PENSTOCK

INTRODUCTION
A penstock is a pipe that conveys the flow from the forebay to the turbine. The penstock pipe starts
downstream of the forebay where the ground profile is much steeper than the headrace alignment.
The potential energy of the water at the forebay is converted into kinetic energy at the turbine via
the penstock pipe. Because the flow is conveyed under pressure, it is important for the pipe design
to be safe. Cases have been reported in which the penstock pipes have burst. Because the penstock
is on steep ground slopes, such a pipe burst can instantaneously cause landslides and other stability
problems. Furthermore, penstock installation is often challenging and requires safe and careful
work. Sometimes a long pipeline is used to convey water from the headworks to the forebay; in
such cases, the penstock is referred to as the headrace pipe.

The penstock pipe usually constitutes a significant portion of the construction cost. Therefore, it is
necessary to optimize the design. This involves a careful choice of pipe material, such as mild steel
or HDPE; an economical diameter such that the head loss is within acceptable limits; and wall
thickness, so the pipe is safe for the design head and any surge effect that may result from sudden
blockage of the flow.

SELECTION OF THE PENSTOCK ALIGNMENT

Selection of the penstock alignment on-site should be based on the following criteria.
i. Forebay Location
The penstock starts at the forebay. The forebay location should be chosen to optimize the lengths
of the headrace and penstock while achieving the required power output from the scheme. The
penstock pipe is generally more expensive than the headrace canal. Therefore, in most cases, the
forebay location should be chosen to give the minimum penstock length but, at the same time, also
conserving head. However, sometimes a longer penstock may be economical, such as to avoid the
need for the headrace to cross an unstable slope.
 ii. Practical ground slope
An ideal ground slope for the penstock alignment is between 1:1 and 1:2 (V:H). The flatter the
ground slope, the less economic the penstock because a longer pipe length is required for a lower
head. Although a steep slope minimizes the penstock length, it will be difficult to manually lay the
penstock; construction of support piers and anchor blocks is required if the slope is larger than 1:1.
Therefore, for penstock alignments on slopes steeper than 1:1, the added site installation cost may
outweigh the savings made on the pipe costs.

A penstock profile that starts at a gentle slope and then becomes steeper should be avoided because
of the risks of negative surges causing sub atmospheric pressure. The ground profile should be
measured as accurately as possible. An Abney level can be used for smaller hydro projects, and for
larger schemes, more precise equipment, such as a theodolite or total station should be used. This
is because, if the prefabricated bends do not fit on-site due to survey errors, additional costs and
time will be required to amend these, especially if the site is located at a remote area and the pipes
are to be flange-connected.

Note that some slight adjustment can be made if the pipes are to be welded on-site. Additionally,
errors in the design head calculation (due to survey errors) will result in either oversizing or under
sizing the electromechanical units, which will also increase the project cost, either in terms of lost
power production or in extra cost for the oversized units.

iii. Minimum number of bends

Bends increase the head loss and require additional anchor blocks. Therefore, the selected
alignment should be as straight as possible, both in plan and elevation. Note that small bends can
be avoided by varying the support pier heights for the exposed section and the trench depth for the
buried section.
 iv. Space for powerhouse area
The chosen alignment should be such that it is possible to construct a powerhouse at the end of the
penstock. A river terrace well above the flood level is ideal for the powerhouse area. A route that
is otherwise suitable for the penstock alignment but does not allow for the construction of the
powerhouse is inappropriate.

v. Stability
Because the penstock alignment is on steep ground slopes and the pipe is under pressure, it is
important for the alignment to be on stable ground. Any ground movement can damage the pipe,
support piers, and anchor blocks, and in case of pipe bursts, unstable slopes will cause further
erosion and landslides. Adequate drainage facilitates (e.g., drain canals) for surface water should
be provided along the pipe alignment. Note that a pipe alignment that is dry will have less stability
problems.

vi. Other site specific conditions

Apart from the above criteria, there may be other site-specific conditions that dictate the penstock
alignment. For example, if the alignment crosses a local trail, this section should either be buried
or high enough above the ground such that people and cattle can walk underneath.

