precisely before the design itself starts in earnest.
The criterion of minimum cost is another example of poorly defined criteria.

A hydraulic structure should not usually be designed for minimum
construction cost. This does not give optimal designs according to a life cycle
costing approach. Saving money in construction usually has the consequence
that damage during operation may become both frequent and/or more severe
in magnitude. The investment costs and the operation costs must be balanced
using life cycle cost comparisons where operation, maintenance and repair
34
costs are capitalised, and compared with the investment cost of each
alternative design concept. Only after the capitalised life cycle costs have been
compared is it possible to determine whether the criteria of minimum
capitalised life cycle cost has been met.
Taking an example, flood protection embankments can be designed for

overtopping one, two or several times every hundred years, where reliable
evacuation procedures can save human lives and where repair works can be
carried out quickly and cheaply after each breach. The chosen design flood
criteria should be appropriate to the consequences of failure, sometimes
defined as the "risk". The optimum design is not necessarily the safest design
but the one with minimal risk ("risk" is here defined as in risk analysis, i.e. the
frequency integrated damage in present worth telms over the lifetime of the
structure)
The designer is usually faced with the problem of satisfying design criteria
which appear to be contradictory or opposing each other. Structures can be
designed to have a very high level of operational safety and reliability, but
usually at excessive cost. The design process itself consists mainly of the
designer optimising the balance between two or more contradictory criteria,
and to do this well, the design criteria should be well laid out in advance. Here
is an example for a spillway:
1. Primmy criteria
These critelia must be fully and precisely complied with and documented by
the designer.
- Design outflow flood of 1 : 1 000 year return period (peak value to be

detelmined by flood modelling and routing)
- Highest flood water level (HFWL) immediately behind spillway of say
20 1 .0 masl (for the 1 000 year flood)
- Clearance to underside of any bridges and u nderflow gates = say 1 m above
flood water level (for passing of floating debris such as trees)
- Freeboard above HFWL to top of dam impermeable core = say 0.5 m
No overtopping of the dam core under a Probable Maximum Flood ( PMF

again determined by modelling and routing)
- Pillars, gates and all structures to remain stable with acceptable safety
factors against sliding or overturning under all conceivable operating
conditions ( e.g. one gate fully open, neighbouring gate closed by upstream
bulkhead for repairs, resulting in maximum one sided water pressure on
the intermediate pillar)
- No erosion damage to occur immediately below the structure and no
hydraulic jump to form under any combination of gate openings/reservoir
level except within the designated stilling basin (to be verified by a full
series of model tests at different flows)
35
2. Secondary design criteria

These should certainly be fulfilled during normal operations and probably
fulfilled even under rare flood events or other extreme loads on the structure.
Limited erosion at the end of stilling basins or in flip bucket plunge pools
Limited damage to wave protection structures, rip-rap or limited

occasional overtopping of wave walls on dam crests from severe waves
Cavitation damage not excessive after 24 hours of emergency operation of

bottom outlet to the dam (subjected rarely to high flow velocity while
draining the reservoir fast)
3. Environmental and social design criteria

These are not mandatory criteria but should be given full consideration in the
planning phase. It is often easy to concentrate too much on the technical and
economic design critelia, and omit to define specific criteria determined for
environmental and social reasons. Some examples are:
Water surface maintained below dam at 30 masl to avoid unsightly dry

river bed. (say by constructing downstream sills to stabilise water level)
Minimum release of 1 m3/s reservoir smiace water to avoid stagnant water

and retain oxygen levels below the dam
Design of a fish pass or fish rejection intake screens
Water smiace level maintained within a range of say +/- 0.5 m in upper
part of the reservoir to support wetland ecology and avoid unsightly
reservoir mudflats dming reservoir drawdown.(say by constructing
secondary overflow dam within the reservoir to stabilise water level in
upper part of reservoir - see Fig. 3.2)
Near constant water level

creating new wetlands
Fig. 3.2
Mud flats
A retention dam. permanently submerged
Main
constructed for dam
Retention dam
environmental with overflow
reasons.
Flood inundation during 1 :20 year flood event not greater than say 1 00 ha
around reservoir (say if valuable agricultural land surrounds the reservoir).
Provide footbridges or ferries where flooding inundates normal footpaths
Avoid unsafe ice formation near outlets or inlets to spillways and power
plants (when neighbouring areas are safe to walk or ski)
Avoid rapidly opening spillways which suddenly flood normally dry river
beds
Provide crocodile -exclusion walls around washing and bathing places
36
The last few examples are included to illustrate that the hydraulic designer
must always consider the consequences of his design in terms of the
environmental and social impacts, and thereby allow his design to be
modified to mitigate unwanted negative impacts, even if doing so implies
added cost.
3.4 Common Problems and Pitfalls

It is not the intention of this book to cover all types of hydraulic design and
describe how the designer should proceed in detail. There are many good text
books which provide the designer with that type of design manual. Instead this
book tries to illustrate some practical examples of good and bad design
practice, as experienced in the last half century of hydropower construction in
Norway and abroad. The best illustrations can often be those designs which
previously failed, and which led to damage or a need to redesign the structure.
Some of the common pitfalls which are encountered in a hydraulic design are
described in later chapters.
- Sedimentation and blocking of intakes ( Chapters 4 and 9)

- Trash removal problems (Chapter 4)
- Cavitation damage at high velocity zones (Chapter 5)
- Erosion below spillways (Chapter 6)
3.5 Stability of Structures

Although this book concentrates on hydraulic design, it should be stressed that
the hydraulic design is often only part of the overall design process. The
design of stable structures subjected to water forces is itself a major subject,
again covered by many textbooks (e.g. references [6] and [ 1 0]). For the sake
of completing the overview, this section describes a little about the interaction
between hydraulics and structural design. Static water pressure is easy to
calculate and apply in the structural design, but what about dynamic water
forces?
Curved flow is one of the first areas where the force of water must be modified
from the static pressure. The curve in flowing water results in extra forces due
to momentum and centrifugal forces. A common example is the force on the
underside of a spillway jet. On a flat horizontal surface the weight of water
flowing above applies, and is equivalent to the static water pressure (excluding
velocity head - see Figure 3.3). However when the flow is curved, as occurs
over a concrete spillway, the water pressure is reduced due to the centrifugal
force of curved flow. A simple guiding rule is that the pressure under a free
nap profile from a jet is atmospheric, i.e. zero water pressure. If a concrete
spillway is placed under the nap, the flatter the curve, the more of the static
water pressure will return. However, if the concrete surface profile is curved
sharper than the free jet nap, a suction force is obtained, since centrifugal
forces exceed the static water pressure. In extreme situations, the suction force
can exceed one atmosphere and cavitation will ensue.
37
A. Flat base B . Gently curved base C. No base *
P =Pa +d
Fig. 3.3
Pressure variation in.
(* If concrete follows nap profile exactly, P = Pa
curvedflow
If concrete curves too sharply, P <Pa
situations. Pa= atmosphere pressure, m )
This effect has great bearing on the design of low overflow sills subjected to
high submergence during floods. In this situation, the foundation uplift
pressure under the sill can be high (see Figure 3.4), but is not counterbalanced
by an equivalent water pressure on the top of the concrete spillway, even
though there is deep water flowing over it. Low sills in deep fast flowing rivers
are thus frequently unstable, and can be "sucked out" by the flow of water
over them. Frequently designers of such structures utilise rock bolts or ground
anchors to fix them to the foundation. It can be very difficult to achieve
stability by gravitational forces alone while maintaining a reasonably efficient
overflow profile from hydraulic design point of view.
S u ction
pressure
Static
pressure
Fig. 3.4
Suction pressure on
an overflow sill with
Strong anchor Uplift
greater overflow than bars needed pressure
designed.
One example of extreme curved flow is the abrupt end to a concrete or steel
lining which supports the flow (see Figure 3.5). Theoretically this is the case
of curvature of infinitely small radius, and not surprisingly "suction" forces
are very great in this case. This is viewed from the fact that the streamlines
detach from the boundary, leaving a "vacuum" below which is filled by either
a back eddy at low static water pressure, or by air if air entrainment is
incorporated in the design. The former case is generally unwanted and leads to
cavitiation damage, while the latter case is often utilised by designers to
prevent cavitation damage (see Chapter 5).
38
\�--�I \
L-__�I \
�--rl 0 �
::----�1 \I �
\------,I
----
I
--�====�=--
------ U n l i ned tunnel
Flow
--------�
Fig. 3.5
Con crete l i n ing � Eddies � Separation of boundary l ayer
I
Suction pressure at
�
the end of a concrete
I�-------"'\ I I 1C??r-------�
-.,. --,-I---�\ lining.
3.6 Attention to Detail

Finally it must be noted that hydraulic design requires a greater attention to
detail than many other design exercises. It can often be failings in the detailing
that cause design faults or damage to occur. The best example is in the
detailing of joints in high velocity flow zones. Simple small protrusions into
the flow can generate pressure fluctuations in the joints, which in some cases
are larger than the velocity head with resulting "blow out" of the concrete
block below the joint. Joint details should be specified in large scale drawings
(say 1 :2 scale), and construction supervisors must be aware of the importance
of checking that concrete and formwork detailing conforms with the
drawings.
Other areas requmng good design details are gate slots and grooves for
various purposes cut into otherwise flat concrete sUlfaces. The slots may be
designed for inserting racks or only for fitting seals, sensors etc. Each such
slot is a potential area for problems with high velocity flow tending to cause
cavitation damage in and below the slot edges.
Chapter 7 will go into greater detail about sUlface finish and friction losses,
but suffice it to say that choice of formwork specification, joint tolerances etc.
are all important details which affect the hydraulic pelformance and hence the
success or otherwise of the design.
Even the specification of concrete cover around reinforcement should be

reviewed from hydraulic considerations. We see often that too little cover
leads to poor sUlface finish to the concrete, and rapid development of sUlface
damage whether due to erosion, cavitaton or even ice in cracks. This in
combination with the shallow depth of reinforcement leads to rapid exposure
of the reinforcement and the need to do frequent costly repairs to avoid
corrosion damage and long term structural failure. Structural concrete in
zones exposed to water should have additional cover specified, say 60 mm as
standard, sometimes more. This small modification has little effect on the
structural stability or cost, but greatly improves the durability and lifetime of
the structure.
39
4.
HEADWORKS AND INTAKES
4.1 Introduction
This chapter will focus on the conceptual design of the headworks of
hydropower plants with reference to the outer circle in Figure 1 . 1 . Further
description of sediment handling facilities will be given in Chapter 9.
The term "headworks" is normally used in connection with hydropower

projects with a distinct waterway (tunnel or canal) separating the intake area
from the powerhouse area geographically. The term is less applicable for
low-head hydropower plants where the dam and the powerhouse is one
compact structure. The headworks comprise all structural components
required to abstract water from the river to the waterways of the power plant.
The uniform waterways are, however, not a part of the headworks. Some
authors are using the term "intake" synonymous with headworks as outlined
above [ 1 3] . In this book, the term intake has a more narrow meaning. The
intake is the structure where the water to the power plant is abstracted or
separated from the river flow. The intake is as such a part of the headworks.
The term "diversion works" is also frequently used to describe the
headworks [ 1 0] . This illustrates the fact that the main challenge to the
hydraulic engineer is to find ways of diverting the water out of the river
successfully.
Hydropower plants without water storage facilities are labelled run-of-river

hydropower plants. The power production will then always be limited to the
availability of water in the river with subtraction for any minimum flow
release for various other water needs downstream of the headworks. In river
basins with large seasonal variations in the flow, run-of-river hydropower
plants are normally designed to utilise the flow during the dry season. The
installed capacity tallies with the flow available almost all the year around,
often set at the 90 % dependable flow. Almost all small hydro plants are run
of-river hydropower plants, and often the first type of hydropower
development in a river basin.
When the need for power increases, the natural limits on water availability
will sooner or later cause shortage of power during periods of high demand
and low flow. Many power grids have a large variation in power demand
over the day, i.e. the 24 hours period. The peak load period can last for only
41
Headworks and Intakes
a few hours . In newly electrified areas where a large proportion of the

domestic power consumed in peoples home is light, there will be a small
peak in the demand in the morning and a large peak in the demand in the
evening. Grids served with only pure run-of-river (and thermal) power
stations will experience power deficit for some hours and then surplus of
power for the rest of the day. Daily peaking reservoirs have proven to be
useful to bridge this gap between water availability and power demand in
many power grids and countries. Daily peaking reservoirs have a high
regulation frequency, as the storage facility will be used once or even twice
a day for several months per year during the dry season. The daily storage is
usually coupled with a larger installed capacity than the dependable river
flow in order to provide peak load coverage, while the off peak periods
(night-time) are used to allow the reservoir to recover by reducing output to
a Illl mmum.
Human societies started to manipulate nature in order to increase the

production of food when the food they could hunt and collect became
insufficient for their needs. We started to cultivate land and breed animals
during the first stage of the agriculture era. The introduction of daily peaking
reservoirs at run-of-river plants may be compared with the early phase of the
agriculture era, where a low level of manipulation with the natural habitat
could increase the production of food considerably. Seasonal storage of water
involves a much higher level of manipulation of the river flow. This is,
however, needed when the total amount of water available during the dry
season is not sufficient to meet the demand. Storage of water on a seasonal
basis, facilitated by large water reservoirs, becomes the parallel to modern
mono-culture (one crop type). The natural habitat has then been severely
manipulated, and to some extent sacrificed, in order to meet our growing
demand for food, or in this case our power demand.
4.2 Reservoir Versus Run-of-River Schemes

The storage capability or the size of the reservoir related to the mean annual
flow, the Capacity to Inflow Ratio (CIR) is a useful parameter to differentiate
hydropower plants. The CIR illustrates the level of water utilisation in a river.
The CIR is particularly an important parameter when it comes to hydropower
development in sediment-loaded rivers. The lifetime of a reservoir is directly
linked to CIR, the average concentration of sediments in the river flow and the
trap efficiency of the reservoir.
Rivers have always carried sediments, and sediment transport must be

addressed as a natural phenomenon. Reference is made to Chapter 9 where
sediment transport and sediment handling facilities are addressed in more
details . We do, however, observe that the most technical and economical
feasible hydropower plants in sediment-loaded rivers are either run-of-river
plants where CIR is 0 % to 3 %, or large storage plants where CIR is above 25
% to 50 %, depending on the average sediment concentration in the river flow.
The reason for the first category is that sediments must be passed downstream
successfully in the long term, while for the second category this is difficult,
and sufficient storage must be provided to avoid filling the reservoir with
sediments during the economic lifetime of the project.
42
The most important design criterion for the headworks at a run-of-river plant
(i.e the first category) is to secure safe passage of all incoming sediments.
However, the headworks of a large storage plant (i.e. the second category) must
provide space where the incoming sediments may settle without loosing the
required water storage capacity throughout the required lifetime of the plant.
Reservoir sedimentation is therefore a major issue with respect to the

feasibility of a reservoir scheme. Small reservoirs are initially risky projects as
the annual variations in sediment yields are very large, and one major flood
may be enough to silt up the entire reservoir.
It is also meaningful to differentiate between run-of-river plants and reservoir

schemes when it comes to the hydraulic design of various headworks
components like the dam and the spillway systems, trash and sediment
handling facilities, intake arrangements and intake gates.
In Norway the "CIR above 25 %" limitation is generally not valid because of
low sediment load in the rivers due to past ice-age glaciers having cleaning off
weathered rock and sUlface material. When the glaciers withdrew, lakes and
ponds were left behind as natural sediment traps in most river basins. The
sediment yield is low in these rivers. It is therefore possible to build reservoirs
of almost any size (CIR) in such northern river basins from a reservoir
sedimentation point of view.
4.3 Run-of-River Schemes - Performance Standards
4. 3. 1 General
The three main components of the headworks at a run-of-river hydropower
plant are:
- The diversion weir (or dam) including spillways

- The intake
- The settling basins
It is difficult to develop detailed conceptual planning and design criteria for

these components of a run-of-river plant, as each headworks arrangement will
be site specific. All headworks shall, however, meet some pelformance
standards. The most basic and general petiormance criterion is: The plant
shall remain in operation during all normal situations in order to secure a
safe and regular power generation.
There are not two identical headworks arrangements. There are, however,
various types of headworks and intake arrangements where some basic
principles are identical. Some useful literature references for this topic are
given in references [ 1 1 ] to [ 1 4] .
Case studies are often useful in order to identify poor performance and thus
poor headworks concepts and designs. Based on information from plants that
have failed, plants with severe irregularities in operation and plants with high
43
operation costs, it is possible to single out some petiormance standards for

good conceptual hydraulic design of the headworks at run-of-river plants.
Based on the authors' experience and information in the available literature, a

sound headworks anangement must meet the following performance
standards:
a) Passage of floods, including hazard floods

b) Passage of ice, trash and floating debris
c) Passage of sediments
d) Bed control at the intake
e) Exclusion of suspended sediments and air
A plant failing to meet standard a) will be dangerous during floods and it will
have poor safety. A plant failing to meet standards b) to e) will perform poorly
also during normal operation situations. Operation and maintenance costs will
be higher and the power generation regularity will be lower than needed.
A hydraulic model study is often required in order to secure that the proposed
head works arrangement meets these performance standards. Reference is
made to Chapter 1 0 where both physical and numerical hydraulic models are
addressed. The five performance standards listed above are addressed further
in the following sections, but exclusion of suspended sediments is addressed
further in Section 9.4 Settling Basins.
4.3.2 Passage offtoods

The head works structure shall facilitate a safe passage of the design flood
without causing any serious damage to the headworks. The available flow
records during planning and design of run-of-river plants are often limited.
Some of the uncertainties in the flood estimates may be engineered out by
selecting a spillway system, which has some additional capacity built in. As
an example, a long free overflow weir with a low unit flow is more robust than
a fully gated spillway with a high unit flow, when it comes to passage of
unexpected high floods, i.e. floods larger than the design flood.
A hazard flood situation may occur in most rivers. Failure of a dam upstream
may generate a flood wave in the river. A landslide may block the river
temporary upstream and cause a sudden flood when the "landslide dam" is
overtopped. The possibility of a GLOF (Glacier Lake Outburst Flood) must
also be considered if the head works are located downstream of a glacier.
Hazard floods can normally not be predicted by use of the flow data from
gauging stations in the basin, because the nature of the events causing a hazard
flood are not represented in the statistical material which is used for flood
estimation through a frequency analysis. It is often impossible to quantify a
possible hazard flood in terms of probability as well as peak discharge. The
consequences of a hazard flood with respect to the headworks structures must
still be addressed during the design process. In many cases it will be necessary
to accept that the weir will be lost, but the intake and the settling basins will
survive a hazard flood.
44
Fig. 4. 1
Tinau River after the
fatal slide, Nepal.
A landslide blocked the Tinau River upstream of the Tinau hydropower

plant and the town of Butwal in 1 981. The peak of the flood wave has been
estimated to 6000 m3/s. The underground powerhouse was flooded, and
there were 240 casualties in Butvval. (Photo IeIMOD)
4.3.3 Passage of ice, trash andfloating debris

The headworks arrangement must facilitate passage of all ice, trash and
floating debris carried by the river. The debris shall not be allowed to
accumulate in front of the intake. An overflow section close to the intake is
therefore needed. This will in most cases require a debris gate, which can
release surface water at any possible headwater level.
It has become more or less standard procedure to design trashracks for a

"gross" velocity of about 1 .0 m/s at full load. Here gross velocity is defined as
the discharge divided by the total intake opening, assuming no trashrack. This
gives acceptable head-losses if the trashrack remains relatively clean. It is,
45
however, difficult to rake the trashrack manually when the velocity is 1 . 0 mls.
It is therefore necessary to reduce the power production to facilitate raking of
the trashrack at many plants. To avoid this, it is recommended to increase the
size of the intake so the gross velocity is reduced to 0.5 to 0.7 mls in steep
rivers with flash floods and large trash potential.
Fig. 4.2
Dam Palagnedra in
Switzerland in 1 978.
The quantities of floating debris can be enormous in river basins with

forests. Clogging of intakes may set the power plant out of operation and
clogging of spillways may cause overtopping and failure of the dam in the
worst case. (Photo SINTEF NHL)
The clear opening of the trashrack (bar spacing) is dependent on both the
sediment-handling facilities in the settling basins as well as the turbines
downstream. Trash may reinforce sediment deposits and disturb flushing of
settling basins in some cases. It may be necessary to install a trash rack
cleaning-machine to secure an undisturbed operation of the intake. Manual or
mechanical back-up systems may be required. It i s almost impossible to find
practical ways to clean a vertical fixed trashrack from above. The intake front
with the trashrack shall preferably have a slope in the range 6: 1 to 8: 1 . A
storage space for the trash should be provided, as well as a system for removal
of trash away from the platform above the trashrack. Manual raking of trash
racks is only possible if there is a working platform close to the top of the
trashrack. Aspects related to the safety of the operators must be handled with
due care in connection with trash handling.
The trashrack should remain fully submerged for all flow conditions in cold
climate in order to reduce the possibility of formation of ice on the trash rack
staves. A minimum submergence of the upper part of the rack of at least 1 m is
advisable for guaranteeing ice-covered operation. A surface ice cover will
normally be formed upstream when the approach velocity is less than about
0.6 mls [9] . If it is not possible to arrange for permanently low approach
velocities, it may be required to reduce the power production for some time in
order to allow an ice-cover to develop. Once the ice cover is developed, the
46
flow can be increased again. Difficulties during ice formation have made it
necessary to install an expensive heating system at several plants where icing
of the trashrack staves has occurred.
r
Ice Ice passing
cover the trashrack
o 0
Fig. 4.3
Drop intake in cold
climate [14].
The design shown in Figure 4.3 has proven to be successful at secondary

intakes in streams and rivers with ice, but less sediments. An ice-cover will
form upstream during cold periods. The valuable low flows under the ice will
enter the intake through the holes in the upstream wall as long as sediments
does not fill up the small pond. Ice will pass over the trash rack during periods
of ice-transport. The trash rack shall slope about 20 deg to prevent ice debris
from remaining on the trash-rack. It is also important to have a considerable
drop downstream of the intake to prevent ice-dam formation.
4. 3.4 Passage of sediments

The headworks arrangement must facilitate a safe passage of all sediments,
suspended and bed-load, of the river. There is normally no large dead storage
upstream of the diversion weir where the sediment load can deposit
permanently. A safe passage of the bed-load, which may include boulders of
several tonnes, must be given due attention. The general hydraulics of the
headworks arrangement must facilitate passage of the main bulk of the bed
load and prevent the bed load from approaching the intake during floods.
If possible it is recommended to avoid gated weirs in very steep rivers (say

1 : 3 0 or steeper) that are transporting large boulders (several tonnes) from time
to time during the flood season. In this situation the general hydraulics of the
headworks must facilitate passage of the bed load during floods and prevent
the bulk of the bed load from approaching the intake. A sizable bed-load
sluice must, however, be located below the intake in order to separate out
smaller stones and gravel, which will often follow the abstracted flow.
It will often be necessary to do some river training upstream of the weir in

order to secure a safe passage of the bed load through the headworks area. A
physical hydraulic model study will be needed in most cases to find a
favourable geometry for the river training works.
In steep rivers, but with milder slope than 1 : 30, it is recommended to have
low-level gates in the weir in addition to an un-gated free overflow crest. The
crest of the low level gates shall preferably be located at the initial riverbed
level in order to bring the riverbed back to its original gradient and thus
facilitate removal of deposits upstream of the weir during flushing.
47
Most of the bed load will pass through the lower outlets, which are controlled
by gates. If the capacity of the gated sluiceway is small compared with the
design flow, a considerable part of the bed load will also pass over a free
overflow crest during large floods. It is important to avoid a vertical upstream
face of the weir at any location where bed-load shall pass the weir. There will
always be a scour-hole in alluvial deposits just upstream of a solid structure
even if the pond upstream is filled up to a higher level than the crest level.
Gravel, stones and boulders will hit the vertical face and considerable damage
will occur. A boulder approaching the upstream face of the weir has a certain
momentum. It is important that the boulder passes through the gate and the
sluiceway and are not stuck just upstream of the weir where it may reduce the
capacity, cause unfavourable flow patterns and damage both the concrete
structure and stop log grooves . In general it is recommended that the upstream
face of the weir at these locations shall have a slope of 1 : 1 or milder down to a
level of three to five metres below the crest.
Fig. 4.4
Sediment-induced
wea r of Tinau
diversion }veir (Photo
Haakon St¢le).
It may be necessary to protect the sluiceways and other components of the

spillway system to increase the resistance against sediment-induced wear. It is
always important to assess the costs of obtaining a sUlface with initially high
resistance to wear versus the costs of a well-planned and implemented
maintenance programme [ 1 4] .
Some of the methods applicable to Increase the structures resistance to

sediment-induced wear are:
- High quality and abrasion resistant concrete

- Steel-fibre reinforced high quality concrete
- S teel lining
Steel rails embedded in concrete
- Dressed hard-stone masomy lining
- Epoxy coating
- Rubber lining
- Wood lining
Some power plant owners prefer plain concrete structures with an additional
thickness of the concrete, which may be worn down over time and then
repaired with relatively low costs. It is much more difficult to maintain and
48
repair hOlizontally placed steel lining which has lost contact with the
underlying concrete due to the impact from rolling and bumping boulders [ 1 4] .
The excess energy in the water released through the spillways of the weir must
be dissipated in a controlled manner before the water is diverted back to the
natural river course downstream of the headworks. Energy dissipation
structures are addressed in Chapter 6. Special care must be given to energy
dissipation structures exposed to severe bed-load. A stilling basin is often
constructed to dissipate the energy through a hydraulic jump. Bed-load may
cause severe damage to the concrete structure of a stilling basin when stones
and boulders are trapped in the basin and are grinding down the concrete floor
and sidewalls of the basin. It is furthermore difficult to inspect the stilling
basin, as there will be water and sediment deposits in the basin also when
there is no flow in the spillway. It is not recommended to use baffle blocks and
vertical end sill in order to reduce the length or the depth of a stilling basin, as
these structures will be subjected to sever sediment-induced wear. In many
cases, a stilling basin may be replaced by a roller bucket or a pool which both
are less vulnerable to damage from the bed-load.
4.3.5 Bed control at intake

It is desirable to obtain a uniform flow distribution upstream of the intake in
order to minimize head-loss, avoid eddies and facilitate easy cleaning of the
trash rack. This requires a uniform flow over the trash rack with a preferred
flow direction normal to the trash rack. If these favourable flow conditions are
obtained in a steep river, capable of transporting large sediment loads as well
as large particles, it is likely that sediments will deposit in the approach area
of the trash rack.
Fig. 4.5
Chucka hydropower
plant, Bhutan.
Deposits have partly blocked the upstream trashrack of the side intake of
Chucka hydropower plant. The photo is taken during scheduled flushing of
the daily peaking reservoir at the end of the rainy season, the monsoon.
(Photo Nick Mandeville)
49
The intake trash-rack shall remain fully exposed to the water body of the liver
upstream of the weir. The riverbed shall not in any situation build up in front of
the intake and block some of the intake area with deposits and cause uneven
flow over the intake and intrusion of bed load to the waterways of the plant.
Bed control at the intake may be obtained through the hydraulic design of the
intake arrangement, location of the intake close up to the spillway gates and
by use of under-sluices and sediment ejectors.
4.3. 6 Exclusion of suspended sediments and air

The coarser fractions of the suspended load shall be removed from the
abstracted water in the settling basins in order to fulfil the design criteria with
respect to sediment exclusion. Reference is made to Section 9.4 where settling
basins are addressed in more detail.
The main sources of air in pressurised tunnel systems are:

- Air trapped in the tunnel during filling
- Air supplied to the tunnel system through the main intake
Air supplied to the tunnel through secondary intakes with shafts
Well-designed settling basins will also effectively remove air bubbles

entrained in the water body. Dissolved air will, however, not be removed in a
settling basin. It is recommended to arrange for air vents in the high break
points (drilled or ventilation pipes to the addit tunnel) where the tunnel is
located below the groundwater table.
Special care must be given to the design of an intake shaft feeding water from
a secondary intake to a power tunnel. The air entrained in the super critical
flow by water in the shaft should be safely returned to the atmosphere through
the shaft or an air vent in the nearby high break of the power tunnel.
4.4 Run-of-River Schemes - Intake
4.4. 1 Side intake

The most common type of intake at run-of-river hydropower plants is the side
(or lateral) intake concept. The basic principle is to abstract water from the river
through an intake structure located on the riverside. The intake is normally
located just upstream of the diversion weir. Side intakes are used on all types of
rivers from mild sloping silt- and sand-bed rivers to steep boulder-bed livers or
step-pool type of rivers. The main advantages of the side intake concept are:
It is easy to access the intake for trash handling, operation of gates and stop
logs also during floods
- Safety of the operators can be arranged relatively easy
- It is normally easy to access the intake for general maintenance
- The intake block is constructed on dry land on the bank of the river
- The bank of the river has normally the best foundation conditions
Intakes in sand and gravel-bed rivers are often making use of the secondary
currents generated in bends to reduce the influx of sediments to the intake.
The most favourable intake location will then be in the downstream end of an
50
outer-curve where the secondary current will be directed from the surface and
down towards the riverbed. The sUlface water will then contain less sediment
than the bottom water. This may, however, attract floating debris to the intake,
as the intake will mainly abstract sUlface water from the river.
A barrage type intake is a gated low head weir where the intake normally is a
canal off-take. The gated weir is providing water level control for the intake to
the canal and bed control at the intake is obtained by under sluices or sediment
ejectors. Artificial bends are often generated in order to take advantage of
secondary currents, which will reduce the sediment content in the flow
abstracted through the intake.
It is often more difficult to take advantage of the secondary currents in a

steeper liver lined with boulders and rock-outcrops. The flow pattern in the
river channel will then be governed by the roughness and steepness of the
local topography and not by the relatively weak secondary currents generated
in curved channels .
I t may then be risky to locate the intake i n the downstream end of the outer
curve because the hydraulic loads and the impact from boulders transported
by the river during floods may damage the intake and its foundation. The
intake may then be located in a more protected area even if more sand and
gravel will follow the water towards the intake. Bed control may be obtained
by a gated bed-load sluice, which prevents deposition of bed material in front
of the intake during normal operation of the plant.
A typical headworks arrangement for medium to large size run-of-river plants

is shown in Figure 4.6. There is a side intake combined with a gated spillway
in a relatively steep river. This headworks arrangement shall provide daily
peaking during the dry season. The water level must, however, be maintained
at the lowest headwater level during the flood season in order to reduce the
deposition of sediments in the active part of the daily peaking reservoir.
Side intakes Poor sediment control at

the intake.
Poor passage of debris as

the flap gate can only be
HRWL
used when the gate is
LRWL
:_ JQ1UJI,
closed.
" e----'L----'''-- Fig.4.6

Vulnerable to sediment Headworks .\lith side
induced wear at the nose intake and gated
of the wei/: spillway.
51
4.4.2 Frontal intake

Frontal intakes are normally used at low-head plants where the intake and the
powerhouse is an integral part of the dam. The main characteristics of these
plants are high, but variable flow and low head. A major design challenge for
the hydraulic engineer in designing low head run-of-river plants is to
minimize the head-loss and thus optimise the generation output from the
plant. The frontal intake concept has several advantages with respect to
hydraulic design of a run-of-river hydropower plant.
- The length of the total waterway from the headwaters to the tail-waters is
minimised
- It is easy to arrange a series of identical generation units with identical
waterways side by side
- It is easy to obtain a uniform flow distribution in the approach flow in the
river upstream of the intakes as well as in the river downstream of the plant
The water is following the main course of the river without unnecessary
curves upstream and downstream of the plant, causing additional head-loss
- There are no unnecessary bends in the waterway upstream and downstream
of the turbine which would have caused head-loss
Frontal intakes without under-sluices shall normally not be used where the
sediment load transported by the river contains large particles. At low head
plants, the sediment load is passing through the turbines without causing
severe damage, since the velocities are relatively low and the dimensions of
the units are large. Passage of floating ice, logs and debris are normally
causing more trouble than sediments in these hydropower plants. Passage of
migrating fish is another challenge, but outside the scope of this book.
Fig. 4. 7
Val11117a power plant
in Glom117(l Rivel;
Norway
(Photo: Fjellanger
Wider¢e).
Frontal intakes are also used sometimes when an intake is incorporated in

another structure, like a pillar supporting a bridge. These types of intakes are,
however, more often used for water supply or small irrigation schemes where
only a small portion of the river flow is diverted. The stagnation pressure at the
front of the bridge pillar will generate a favourable secondary current from the
sUlface and down along the pillar. This will prevent sediment rich bottom
water from entering the intake.
52
Head.vorks and Intakes
A frontal intake located next to a free overflow weir may be favourable with
respect to floating debris as well as bed-load. The approach velocity towards
the intake will be less than the flow over the weir. The water level will
therefore be somewhat higher in front of the intake than over the weir. This
will generate secondary currents, which will guide floating debris over the
weir and bed load away from the intake. This effect will be increased when the
intake is closed down during a flood and there will be full stagnation pressure
in front of the intake and the velocities over the weir are relatively high. Under
sluices will normally be required to obtain bed control at the intake.
4.4.3 Drop intake

There are many versions as well as labels of the drop intake concept. In
Central Europe it is referred to as a "Tyrolean intake" because this version was
developed in Tyrol and it is frequently used in the streams of this region. In the
Norwegian context the drop intake concept is frequently referred to as a
"Brook inlet" (see Book no 1 "Hydropower Development in Norway") or a
"Secondary intake". This is referring to the fact that most of these intakes are
located in small streams and they are adding water to either a reservoir feeder
tunnel or directly to a power tunnel (headrace tunnel). The intake in the main
source of the power plant, a reservoir or a larger river, is then referred to as the
main intake or the principal intake.
In South-Asia, the drop intake is often referred to as a "trench intake". The

intake trash rack is then often at the same level as the initial river bed and it is
furnished with a flat apron upstream as well as downstream. The collector
canal below the trash-rack is shaped like a trench in the riverbed, and the
intake has minimal impact on the flow pattern of the river. This is reducing the
civil works considerably when the intake is founded on alluvial deposits, as it
is normally not required to have any energy dissipation structure downstream
of the intake.
The capacity as well as the main dimensions of a drop intake arrangement as

shown in Figure 4.3 are given in Table 4 . 1 [ 1 6] .
Upstream water level and resulting overflow coefficient at a drop intake

Unit flow, q (m3/s/m) 0,50 1 , 00 1 , 50 2 , 00 2,50 3,00 3,50 4,00 4,50 5 , 00
Upstream water level, H (m) 0,39 0 , 6 1 0,80 0,97 1 , 1 3 1 ,28 1 ,43 1 ,56 1 ,70 1 , 85
Discharge coefficient, C =q/H3/2 2 , 05 2 , 1 0 2 , 1 0 2 , 09 2 , 08 2 , 07 2 , 05 2 , 03 2 , 03 1 , 99
Requ i red minimum length of rounded trash rack staves at a drop intake
Unit flow, q (m3/s/m) 0 , 50 1 , 00 1 ,50 2,00 2,50 3,00 3,50 4,00 4,50 5,00
Table 4. 1
Length, 1 0 deg slope (m) 0 , 85 1 ,15 1 ,50 1 , 80 2,05 2,35 2 , 60 2 , 85 3 , 1 5 3,40
Capacity and
Length, 1 5 deg slope (m) 1 ,1 0 1 ,40 1 , 85 2,00 2,30 2,60 2 , 85 3, 1 0 3,40 3,70
dimensions of a dmp
Length, 20 deg slope (m) 1 , 35 1 ,70 1 , 95 2 , 25 2,55 2,85 3 , 1 5 3,45 3,75 4 , 1 0
intake.
These figures are based o n the following assumptions:
The upstream support wall for the trash-rack is rounded and smooth on the
waterside and vertical inside the collector canal
- The staves of the trash-rack are rounded on the upper side
- The approach flow to the intake is smooth and evenly distributed over the
width of the trash-rack (i.e. the active length of the intake)
53
The Beiarelv intake, shown in Figure 4.8 is one of fifty intakes in the Svartisen
power development. The length of the trashrack staves and the height of the
guide walls are increased considerably compared with the data given in Table
4. 1 due to the severe bed load as well as the severe ice and snow conditions at
this location.
Fig. 4. 8
Beiarelv drop intake
(Photo Haakon
St¢le).
The Beiarelv drop intake is furnished with sediment trapping and flushing
arrangements for removal of gravel and coarse sand between the intake
and the shrift leading down to the interceptor tunnel.
There will always be an additional head-loss of about one meter at a drop

intake compared with alternative side or frontal intake arrangements. Due to
the low civil costs, the drop intake will still be attractive for small hydro
developments. The headloss over the intake will normally be acceptable when
the overall costs of the headworks are substantially lower than alternative
arrangements.
The use of drop intakes should, however, be limited to small hydropower

plants in small streams or to secondary intakes where the objective is to divert
the entire flow of the stream. When a drop intake arrangement is applied on a
river with a wet season flow considerably higher than the abstracted flow, the
drop intake concept will be less favourable. As the water is abstracted from
the bottom of the water column where the sediment concentration is at the
peak level, the sediment content in the abstracted water will be high. The
intake trashrack is likely to be exposed to the main bed load during floods. In
steep rivers this implies boulders of several tonnes passing over the trashrack
during floods. Several drop intakes have been suffering from inadequate
measures to remove gravel from the far side of the collector canal below the
intake trashrack. As the mean flow remains relatively high throughout the wet
season, the intake will remain inaccessible for repair or cleanup for long
periods in the case of clogging or damage of the trashrack, gravel flushing
arrangements or the intake gate.
54
4.5 Reservoir Schemes
4.5. 1 Utilising reservoir storage

Although this book series is about hydropower development, the majority of
the world's reservoirs have actually been constructed for other purposes such
as flood control and irrigation. The main principles for design of intakes can
equally well be applied to all intakes, whether for hydropower or other
purposes.
In Norway, an existing lake has often proven to be the best place to create a
water storage reservoir. The regulation of the flow will cause unnatural
variations in water levels in the lake. The active part of the reservoir, i.e. the
volume between the highest regulated water level (HRWL) and the lowest
regulated water level (LRWL) can be obtained both by construction of dams
and by use of lake taps. The dam will lift the HRWL above the natural water
level of the lake while a lake tap will enable a draw down of the water level
below the natural water level. The basic principle of a lake tapping is
addressed on page 50 and 5 1 in Book no 1 in this book series "Hydropower
Development in Norway" by Vidkun Hveding.
4.5. 2 Locating the power intake in reservoirs

The location of the intake to the power plant is an important decision in the
design process where hydraulic considerations are often paramount. In line
with the different categories of scheme described in this chapter, we can
categorise the location of the intake in the following three categories, and the
design considerations will be different for each:
1 . SUlface intakes, including brook intakes

2. Shallow depth submerged intakes
3. Deep submerged intakes
The first category has been dealt with in the first part of this chapter. The main
distinction between the first category and the others is that air intmsion is
expected and managed for sUlface intakes, while it is to be prevented for the
submerged type. Prevention of air intrusion is the leading criteria for
determining how deep the intake is to be located under the lowest regulated
water level (LRWL). This does not mean that the reservoir must never go
below LRWL, but rather that the intake should not be used to draw off water
below LRWL, or at least the draw-off rate must be reduced at gradually
sinking water level to avoid air intmsion. In contrast to water supply and
irrigation reservoirs, air intrusion must be avoided in hydropower intakes,
because the potential consequences of air being drawn through the turbine can
often be severe, or even catastrophic (see Book No 1 2 "Mechanical
equipment"). Even air pockets formed in headrace tunnels from intruded air
can be a major problem, and should be avoided by an appropriate intake
design, or released by venting before they enter the high-pressure zone.
The location of the intake can often be a matter of topography and related
cost. It can for example appear convenient to site the intake deep, for example
if the diversion tunnel for dam construction is to be used as a power intake.
55
However, other impOltant considerations such as sediment handling and water

quality uncertainties often prevent such a solution. Sediment flushing is
described both in this Chapter and Chapter 9, but water quality considerations
need special attention.
4.5.3 Stratification and water quality in reservoirs