PROFILE OF THE SELECTED ALIGNMENT

Based on the site survey, a plan and profile of the penstock alignment should be prepared at the
design office as follows:
• The ground profile should first be drawn using an appropriate scale. The same scale should
be used for both horizontal and vertical lengths so that the bend angles are true angles,
which minimizes the likelihood of errors. If the alignment also has horizontal bends, then
a plan view should also be prepared to show horizontal bend angles.

• Once the ground profile has been prepared, the penstock pipe should be drawn on it such
that the number of bends is kept to a minimum. In general for above ground alignment, the
support pier height should be minimized unless some of them need to be increased to avoid
small angle bends. Similarly, excavation should be minimized for the buried section unless
deeper trenches are required at short sections to avoid small angle bends. Optimizing the
alignment will require some iterations.

• For aboveground penstock sections, a minimum ground clearance of 300 mm is

recommended to keep the pipe dry and for ease of maintenance, such as painting.

• For buried penstock sections, a minimum soil cover of 1 m is recommended as in the case
of HDPE headrace pipe, and the trench details should be similar to those shown below.
SELECTION OF PIPE
i. Pipe materials
The most commonly used penstock pipe materials are mild steel and HDPE. Rigid or unplasticized
PVC (uPVC) and glass reinforced plastic (GRP) are other options that have been sometimes used
in countries such as Peru, Sri Lanka, and Nepal. The decision as to which pipe material to use for
the penstock is based on:
• the flow required,
• head and surge pressure,
• durability,
• allowable head loss,
• ease of transportation,
• ease of fabrication,
• the cost of material.

a) Steel
Due to high strength and durability, the most used material in pipe is mild steel. Such steel pipes
are usually made of plate steel with longitudinal joints by welding. In the past, steel plates were
joined by riveting, which has now been replaced by welding technology. It should be noted that
high strength steels are difficult to weld, and hence, mild steel is preferred. Steel pipes less than 3
m in diameter have a shipping length of about 4 to 8 m. Pipes with larger diameter are delivered
to the site in segments due to transportation limitation. Such segments are then joined by welding.
 b) HDPE
For long penstock alignments, low-strength pipe, such as HDPE, can be used for the upstream
length where the head is relatively low. After the stress in pipe exceeds the allowable stress, steel
can then continue. Standard couplings are available to join HDPE and mild steel pipes as shown
below.

c) GRP
The use of GRP in hydropower projects has been successfully tested. GRP is light in weight but
has very high compressive and tensile strength compared to steel. It is resistant to change in pH of
water and chemically inert. Due to the lower value of elasticity, the water hammer effect is
considerably low in GRP pipes. However, GRP is weak in shear strength. By laying multiple layers
of fiber on top of one another with each layer oriented in various preferred directions, the stiffness
and strength properties of the overall material can be increased. However, there are some health
risks during production and laying of GRP pipes. When resins are cured, chemical vapors are
released, which causes irritation to mucous membranes and the respiratory tract. Further
manufacture of GRP components (grinding, cutting, sawing) releases emission of fine dusts and
chips containing glass particles, which affects people’s health and functionality of machines and
equipment. Hence, strict safety regulations should be adopted while using GRP pipes during
production and installation.
Pipe material Specific Gravity Comprehensive Tensile strength Young’s Modulus
strength (Mpa) (Mpa) of elasticity (Mpa)
Mild steel 7.85 408 250 205,000
HDPE 0.95 22 20-32 1000
PVC 1.3 65 55 2750
GRP 1.5 150-350 100-300 24000
Pipe diameter
Once the penstock alignment and pipe material have been decided on, the design involves choosing
the diameter and pipe thickness. When selecting an appropriate pipe diameter, the most important
parameter is velocity of flow. The following points should be noticed when selecting the pipe
diameter:
• Friction loss along the pipe
• Abrasion
• Cost of the penstock
• Governing condition of the turbine/cost of turbine governor
• Limitation of pipe manufacturer
For practical purposes, pipe diameter can be selected such that the velocity is between 2.5 m/s and
3.5 m/s. In general, a velocity lower than 2.5 m/s results in an uneconomically large diameter.
Similarly, if the velocity exceeds 3.5 m/s, the head loss can be excessive and hence uneconomical
in the long run due to loss in power output. Furthermore, it must be noticed that higher velocities
in the penstock will result in high surge pressure. In any case, the final pipe diameter selection
should be based on results of head loss calculations and their implications on loss of annual energy
or annual revenue, especially as the plant size gets larger.

i. Head Loss along the Pipe

The frictional loss in pipeline can be divided into two categories:
• major loss due to frictional resistance along the pipe length
• minor losses at the entrance and bends.
The permissible head loss can be determined by economic analysis by comparing the amount of
energy gained by reducing the head loss. The economic analysis should also involve cost for repair
and maintenance.
As we increase the diameter of pipe, head loss decreases, and the cost of pipe increases. By
iterating with multiple pipes of different diameter, an economic diameter can be determined.

ii. Abrasion
All water conveyed in the pipe contains sediment particles. At high velocity, such particles start to
scour the pipe material depending upon
• the particle size,
• the hardness of the particle,
• hardness of the pipe material.
Hence, a limiting velocity of 3–5 m/s is generally adopted. For clean water, the velocity may be as
high as 8 m/s. It must be noticed that higher velocity not only scours pipe materials, but also
damages the turbine runner.
 iii. Cost of Penstock
The major factor determining the diameter of pipe is its cost of installation and operation.
Economic analysis should be done to arrive at the best diameter for which the cost of power will
be minimum during the entire life of the project. The cost of a turbine governor should also be
added to get the realistic economic indicators.

iv. Governing Condition of the Turbine/Cost of Turbine Governor

While operating the power plant, two cases are encountered that limit the diameter of pipe. These
are
• the startup condition in which there is the possibility of drawing excess water than can be
supplied causing subnormal pressure
• the stopping condition when the plant is stopped suddenly or there is a change in load,
causing water hammer phenomenon.
These two cases are also called governing conditions.
At the initial moment, the pressure head accelerating the water column in the penstock is the entire
head H, which decreases as soon as the moment has started. Part of the pressure energy is converted
into kinetic energy, and part is lost to overcome wall friction.

The accelerating head is thus He = Gross head losses.

Because head loss and velocity head is negligibly small, assuming a uniform rate of acceleration
under constant accelerating head is also very small.
By Newton’s second law, pressure force on the water column in the pipeline = mass * acceleration.

or
This is also called Euler’s equation.
Where a is pipe sectional area, L is length of pipe, and V is flow velocity.
Considering uniform acceleration, the time required for stationary water column to attain velocity
v may be written as

OR
The time of the opening of the valve should be greater than the time of accelerating. If the time of
opening is less than the time required for acceleration, excessively high hydrodynamic forces will
rupture the pipe, governing device, and turbines.
The equation also indicates that the long and high-velocity pipe requires a long opening time to
design the governor. And there is limiting value of velocity up to which this mechanical component
can be designed. Thus, the velocity in pipe has a limiting value, which, in turn, determines the
diameter of pipe.

Pipe Optimization
Optimization of pipe is a method to find the size of pipe that gives the maximum benefit over the
lifetime of the plant operation. To reach the optimum diameter of pipe, a set of pipes with different
diameters are taken. As the diameter increases, the total energy output increases, but the cost of
pipe increases too. When we plot the cost of pipe and the cost of power lost due to head loss against
these diameters, we get the most economic diameter of pipe.

i. Procedure to Select the Pipe Diameter

a) Choose a Diameter of Pipe
For steel penstocks, it may be economical to choose the diameter so that there is no wastage from
standard size steel sheets. For HDPE or PVC, available sizes must be selected. Pipes are normally
specified by outside diameter, so two times the wall thickness must be subtracted to obtain the
internal diameter.

• Calculate the Actual Velocity

where V is velocity in m/s, Q is design flow in m3/s, and d is the pipe internal diameter in
m. The permissible velocity in penstock pipe by USBR is given by

V = permissible velocity, m/s

H = rated head, m

• Calculate the Head Loss in the Pipe

The head loss in the length based on the inlet, wall friction, bends, valves, and exit loss.
Total head loss = friction loss + turbulence losses. The formulas to calculate head loss are described
below.
✓ Frictional Loss
The frictional loss in the pipe depends upon the pipe surface and is given by the figure
below
 where the friction factor (f) depends upon the pipe relative roughness
(k/D) and the velocity in the pipe given in the table below.

Roughness value of different pipe materials

Material Roughness, k (mm)
Smooth pipes PVC, HDPE, MDPE, Glass fiber 0.06
Concrete 0.15
Mild steel uncoated, galvanized 0.06, 0.15

✓ Entrance Loss

where K is given as follows: Sharp edge entrance = 0.5, rounded entrance (r/D = 0.1) =
0.1, and bell mouth = 0.05.