The convenience of deep intakes in some projects has been exploited by some
design engmeers, but with some dramatic negative environmental
consequences. Both in warm and in cold climates, deep reservoirs are known
to achieve density stratification under certain ambient conditions and in
certain seasons. Stratification is a term for the forming of stable layers of
water at different depths in the reservoir. It occurs when there exists a stable
density differential in the vertical direction between different layers of water,
usually brought about by temperature variations occurring in deep fresh water
bodies. The density differential must remain stable for some time and be great
enough to hinder vertical mixing processes (such as wave action) from mixing
the water and evening out the temperature differentials that have been set up
between layers. Similar processes are observed in estuaries and fjords where
heavy salt water keeps to the bottom of the estuary while lighter density fresh
water flows over it, often in completely different directions.
In Norway stratification is common in deep reservoirs during the winter season,

when cold water below 4 °C keeps to the smiace, and gets further cooled to
form an ice layer. During and after the formation of the ice layer, the water
becomes stratified with depth, and colder smiace water from streams flowing
into the reservoir will remain on the smface. Thus, in deep-water Norwegian
lakes, after the autumn storms have created the last waves for the season, the ice
will begin to form and a thermally stratified reservoir will be created. This will
remain until seasonal warming of smiace waters and stream inflow again
increases the lake temperature to more than 4 °C and starts to mix smiace water
with the deeper water. Water in the deeper part of the lake will have more stable
temperature all year round, varying from 4- 1 0 DC, while smiace water will
follow the mean daily ambient temperature, usually in the range 0- 1 8 DC.
This has implications for vertical mixing, but wave action and the effect of
river inflows with widely varying water temperature usually results in
sufficient turnover of the deeper water, so that severe de-oxygenation of the
water is rare. Another factor in Norway is that the relatively low water
temperatures mean that the aerobic bacterial processes which consume
oxygen work more slowly, and although water quality can deteriorate
somewhat over a few months, the stable stratification seldom lasts long
enough to reach anaerobic conditions (i.e. lack of dissolved oxygen) where
foul smelling water is formed deep in the reservoir. Thus in Norway,
stratification is common during the winter, less common in the summer, and
seldom problematic for dissolved oxygen water quality considerations.
However, there are examples of water temperature variations having severe
environmental consequences, for example on certain fish species.
In tropical climates, the problem of ice formation and winter stratification is

irrelevant, but the problem of warm water stratification becomes more
56
prominent. Furthermore due to warmer water temperatures and the high

content of organic matter in most sUlface water bodies, the problem of
eutrophication (decomposition of organic matter under anaerobic conditions
with production of hydrogen sulphide and other obnoxious gasses) becomes
quite common. The science of reservoir limnology is quite complex, and if the
designer has reason to believe that eutrophication can occur in the reservoir, a
specialised limnologist should be consulted before the intake location is
finalised. However it is sufficient for the purpose of hydraulic design of
intakes to be acutely aware that water quality considerations must be given
particular attention during the siting of the intake. This applies both in regard
to water temperature, sediment content, and dissolved substances, both
organic and inorganic. If possible deep water intakes should be avoided, or
designed for use only intermittently, such that an alternative intake is provided
higher in the reservoir or at a separate location.
Deep intakes may appear to be convenient on occasions, but when the cost of
designing the intake structure and the resultant high-pressure intake gate is
taken into consideration, they are often rejected for reason of high cost and
higher operating lisk. It must be remembered that divers are often asked to
inspect intakes, and that diving to depths below 20-30 m will be a costly
specialised affair.
4.5.4 Design of shallow submerged intakes

This section will therefore describe the principles and rules applied in design
of shallow submerged intakes, sited at the highest practical level in the
reservoir. This reduces the cost and improves the accessibility of the trash
racks etc . , but increases the risk of air intrusion. A general rule of thumb is
that under normal inflow conditions, a depth of submergence of double the
intake velocity should avoid air intrusion, but this must be used with great
caution, since exceptions to this rule are quite common. Applying this rule as
a first approximation, if the intake is designed for a velocity of 1 mls without
racks, then the upper lip of the intake should be at least 2 m below the lowest
draw-off level. This rule of thumb also incorporates the allowance for using
intakes at lower draw-off rates for lower than the intended water levels. If the
intake velocity is halved to 0.5 mis, the rule of thumb would permit draw
down to 1 m above the lip. However, it is stressed that this general rule must
be checked by model tests or other more reliable methods (see Chapter 1 0).
Air entrainment is generally brought about by vortex formation in front of the

intake. This in turn is influenced by many factors, particularly intake geometry
and direction of approaching flow. Once vortices form, they can go quite deep,
and air entrainment may be brought about even though the above rule has been
followed. However, the severity of the vortex will determine how deep air can
be sucked down, and it is fortunately rare that severe vortices entrain large
quantities of air which gets as far as into the headrace, beyond the intake. In
such cases, it is wise to provide a vent, for example behind the intake gate
where air can escape to the surface again.
Vortex formation will be hindered by a smooth acceleration of the flow

towards the intake, and at a direction perpendicular to the intake
57
opening/trashrack. Skew inflow or inflow from a lateral direction will easily

result in vortex formation, and should be avoided. Another positive measure is
containment of the intake in a channel or provision of side training walls
which limit the volume of water available in front of the intake for vortex
formation. In rare circumstances, smiace baffles or other special features can
be introduced if there is persistent vortex formation in a shallow intake which
cannot be deepened. Therefore it is advisable to check the flow pattern and
vortex formation in a physical model test, unless the intake can be guaranteed
free of air entrainment risk, for example by copying a previously successful
design.
4.6 Intake Hydraulics
4. 6. 1 Hydraulic design of headworks

After a headworks concept, which meets the peiformance standards given in
Section 4.3 has been found, the hydraulic design of the various components of
the head works must be carried out. Means for maintaining headwater levels
for various river flows and generation levels must be found. Optimum
hydraulic design of headworks for run-of-river plants will focus on the
following issues, while the last two items will be less important for reservoir
intakes:
- Head-losses
- Transport patterns of debris, trash and ice
- Flow distribution, turbulence levels and ice-formation
- Eddies, vibration of gates and intrusion of air into closed water conduits
- Spillway capacities
- Sediment transport patterns
The hydraulic design will include detailed computations, studies of hydraulic

textbooks as well as search for similarities with existing plants in order to
draw on gained experience. In most cases it will also be needed to carry out
modelling of the river and the headworks, at least partially. The hydraulic
models may be physical or numerical. Reference is given to Chapter 5 where
spillway design, gates and outlet structures are addressed, Chapter 6 where
energy dissipation structures are addressed and Chapter 1 0 where hydraulic
models are addressed.
4. 6. 2 Intake losses
The dimensions and form of the intake should be made with regard to limiting
the head loss, but without making the intake too expensive to construct.
Alternative sizes should be designed, and net present value calculations made
to weigh up the higher operating head losses against the savings in
construction cost associated with a small intake. To determine the head loss at
the intake, a loss coefficient K is usually applied. This represents the
proportion of the intake velocity head which has been lost due to disturbance
to the flow while passing the intake. The head loss is calculated as a function
of the final velocity head after the intake has been passed and flow has
returned to smooth conditions, VI/ '
58
(4. 1 )
In order to understand the nature of intake losses, they can be calculated in

two parts; the intake loss due to sudden contraction in flow from the reservoir
as it passes the trashracks and pillars (K), and the gradual contraction losses
as the flow follows the transition part of the intake into the intake gate or into
the headrace (Kf), where the cross section becomes constant. Some
approximate values for the two types of losses are given in Table 4.2, but more
descriptive values are given in [6] (Figure 309 and Table 33).
It is noted that friction losses are usually neglected in the intake loss
calculation, because the intake is usually a smooth construction of short length
where friction losses are negligible. However in some roughly formed intakes
such as those constructed by underwater blasting (lake taps) the friction losses
may need to be estimated and added in. Also the intake losses quoted here
assume there are no pillars or trashracks, which must be treated separately as
described below.
Intake losses Conical contraction losses

Shape Kj Cone angle (sudden KI
expansion =1 80°) (from [1 8])
Bellmouth 0.03 - 0 . 05 30° 0 . 02
Table 4.2
Slig htly rounded 0 . 1 2 - 0.25 45° 0 . 04
Typical loss
Sharp cornered 0.50 60° 0 . 07
coefficients at intakes.
4.6. 2 Trashracks
Trashracks are introduced at the intake in order to prevent unwanted floating
and suspended material entering the headrace. For hydropower intakes, it is
required to design trashracks with relatively narrow spacing, i.e. no wider than
the smallest opening found in the downstream waterway. Often the spacing of
the turbine blades or wicket gates is the narrowest opening downstream, and
this therefore dictates the intake bar spacing. The theory is that any trash small
enough to pass the intake trashrack will not get blocked later at any
downstream opening, for instance j amming in the turbine wicket gates. Thus
if there is a need for a second trashrack say at the end of a long headrace
tunnel, this second rack should be designed with larger bar spacing than the
headrace intake trashrack.
The headrace trashrack is usually the most accessible part of the waterway to
build rack cleaners and remove the trash, and this consideration must be taken
into account in locating the intake. For instance it is usual to provide road
access to the rack cleaners directly above the intake so that extra lifting
equipment can be transported there in case of blockage of racks, say due to
floating trees in an extreme flood. A means of storing or removing the trash
from the cleaner is also an important consideration, which may have a bearing
on operating costs.
Having found that the bar spacing cannot be larger than a few centimetres for
some hydropower plants, it becomes evident that design of a trashrack is itself
59
quite complex. Firstly practical considerations related to the cleaning

operation must be given priority. The cleaning is usually done by a specially
designed rake where the prongs fit into the spacing between bars, and the rack
is cleaned in an upward raking motion, lifting trash to the surface for
mechanical removal. Experience has found that vertical racks are not good
and a slight inclination in rack angle is introduced so that trash rolls along the
rack during the upward raking. A slope of 5 - 1 0 degrees from the vertical has
been found to be suitable for most types of trash.
Selection of rack bar geometry is another important decision. From hydraulic

considerations, a streamlined rounded and tapered bar shape might be ideal,
but is costly to produce. More importantly, the gradual contraction at the entry
to the rack gives an opportunity for trash to get jammed in between bars,
making raking more difficult. It is therefore normal to keep to the simple
rectangular bar type of rack, for simplicity in design and construction as well
as operation. Hydraulic losses at trashracks, can therefore become significant,
and great attention must be paid to this fact in the design of the intake.
A commonly used formula for calculation of trashrack losses (HJ adopts a

rack loss coefficient Kp as defined by Eq. (4.2):
H,. = K,. ( V}/2g) (4.2)
where VII is the net velocity between bars.
Note carefully that the velocity between bars will increase as the rack
becomes clogged, and it is common to assume say 50 % of the trashrack may
become blocked to obtain the maximum design loss. Even higher blockage
ratios have occurred, and failure of trashracks is often found to be due to lack
of attention to the great forces occurring if the rack gets nearly totally blocked.
Then the static pressure behind the rack falls, and the pressure differential
between upstream and downstream sides of the rack will become substantial,
leading to structural failure of the rack or its supports. A sound conservative
design will give the rack sufficient strength to withstand full blockage. This
allows the rack to be planked if necessary as an alternative stop-log
arrangement (see later).
Values of rack loss coefficient K,. can be calculated by detailed examination of

orifice hydraulics, but this is complex because of the small scale of the flow
details and the significance of the boundary layer. Therefore, in most cases K,.
can be approximated by the empirical equation:
K,. = 1.45 - 0.45 (RaJ - (RaP (4.3)
where Ra is the ratio between net opening in the rack and the gross area of the
intake without the rack and its supports (usually considerably less than 1 .0).
Note that this formula applies only to sharp-cornered rectangular bars, and
that losses will be reduced if other bar shapes are utilised.
60
The trashrack bars are supported by horizontal beams at appropriate intervals

to avoid buckling or vibration of the bars. Problems of vibration originate
from eddies formed in the wake of the sharp cornered trailing edge of each bar
which set up a vibration in the bar if it is not adequately stiffened by these
horizontal beams. Such problems also increase considerably with increased
velocity of flow, and it is always advisable to make the intake a little larger to
keep the design flow low.
4.6. 3 Intake pillars

Many large intakes involve a hOlizontal span which makes design of steel
trashracks difficult and costly. In large intakes, it is therefore common to
divide the intake into two or more sections by providing vertical pillars,
separating the rack into two or more sections. These pillars are concrete
constructions of important significance to the structural designer and are
usually heavily reinforced. In contrast to the rectangular rack bars, the pillars
should be designed as an optimal compromise between smooth flow
hydraulics and structural design convenience. The nose of the vertical pillar
should be rounded, and the alternative shapes of Figure 4.9 have been
commonly used. Most losses at pillars therefore occur at the trailing edge
where velocities are higher and eddies are formed. It is often found that sharp
90 degrees corners are as efficient as more complex shapes, and the simplicity
in construction usually makes this the optimal solution, also when considering
operating losses in life-cycle costing.
B B
Fig. 4. 9
Typical pier shapes.
The pillars may be used to support the racks, leaving a flat clear rack for easy
access and cleaning, or in some cases the noses may extend beyond the racks
to allow stoplogs to be installed in grooves in front of the racks. For the latter
arrangement the rack cleaner must fit into the spaces between pillars, and trash
can collect in large quantities adj acent to the pillars.
In very large intakes, occasional use has been made by the structural designer
of a horizontal concrete beam between pillars. In such cases the beam is often
formed hydraulically, rather like an aeroplane wing but symmetrical to avoid
vertical lift forces being generated. This beam can be elongated and angled in
61
the direction of the flow. It then acts as a flow separator which streamlines the
flow in the intake in a positive way, thus contributing to reduced intake losse,
despite the fact that the net opening of the intake is slightly reduced as a
consequence of introducing the beam.
4.6.4 Intake gates

Almost all large hydropower schemes will need a gate or other closing
mechanism at the intake, to be closed for inspecting the headrace tunnel or
penstock occasionally. Even small hydro schemes with long penstocks should
consider installing a gate or emergency shut-off valve near the intake. The
latter is a safety feature which can be triggered by an automatic sensor
designed to close the valve on registering a significant and sudden fall in static
pressure. Such valves have contributed to avoiding catastrophic damage and
even loss of life in the rare event of a penstock failure. Penstock failures
without an intake valve are difficult and lengthy to stop, and the high velocity
and large flow out of a penstock rupture can cause considerable destruction of
the power station and surrounding landscape.
For larger schemes, an intake gate takes on the same function as the valve, and
the intake gate can in some cases be used as a control gate to regulate flow into
the headrace. However, in most instances, the gate can be designed to operate
only in fully open or fully shut situations. Thus a sliding vertical gate may be
an adequate solution, or in cases of larger gates and higher pressures, a
vertical gate with roller bearings is needed. The difficult design problem is
when such a gate has to be designed to close in flowing water. For high flow
situations, as commonly found in spillways or emergency outlets in dams, the
circular tainter gate (radial gate) is preferred, despite the fact that more space
is required. This type of gate closes easily in flowing water and can operate in
part-open positions for long periods of time.
It is important to include adequate air venting behind all intake gates. During
the closing operation, the tendency will be for air to be sucked in behind the
gate, and this contributes positively to a smooth closing operation and
avoiding cavitation damage. However, the air being sucked in is quite a danger
to anyone standing near the gatehouse, and the vents should be positioned
safely out of the public access area and equipped with a safety grid to prevent
objects being sucked in.
Even infrequenly-used intake gates can develop problems and require periodic
maintenance. It is therefore customary to provide a means of closing the
intake in front of the gate using stop logs. These are heavy beams made of
concrete or steel, which are sunk horizontally into vertical grooves designed to
support them and block off the intake. Naturally such beams never make a
peliect seal and leakage water from stop-log closures can be considerable and
inconvenient. Stop-logs can only be set when the flow through the intake has
been stopped, and the intake gate is usually closed first, the stop logs are then
lowered in still water and the gate opened again to drain water from behind the
stop-logs. The designer should never rely on stop-logs as an emergency
closure facility, since they are almost impossible to put in place in flowing
water.
62
5.
SPILLWAYS AND OUTLETS
5. 1 Principles
Almost all dams require the safe and controlled passage of floods, and for this
purpose they are equipped with a spillway. The greatest problem with design
of spillways is often the successful dissipation of the energy which is stored
by the raising of a reservoir behind the dam. This will usually mean that the
spillway should be located on the most erosion-resistant foundation matelial
to be found along the dam axis, preferably hard rock. Furthermore the
spillway itself will probably need to be constructed in concrete, with an
erosion-resistant surface. Therefore we usually find that the spillway is an
expensive part of the dam, with a high degree of enginering work going into
the hydraulic design of the structure.
Free overflow spillways comprise of long flat sills where water is designed to
spill along the entire length of the spillway at all times (see Fig 5. 1 ) . The great
advantage of this type of spillway is the fact that there is no possibility of a
blockage or accumulation of trash which would raise the reservoir level
unexpectedly. Even timber which gets caught on the sill will soon be washed
over as the reservoir level rises further. The free overflow type of spillway is
thus preferred on the grounds of dam safety alone.
Fig. 5. 1
The free ave/flow
spillway at Pangani
Falls in Tanzania.
63
Spillways and Outlets
In contrast, gated spillways are reliant on successful opening of the gates in a

flood event to avoid unexpected rises in reservoir level. Thus great attention
must be paid to fail-safe gate hoists, emergency power supplies etc., and even
then the possibility of human error causing failure to open the gates may still
cause an emergency situation. Even with gates open, the piers of a gated
spillway offer an obstruction which can become blocked by large trees, which
often get carried along by very extreme flood events. Thus for forest
catchments, particularly in tropical regions, the gated type of spillway should
therefore only be used when a free overflow is practically impossible to
incorporate in a cost-effective manner.
Another distinction between the free overflow and the gated spillway is the
higher intensity of flow found below the gated spillway. Because the gate is
often designed for a height of 1 5 m or more, the spillway may be designed to
pass more than 1 00 m3/s per m width while the free overflow spillway will
seldom pass more than 20 m3/s per m. This makes energy dissipation below
gated spillways a much greater challenge to the hydraulic designer than
overflow spillways. On the other hand, the overflow spillway usually occupies
a very long section of the dam and the topography of the site must naturally
accommodate such a wide spillway, otherwise the cost of guiding the spill
waters back into the river channel may become excessive.
Finally it should be stressed that the requirements for freeboard on a free

overflow spillway will usually mean that the difference between the sill level (
highest regulated water level) and the crest of the dam may become
considerable, adding extra height and cost to the dam body compared with a
gated spillway solution. Thus it is common to find free overflow spillways in
long flat dams, and gated spillways in narrow gorge dams. Both types are
frequently adopted by the designer, sometimes in combination. In such cases,
the gated spillway is ususally the normal spill structure and is used to control
reservoir levels, while the free overflow is the emergency spillway, which may
only spill during a rare extreme flood event.
The location of the spillway structure will usually be dictated by the design of
stilling basin or energy dissipation device downstream. Another less
demanding criterion for locating the spillway will be the upstream approach
flow and the ease in which trash can be safely passed over the dam and
sediments drawn away from the intakes. It is common to locate the spillway
centrally in a concrete dam, away from both abutments where erosion damage
should be avoided. The flood flow can then be returned directly and safely to
the river channel below the dam.
For embankment dams of medium height or more, the location of the spillway
stradled across the embankment is an extremely risky design which should be
avoided at all costs. The slightest erosion damage caused either at the foot of
the dam or below the concrete chute which passes the flood over the dam can
develop into a catastrophic failure. Such a layout is only found in the smallest
of embankment dams, and in some cases poses a continuous headache to the
dam owner. Instead, the spillway is often located on one side of the
embankment dam, at an erosion-resistant site, such as the rock spillway
64
formed for the 20m high Mantsonyane dam in Lesotho (Fig. 5.2). This dam
was built using a minimal amount of concrete, with only a low concrete sill
being constructed on top of the rock cut forming the spillway. Naturally the
concrete sill was strongly anchored to the rock to prevent it being sucked away
in a major flood (see Fig. 3.4).
Fig. 5.2
A free ave/flow
spillway formed in.
hard rock at
Mantson.yane,
Lesotho. The spillway
excavation provided
sufficient roclifill for
building the dam, and
110 other quarries
were needed.
S.2 Spillway Gate

Various types of spillway gate have been used in dams around the world, and
designs differ widely (see Fig 5 . 3 ) . The most common type of gate is the
radial gate which is a safe and cheap design which can operate easily at partly
open position to control the amount of water being released. However, the
flow below such gates is typically of high velocity and the discharge under the
gate becomes velY sensitive to small variations in gate opening. Such gates are
often found in series, and often provide the cheapest gate per square meter of
gate opening.
r Lifts up
i i� Fig. 5.3
A lternative types of
Radial gate Segment gate Sliding gate spiUway gate.
An alternative is the drum or segment gate which is of a similar shape

designed to sink down and pass the flood over the top. These types of gate are
often found in combination with the radial gate series, to provide greater fine
control of water levels . One such gate will often be used to make small
adj ustments to the flow, while leaving the radial gates to make greater changes
possible. In Norway, the drum gate was often built into a timber run, and logs
were floated over the drum gate, whereas this would be impossible with the
65
radial gate (occasionally a flap has been provided on the top section of a radial
gate for intermittent passage of trash).
A flap gate can be constructed for small or moderate heights, and can
therefore be successfully built in quite long length sections. The flap gate has
the added safety advantage that, in an emergency, the water forces will
collapse the gate and allow the flood to pass, even if no power is available for
controlled loweling of the gate.
Vertical sliding gates are seldom used in spillways because of the greater
forces needed to open and close these gates in flowing water. However,
vertical lift gates have been used where large cranes can be provided to exert
the great lifting forces needed ( see Fig. 5 .4)
Fig. 5.4
Spillway at Plavinas
dam in Latvia, rvith
large vertical flood
gates lifted by
travelling gantly
cranes.
Some other types of gate and spillway closure devices have been used in the
past, but are now dying out in modern spillway designs. These include the
rotating roller gate, the bear-trap collapsing gate and use of vertical timber
beams set one by one beside each other (literally translated as "needles" from
the Norwegian word "niller"). This latter curiosity is still in use in Norway, but
requires great skill in the positioning of the beams in flowing water.
Unfortunately this skill is dying out in Norway, and many such spillways are
now being redesigned, after more stringent safety requirements are imposed,
or the operating requirements are altered.
5.3 Bridges and Piers

Many spillways will require a road access to be built to them, and in some
cases over the dam. This in turn necessitates a bridge deck passing over the
spillway, and construction of pillars or piers to support the bridge. In gated
spillways, the bridge is also essential for placing the gate and the stop-logs
which must be set in front of the gate for maintenance. Generally the only
spillways where bridges do not run over the top are long ones of the free
overflow type.
66
The underside of the bridge deck must be safely positioned above the highest
conceivable water level, and for that reason, a common location for the bridge
is behind the gate where water levels do not reach as high as in front of the
gate. On the other hand if height is not a constraint, the bridge placed in front
of the gate is most convenient for setting stop-logs and for allowing the radial
type of gate to be lifted high and clear of the water. It must be remembered
that floating trees can have branches several metres high which might catch on
the bridge even if there is good clearance to the water sUlface. Even one such
tree can start a major log-jam and reduce the capacity of the spillway or
perhaps tear off the bridge deck.
The bridge piers are often utilised to house the gate hoisting equipment, but
they have an essential structural function in supporting the large force exerted
on radial gate pivots, or along vertical gate slots.
Piers can be shaped in a hydraulically optimal way to avoid reducing the

spillway capacity, and the sharp nosed type of Fig. 4.9 is often adopted. The
reduction in effective width of a spillway is given by Equation (5. 1 ) :
L = La - K N Ho (5 . 1 )
Where La is the total width, N is the number of side contractions (2 per pier),
Ha is the total upstream head over the sill, including velocity head, and K is
the pier contraction coefficient. For sharp-nosed piers K can be assumed to be
around zero, for heads within ± 30 % of the design head. For lower heads, a
coefficient of 0.05 can be assumed. Rounded nose piers have a coefficient of
around 0.02 at the design head, increasing to 0.05 at half the design head.
More details can be found in [ 1 ] .
5.4 Design of Spillway Crests

The standard design of spillway crests has been documented thoroughly in
[ 1 6] and is concisely described in appendix A enclosed. This appendix is a
reproduction of Chapter 8 of the Norwegian Regulations for Planning,
Construction and Operation of Dams [2 1 ] . It describes how the shape of a free
overflow crest can be determined based on the general formula
Q = Ca L Ha 3/2 (5 .2)
where L is the length of the spillway (after pier contraction allowance), Ha is

the total upstream head and the coefficient Co is determined according to a
range of geometric features both related to approach conditions and
downstream structures.
When using this appendix to design a free overflow spillway, it is wise to

remember that the coefficients quoted there have been determined on the basis
of idealised smooth flow conditions, approaching perpendicular to the axis of
the spillway. In many cases, the flow may approach at an angle from the side,
or in a turbulent manner. This will cause the guidelines of the appendix to
overestimate the capacity of the spillway, and require extra spillway length for
the same reservoir level. In cases where skew inflow cannot be avoided, or
67
other irregularities in the geometry cast doubt over the applicability of the
appendix calculations, model testing is recommended if the capacity of the
spillway needs to be accurately known.
The theory described in appendix A is based on the general principle that the
concrete profile should be designed to follow as closely as possible the curve
formed by the underside of a free jet being discharged over a sharp crested
weir. In such circumstances, no suction pressures should theoretically occur
on the convex concrete sUlface below the crest of the weir, which should be
experiencing near to atmospheric pressure.
In practice, the spillway must be designed for a range of overflow discharges,

and the most critical decision is the choice of the design head, Ro' If the
design head is set too low, there will be suction created during extreme floods
greater than the design head, possibly leading to structural instability for the
weir (see Fig. 3.4), as well as exposing the concrete sUlface to cavitation
damage. If the design head is set too high, the weir will be unnecessarily flat,
and will have a low discharge coefficient, causing higher than necessary
design water levels and a higher dam crest, with significant extra cost.
Attention must therefore be paid to the frequency of flood overflows before

choosing the design head. Provided extreme floods are infrequent, the
design head can be chosen at about 70 % of the expected overflow depth
during the maximum design flood. Cavitation damage should therefore only
occur very rarely and last only for a short period while an extreme flood is
passing. The suction force on the convex spillway surface below the crest
must be taken account of in the stability calculations for the dam. Normal
floods will not create suction forces, and no damage is expected provided
the design head is seldom exceeded. If the reservoir is regulated and flood
releases can be passed frequently at heads above the design head, more care
should be taken in the design, and the reader is referred to [ 1 ] for further
discussion.
It is also important to note that when a spillway gate is introduced on top of a

concrete spillway crest, the flow conditions change significantly, and the free
sUlface flow profile geometry will no longer be appropriate. Fig. A.9 in
appendix A allows an estimation of the discharge capacity of a vertical gate
opening to be determined, but this assumes no influence from downstream
conditions, i.e. a free discharge jet. An unfortunate part of this figure is the
indication of a rapidly sinking convex concrete spillway immediately below
the gate. This ensures the applicability of the curve values, but is not
recommended as a practical design. The velocity out of a partially open
underflow gate is generally high, often higher than in a typical free-overflow
spillway. The jet will then have a longer flat trajectory, and the concrete profile
should be kept flat for a short distance downstream of the gate, in order to
avoid the risk of cavitation damage to the concrete.
The trajectory geometry of any free jet can be calculated accurately, and as
long as the concrete profile is no more convex than that, the cavitation risk
will be avoided. However, for most sliding gates, a flat base is adopted for a
68
short distance, followed by an abrupt end to the concrete base, in order to

allow air to contact the jet, as shown in Figures A l l and A 1 2 in the same
appendix .
5.5 Shaft of Syphon Spillways

The steep mountain topography and hard rock of Norway has led to the
adoption of tunnel spillways for many of Norway's mountain dams. With
increasing attention now being given to safety considerations and flood risk
situations, design practice in Norway has since departed from the use of shaft
spillways, except in cases where the topography makes them practically
unavoidable. The authors will not recommend that shaft or tunnel spillways be
adopted in any future designs, for the reasons explained in appendix A
Furthermore the winter climate has caused several examples of such spillways
getting gradually blocked by ice and snow, which may not melt fast enough
for releasing the spring flood.
The need for a change in design practice became even more apparent after
recent experience indicated that the hydrology of the future may contain more
extreme floods of unpredictably large magnitudes. Only a slight
underestimation of a spillway tunnel capacity may be sufficient to cause the
tunnel to run full, the reservoir level to back up sharply and unexpectedly, and
consequent overtopping and catastrophic failure of the dam. Many of
Norway's dams with tunnel or shaft spillways have recently been upgraded
with significantly higher spillway capacity being added, and even new
spillways being built.
Similarly in other countries, the shaft spillway or " Morning Glory" type of
inlet has been used in many of the twentieth century dam designs. This type
should now be avoided as well, if there are practical alternatives for a design
without the downstream constriction of a shaft, or the accompanying
uncertainty of whether sufficient freeboard has been provided by the chosen
hydraulic design parameters. Simple open solutions where large flood
magnitudes can pass unhindered are to be strongly preferred.
5.6 Brook Inlet Spillways

Many Norwegian hydropower schemes collect water from several mountain
brooks, leading the water into a tunnel system conveying all water to a
common power intake (see Books 1 and 5 in this series). In such cases the
spillway is simplified to keep the cost low, since the backing up of water
behind the inlet during a flood seldom has any significant consequences.
Straight flat topped spillways (broad-crested weirs) are often adopted, but it is
more important to ensure that sediment load, particularly bed load, does not
cause damage or obstruct the intake. This subject is described more
thoroughly in Chapter 9 of this book.
The broad crested weir is a commonly utilised type of spillway for small dams
and brook inlets, and is a special case of the weir equation. The weir
coefficient becomes C = 1 .7, such that for weirs of width (defined in the
streamflow direction) between 1 .5 and 3 . 0 times the total head Ra, the
following equation applies for metric units:
69
Q = 1 . 7 L H03/2 (5.3)
This formula only applies where tailwater levels are not high enough to
influence the flow over the weir (supercritical flow is achieved on the weir).
Fortunately, this formula applies within the normal design range for a broad
crested weir, but does not apply for smaller heads than 0.6 times the width of
the crest. For very small heads, Ho less than about 0. 1 times the width, the
flow downstream becomes oscillating or "undular", and small but troublesome
waves can be propagated downstream. Thus it is normal to design a broad
crested-weir with a width about 1 .5-2 times the design head, provided the
structural stability or cost does not become affected.
5.7 Steep Spillway Chutes

The part of the spillway below the crest is commonly referred to as the
spillway chute, and is usually designed to convey the water towards an energy
dissipation device of the various types described in the next chapter. However,
the water quickly gathers velocity along the chute, and some important design
considerations must be taken. One of the most common cases of a chute is the
downstream face of a concrete gravity dam, and this merits special elaboration
of the flow conditions, in order to obtain realistic estimates of flow depth and
velocity at the entry to the stilling basin or flip bucket at the foot of the dam.
Immediately after the crest of the weir, the flow remains smooth and
accelerates through a critical section while the depth is reduced. However, the
bottom boundary layer will increase in depth and rises up through the smooth
flow to meet the surface at a point some few metres below the crest. Up to that
point the energy equation can be used to determine flow depth, since friction
has been negligible upstream. From that point onwards, the flow has become
fully developed turbulent flow and the friction equations can be used to
calculate flow depths further downstream as a first approximation.
However, in steep chutes the high velocity turbulent flow will soon entrain air,
and the depth becomes larger due to the entrained air bubbles. The spillway
chute of a gravity dam will thus show a smooth dark upper part followed by a
white water part as the flow cascades down the chute.
Up until the early 1 990's it was traditional to design smooth chutes, with
minimal flow resistance. Although the velocity down such chutes becomes
high, there is seldom any problem with cavitation damage on the chute surface
because of the air entrainment, which dampens cavitation even at high
velocities. The friction losses are minimised and the velocity at the bottom of
the chute is thus as high as it can be. Such conditions are often suitable for a
flip bucket dissipater which throws the flow a long distance out from its bucket
(see Chapter 6).
However, if the dam is founded on erodable foundations, it is preferable to try

to have a controlled dissipation of the energy along the chute, thus reducing
the velocity at the entry to the stilling basin at the foot of the dam. Such
situations call for a rough chute sUlface, or even a stepped sUlface, which
70
SpiUways and Outlets
dissipates the energy efficiently and in a controlled manner. The 1990s has
seen the gradual introduction of concrete stepped spillways, in particular
because of the popularity of roller-compacted concrete gravity dams (RCC),
which are raised in layers suitable for the construction of a stepped spillway.
Reference [ 1 9] includes a good description of the hydraulics of steep chutes,

as commonly found on the downstream face of concrete gravity dams, both of
the traditional or RCC types. Fig 5.5 illustrates the substantial effect in
reducing the velocity at the toe of the dam achieved by adopting a stepped
spillway. Instead of 30-50 % of the idealised maximum velocity commonly
found at the foot of high smooth chutes, a stepped spillway can reduce the
velocity by a further factor of 3 or more, bringing entry velocities to the
stilling basin down to 1 0 % of the idealised maximum velocity. This makes
the design of the downstream apron/ stilling basin considerably easier and less
costly. A further approximation in estimating velocity at the foot of dams is
given in ref. [ 1 ] page 383.
Total h e a d l i n e
s
,
V / Vmax
1 .0
0.8
0.6
f = 0.01 ,
smooth ch ute at 55°
.
.
.
"
"
"
Fig. 5. 5
0.4 Flow velocity at the
downstream end of a
f = 0.03, steep chute ( 55
U n iform e q u i l i b ri u m flow
0.2 smooth ch ute at 55° degree to the
Stepped ch ute � -----

----___
_
horizontal, as
=
at 45° f 1 common for most
gravity dams).
o 50 1 00 1 50 Ref [ 1 9]
71
5.8 Chutes of Moderate Slope

Sometimes the chutes are longer, and less steep, for example when a suitable
site for a flip bucket is found some distance from the spillway crest. Here it is
important to observe the rules of hydraulic design for supercritical flow.
Firstly it is strongly advised to avoid bends, sharp contractions or expansions
etc. since these will almost certainly generate standing waves, making water
levels unpredictable and side walls will have to be considerably higher as a
result. A straight parallel-sided chute is the preferred geometry wherever
possible. However, a common design problem is the conflict between the need
for a long spillway crest, and a narrow more concentrated stilling basin or flip
bucket. Thus a gradual contraction of the chute is normally introduced into the
design. The contraction must not be so severe that a hydraulic jump is created.
In well-functioning chutes, one often finds that flow depth remains more or
less constant or gradually reduces in the downstream direction (i.e the width
of chute is not narrowing faster than the velocity of flow is increasing).
However, in some cases standing waves cannot be avoided, and the chute must
be designed with high and strong side walls.
Cavitation damage is another common feature of moderate slope chutes which

CatTY high velocity flow (20 mls or more). Such chutes require expert attention
to avoid severe damage, and there have been several cases of high velocity
chutes failing in a dramatically destructive manner due to insufficient
attention being paid to the difficulties of passing high velocity flow along
jointed concrete sUlfaces.
When high velocity flow passes over a sUlface, the pressure in the bottom
sUlface of the channel drops due to low depth of flow creating static head. At
the same time the high dynamic head caused by the high velocity (v212g) means
that at positions where the sUlface is uneven (joints or grooves) the dynamic
pressure is high on surfaces protruding into the flow and correspondingly low
on areas where the boundary layer breaks away from the sUlface. Theoretically,
at mean flow velocities of 15 mis, the velocity head will be about 1 l .5 m, and
with say only 1 m depth of flow, the pressure can become sub-atmospheric on
the downstream face of any groove or sUlface discontinuity. This means
incipient cavitation can occur, and small vacuum bubbles can be created in the
flow. When these bubbles strike the surface of the channel, they implode,
tearing with it some small part of the sUlface metal or concrete.
For instance a protruding transverse construction joint will quickly transfer

the entire velocity head of the flow into static pressure in the joint, which is
literally able to tear up the bottom slab. Great care must be taken in detailing
expansion, contraction and construction joints in such chutes. A golden rule is
to ensure no protrusions, and to keep steps to a minimum. The effect of small
protrusions on high velocity flow has been described by Novak et al [ 10] . The
cavitation number is used to describe the cavitation lisk, using the formula
(J = 2( p Pv) I pu2
- (5 .4)
where (J is the cavitalion number, p is the density, p is the pressure and u is the
velocity of flow, Pv is the saturated water vapour pressure at the prevailing
temperature.
72
This formula can be simplified for normal temperatures and pressures to

demonstrate that cavitation can occur whenever the pressure in the flow falls
below zero, i.e. a situation which can occur when the velocity head rises above
the atmospheric pressure (normally about 9.8 m water column). Thus
velocities as low as 1 1 mls can theoretically result in cavitation developing
behind small protrusions. Normally cavitation is not found before velocities of
around 1 5-20 mis, provided the concrete smface has been well formed, for
example by troweling the concrete. The region of incipient cavitation is shown
in Fig. 5 .6.
60
20 � � Triangular protru sion

0:
� t
�
�
'0�
10 ��0t\!
Sloped offset � Fig. 5. 6

The cavitation
number and the
o region of incipient
o 0.2 0.4 0.6 0.8 1 .0 cavitation for small
I n ci p i e n t cavitati o n n u m be r protrusions.
Stee1 plating was earlier adopted as a remedy for smfaces exposed to

cavitation risk. Steel plating is expensive, and has fallen out of use since
recent progress has been made in research on cavitation and in forming hard
and smooth concrete surfaces. Joints in steel smfaces can be just as
problematic as joints in concrete smfaces, and the steel lining cannot be
73
continued indefinitely downstream. Frequently cavitation damage can be

found at the end of such steel linings where a smooth flush transition to a
concrete surface is necessary, but is difficult to achieve in practice.
5.9 Submerged Outlets

For medium and large schemes the flood discharges for which the spillway
must be designed are quite large. In comparison the problems of designing
submerged outlets restricts the discharge capacity of such outlets. Although
submerged outlets can be an interesting supplement to overflow or gated
spillways, they are seldom used as the only spillway for evacuating floods and
in principle such use should be avoided.
However some dams have submerged outlets which lead to energy dissipating
valves of the cone dispersion or hollow jet type. These are both valve- types
which are designed to spread the jet into the air and dissipate the energy after
exit. The energy dissipation within the valve is minimal. Some illustrations
can be found in reference [ 10] .
5.10 Spillway Fuse Plugs and Tipping Gates

Spillway fuse plugs are occasionally used in embankment dams to provide
additional spillway capacity under semi-controlled conditions at low
investment cost. The idea is that under extreme flood conditions, a fuse device
is triggered and a pre-determined section of the dam erodes through
overtopping. It is usually made of homogeneous sand or finer material, which
has been selected because of its guaranteed erosive properties when
overtopped. Thus if the reservoir reaches a dangerously high level, an
overtopping of the fuse-plug section will rapidly open up a breach in the dam
and water level will hopefully start to sink again due to the additional flow out
of the breach.
Such fuse plugs are very sensitive constructions, and the designer must walk a
fine line between making design choices which are too conservative, leading
to the plug not breaching when it should, and too optimistic design choices
leading to an early breach when the dam should have remained intact. Such a
dilemma applies to selection of a number of parameters, not least the design
breach water level. the grading curve of the erodible section, the wave and rain
protection against undesirable fusing etc.
The fuse plug section should be isolated from the main dam by lateral
retaining walls running across the dam. These are designed to restrain the
sideways erosion of the embankment during a breach, and restrict the flow out
of the breach to the design outflow. The latter parameter has a bearing on the
amount of damage done by flooding downstream when the flood wave from a
rapid breach flows down the river channel. It is wise to recognise that unlike
most engineering designs which are designed with safety factors to avoid
structural failures, a fuse plug must be designed without such safety factors to
ensure that breaching occurs exactly when and how the designer has
prescribed.
74
S uch fuse plugs are very seldom encountered in cold climates with predictable
flood magnitudes. They will however become more commonly used as low
cost spillway solutions in tropical catchments prone to very extreme
magnitude floods.
Mention should also be made of the development over the last decade of
tipping gates of the brand name "Hydro-plus". Such gates comprise of a series
of trapezoidal-shaped steel buckets with labyrinth shaped overflows formed
along three sides of each bucket. Each bucket is mounted on hinges on top of
existing spillways. They are designed to be stable up to a small overtopping
level, but also designed to tip over and be washed away if the overtopping
increases above the design level. They have become very popular as a means
of raising the highest regulated water level in a reservoir with a free spillway,
without affecting the spillway evacuation capacity in the case of extreme flood
events .
75
6.
ENERGY DISSIPATION STRUCTURES
6.1 Norwegian and Foreign Experience

Energy dissipation is one of the most problematic aspects of hydraulic design
of dams and outlet structures, and should not be taken lightly. The majority of
cases where damage has occurred to dams and associated structures can be
traced to inadequate or poorly formed energy dissipation structures.
It must also be recognised that the existence of much exposed hard rock in
Norway has led to simplified energy dissipation solutions often being adopted
for many Norwegian plants. These structures are generally pelforrning
successfully where the existence of weaker rock would have caused scouring,
fracturing or even failure. Therefore the authors have decided to include
examples of difficult energy dissipation problems from other parts of the
world to illustrate many of the design concepts. However, Norwegian
designers have considerable experience in tropical countries, and the SINTEF
and NTNU modelling laboratory in Trondheim has been central in several
areas of research and development related to energy dissipation structures in
tropical climates.
6.2 Process of Energy Dissipation

Energy dissipation becomes necessary when floodwaters must pass over dams,
creating an unnaturally severe drop in water level where the high kinetic energy
results in high flow velocity, and correspondingly high Froude numbers. The
energy created is directly proportional to the fall in head, so energy dissipation
is more of a problem for high dams than low dams. On the other hand, large
flows are normally associated with low head dams, and energy dissipation
problems are still severe in low dams situated in large rivers.
The two distinctive processes which must be presented are cavitation and
erosion. The cavitation process is very troublesome to the hydraulic designer
(see Chapter 5 .8), who must try to reduce the length and extent of the sUlfaces
exposed to high flow velocities, and must therefore dissipate the energy of the
flow in a controlled manner as soon along the flow path as it is practical to do so.
A description of the erosive mechanisms, which are at work when energy is

dissipated, is useful before going in to the theory of energy dissipation and
practical design exercises. In smooth flow, energy is dissipated gradually
77
Energy Dissipation Structures
through flow retardation by the friction effect of the surfaces of the channel or
tunnel on the boundary layer. Loose bed material is drawn into the flow by
high shear forces along the boundary of the flow. Even in concrete-lined
channels some erosion can be experienced, for example in joints, cracks or
sutface depressions in the lining.
However, this smooth high velocity flow situation in unstable at high Froude
numbers, and somewhere along the path of the flow, a hydraulic jump is likely
to occur (see Chapter 2). Here a large energy dissipation takes place in a
concentrated area, where a sudden change in flow condition occurs. The flow
changes from supercritical to sub-critical, major eddies are formed and the
water becomes very turbulent, appearing to boil.
The channel sides and bottom beneath a hydraulic jump experience rapidly
fluctuating pressures, since these eddies are constantly changing in location
and intensity. Typically the pressure can vary rapidly from sub-atmospheric to
higher than static pressure several times a second. These rapid and severe
pressure variations are transmitted into the fissures of exposed rock, leading to
a rapidly varying cycle of loading and unloading of the forces acting on each
rock block. This can result in a gradual working loose of the block, which
eventually gets "jacked out" or sucked into the flow, leaving a hole where the
underlying rock becomes subjected to the same pressure variations, and so on.
This is the process of rock erosion or disintegration of the rock structure,
which can occur when severe and prolonged hydraulic jumps are situated over
an apparently smooth and sound rock sUlface without a protective lining. Even
though the protective lining is no harder than the rock sUlface itself, it may be
necessary to provide such a lining in order to obtain some control over
pressure variations acting in the joints and beneath the sUlface blocks.
Experience of this type of rock erosion has led to the use of concrete lining to
cover the bare rock. The lining is subjected to the same hydraulic pressure
variations and forces, but is more equipped to deal safely with them, having
fewer joints and a smooth surface. Furthermore the concrete lining can
prevent sUlface disintegration of the exposed rock, and should be equipped
with steel reinforcement mesh near the sUlface to minimise cracking and
improve the concrete surface finish. Nevertheless, these measures alone may
not prevent stilling basin slabs being gradually "jacked out" by the rapidly
varying pressure fluctuations within the joints, in the same way and by the
same mechanism as rock erosion can occur. The designer must also pay great
attention to joint details and drainage systems to ensure a successful structure
is built.
Some types of stilling basin utilise protrusions (baffle blocks or flow splitters)
to break up the flow faster and reduce the length of the hydraulic j ump. Since
these blocks protrude into high velocity flow, they are bombarded by the
bottom jet of high velocity flow, including any suspended sediment that the
flow contains. This bombardment of high velocity silt particles can be
considered to be similar to "sand -blasting", and has an erosive effect on the
concrete sUlfaces which protrude into the flow. It can be distinguished from
cavitation damage because it can be found on exposed sUlfaces faced against
78
the flow, while cavitation damage is usually found on sUlfaces parallel to the
streamlines or on the downstream face of a block or a sUlface discontinuity.
Sometimes it is difficult to distinguish between cavitation and particle erosion
damage on a hydraulic surface by inspection of the damage alone, and often
the location of the damage is the best evidence as to which of these processes
has been at work.
In contrast to the hydraulic jump, an alternative form of energy dissipation is

breaking up of the flow by sending it into the air at high enough velocities for
the water jet to be torn apart, resulting in droplets or spray. This is the theory
behind flip bucket structures which send the jet into the air in a trajectory
designed for maximum dispersion through air contact before the water jet hits
the ground again. The jet is only partially broken up, and a new energy
dissipation problem occurs when the spray jet hits the ground or water pool,
often after falling vertically by many metres before doing so. Even if a water
"cushion" is provided where the jet lands, the vertical penetration of the jet
can still be great, and the erosive power of the jet should not be
underestimated (bed erosion to a depth of half the height of fall or more has
been experienced).
Another somewhat similar approach can be adopted, by directing a high

velocity submerged water jet into a deep pool of still water. The erosive power
of the jet must be disintegrated by causing high turbulence in the recipient
pool, without creating such velocities in the pool itself or downstream that
erosion starts to occur on the sides or bed. This concept is often used for small
submerged outlet valves working at high pressures, where the high velocity jet
is deliberately directed into a still water pool, at an angle or depth which
dissipates as much as possible in the energy of the jet before the water flow
returns to the river course.
6.3 Strategy for Energy Dissipation

It is important to start the design by determining the best strategy for
dissipation of the energy. Should a hydraulic jump be created deliberately,
concentrating energy dissipation at one place where a heavy concrete structure
can be built to withstand the forces? Or should the energy be dissipated as
gradually as possible, say by sending the high energy flow down into the
existing river channel to spread out and dissipate gradually? The answer to
these questions will depend on the topography, geology and river conditions at
the site itself, but some general guidance can be given here.
There are three general types of energy dissipation principles employed in

most hydraulic designs:
1. Stilling basins
2. Flip buckets with a plunge pool
3. Flip buckets with a drowned jet
If the riverbed comprises relatively sound rock, as may often be the case
immediately below a dam, and the tailwater is relatively deep, the conditions
are suitable for the first type, i .e. conventional stilling basin design. This is the
79
safest and most conservative design in that maintenance or operating problems

should be infrequent and affordable. The energy is substantially dissipated,
and the flow below the basin should be smooth and non-erosive, even during a
design flood event. Conventional stilling basins can be recommended in such
cases, provided there are few river diversion or construction difficulties in the
river bed, and provided the approach velocity is not too high, causing
cavitation prior to reaching the jump. Stilling basins, however, can be
expensive constructions, and may complicate access to the foot of the dam in a
tight construction area between the cofferdams . Normally, the cofferdam
should be sited below the end sill of the stilling basin, which may be further
downstream than the dam design otherwise would dictate, adding to the river
diversion costs.
The second principle is to use air as a dispersion medium, throwing the high
velocity jet into the air to disperse as much as possible before hitting the river
bed. This is the "flip-bucket" approach, which results in enormous spray
production, and a real erosion risk in the riverbed where the jet lands.
However this landing site is further downstream than a stilling basin would be
located, and erosion some distance below the dam should not immediately
endanger the dam stability.
The third principle involves siting the flip bucket in the river bed, thus using
the tailwater to dissipate the energy of the jet, but such an approach can only
be used where approach velocities are low, say below 1 8 mls at a maximum.
Thus such drowned bucket approach is not viable for high dams, but can be
both cheap and effective for low or medium height dams.
If a cheaper solution is to be sought, or if the river tailwater conditions are too

shallow for a good stilling basin design, or if the foundation material is not
sufficiently sound for founding the stilling basin concrete construction, then
an even simpler, but more risky approach might be taken, using the river itself
to dissipate energy, or spreading the dissipation of the energy over a large area
to try to hold scour effects at a sufficiently low level per square metre. Such an
approach gives unpredictable results and should only be adopted after model
tests have been completed for some distance below the dam.
One important consideration for the designer must be the expected frequency
and duration of operation of the spillway and associated energy dissipation
devices. Some spillways may only operate a handful of times throughout the
lifetime of the structure, particularly in rivers and reservoirs with a high
degree of seasonal regulation, or at hydropower plants with a high installed
capacity or diversion works which divert most of the river flow. For such
cases, it can be important to balance the high investment cost of the structure
against the low net present worth cost of repair works which might occur from
damage occurring only once every decade or two. Tolerating occasional
repairs can be a cheaper approach than over-investing in an expensive
structure designed to withstand the highest flood without damage.
This strategy is particularly relevant for secondary or "emergency" spillways.

When a dam has two spillways, floodwaters are normally passed over a
80
Enelgy Dissipation Structures
service spillway, leaving the emergency spillway to cope vary rarely with the
excess flow arising from an exceptionally high flood. However, the amount of
damage to be tolerated must never endanger the structural stability of the dam
and spillway structures. It must be appreciated that once erosion damage
begins, it can accelerate with alarming speed. Even a few hours of spillway
operation during a major flood can lead to an uncontrollable erosion situation
occurring. The duration of the design flood event must therefore be considered
when adopting the "calculated risk" approach to design of energy dissipation
structures.
One design that has been commonly used in Norway is the side channel and
tunnel spillway, where the floodwater passes over a concrete sill of low height
into a side channel, where some energy is dissipated. Thereafter the water is
lead into a rock tunnel or shaft where much more energy is dissipated before
the jet is sent out into the river below. Such an approach can only be adopted
where rock conditions are sound for tunnel and shaft construction and where
the design flood has been reliably quantified. The great risk with this design is
that the design capacity of the tunnel and shaft may be exceeded under a
catastrophic flood such as the Probable Maximum Flood (PMF). Whereas this
might have caused only some few centimetres rise in reservoir level over an
open spillway, it might cause several metres rise as the hydraulic conditions in
the tunnel change from free-sUlface flow to full flow with inlet control (refer
to appendix A).
After thorough re-evaluation of dam safety risks, it has been decided to

expand the dimensions of several shafts and tunnels in Norway to
accommodate a PMF with considerable safety margin. If such a design is to be
adopted in modern times, the PMF must be passed safely without any danger
of the tunnel or shaft flowing full. The use of tunnels and shafts for spillways
should generally be avoided in rivers prone to unpredictable extreme floods,
and in site conditions where the geology is not suited for unlined tunnel
construction. Thus the spillway tunnel designs which have functioned
satisfactorily in Norway are often totally unacceptable in many tropical
countries.
Most energy dissipation structures can be categorised as either the stilling

basin or the flip bucket type, and both are described below in some detail.
Stilling basins should be considered first, being the most conservative, reliable
type which should be sought for first from the safety and environmental
viewpoint. Cheaper solutions should always be accompanied by sufficient
design documentation, usually including model testing with an erosive bed
material (see Chapter 1 0).
6.4 Stilling Basins
6.4. 1 Features of the hydraulic jump

The main design principle for a stilling basin is to form a controlled hydraulic
jump within the confines of the stilling basin, over the entire range of flow
conditions under which the basin is expected to operate. In this way, most of
81
the energy is dissipated before the water leaves the stilling basin. Thus the
design of stilling basin is very dependent on the type of hydraulic jump
expected and hence on the Froude number of the incoming flow jet. The
different types of jump are shown in Fig. 6. 1 .
V,
I
� � I � '? -0 �
_____
_
--::-
. -r---
d,
_
--- --.::: d 1 ----. !

F1 between 1 . 7 and 2 . 5
form A-prejump stage
F 1 between 2 . 5 and 4 . 5
form B-transition stage
--------�--��
F 1 between 4 . 5 and 9 . 0
form C-range of wel l-balanced jumps
Fig. 6. 1
Alternative types of
hydraulic jump at
F 1 greater than 9 . 0
f
diferent Froude form D-effective jump b u t rough
numbers. su rface downstream
The incoming jet has usually been passed over a dam without minor energy
loss and the Fl'oude number is possible to calculate with reasonable certainty
for various flood discharges. As a first approximation the entire static head of
the reservoir can be assumed to create kinetic energy using the formula
V = (2gh)o.5. If it i s considered that friction forces have reduced the velocity of
the incoming jet (say when passing over the entire downstream face of a high
concrete dam as described in Chapter 5, Figure 5 .5), then allowance should be
made for reduction in velocity, before calculating the Froude number at the
bottom of the dam.
82
EneJgy Dissipation Structures
The incoming Fl'oude number gives the best indication of the type of jump to
be expected and the type of stilling basin to design.
- For Froude numbers less than 1 .7, no proper jump will form, no stilling
basin can be successfully designed, and bed protection against scour may
be sufficient in many cases. The scour protection should continue from the
supercritical flow and extend about 5 times the depth of tail water.
However, this will vary in type and extent according to the riverbed
material.
- From 1 .7 to 2.5, a hydraulic jump has not yet formed, and this condition is
known as the pre-jump stage. SUlface turbulence is apparent, but this does
not normally extend to the riverbed, where flow usually remains smooth.
However, it is possible to design a simple stilling basin, without baffles or
flow obstructions, as described in reference [6] (Type 1 ) . However, the case
of such low Fl'oude numbers occurs normally only with low structures, and
crops up only very seldom in a dam design situation.
- From 2.5 to 4.5 is known as the transition stage to a stable jump. This is
problematic in that the instability in the form of the jump results in wave
action that is difficult to eliminate and can extend considerable distance
downstream causing river bank erosion. Downstream movement of the
jump or "sweep-out" can also occur. Thus it is best to arrange the geometry
of the spillway to avoid a stilling basin design where operation is
frequently at Froude numbers in this range. In some cases however, wide
basins or operation in the transition stage cannot be avoided due to
topography or construction difficulties, and a stilling basin should be
designed. The research referred to in references [6] and [8] is among the
best literature available on this subject, and the resulting Type II basin is
recommended (Fig. 6.2). Bank erosion protection should also be provided
against wave action downstream of such basins.
Ideally, a stilling basin should be designed for operation in the range of
Froude numbers from 4.5 to 9. Here the jump is stable and predictable, and
numerous case studies are available to document operating experience of
such basins. For this reason, this chapter will later repeat the design
sequence of such a basin in detail as described in references [6] and [8] .
- For Fl'oude numbers above 9, the same type of stilling basin as for 4.5-9 is
designed. However, the j ump is very rough and violent, and no relaxation
of the design rules should be permitted. Consideration should be given to
the fact that the energy dissipation within the basin will not be complete.
Erosion protection should be arranged some distance downstream of the
basin if it is expected to operate frequently at Fl'oude Nos. above 9.
In order to manipUlate the Fl'oude number into the range 4.5 and above, some
increase can be made in basin width and to a lesser extent changes in the level
of the basin floor. However, the incoming flow should be smooth and straight,
and the basin must be designed rectangular, directly in line with the incoming
flow. Any deviation from the in-line rectangular design must be accompanied
by physical model testing, and may not result in an improved design from the
standard rectangular one.
83
As a general rule, physical model testing of stilling basins is recommended

(see Chapter 10), preferably with loose bed modelling to study potential
erosion of material downstream and to the sides of the basin. Only if data on
tail water levels and other operating conditions are reliable, and the design
adheres strictly to one of the basin types described in [8], can model testing be
dropped.
(A) Type II basin dimensions
Froude n umber
4 6 8 10 12 14 16 18
24 /' /"
/"/'
/"
/
20 V/
..c
+oJ
T.w /' v
= 1 . 05 -"-V/'
d2
Q) /"V
"0
..... 16 // -
/k"
�
Q) "0
+oJ d2 -
ro V /' f-- d = 1 /2(V1 + 8F2'- 1 ) _
:s: /' 1 -
ro
I-- 12 /V
V/
/.V
l-0/'
8 I/"
/../'"
I-:;:::;
�
4
(8) M inimum tailwater depths
i--l-
4
V
,./
Fig. 6.2 3
4 6 8 10 12 14 16 18
USBR Basin Type II
Froude number
stilling basin
dimensions. ( C ) Length of ju mp
84
6.4.2 Standard stilling basins

General principles and design problems are often similar for many different
dams of the same height and design flood. Therefore attempts were made in
USA to standardise stilling basin design (see [8]).
Several model studies have been peliormed leading to standardised stilling

basins. The stilling basins are referred to as Basin I, II, III, IV, V and VI. All
the standard stilling basin designs are using the hydraulic jump principle on
horizontal aprons. The various standard basin designs are each tailored to suit
a range of flow expressed by the Ft·oude number. The type Basin I is the
simplest design, as it actually is an isolated hydraulic jump on a horizontal
apron. B asin II includes a dented end sill and dented entry to the basin, Basin
III includes baffle blocks in the middle of the basin allowing shorter length of
the basin, and B asin IV is developed for low Froude numbers (2.5-5 .0) .
The standard B asin II is shown i n the figure below with design guide curves
and their range of confirmed applicability.
Designing stilling basins with a number of baffle blocks and dentations may
improve the hydraulic performance of the stilling basin, but the concrete
structures might suffer from cavitation due to high velocity of the water. This
is a matter that is often erosion or even overlooked by the designer, and the
long-term peliormance of the basin might suffer due to concrete structures
becoming damaged, with high maintenance costs.
6.4. 3 Example of stilling basin hydraulic design

The following example illustrates how a stilling basin can be designed
according to the research data on hydraulic jumps documented in reference
[8] . Reference is also made to Figures B - 1 4 and 9.42 in reference [6]
reproduced here as Fig. 6.2 and 6.3.
Consider a dam of approximately 30 m in height at a narrow gorge site prone

to the passage of extreme floods. The dam designer has selected a concrete
gravity dam type with gated spillway on top of the dam. The design flood has
1 000 year return period and is estimated to be 2000 m3/s. There are 3 gates
with total width from end pillar to end pillar of 40m. The maximum
permissible reservoir level is 235 masl, while the narrow gorge leads to a high
tailwater level of 2 1 5 masl at 2000 m3/s, while at normal flows of 1 00 m3/s,
the tailwater is only 207 masl.
The first step in the hydraulic design is to estimate the Froude number of the
incoming jet after having passed over the gate crest and down to the foot of the
dam. The energy equation can be used for this purpose, first by guessing a
water level at the foot of the dam of 202 masl. Allowing for 1 m in head loss
around gate piers and in friction losses down the face of the dam, the available
head is 235-202- 1 = 32 m, giving a mean velocity of the incoming jet of
approximately 25 mls.
Various basin widths can be assumed at this stage and a table has been set up
showing how choice of basin width affects the depth and Ft·oude number
85
Fraude number
o 2 4 6 8 10 12 14 16 18 20
28
/
24 L
V
20 .LV
l'::
16 V
/'
12 V
/V d2
8 V I d1 =
1 /2 (1/1+8F'- 1 ) I
/'
4 /
V
o /v
Ratio of conjugate depths
N
w w
I I I 90
"E r-
I.---I.---
(I)
u
Q;
�
60 ,/'V
0.. V
/'
.5
>. 1/
f2'
(I) 30 /
c
(I)
'0
(/)
II
(/) o
o
....J Loss of e n ergy in jump
6 V 1"-l-
t:::::
5
L
4
Fig. 6.3
3
Characteristic o 2 4 6 8 10 12 14 16 18 20
dimensions for a Fraude number
hydraulic jump. Length of j u m p
215
(aI 2000m'/s)
Fig. 6.4
Longitudinal section
of the stilling basin
described in the
example. Lj
86
parameters (Table 6. 1 ) . The table calculates the d\ parameter (at the entry to
the stilling basin) for the max design discharge of 2000 m3/s, and the
corresponding Ft'oude number, which is seen to lie in the range of 4.9 and
above for basin widths of 30 m or more. Because of the low Froude number
and high intensity of flow per unit width, basin widths less than 30 m should
not be selected.
Basin width d1 Froude d 2/d1 from d2 Basin floor

number Figure 6.2
Table 6. 1
30m 2 . 67m 4.9 6. 4 1 7m 1 98masl
Sample calculation of
40m 2m 5.6 7.5 1 5m 200masl
a Type II stilling
50m 1 .33m 6.3
basin.
Considerations of construction difficulty and cost will now determine which

basin width will be most suited, and the topography of the gorge will play a
major part. From hydraulic considerations alone, it would be suitable to
choose a basin width of 40 m, the same as the gated spillway above. This
makes the guide walls that lead the water from the gates down the dam into
the stilling basin straight and vertical, which is highly recommended from
hydraulic considerations . The adoption of sloping stilling basin walls is not
recommended since the jump does not form effectively due to side eddies
created on the surface. If necessary from a construction point of view, a small
slope say 1 : 8 from the vertical is acceptable from the hydraulic point of view.
More important is the avoidance of expansions or contractions in the design

width of supercritical flow. As the water velocity increases rapidly below the
gates, any departure from the recommended maximum flare angle of about 8
degrees would risk cavitation damage and streamline disturbance along the
side-walls, with standing waves and overtopping of side-walls as a result.
Thus straight side-walls are very important, and any departure from the
straight line concept will require rigorous model testing before the design is
implemented.
Thus the designer chooses 40 m as a basin width and an initial basin floor
level of 200 masl. The dimensions of the basin must now be confirmed at
different spillway discharges. These calculations will show that the Ft'oude
number is comfortably in the ideal range of 4.5 to 9 for normal operating
discharges of up to 2000 m3/s. However it can be seen that for small flood
releases, the Ft'oude number is above 9 and a drowned jump may result.
The incoming velocity is above 16 mis, and the flood discharge is expected to be
sediment laden, so the designer chooses to avoid the use of baffle blocks that
would clearly be subject to erosion damage. The choice of basin type falls on
Type II, which is longer than the other types but will give better hydraulic
performance and lower maintenance cost. From Fig 6.3 we see that the tail water
depth should be at least 8d\, or 1 6 m. Since the tail water curve shows 2 1 5 m at
design discharge, the basin floor level should be lowered to 199 m asl. Allowing
for 2 m freeboard, the side-walls will then be 1 8m in height, and will be reliant
on bedrock support and anchoring for economic construction. By increasing the
basin width to 50 m the designer can reduce the height of side-walls and raise
87
the basin floor slightly, but he must then deal with the difficult expansion from
the 40m spillway above. The choice is therefore to maintain the Oliginal 40 m
basin width and deal with the high side-walls in the concrete design.
From Fig. 6.3, the length of jump should be at least 4d2 , or 64 m, and the
designer chooses a 66 m long basin to allow for some margin of error. The
height of the end sill is 3 . 2 m (O.2d2 ) . Thus the basin dimensions are
determined, and this design becomes the one that is model tested. If the model
tests show any unsatisfactory pelformance, modifications are made such as
increasing the basin width.
One important consideration is the tailwater curve and the reliability of this
curve at various operating discharges. When designing the dam and power
plant, the tailwater curve is normally recorded and established reliably up to
the highest flow recorded during the project preparation period. This may not
however include any flood near to the maximum design flood, and thus the
upper part of the tailwater curve must be extrapolated or extended by
hydraulic calculations or modelling.
Even when sophisticated modelling techniques are adopted, the resultant

tailwater curve remains only representative of pre-construction conditions.
Commonly in tropical climates, the creation of a dam will lead to bed erosion
below the dam. This is due partly to intenuptions in the sediment transport,
and partly to the residual energy of flow gradually eroding the bed below the
stilling basin. It is possible that the tailwater curve accurately determined for
pre-dam conditions may no longer be applicable after 5 - 1 0 years of operation.
Most likely the tailwater levels will become lower, with a higher risk of poor
stilling basin pelformance, and even sweep out of the jump. Thus the design
should include sensitivity tests of the effect of lower than expected tailwater
levels. Initially these can be done mathematically, but also the model testing
will be useful in testing low tailwater levels.
For most design cases the tailwater curve lies above the conjugate depth curve
of the hydraulic j ump, and for lower discharges the tailwater is considered to
be safely above that required for forming a stable jump. However, in the case
of a narrow gorge in a steep river, we may find that the tailwater curve passes
below the conjugate curve for our preliminary basin design. Thus revised
calculations must be made with a conservatively low tailwater curve and with
the most critical operating discharge. The entire process described above
should therefore be repeated with say discharges of 500, 1 000 and 1 500 m3/s
to see what modifications should be made to basin geometry. As a result, the
basin floor may have to be lowered or the basin width slightly enlarged.
Alternatively a control structure can be constructed at the end of the basin to
ensure sufficiently high tailwater levels, but this itself may create a small
energy dissipation problem downstream.
The use of splitters and baffle blocks was common in the design of stilling
basins described in references [6] and [8] They are an important part of the
successful design of shorter basins, causing the jump to stabilise on the basin
for a wide range of tailwater and incoming flow conditions . If a standardised
88
design of the USBR type is being used without modification or model testing,
it is important to include the baffle blocks exactly as described in reference [8].
However, if the flood discharge is heavily laden with silt, even with fine
fractions only, there will inevitably develop wear from erosion of the concrete
surfaces of the baffle blocks exposed to the silty water impacting them at high
velocity. Thus if it is possible to extend the length of the basin or design
alternatives to baffle blocks, this is preferable. Such alternatives however will
almost certainly require model testing to document the effectiveness of energy
dissipation in the stilling basin.
It is often found beneficial to deepen the stilling basin for effective jump
control, and to find a solid rock foundation for the concrete structure. Thus it
is normal that an end sill is designed as a termination of the concrete base slab.
Such a sill can be continuous or toothed with alternate blocks and gaps. End
sill details are also described in references [6] and [8] . It should be realised
that the part of the riverbed immediately below such a sill is possibly the
location most susceptible to erosion during stilling basin operation. It is
common to place large rip-rap as erosion protection immediately below such
an end sill, or at least gabions if suitable lip-rap is not readily available.
Side-walls should be constructed to contain the jump, and all research points
to the fact that most effective jumps are found when the side walls are vertical,
or very near vertical. The structural design of free-standing vertical concrete
side-walls can be a challenge to the structural designer once such walls exceed
1 0m in height. In large schemes, it should therefore be sought to utilise the
rock valley walls or other topographical features to give some support to the
concrete side-walls. This implies paying attention to this factor when
selecting the design breadth of stilling basin.
Finally, it is important to manage the uplift pressures that can be generated under
such a stilling basin slab, by providing adequate drainage in some form or other
beneath the stilling basin. It is common to provide a thin load-bearing drainage
blanket under the stilling basin floor slab. This will pick up and distribute the
pressure existing in the foundation matelial of the dam either in rock fissures or
in the sand/silt/clay foundations. However the pressure range within the
drainage blanket will be determined by the pressure range expetienced at the
outlet to whatever piped collector drainage system is installed.
Ideally drainage should be provided at the joint between toe of dam and start
of stilling basin. However, this is the point at which the high velocity flow
enters the basin, and any drainage holes bored in the slab at this point may
make matters worse if the jump sweeps out and the full velocity head of the
incoming jet is arrested and transferred into static pressure under the slab.
Drainage pipes can sometimes be installed within the concrete slab itself, with
outlets led out to the backside of the side walls on both sides.
It is important to have stilling basins constructed with high quality concrete,

and with specification of some additional concrete cover over surface
reinforcement (minimum 50-60 mm). The stilling basin is one of the
89
structures most susceptible to smiace damage, and precautions must be taken

to avoid surface damage reaching into the structural reinforcement
6.4.4 Basins below gates

Stilling basins located below gate structures can often pose some difficulties
for the designer due to the wide range of operating conditions they can be
subjected to. The water level upstream of the gate may vary greatly, and an
extra variable is introduced in the gate opening. Even with relatively low dams
or hydraulic gate structures, a high Froude number can be encountered at
small gate openings. At full gate openings the low Froude number can be a
problem. The designer will not have much freedom in adj usting the basin
width, since the width of the hydraulic gates themselves may dictate this
dimension. The detailing around the supporting piers is also a tricky area.
However, the design of such stilling basins must follow the same principles
described in this chapter for basins situated at the foot of overflow spillways.
6.4. 5 Stilling basin .vith sloping aplVns

Stilling basins can be designed with sloping aprons which do not include
baffle blocks or splitters, but this requires a greater tailwater depth than for the
horizontal aprons. The energy dissipation is effective, and the hydraulic jump
is usually relatively stable in its location. The main concern is the tailwater
depth and the length of the structure. Natural topography might provide a
suitable pool and a sloping apron into the pool, but erosion protection will
almost certainly be needed in the form of a thick reinforced concrete lining
anchored to the rock foundations.
Energy dissipation by using a baffled sloping apron for canals can be effective
for slopes of 1 :2 or flatter. B affled sloping aprons are suitable for small dams
and low heads, and a low velocity of the water should be maintained.
6.4. 6 Drop structures

For small-scale energy dissipation, the principles used by ilTigation engineers
in designing canal drop structures can prove to be useful. The low velocities
involved permit the construction of simple baffle structures along the sloping
floor of the channel. This simply dissipates the energy by inducing turbulence
from the break up of the smooth flow by the protruding baffles. However, such
structures are usually confined to irrigation canals or small dams/mini- hydro
plants. Frequent use will tend to wear out the baffle structures, especially with
sediment-laden water.
6.5 Flip Buckets
6. 5. 1 DlVwnedjet type
An alternative to a full stilling basin is the drowned jet type of flip bucket
dissipator. This has been used as a cost-effective method of partial energy
dissipation at the foot of low dams or overflow structures. The energy is not
fully dissipated, and erosion below the bucket always results. However, the
degree of erosion can be acceptable, and considerable research has been done
in the USA, which demonstrates the peliorrnance of such drowned buckets [6].
90
There are two types of bucket frequently adopted; the smooth solid bucket,
and the slotted or tooth-type of bucket. The latter type is preferred because it
does not suffer from stones and rock being washed back into the bucket by the
strong eddy (or roller) created immediately downstream of the bucket, and
because the water sUliace is smoother with the slotted bucket type, leading to
less bank erosion downstream. However, there is a narrower range of tailwater
levels within which the slotted bucket can peliorm satisfactorily. If tailwater
levels can frequently occur outside this range, the smooth solid bucket should
be considered. Full details of design procedures are found in [6] section 207.
The drowned jet type of bucket causes bed erosion below the bucket which
cannot be prevented, but which stabilises in a manner that leaves the eroded
material deposited immediately behind the end of the bucket. The main water
jet is directed upwards after it leaves the bucket, and a stable vortex known as
the "ground roller" forms beneath the jet. This vortex draws bed mate11al
backwards towards the end of the bucket, preventing erosion from
undermining the bucket foundations. Deeper erosion occurs some metres
downstream where the effect of the ground roller does not extend. This type of
design is thus acceptable for small dams, even if the bed material is loose and
erodible. However, it is seldom acceptable for large or medium height dams
and spillways, where such erosion would be potentially dangerous .
6. 5. 2 Free jet type

Flip buckets of the free jet type work on a different p11nciple from stilling
basins in that they use the resistance of air to split up the high-energy flow and
to dissipate much of the energy before the water meets the ground. This
requires the water to be thrown out into the air and to have as long a trajectory
path as possible before it hits the ground. It must be recognised that only part
of the energy in the jet can be dissipated in the air, and a substantial part of the
energy remains to be dissipated after ground impact. Therefore it is usual to
provide a cushion of water where the jet strikes the ground to try to reduce
ground erosion problems in the impact zone. The water cushion is known as
the "plunge pool", but is unable to dissipate all the energy, and rock erosion is
a frequent problem below flip buckets.
To design a flip bucket, the selection of the site and location of the plunge pool
are often the first and most important design decisions to be made. Knowing
that erosion is quite likely, it is preferable to choose a site where the
consequences of such erosion are minor, and are acceptable from the point of
view of dam safety. This means the plunge pool must be remote from the dam
foundations, as well as remote from any hillside or slope where slope stability
would be endangered if the plunge pool erosion becomes substantial.
If such a site can be found, it is advantageous if the ground comprises erosion

resistant rock, such as that found at many dam sites in Norway. Then it might
be possible to avoid building a concrete lining or base. If it is decided to allow
the jet to fall on bare rock, the designer must be aware of the pUlsating
pressures caused by the impact of such a jet. Such pressure pulsations can be
transferred into the fissures of the rock and cause the block structure of the
bedrock to loosen over time. There have been cases of apparently hard rock
91
being ripped up by the impact of a water jet by the hydraulic j acking effect of
the water pressure under the individual blocks. For this reason a rock bed with
a large block structure ( large distance between fissures) will be more erosion
resistant than a highly fissured rock bed, even if the rock material itself is
highly resistant to erosion.
Not all sites are as suitable as the case described above, and in many cases the
plunge pool must be located on an erosive rock bed. If this is the case, there
are two possible design strategies to adopt. Firstly one can allow erosion to
take place until the plunge pool reaches an almost stable depth. Although
erosion starts as soon as the jet is operated, the resultant hole fOlms a
gradually deeper water cushion, thus increasing the harmless dissipation of
energy in the water retained in the pool. After many decades, the plunge pool
bed will no longer erode significantly. This is comparable to the situation
found at the foot of vertical watelfalls where erosion has stabilised after the
centuries of impact from the watelfall above.
Research on plunge pools has tended to demonstrate that the type of bed
material has surprisingly little influence on the final depth of the pool created,
although it will affect the length of time needed to reach a stable situation. The
experience from the plunge pool below Kariba dam in Zambia/Zimbabwe is a
classic example of the rate of progress towards a stable plunge pool situation,
and the situation at Kariba is being continually monitored in case the plunge
pool erosion continues.
The alternative strategy is to try to protect the rock bed by covering it with a
concrete base designed to withstand the impact of the jet. One example of
such an approach was the lining of the plunge pool at Tarbela dam in Pakistan,
found to be necessary after rapid erosion occurred during the first year of
operating the flip bucket. Clearly the application of a concrete base to the
plunge pool is more expensive and in some cases not very effective. If a flip
bucket design requires heavy construction works to pre-form and line a deep
plunge pool, the question can be asked if the traditional stilling basin design
had not been easier and quicker to build in the first place.
Another important decision is where to locate the flip bucket. This is a solid
concrete structure with high resultant force due to the centrifugal slinging of
the high velocity jet in a curve before it exits the bucket. Thus the bucket must
be founded on sound stable material with small settlement risk and substantial
resistance to erosion. The latter is required because even if a bucket is
designed to operate primarily for one flow rate, it may have to operate for
short periods at lower flows, at least while opening and closing the spillway
gates. For a short period the water may not be thrown clear of the bucket, and
water running down the end of the bucket can cause local foundation erosion
if adequate sUlface protection is not provided.
The sites for bucket and plunge pool are linked by the calculation of the jet
trajectory, or series of trajectories for a range of design flows. The main
parameters are the angle of the end of the bucket and the radius of the bucket.
The exit inclination (angle of the end of the chute compared to the horizontal)
92
Energy Dissipation. Structures
should never be more than 45 degrees, since this results in the longest
horizontal throw distance for a landing area on the same level as the bucket. In
most cases a slightly flatter exit inclination angle of 30-40 degrees will be
chosen because this will achieve a greater throw distance if there is a vertical
fall below the level of the bucket. Also the bucket itself will be easier to design
with a more vertical resultant force rather than a high horizontal component
force requiring heavy tension reinforcement in the tip of the bucket.
The bucket radius should not be too small since the surface pressure will
increase on the bottom of the bucket and the jet profile becomes negatively
affected before exit, thus reducing the trajectory and general smooth
peliormance of the bucket. Guidelines for bucket radius are given in [6] .
For large flip buckets, the jet of water does not get split up fast enough by the
air resistance, and flow splitters should be introduced to split the jet into
portions with different trajectories. These appear as teeth at the end of the
bucket, but must be designed with extreme care and attention to detail, both in
specifying details and supervising the construction. The smallest protrusions
can easily result in cavitation damage as described in Chapter 5. In addition,
any slight divergence of the side walls can contribute to spreading the jet.
However, the divergence angle must be very low to avoid separation of the
boundary layer and resultant cavitation damage along the walls.
If a complicated design of flip bucket is to be attempted, consideration should

be given to entraining air in the water jet by designing air slots across the bed
of the chute located prior to the jet entering the bucket. Such air entrainment
has been demonstrated to have an excellent preventive effect on potential
cavitation damage on the chute and flip bucket.
For almost all flip bucket designs model testing is recommended. This may
include a model of the bucket itself to test its performance under different
flows, and a loose bed model to illustrate the potential erosion or effect of
alternative designs for the plunge pool. In the latter case, the dissipation of the
jet in air is grossly underrepresented in the model and an allowance is usually
made for this when converting model tests to prototype predictions. This
works as a conservative factor, and if the model is found to work satisfactorily,
it is probable that the prototype will peliorm even better.
One important feature is that the spray generated by a flip bucket in operation
can be carried by wind some considerable distance. This can be both a
technical and an environmental problem, and must be considered during the
design stage. Indeed the local wind currents generated by the drag of the water
jet can be quite substantial, and operation of flip buckets is usually
accompanied by strong air turbulence, wind and spray.
Finally some practical matters need to be considered. One of these is whether

to provide drainage of the bucket. If the bucket is drained, this prevents the
formation of ice in cold climates and the creation of stagnant smelly pools of
water in tropical climates. However, the incorporation of a drainage hole itself
provides a detailing challenge since the bottom of the bucket has high water
93
pressure and is a potential cavitation zone. One design solution is to

incorporate a pipe located in the bottom of the side-wall, but with great care
on detailing.
6.6 Scour and Erosion Prevention

All energy dissipaters suffer from the fact that it is not cost effective to design
for complete energy dissipation, and a compromise is usually necessary
whereby some turbulence and sUlface waves may remain in the water after it
passes into the river below the structures . Thus the river bed and banks can
often suffer from scour or erosion damage, and some bank protection can be
necessary in the form of gabions or rip rap, even concrete lining in extreme
cases.
Also energy dissipation is highly three-dimensional in nature, and there are a

wide variety of locations where back eddies can cause problems . For example,
a back-eddy is often formed behind the trailing edge of the end wall in a
stilling basin, and the erosive effect of such eddies should be designed for with
appropriate bank protection works. More discussion on erosion and bank
protection can be found in Chapter 1 0 .
Many cases o f damage to stilling basins have been found to b e caused b y large
rocks or boulders falling into the basin, or being sucked in by the jump
turbulence. Once a boulder gets inside the basin, the flow pattern in the jump
will tend to keep the boulder there, instead of washing it out. The combination
of the turbulence in the basin and the heavy boulder being trapped for the
period of operation of the basin has sometimes resulted in severe damage to
the concrete base, end sill and walls. Every effort must be made in the initial
design of a scheme to avoid a boulder entering the stilling basin. For instance,
the rip-rap boulders often placed immediately below the end sill need to be of
extra large dimensions to ensure they do not move. Also steep valley sides
should be secured above the stilling basin to avoid even small rock-falls or
blocks loosening and falling into the basin.
94
7.
PENSTOCKS AND CONDUITS
7.1 General
This chapter concerns the design of closed conduits which are considered
hydraulically "smooth". This definition will include penstocks and pipes, but
may also in some cases apply to lined tunnels and shafts, or even smoothly
formed TBM tunnels. Conunon to all of these is the circular shape which is
both hydraulically efficient and easy to construct or manufacture. The
following text thus applies only to circular conduits which are designed to
flow full.
The design of smooth pipes and conduits generally considers the friction
properties of the inside sUlface, the ease of construction, the durability or
design life of the pipe material, the ease of maintenance and operational and
safety considerations. Commonly used pipe materials are:
- Steel
- Concrete
- Glass-fibre or plastic
- Wood stave (largely dying out)
Hydraulic design will often start with a rough calculation of optimum pipe
diameter and number of pipes needed. For smooth pipes, it is often found that
maximum design velocity of around 3-5 mls will not be far from the optimum
in most normal cases of pressure penstocks, while optimum velocity may be
outside this range in the case of tunnels and shafts because of the very
different construction costs associated with tunnels and shafts.
Initial design will also require a preliminary choice of type of pipe material
and coating, which in turn will often depend on the local availability of certain
types of pipe, size and weight considerations, methods of transporting and
installing, methods of jointing and forming bends or transitions.
7.2 Friction Considerations

Pipe friction is well documented and can be reliably calculated using
established formulae and diagrams. Often the major pipe manufacturers will
have produced figures for friction properties of their own pipes, documented
by their own or independent tests. It is well to note that the type of joint will
have a large influence on friction losses, and data on pipe wall friction alone
95
Penstocks and Conduits
may be insufficient to estimate friction losses. For steel pipes different interior
linings have been developed, and a balance between corrosion prevention and
friction losses must be considered. Some good corrosion-resistant coatings
may increase the friction losses, while others will require regular maintenance
and re-coating. Production losses from closing down the penstock for such
work must be weighed against the benefits of low-friction coatings.
As described in Chapter 2, friction losses are commonly expressed by the

Darcy friction factor J, a dimensionless factor which has been well used and
documented since establishment of the Darcy formula in 1 857:
L . V2
11/ = { -
(7. 1 )
. D · 2g
Where hf i s the head loss i n a pipe of length L and internal diameter D , with a
mean velocity V. The beauty of the formula is its dimensionless nature, which
made it commonly used for more than 100 years.
Other sources may quote the Manning formula (see Chapter 2), but this is not
as suitable for smooth pipes, especially since judgement of Manning
roughness, n (or its inverse M as used in parts of Europe including Norway) is
dependent on joint smoothness more than the inside smface texture.
Determination of the Darcy friction factor f will itself depend on the flow
conditions, as expressed by the Reynolds Number Re. For practical
applications, the Moody diagram (fig 2.5) is sufficient for identifying a
suitable value for f This diagram shows the two types of flow, laminar and
turbulent flow, as well as the difficult transition zone between. Fortunately
many hydropower design applications occur under fully turbulent conditions
in the right hand side of the diagram. Here the friction factor f is often
independent of Reynolds number, and entirely dependent on the relative
roughness of the pipe e!D.
A distinction must be made between uniform roughness, k, which is a feature

of the pipe lining or coating material, and "rugosity" e, which is a feature of
non-uniform roughness or protrusions, such as those formed by joints, rivets
or major corrosion pitting. Values of e can be obtained in detail from reference
[7], but some typical examples are:
Steel - butt welded 0. 1 - 1 .0 mm

Steel - spirally welded 0. 1 - l .0 mm
Concrete 0. 1 - 0.5 mm
Severely corroded 1 - l O mm
Most design applications within hydropower concern large pipes or tunnels, and
laminar and transition flow situations are rarely of great concern in the design
process. It is well to note that very rough conduits will approach a constant
value of.f= 0.054, which corresponds to total breakdown of the smooth boundary
layer in the flow along the pipe walls. In the case of unlined tunnels with sharp
protrusions, even higher values have been experienced (up to 0. 1 ). This is dealt
with in Chapter 8. However, these same pipes may experience transition or
96
laminar flow conditions at lower discharges, and calibration of the Darcy factor
fis not necessarily constant for all discharges in the same pipe.
7.3 Losses in Bends

Friction losses are a function of the length of the conduit, and are dominant in
long penstocks or tunnels. However, singular losses due to flow disturbance at
bends and transitions can be significant, and in the case of shafts and
geometrically complex waterways, may even surpass friction losses in
magnitude. It is thus important to design bends and transitions in a
hydraulically efficient manner.
The most important consideration in such design is that the sharper the bend
the more disturbance to the streamlines are created and the higher the resultant
losses. Bends and transitions should therefore be gradual and smoothly
formed, with least alteration in flow direction. Unfortunately hydraulic
considerations are diametrically opposed to cost considerations, the latter
rather preferring a compact angular construction, which is easier to construct.
Thus a balance must be struck between the two.
For example, a bend in a steel pipe will be composed of several sections of

standard pipe, cut and welded such that the bend consists of several sharp
changes in flow direction, but each of only a few degrees in angle. The more
segments such a bend is built with, the lower the losses, but the higher the
cost.
Although pipe size is determined by hydraulic considerations and cost, the

further design of high pressure conduits is determined by layout and
topography, and will be have to examine the forces both on the steel pipe in
the bend and on the anchor block and foundation, such that hydraulic
considerations are often overshadowed in detailed design of high pressure
conduit bends. The forces on a bend are a function of the pressure in the pipe
and the angle of the bend, and the anchor block and its foundation must be
able to withstand considerable asymmetric forces in high-pressure penstocks.
Bend losses can be expressed by a bend coefficient, B, which is applied to the

velocity head such that:
V2
Bend loss = B - (7.2)
2g
An initial estimate of bend loss coefficient B can be made from Fig 7 . 1 where
the diagram applies to 90 degree bends in smooth pipes, such as those
supplied as standard bends in small diameters. Here it can be seen that bend
radius should not be tighter than around 2-3 times the diameter of the pipe.
For bends of less than 90-degree radius, a reduction in bend loss coefficient
can be obtained from Fig. 7.2.
In the absence of better data, a bend coefficient of 0. 1 5 can be adopted as a

conservative value for a 90 sharp degree bend, while this can be halved for a
30-degree bend.
97
tl
co
-:- 0.4
e
(l)
·u -0 D
tE e
(l)(l) \
0 ..0
0 0 0.2
-0 0
e m �'-.....
Fig. 7. 1 (l) '-
co .E -
Bend loss coefficient
o
for a 90-degree bend o 4 8 12
of vQJying radius.
1 .2
,/'"
1 .0 /
,/
/
....
a 0.8
�
.... .
u
co
/
'+-
c /
a 0.6
:;::::;
u /
/
::l
Fig. 7.2 "0
Q)
Correction 0::: 0.4
/
V-
coefficientfor bends
of other angles
0.2
compared with the
I
II
90-degree bend of
Fig. 7. 1. o
o 20 40 60 80 1 00 1 20
Angle of bend in degrees
Reduction factor for other than 900 bends

( appl ied to 900 bend coefficient from Fig. 7 . 1 )
7.4 Losses in Transitions

Transition losses must differentiate between flow contraction losses and flow
expansion losses, the latter being naturally greater, particularly in abrupt
expansions where the boundary layer breaks up and flow eddies are formed.
As for bends, transition losses can be expressed in terms of a coefficient
applied to the velocity head, calculated at the inlet to an expansion and at the
outlet of a contraction. A transition can be sudden (square edged corners) or
gradual (for example conical). Only transitions flowing full have been
considered here. A sudden expansion has the following head loss hL:
(7.3)
Here A I and Vi are the cross-section area and the velocity at the inlet and A2
and V2 are the cross-section area and the velocity at the outlet from the
expansion. In the case of a gradual expansion, e.g. through a conical diverging
section, the friction loss may also become significant.
98
1 .2
1 .0
0.8
Fig. 7. 3
K
0.6 Typical values of loss
coefficient for a
conical gradual
0 .4
expansion (from
Gerhart., Gross,
0.2 Hochstein:
Fundamentals of
0 Fluid Mechanics
0° [18]).
Fig 7.3 shows K as a function of a conical flare angle. K is the fraction o f the inlet
velocity head which is lost. For e greater than about 40°, the losses from the
separation of the boundary layer are about the same as in a sudden expansion.
[ [�: JJ��
A sudden contraction in a circular pipe has the following head loss hL:
h, � 042 1- (7.4)
where D j and D2 are the pipe diameters at the inlet and outlet of the
contraction. For gradual conical contraction, see Table 4.2, which shows that
the losses can be as small as a few per cent of the velocity head after the
contraction.
7.5 Entrance and Exit Losses

As for the previous sections, this section applies to entrances and exits running
full. Entrance losses occur when the flow goes from a large cross-section to a
much smaller cross- section (e.g. intake from a reservoir). This is similar to a
contraction where D2« Dj. The above equation for sudden contraction losses
then yields K=O.42, and 0.4-0.5 is typical for entrance losses with square
edges. A well-rounded entrance can give K=O. 05 (see Table 4.2), and thus
saves much energy. The loss coefficient is based on the larger velocity V2 as
for contractions. A protruding entrance, where the some of the water goes into
the entrance from behind the intake entrance, can have a higher loss
coefficient of about 0.8- 1 .0.
Exit losses occur when the flow goes from a small cross section to a very much
larger cross section (e.g. outlet from a pipe to a lake). If all of the velocity head
of the water at the exit is dissipated in still water, i.e. there is no residual flow
after the exit, then all velocity head is lost and the exit loss coefficient is
always 1. This can also be seen by looking at the limit of the sudden expansion
losses as A2 approaches infinity. One should be cautious not to include both the
velocity head and the exit losses in the Bernoulli equation for the same point.
99
Exit losses are only to be considered when the downstream point is so far from
the exit that the kinetic energy is dissipated. The kinetic energy is dissipated
after some distance when water is injected into a reservoir.
However, when applying Bernoulli's equation for water flowing into the air as
a free jet, one should at the exit point insert the velocity head and the
atmospheric pressure. This is because the kinetic energy is not dissipated at
the exit, and the pressure in a free jet always equals the atmospheric pressure.
1 00
8.
TUNNEL AND SHAFT WATERWAYS
8.1 General
The hydraulics of water bearing tunnels and shafts is becoming increasingly
important in hydropower engineering, due to the increase in the number of
underground schemes being constructed around the world. This in turn is
because of recent technological improvements in underground construction
methods, leading to cost reductions in real terms, and an increased
competitiveness for underground designs compared with traditional surface
constructions. This chapter deals with the design of tunnels and shafts, not
only from the hydraulic design aspects, but also considering basic engineering
and construction methods, and cost aspects. The reader is referred to Book 5
in this selies ("Planning and Implementation of Hydropower Projects"),
where Chapter 7 deals with some principles in planning the initial layout of a
scheme, and Book 9 ("Rock Engineering"), which reports the rock mechanics
aspect of designing and constructing underground schemes.
This chapter attempts to fill the gap in the tunnel design process between
initial planning of the scheme layout and concept (Book 5) and the detailed
design of the tunnel and rock support/lining (Book 9). In underground
waterway design, the first aspect to be considered is naturally hydraulic
design, followed by optimisation of tunnel alignment, size and shape (with
due consideration of construction methods), and then finally detailed design of
intakes, transitions, adits, sand traps, gate plugs and other related structures.
8.2 Friction Losses

Since tunnel systems are often long and costly to construct, the loss in head
due to friction, bends, transitions and other structures is one of the first
considerations in the design process. Friction losses in tunnels and shafts tend
to dominate the total hydraulic loss and are given most attention. The friction
loss in a tunnel is governed by the theory of turbulent flow, as described in
Chapters 2 and 7. Ideally, the friction losses can be determined by applying
the Darcy-Weisbach friction equation with its dimensionless coefficient f
However, the Manning equation remains in popular use, and much of the
research which documents friction losses in tunnels expresses the results in
terms of the Manning coefficient, n (or its inverse M = lin as used in many
parts of Europe including Norway) .
101
Tunnel and Shaft Waterways
Tunnels and shafts usually require some degree of rock support, varying from
occasional rock bolting, through shotcrete lining of different thickness, texture
and reinforcement, to full concrete or steel lining. The friction properties of
the tunnel will naturally depend on the smoothness of the final smface
exposed to water, with the most expensive types of lining being smoothest
(steel and concrete). However, it has been found that as a general rule it is not
economic to install steel or concrete linings solely for the purpose of reducing
friction losses. Almost always the steel or concrete lining has been installed
principally to support or protect weak rock surfaces or to ensure a higher
degree of watertightness to the tunnel. Thus the design of an unlined rock
tunnel/shaft system should be considered first, and concrete or steel lining
should only be added when rock conditions prove it to be necessary.
Unlined tunnels are generally formed by two methods;

- conventional "drill and blast" excavation, and
- tunnel boring machines (TBM).
The so-called New Austrian Tunnel Method is a special case of tunnel boring
and has not been used often in Norway, so it will not be discussed further.
The friction loss properties are usually quite different in each case. TBMs
provide circular tunnels with ideal hydraulic shape and very smooth rock
smfaces, while drill and blast excavation will result in jagged rock smfaces of
varying smoothness, dependent on the blasting techniques employed. This
means that optimal cross-sections for TBM excavation are consistently
smaller than drill and blast excavation.
Fig 8 . 1 shows typical values of Manning coefficient measured in some Nordic

unlined tunnels, mainly excavated in hard rock types. It can be seen that
Manning coefficients are generally in the range of 30-38, with the higher
values being found in commonly occurring medium size tunnels of 40-80 m2
cross-section. Note that here the actual cross-sectional areas were measured
and adopted in the calculation of Manning coefficients, not the theoretical
cross-sections.
When the same data is used to calculate the Darcy coefficient f, this value is
found to be between 0.04 and 0.06. It is to be noted that the Manning formula
should only be used with caution since it is an empirical formula derived from
experiments on different smfaces and its accuracy is not acceptable for very
rough or very smooth tunnels. Use of the Darcy-Weisbach coefficient is
prefened, and estimation of the roughness combined with application of the
Moody diagram (Fig. 2.5) will result in the best understanding of the variation
of friction losses at different flows.
1 02
40
35
--
,; � - . , J- - - �
.. ,
.
• . .J
•
... - - - - -
� �
�
-
- - - ..: - - ..... - - ..... •
� ..... ..... •
30
Fig. 8. 1
Friction loss
coefficients (M) for
25 I I I
o 25 50 75 125 1 50 175 200 unlined tunnels by the
Manning formula.
8.3 Shapes of Thnnel

Applying the Manning formula does, however, provide an opportunity to
review the shape of tunnel cross-section for drill and blast tunnels . The most
hydraulically efficient shape is circular or square, since a circle has the largest
area to perimeter ratio. Not surprisingly we find that the most efficient tunnel
shapes are those that are nearest a circular or square form, where the tunnel
height is equal to the tunnel width. The hydraulic radius of such circular or
square tunnels is exactly one quarter of the diameter or width. However,
hydraulic considerations are by no means dominant in determining the cross
sectional shape.
Construction necessities have lead to extensive construction of horseshoe

shaped tunnels with flat inverts for driving on, and circular arches (although
elliptical or asymmetrical arches are occasionally adopted to suit rock stress
conditions, see Book 9). More consideration has to be given to the room
needed to accommodate equipment being used to transport the spoil away
from the face, and for ventilation ducts and drainage ditches. An example of
friction loss estimations for a horseshoe shaped tunnel is given below with
reference to Figure 8.2. This also shows the definition of theoretical cross
section, which is sometimes used for hydraulic calculations, but not for the
estimation of Manning or Darcy-Weisbach coefficients using Fig. 8. 1 .
-------
.. ..
/ - - - - - - �+-��----�
/
/ / ..- "
'" /
/ /
/ /
/ /
I / ,
I I \
I I \
I I
\
R
I
I I \
I I \
I I \
, \
I
,
,
,
Theoretical a rea -- :
,
, H
Overbreak a rea b.A .. Fig. 8. 2
I
, Tunnel cross
,
- - - - - - - - - - - - - - - - - - - - - - - - - � section with
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ J
overbreak.
1 03
Normally a minimum cross-section is specified while the actual area will be

somewhat larger as illustrated in Fig. 8 .2. The overbreak should represent a
reduction in the friction loss compared with the theoretical cross-section.
However, if only a minimum area is prescribed, rough blasting methods may,
in fact, increase the roughness to the extent that the overall hydraulic loss
increases slightly. With the increasing attention to operating costs and
production losses, construction methods now pay significant attention to
excavation of a smooth sUliace with as little overbreak as is practical to
achieve.
When determining the optimum theoretical tunnel area we should take the
anticipated overbreak into account. Typical amount of overbreak in tunnels of
various sizes is shown in Figure 8.3 [25 ] .
15 �----�--�
1 . 0 VA
..-
('oJ
--
E 10
0 .7 5 VA
� •
.:::t::. •
CU
Q.)
I-
..Q
0 . 5 VA
I-
Q)
>
5
0
•
•
•
••
Fig. 8.3
Overbreak as a 0
function of tunnel 0 50 1 00 1 50
area (From [25]). At{m2)
This may be done by calculating the equivalent Manning coefficient (Mfh)

based on theoretical cross-section. Assuming for instance, a theoretical tunnel
area of 50 m2 and an actual Manning coefficient M = 35, then the overbreak to
be expected is about A = 3 . 5 m2 and the theoretical Manning coefficient M th
becomes about 38. In other words we either combine Ath = 50 m2 and Mfh 38 =
or A = 53.5 m2 and M =35 ; both give the same estimate of friction loss. Values
taken from Fig. 8. 1 should be applied in the latter case.
The friction loss in any tunnel depends largely on the roughness of the wetted
perimeter, and for unlined tunnels constructed by blasting, the blasting
technique has a great influence. This has been investigated in a number of
Norwegian tunnels [22] . The relationship between Manning coefficient, drill
hole length and drill-hole spacing have been derived, as illustrated in Figs. 8.4
and 8.5.
1 04
M
35
1 4 feet
---
34 /
V
V
33 1..---"" 1�
/
32
V --
r-- 1 8 feet
31
30
Fig. 8.4
29 Manning Coefficient
as a function of drill
10 20 30 40 50 60 70 hole length in unlined
Tunnel area, m 2 tunnels.
M
70cm
V
35
L 80cm
II �
34 ---
/
V/
90cm
33
I-----
V-- 1 00cm
///
-
32
�
1 1 0cm
31 f-.----
�
//V
I
30
29
Fig. 8. 5
Manning Coefficient
as a function of drill
10 20 30 40 50 60 70
hole spacing in
Tunnel area , m 2 unlined tunnels.
l OS
The sUliace roughness may also vary considerably around the periphery of an
unlined tunnel. For instance the tunnel floor may be smoother than the rest of
the periphery due to the construction of a road sUliace for wheeled excavators.
Sometimes a permanent asphalt or concrete lining is constructed on the floor
but no similar smooth sUliace is to be found on the walls. Other variable
roughness situations occur when shotcrete or concrete lining is added only for
local parts or in an uneven manner. If a concrete or asphalt floor lining is used,
the friction loss may be partially reduced. However the lining must be
designed to withstand the pressure pulsations caused by the dynamic
hydraulic effects of the tunnel under varying operation conditions. In a few
cases some failures of asphalt linings have occurred, particularly if the lining
is practically watertight and there is no balancing of pressures below and
above the lining.
The various formulae available for open channels with variable roughness
have been tested also for tunnel cross sections. The formula, often referred to
[ ]
as Einstein's formula, is found to give the best results for tunnels, see Fig. 8.6.
Manning:
P 2/3
MR = L�
M3/2
I
Darcy Weisbach:
L Pi fi
fR = P
Fig. 8. 6
Calculation of losses
in tunnel sections
with vmying
roughness.
8.4 Singular Losses

Singular losses are isolated losses caused by a single feature in the tunnel,
such as a bend, transition, niche, or other changes in cross-section along the
waterway. It is often easy to forget the singular losses in tunnel and shaft
waterways, even though they may be overshadowed by the friction losses. In
some cases the singular losses can be quite significant, and should never be
neglected in final hydraulic calculations. One typical example is when an
unlined tunnel has short sections with concrete lining installed over weak
zones of rock or faults. The contractor/designer will not be motivated to
construct anything other than the cheapest abrupt changes in section with
sharp corners protruding into the streamlines. Losses occur both at the start
and the end of the lining, and if there are many such sections, the singular
losses will significantly increase the total head loss in the tunnel. A good
designer will allow for such transition losses when designing the scheme, and
where practical get involved in the detailed design of the transitions
themselves to reduce the hydraulic loss. Common practice has unfortunately
been that very little consideration of hydraulics has gone into design of
1 06
sporadic tunnel lining, whereas simple tapering off and smoothing of the inlet
and outlet can make substantial reductions without much extra cost, provided
concrete formwork is designed beforehand with hydraulics in mind.
The theory of singular losses is identical to that described in Chapter 7, but in

tunnels and shafts some additional problems are often met. Niches are often
provided in long tunnels of narrow section to allow vehicles to pass. These
niches can be designed both for hydraulic efficiency and construction simplicity
by adopting gradually tapered ends rather than abrupt changes in section.
Bends in tunnels are usually gradual and do not cause significant singular
losses, but in shafts the bend losses can become significant. Tunnel and shaft
layouts which minimise changes in direction are hydraulically preferable. This
has led to the adoption of 4S-degree shafts in preference to the vertical shaft,
which has previously been viewed as easier to construct by many contractors.
Especially we find high bend losses when vertical shafts have been adopted in
conj unction with horizontal tunnels and penstocks. Two 90-degree bends
result in both longer total length of waterway, as well as higher bend losses and
prolonged turbulence in the flow downstream (of importance when entering
the turbine). Norwegian hydropower design practice has made use of 45-
degree shaft construction technology for several decades, while avoiding the
use of vertical shafts almost entirely. However vertical shafts can be found
frequently in Sweden and many other countries around the world. The
preferences of the different contractors tendering for the construction work are
the main reason for such differences in design and construction practice.
8.S Losses at Niches and Rockfalls

To accommodate huck transport, tunnel expansions or " niches" are needed
for tunnels less than approximately 8 m in width at certain intervals along the
tunnel. The niches allow trucks to pass each other without reversing in tunnels
only wide enough for single file traffic. In contrast to concrete and shotcrete
linings, the overall hydraulic loss is usually increased by construction of
niches, and the designer should investigate if niches will be constructed and
where, in order to allow for them in his estimation of tunnel losses. As a rough
approximation, the construction of a niche which doubles the tunnel area will
cause additional losses equivalent to about 0.2 times the standard tunnel
velocity head, whereas a niche which quadruples the tunnel area will cause a
loss equivalent to half the velocity head. Niches should be designed and
constructed with gradual expansions and contractions to minimise such losses
as well as to allow easy parking of the trucks.
Additional losses from tunnel bends can be derived from Figure 7 . 3 for rough
pipes and unlined tunnels and shafts. Good practice is to prescribe a ratio of
bend radius divided by tunnel diameter larger than approximately 3 . This
criterion is usually easily fulfilled for most tunnels, which should contain few
and gradual bends to simplify construction. Typical bend losses from say a 20-
degree change in tunnel direction and with a large radius curve are so small
that they can safely be neglected. However, shafts can often have sharp bends
as described earlier. The stratification of the rock mass particularly in the inner
1 07
Tunnel and Shcift Waterways
bend may significantly effect the loss coefficient in a negative direction, even
though the bend loss i s theoretically marginal.
Moderate rockfalls normally do not cause significant additional losses. It has

been observed, however, that fault zones may open up and cause large rock
falls as indicated in Figure 8.7 The local loss coefficient from rock falls or
rock slides in a tunnel is given in the same figure, where the loss starts
becoming significant if there are large rockfalls. It is not normal to account for
losses in small rockfalls specifically and individually since they are usually
negligible compared with other losses such as tunnel friction. Furthermore
many tunnels remain un-inspected for decades, and the degree and frequency
of rockfalls is largely undetected.
One method of detecting rockfalls is by accurate monitoring of the various

losses between intake and power station. If the losses are measured regularly
at the same points under the same operating conditions, it is usually possible
to detect if a change in losses is occurring and estimate how significant the
rockfall may be. Usually, the additional losses in regular operation are
outweighed by the cost of stopping production for some days to enter, inspect
and clear out the rockfall. Thus minor rockfalls are tolerated and allowed for
in the friction loss estimates made at the design stage.
\
\
\
\
\
\
200 � � '---.:':!..
A �v
..-
1 50
-C IN
0') >
N
--
II
.:s::. 8.0
-+-'
c
a>
'(3 1 00 6.0
�
a>
0
0
4.0
en Detai l
en
0
---l
2.0
50
40 O L------L_---1..-_--L.--=::I=.._l...-..-
0.4 0 . 5 0.6 0 . 7 0.8 0 . 9 1 . 0
30
20
10
Fig. 8. 7
0
Local losses at a
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0 .8 0.9 1 .0
rockfall in a tunnel.
108
8.6 Effect of Tunnel Lining on Losses

Tunnel support in the form of a concrete lining is often needed, when crossing
weak fault zones or water bearing fissures. The variation in hydraulic losses
for relatively short stretches of concrete lining is often negligible. The reason
is that the additional transition losses at the entry and exit to the lined section
are compensated by reduced friction loss in the smoother concrete lining. For
instance, even when assuming a sharp edged inlet and outlet to the transition,
a concrete lining which causes 20% reduction in tunnel area, will have a
slightly reduced overall head loss if the length of lining is more than 6 times
the square root of the unlined tunnel area. Thus a typical concrete lining of 42
m in length and 40 m2 net cross-section, will have negligible impact on the
losses in a tunnel of 50 m2 unlined section.
Linings can often result in less than 20 % reduction in area, particularly in

larger tunnels. These have been found to cause a slight reduction in losses.
However, it is advised that such reductions be neglected, and that the standard
friction loss equation for an unlined tunnel can be used as an conservative
estimate of total losses.
Application of shotcrete lining has also been shown to have a slightly

beneficial effect on friction losses, but again it is advisable to neglect such
benefits, since it is not known at the design stage what type of shotcrete will
applied and where.
8.7 Optimising Tunnel and Shaft Size

A common design exercise is the optimisation of tunnel or shaft cross
sectional area. This requires a trade-off between increased section area with
consequently less head loss, but higher cost. An illustration of this is given in
Fig 8 . 8 , showing a typical cost curve for tunnels of different sizes, and typical
curves of capitalised benefits from reduced head loss. The generation of such
curves requires some further explanation.
Cost
Fig. 8. 8
Optimisation of
Area tunnel cross-section.
1 09
Costs for tunnelling are a direct function of many different factors, particularly
the choice of construction method and equipment used. Firstly a distinction
must be made between conventional drill and blast tunnels, and TBM or bored
tunnels. Both have considerably different cost curves, the latter being more
costly per square metre cross-section, but hydraulically much smoother. Thus
the cost curve for a TBM tunnel will be higher but the value of capitalised
benefits will also be higher compared with a blasted tunnel. The TBM curves
are smooth, as illustrated in Fig. 8.8, because there is a smooth gradual increase
in cost as the cross-section of the tunnel is increased. TBMs are traditionally
long tunnels with relatively flat gradients, where mucking out methods are
usually the same independent of tunnel size. Removal of excavated material is
a smaller part of the total cost, whereas the capital and running costs of the
TBM dominate. Thus the choice of TBM tunnel cross-section can be optimised
by the simple method shown above. If the tunnel must be lined with concrete or
shotcrete, then the smoothness of the tunnel after excavation has little
relevance, and instead the smoothness of the lining must be studied.
Because different contractors may have slightly different diameter TBMs

available, it is not advisable to specify one optimum size tunnel, but to specify
a range of acceptable tunnel diameters to allow contractors with different
TBMs to compete on a fair basis for the tunnelling contract. The tender
documents should specify the marginal benefit to be attributed to larger tunnel
sections in terms of capitalised head loss reduction, thus enabling both
tenderers and evaluators to make the optimal choice of tunnel according to the
bids received. Thus the designer need not select the exact cross-section, but
allow the tender process to do the final optimisation for him. Instead he should
pay particular attention to the assumption of friction coefficient used in
estimation of capitalised benefits, and in the case of an unlined tunnel, how to
ensure that the assumed friction coefficient is actually achieved by the
contractor during tunnel construction.
In contrast to TBM tunnels, optimisation of drill and blast cross-sections is

more complex. Many different factors affect the friction losses as well as the
cost of construction, such as type of mucking out to be used, length and
spacing of drill hole, shape of section chosen for accommodating the mucking
out vehicles, adequate ventilation etc. This results in irregular and complex
cost curves with apparent jumps in cost as the cross-section is increased. The
jumps occur when a change is necessitated in construction equipment type, for
example when small tunnels become large enough to permit the use of trucks
for removing spoil, instead of railcars. In Norway, many tunnels are in the
small to medium size of 1 2-30 m2 section, and recent development has
favoured the increasing use of wheel mounted trucks for smaller section
tunnels. As Norwegian construction of hydropower tunnels was drawing to a
close at the end of the twentieth century, there were very few cases of small
tunnels where rail trucks were found to be economic compared to wheeled
trucks, even if the tunnel was larger as a result.
Comparisons are made on the basis of capitalised cost in order to relate

income over the project lifetime to the capital cost of constructing larger
tunnels. Thus a discount rate must be chosen to capitalise the annual loss in
1 10
energy and income due to head loss. As a rich country with a low opportunity
cost of capital, Norway has used 7 % discount rate for many decades, but
developing countries with capital shortages have been encouraged to use 1 0-
1 2 % discount rate. This has led to low valuation of long-term losses, and
some very high head losses in projects designed in developing countries. Book
6 in the series and reference [23] are recommended for further reading on this
subject, but it suffices to say here that selection of higher discount rates leads
to smaller optimal tunnel sections with higher losses.
Another complicating factor is determining the weighted annual head loss of

the scheme. This is very much lower than the design head loss, which is based
on full design output. The scheme will usually operate at a range of different
outputs depending on hydrology and power demand patterns. Clearly losses in
schemes designed for peaking or pump storage are most important, but even
for normal run-of-the-river schemes, it is worthwhile determining the
weighted average loss. This is done by estimating the flow duration curve of
the waterway, that is after allowing for reservoir regulation and power plant
operations, and has a similar form to the plant output duration curve. Since
head loss is a function of the square of the flow, head losses as low outputs can
often be neglected in an optimisation process.
8.8 Intakes and Gate Plugs

The design of concrete intakes and gate plugs merits special attention by the
hydraulic designer. Intakes are often designed to function at low depths of
flow, and are thus susceptible to vortex formation (whirlpools in the intake
pond), leading to unwanted entrainment of air. Trash racks are a common
cause of unnecessary head loss, especially if not designed to be easily
accessible for cleaning. Gate plugs must also be designed not only for
minimal head loss, but also for successful air flow behind the gate to avoid
vibrations and cavitation damage. Details of hydraulic design of these
constructions have been given in Chapter 7, and it is necessary to a make
allowance for singular losses at each of these interferences to smooth
streamlined flow. They are usually not taken into account in preliminary
design and optimisation of tunnel size and shape.
8.9 Lake Tap Intake Construction
8. 9. 1 The concept
Lake Tap is the term commonly used for a submerged tunnel piercing into
lakes. It is a method of converting part of the dead storage volume existing in
natural lakes into live storage. Figure 8.9 from Book 5 shows the main
principles of a lake tap design, while some historical experience from Norway
is described briefly in Book 1 page 50.
Applying the lake tap design concept is, of course, dependent on the existence
of deep mountain lakes where it is acceptable to draw down the water level for
periods of the year. In cold climates where ice and snow cover the mountains,
drawing down the lakes causes little visual impact on the landscape and can
provide a cheap source of stored water for winter power production. When the
spring thaw starts, the lakes are rapidly filled again and retained at normal
III
water levels during the summer season. For these reasons, lake taps are most
frequently found in the Northern Hemisphere (Scandinavian countlies,
Canada, Alaska) and some countries in the Southern Hemisphere (Chile, New
Zealand, Tasmania). Although the first lake taps were carried out early in the
twentieth century, the theory and construction techniques of lake tapping have
been developed considerably in Norway over the last 30 years. Some 400 lake
piercing intakes have been successfully constructed in Norway and are in
operation today.
Dam
R i ve r Profi le
Dam Reservoir
Lake Reservoir, Tap ping
D am
':::',
Fig. 8.9 Dead Storage

Main principles of a
lake tap design. Lake Reservoir, Combined Damming and Tap ping
8. 9.2 Practical features of lake tap design

Considerable planning and site investigation work goes into selection of site
and design of the intake itself. The intake is never optimal from a hydraulic
viewpoint, but must be functional, and design velocities should be lower than
for a smooth concrete-formed intake. However, a compromise must
sometimes be found using high inflow velocities since too large an intake may
be difficult to keep structurally safe prior to blasting, or difficult to blast
successfully. The largest intake constructed by lake piercing is believed to be
90 square metres in cross-section.
The need for caution, detailed planning and a conservative design tend to
increase with the depth the intake is planned for. All concrete construction is
avoided whenever possible, and the intake shape is formed in the hard rock by
the specialised blasting pattern. A rock trap is usually pre-constructed behind
the foot of the intake to catch the blasted rock that falls into the intake after
blasting. Successful lake taps for depths exceeding 100 m are reported as
reflected in Table 8 . 1
1 12
Hydroelectric Depth. Cross-

Location Power Scheme metres section, (m2) Year
- -
Skjeggedal Tysse 1 905
- -
Tverrelvvatn S i m avik 1 91 3
-
Storglomvatn G l omfjord 16 1 920
-
Krokvatn Skarsfjord 4 1 922
- -
Tafjord Tafjord I 1 923
Storbotnvatn Svelgen I V 70 8 1 971
Jukla East Folgefonn 80 13 1 973
Jukla West Folgefonn 1 05 10 1 973
Jukladalsvatn Folgefonn 93 60 1 977
Selbusj0en Bratsberg 10 65 1 977
N idelven Rygene 9 95 1 977
Lomvivatn Lomi 70 17 1 978
Table 8. 1
Ringedalsvatn Oksla 86 40 1 980
Examples of
Tyee Lake Tyee Hydro 50 8 1 983
successful lake taps.
Extensive geological mapping (soundings, refraction seismic surveys , core

drillings, etc) is very important for lake tap design. In addition to topography,
two main geological considerations determine the choice of location and
design concept. Firstly, potential sites with faults, open joints or potential
leakage paths should be avoided, and secondly the depth of overburden or
weathered rock should be very limited, and never more than approximately
the tunnel diameter.
The construction of the tunnel systems including submerged piercing should

be done by drill and blast methods. Drill and blast construction provides the
necessary flexibility for the extensive drilling of exploratory holes and
grouting that is necessary in preparation for the final piercing salvo. The
exploratory drilling and water-sealing procedure is quite complex and varies
considerably from site to site. The tunnel is first driven in an upstream
direction towards the lake intake. Depending on the local geological
conditions, the drilling of exploratory holes will start 30 to 1 00 meters from
the lake. Leakage is the main problem during construction, and extensive
grouting will start in advance of the tunnel face as it approaches the lake.
The planning and execution of the final salvo is the crucial part of a tunnel
piercing. Even partial failure will lead to considerable extra costs and delays,
because the existing approach tunnel systems may have to be sealed off and a
new approach tunnel constructed. Two aspects are important in this respect,
firstly the detailed blasting technique, including water-resistant explosives and
detonators, and secondly a careful hydraulic design which predicts
successfully the behaviour during the final salvo. The final rock block to be
blasted out should be of minimum thickness, and preferably uniform
thickness, so it is common to find the intake part of the tunnel angled upwards,
to form a rock plug perpendicular to the underwater rock face. This is also
done for other reasons such as forming an air pocket behind the plug to
cushion the effect of the blast.
1 13
8. 9.3 Hydraulic design of lake taps.

B asically there is a choice between two concepts for lake tap piercing, the
open and the closed systems. The closed system confines the effect of the blast
to the tunnel, while the open system has a shaft up to the atmosphere allowing
water to surge upwards and the air to surge out. The open system has become
more common, and is to be preferred if the topography and other design
considerations related to the intake gate permit using it. The closed system is
more risky, and examples of damage to the gate stmcture have occUlTed for
closed system piercing. For making this choice, as well as the design of
system, the following phenomena must be analysed.
- The blast will create an elastic wave which may cause a destmctively high
pressure rise in the tunnel, if not dampened by air pockets or otherwise.
- Immediately after the blast, a surge wave is created, either within the
tunnel (closed system) or as an upsurge in the gate shaft (open system).
- The blasted rock (spoil) from the tunnel plug should preferably deposit in a
pre-constmcted rock trap. Fractured rock spread over a considerable length
of the tunnel is to be avoided. This rock may subsequently be drawn along
the tunnel and may damage or block gates or other stmctural components,
either during the piercing process or during operation of the power plant.
The layout principle for open and closed system, respectively, is shown in
Figure 8 . 10.
gHW L
-��'
f- H4
""'-'-----ll---Hl, -H
3
'
ALT :
�� !.
TEMPORARY
NCRE E VAULT
PLUG /�"�'�L=��-
L_ ;
' '=,- � =� �-= -'=� ��'�- -�
-"""=<=r-'"""'<="7-=;;>""",,,,,",,��==rr=..A=
TRAPPING PLUG FRACTURE
IS EASY T R A P P I N G PLUG FRACTU R E
IS DIFFICULT
Fig. 8. 1 0
Open and closed alternatives for lake piercing.
8.9.4 Open system characteristics

The principle used in the open system is to pre-fill the tunnel to a level below
the lake level, but sufficient to form a compressed air pocket behind the plug.
If necessary, compressors are needed to ensure such a pocket is in place j ust
prior to the final blast. This air pocket is important in dampening the shock
wave from the blast, which normally must be quite heavily charged to ensure a
successful and complete blasting of the opening. The air pocket volume is one
of the parameters determining the pressure-rise in the tunnel downstream, due
to the elastic wave. The pressure rise has been estimated on a theoretical basis,
but has also been determined by field measurements, and found to be less than
the theory predicts. The formula below gives therefore a conservative estimate
of pressure rise during the blast:
1 14
=[1+0.8 . � )x:
P
g
P; Vo
(8 . 1 )
where Pg is the gas pressure in the air-pocket just after detonation, Pi is the air
1.4. 1
pocket pressure before blasting, m is the mass of explosive (in kg), Va is the
0.8
trapped air volume before detonation if expanded adiabatically to atmospheric
pressure and the exponent /( = It is here assumed that kg of explosive
forms about m3 of gas at atmospheric pressure.
8.9. 5 Closed system pressure rise due to water inflow

In the closed system, it is not practical to partially fill the tunnel or form a
pressurised air pocket behind the plug, although leakage water can fill the
tunnel to a small extent after gate closure. In this situation, the biggest
problem is the water wave which runs downstream from the intake and hits the
gate, forcing an air pocket to run backwards along the tunnel roof and out of
the intake. This draws rock debris a long way into the tunnel, as well as giving
a sudden impact pressure rise on the closed gate.
The maximum pressure at the gate naturally increases with the hydrostatic
pressure at the plug. Furthermore energy losses such as friction, entrance and
bend losses reduce the maximum pressure at the gate considerably. Therefore,
with a longer stretch between the intake and the gate, the losses are larger and
the maximum pressure is smaller.
For this reason, a closed piercing should never be attempted with the gate
located close to the intake. As a rule of thumb, the gate should be located at a
distance of at least 3 times the static head of water on the intake. If closer
locations are desirable, consideration should be given to model testing and/or
computer modelling as further recommended in reference [23] .
Finally, because of the high risk involved and high cost of a potential failure, it
is recommended that expertise with practical experience of previous lake taps
is sought both on the design and on the detailed execution of lake taps. The
work should not be entrusted to consultants or contractors who have not
carried out successful lake taps previously, since the chances of overlooking
some important aspect of this complex and risky operation are quite high.
115
9.
SEDIMENT TRANSPORT AND
SEDIMENT HANDLING
9.1 Introduction
Sediments are fragments of rock and minerals, loosened from the smface of
the earth due to weathering processes and the impact of rain and snow,
blowing winds, flowing water and moving glaciers. When the eroded material
is carried by water in motion, sediment transport occurs. The sources of
sediments are the non-organic component of soils, fluvial and other deposits
and rock.
The forces acting on sediment particles are normally split in two categories,
i.e. the stabilising forces and the destabilising forces. Sediments have a higher
density than water, and if there is no movement of the water, the sediments
will remain stable on the bottom. Gravity, in addition to cohesive forces
between fine sediment particles, may in general represent the stabilising
forces, which resist movement. The flow velocity or the turbulence level in the
fluid may likewise represent the destabilising forces, which tend to pick up
particles and carry them with the water flow in suspension or as bed-load.
Human activities in river basins have often caused an increase in the pressure
on land resources due to road construction, mineral exploration, livestock
grazing, agriculture and use of the forest resources. There has, however, been
a tendency to blame man for all land-erosion and the resulting sediment
transport in the rivers. It is good to protect the forest resources and it is good
to plant trees, but there is no watershed management programme able to
remove the sediments from the rivers.
It is important to remember that sediment transport is a natural phenomenon.

In a geomorphologic context, land erosion and sediment transport processes
are balancing the geological processes creating mountains. An example is the
tectonic uplift of the Himalayas caused by the Indian plate, which collides
with the Eurasian plate in the Himalayan area. The mountains of Norway are
still rising after the heavy icecap melted away at the end of the last ice age.
The names of many rivers are reflecting the fact that sediments coloured the
water of the river when man named these rivers, long before the natural
vegetation cover was by any means threatened. The Yellow River in China, the
Red River in Vietnam, the Black River in Nepal, the Clay River in Norway
and the Mud River in USA are a few examples.
1 17
Sediment Transport and Sediment Handling
The general land-use practice in the hills has intensified land erosion and thus
increased the sediment transport rates in many mountain rivers where
hydropower plants may be developed. It is not likely that these man-made
contributions to the erosion and sedimentation processes will be reduced
during the lifetime of these power plants. The general trend is increased
sediment yield and not reduced yield even though some efforts are made
through erosion mitigation measures. Hydropower planners must therefore
design hydropower plants able of handling the sediments transported by the
water throughout the lifetime of the plants.
Some basic knowledge about sediment transport processes and theory is

needed as a basis for design of sediment handling facilities at hydropower
schemes. The hydraulic designer must also be familiar with what, why and
how sediment data are recorded, analysed and used during planning, design
and operation of hydropower plants. This chapter will therefore give a brief
introduction to fluvial sediment transport as well as sediment measurement
and the use of sediment data in the context of hydropower development. The
reader is advised to go to the textbooks on fluvial sediment transport for a
more in-depth study of the very complex nature of sediment transport.
This Chapter is focusing on the hydraulic design issues related to the fact that
the water harvested for hydropower generation contains sediments and that
facilities for handling of these sediments are required for successful
hydropower development in sediment loaded rivers. Reference is also made to
Section 4.3. 1 in B ook no 3 "Environmental Effects" in this book-series, where
sediment transport is addressed briefly in an environmental context. Some
terms and units frequently used in the literature of sediment transport are
given in Table 9. 1 .
Table 9. 1 : Some definition and units used in sediment transport.
Erosioll rate is the amollllt of sill/ace material removed from the Bed-load covers all particles that maillly move close to the
lalldscape by lI'atel; ice alld lI'illd over a yeOl: Erosioll rate or the ril'erbed by slidillg, rollillg alld jllmpillg. These particles are ill
rate of soil loss is commollly IIsed ill cOllllectioll lI'ith agricllltllre, freqllellt call tact lI'ith stable particles at the riverbed alld the
forestl), alld lalld lise sllldies. The most COIlIllIOIl IIl1it for erosioll velocity of the sedimellt movemellt is milch less thall the velocity of
rate is kg/ha(veclI: the \Vatc!: The most commoll ullits are kg/s alld tOlllles/day.
Sedimellt yield is the amollllt of sedimellts trallsported by a river Suspellded load covers all particles that maillly are carried by the
or a stream through a givell cross-sectioll divided by the lI'ater jlo\V ill sllspellsioll alld travel lI'ith more or less the same
catchmellt area all all wmllal basis. Sedimellt yield is commollly velocity as the lI'ater jlOII'. These particles lI'ili hit the riverbed
IIsed ill cOllllectioll lI'ith hydrological, river hydralllics alld occasiollally, but they lI'ill Ilot telld to settle alld rest all the
geomOlphological studies. The most commoll IIllit for sedimellt riverbed. The most COIlIllIOIl IIllits are kg/s alld tOlllles/day.
yield is tOlllles/km2/yeOl: Origill of material versus mode of trallsport: The terllls bed-load
Delludatioll rate is eqllivalellt to the sedimellt yield, bllt lI'eight of alld sllspellded load are IIsed to classify sedimellt trallsport
sedimellts divided by the area is cOllverted to voillme of sedimellts accordillg to mode. There is, hOll'evel; 110 distillct physical divisioll
divided by the area, i.e. depth of WI evellly distribllted (virtllal) betll'eell these two modes of sedimellt trallsport. Sedimellt load is
soil-layel; II'hich is removed alld trallsported out of the catchmellt also classified accordillg to origill. Sedimellts that origillate from
by the river Will/wily. The most commoll IIllit is mm/yew: the riverbed are labelled bed material load. The bed material load
Sedimellt cOllcelltratioll is the 0I1l01llit of sedimellts ill the \Vater

lI'ill have the same characteristics as the riverbed material with
respect to petrography alld size, alld may be trallsported both as
jlOII'. COllcelltratioll is a relative term by lI'eight alld the IIlOst
commoll llllit is ppm (parts per millioll), II'hich is eqllivalellt to aile sllspellded load alld as bed-load. Sedimellts that have beell
trallsported over a 10llg distallce alld that origillate for from the
mg sedimellts ill aile kg of \Vater alld sedimellt mixtllre. III
site are labelled lI'ash load.
practical terms ppm is cOllsidered to be eqllivalellt to mg/l alld
/m3•
1 18
9.2 Sediment Transport in Theory

The theory behind sediment transport is still not completely understood or
described. Empirical relations and experimental data are therefore an integral
part in every practical use of the theory. It is useful, however, to start with
some general principles of sediment motion in order to understand the
practical tools that have been developed for its calculation.
It is common practice to distinguish between two main transport modes of bed

material load, i.e. bed-load and suspended load as defined in Table 9 . 1 . The
total load is the sum of the bed-load and the suspended load. The two modes
of transport merge without a distinct interface. By tradition, bed-load is often
defined to occupy the lower 5 per cent of the flow depth.
9. 2. 1 Classification and description of sediments

Bed materials in a river system may be of mineral, organic or mixed origin.
Organic material is usually found in lakes and quiescent river reaches. The
content of organic matter in mixed samples is determined as weight loss after
glowing of the sample. Mixtures with more than 30 per cent of organic matter
are termed organic.
Mineral particles are classified according to their size as shown in Table 9.2.
For particles coarser than silt, the grain size is usually determined by sieving
in standard sieve sets. For the finer particles, various methods are used to
determine the particle fall velocity, which is then converted into equivalent
diameter, assuming spherical particles.
P rimary classification Secondary classification

Coarse Medium Fine
Boulders Larger than 250
Cobbles 250 - 60
Table 9.2
G ravel 60 - 2 60 - 20 20 - 6 6-2 Classification of
Sand 2 - 0 .06 2 - 0.6 0.6 - 0.2 0 . 2 - 0 . 06 sediment particles
Silt 0 . 06 - 0 . 002 0.06 - 0.02 0 . 02 - 0.006 0 . 006 - 0.002 according to grain
Clay Less than 0.002
size (mm).
River sediments are usually mixtures of grain or particle sizes. A common

way to describe a mixture is in terms of percent finer by weight of particles
with increasing grain sizes as shown in Figure 9. 1 . Mixtures with a wide
spread of sizes are termed "well graded", while mixtures with a narrow range
of grain sizes are termed "poorly graded" or "uniform".
The particle size is usually denoted by d. For the identification of a particular

grain size in the distribution, its "percent finer" value is used as sub index. The
size d50 is thus dividing between equal weights of finer and coarser particles in
a sample. It is sometimes erroneously termed "mean" diameter. The ratio
d6r1dlO is commonly used as an indicator of grading. When d6r1dlO is more
than 5, the material is well graded, while the material has a uniform size
distribution when the d6r1dlO is less than 5 .
1 19
,j
c:
C1l "
0 Silt fraction Sand fraction Gravel fraction
>. z
Stone fraction
u� Fine Medium Coarse Fine Medium Coarse Fine Coarse
I II V �p
1 00% 1 00%
AI B/ c/ E/ �
90 90
0
l-
I 1/ I
I V II
80 80
I / / -/ I A
70 70
B
Clay
I / / V /
60 Silty clay 60
D
C Sandy silt
-
// / /, /
50 Sand 50
E Moraine
V/ II I 7
40 F Sandy gravel
40
Fig. 9. 1 / A,D
VI V /
30 U niform 30
2
Grain size Co
I IV 7 7
20 20
distribution curves, E Well graded

10
o I) f--:;1 I /
10 10
Co
examples of various -- o
grading. 0.001 0.002 0.006 0.02 0.06 0.2 0.6 2 6 20mm
9.2.2 Particle fall velocity

The fall velocity is an important parameter for the understanding of sediment
motion. The turbulent motion of the flow tends to detach and lift the particles,
but the falling motion is counteracting this effect as soon as the particles are
free of the bed. Particles in suspension will move forward by the water, and be
lifted by the turbulent motion while at the same time sink under the action of
gravity.
10
8
B-
Air
Water I
"
f.... R=loo0
R=1000
�:
1
E 0.8
E 0.6 R-100
...:
(I)
0.4 1/.1i@1 .I
Qi
0.2 ��PT= 0 R-l O J
�
E R 1
ro � 7"
is 0.1 R- 1
0.08 Temperature R1
0.06 in ·C
0.04 IY:"-: � R-0.1 �

TemperaII U��
Fig. 9.2 0.02
��
V t=rOi
�
In °c
Fall velocity of quartz

spheres in water and
0.01 � I TuL:4�r1
R=O.OOl [RJJ�\
'iill
0.01 0.02 0.04 0.06 0.1 0.2 0.4 0.6 0.8 1 4 6 8 10 20 40 60 80100 200 400 600 800
air after Rouse [26]. Velocity, cm/s
The fall velocity is affected by many parameters of which submerged weight

and form are the most prominent in river flow. B ut also temperature and
viscosity have notable effects. Figure 9.2 shows the fall velocity of spherical
quarts particles in stagnant water.
9. 2.3 Drag, lift and gravity

It is sometimes useful to deal with the stability and motion of a single
sediment particle. The water exerts forces on the particle often referred to as
drag and lift. The drag works in the main direction of the flow, and the lift
transversally to the flow direction. Both are in plinciple proportional to the
square of the ambient flow velocity, u, and the area of exposure to the flow, A,
1 20
but need empirical conections, called drag and lift coefficients, to include
effects of form and orientation of the particle. The general formulae for drag
and lift forces are:
(9. 1 )
F stands for force and C for cOlTection coefficient, while D and L stand for
drag and lift.
The third element in the stability analysis for single particles is the gravity
force, which in suspended transport is balanced by the forces of the turbulent
current, and in bed load motion also causes resistance due to friction against
the stationary bed.
9. 2.4 Shear stress and turbulence

It is impossible to deal with each single particle when the transport is
substantial and includes a mixture of particle sizes. Sediment transport theory
therefore operates with shear stress and turbulence as determining factors for
the bed in general.
The shear stress is the average force per area exerted by the water on the bed.
The shear stress depends on the rate at which the velocity changes from zero
at the bed towards the free flow above the bed. In natural flows, the shear
stress is the result of turbulence, transferring momentum towards the bed. In
viscous flow, the shear stress is a direct effect of the viscous character of the
fluid adhering to the bed particles. True viscous flow is rarely found in natural
watercourses.
Turbulence is defined as irregular flow motion resulting from eddies that are
carried by the flow and swirling in an irregular manner. New eddies are
continuously formed by the shearing action inside the flow and against the
bed, while other eddies dissipate into heat due to viscous and boundary
friction. Due to turbulence the flow velocity at a point is fluctuating around its
average value, and the bed shear stress is fluctuating in a similar manner. This
is important for the stability of bed particles against motion, since it is the
shear stress peaks of the fluctuating flow that determine whether a particle
may be moved or not. The more turbulent a flow is, the larger particles can be
moved by a given average shear stress.
Direct measurement of turbulence is impossible in practical cases. But

turbulence affects the velocity distribution near the bed. If the average velocity
in two points near the bed is known, it is possible to assess the effect of
turbulence and calculate the bed shear stress by use of the two formulae:
(9.2)
2
'l'o = u . ' p ", (9.3 )
121
U * is a fictitious parameter labelled "shear velocity", UJ and £12 are the two
measured velocities, 2 1 and 22 are the corresponding distances from the bed, 'fa
is bed shear stress, and Pw is the density of water.
In uniform flow, i.e. when bed and surface are parallel, the bed shear stress is
found directly by combining slope, S fluid density and hydraulic radius, R (R
= AlP, the ratio between flow cross section A and wetted perimeter P):
'fa = g . PH" . R . S (9.4)
9. 2.5 Start of motion

Shields combined expressions for the destabilising forces, drag and lift,
against weight or friction as the stabilising force into a general formula for the
equilibrium of particles:
·0
c (9.5)
S
=
(p,, - p..,) ' g . d
The famous Shields' diagram, Figure 9.3, relates this parameter to a so-called
particle Reynolds' number Re = u *·dlv, where £1 * is the shear velocity, d is the
grain size, and v is the kinematic viscosity of water. The curve was found by
experiments, using particles of different densities. It is therefore valid also for
other materials than ordinary rock and other fluids than water.
1 .0
�u PensiO� l'
10
I ,I I
I
/ J umplng san d /
1 1 ,I
B e dforms growing ,In h elg h t
'
l'
I Large sandbanks
11' l'
l"- II
� Ri pples I I I
Ul •
II Short sandba nks
() �� 0
A
- •
-
u
.$).. ��
v �t-- Cs = Cc
"'l'[T 00
Fig. 9.3
Shields ' diagramfor
start of motion,
0,0 1
adoptedfrom [26J o 10 1 00 1 000
u*d
and [27]. Re = -u-
Values of Cs below the curve indicate stability against motion. Values on the
curve indicate start of motion and are labelled critical Shields number, Cc The
corresponding shear stress, 'fc is labelled critical shear stress.
The diagram is made for uniform sediments, but may be used for mixed
sediments with good accuracy by using the d60 (60 percent finer) for d. For
practical use, Cc = 0.06 can be used for grain diameters larger than 1 mm.
1 22
9. 2.6 Bed-fo rms in rivers with movable bed

When the limit for start of motion is exceeded at a granular riverbed, some
particles will start moving. The bed will gradually develop into undulating
forms, which will adjust their size and shape dependent on the particle size
and the shear stress. When the limit of motion for fine sand is barely exceeded,
small triangular ripples will first form, moving slowly in the direction of the
current. The ripples are the first in a series of bed forms that appear for
increasing shear stress. Referring to Shields' diagram, figure 9.3, the size of
the bed-forms increases with increasing Cs' The ripples and dunes are mainly
involved with bed load motion, but as the forms grow larger with increasing
flow turbulence, the forms contribute to the interchange of material between
bed and suspended transport.
Bed forms do not form in gravel-bed rivers and rivers with coarser bed
material. If the riverbed is flat, the flow resistance can be estimated based on
Strickler's formula for the Manning number n = d901/6/26. M = lin is used in
many countries.
9.2. 7 Erosion and deposition

Erosion is what results if the current is able to carry more material away from
an area than is brought into it. On the other hand, if the sediment transport into
an area is larger than the current can carry onward, deposition will occur.
We may distinguish between general and local erosion. General erosion is the
gradual degradation of the ground over large areas due to precipitation,
overland flow and wind. This is the main source of the sediment transport in
the rivers. The gradual deepening of river valleys is also a type of general
erosion.
Typical places subject to local erosion are:

- Downstream of dams and sills obstructing the natural sediment transport
- In reaches with loose bed material downstream of reaches with naturally
solid rock or protected bed
- Next to local lateral constrictions, e.g. due to groins, bridge pillars, road
embankments, or reclamation areas
Typical places were deposition is likely are:

- In reservoirs, pools, and lakes
- Downstream of expanded flow cross sections
9. 2.8 Concentration ofparticles in suspension

The fall velocity of the particles is important for the particle concentration in
suspended transport and for the pattern and rate of deposition e.g. in lakes or
reservoirs. Particles in suspension tend to settle due to the gravity force, but
are held in suspension by the upward components of turbulence. The turbulent
motion has equal components of upward and downward motion, however. To
compensate for the falling motion due to gravity, the upward motion in
turbulent flow must carry more particles than the downward motion. In a
stable suspended flow, therefore, the concentration of particles must decrease
123
upwards. The concentration gradient is affected mainly by the fall velocity of

the particles and by the turbulence intensity:
The smaller the suspended particles are, the less is the fall velocity, and the
more uniform is the vertical distribution.
The more intense the turbulence, the more uniform is the vertical
distribution.
)Z
Hunter Rouse [29] developed a formula for the distribution of concentration c
[
at any level y above the bed in terms of the concentration Co at level a and
water depth d:
�_ d -y . a _ (9.6)
c" y d-a
The exponent z = w/([3·k·u*) where w is the particle fall velocity and u * is the
shear velocity, while the constants [3z1. 0 for fine particles and kzO.4 for clear
fluids. Since the formula requires a known value Co it cannot be solved in
general. But Rouse presented a diagram showing the relative distribution for
various values of z as shown in Figure 9.4.
( SUrfa ce (y=d)
=
1\->
-==-'"- - 1 .0
"""
1\\ �
-.....
� l\. 1\ �
\.
0.9
\
\
0.8 1\ ":> \
\ \ 1
\
0.7 �.> f-----
0.6 \\ \
05
\ --
y-a
0.5 \ 1\ \ \� \
\ \ \
---cr-=-a
0.4 1\ z-va lue

\
\ \1 \ \ \ \ ?
�
0.3
1\ \ " \ \\
"" \ 1 �\
0.2
Fig. 9.4 \. 7,�- � i'-.. .......
I a:::�
0.1
1\;7 �� ----
��
Distribution of ---
---
r---
suspended sediment I
concentrations, 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 .0
adoptedfrom [28]. Bed (y=O) Relative concentration c/ca
9.2. 9 Calculation of sediment transport
a) Bed-load transportformulae
Many research institutions have developed formulae for calculation of bed
load transport. The first attempts combined empirical observations with
simple theory and arrived at formulae suitable mainly for conditions similar to
those that supplied the observed values. A few have survived and may still be
1 24
used for making simple assessments of the required volume of bed-load traps
and accumulation of coarse materials in intake ponds. Here only two will be
mentioned. Shields' formula is based on Shields' diagram and is easy to use
g .
when the shear stress is known.
'L 0 'L c
, = lO q S
. . -
(9.7)
« p, - p,,) / p,l · dso
(g. g(p, - )3
The Meyer-Peter and Muller formula was developed to fit data from steep
flumes, and is therefore useful in many hydropower cases with steep rivers.
Q )
=
p ". ' S · R · , / k' }- 0.047 . 2 P". · dSO
g, 1/3 {,
(p )
0 . 2 5 . P .I . 1.: ' _ p". / p,
) /3 (9.8)
gs is the bed load by weight per unit of time and width (e.g. N/(m·s))
q is the unit discharge of water, i.e. flow per m width
S is the slope of the energy line
klk ' is a bed-form correction of the bed-friction
klk ' = 1 for flat bed and klk ' = 0.5 for a rough bed due to bed-forms etc.
Ps and PIV is the density of particles and water respectively
'La and 'Lc is the bed shear stress and critical shear stress respectively
b) Calculation of suspended load

Suitable formulae for direct calculation of suspended load are not available.
Formula (9.6) needs at least one reliable observation of sediment
concentration from sampling. The formula includes the fall velocity of
particles and some constants, which are normally not available.
If sufficient sampling data are available, it is possible to apply formula (9.9) to

compute the suspended load Qs passing the area A at the time of sampling,
where c is the concentration of suspended sediments and u is the velocity in
the same point.
A
f
Q" = c(y, z) · u(y, z) · dz · dy (9.9)
If enough samples exist over the time period T, the accumulated suspended
load QST is found by (9 . 1 0) .
T
QST = f Q, ' dt (9. 1 0)
Collection and analysis of suspended load samples are very time consuming,
and require skilled personnel for good results.
c) Total loadformulae
A simple and rather accurate way to estimate the sum of bed load and
( g (p ) ]3
suspended load is to use a method for total load calculation. Several methods
g
exist. Engelund and Hansen presented a reliable formula in 1 967 .
2
g " = 0 . 05 · g · p,,. · U . -
.
�""---
- .
dso 'Lo
.
(9. 1 1 )
( p, - p,,) / p.. " -p w
d50
1 25
U is the average velocity in the cross section. The other parameters have been
defined above. This formula is recommended for riverbeds where d50 > 0. 1 5
mm and the standard deviation of grain size distribution is less than two. It is
of course a condition that sediments are available.
d) Relation benveen bed load and total load

The diagram in Figure 9.5, originally prepared by E.M. Laursen [30] , shows
the relative proportion of bed-load to total load. It is seen that bed-load is the
dominating transport mode as long as the fall velocity of particles is greater
than the shear velocity u * (defined above). This is the case when the bed
particles are coarse in relation to the flow velocity.
On the other hand, in rivers with fine bed material and strong currents, the
bed-load usually represents a small fraction of the total load. The arrows in
Figure 9.5 show that if u ,/w = 6.6, the bed-load part of the total load is
1 6/400, i.e. 4 % of the total load.
1 00 000
..,.-
"C
co
.2 1 0 000
Cii
-
0
- I
"C
C ,
co
"C
If
co 1 00 0
0
..
"C
Q)
.0
'+-
0
Total load -
I'\�j
I
C
I
1 00
::J
0
E ..
..
I
co
Q) I ..
> ./
:.=;
co
Cii 10 �- .. ,- I
0::
Bed-load I
-
Fig. 9. 5 I
Relation benveen I
o o o
bed-load and total
o ci o o
load, adoptedfrom o o
[28] and [30]. Ratio betwee n shear velocity and fall velocity (u*/w)
9.2. 10 MOIphology of natural rivers

Transport, erosion and deposition vary along the rIver with the local
conditions. While the transport capacity of the liver changes with slope and
discharge, the actual transport may be limited by the local supply of
transportable sediments from the watershed through tributaries and overland
erosion. Figure 9.6 presents schematically four typical processes that may
characterise sections of a river course from source to outlet:
1 26
1 . Erosion: The river can transport more bed-material than the watershed can
supply. The bed and slope of the river will be controlled by bedrock, and
sediment deposits will only be found in local sheltered places.
2. Transport: The river transport capacity matches with the supply of

sediments. The river has a stable bed and it is then said to be in regime.
3. Deposition: The river cannot transport all the bed-material that is supplied.
The surplus material will form shifting bars, channels and islands. The
river is unstable.
4. Delta development: The transport capability is low compared to the supply.

Sediment deposits constrict the liver channels, and new distributor
channels develop as supplements or substitutes.
1 - EROSION 2 - TRANSPORT 3 - DEPOSITION 4 - DELTA

0
«
0
-' Gbm G,� /
'/
-' CAPABILITY Gom
r SUPPLY /
« CAPABILITY
E E /
� ] r ]
G••
w d' ,/ C> r d' C>
,/ / Supply
/'
!;: Gbm rG /'
/
�
:?: ,/
,/ SUPPLY r om /'
0 SUPPLY
/
w ,/ /,
� Om
CD
r
,/ / �bility
/,
V V V V
VELOCITY
Fig. 9.6: Classification of river reaches after [31].
In normal topography all four conditions may in principle occur consecutively

from mountain to outlet. In many cases, however, intermediate reaches with
erosion and deposition as well as inland delta formation may be found. Lakes
usually represent breaks in and repetition of the normal sequence, initiating
deltas at the upstream end and eroding conditions below the outlet.
If a river runs through areas where the sediment supply or the original
sediment bed has a graded composition, the critical shear stress will vary from
particle to particle. Due to the turbulent character of the flow, both fine and
coarse particles will have some probability of movement, but fine particles
will have a much larger probability for movement than coarser particles. This
leads to a sorting of the particles at the sUliace of the riverbed.
During time, the sorting process will remove a larger part of particles with
critical shear stress less than the average shear stress of the flow, while most of
the coarser particles will remain in place or move infrequently. The original
well-graded composition of the bed will then change near the bed sUliace into
a bed characterised mainly by the coarser fractions of the original material.
This bed will generally resist a larger shear stress than a bed of the original
composition. Small spatial rearrangements of the armour stones by the flow
may eventually result in a rather orderly arrangement of stones in an inter
locking pattern with more strength against scour.
127
The armour layer will only have a thickness of a few diameters of the coarsest
stones. Extreme floods may therefore now and then break up local parts of an
established armour layer, but it will usually recover quickly. Due to this
natural armouring, a stable liverbed may be established with a much steeper
slope than corresponding to the average grain size of the ground material.
9. 2. 1 1 Morphological changes due to hydropower

In the context of hydropower development, regulation of a river system often
causes notable changes in the sediment situation. Diversion of water from a
river may cause shift from stable to unstable riverbed downstream of the
diversion, because proportionally more water than sediments is usually
diverted. Downstream of a tail-water outlet, on the other hand, stable
situations may change to eroding, particularly if the outlet is in another river.
A dam will, like a natural lake, trap most of the sediments, and the water passing
through spillways and bottom sluices may in many cases cause severe erosion
downstream of the dam in reaches where the original bed consisted of sediments
in equilibrium or unstable. An example of predicted erosion downstream of a
proposed dam in Rufiji River in Tanzania is shown in Figure 9.7.
70
60
50
E 40
.'=
30
c
a
�
" 20
>
Fig. 9. 7 W
10
Predicted erosion
0
downstream of 0 50 1 00 1 50 200 230
" Distance i n km
."
c
�
"
proposed dam in <U
."
�
0
5
c
Stiegler's Gorge [32]. :: z
Surface sediments of riverbeds with nearly uniform grain composition, will

move whenever the critical shear stress for the representative grain size is
exceeded, but without significantly changing the character of the bed material.
The bed will erode if a stable transport situation has not already been
obtained. The natural reaction to erosion is a degrading of the bed, both in
order to add to the transport towards the capacity for the situation, and in order
to reduce the slope until the actual sediment transport becomes equal to the
transport capacity corresponding to the new slope.
9.3 Sediment Data Needs for Hydropower

The Norwegian based International Center for Hydropower and the Nepal
based Hydro Lab arranged a Sediment Workshop for South-Asia with the title:
Sediment Management for Successful Hydropower Development in
September 200 1 . Some sections from the opening address by Haakon St¢le
serves as an introduction to this Section.
128
Hydro-Illetrologicai lletll'orks are bllilt ({f/{l lIIailltailled as a basis Sedilllellt data IlIlISt be collected systelllatically over tillle ill order
for assessillg the water reSOllrce.I· ' potelltials for food alld ellergy to facilitate plallllillg alld desigll of a storage schellle. I believe it
prodllctioll. We are gallgillg riverjloll's to assess the availability of will be allllost illlPossible to obtaill illtematiollal ji/wllce for a
lI'aterfor power gelleratioll. We collect jlood data for desigll of the seasollal water storage schellle ill this regioll ill the jilltlre if we
headll'orks alld to obtaill the lIecessary safety of the dallls alld the dOll 't have reliable alld good sedilllellt data records. Likewise it
people livillg dOll'lIstrealll of thelll. Sedilllellt gallgil/g, hOll'evel; will be illlPossible to allrael seriolls ({ftd sOlllld private illvestors or
seelllS to Oblllill IIIllCh lesser allelltioll thall .f/Oll' gallgillg. Why do developers to a project ill lack of sedilllellt data. Private
we spelld so IIIlIch less II/Olley 011 obtaillillg good alld reliable developers will 1I0t collect sedilllellt data for 10 to 15 years before
sedilllellt data records thallf/oll' data records ? they actllally klloll' whether they have all allractive project or ItOt.
We IIIlIst agree that sedilllellts have a jlavollr ofproblellls ({ftd costs A reservoir schellle lI'ithollt a reliable estilllate of the lifetillle (!f
ill the call text of hydropower developlllellt. Sedilllelltatioll of the reservoir will fillallcially be too risky for private developers.
reservoirs ({ftd sedilllellt-illdllced wear of structllres ({fld tllrbilles The risk will 1I0t be less for projects developed by pllblic fllllds
are well kllOll'1I problellls./ivlII hydropower schellles ill Hilllalayall partly throllgh the World Balik, Asiall Developlllellt Balik or
River Basills. This lIIay partly explaill why the water reSOllrces variolls illtematiollal dOllors. LOllg alld reliable tillie-series of
allthorities sholl' IIIlIch less illterest to systelllatic record sedilllellt sedilllellt data are therefore lIeeded to redllce the risk, to obtaill
data thall river f/Oll' data. Sedillleltt gallgillg is 1I0t easy alld it is 10altS alld to allract private developers.
1I0t .liee of costs. Allalysis (�f sedilllellt records alld predictioll of
sedilllellt yield are far./imll beillg ({ft easy alld precise sciellce.
9. 3. 1 Sediment data
Some information on sediment data is needed in connection with most river
engineering projects. In connection with planning and design of a hydropower
plant there are some basic questions related to sediment data, which must be
answered.
What type of sediment data is needed?

How to get high quality sediment data?
How to make use of the sediment records during planning and design?
It is important to be able to address these questions when:

The terms of reference for a study is made
A study team is put together and a time schedule is made
The structure of a pre-feasibility, feasibility or final design report is made
The hydraulic design of the project is done
The tentative operation and maintenance plan is made
It is also important to collect sediment data during the operation phase in

order to optimise the production and document the actual sediment load,
which has passed through the turbines as an example. Without any
documentation, the owner has no basis to address unexpected high rates of
sediment-induced wear with the turbine supplier at the end of the defects
liability period. The supplier will always claim that the sediment load has
been higher than specified in the tender documents if reliable data records do
not exist. The main variables and parameters are:
Concentration of suspended sediments in the water flow

Particle size distribution of suspended sediments
Bed-load transport rates
Particle size distribution of the bed-load
Particle size distribution of the riverbed material / armoured layer
Mineralogical and petrographical composition of the sediment load, in
practical terms the contents of hard minerals like quartz, garnet and
feldspar:
Content of organic matter in the suspended load
Density of deposited sediments
1 29
Combining the primary sediment data listed above with hydrological and
catchment data, the following sediment load and sediment yield parameters
may be computed.
- Daily, monthly and annual sediment load
- Sediment yield and denudation rate
The sediment transport patterns of mountain rivers are indeed complex, and
our understanding is limited. The rivers are often running through various
climatologic and topographic reaches from high up in the mountains were
glaciers transform into mountain torrents flowing on the bedrock or as a "step
pool stream" where large boulders and bedrock lines the waterway. Further
downstream we tend to name the mountain river a "boulder-bed river" to be
followed by "gravel-bed river" before it flows gently on a bed of sand and silt.
Only then it will behave according to the classical science of river hydraulics
and sediment transport. Hydropower plants are often located upstream of the
river reaches where the theories, the observation techniques and the
empiricism of liver hydraulics are developed.
The size of material transported by the river will often vary from fine clay
particles originating from the glaciers to large boulders of tens of tons, but of
more local origin.
The sediment load in a river varies largely from year to year. The fluctuation
in the annual sediment load is much larger than the variation in water runoff.
Reliable prediction of sediment yield based on short time-series of data is
therefore not possible.
There are furthermore large seasonal variations in the sediment load. The
major part of the sediment load is transported during the flood season. High
sediment concentrations must, however, be expected during relatively small
off-season floods caused by local torrential rains.
Depth-integrating
sediment sampler with
additional sinker
weightfor cableway
use at Yebesa in Mo
Chhu Rivel; Bhutan.
The sinker-weight
prevents sampling
close to the bottom.
The cableway is
operatedfrom the rive
bank and the sampler
is of the Swedish type.
(Photo H. St¢le).
Fig. 9. 8
Depth-integ rating
suspended sediment
sample!:
l 30
The sediment supply to steep rivers is guiding the amount of sediments

transpOlted by the river, rather than the sediment transport capacity of the
river. Mass wasting (mainly in the tributaries) plays a more dominant role in
the pattern of the sediment yield in the upper than the lower reaches of the
rivers.
Sediment sampling in mountain rivers is difficult and the available data are
often questionable with respect to the data quality, partly due to shortcomings
in the available sediment measurement techniques. The correlation between
water flow and observed suspended sediment concentration is often poor.
Water flow is therefore not a reliable parameter to determine the sediment
concentration in the river. As an example, we do not know of any gauging
station in any Himalayan River upstream of the plains, from Pakistan via India
and Nepal to Bhutan, where a reliable and consistent sediment rating equation
has been observed when a reasonable sampling frequency has been applied.
The operation of the headworks of hydropower plants with respect to
sediment exclusion can therefore not be guided by the water flow only as
shown in Figure 9.9.
1 00 , 0 00 -r-------:.---,
• •
SETI KHOLA
AT
PHOOLBERI
1 976 •
• • • •
• • •
1 0 , 000 - • •
•• • • • •
E
a.
• " . • •
• • • •
a...
....
•.
, . • • •• • • •
c :.• •• . • •
• • • •
o
:;::; .. , • • • ••
•
�
- •.. • . .: •
c • • •• ••
t
(l)
<.) • • • ••: . .:-.
c • • II! Jc.;.;. • ·
· •
o •• .,
<.) • .
C 1 , 000 - ·.·
i-).�. � :..,
. •
.. ... . . .-
\\
.
(l) -,# ••
E n. ••
"0 1) . ' • • •
•
... .•
i. ��
(l)
Vl
"0
(l)
"0
.�: .' .. . .
· .
.
.
. ..
•
C i': .. . •• •
(l)
,y�. . .( . •
.. !/. 1Z. . ' t:- \: .

a. • •
Vl •
::J
�.
r'" • �.'"
�.. .::I...
(f)
•� "'" · • • •·
•
1 00 -
". . • �. . . "
·U
. "" · .:'. .. '
-., ,.. . :
,
. . .. .
,,._ •, .•
". "
· • .
. .. _ .
'fi
•. e. t• •. • •
•", I . • • •.
. . ."• • •
•
• I • •. ".
• • Fig. 9. 9
Concentration and
10 �-._._""nol--r.--.-.-""T.-I-"-.--..-TT� discharge plot from
10 1 00 1 , 000
Seti Rivel; Nepal
Discharge (m3/s) [31].
131
9. 3.2 Needs for sediment data

There are two important issues the reader must look for when reviewing the
content of a feasibility report with respect to sediment data:
- Is the presented sediment data representative?

- How is the available sediment data used?
Like in all data collection programmes, the applied sediment data must be
representative for the water, which will enter the intake at a run-of-river
hydropower plant or the reservoir at a storage scheme. The sampling method
must produce data, which give a true picture of the sediment transport pattern
in the river over time.
The needs for data and the type of data required vary with the type of project
studied. In sediment-loaded rivers, we tend to distinguish between reservoir
schemes and run-of-river schemes when it comes to sediment data and
sediment handling. In principle, a reservoir scheme must provide storage for
all incoming sediments during the lifetime of the plant, while a run-of-river
scheme must allow all sediments carried by the river to pass the head works
structures to secure undisturbed operation of the power plant.
oj Reservoir schemes
A sediment study for a reservoir scheme shall focus on the following needs :
- Maintaining water storage capacity

- Obtaining acceptable and predictable operations and maintenance costs
The study shall first of all produce a reliable long-term average sediment yield
estimate so the predicted lifetime of the reservoir becomes as accurate as
possible. Day to day variations in the sediment concentrations are of less
interest. In order to study the deposition pattern and the gradual loss of storage
capacity that will take place, it is also important to collect information on the
particle size distribution and the density of deposits over time.
It is important to remember that the ratio between the l Oa-years flood, Ql OO

and the two-years flood, Q2 may be in the range from 5 to 1 0, while the ratio
between the l Oa-years and the two-years annual sediment load may be 100 or
more. A few years of local sediment data records will therefore not be
sufficient to plan a reservoir scheme where the lifetime of the reservoir is an
important parameter with respect to the profitability of the scheme.
When the water level in the reservoir varies, the deposits may be eroded and
re-deposited several times as shown in Figure 9 . 1 0. It is a complex study to
simulate the deposition pattern in a reservoir. The density of the deposits will
change over time. It is also dependent on whether the deposits will remain
submerged or be consolidated through dewatering during drawdown or not.
1 32
Fig. 9. 10
Deposition in
Kulekani ResellJoil;
Nepal.
(Photo H: St¢le).
Figure 9. 1 1 shows that the actual observed sedimentation in some Indian

reservoirs were several times higher than what was predicted prior to
construction of the dams. This is probably not only reflecting poor quality
sediment sampling, it is also reflecting the complex nature of sediment
transport in these rivers.
S E D I M ENT INFLOW TO RESERVOIRS
Bhakra
Maithon h
Panchet h
Ranganza
Tungabhadra
�
Mavuraksh i �
Uka i I
Fig. 9. 1 1
N izimsagar
Predicted and
o 10 20 30 40 40 observed
Million acre feet
sedimentation in
D Estimated
some Indian
� Observed
reservoirs [33].
Documentation of actual deposition rates in existing reservoirs and lakes are a

major source of information in connection with planning of new water storage
schemes.
b) Run-oI-river hydropower plants

A sediment study for a run-of-river hydropower plant shall focus on the
following needs :
Good performance of the headworks structures

High regularity in the power production
Acceptable and predictable operation and maintenance costs of the
headworks, the waterways and the hydraulic machinery
133
In order to optimise sediment exclusion at a run-of-river project it is necessary

to have sediment data, which includes the short-telm variations (from day to
day) as well as the long-term variations (from year to year). A time-series of
reliable sediment and flow data with high sampling frequency is required. The
study shall produce real time-series of suspended sediment concentrations and
river flows, with sufficient high frequency to give a true picture of the natural
variations we will experience during normal operation of the hydropower plant.
Representative time-series of sediment and flow data facilitate simulation of

normal wet-season situations, which will be crucial for assessing the
pelformance, regularity and operation & maintenance costs of the plant. A
sediment-sampling programme in a mountain river tailor-made for a run-of
river project should therefore have a high sampling frequency of one sample
or more per day. The data records will then preferably contain information on
short-term variations in the sediment load as well as the long-term trends.
The content of hard minerals and the particle size distributions of suspended
sediments are needed to compute resulting sediment exposure of the turbines
and the amount of sediments excluded from the withdrawn water in the
settling basins.
At a run-of-river plant there is almost zero income related to extreme floods,

because the duration of these events are so short. The power plant should
therefore not from an economical point of view be designed to remain in full
operation dming floods or sediment concentrations with return periods more
than 2 to 5 years. The costs (wear and down-time during repair) will normally
be many times the benefits earned from continued operation during these short
events with very high sediment concentrations. The plant shall, however, be
designed so it survives these floods as well as the design flood.
9.3.3 Use of sediment data

The main sources for sediment yield studies are time-series of sediment
concentt'ations and river flows and observed sediment deposition in lakes and
reservoirs in the region. If the time-series of daily suspended sediment
concentrations are in the range from five to ten years, it is possible to develop
useful sediment rating equations where a longer time-series of river flows are
used to compute the resulting influx of suspended sediments over the years as
long as:
The suspended load covers 75 % or more of the total load
Mass wasting plays a minor role in the sediment supply
The size of the bed material particles and the transported particles are
within the same order of magnitude
The difference between bed-load and suspended load was addressed in section
9. 1 . It does also make sense to distinguish between measured sediment load
and unmeasured sediment load. Large sediment loads may pass a sediment
sampling station un-gauged during floods due to various limitations in the
sampling technique or between regular sampling hours. When the flow
velocity is high, it may be impossible to obtain water samples, which are
representative for the entire cross-section of the river. It is important to
address these issues as a part of the sediment yield prediction process.
1 34
In addition to sediment yield, density of deposits and particle SIze

distributions are needed to carry out reservoir sedimentation studies. The
process of a reservoir sedimentation study is addressed in Section 9.5.
There is surplus of water available in the river during the wet season when the
river in periods carries high sediment loads. But there is no room available at a
run-of-river plant where partly cleaned water can be stored for peaking
purposes. The water abstracted from the river must therefore be cleaned
simultaneously with the power generation. The project's capability to handle
high sediment concentrations in the abstracted water without intelference with
the power generation will determine the regularity of the energy production at
the project during the wet season. Several unplanned close downs (full or
partial) will give a low regularity even though the energy losses may not be
significant due to relatively short duration of each close down.
The variations in sediment content, as well as the particle size disttibution and
the mineralogical distribution of the instantaneous sediment load, determine the
amount of sediments which will be trapped by the sediment handling facilities,
and the amount, which will pass on to the hydraulic machinery in the power
house. If the power plant shall operate with a high regularity, the headworks
must be able to deal with most of the short-term variations in the sediment
concentrations. Handling large variations is equally important as coping with
the variations in the particle size distribution of the suspended load.
The collected data will be used in a series of simulation of the operation of the
headworks of the plant under various settling basin arrangements. The main
objective with the simulations of the headworks performance is to provide
information and data for the detailed optimisation of the settling basin design.
The simulations link the design process to expected performance during the
operation of various alternatives, and thus to cost figures during the operation
phase, not only the construction costs.
Depending on the selected settling basin arrangement, it will be required to

close down the power plant partially or fully from time to time due to various
reasons. The pelformance study of the settling basin arrangement at Mangde
Chhu hydropower plant in Bhutan is used as an example. The sediment data
record applied in the feasibility study had a sampling frequency of one sample
per day. The petformance of the basins was tested for each 24 hours period
according to the following four criteria, which all will disrupt power
generation more or less, and thus reduce the regularity and the production:
- Too high concentration of suspended sediments in the water released from

the settling basins for power generation. If the concentration exceeds the
adopted upper limit of 3 000 ppm, the plant is assumed closed down.
- The amount of sediment load trapped in the basins exceeds the sediment
removal capacity of the basins.
- Passage of bed load and flushing of the pond. The plant is assumed closed
down when the flow goes higher than the cut-off level of 300 m3/s, refer
section 9.6.2.
135
- Reduced energy production during the time of flushing for the alternatives,
which have to reduce the generation during flushing in order to maintain
the trap efficiency.
Based on these simulations, the effect of varying the size of the basins as well
as adoption of various flushing system were studied.
9.4 Settling Basin Design

The objective of a settling basin is to reduce the turbulence level in the water
flow to allow suspended sediment particles to settle out from the water body
and deposit on the bottom of the basin. The deposits are then removed from
the basin by use of the flushing system or through excavation if the amount of
sediments is small.
Settling conditions are obtained by reducing the transit velocity of the water
so the effect of gravity increases relative to the effect of the turbulence. The
suspended particles will not follow the movement of the water because the fall
velocity of the particles will create a flux of sediments downwards. The transit
velocity in a settling basin will normally be in the range of 0. 1 to 0.4 mis,
depending on the design criteria and to some extent on the size and shape of
the area available for settling basins. At an early stage of planning a transit
velocity of 0.2 mls based on the net flow cross-section is normally adopted.
The pelformance of a settling basin is guided by its ability to trap suspended

sediments and its ability to remove the trapped deposits from the settling
basins, i.e. the qualities of the adopted sediment flushing system.
Fig. 9. 12 The settling basins at the 60 MW Khimti hydropower plant in Nepal are
Settling basins at furnished with Selpent Sediment Sluicing System (S4) for removal of
Khimti hydropower trapped sediments while the basins remain in normal operation.
plant. (Photo Haakon St¢le)
1 36
9. 4. 1 Design criteria
The coarser fractions of the suspended load shall be removed from the
abstracted water in the settling basins in order to fulfil the design criteria with
respect to sediment exclusion. It will never be possible to trap all suspended
sediments in a settling basin, as the fall velocities of suspended silt and clay
are to small compared with the turbulence level in the settling basins.
However, most of the sand fractions of the suspended sediments shall be
excluded from the abstracted flow in order to:
- Maintain the hydraulic transport capacity of the waterways

- Reduce the sediment load to the turbines, valves etc.
- Obtain the required power generation regularity
Parts of the hydraulic machinery of a run-of-river hydropower plant exposed

to the flowing water will always be subjected to sediment-induced wear. The
higher the velocity of the water is, the greater damage will occur. The material
erosion rate of steel subjected to water containing quartz is found to be
proportional to the sediment load and the velocity of the flow into the power
of 3 to 4. This implies that the material erosion rate of the nozzle of a Pelton
turbine (or most parts of a Francis turbine) will be proportional to the head of
the power plant into the power of l .7 to 2.0. High head power plants are
therefore extremely susceptive to sediment erosion.
Leakage water from a Francis turbine is passing through the gap between the
runner and the cover plate. This gap is normally about 0.5 mm wide and a
function of accuracy in the production, efficiency and the amount of leakages.
Sediment issues are normally not addressed when this gap is determined,
except when it comes to the selection of matelials. Brass may be used for
sediment free water, but stainless steel should be used when there are
sediments in the water. It is recommended to prevent all angular quartz
particles larger than 0.3 to 0.4 mm from entering into this gap as they may
cause severe damage. 0.4 mm may therefore be used as an upper limit with
respect to size of particles, which may be released from the settling basins.
This will, however, in most cases not be the optimum criterion for sediment
exclusion at a high head run-of-river hydropower plant.
There are many factors affecting the resulting sediment-induced wear of the
turbine components. It is, however, outside the scope of this book to discuss
these factors in details. The hydraulic engineer involved in planning and
design of a run-of-river hydropower plant should know that the main factors
related to turbine wear are:
The hardness of the sediments (i.e. practically the quantity of quartz)

- The total sediment load through the turbine
- The velocity of the water through the turbine
- The operation regime of the turbine
Out of these four factors, the design of the settling basins at the headworks is
only affecting one, i.e. the total sediment load through the turbine. The bigger
the settling basins are the smaller sediment particles are trapped and the more
of the total suspended sediment load is trapped in the basins.
1 37
The first rule for exclusion of suspended sediments is that most of the
suspended sand should be removed from the abstracted flow in settling basins.
Most of the suspended silt and clay will, however, pass through the waterways
and the turbines of the power plant. Where there is hard sediments and a
power head of more than 50 metres, there will always be sediment-induced
wear of the turbines.
The main parameter with respect to wear of turbines at high head run-of-river
hydropower plants is the total amount of sediment load (quartz) passing
through the turbines and not the size of the individual particles in the sediment
load. Standard design criteria for settling basins are, however, linked to the
basins' ability to trap particles of a given size. It is relatively easy to prove that
a design is satisfying a trap efficiency criterion, which is a more or less direct
function of the size of the settling basins. As the sediment exposure design
approach is dependent on the complex nature of the sediment transport in the
liver, it is much more difficult to satisfy a set of design criteria for the settling
basins (tonnes of sediment load per overhaul and replacement of various
components). This requires sufficient reliable and representative sediment
data as well as information on the operation regime of the power plant.
Simulations of the operation of the plant are therefore needed in order to
determine the optimum size of the settling basins as well as the most cost
effective operation regime for the plant.
The optimum sediment exclusion level at a run-of-river project is therefore

dependent on the sediment load characteristics of the river as well as the
features of the project itself. An optimum sediment exclusion study shall
minimise the total investment and operation costs throughout the lifetime of
the project of the four components listed below:
- Increased capacity to resist sediment-induced wear through improved

turbine technology, so called "silt-friendly" turbine design. This involves
design, manufacture and installation of the turbines and replacement of
runners, guide-vanes etc. Various coating techniques may increase the
turbines' initial resistance to wear, but it may reduce the possibilities to
carry out an efficient overhaul programme later on.
- Increased capacity to resist sediment-induced wear through an efficient
overhaul and maintenance programme for the turbines. This aspect must
include generation losses due to necessary down time for maintenance and
replacement of components in addition to the investment and operation
costs of the required turbine maintenance facilities.
Reduced sediment exposure through improved exclusion of sediments in
the abstracted water through the settling basins. Increased size of settling
basins will improve trapping and efficient sediment removal systems will
reduce generation losses associated with operation of the settling basins.
- Reduced sediment exposure through sediment guided operation regime
based on real time sediment monitoring. The sediment concentration in
steep rivers varies with time. The concentration goes from time to time
very high, say above 10 000 ppm. The sediment load in the water released
from the settling basins will then be high even if the settling facilities have
high trap efficiency. There is most probably a level at each high head run-
138
of-river plant where the cost of continued generation is higher than the
benefits, due to excessive sediment induced wear and resulting maintenance
needs and costs even if rationing costs, are introduced.
It is recommended to split the flow in two or more so the number of settling

basins are at least two. This will enable dewatering of one basin during the dry
season for inspection and maintenance of the flushing system etc. without
affecting the operation of the plant. The entire flow to the power plant will
then be channelled through the remaining basin(s) as the concentration of
suspended sediments in the water is low and there are no needs for cleaning of
the water in this situation.
9. 4. 2 Trap efficiency
The trap efficiency of a settling basin is mainly governed by the geometry of
the basin, i.e. size and shape. A larger basin will facilitate exclusion of more
suspended load with respect to volume and particle sizes. The shape of the
basin is important with respect to the flow distribution in the basin. A good
shape will produce an even flow distribution in the basin and thus maintain
optimum trap efficiency in the basin, while a poor shape will produce
unfavourable flow conditions and thus reduce the trapping ability of the basin
considerably. The main components of a typical settling basin arrangement
are shown in Figure 9. 1 3 . Note that the effective length and the uniform length
is not the same. The effective length is the length corresponding to a basin
with the same cross-section area and completely uniform flow distribution
over the cross-section of the basins.
LON G IT U D I N A L SEC TION
Outlet
Vt transit velocity to plant
u niform flow
distribution
Approach I nlet
flow transition Uniform length
.I..
Effective length
LAYOUT
Opening angle Uniform flow

distribution
Fig. 9. 13: Settling basins - definition sketch.

The hydraulic design of a settling basin arrangement shall secure:
- An even flow distribution between parallel settling basins for various flows
An even flow distribution internally inside each basin for various flows
Efficient removal of deposits during flushing of the basin
139
The flow distribution between the basins may be secured at the inlet or at the
outlet of the basins. It is often convenient to have a small head-loss at the
outlet of the basin to secure even outflow from the basins as well as even
outflow over the width of each basin. A slotted outlet has proven to be
effective in this respect. A small horizontal slot (about 0.5 m high) over the
width of each basin close to the surface will also secure filling of the basin
before water is diverted to the downstream waterway. Sediment trapping will
then take place during filling of the tunnel, and prevent sand from passing
through the basin during the time it takes to fill the tunnel. The slotted outlet
will also give the hydraulic engineer freedom to accelerate the flow fast and
turn it in any direction downstream of the basin without any effect on the flow
distribution inside the settling basins.
The main challenge for the hydraulic engineer is to design the geometry of the
inlet transition so the flow is evenly distributed over the width and the depth of
the basin in the settling part, often referred to as the main body of the basin
with uniform width. It is difficult to obtain an even flow distribution in a water
body with low velocities and low friction losses. An uneven flow distribution
in the upstream end of a settling basin tends to remain uneven throughout the
basin. An uneven flow distribution in a settling basin will reduce the trap
efficiency drastically compared with a basin with even flow distribution.
I I
Straight G u i d e walls i n
a pproach i n let transition
canal
U n iform
section
Fig. 9. 1 4 Inlet transition }vith guide-walls.

A symmetric layout is preferred. The approach canal should preferably be
straight for a length of ten times the width of the canal upstream of the start of
the expansion in order to avoid the effect of secondary currents (rotational
flow) set up by a bend in the approach canal. The expansion should be
symmetric and smooth in order to prevent that the flow separates from the
sidewalls and the bottom of the inlet transition. It is possible to prevent
separation if the opening angle of the inlet transition is less than 1 0 to 1 2
degrees i f a generous curvature is applied. This narrow opening angle will,
however, make the inlet transition very long. It is possible to shorten the inlet
transition by carefully applying guide-walls in the transition so the opening
angle between two walls is small enough to prevent separation. The
downstream end of the guide-walls must then be carefully shaped so the water
velocity at the outlet of the transition is not pointing towards the sidewalls, but
parallel with the longitudinal axis of the settling basin.
1 40
A symmetric layout has the great advantage that it will secure optimum
distribution of the water in the settling basin for all ranges of flows through the
basin. It is also possible to have a skewed inlet, which will compensate for a
skewed approach flow caused by a curved approach canal. The resulting flow
in the downstream end of the inlet transition may then be evenly distributed
over the cross-section for the design flow, but most likely unevenly distributed
for a different flow.
The topographical features of the head works do not always favour a

symmetric design. In order to overrule the secondary currents generated
through a bend, the flow may be accelerated downstream of the bend in a
pressurised canal and then carefully retarded again to obtain even flow
distribution. The best way to obtain the optimum hydraulic design may then
be by use of a physical hydraulic model. The scale should normally not be less
than 1 :25 due to the low transit velocities in the settling basin.
It is possible to replace the long and gentle inlet transition with a flow
tranquilliser. The tranquilliser is a sort of a filter where the flow is distributed
over a cross-section by use of a head-loss as shown in Figure 9 . 1 5 . The
construction costs may be reduced by use of a tranquilliser, but the associated
head-loss in the range of 0. 1 5 to 0.25 m must be capitalized over the lifetime
of the plant. It is also important to prevent trash, floating debris and gravel
from clogging part of the tranquilliser. The optimum flow distribution effect of
a tranquilliser is linked to the design flow. The distribution effect will be less
optimum for lower flows.
Fig. 9. 15
Flow tranquilliser at
the inlet to the
settling basins at
Modi hydropower
plant, Nepal (Photo
Haakon St¢le).
In order to dimension the main body of the settling basin we must be able to
compute the resulting trap efficiency of a basin with some basic geometric
dimensions. The particle approach to trap efficiency computation is assessing
the probability of one particle being trapped or passed through the settling basin.
The concentration approach is addressing the difference in average sediment
concentration in the flow entering the basin and the flow leaving the basin.
141
The particle approach is based on a simple relation. If there is no turbulence

inside the basin, the ratio between the particles fall velocity, w and the horizontal
transit velocity in the basin, VI must be the same as the ratio between the fall
distance (i.e. the depth of the basin D) and the horizontal travel distance (i.e. the
length of the basin L). In an ideal basin, i.e. a basin without any turbulence, all
particles with a fall velocity larger or equal to w will be trapped.
D · v! Q
}v = -- = - (9. 1 2)
L As
A. I, is the net surface area of the basin. As there is turbulence, some particles
will not settle as fast as the fall velocity indicates because turbulence will
always move some particles in the upwards direction. Camps diagram, shown
in Figure 9 . 1 6 includes the effect of turbulence on the trap efficiency [34] .
,
I�
...J.q:
j...� �
1 .0
-
-1--1-- .-' j...� .----
� �j... ---
0.9 2,0
j... 1o-
�- 1-- � L---
��
1 ,5
-�j...-j...rt
�
0.8
�- 1--
1--
j...1--10-
::::
I .- .. :,. :: 0.-
�-
1 ,2 •
Ie:�
0 . 7 t-"
::: 1--1 I
- 1,1
$='"
� - O,g
1 ,0
e:::
-j...
-1--1--10-
�j...-
0,6 � - 0,8
�- I--
I I
;:>; � j...
u
c
<lJ 0,5
t-"
- 0.7
-I-- 10- r--
r--
0,6
'(3
�
w
1 0 5 �-1--'-""
OA
OA
I
I
0,3
I
0. 3
0,2 0.2
I
I
1-
Fig. 9. 1 6
0,1
I w ' As
I I I
Camps diagramfor 0,1
-I Q
trap efficiency
0
I I
including the effect of 2 3 4 6 8 2 3 4 6 8 2 3 4 6 8
turbulence on the fall 0,01 0,1 1 ,0 10
velocity [34]. ------ � Red ucing turb u l e nce
The trap efficiency Tl is found from the diagram, based on the two following
parameters.
HI w · As
and (9. 1 3)
U' Q
u * is the shear velocity and Q is the discharge through the basin. Note that
A/Q is the same as UD·v,. The term Q1A s is labelled the surface loading of a
settling basin. The shear velocity can be found by use of Mannings' formula
for the energy gradient Se. R is the hydraulic radius.
and _
S, - (
Q )2 (9. 1 4)
M , A · R 213
Vetters method, presented in [26] is based on the concentration approach. This

is a simplified version of Hazens method, assuming best pelformance with
respect to flow distribution in the settling basin.
1 42
_( w As )
TJ = l - e --V (9. 1 5)
For all simplified trap efficiency computations, It IS important to make a

reasonable assessment of the effective sUlface area for settling. The net
surface area, As shall only include the area of the basin where the flow
distribution is close to uniform.
By applying computational fluid dynamics, it is possible to include the effect

of the inflow and the outflow conditions in the computation of the trap
efficiency, refer to Chapter 1 0. The trap efficiency computation based on a
3D CFD simulation of the performance of a settling basin will be based on
comparison of the sediment flux into the basin and the resulting sediment flux
out of the basin after settling has occurred.
9.4.3 Removal of deposits

It is always necessary to provide some dead storage in a settling basin where
sediment may accumulate between the flushing processes. The size of the
dead storage is dependent on the sediment load as well as the adopted flushing
method. The available flushing technologies are classified in two main
categories as shown in Table 9.3 . Some flushing systems requires a closedown
of the settling basin during the removal process while other systems facilitates
continuous operation of the settling basin during flushing, i.e. incoming
sediments will be trapped continuously also during the removal process. Refer
to [ 1 3] , [ 14] and [35] .
SETTLING BASIN FLUSHING ARRAN G E M E NTS

Close down during flushing I n operation d u ring flushing
1 2 3 4
Conventional Excavators and Continuous I ntermittent
Table 9. 3
gravity flow manual unloading flushing flushing
Classification of
flushing
flushing systems.
A swift current must be generated inside the basin during conventional gravity
flow flushing in order to scour the deposits and transport them back to the
river downstream of the diversion weir. The flushing process is normally
involving operation of flushing gates in addition to the gates in both ends of
the basins. The inlet gate shall adjust the flushing flow and the outlet gate must
be closed to secure continued operation of neighbouring basins during
flushing. The flushing gates in the downstream end of the basin must have
sufficient capacity to secure an even withdrawal of water from the entire width
of the basin to prevent islands of deposits, which are not removed efficiently.
The main weakness with this system is that the operation of the settling basin
is affecting the power generation directly. Generation needs may overrule
flushing needs. If the sediments are not removed when needed, the basins will
be overloaded and the trap efficiency will be drastically reduced. Increased
sediment load to the turbines and increased wear will occur.
1 43
Continuous flushing systems in category 3 are designed to abstract water from

the bottom of a settling basin continuously during operation to prevent any
deposition to occur. The water consumption of these flushing systems is
normally in the range of 20 to 30 percent of the flow supplied to the
waterways downstream of the basins. The most corrunon flushing system of
this category has longitudinal hoppers with a flushing canal running along the
bottom of the hopper. There are evenly spaced slits connecting the basin with
the flushing canal below. These slits are oriented normal to the longitudinal
axis of the basin. The flushing canal is increasing in size in the flow direction
in order to obtain a constant velocity in the flushing canal. This will give a
constant pressure difference between the basin and the canal and thus secure
an even abstraction of water from the basin along the bottom of the hopper. A
flushing gate is located in the downstream end of the flushing canal. It is
important to keep the flushing gate open always when sediments may enter the
basin, because it is impossible to remove deposits from the basin if they have
deposited while the flushing gate has been closed. In addition to the high
continuous water consumption, the main weakness with the continuous
flushing system is that it cannot be reactivated by normal operation of the
flushing gate after deposition has occurred.
Sediments are removed from the basins while these basins remain in normal
operation for both category 3 and category 4 flushing systems. In category 4,
the flushing process is intermittent, and there is therefore no loss of water
dUling the time between flushing operations. Several intermittent flushing
systems are developed [ 1 3] . The hopper system is the most common of these
The bottom of the basin is covered with hoppers furnished with a sediment
ejection pipe in the bottom of each hopper. The slope of each of the four sides
of the hopper is normally 1 : 1 . A gallery of valves is located below or next to
the basin for flushing. As the head often is a limiting factor, there will be many
hoppers with a costly concrete structure as well as many pipes and valves to
be operated.
Some other category 4 systems are the Bieri system [8], the Serpent Sediment
Sluicing System (S4) [ 1 3] and the Slotted Pipe Sediment Excluder [35] . Bieri
and S4 are patented systems. Removal systems making use of dredgers and
scrapers do also fall into this category. As there are not room for presentation
of all these systems, the basic principles of the S4 system is selected as a
representative of category 4 her.
The "serpent" (a heavy-duty rubber tube) seals a longitudinal slit between the
settling basin and a flushing canal along the bottom of the basin when it is
filled with water. There is a flushing gate in the downstream end of the
flushing canal and an operation valve facilitating filling the serpent with water
or dewatering the serpent so it becomes buoyant.
The S4 system is removing deposits from the settling basin in two modes. In
opening mode the serpent is gradually lifted from the slit along the bottom of
the basin to the surface. In closing mode as shown in Figure 9. 17, the serpent
is gradually closing the slit over the flushing canal in the bottom of the basin
as it is filled with water and subjected to the suction from the flushing canal.
144
Serpent Serpent Settl i n g basin

� I
Deposits
Flushing channel
Serpent Settl i n g basi n
I
. . . . . . . . . . .
. . . . . : : : : : . : : : : . : : . . : : : . : : . : . . : : . : : .� : .
- . - . . . . - .
. . . . . .
. . .
. . .
. . . - - - - - . - . . -
. .
. .
Serpent · : · . : . : . : . : . : . : . : : . : : . : . : . : . : . : : . : : . : : . : . : ... .� �:-'-: .

. - . . . .
. . . . . . .
. . . . . . . ... . . . .. ... ..... .. : : : : : : :

. . . . .
. . . . . . . . . . . . - : movement . . . . ' ' ' . ' ' . -
: S l u i cing area :
: . : . : . . : . /. . . . . . . . . . . . . . .
Flushing chan nel
Cross -section Longitudinal section
Fig. 9. 1 7 Selpent Sediment Sluicing System (S4) [35].
The serpent is gradually sinking or rising in the basin and thus closing or
opening the slit between the basin and the flushing canal as a zip-fastener. The
sluicing-area where water and sediments are sluiced out from the basin is
gradually moved from one end of the basin to the other end and then back
again. The 90 m long serpents are seen floating in one basin and resting over
the slit in the other basin of Khimti hydropower plant in Figure 9 . 1 2. The
flushing-water consumption is 1 0 % during flushing only.
9.5 Reservoir Sedimentation

The CIR is a convenient term to use for classification of reservoirs in relation
to reservoir sedimentation. CIR is the volume of the reservoir divided by the
average annual inflow to the reservoir in volume as illustrated in Figure 9. 1 8.
Rooseboom has given the following recommendations after studying sediment

management at reservoirs in the Southern Africa over years [36] .
Plants with CIR 3-30 % tend to be particularly vulnerable to sedimentation

problems.
Continuous and long-term sediment records are needed prior to detailed
design of storage projects. Between 6 and 1 0 years are required as a
minimum.
- Reservoirs should be located as far up in the catchment as possible.
- Regional study of sedimentation in existing reservoirs shall be included in
all reservoir studies.
1 45
SMALL RESERVOIRS - SHORT TERM REGU LATION
c!J �-d:�'2hmii
RESERVOIR VOLUME IN PERCENT OF MEAN ANNUAL RUN�OFF
O�-+
5--- O--+---
1� 2�
O--+---
3�
O--+--- 5� j\
O--+---h
4� �O
1�--�
2O
� \
O--+--�
4 O�
O--+--�
6O-
O--+--�
8 O-
O--+--
1�-O
OO ��
·
V
1 C H UKHA 1 TARBELA ASWAN 1
Fig. 9. 18 Classification of hydropower plants according to CIR.
Fig. 9. 1 9
Annual suspended
sediment yield after
& � 1 3250 ppm
5300
2650
•
1325
Walling and Webb I •
and average sediment f=:=3 Desert

�
concentrations after �J25 ppm 1 m' depos itJ
1000 mJ watet)
"'=
\:
Jacobsen, [39].
1 46
Mahmood estimated for the World Bank in 1 987 in [37] that about 1 % of the
gross water storage capacity worldwide is lost annually due to reservoir
sedimentation. The World Commission on Dams refers in [38] to a loss-rate of
0.5 % to 1 .0 % .
Sediment yield i s far from equally distributed over the earth a s shown in
Figure 9. 1 9. It is therefore important to base any study on local data and
experience. Semi-arid and arid areas are most vulnerable as the average
sediment concentration in the water flow here is high even if the sediment
yield may be moderate. This is in areas where long term storage of water is
important due to long periods without rain.
It is important to remember that in most cases a considerable part of the

incoming sediments will deposit in the live storage of the reservoir. Loss of
storage volume will therefore occur long before the dead storage is filled up.
This is complicating the term reservoir lifetime, which has been defined by
many as the time it takes to fill up the dead storage.
A reservoir sedimentation study will normally involve a three-dimensional

simulation of the flow pattern in a reservoir over a long period of time.
Numerical hydraulic models are developed and they are now able to give
reasonably good predictions if there is a basis for calibration of the model.
When the flow pattern in the reservoir is known, it is possible to simulate the
transportation and deposition pattern of the suspended sediments, which
enters the reservoir together with the water. The uncertainties are today more
linked to the lack of correct and detailed input data than to the modelling
technique itself.
A long time-series of data is required in order to enable a realistic simulation

of the behaviour of a planned reservoir. The most important data requirements
are topography and long corresponding time-series of inflow to the reservoir,
suspended sediment data (concentration and particle size distribution) and
operation record for the reservoir, i.e. outflow of the reservoir to the power
plant and through the spillways in addition to evaporation data.
Most reservoirs will reach equilibrium over time where the sediment inflow
and the sediment outflow balance each other. The remaining storage capacity
may then be in the range of five to ten percent of the initial size of the
reservoir.
9.6 Handling of Sediments in Reservoirs

As it for many reasons becomes more and more difficult to build new
reservoirs, it will be more and more important to take care of the surface water
storage facilities we do have in lakes and man-made reservoirs. The demand
for storage capacity, fuelled by needs for water, food and electricity as well as
flood mitigation, is growing.
9. 6. 1 Measu res
Measures to prevent or reduce reservoir sedimentation are under development.
It must, however, be observed that most sediment handling techniques for
1 47
reservoirs are limited to small reservoirs. The various concepts in use and
under development are categ0l1sed as follows:
1 . Reducing sediment inflow through watershed management and erosion

control.
2. Removal of deposits from the reservoir through:

flushing techniques
hydraulic sluicing
- excavation and dredging
3. Reducing deposition of sediments in the reservoir by providing passage of

sediments through the reservoir by reservoir-management measures. This
includes mainly water level control and possible flushing.
4. Bypassing the reservoir through a sediment bypass arrangement.
The sediment bypass concept shown in Figure 9.20 may be combined with all
the other methods listed above. The sediments are trapped in the trapping
reservoir or sluiced through this during floods and thus reducing the sediment
loads entering the main reservoir.
S E D I MENT BYPASS
TRAPPING RESERVOIR MAIN RESERVOIR POSSIBLE BALAN CING RESERVO I R
Fig. 9.20 The sediment bypass concept.
Reservoirs with sediment bypass should preferably be located in river loops

where the distance between the trapping reservoir upstream and the
downstream balancing reservoir are as short as possible. The downstream
balancing reservoir shall secure that the sediment load is carried further
downstream during floods so the sediment transport pattern is as close to the
natural sediment transport pattern as possible.
The alternative to sediment bypass schemes is normally much larger

reservoirs where a considerable part of the reservoir volume serves as
sediment storage instead of water storage.
1 48
Hydraulic sluicing is a method of removing deposits in a reservoir without

emptying the reservoir as needed for conventional flushing. The sluicing
capacity generated by the level difference between the reservoir and the outlet
downstream of the dam is moved to the deposits by means of a pipeline. The
main challenge has been to design an efficient but safe mouthpiece. The
sediments shall be picked up efficiently and fed into the pipeline without
causing the entire mouthpiece to be sucked into the sediments causing a
complete blockage of the inlet and deflation of the pipeline due to the vacuum,
which occurs when the water in the pipeline continues to move.
The Saxophone Sediment Sluicer (SSS) is invented by Tom Jacobsen [39] .

This design, shown in Figure 9.2 1 has solved the problem of balancing the
feeding rate with the transport capacity of the pipeline between the
mouthpiece and the outlet. The mouthpiece can be placed directly on the
deposits and left in position until the crater is as deep as desired before it is
shifted to another location.
A: Normal operation 1: Outlet pipe

B: Bottom slots are covered 2: Suction head
C: Bottom slots are reopened 3: Bottom slots
Fig. 9.21
4: Balancing flow
The Saxophone
5: Opening jor extra water
Sediment SluiceI'
6: Sediment deposits
[39].
9.6. 2 Daily peaking reservoirs

Reference is made to Section 4. 1 where the value of small daily peaking
reservoirs or head-ponds is addressed. It is normally possible to schedule a
flushing process when the deposits consist of silt, sand and gravel and the
reservoir has a favourable shape. If stones and boulders are deposited in a
149
reservoir during a high flood, it is more or less impossible to remove these

deposits during a scheduled flushing as the available flow will be limited to
normal wet season floods.
The size of the pond is small compared to the annual water flow passing
through it (CrR < 3 %). The reservoir volume may in many cases be in the
same range as the volume of the annual sediment load of the river. Protective
measures must therefore be introduced in order to prevent sediments from
filling up the pond after short time. The headworks of this reservoir plant must
therefore in many ways be designed as a run-of-river plant as the plant in the
long run must bypass all the incoming sediments.
The sustainability of the pond is the most critical aspect with respect to the
adopted headworks concept and sediment transport. It is important to prevent
accumulation of coarse sediments (boulders) in the pond, which cannot be
removed through normal operation of the pond and thus reduce the active part
of the daily peaking reservoir over time.
The adopted operation strategy, aiming at preventing permanent deposition of

sediments in the pond is shown in Figure 9.22 through Figure 9.27. This
strategy is making use of reservoir management measures for maintaining the
pond capacity throughout the lifetime of the project. This concept is adopted
for the Mangde Chhu project in Bhutan, and it has also been used in both the
feasibility design and the tender design for Kohala and Neelum Jhelum
hydroelectric projects in Kashmir, Pakistan. The adopted concept is presented
below [40] .
DRY SEASON WHEN PEAKING IS NOT REQUIRED

MAINTAINING WATER LEVE L AT HRWL
FLOW RANGE: Qpow < Qriv < Qmonsoon
POWER PLANT IN OPERATION
Natural Sediment Transport
Fig. 9. 22
D,y season operation
when Qriv > QpOIl'.
Figure 9.22 shows how the pond is being operated during the dry season. The
sediment load carried by the river during this season is moderate and the river
is not able to transport any large particles, say gravel, boulders and blocks. As
long as the flow of the river, Qriv, is higher than the sum of the installed
capacity, QpOIl', and the minimum flow of the river just downstream of the dam,
QllliJl, the upstream water level will be maintained at HRWL.
1 50
DRY SEASON WHEN PEAKING IS REQUIRED

S I TUATION AT THE END OF THE PEAKI N G HOURS
FLOW RANGE: Qriv < Qpow
POWER PLANT IN OPE RATION
Natural River Flow
Natural Sediment Transport
Deposition of Fine Sediments
Fig. 9. 23
DI)' season operation
when Qriv < QpOlV.
When Qriv is lower than the sum of QpOlV and Qlllill' the upstream water level
will vary between HRWL and LRWL during the day due to peaking needs, as
shown in Figure 9.23.
Figure 9.24 shows normal rainy season operations when the flow is less than
the average annual flood, Q(2). It is necessary to maintain the upstream water
level at LRWL throughout the rainy period whenever the power plant is in
operation in order to minimise the deposition of sediment load in the active
part of the head-pond between HRWL and LRWL.
Most of the coarser part of the sediment load will deposit in the dead storage
below LRWL. This volume is rather small and the sediment load is expected
to pass through the pond after some time as shown on the lower part of Figure
9.24. If there is a side intake upstream of the dam, under-sluices are required
to facilitate bed control at the intake and thus preventing inflow of bed load to
the intake.
Figure 9.25 shows the situation during moderate floods, i.e. when the flow is
between an average flood Q(2) and a flood with a return period of 20 years,
Q(20). The upstream water level shall be lowered down to the "as before
situation" during these floods in order to facilitate removal of deposits from
the pond and passage of the sediment load carried into the pond during these
flood situations. It is assumed that the river will be able to transport boulders
of any size, which can be supplied to it in some quantity during a 20 years
flood. It is necessary to prevent that large boulders are deposited in the pond
during these floods because it will be impossible to remove them by flushing
after the flood when the available flow is less than Q(2).
The lower radial gates in the dam must have capacity to pass any flow up to
Q(20) as a free sUlface flow. It is therefore assumed that the river will flow in
an "as before situation" during floods between Q(2) and Q(20), and that bed
load transported by the river into the pond area will be carried on and pass
through the lower gates.
151
DEPOSITION OF BED LOAD DURING Tl-1E MONSOON

FLOW RANGE: Omonsoon < Oriv < 0(2)
POWER PLANT IN OPE RATION
I-Jatural River Flow
Deposition of Sediments
DEPOSITION OF BED LOAD DURING Tl-1E MONSOON

FLOW RANGE: Omonsoon < Qriv < 0(2)
POWER P LANT IN OPE RATION
Natural Sedirnent Transport
Deposition of Sediments
Fig. 9. 24
Normal rainy season
operation.
The peak flow during large floods is in the range from Q(20) to Qdesigll. When
the flow exceeds a 20 years flood, the capacity of the bottom radial gates is
exceeded with respect to passage of the flood as a free surface flow.
The upstream water level will then gradually rise, causing the pressure on the
gates and their capacity to increase until water starts spilling over the crest.
This situation, when the dam is throttling the liver flow, is shown in Figure
9.26. Sediments will then deposit in the pond. The gates shall remain open
during the falling limb of the flood and the deposits in the pond are expected
to be removed when the flow is corresponding to Q(20) and the water level has
dropped as shown in Figure 9.25.
The peak flow of an extreme flood is in the range from Qdesign to QPMF. Water
will be discharged over the crest as from a free overflow weir as shown in the
upper part of Figure 9.27. Sediments will deposit in the pond. The gates shall
remain open during the falling limb of the flood and the deposits in the active
part of the pond are expected to gradually be removed when the flow is
decreasing from Qdesigll to Q(20) as shown in the lower part of Figure 9.27.
152
Sediment Tra115]Jort and Sediment Handling
The remammg deposits are expected to be removed when the flow is

corresponding to Q(20) and the water level has dropped as shown in Figure
9.25. If the lower radial gates are not fully open during the falling limb of a
large or an extreme flood, it will be impossible to remove the deposits in the
pond by a scheduled flushing operation later on when the available water flow
will be much less than Q(2).
RES ERVOIR FLUSHING & PASSAGE OF BED LOAD

MODERATE FLOODS: 0(2) < Oriv < 0(20)
POWER PLANT NOT IN OPE RATION
Natural R iver FID"N
Oeposits are Removed
PASSAGE OF B E D LOAD THROUGH THE HEADPOND

MODERATE FLOODS: 0(2) < Oriv < 0(20)
POWER PLANT NOT I N OPE RATION
Fig. 9. 25
Reservoirftushing
and sediment passage
during moderate
floods.
It is of prime importance that the recommended operation strategy for the

pond is followed throughout the rainy season in order to safeguard the pond
and maintaining the daily peaking capacity for the coming dry season.
The power generation losses caused by passage of bed load at a low upstream
water level during floods should be considered the minimum cost (insurance
premium) that the owner has to pay to maintain and re-establish the full
peaking capacity for each dry season.
153
,i
B E D LOAD PASSAGE DURING THE PEAK OF

A LARGE FLOOD: Q(20) < Qriv < Qmax
POWER PLANT NOT IN OPERATION
Deposited sediments LRvvt
Fig. 9. 26
Deposition and
passage during the
peak of a large flood.
BED LOAD PASSAGE DURING AN EXTREME FLOOD

FLOW RANGE : Q = Qmax
Fig. 9. 2 7
Deposition and
passage during the
peak of an extreme
flood.
HEADPOND FLUSHING DURING THE FALL OF AN

EXTREME FLOOD WHERE Qpeak > Q(1 00)
PRESENT FLOW: Q(20) < Qriv < Qpeak
Oeposits are removed
1 54
9.7 Scour Protection Works
9. 7. 1 Principles and common practice

Scour is another word for erosion, indicating removal of smface material by
the current. Scour protection works are designed to avoid damage to structures
due to such removal. Common sites where scour protection is being applied
include outside curves of riverbanks, artificial channels and constrictions,
downstream of sills, etc.
In connection with hydropower development, many rivers are altered and their
discharges regulated and transferred, with the result that new local areas are
being threatened by erosion. Tailrace channels may need protection as well.
Other important areas for protection lie downstream of spillways and at the
foot of dams where uncontrolled erosion may cause great damage and even
risk of dam failure. In regulated lakes, protection against wave action and
degradation of creek outlets are frequently needed.
Traditional scour protection consists of a two-layer covering of the threatened

area. The upper layer, "the cover layer", usually consists of irregularly placed
rocks or artificial blocks, large and heavy enough to withstand the current
under the most extreme discharge conditions. The second layer, called "filter
layer or sub-layer", may serve two purposes. Its primary purpose is to avoid
movement of the natural materials under the protection layer, causing them to
be washed away through the openings between the stones in the cover layer. A
second purpose is to act as a pillow for the coarse cover layer elements, in
order to avoid penetration into and mixing with the original ground, both
during placing of the blocks, and during the later action of the current.
Modern development of scour protection has introduced some quite economic

solutions. In many cases artificial woven fibre materials, "geotextiles", now
substitute the original granular filter layers. The fibre geotextiles may be
placed in single layers or as mats or bags filled with sand, depending on the
local conditions.
Cover layers of blasted rock fragments still prevail, provided large rocks are
locally available. B ut artificial blocks of concrete, sometimes interlocking or
bound together by stainless steel bars, are frequently used in order to reduce
the thickness of the cover layer without loosing effect.
Composite solutions are sometimes found where the function of cover and
filter is combined in one layer. It may consist of one thick layer of well-graded
quarry material, placed directly on the riverbed. In its most complex form,
protection consists of multi-layered mats of fibre material, with sand in-fill,
asphalt etc.
9. 7. 2 Dimensioning of cover layers

Cover layers of rock material may in principle be chosen according to the
theory of critical shear stress described in section 9.2.5. As soon as the
dimensioning shear stress has been determined from hydraulic analysis and
statistical flow data, the minimum size of the cover blocks may be found from
1 55
e.g. Shields' curve, Figure 9.3. This value needs a safety factor to be added
before selecting block size. Other curves have been prepared for direct
selection of the safe dimension.
In many cases, water velocities are more readily available than the shear stress
value. Many curves for practical use therefore use the local velocity as
parameter, but then a correction for water depth is needed as well. Figure 9.28
shows a diagram presenting a combination of codes from USA and the former
USSR, with a separate diagram for depth correction.
For dimensioning of artificial cover blocks of concrete etc., advice from the
supplier or consultant is needed. Special formulae for protection against
waves are available in coastal protection literature, see ref. [4 1 ] .
Correction factor for depth

1 .75
1 .50
v
/
k 1 .25
V
v
1 .00 - V
0.75
f.-V
0 . 3 0.5 1 2 3 45 10
Depth (m)
10
f--
r== u max. velocity
r-- k = correction factor for d e pth
f-- 1/
./
/V�
Fig. 9.28
.....
Practical
dimensioning of cover ....1'
V
layers made of
I--'....
common quany
0.1
o o o
stones with density
o o o o
..- ..-
2650 kg/m3, adopted o o o

ci
li'Ol11 [28]. Particle size , d50 (mm)
9. 7.3 Traditional ilter layers

f
Traditional filter layers are composed of granular materials with grain sizes in
between the base material and the cover layer. Special rules have been
developed in order to avoid both penetration of base material through the
filter, and transfer of filter material through the cover layer. These rules are
defined in terms of grain size fractions of the underlying layer compared to the
overlying layer, and are therefore valid for any interface between two layers.
If grain sizes are denoted by d for the underlying layer and by D for the
overlying layer, the traditional filter rules are as shown below. Both criteria
must be fulfilled for all interfaces.
156
5 · dJ5 < DJ5 < 5 · d85 and D50 < 25 · d50 (9. 1 6)
Layers of granular materials should be at least twice as thick as the largest

stone in the layer, and minimum 0.30 m thick because accurate placing of
thinner layers is difficult.
The procedure for dimensioning of a traditional scour protection is therefore

as follows:
1 . Determine the safe size of the cover layer stones, e.g. from the diagram
above, Fig. 9.28.
2. Chose an available material for filter, and check dimensions against the
filter rules.
3. Check the chosen filter material against the base material, also using the
filter rules.
4. If one or both checks are not satisfactory, try another filter if available.
5. In some cases a third layer between the filter and the base may be
necessary in order to fulfil the filter rules from base to top.
9. 7.4 Use of geotextiles

Geotextiles are now in many cases substituting the granular filter layer. The
fibre filters need to comply with similar requirements as the granular filter, i.e.
preventing escape of base material through the cover layer. In addition it is
necessary to prevent clogging of the filter by base material, since this may
instigate local pressures and cause unwanted local migration and
accumulation of base material underneath the filter.
Geotextiles may be woven or non-woven. The latter include a variety of

products, mostly mat-like fabrics of non-regular, intermingled long fibre
filaments. Rules for dimensioning of geotextile filters have been proposed in
ref. [42] . If 090 represent the filter opening where minimum 90 per cent of
openings are less, the criterion for holding back the base material is as
follows:
For stationary loads:

- 09(/d90 < 1.0 for woven geotextiles
- 09(/d90 < 1 . 8 for non-woven geotextiles
For dynamic loads:

- 091d85 < 1 . 0 is usually acceptable
9. 7. 5 Artificial armour layers

Both granular and fibre filters are difficult to apply according to the strict rules
for satisfactory armouring. Therefore in many cases protection by one single
layer of graded material has been shown to be sufficient. The graded material
of the armour layer forms its own filter, but it is necessary to check against the
filter rules for the base material.
The upper part of the graded layer will contain a surplus of fines that will be
washed out after some time. The remaining coarser material has to comply
with the general rules for stability against scour. If the original graded material
157
contains sufficient coarse particles, the result will be an artificial armour layer
of similar nature to many natural riverbeds. It is possible to calculate the
process of washing out of fines, by applying statistical functions for the
probability of a surface particle to move or rest. A result of such calculation is
shown in Figure 9.29, where the grain size curve of the original material is
presented against the resulting stable armour layer for an imposed shear stress
of 50 N/m2 .
An inherent consequence of using graded material for development of an

armour layer is that some extra material is required. The more fines that have
to be washed out in order to obtain a stable result, the more extra material has
to be dumped, but the cost of the extra volume is often well j ustified due to the
simpler placement.
d50 o r i g i n a l m ateri a l
%
1 00
1/
1/
80
i,...-'
b f.--�
..- 60
Fig. 9. 29
-
Computed stable L--- 40
artificial armour
,/
layerfor shear stress a 20
of50 N/m2
,/ ./
�i--" o
aJ Developed armour
0.2 1 .0 2 3 4 5 10 20 30 40 50 1 0o
layer
G ra m s ize (mm)
bJ Original material. d50 a rm o u r layer
158
10.
HYDRAULIC MODELS
10.1 Introduction and History

Hydraulic models have been used for more than a century for planning and
design of the hydraulic parts of hydropower plants, bridges and other civil
engineering works in rivers, and for coastal and offshore structures as well.
The term "physical model" is rather new in connection with hydraulic

modelling. It has come into frequent use in literature as a means to distinguish
laboratory-based models from mathematical models. A more descriptive
expression also in use is "laboratory model" .
I n a physical model, flow and pressures are simulated b y means o f fluids in a

small-scale version of the topography or structure to be studied (the
"prototype").
Osborne Reynolds designed one of the first known scale models in 1 885 at
Manchester University for study of tidal flow in Upper Mersey. In 1 898 the
River Hydraulics Laboratory in Dresden was established as the first of a long
series of similar laboratories. The most active period in Europe and the USA
occurred from 1 920 to 1 980, when most universities or institutes dealing with
river or coastal hydraulics operated their own laboratories. Since 1 980, high
operational costs, strong competition and introduction of numerical models
have gradually reduced the activities in many model laboratories .
Development o f locally based laboratory facilities in developing countries has
become a new trend, as a result of the fact that most new hydropower projects
will be constructed in these countries in the coming decades.
The use of hydraulic models has its background in two facts:

- Turbulent water flow is extremely complicated to analyse by theory.
Empirical formulae exist for simple cases, e.g. for straight channels and
pipes. However, natural watercourses as well as civil engineering
structures usually include curved or irregular boundaries, such as
constrictions, expansions, diversions, variable slopes, etc. Application of
empirical formulae to such cases can only give approximate answers,
usually not satisfactory for optimal design of civil engineering structures.
Some examples are analysis of flood levels, erosion and deposition of
sediments, and design of bank protection works.
159
Hydraulic Models
- Most hydraulic structures in natural water-courses will need to function for

a wide range of relevant parameters, including normal flow situations as
well as floods, ice formation, sediment deposition and scour. It is
impossible to wait for construction, or anange site conditions that cover
the full range of conditions and parameters needed to document the
success of the structure.
By constructing a topographical model of a river reach or structure, it is

possible to study the main flow parameters, such as flow pattern, slope, and
velocities, in an analogue and visual way. Parameters may be directly
measured in the model or documented by flow pictures (See Fig. 1 0.2). Local
design and construction details may be changed and visually evaluated before
the final design is documented in full.
A model will always represent some simplification of the full-scale case.

Nevertheless, if certain empirical rules for interpretation of model tests are
applied, it may give results with a high degree of accuracy and reliability.
These rules are related to three factors:

- the applied model law,
- the choice of model scales,
- the representation of model boundaries.
The scales and model boundaries have a great effect on the cost of the model,
and the final design of a model will therefore usually represent a compromise
between cost and accuracy.
10.2 Problems Suitable for Laboratory Modelling

Typical hydraulic problems suited for laboratory models include flow of
turbulent water through open or closed conduits with fixed boundaries. For
flow carrying sediments, ice, floating debris or air bubbles, special techniques
have been developed.
In hydropower design, modelling has been in extensive use as a tool for

investigation of problems related to the large construction works such projects
introduce in natural water-courses. It is necessary to optimise the design of
Fig. 10. 1
Spillway des;gnfor
power plant in
Surinam. Photo:
SINTEF.
1 60
Hydraulic Models
such large structures both for cost-efficient production and to minimise

environmental impacts. Traditional hydraulics based on empirical formulae,
together with the designer's past experience, will usually be sufficient for
arriving at a preliminary basic design. However, many structural details can
only be optimised by the trial and error method, using a physical model such
as the one shown in Fig. 10. 1 .
Until sufficiently powerful computers became available, laboratory models

were the only realistic tools for study of alternative designs and varying flow
parameters. In consequence, the limits for operation of physical models were
stretched, and modelling techniques were developed for a wide range of
problems, sometimes wider than the original principles of hydraulic
modelling were actually meant to handle.
In projects where maximum upstream flood levels should be determined, the

design and capacity of the flood spillways soon became an important issue for
hydraulic testing. The developers wanted to minimise the gate and spillway
costs without risking compensation claims for flooding of upstream
landowners.
Other important issues for hydropower models are:
- head loss reduction in feeder and tail-water channels

- design of intakes in order to minimise vortices (see Fig. 1 0.2)
- control of surges and governor stability
- measures to control drifting trash or ice
- stability and overtopping of embankment dams
Using a typical run-of-the-river hydropower plant as an example, problems

studied in models might include:
the overall arrangement of dam, gates and intakes

- backwater and tail-water levels under normal and flood conditions (see Fig.
1 0.3 and Fig. 1 0.4)
- detailed design of gates, head-race canal, intake and tail-water
- capacity of flood spillways and bottom sluices
- design of stilling basins downstream of the spillway
- precise calibration of dam gates and bottom sluices for operational use
- operation of gates during vmious discharges and production pattern
- operation of intake controls during various discharges and production
pattern
- passing of ice or drifting debris (see Fig. 1 0.5)
- passage of ships and boats
- passage of floating timber and trash
fish ladder location and operation
- dynamic pressures on gates and other structures
surges due to load variations
- stability of banks and riverbed against erosion
- safe dimensions for artificial bank and bed protection
- sediment accumulation and removal at reservoirs and intake ponds
- design and operation of sediment excluders
161
Hydraulic Models
II
Fig. 10. 2
Flow visualisation by
time exposure of
paper bits strewn on
the sUlface. Photo: P
Walslag, S1NTEF
In hydropower schemes involving transfer of water through shafts and tunnels,

models have been used to study
- design of brook inlets
- analysis of transition areas between open surface and closed flow
- formation of air pockets
- surges and surge chambers
Mechanical equipment such as turbines, valves etc are usually studied in

special laboratories equipped for model testing at high pressures (see book 1 2) .
10.3 Hydraulic Laboratory Models
10. 3. 1 Full scale models

The only way to obtain full similarity between a prototype and a model is to
construct the model to full scale. This is in most cases quite unrealistic for
studies of large civil engineering schemes. For small details, however, it may
in some cases be feasible to test full-scale copies in a laboratory, because all
parameters will be subject to free choice and under full control in laboratory
conditions. In nature, discharge, temperature and weather conditions will vary
out of control, and the most interesting cases, e.g. extreme floods, are unlikely
to appear at all during the period of study.
Few hydropower details are suitable for full-scale studies. Some examples are
trash rack bars, flow aerators, governor guide vanes for turbines, valve details
etc. Even these details can usually be studied successfully in a moderately
reduced scale model.
1 0. 3 . 2 Scaled models
Most physical models apply some set of reduced scales. This means that some
less important parameters must be neglected, while the more important
parameters will be scaled according to "model laws" that realistically simulate
the most relevant factors for the problem. Scales for different parameters have
to match the physical laws. After choosing one scale, for instance the length
1 62
Hydraulic Models
scale, the other scales will be fixed automatically by the applied model law.
In hydropower engineering, the flow will usually be turbulent and be driven
by gravity as the single important force. The two most relevant parameters
to represent in a model are then geometry and water flow. Friction is also
important, but is usually a direct effect of the form and structure of the
geometric boundary. Effects from viscosity or surface tension can usually
be neglected. When this is the case, a set of scale ratios can be derived from
Froude's model law, and the important effect of gravity on water flow is
modelled accurately. Long experience has developed criteria for deciding
when errors due to the neglected factors are small enough to be acceptable.
In very shallow or nearly non-turbulent water, surface tension or viscosity can

not always be neglected, even if Ft'oude's law applies to the rest of the model.
In a model built according to Froude's law, such regions must be treated
separately by special techniques. One much used trick to reduce the effect of
sUlface tension is to spray the sUlface with detergent. In such a way it is
possible to reduce surface tension effects without influencing the flow in
deeper areas . A disadvantage is that unwanted foam sometimes may appear
below areas of energy dissipation.
A typical hydropower plant model is shown in Fig. 1 0.3, based on application

of Froude's law.
Fig. 1 0.3
Model of Solbergfoss
power plant, Norway.
Reopening of bypass
tunnels (right), for
increase offlood
passing capacity.
Photo: SINTEF.
In some cases gravity is unimportant due to a near horizontal water surface

or external pressures. Model scales can then be derived from Reynolds' law
for viscous conditions, or from Weber's law for surface tension. The three
model laws give very different sets of scales, and can therefore not be
combined in one model. When planning to use a physical model it is
therefore necessary to decide which of the three laws is most relevant for the
problem to be studied.
163
Hydraulic Models
10. 3. 3 Distorted and un distorted models

If the same geometric scale is used in all three dimensions, a normal
undistorted model will result. This is the most common situation for physical
models, and the simplest models to operate and analyse.
However, many rivers are wide and shallow. An undistorted model will then
either result in very shallow water flow, if the model scale is small, or a model
with very large horizontal dimensions, if a large enough scale is chosen to
give enough water depth. As a compromise, it is sometimes possible to use
different scales for horizontal and vertical lengths. This gives a distorted
model. It requires special handling of some parameters, mainly the bed
friction, but used by experienced personnel, it can improve the results of
modelling of shallow water bodies and rivers.
Models of tunnel systems with shafts and branches will often require
distortion because of disproportion between tunnel diameters and tunnel
lengths (see 1 0.4.2).
10.4 Model Laws for Scaled Models
10. 4. 1 Common principles

Model relations are derived from dimensionless combinations of relevant
parameters. Any dimensionless equation may in principle be used to create a
model relation, if we insert their scaled-down values instead of the real
parameters.
All model studies using reduced topographical scale will have to neglect some
less important parameters in order to simulate the more important parameters.
In hydraulics of incompressible flu ids, three dimensionless numbers are
particularly important, because they relate velocity and length to the influence
of gravity, viscosity, and sUlface tension respectively. Using V for velocity, L
for length, g for acceleration of gravity, p for fluid density, v for kinematic
viscosity, and (J' for smface tension, these numbers are:
Froude's number: Fr =
V/�
Reynolds' number: Re =
V · L lv
Weber's number: We =
p . V2 . L I (J'
By far the most common model law used in hydraulic modelling is named
Fl'oude's model law. It relates gravity and inertia forces, neglecting viscolls and
smface tension forces. Model laws based on Reynolds' or Weber's numbers
may be applicable in some special cases, but this is not discussed further in this
book because of the limited relevance of such modelling in hydropower
engineering. Further description of sllch models can be found i n [44] to [48] .
10.4.2 Froude 's model law

Froude's model law is obtained by equating the model and prototype versions
of Froude's number. Using index p for prototype, m for model, and r for scale
164
Hydraulic Models
ratio, such that say the length scale ratio is given as Lr = LIII / Lp , the following
equations result:
VP I �g P
· LfJ = V
III
l .Jg 11/
·L 11/
Vr / � = 1
The model is subject to normal gravity, hence gr = 1 , and the model law
reduces to
v,. = JL: ( 10. 1 )
In words: the velocity scale becomes equal to the square root of the length
scale. Other scales are found by combining Lr and Vr see Table 10. 1 (T = '
time, Q = discharge, A = cross-section) :
Parameter Formula Scale ratios Example: Example:

in term.s of L, L, = 1 /50 L, = 1 /1 00
Length L L Lr = 1 /50 Lr = 1/1 00
Velocity V = UT V = Lr1l2 Vr = 1 /7.07 Vr = 1 /1 0 Table 1 0. 1
Time T = UV Tr = L,I Lr1l2 = Lr1l2 Tr = 1 /7.07 Tr = 1 /1 0 Scale ratios for
Discharge 0 = AV = L2V Or = L,2 Vr = Lr5/2 Or = 1/1 7678 Or = 1 /1 00000 undistorted models.
Two important points can be noted:
1 ) Velocity and time will both be reduced less than the length, such that the
model flow visually will appear swifter than in the field (see Fig. 1 0.4).
2) The scaled discharges are small enough to allow for simulation of
comparatively large floods using commercially available pumps. (A 1 000
m3/s flood requires only 1 0 lis in a 1 : 1 00 scale model and 56.5 lis in a 1 :50
scale model).
Fig. 10. 4
Model (aJ and
prototype (bJ. Design
offlood deflector in
the spillway for
Vamma power plant,
Norway. Photo:
SINTEF.
Froude's law is also the basis for distorted models, using different horizontal
and vertical length scales. Distorted models can only be used for rather simple
topographic situations and flow situations. The velocity scale will relate to the
1 65
Hydraulic Models
vertical length scale H, i.e. V, = H/12 , since gravity acts vertically. The
'
discharge and time scales become more complicated: Q, = L, H, V, = L,H/12
and T, = L,I H/12 for the horizontal motion.
Oscillations in tunnels are driven by gravity, and F1'oude's model law will
usually apply. However, because of disproportion between tunnel diameters
and tunnel lengths, models of tunnel systems with shafts and branches will
usually require distortion In a period before numerical models came into use,
some complicated tunnel systems were therefore modelled according to a
special set of equations called Durand's similarity rules. These rules imply
Froude's law, but allow for distortion of both diameters and tunnel geometry.
Textbook references are not known, but examples may be found in old reports.
10.5 Problems Requiring Special Modelling Techniques
10. 5. 1 By-passing of logs and trash

Log floating was once an important means of transporting timber, and old
rights of passage had to be taken care of when constructing dams or diverting
water. Design and testing of log by-pass often required tedious model studies
in rather large models. Length scale 1 /50 was quite common for Norwegian
run-of-the-river plants. The logs could be scaled by the geometric length scale
and made of wood, since the density scale was 1 : 1 as for the fluid.
In recent models, the same scaling rules have been used for study of trash
passage through spillways, gates and bridge openings. Trash accumulation has
come into focus as a potential cause of reduced spillway capacity due to
clogging during major floods, resulting in serious dam safety problems.
10. 5. 2 Ice problems

Ice has caused much trouble for run-of-the-river plants in Norway and other
cold countries. The problems are of two types: those caused by accumulation
or passing of drifting ice in a passive state, and those connected to ice
formation under freezing conditions.
The drifting ice can be modelled according to similar principles as logs, but
model tests using real ice are difficult to operate. Instead, many model studies
have successfully used artificial materials of the same density as ice, usually
plates of wax or plastic, cut or chopped to suitable dimensions to simulate
floating ice of various type from blocks (See Fig. 10.5) to small ice fragments
or even small lumps of frazil.
Problems with freezing ice can not be studied in models at normal indoor
temperatures, but some flume studies have been arranged in cold rooms in
order to analyse some of the complex principles which apply to ice formation
and movement in rivers under sub-zero ambient conditions.
10. 5. 3 Oscillations
Transient problems such as oscillations in intake ponds, tunnels and surge
shafts can be studied in physical models, but special rules for distortion are
usually necessary when long tunnels with normal diameters are involved. Very
1 66
Hydraulic Models
Fig. 10.5
Wax plates used as
artificial ice in the
model of BUlfell
power plant, Iceland.
Diverted waterflows
under the wall
towards left. The
main spillway is
towards right. The
trough is designed to
skim off ice in front of
the diversion and
discharge it back to
the riVe!:
Photo: SINTEF.
spectacular physical models were once constructed for simulation of surges in

tunnels with many communkating shafts. This type of problem was among
the first model problems to be analysed by one-dimensional numerical
programs, and laboratory models of this kind are not in use any more.
10. 5. 4 Sand in intake ponds and sand traps

Heavy sediment load is rare in Norwegian rIvers, except during extreme
floods, because of predominantly hard bed rock or glacially formed
topography in the catchment area. The riverbed will therefore usually be
rather stable under normal flows. Natural riverbeds may undergo severe
changes during extreme floods, however, and local bed changes may occur
near structures placed in the river. In many other countries with different
geology, coping with sediments is often one of the most important issues for a
hydropower project. When appropriate, special models using movable bed
materials are used to study riverbed changes under varying discharges.
Much effort has been made to find reliable methods for the study of flushing
and diversion of sediments in models. Sediment handling may be decisive for
operation and economic lifetime of a power plant. Sediments will accumulate
in intake reservoirs unless removed by hydraulic or mechanical methods.
Suspended sediments passing through the power plant intake need to be
settled out in sand traps and diverted before reaching the turbines, as discussed
in Chapter 9.
The model scale for particle size Dr depends on both the length scale L,. and
the scale of submerged density of the particle (Ps Pw),., where Ps and Pw are
-
the densities of particle and water respectively. For particles moving along the
bed the expression for diameter scale becomes
(1 0.2)
In steep rivers with mainly coarse material, both moving material and river
bed particles may be simulated by natural sandy material of the same density
167
Hydraulic Models
as in nature. In this case the density scale IS 1 : 1 and the diameter scale
becomes equal to the length scale.
This is not possible with finer material, however, because the scaled-down
particles will be so small that the similarity is lost. The main reasons for this is
- particles of silt size and finer are bound together by cohesive forces
- particles smaller than the boundary layer thickness of the flow are not
simulated correctly.
In practice the smallest model particle size is usually around 0.2 mm. This
means for example that natural material can only be used to model gravel
sediments larger than 10 mm in a model with length scale 1 :50. A method to
overcome this problem is to use particles of lighter material than sand.
Frequently used materials are various plastics, crushed coal etc.
For a plastic material of density 1050 kg/m3 the submerged density ratio (Ps -
PIV) r in relation to sand of density 2650 kg/m3 will be 0 050- 1 000): (2650-
1000) = 1 : 35. In a model with length scale of 1 : 50 as example,
then Dr = Lr / (ps - pw)1' = ( 1 :50)/( 1 :35) = 1 : 1 .4, allowing for modelling of
natural sand, using larger plastic particles. In that way both cohesion and
boundary layer problems may be avoided, but other problems arise. The
exaggerated size of the artificial particles influences the bed roughness, and
the usually rounded form of plastic particles creates a very unstable bed in the
model, affecting the stability of slopes etc.
10.5.5 Air accumulation in. tunnels

Intrusion of air into hydropower tunnels is known to cause several problems,
e.g. head losses, explosions due to escaping compressed air, and nitrogen
absorption. Because air is compressible, air is difficult to simulate in scaled
models. Some local problems have been studied with good results, such as air
accumulation in tunnels just downstream of steep shafts with air intrusion.
These studies have guided the design of many brook intakes in order to reduce
intrusion of air or violent escape of accumulated air.
Model studies have also been used to document how elongated, unstable air
pockets may form under the tunnel ceiling, causing extra head loss and
sometimes unstable flow conditions.
10.6 Model Calibration

Calibration is an important part of a model study. Neither physical nor
numerical models can usually give correct answers without initial adj ustments
in order to bring the model result into correspondence with known values
from the prototype.
In a physical model, built for one particular case study, calibration will usually
involve known combinations of water level and discharge, and adj ustments
will include small modifications of boundary conditions such as surface
roughness or downstream water levels. The changes can be introduced
manually in the model, such as the one shown in Fig. 1 0.6.
168
Hydraulic Models
Fig. 10.6
Artificial sUlface
l'Oughness afterfinal
calibration of the
model of Hmpefoss.
The I'Ock elements
simulate a vel)'
rugged P 1'0totype
sUiface. Photo: Pel'
Walslag, SINTEF
A numerical model study will usually be based on a commercially available

computer program which has to be adj usted to apply to the problem in
question by introduction of relevant boundary conditions. Calibration of the
applied model version can be done by using the same type of available site
data as for calibration of a physical model.
A general numerical program, on the other hand, will not have a particular
prototype, but be made to suit a variety of related problems. During
development, it is necessary to test or "calibrate" the program against real
cases. In combination with data from real field cases, a laboratory model may
conveniently be used for this calibration, since it offers a possibility for
1 69
Hydraulic Models
introduction of a great variety of parameter sets. Such use of laboratory

models, either built for the sole purpose of developing the program, or being
available later for a project test, could be an important task for hydraulic
laboratories in the future.
10.7 Hydraulic Laboratories

Many hydraulic laboratories investigating hydropower projects were
established around the world, mainly in countlies with plans for future
hydropower development. Some were private institutes, other were linked to
universities. The laboratories needed continuous utilisation in order to
maintain their costly installations and staffing. Competition for projects in
countries without own laboratories gradually became strong. As the most
active period of hydropower development faded out, and the numerical
methods gained force, many active laboratories became inactive or were
down-sized to suit purely educational purposes.
A SINTEF associated hydraulics laboratory was established at the Norwegian

Institute of Technology in 1 958 in a new building with the best modem
equipment of the time. It replaced a small student laboratory, which was no
longer able to handle the rising demand for laboratory studies following the
post-war expansive period in hydropower development in Norway. The
laboratory was gradually expanded in order to cope with increasing demand,
including investigation of harbours. The laboratory is now operated by
SINTEF Fisheries and Aquaculture, but is also serving river problems when
needed.
10.8 The Future of Hydraulic Models

When numerical programs recently became available, offering a fast way to
perform some types of calculations in time and space, some problem types
were soon removed from the laboratory modelling agenda, because they were
found easier to study by numerical models. Linear problems such as surges in
tunnel systems and backwater levels upstream of dams were among the first to
be applied to numerical models (before 1 970).
At the ASCE conference "Modelling '75 " in San Francisco, a wave of

optimism about the nearly unlimited possibilities of numerical models was
expressed, and some participants advocated the thought that numerical models
could entirely substitute the laboratory models in the near future. Others were
more realistic, talking of combining the two techniques.
Much effort has since been made in order to apply three-dimensional

numerical models to study of details of hydraulic river structures. Simple
structures with well-defined boundaries like overflow sections, expansions
and contractions, diverging or merging channels, can now be analysed for
effects of friction and shape. Curvilinear flow where diffraction and secondary
flow structures are dominant is still difficult to represent numerically.
A gradual reduction of the market for traditional model laboratories has

occurred, both because the numerical methods have become useful, but also as
a result of declining hydropower development in many parts of the world.
170
Hydraulic Models
Combinations of numerical and physical modelling will be the standard

option for many future projects. It is expected that numerical methods in the
future will be used for the general analysis of a project, leaving details not
applicable to numerical computations for physical modelling. The result is
that numerical models will be used first in the planning and preliminary
design process, while physical models will be used later to test and document
the success of these designs, and make design modifications.
10.9 Principles of Numeric Modelling
10. 9. 1 Numerical methods

Partial differential equations, like Saint-Venant's equations, are usually
impossible to solve analytically, so numerical methods are often used. Two
main approaches are the finite difference method and the finite element
method. The finite difference method is discussed here as it is commonly used
in one-dimensional hydraulic computer programs. In this method the idea is to
discretise the differential equations to make algebraic equations. For example,
if we have a function/varying in time and space (t and x), we may write
�/(x, t) '"
! [r(x + h , t ) - /(x, t)] ( 1 0.3)

ax h
and
alex, t) 1
---"----'-
----'- ---'-- "" - [r (x, t + k) - /(x, t) ] ( l OA)
at k
where h is the distance step size and k is the time step size.
Numerical methods are prone to suffer from instability in the calculations.

Therefore, numerical schemes are designed to obtain stability and
convergence as often as possible. This means that small perturbations in the
initial condition, or small errors at any time, remain small at later times and
that the approximate solution converges to the exact solution as the distance
and time steps approach zero.
For many numerical approximations, certain conditions need to be fulfilled to

assure stability and convergence. One such condition can be that the time step
must be smaller than a certain value for a given distance step (i.e. a decrease
of the distance step may demand a corresponding decrease in time step). If
such a condition is not fulfilled, a simulation may "crash", i .e. stop before it is
executed, or the simulation may finish, but be inaccurate and produce results
which include umealistic oscillations (see Fig. 10.9).
On the other hand, numerical simulations may sometimes artificially yield a

smoother distribution than is real. For example, large gradients in
concentrations of a chemical may be underestimated due to so-called
numerical diffusion, i.e. a flattening of such gradients due to the numerical
interpolation which is a necessary feature of the model. When one pushes the
software to its limits, one should keep in mind that some rather radical means
are sometimes applied to avoid "crashing" and numerical oscillations, and this
can make the results umeliable.
171
Hydraulic Models
There are different numerical schemes for the finite difference method, and
the schemes can be explicit or implicit. In explicit schemes, the function's
values and derivatives in each point in the new time step are found directly
from the values in the preceding time step, see Fig. 1 0.7 a). Implicit schemes,
however, use the function's known values in the preceding time step, but also
the unknown values at neighbouring points in the new time step, see Fig 1 0.7
b). Since the function's values at a given point are dependent on other
unknown values, a set of equations is fOlmed. This set of equations can be
solved by matrix methods if the boundary conditions are known. The
advantage of the more complicated implicit methods is that they are always
stable, which allows for larger time and distance steps and hence less
computation time! .
a ) Explicit (x,t+k) New time

step
Fig. 1 0. 7
1
Previous
f
Examples of diferent step
(x-h, t ) (x,t) (x+h , t )
types of numerical
schemes. a) An
explicit scheme: The
value of the function
in x at time Hk is
foundfrom the values b) I mpl icit
in points at time t. (x,t+k) New time
b)An implicit scheme: step
The value of the (x-h , t+ k) (x +h , t+ k)
function in x at time
Hk isfoundfrom the
values in x-h at time
Hk, in x+h at time
1
Previous
(x, t ) step
t+k and in x at time t.
1 0. 9. 2 1D-, 2D- and 3D-models

I D-models simplify the reality by using the fact that the longitudinal velocity
of river flow dominates the flow perpendicular to the main flow direction. The
water velocity at any point in a given cross-section is then set to the discharge
divided by the cross-sectional area. I D-models are the only ones which have
been extensively used i n practical applications of river flow simulations so far.
Some of the first programs, like HEC-2 (now replaced by HEC-RAS), were
for steady fl ow, i.e. without variation over time. Software like HEC-RAS,
DAMBRK and MIKE 1 1 also allow for unsteady flow and even dam-break
wave simulations.
I A general Preissmann scheme, or weighted four-point scheme, is something bet1Veen a pure

implicit and pure explicit scheme. For example, the spatial derivative is a 1Veighted average of
the implicit and explicit 1Vay offinding the derivative. A varimlt of this scheme is used in the
DAMBRK software.
172
Hydraulic Models
2D- and 3D-models have been developed and used, and obviously produce
more accurate results provided that sufficient input data is available.
Especially when a river inundates floodplains, the flow cannot accurately be
treated as one-dimensional. This is because the friction usually is much higher
and the depth smaller on the floodplains, causing the water there to flow
slowly and sometimes be inactively stored. 2D-models, and especially 3D
models, can simulate the turbulence in a satisfactory way using for example
the advanced k-£-model, which is the most advanced turbulence model in
current use by the engineering profession.
Other processes, like sediment processes or biological and chemical processes

related to water quality, can be modelled in I D-models . However, more
reliable results can be expected to be found using 2D- or 3D-models. The
problems in using 2D- and 3D-models are obtaining sufficient geometric data,
the computational power required and the complexity of the models. However,
the use of 2D- and 3D-models is likely to increase in the future. Examples of
programs are the finite element Telemac software with both 2D- and 3D
versions, finite volume models such as MIKE 21 from the Danish Hydraulic
Institute [50] and the 3D software SSIIM, developed by Nils Reidar Olsen at
NTNU, in Trondheim, Norway [5 1 ] .
1 0. 9. 3 1D river modelling
Since most engineering problems are still being solved with the use of the
simpler 1 D-models, this book will describe only this type. The procedure
when using 1 D-models is usually data gathering, model set-up, calibration and
simulation. The modelling task may for example consist of:
- the production of a map of inundated areas for a flood with a given return
period
the downstream effect of rapid manoeuvring of dam gates
assessment of flood mitigation measures
- the simulation of a dambreak wave
- an evaluation of the impact some structure causes on the river flow
- water level/velocity simulations
- ecological studies
The necessary inputs to a typical 1 D-model are cross-sections, boundary

conditions and initial conditions. Cross-section widths are calculated for
different elevations so that the cross-sections are made symmetric. The cross
sections should be extracted so that they are representative for the river (see
Fig 1 0.8). The location of each section is such that the model assumption of
linear transition in shape between sections most accurately represents the true
river geometry.
'?iver
Fig. 1 0. 8
Suitable placing of
Cross sections ------./
model cross-sections.
1 73
Hydraulic Models
Boundary conditions need to be applied in the upstream and downstream

ends, and can be a constant value or a time series of discharge or water levels.
Typically, one may assume constant water level where the river reaches the
ocean or a lake and the upstream boundary condition is a time series of
discharge, for example a flood being released from a dam. Also, information
about structures like dams, weirs, culverts or bridges must be specified. An
initial condition can either be specified as water levels and discharges at
specific points in the river or the program may obtain a stationary initial
condition.
Calibrations of the model against known events or data should be made

whenever possible. Sometimes, one can use rating curves from water level
gauges in a river, or flood level marks from a historical flood. Flood marks at
different locations along a river from a historical flood can be used to assure
that the water line can be reproduced by the model for a given discharge. This
calibration is especially useful if estimates exist of the actual flood discharge.
When calibrating, the main tuning parameter is often the Manning coefficient
assumed at different reaches of the river. Also, if the river bed profiles are
uncertain in some places, one may adjust them within the uncertainty in the
calibration process. One may also i n the calibration process wish to change
how some structure is treated in the model.
One should avoid blindly believing the simulation results and keep in mind the
unceltainties embedded in them. One source of error is the estimate of the
Manning number, especially if the flow on flood plains or in densely vegetated
terrain is simulated. In a I D-model, it is important that the cross-sections are
representative for the river. With a finite number of profiles, this will always
be a source of error. When the flow is strongly unsteady, as in a dambreak
wave, one should be aware of especially large uncertainties in the results. In
these cases, numerical oscillations in discharge are not unusual, see Fig . 1 O.9.
The uncertainty is also large in steep rivers where large F1'oude numbers
occur, especially when the flow gets supercritical. Not all software treat
transitions between sub- and supercritical flow well.
1 00000
90000 ----I
80000
70000
"
60000
1
Fig. 1 0. 9 �
g> 50000
ro
J::
A typical example of U
�
is 40000
1U1Inericai
oscillations, 30000
especially around the 20000

maximum discharge 1 0000
in this hydrograph
0
from a dambreak 2 3 8
wave simulation. . Time (hours)
1 74
Hydraulic Models
10. 9. 4 Examples
A water line which is simulated in the I D-model MIKE 1 1 and how it
compares to water level measurements is shown in Fig. 10. 10. The axes are
distorted, so the river actually has a small gradient. In this project, a part of the
river was to be changed, and different cross-section shapes and different weir
shapes were analysed in the model. Flood levels, aesthetic water smfaces
upstream of weirs and the possibility of sedimentation and growth of algae
were the most important aspects.
103,2
103 •
102,8
102,6
�
1 102.4
Qj -MIKE 1 1
� 102,2 • Measured
� 102
GO
101,8
101,6 Fig. 10. 10
A water line which is
101.4 simulated to calibrate
101,2
o 200 400 600 800 1000 1200 1400 the model against
Distance (m) measurements.
An example from a dambreak simulation is shown in Fig. 1 0. 1 1 . It shows

hydrographs downstream of a dam-break as simulated in MIKE 1 1 . The wave
is attenuated as it travels downstream, so a hydrograph farther downstream than
another, has a later and smaller maximum if the initial discharges are equal.
"Sharp" hydrographs where the discharge rapidly increases and then rapidly
decreases, are usually strongly attenuated. Such a hydrograph is produced by a
nearly-instantaneous dam-break of a concrete dam with a small reservoir where
the water level quickly is decreased. On the other hand, a slow dam-break of an
earth dam with a large reservoir will typically have a culmination discharge out
of the dam which is not as strongly attenuated in the liver downstream.
1 6000
14000 I
-20 km downstream of dam
I
1 2000
1-
28 km downstream of dam
37 km downstream of dam
en 1 0000 I j �45 km downstream of dam
'1 t-
Q)
�
.r:.
8000
u
'"
C 6000
4000
2000 I Fig. 10. 1 1
o
I I
Hydrographsfrom
00:00 01 :00 02:00 0 3 :00 04:00 05:00 06:00 07:00 08:00 09:00 1 0:00
a dam-break
Time after dambreak (hours : minules) simulation.
175
APPENDIX A
Reprint from The Norwegian Regulations for Planning, Construction and

Operation of Dams, Part II: Rules and Recommendations, Chapter 8 .
Reprinted with permission from: The Norwegian Water Resources and Energy
Directorate (NVE), Norwegian University Press.
The regulations consist of two parts, designated "Regulations " and "Rules
and Recommendations ". Both parts shall be regarded as legally binding
regulations in intelpreting the administration of the law.
The first part contains the general regulations governing the application,
executing authorities, approval procedures, distribution of responsibility,
conditions for calculation of loads and floods, design and construction
principles, and peljormance requirements for complete dams and their
component parts.
The second part contains the more detailed requirements for the selection
of loads and calculation offloods, and for the design and construction of
various types of dam and the individual parts. Appendices to this part of the
regulations contain info rmation on hmv the pelformance requirements
specified in the first part can be met, and recommended methods of
calculation and construction are described.
1 77
Appendix A
DESIGN AND CONSTRUCTION OF

SPILLWAY AND DIVERSION WORKS
A.I General Comments

Control devices used in spillways or by-pass structures should be of well
known and proven design. New designs shall have undergone thorough
testing, preferably supported by laboratory studies before being accepted.
To ensure that the control devices perform under all circumstances, the
climatic conditions, location and accessibility shall be considered. Gates and
valves that are electrically driven shall be equipped with mechanical or
manual back-up systems, depending on the conditions.
A.2 Spillways
For this section see reference [I] , from which a number of the figures shown in
this chapter have been taken.
A . 2. 1 Capacity requirements
Wherever an open channel spillway is possible, this design shall have
preference over shaft spillways or syphon spillways. In the case of shaft
spillways and syphon spillways, it is necessary to be especially careful in the
selection of type, location and design. This applies particularly to catchments
where large amounts of floating material, especially timber or ice, can be
expected during major floods.
The capacity of a spillway will be reduced if the water depth upstream of the
crest is small compared with the water depth at the crest. This effect, the
approach conditions and downstream slope shall be included in the design and
reliability considerations. An evaluation shall also be made of the possibility
of floating debris, such as ice, timber and floating peat, piling up upstream of
the spillway crest and blocking it. Measures required to avoid such blocking
may include different types of booms upstream of the spillway, located in
sufficiently deep water for the flood to pass. The distance between bridge piers
at the spillway crest should not be too small, to reduce the risk of timber and
ice blocking the spillway.
In selecting sites for spillways, the possibility of snow or avalanches closing

off the spillway or the flowchannel upstream or downstream of the spillway
crest shall be investigated.
In special cases, automatically opening auxiliary spillways, or plate or

beamsections which can be removed by blasting may be considered.
178
Appendix A
A.2.2 Ungated spillways

The spillway shall preferably be designed with a standard Ogee spillway crest.
- - - - - - -
..cJ.. -
�- - - - - - - - - - - - '-
Energy level (still water level in the reservoir)
-----
,r y
,.J : �
Discharge (design flood): Q = Co ·L· H03l'
Approach velocity: Vt 3,o C U ,

�o :
=
L (P )
,
.Ql �
. � a.
I
VeloCIty head ht �
L'2g(P+h)'
o !O � : x
=
Fig. A . I
'--\-- =..�
' ""
�
",- - - - - -
Crest length = L __
Standard Ogee crest
profile. Definition
sketch. (From [l})
The profile downstream of the crest apex, given in Figure A l is defined by the
equation:
(A I )
i n which K and n are constants whose values depend o n the upstream

inclination and on the velocity of approach. Figure A2 and A.3 give values of
these constants for different conditions.
0 . 54
I
� 0 . 52
Slope of
the u pstream face
0 . 50
0 .4 8 I----+---+----j-- I
Fig. A.2
0 . 46 Values of K as a
o 0 . 04 0 . 08 0.12 0.16 0 .20
function of the
ht velocity head. (from
Ho [l j).
1 79
Appendix A
1 .90 �----�----�
Slope of the upstream face
c 1 . 85 �----��----+---�
3:1
1 . 80
3 :2
3:3
1 .75
Fig. A.3
Values of n as a
1 .70
function of the slope
o 0 . 04 0 .08 0. 1 2 0.20
of the upstream feca
and the velocity head.
(From [Il)
The spillway capacity is determined b y the following formula:
(A.2)
�
, 2,20
/
2, 1 0
-/I --�
2,00
--- -I-
1 ,90
/?
/?'T
/? /?
?'T
/7/?///
�
Fig. A.4
Discharge coefficients 1 ,80 II
II
for heads equal to the -----
design head, as a
1 ,70
function of the o 0,5 1 ,0 1,5 2,0 2,5 3,0
approach depth, P P ___
..
(From [ll) Ho
The coefficient C o is shown in Fig. A . 4 for a head, Ho, equal t o the design
head, and as a function of the approach depth, P. The curve in Fig. A.4 is for a
vertical upstream face and assumes that the downstream flow conditions do
not affect the capacity. If this is not the case, then the following corrections to
the C-value apply:
(A.3)
1 80
Appendix A
in which each of the coefficients apply to the following conditions:

k, is a correction for heads other than the design head (see Fig. AS).
k2 is a cOlTection for sloping upstream face ( see Fig. A.6).
k3 is a correction for tailwater effect on the flow over the weir crest
.�
( see Fig. A7).
k4 is a correction for downstream apron effect (see Fig. A8).
-- ---- - --- -�-- . �� - -
�
�-=--!--
1---- --- - - - - - ----- - - - - -
- ----- - - --1-1--1- :--_-b-i--I-:::;:
:: -
::
- -_�-
1 .0 ..-l-
0 r
I
-
u u v-
I
:...-....
- .. n
LI'0
II - H. n . f---
.:,<- V ; H a f---
./ I
,/
f---
0,9 r----
V
r----
./ /7,1 � r--
./ 1 , 1 1 1 1 1 1 1 Fig. A.S
0,8 /- 1- - 1-'-- 1 I I I Correction for heads
0,2 0,4 0.6 0.8 I,D 1,2 1,4 1,6
other than the design
head. (From [1J)
�
1
1 . 04
-- ,- - -- - - - , h
'\ $1o", "
�. �
3:3 .....
--
"- H 3'1 - - - 1 8·26'
�:
:
�-R
3:2 � ... 3 2 - ' - ' - 33°4 1 '
1 .02
� "
45·00 '
'"j'...- � ' - . -' -�0-,�0-,

3:3
.
OJ
c co
() ' - . :- , � . -
a.
0
1::
3:
1�7 - . +- .!.
Slope of
-upstream
- face .=y j'-<=::.:::: - - .J ..L. �J:..� ::.: __ __
(j) � 1 .00 I' -
-
_
() () �
,
_ Fig. A.6
�
N
Coefficient of
0 , 98 discharge of sloping
o 0.5 1 ,0 1 .5
P upstream face. (From
Ho [1])
1.0
I
--
-- ------ --
/
0,8 /'
'0
OJ
e' 't
OJ
?;
0
OJ
0,6
-
V ---- -
>
-"
E
"
0
OJ / 1 - _1 - - - - - - - �
-�
'" �
U "-
O Ha
V 0.4
.>l
I!.,
/ p d_
I
f--
I __
0,2
7/ /7///7//
/777;;:"r---
-f- ----- I I
--I I -\-
-
- -
Fig. A. 7
0 Correction for
0,1 0.2 0,3 0.4 0,5 0,6 0.8
tai/water effect.
---�
(From [1J)
181
Appendix A
1.00
j
I ;:
'0 0
Q) 'i=
m � 0.90
<lJ
Q) >
�
E 0
-" Q)
:> Q)
", .t
U O
U
- -- - 1
Fig A.8
Correction due to
1.1 1.2 1.3 1,4 1.5 1.6 1.7 1.B
downstream apron
hd +d
effect. (From [1 J) -- ---.,
Ha
The discharge coefficients above do not take into account any side
contraction. For sharp corners, the contraction may be assumed to reduce the
effective crest length by 0. 1 .n .Ro, where n is the number of contractions. For
well rounded corners, contraction may be ignored.
Where the direction of flow is not at a right angle to the crest, or where
reliable calculations for spillway designs are difficult, then it may be
necessary to check the capacity by hydraulic model tests.
A.2.3 Gated Spill-ways

Gated spillways may be designed as spillways with gates at the crest, or, in
exceptional cases, as bottom sluices provided with gates or valves.
Before permission to use a gated spillway can be granted, the consequences of

possible malfunction shall be investigated and an acceptable solution shall be
presented.
For gated outlets, the discharge may normally be calculated using the formula:
(AA)
The coefficient C is given in Fig. A.9. When the gate opening approaches 2/3
of the upstream water depth a transition to free smface flow occurs and,
formula A.4 does not give correct values. Formula A.2 should then be used.
If there is a need to know or record the rate of discharge very accurately, it

may be necessary to carry out model tests, in which the effect of the shape and
length of the side walls are tested as well as the radius and inclination of the
gates and location in relation to the crest.
1 82
Appendix A
.---.------ ----. -------r ---.------ h----+--_

-.- � '--.-1 -- ----------,
2, 1 5
t t
, 1 0 +-------'l�--+_--_I- 2
2 1 1'1
� ,
777/7/,
U
+"' 2,05 +-----1---+---""'110..--�-
C
Q)
v
� 2,00 -+---1---+-----1--",;::--+---1
Q)
o
V
Q)
en
1.- 1 ,9 5
10
..c
v
VI
o l ,90 4----1---+---�--_r--�
Fig. A.9
o 0, 1 0,2 0,3 0,4 0.5 0,6 0,7
Discharge coefficient
R e l ative g ate o p e n i n g
forflow under gates.
(From [1])
A . 2. 4 Conduit Spillways
If the channel downstream of the crest is a conduit, such as a shaft or a tunnel,
special care shall be taken in establishing the capacity, and close follow up
during construction is important.
The consequences of an increase in dishcarge above the design discharge or a

reduction in the capacity is drastically different in the case of a conduit
spillway as compared with an open channel spillway. Fig. A. I 0 shows that an
increase in the discharge by L1Q only causes a small rise, L1H " in the water
level for an open channel spillway, but can cause an unacceptably large rise,
L1H2 , in the case of a conduit spillway.
The design calculations shall be based on a probable coefficient of roughness

and on the minimum tunnel cross-section area for each reach of tunnel,
without taking into account any increase in the cross-section as a result of
overbreak.
Discharge calculations for conduit spillways will always be somewhat

unreliable, partly as a result of the air entrainment. Because of the possible
consequences, design calculations should not be based on the full conduit
cross-section. The reduction will depend on the uncertainty in the
calculations. If air entrainment is not taken into account, the design discharge
should not exceed 0.7 times the estimated maximum capacity. When checking
for exceptional loads, it is normally reasonable to accept a slightly smaller
safety margin.
The inlet to the shaft shall be rounded, so that the inlet does not limit the
overall capacity.
Geological investigations and inspections shall be carried out for the full
length of the tunnel, before and after the excavation work. When deciding on
support work and concrete lining, energy dissipation and pressure pulsations
1 83
Appendix A
within the conduit must be considered, especially at points of change in

direction of flow. Concrete lining should not be terminated at points of major
changes in the direction of flow or where pressure pulsations can be large.
A\
H, _-_-_-_-_-_-_-_-_-_-_-_-_-_-_-_-_-
I
<l
A. Rise in water level at a free overflow crest. B. Rise in water level for shaft spillway,
flowing full.
H _-_-_-_-_-_-_-_-_-_-_-_-_-_-_-_-_-
Range where the capacity
in water level
of the shaft determines the
rise
Fig. A. 10 - A, B and C Range where the free

overflow crest determines
Rise in water level at the rise in waler level
a free overflow crest, Q
shaftflowing full and

combining free
overflow crest and
C. Rise in water level,
shaft· combining free overflow crest and shaft.
A.3 Submerged Bottom Outlets and Diversion Works
A . 3. 1 Specifications for sluicing devices

Gates or valves are normally used as sluicing devices in diversion works. If
these are damaged it may be impossible to control the discharge, so that this
discharge may cause flood and erosion damage downstream. If there is a
question of danger to human life or other unacceptable consequences, then the
choice of type and design shall be the most reliable, assuming the most
unfavourable loads that may occur.
Installing two gates or valves in series shall always be considered for

improved safety. Such an arrangement may be necessary to reduce danger to
human life or other unacceptable consequences, but may also be necessary for
repair of damage and general maintenance during the lifetime of the structure.
1 84
Appendix A
Vibration and cavitation are the most frequent causes of damage to gate
structures, and the probability of damage increases considerably with
increasing head. The operating time is also an important factor, because
damage does not usually occur suddenly, but develops over time.
The present state of knowledge makes it difficult to determine the overall

reliability of gate structures subject to head exceeding 60 to 70 m. Laboratory
testsmust be based on reproducing both the hydrodynamic forces and the mass
oscillations of the gates. Such tests are possible, but are still very expensive,
and there is only limited operating experience for verification of the test
results. The results must therefore be assessed critically in relation to the need
for reliable peIiormance.
The most important factors for the choice and design of gates or valve
structures are the head, location within the dam or tunnel system, and the need
for air supply.
Gates shall preferably be located so as to achieve free sUlface flow

downstream of the gate. For long discharge tunnels, back water curves shall be
established based on the most unfavourable assumptions concerning
roughness, air entrainment and tailwater depth at the outlet.
Three types of gates are being used in diversion works: roller gates, sliding
gates and radial gates.
A . 3. 2 Roller gates
Roller gates are not very suitable in the case of varying discharges that require
frequent gate manoeuvering. Roller gates should not be used under such
conditions if the head exceeds approximately 20 m. If the gate is only to be
used in either completly open or closed position, roller gates may be used under
somewhat higher heads. The outlet from the gates shall not be submerged.
A.3.3 Sliding gates

Sliding gates may be used under much higher heads. Gates operating under
heads up to about 40 m are normally not subject to cavitation or vibration
problems, provided they are correctly designed, on the basis of available data.
Submerged outlets necessitate special care, and the long gate lifting rod must
be checked for possible oscillations.
When the head exceeds about 40 m special attention should be payed to the
geometry of the lower part of the gate and the gate slots, to avoid cavitation
(see reference [2]).
The possibility of high velocity flow through narrow slots, especial ly around
the top of the gates, must be considered carefu l ly. Such flow conditions can
give rise to hydrodynamic osci l lations and consequent vibration and
cavitation.
Sliding gates have been insta l led for heads far exceeding 70 m. For heads
more than 60-70 m performance experience is sti l l insufficient, however, to
1 85
Appendix A
establish reliable design criteria. The utmost care in design is therefore

necessary. At present, designs with two gates at different levels are therefore
recommended, so that the effective head does not exceed about 60 m for each
gate. The head on the gates subject to frequent use should be limited to about
50 m, if practical ly possible.
A.3.4 Radial gates

Radial gates are not in common use as high head sluice gates in Norway. From
a hydraulic/hydrodynamic point of view, however, radial gates have some
advantages over sliding gates, and it should therefore be possible to use them
under higher heads. The use of radial gates eliminates gate slots and the
bottom edge is sharp. The gate is thus not subject to tangential forces as
pressure pulsations in the approach flow wi l l only cause radial forces. The
greatest problem is the wear on seals and the risk that the seals wi l l be tomed
or damaged. Careful design is required for the top seal arrangement.
In the case of submerged outlets, the hydrodynamic forces on the gate SUppOlt
may cause gate vibrations. Model tests, are necessary for high heads and the
tests must include hydrodynamic pressure measurements. Flow through a l l
types of slots which may be subject to instability must be considered thoroughly.
A.3.5 Valves
Valves can withstand higher pressures than gates, they are also more compact,
they can be operated with greater precision, but are genera l ly also more
sensitive and considerably more expensive. (Pelformance characteristics for
valvesare given in reference [2]).
A.3.6 Location of gates

Gates should preferably be located so that there wi l l be a free outlet. Thus the
gate structure wil l norma l ly be subject to a minimum of dynamic forces. In the
case of submerged outlets, most of the velocity head is converted into strong
turbulence in the submerged hydraulic jump immediately downstream of the
gate. The gate structure wi 1 1 thereby be subject to strong pressure pulsations.
A.3. 7 Design of the gate structure

The design of the gate structures depends on whether the gate has a free or
submerged outlet. Submerged outlets should preferably be avoided, but when
inevitable the submersion should be so great that cavitation does not occur.
For methods of estimating cavitation limits see reference [2] .
The geometry of the gate structure will generally be the same irrespective of
whether the outlet is free or submerged. (see Fig. A. l l ).
The downstream high velocity zone should be made relatively short and
terminated abruptly towards the tunnel wall. Earlier practice, using a gentle
downstream transition to the outlet tunnel cross-section does not imply any
obvious advantages, and in addition may result in major vibrations where steel
lining is used. This does not apply to headrace or similar tunnels with filled
cross-sections and low velocity, where it is normally correct to design with
gentle transitions, to minimize energy losses.
1 86
l
Appendix A
Acceleration High
�---'-� e=
"'n:-;
zo ; --�I- velocity
zone
[ Lb = O.5 to 1 .0 · ao
I� -I
Fig. A. l l
Main principle for
gate structure
geometry. (shown for
a sliding gate)
The bottom invert should be extended 112 to 1 times the height of the gate in
order to provide support for the high velocity jet. The water jet will thereafter
be a free jet, plunging on to the tunnel bottom some distance downstream
from the gate structure.
For sliding gates, the design of the walls is closely linked to the design of the
gate slots. The walls of the high velocity zone should be as short as possible,
and may be terminated abruptly or with a minimum angel of 45° (see Fig.
A. l l ) , to ensure plentyfull air supply at the gate slots.
For detailed design of slots and estimate of possible cavitation in relation to

head and various slot designs (see reference [2]).
'-
<t:
tl" " " " " ,
Fig. A . 1 2
Sketch shOYving the
main principles for
radial gate structures
1 87
Appendix A
For radial gates, it is normally possible to end the concrete structure

immediately downstream of the gate support beam. The walls in the high
velocity zone should be parallel and terminate at right angles to the tunnel side
walls. It is normal practice to extend the walls downstream of the gate
supports, thus the walls form a structural part of the overall gate support.
At higher pressures it is also important that the inlet of the gate structure is
correctly designed. The acceleration zone, i.e. transition from the tunnel cross
section and up to the gate must be designed so that the flow does not form low
pressure zones or turbulent shear layers (see Fig. A. 13) . For further details,
refer to the literature, which provides more detailed hydraulic design
guidelines, (see reference [2]).
Gate
Fig. A.I3
Inlet design.
(Acceleration zone)
A.4 Air Entrainment and Air Supply

Downstream of high head sluicing gates the velocity will be very high, say in
the range of 25-40 m/s. A considerable amount of air will be entrained in the
water. If the air supply is insufficient this will cause a drop in pressure and
increase the risk for cavitation.
The amount of air entrained varies with the flow conditions at the gate and in
the tunnel system downstream. The data available for estimating volume is
still unsatisfactory, and it is therefore not possible to give a simple formula for
estimating air entrainment. (See reference [6]).
For shafts and tunnels flowing partly full, (see Fig. A. 14), it is possible to
make approximate estimates of the amount of entrained air. With free smface
flow throughout the tunnel system, the air volume may be estimated by
assuming the average air velocity equal to 0.6 times the average water
velocity. It will then be necessary to determine the water depth that will give
maximum air demand.
The air demand will be greatest when the discharge is about 1/4 of the
theoretical maximum capacity of the cross section flowing full and assuming
no air entrainment. The maximum air demand may then be estimated by the
formula:
· 11 1 .50
QL = 0.25 · M R 8 1 3 t l 2
.
.
(A.S)
1 88
Appendix A
For explanation of symbols, see Fig. A . 1 4
o-R� lTH=nR
: ; :: :;:;:; :;:;:; :; :; :; : ; :;: :
::::::::::::::::::::::::::�
Fig. A. 1 4
j.-B=2R--.j A ir entrainment in
shafts or tunnels with
free water swj'aces.
Qv = discharge, m3/s
QL = volume of entrained air, m3/s
Vv = water velocity, mls
VL = air velocity, mls
M = Manning friction coefficient
I = hydraulic gradient
R = half the width of the tunnel (possibly the radius of the tunnel top)
n = ratio of tunnel height to half tunnel width
All openings for letting air in or out of the tunnel system shall be secured to
prevent humans or animals from being injured.
The flow of air through open shafts or tunnels may lead to iceing causing
blocking or operating difficulties unless adequate measures are provided.
A.S Protection Against Erosion

The risk of detrimental critical erosion shall be considered for all types of
spillways and diversion works, and measures shall be taken to counteract
unacceptable damage from developing.
Erosion problems shall be avoided preferably by locating the spillway or other

structures in the most favourable locations from an erosion point of view, and
by adapting suitable designs. Erosion may be prevented by providing concrete
or steel lining inside the tunnel and energy dissipators or riprap outside.
Bedrock may also be subject to erosion under flow conditions with intensive
turbulence.
The hydraulic forces are normally greatest at points where the momentum
forces are at their maximum, i.e. the product of the velocity and discharge at
its maximum, and at points of change in direction of flow. Which measures are
most suitable must be assessed in each individual case.
1 89
Appendix A
A.6 Hydraulic Model Tests

Hydraulic model tests normally provide safer and more accurate data for
design work. The need for model tests should therefore always be looked into
on the basis of the following consideration:
1 . The consequences for safety of incorrect design calculations or incorrect

overall assessments.
2. The cost savings and improvements of an optimum technical/economic
design of the project, or parts of it, compared with the cost of model tests.
Model tests to improve safety may be particularly useful for spillways and
diversion works. The flow conditions at the approach, at the gate structures,
and tailwater effects, can in many cases be so complicated that even relatively
simple capacity calculations become too unreliable.
Model tests will often be necessary to investigate erosion and eroSIOn

protection measures and in the design of effective energy dissipators.
A.7 Field Inspection and Performance Testing

The field inspection of the waterways prescribed by "Regulations for Dams"
is particularly important in the case of poor rock and erodable material. A
report shall be prepared from the field inspection that includes field checks on
dimensions for inlets, shafts, tunnels and tailraces, and shall describe the
weakness zones and the support work carried out. In the event of deviations
from plans, the hydraulic significance of the changes shall be considered
carefully. The report shall be sent to the Directorate of Water Resources as
soon as possible after the field inspection.
A.8 References
[ 1 ] "Design of Small Dams", United States Department of the Interior, Bureau
of Reclamation, Washington DC 1 973
An extensive study was performed on high head gates at the River and
Harbour Laboratory at the Technical University of Norway during the period
1 970-73. The study was supported by power utilities, consulting engineers
and gate suppliers. The reports from these studies are listed below as
references. The reports give a literature summary on the topic. (The reports 2
to 5 are available in Norwegian only).
SINTEF Report No.

[2] Guidelines for hydraulic design of sluice gates STF60A43076
[3] High head sluice gates STF60A7304 1
[4] High head radial gates STF60A73052
[5] Air entrainment at high head gates STF60A73036
[6] Air demand, high head gated conduits STF60A73040
1 90
References
1. Chow, Y.T.: Open-Channel Hydraulics . McGraw Hill publishers, 1 959
with several updates.
2. French, RH.: Open-Channel Hydraulics. McGraw Hill publishers, 1 985
with updates.
3. Mosonyi, E.: Water Power Development, Vol 1 , Low-Head Power Plants.
Akademiai Kiado, Budapest, 1 987.
4. Inversin, A R : Micro-Hydropower Sourcebook. NRECA International
Foundation, Washington, D.C., 1 986.
5. Harvey, A : Micro hydro design manual. Intermediale Techn. Publ.,
London 1 993. ISBN 1-85339- 1 05-9.
6. United States Bureau of Reclamation: Design of Small Dams. United
States Government Printing Office, Denver, Colorado, 1 987.
7. United States Bureau of Reclamation: Friction Factors for Large Conduits
Flowing Full. A water resources technical publication, Engineering
Monograph No. 7, US Dep. of the Interior, Bureau of Reclamation, 1 977.
8. Peterka, A.J . : Hydraulic Design of Stilling Basins and Energy Dissipators.
United States Government Printing Office, Washington, 1 978.
9. Devik, 0 . : Present experience o n ice problems . IAHR, London, 1 964.
1 0. Novak, P. , Moffat ALB ., Nalluri, C. and Narayanani, R: Hydraulic
structures. Spon Press, 200 1 .
1 1. Garbrecht, G . : Diversion of water from sediment carrying streams.
IAHRIUNESCO Seminar on Hydraulic Research and River
Development, Nairobi, Kenya, 1 980.
1 2. Mosonyi, E . : Water Power Development, Vol 2,
High-Head Power Plants . 1 99 1 .
13. Stj6le, H . ( 1 993): Withdrawal of water from Himalayan rivers
Sediment control at intakes. Trondheim. IVB-rapport B-2- 1 993-3.
ISBN 82-7 1 1 9-493-3.
1 4. Avery, P. ( 1 989): Sediment control at intakes - A design guide. B HRA
The fluid engineering centre. Bradford. ISBN 0 9477 1 1 47 3.
15. Massey: Mechanics of Fluids. Van Nostrand Reinhold, 3rd edition, 1 975.
16. Zipparo, Hasan & Davis: Davis' handbook of applied hydraulic.
4th ed, McGraw-Hill, 1 993 . ISBN 0-07-073002-4.
17. Brekke, H . : Regulering av hydrauliske strj6mningsmaskiner,
Vannkraftlaboratoriet NTNU, 1 998.
18. Gerhart, Gross & Hochstein: Fundamentals of Fluid Mechanics, 2nd Ed.
Addison Wesley.
1 9. Chanson, H . : The Hydraulics of Open Channel Flow. Arnold Publishers,
1 999.
20. U . S . Army of Civil Engineers, Hydraulic Design of Spillways, Technical
Engineering and Design Guides No 1 2, American Society of Civil
Engineers, New York, U.S.A USACE, 1 995 .
21. NVE: Norwegian Regulations for Planning, Construction and Operation
of Dams. Norwegian University Press, Oslo, Norway, 1 986 (in English
and Norwegian)
22. NHL (now SINTEF): Energitap i vannveiene ved kraftverk ("Energy
losses in hydropower waterways"), in Norwegian only. NHL report No
608544, 1 985.
191
23. Norwegian Soil and Rock Engineering Association: Publication No. 1 - 1 0
on Norwegian Tunnelling, Tapir Publishers 1 982-95
24. NVE: Kostnadsgrunnlag for vannkraftanlegg ("Basis for costing of
hydropower schemes") in Norwegian only. NVE Handbook No.3/ 2000,
2000.
25. NTNU University of Trondheim, Institute for Hydropower -
Vassdragsteknikk II by Odd Guttormsen, 1 988 ( unpublished course
material in Norwegian only).
26. Vanoni, VA. (ed) ( 1 975): Sedimentation Engineering. ASCE, Manual no
54. ISBN: 0-87262-00 1-8.
27. Simons, D.B. & Sentiirk, F. ( 1 992): Sediment transport technology
Water and sediment dynamics. Water Resources Publications. ISBN 0-
9 1 8334-66-7.
28. Sreterb¢, E., L.Syvertsen & E. Tesaker( 1998) : Vassdragshandboka (in
Norwegian) . Tapir. ISBN 82-5 19- 1 290-3.
29. Rouse, H ( 1 937): Modern conceptions of the mechanics of fluid
turbulence. Trans., ASCE, Vol 102, paper No 1 965.
30. Laursen, E.M. ( 1 958): The total sediment load of streams. J. Hydr.
Div.,ASCE, Vo1 . 54, HY I .
3 l . Water and Energy Commission Secretariat, HMGIN ( 1 987): Erosion and
Sedimentation in the Nepal Himalaya - An assessment of river processes.
Report No 4/3/0 10587/1/1 Seq. 259.
32. Dahl, T.E. & E. Tesaker ( 1 979): Hydraulic studies in lower Rufiji River.
SINTEF report STF60 F79034.
33. Husebye, S. ( 1 992): Assessment of sediment sources and monitoring:
Planning of intakes and desilting basins. Fifth international conference on
small hydro. New Delhi.
34. Camp, T.R. ( 1 946) : Sedimentation and design of settling tanks. Trans .
ASCE, Vol III.
3 5 . Lysne, Olsen, St¢le and Jacobsen ( 1 995): Sediment control: recent
developments for headworks. Hydropower and Dams - March 1 995 .
36. Roosboom, A. ( 1 992): River sediment problems in Southern Africa. 5 th
international symphosium on river sedimentation - Sediment
management. Karlsruhe.
37. Mahmood, K. ( 1 987): Reservoir sedimentation - Impact, extent and
mitigation. World Bank technical paper. ISSN 0253-7494. No. 7 l .
38. World Commission on Dams (2000) : Dams and development, a new
framework for decision-making.
39. Jacobsen, T. ( 1 997): Sediment problems in reservoirs - Control of
sediment deposits. Trondheim. IVB-report B2- 1 997-3. ISBN 82-47 1 -
0 1 5 1-3.
40. S t�le, H. ( 1 999): Sustainable daily peaking reservoirs in sediment loaded
rivers. Optimum use of run-of-river hydropower plants. ICH Trondheim.
4l. US Army ( 1975): Shore Protection Manual. 2nd edition. Washington DC.
42. PIANC ( 1 992): Guidelines for the Design and Construction of Flexible
Revetments Incorporating Geotextiles in Marine Environment. Report
Working Group 2 1 , PTC II. Brussels. ISBN 2-87223-044-0.
43. Novak, P. & J. Cabelka ( 1 98 1 ): Models in Hydraulic Engineering.
Pitman, London. ISBN 0-273-08436-4.
1 92
44. Seaton, F., W.A.Dexheimer & G. Bloodgood ( 1 955): Hydraulic
Laboratory Practice. Engineering Monographs No. 1 8, US Dep. of
Interior, Bureau of Reclamation. Denver, Col., USA.
45. Kobus , H . , ed. ( 1 980): Hydraulic Modelling. IAHR and German Ass. for
Water Resources and Land Improvement, Bull. 7. Pitman, London. ISBN
0-273-085 1 9-0.
46. Yalin, M. S. ( 1 97 1 ): Theory of Hydraulic Models. MacMillan, London.
47. IAHR ( 1 986): Symposium on Scale Effects in Modelling Sediment
Transport Phenomena. Toronto, Canada.
48. ASCE ( 1 975): Modelling '75. Proceedings of ASCE Symposium. San
Francisco, CA, USA, 1975.
49. Lunde, S . and E. Tesaker: Head Losses Due to Air Pockets in
Hydropower Tunnels. Proc. Hydropower '97, 1 997.
50. Havnjij, K.: The use of mathematical models in flood action planning and
flood forecasting in Bangladesh. River Flood Hydraulics, Stellenbosch,
South Africa, 5-7 Nov. 1997. (and www.dhi.dk).
5 1 . Bowles, c., Daffern, C. D. and S. ( 1 998) "The Independent Validation
of SSIIM - a 3D Numerical Model", HYDROINFORMATICS '98,
Copenhagen, Denmark.
1 93
EDIT ING COMMITTEE
Dagfi n n K. Lysne - Professor of Hydrau l ic Engineering. C h a i rman u ntil h i s death January 2000.
E i n a r B roch - Professor of G eo l ogical Engi neering

Norwegian U n iversity of Sc ience and Technology, NTN U . C h a i rman from Jan uary 2000. M .5 e . C i v i l
Eng. N T H , 1961, M . Se . E n g i neeri ng Rock mechan ics, I m perial Col l ege o f Science a n d Technol ogy,
London, 1971, D r. l ng.(Ph D .) NTH, 1977. 196 5 : Lecturer; si nce 1984 fu l l professor in geological
engi neering at NTH . Consu ltant and adviser to m ore than 30 hyd ropower projects i n N orway and
abroad . President of the I nternational Tu n nel l i ng Assoc iation 1986-1989. Ed itor of "Tu n n e l l i n g and
Underground S pace Tec h n o l ogy" .
A n u n d K i l l i ngtveit - Professor of Hydrology and Water Resources Engi neeri n g

Norwegian U n iversity o f Science a n d Techno logy ( N T N U )
M.5e. C i v i l Eng. NTH, 1969. D r. i ng . ( P h D) NTH, 1976. 1971 -1976 Research Engi neer NTH. 1977-
1981 P l an n i ng of hydropower projects i n Trondhei m Power Com pany. 1981-1986 Sen i o r Research
Engi neer SI NTEF. 1986-1990 H ead, research gro u p of Hydrology and Water Resou rces, SI NTEF.
1986 - Professor of Hydrol ogy and Water Resou rces Engi neeri n g NTN U . 1998-2001 Professor I I
Arctic Hydrology at the U n ivers ity Cou rses at Sval bard ( U N IS). Consu ltant and adviser to
hydropower p l a n n i ng and operation projects i n some 10 cou ntries s i nce 1985.
Kare Schjetne - Vice President Norwegian Energy Corporation (Statkraft)

M.5c. N orwegian I n stitute of Technology (NTH) 1966. 1 967, Consulting engi neering, Tron Horn NS,
transm ission l i nes and tel ecom m u n ications systems. 1973-1985, Ch ief engi neer, transmission l i ne
plan n i ng, Statkraft. 1985, H ead of Transm i ssion l i nes department. 1989, H ead of P l a n n i n g d iv i s i o n .
1991, Head of Company staff.
Kristofer Storruste - Vise Pres ident (Rtd) Norconsu It I nternational AS

B .Se. C i v i l Eng. U n iversity of Idaho, U SA, 195 5. Design and tech n i cal supervision of hydropower
projects, N orway, 1956-67. Tec h n i cal and economic management of hyd ropower and water
resou rces developments abroad, 1967-96. C h i ef Executive of N O R POWE R AS - Norwegian
Hydropower Consu ltants, 1988-92. Merged with N orconsult I nternational, 1993 . S i nce 1 998, S e n i o r
Consu l tant Hyd ropower.
Morten S0rbye - Project M anager

GE Hydro ( KvCErner Hydropower until 1998) Econo m i st 1968. 1969-1992 - various positions i n
Norsk Hydro a n d KVCErner i n Norway and abroad with i n i nternational corporate marketi ng, sales
and busi ness deve l opment. Spec ial adviser for the Hydro Power Sector in The Norwegian Trade
Cou n c i l , Oslo from 1992 to 1998. From 1999 acti ng as Project Manager in GE Energy (N orway)
Coord i n ator
Havard Berge - Scientific Advi ser
Norwegian Hyd rotechnical Laboratory ( Rtd)
M .5e. Civi l Engi neering 1948. 1948-55 p l a n n i n g and constru ction of hydropower plants and
research engi neer R iver and Harbo u r Laboratory. 1958-79 d i rector Rive r and H arbour Laboratory.
1979-85 . Man . D i r. Norwegian Hydrodynamic Laboratories. 1985 scientific adviser to S I N TE F/
Norwegian Hydrotechn ical Laboratories.
Langu age Consu ltant

Michael Fergus - Partner/Consu lting Economist
Nord i c Consu l t i ng G roup, Oslo
Degree i n Eco n o m i c Geography and Regional P l an n i ng, E d i n bu rgh U n ivers ity and Heriot-Watt
U n iversity, Scotland. 1968-1974 Plan n i ng Offi cer i n Uganda and Seyche l l es. S i nce 1974 consu lting
econom ist based i n Oslo, Norway. Worked i n energy and environ menta l pla n n i ng i n many
deve l o p i ng cou ntries for U n ited N ations, World Bank, British, Danish and Norwegian G overnments.
T H E R EA L I ZAT I O N O F T H I S S E R I ES H AS B E E N
MA D E POSS I B L E B Y S U PPO RT F ROM
T h e Roya l N o rweg i a n M i n i stry of Petro l e u m a n d E n e rgy
The Roya l N o rweg i a n M i n i stry of I n d u stry
N o rweg i a n Wate r Resou rces a n d E n ergy Ad m i n i strat i o n
N o rweg i a n Age n cy fo r Deve lopment Cooperat i o n
Statk raft G r0 ner AS
N o rweg i a n Trade Cou n c i l
ASS
G E E n e rgy
E n e rg i bed r i fte nes l a n d sfo ren i ng
Wo r l d w i d e Power Consu I t
Ve i d ek ke
Se l me r S ka n sa
A F S pes i a l p rosj e kt
N C C N o rd i c Co n stru cti o n C ompan y A/S
A/S S eto n m ast
A . S . L i nj ebygg, Tra n s m i ss i on L i n es Co. LT D
Vo ith S i e m e n s
:1
- - Stall<raft G r0n e r AS
> is a multidisciplinary consulting firm which has served

the energy sector for 75 years, specializing in energy
consulting, water resources and hydro power
> is the natural management consulting partner for

institutional development, investment analyses and
environmental studies
> provides expertise i n all engineering disciplines and

environmental science for feasibility studies, detail
designing and implementation of projects
> undertakes O&M services as well as training

of personnel for hydro power plants
Stat kraft Groner
P.O. Box 400

N - 1 327 Lysaker, Norway
E-mail: posl@slalkrallgroner.no
Tel.: 47 67 1 2 80 00 ' Fax: 47 67 1 2 58 40
S TAY W E L L I N F O R M E D
TO M E ET T H E CHALLE N G E S O F TO M O R ROW
Conferences The Norwegian Electricity Association " Enfo " , was January 1 st 2001 mer
ged with EVL and joi ned N H O (The Norweg ian employers' association).
Sem i nars The new org a n ization was s p l it in two parts: EBL dea l i ng with employ
Courses
er's and business issues, public relations, lobbying etc. and the other, E B L
Kompetanse, dea l i ng with membersh i p services on a broad com mercia l
Publ ications basis: Advisory services, R&D, conferences and publications etc.
Reports EBL Kom petanse is a wholly owned su bsidiary com pany of EBL. Our busi
R&D management
ness concept is courses, conferences, sem inars and reports/publ ications
related to electric energy busi ness, production and d istri bution .
R&D broking
E B L Kompetanse admin isters a comprehensive jointly fina nced portfolio
R&D fund i ng of R&D projects with an a n n u a l budget of approx. 6 0 M N O K (-7 M USD).
;;1l)
EBl Kompetanse AS
eal!!!
Visitor's a d d ress: 50rkedalsveien l O B
P.O . Box: 7 1 23 Majorstua, 0307 Oslo, Norway
Phone:+47 23 20 57 00, Te lefax: +47 23 20 57 49
I(OMPETaNSE post@ebl-kompetanse.no • www.ebl-kompetanse.no
EN E RGY
basis for growth
Norway occupies a unique position internationally by generating a l l its

substantial electricity production from hydropower, a highly cost-effi cient, clean a n d
renewable basis for a modern industrialised soci ety.
Energy developm ent skills built up in Norway have become an export

i ndustry in their own right, able to d raw on 100 years of experience in harnessing
the "white coa l " of hydro-electricity.
These capabilities embrace every stage of a power scheme from i n itial

conception through all h a rdware to lo ng-term system management, and provide
solid su pport for hydropower projects the world over.
Complete information o n how Norwegian hydropower expertise

can be put to work for your own development requirements are available from
the Norwegian Trade Counci l .
With offices i n 3 1 countries a n d representation elsewhere through Norwegian

embassies and consulates, the Council is also able to put you i n touch with
a p p ropriate companies in this sector.
Get in touch with the head office in Oslo or any of the offices abroad, a n d discover
the ben efits of Norwegian energy.
!!
Norwegian Trade Council
Postal address: N-0243 Oslo, Norway. Tel . : +47 2 92 63 00. Telefax: +47 2 92 64 00
Telex: 7 8 532 exnor n
Hyd ropower Development
The series i ncl udes these vol u mes
Planning and Implementation

of Hydropower Projects , ,....,"
.
Hydraulic Design Rock Engineering

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HYDROPOWER DEVELOPMENT

Area 387 00 sq. km Electl"ical energy supply

Population 4,2 million

Number of hydropower stations

Norway - the country of hydropower

Printed by Tapir Uttrykk, Trondheim, Norway

About the authors

Brian G l over took a Masters degree i n c i v i l engi neer i ng at the University of

Haakon St01e took a Masters degree i n c i v i l engi neeri ng at the N orwegian

The Norwegian Contribution to Hydropower

About the Volumes

This series of 1 7 volumes on Hydropower development is the work of a team

Dagfinn K. Lysne was born in Lrerdal in mid-Norway in 1 934. He left home at

This was a period of extremely rapid development in Norwegian hydropower

It may be appropriate to conclude this appreciation by mentioning Lysne's

The Editing Committee

1 HYDRAULIC DESIGN IN HYDROPOWER . . . . . . . . . . . . . . . . . . . . 9 .

1 . 2 The Design Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 .

1 . 3 A Spillway as an Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

2 THEORY OF HYDRAULIC DESIGN 17 . . . . . . . . . . . . . . . . . . . . . . . . .

2 . 1 Classification of Flow . . . .17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. 2 Turbulent and Laminar Flow. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18 .

2 . 3 Velocity Head and Specific Energy . . 19 . . . . . . . . . . . . . . . . . . . . . . . .

2. 4 Formulae for Uniform Flow . . 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 . 5 Unsteady Flow and Saint-Venant's Equations . .... . . 24 . . . . . . . . . . .

2. 6 Formulae Used for Wave and Surge Calculations . . . 26 . . . . . . . . . . . .

2. 7 Non-Stationary Pipe Flow . .. .. . . 27 . . . . . . . . . . . . . . . . . . . . . . . . . .

3 DESIGN STRATEGIES FOR HYDRAULIC STRUCTURES . . . . . . 31

4 HEADWORKS AND INTAKES . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . 4 1

4. 3 Run-of-River Schemes - Performance Standards 0 43 . . . . . . . . . . . . . .

4. 4 Run-of-River Schemes - Intakes 50 . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4. 6 Intake Hydraulics . . . . . 58. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5 SPILLWAY AND OUTLETS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

5 . 2 Spillway Gate . . . . . . . . . . . . . . . . . . . . . . . . ... . . . . 65

5 . 3 Bridges and Piers .

5 . 4 Design of Spillway Crests . . . . . . . . . . . . . .. . .. . . 67 . . . . . . . . . . . . .

5 . 5 Shaft of Syphon Spillways . . . . . . . . . . . . . . . . . 69 . . . . . . . . . . . . . . .

5 . 6 Brook Inlet Spillways . . . . . . . . . . . . . . . . . . . . . 69 . . . . . . . . . . . . . . .

5 . 7 Steep Spillway Chutes . .. . . . . . . . . . . . . . . . . . . 70 . . . . . . . . . . . . . . .

5 . 8 Chutes of Moderate Slope . . . . . . . . . . . . . . . . . . 72 . . . . . . . . . . . . . . .

5 . 10 Spillway Fuse Plugs and Tipping Gates . . . . . . . . 74 . . . . . . . . . . . . . .

6 ENERGY DISSIPATION STRUCTURES . . . . . . . . . . . .. . . . . . . . . . . 77

6. 2 Process of Energy Dissipation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77.

6. 3 Strategy for Energy Dissipation . . . . . . . . . . . . . . . . . . . . . . . . . . . 79.

6. 4 Stilling Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.

6 . 5 Flip Buckets . ... . . .

6. 6 Scour and Erosion Prevention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 .

7. 3 Losses in Bends ... . . . . . .97 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.4 Losses in Transitions . . . . 98 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7. 5 Entrance and Exit Losses . 99 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8 TUNNEL AND SHAFT WATERWAYS ........................ 101

8. 2 Friction Losses . ..... . .

8. 3 Shapes of Tunnel .. ... . .... ...... . ...

8. 4 Singular Losses ........................................106

8. 6 Effect of Tunnel Lining on Losses ... . . .. ... . ... 109 . . . . . . . . . . .

8. 7 Optimising Tunnel and Shaft Size .. ..... .. .... ..... .109 . . . . . . .

8. 8 Intakes and Gate Plugs ..................................111

9 SEDIMENT TRANSPORT AND SEDIMENT HANDLING ...... 117

9. 5 Reservoir Sedimentation ... . . . . .14 5 . . . . . . . . . . . . . . . . . . . . . . . . .

9. 6 Handling of Sediments in Reservoirs . .. . 14 7 . . . . . . . . . . . . . . . . . . .

9. 7 Scour Protection Works ... ... . . .... .155. . . . . . . . . . . . . . . . . . . . .

10 HYDRAULIC MODELS .................................... 159

10. 2 Problems Suitable for Laboratory Modelling .................160

Hydraulic design principles apply to all hydropower plant structures irrespec

Similarly, choice of penstock material is often an area where hydraulic calcu

Typical velocity dis

With appropriate values for water, a reduction of velocity of 3 m/s corre