✓ Sudden Expansion Loss

A1 = cross-section area of flow incoming from A2 = cross-section area of flow going to V2
=velocity in cross-section 2.

✓ Gradual Expansion Loss

where K is determined from the Figure below

✓ Sudden Contraction Loss

A1 = cross-section area of flow incoming from A2 = cross-section area of flow going to V2 =

velocity in cross-section 2.

✓ Gradual Contraction Loss

where K is determined from Figure below

In general, ensure that total head loss for the design flow is between 5% and 10% of the gross
head—that is, 95% to 90% penstock efficiency. If the head loss is higher than 10% of the gross
head, repeat calculations with larger diameter.

Similarly, if the head loss is less than 5%, the pipe diameter may be uneconomic; therefore, repeat
calculations using smaller diameters.
Note that in exceptional cases, a less efficient penstock may be more economical, such as when
the power demand is limited, the penstock is long and there is abundant flow in the river even
during the low-flow season. In such cases, a higher flow can be allowed in a smaller pipe allowing
a higher head loss. Hence, savings can be made in the cost of pipes. Similarly, a more efficient
penstock pipe could be selected when the power demand is high or higher rates per unit are offered
by the utility (in case of grid-connected plant), and there is limited flow available in the river for
power generation.

However, these approaches should be justified by a detailed economic analysis.

• Calculate Thickness of Pipe

The thickness of pipe is calculated by calculating stress in the pipe due to topographic head and
surge head. Additional thickness is added to allow for corrosion of pipe (2–3 mm). The safety of
pipe should also be checked for negative pressure. The overall safety factor should be above three,
depending upon the risk and associated cost.
 • Calculate the Cost
Calculate the cost of energy loss due to head loss and the total cost of the pipe. Also calculate the
total cost of the pipe installation (i.e., sum of pipe cost and energy loss) for each size of pipes. The
diameter that gives the least cost should then be selected. The cost is graphically shown in Figure
below

• Select the Pipe

The final step is to select the pipe that gives minimum total cost. The pipe that will be available in
the market easily will be more cheaper than the pipe with special diameters.

SURGE PRESSURE IN PENSTOCK

i. General
The thickness of the penstock pipe is determined by the gross and surge heads of the scheme. It is
therefore important to have some understanding of the concept of surge before calculating the pipe
wall thickness.
A sudden blockage of water or rapid change in velocity in the penstock (or any pipe that has
pressure flow) results in very high instantaneous pressure. This high pressure is known as surge
pressure or often referred to as water hammer. Surge pressure travels as positive and negative
waves throughout the length of the penstock pipe. Water hammer occurs as the surge wave travels
from the source or the origin of the disturbance along the pipeline until it strikes some boundary
condition (such as a valve or other obstruction) and is then reflected or refracted.

If the pipe is strong enough to withstand the initial surge effect, the pressure will ultimately
dissipate through friction losses in the water and pipe wall as well as through the forebay. The
speed of the surge wave (wave velocity) is dependent on such factors as:
• the bulk modulus of water,
• flexibility of the pipe,
• the ratio of pipe diameter to wall thickness.
In hydropower schemes, positive surge characteristics are different for different types of turbines.
Surge head calculations for the two most common turbines are discussed. Note that these
calculations are based on the initial (i.e., undampened) positive surge head.

In practice, there will be some damping of the surge pressure as the wave travels along the pipe,
and while the pressure fluctuation is uniform in the lower portion, it diminishes gradually to zero
at the forebay as shown in above. However, the pipe is normally designed for static head plus
constant positive surge over the full penstock length.

Note that the negative surge can produce dangerous negative (sub-atmospheric) pressure in a
penstock if the profile is as in Figure above. Once the negative pressure reaches 10 m, the water
column separates, and subsequent rejoining will cause high positive surge pressure sufficient to
burst the penstock. Sub-atmospheric pressures less than 10 m can cause inward collapse of the
pipe wall, so it should also be avoided. If there is any possibility of negative pressure, the pipe
wall thickness must be checked for buckling.

From the Euler equation, we have

where H is the surge head. Suppose the gate valve is being closed; then the water column
deaccelerates during time Δt. Δv denotes the change in velocity. In case of complete closure, Δv =
v − 0 = v.
In case of partial closure Δv = v − v1.
𝐿
The expression∆𝑡 = 𝑎 denotes the rate of deacceleration of the water column. It also indicates the
celerity of the pressure wave induced by deacceleration of water column. Thus,
The velocity a is the same as the velocity of sound in the water and is given by the relationship

where K (= 2.07 * 109 N/m2) is the bulk modulus of water, and ρ is the density
of water. The value of a is about 1440 for water.

The velocity of the water hammer is less for elastic pipes. The velocity in elastic pipe is given by

where E is elasticity of pipe material, D is diameter of pipe, and

t is thickness of pipe.

When turbine gates are closed, pressure waves travel upward toward the forebay. The waves are
then reflected back from the forebay to the turbine. The time of one complete cycle is called critical
time. It is expressed as

If the closure time is less than given by the above equation, then the surge head is approximately
𝑣
given by H= 𝑎 𝑔
However, if the closure time is greater than the critical time, then the negative pressure waves will
be superimposed on the positive waves, and the full pressure will not be realized.

The water hammer pressure (H′) developed by the gradual closure of valve is given by
𝑇
H′== 𝑇 𝐻
𝐶

Pelton turbine
For a Pelton turbine, use the following method to calculate the surge head:
i. First calculate the pressure wave velocity a using the equation below.
where K = 2.07 * 109 N/m2, E is Young’s modulus in N/mm2 of the pipe, and d is the pipe diameter
(mm). t is the nominal wall thickness (mm), not teffective.

ii. Then calculate the surge head (hsurge) using the following equation: hsurge = av/g · 1/n
where n is the total no. of nozzles in the turbine(s).

Note that in a Pelton turbine, it is highly unlikely for more than one nozzle to be blocked
instantaneously. Therefore, the surge head is divided by the number of nozzles (n). For example,
if a penstock empties into two Pelton turbines with two nozzles on each turbine, n = 4.
4𝑄
The velocity in the penstock (V) is 𝑉 = 𝜋𝐷2
iii. Now calculate the total head: htotal = hgross + hsurge.
iv. As a precaution, calculate the critical time, Tc, from the following equation:
Tc = (2L)/a
where Tc is the critical time in seconds, L is the length of penstock in m, and a is the wave velocity
calculated earlier.

If the turbine valve closure time, T, is less than Tc, then the surge pressure wave is significantly
high. Similarly, the longer T is compared to Tc, the lower the surge effect.

Note that this calculation is based on the assumption that the penstock diameter, material, and wall
thickness are uniform. If any of these parameters vary, then separate calculations should be done
for each section.

Also note that when T = Tc, the peak surge pressure is felt by the valve at the end of the penstock.
If a pressure gauge is not installed upstream of the valve, a valve closure time of twice the critical
time (i.e., T > 2Tc) is recommended.

The design engineer should inform the turbine manufacturer of the closure time (T) so that, if
possible, the manufacturer can choose the thread size and shaft diameter such that it will be difficult
to close the valve in less than twice the calculated closure time. The operator at the powerhouse
should be made aware of this closure time and the consequences of rapid valve closure.

If the gross head of the scheme is more than 50 m, it is recommended that a pressure gauge be
placed just upstream of the valve. Compared to the cost of the turbine and the penstock, the cost
of such a device is low and is worth the investment. When the operator closes or opens the valve,
his speed should be such that there is no observable change in the pressure gauge reading.
Cross-flow turbine
In a cross-flow turbine, instantaneous blockage of water is not possible because there is no
obstruction at the end of the manifold (i.e., cross-flow turbine has a rectangular bore opening
instead of a nozzle). Therefore, surge pressure can develop only if the runner valve is closed
rapidly. For a crossflow turbine use the following method to calculate the surge head:

1. Calculate the pressure wave velocity

2. Now calculate the critical time Tc, similar to the Pelton turbine case: Tc = (2L)/a
3. Choose a closure time, T (in seconds), such that: T > 2Tc
Similar to the Pelton turbine case, the design engineer should inform the turbine
manufacturer of the closure time (T), and the operator at the powerhouse should be made
aware of this closure time.
4. Now calculate the parameter k using the following equation:

5. Calculate surge head by substituting the value of k in the equation below: