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1. INTRODUCTION
As the infrastructure for cities and industries is fast growing, the water supply
projects are increasing. As the capital costs are rising steeply, the optimal engineering
designs with reliability are the need of the hour. Surge analysis and design of surge
protection systems play an important role in this direction. This lecture covers the details
protection systems, the design principles of surge protection and interpretation of the
results with respect to the strength of pipeline. Few case studies of design of surge
protection will be presented under three categories viz., (a) water transmission systems (b)
lift irrigation schemes and (c) cooling water systems for thermal and nuclear power
plants.
2. CONSIDERATIONS OF SURGE PRESSURES IN PUMPING MAIN
2.1 Causes of Surge
Waterhammer or surge is a phenomenon occurring in closed conduit or pipe flows,
associated with rapid changes in discharge in the pipe. The rapid change in discharge and
the associated velocity is accompanied by a change in pressure, which is propagated
through the pipe. The waterhammer wave is propagated at acoustic speed, which varies
with the material and wall thickness of the pipe. Like any other wave phenomenon, the
wave is transmitted and reflected at different boundaries such as reservoir or pump. It is
also damped by friction as it propagates. In a pumping main, changes in discharge may be
caused by: (a) valve closure or opening (b) starting of a pump (c) stopping of a pump (d)
power failure and (e) single pump failure when multiple pumps are in parallel operation.
The planned starting or stopping of a pump is also associated with valve opening or
closing. In general, in a pumping main carrying water, valve operations need not be very
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rapid and hence surge pressures due to valve operations and planned starting or stopping
of a pump can be kept under control. Surge pressures due to pump starting can not exceed
shutoff head of the pump (unless a valve at the downstream end is closed). In actual
practice, starting surge in the transmission main can be kept well below the shutoff head,
by opening the valve on the delivery pipe gradually.
Power failure and single pump failure form the most critical surge condition in a
pumping main. Power failure is critical with regard to surge pressures in the transmission
main, while single pump failure may be critical with regard to surge pressures in the
pump house. The local surge pressures in the pump house will be high for single pump
failure, if the non-return valve in the pump house is rapid closing type, such as swing
check valve or dual plate check valve. If gradually closing valve such as HOPDV is used,
the local surge pressures in the pump house due to single pump failure will not be critical,
but there will be reverse rotation of the pump. The surge phenomenon following power
failure is discussed in Section 2.2 and the surge phenomenon following single pump
failure is discussed in Section 2.3.
2.2 Surge Phenomenon Following Power Failure
When the power fails, the motor speed starts dropping rapidly, the rate of
deceleration depending on the inertia of the pump and motor. As the motor speed reduces,
the pump discharge and head reduce, and a down surge pressure wave travels along the
transmission main towards the delivery end, at a speed governed by the pressure wave
velocity (approximately 1 km/sec). When the wave reaches the delivery reservoir, it gets
reflected as an upsurge wave, which in turn, travels towards the pump end. Within a short
interval following power failure, the motor speed reaches a level at which no forward
pumping is possible. At this stage, flow reversal takes place, and the non-return valve at
the pump end closes. If the closure of the valve is relatively slow, such as in the case of
hydraulically or pneumatically controlled valve closure, reverse rotation of the pump may
also develop.
The above phenomenon due to power failure may cause the following problems.
When the non-return valve closes, depending on the magnitude of reverse flow already
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established, a pressure rise occurs, which may exceed the design/test pressure of the pipe.
Prior to that, during the initial down surge phase, the magnitude of pressure drop may be
such that, at a peak along the alignment, vapour pressure occurs. As this now forms a
pressure control at the location, it functions as a pseudo-reservoir, segregating the flow
upstream and downstream of the location. This is termed as water column separation with
inflow velocity at the location being different from the outflow velocity. Initially the
outflow velocity is more than the inflow velocity, increasing the cavity size. Later, the
inflow velocity becomes more shrinking the cavity. At some instant, the cavity fully
collapses, creating a shock pressure rise, and thereafter the inflow and outflow velocities
are the same at the location. The shock pressure rise travels on both sides and may cause
the pressure to exceed design/test pressure. For large diameter steel pipes, the occurrence
of vapour pressure may also be a problem. In systems where extensive occurrence of
vapour pressure is indicated, analysis considering column separation effect is to be treated
as approximate. Hence predictability of the behavior of such a system under surge
condition is not good, unless suitable protection system is designed.
2.3 Surge Phenomenon Following Single Pump Failure
In a pump house where multiple pumps are in parallel operation, one pump may fail
suddenly due to fault. This condition can create severe local surge pressures in the
delivery pipeline of the failing pump. These high surge pressures occur in the small length
between the non-return valve on the pump delivery line and the delivery manifold. This
phenomenon is a common cause for failure of non-return valves and butterfly/sluice
valves in the pump house.
When a single pump fails with multiple pumps in parallel operation, the speed of the
failing pump rapidly drops, along with discharge from this pump. The other running
pumps get overloaded to partly compensate the reduced discharge. The pressure at the
delivery manifold reduces, but this reduction is not very significant in view of the head
generated by the running pumps. The more the number of running pumps, the less the
pressure reduction in the manifold. In view of this, reverse flow occurs very rapidly
through the failing pump. Typically, flow reversal may take place in 1-3 sec. The rate of
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reverse flow builds up very rapidly, with water being short-circuited from the running
pumps to the failing pump. Under such conditions, any non-return valve which functions
mechanically, may have a small delay in closure, by which time significant reverse flow
may be built up. If the valve closes suddenly under such a reverse flow, high surge
pressures may result. On the other hand, if the valve is of gradually closing type, the
pressure rise is controlled, but significant reverse rotation of the pump is developed.
A surge protection system designed for the transmission main protection (ex. air
vessel) can not take care of the local surge pressures in the pump house, resulting from
single pump failure. Generally, one or more of the following three approaches may be
used to handle this problem.
1. Use a conservative pump delivery pipe size, so that the velocity through the delivery
pipe is not large, resulting in reduced surge pressures; 2. Use special types of non-return
valves on pump delivery pipes; 3. Specify conservative values of test pressures for the
pump house pipes and valves.
In regard to item 3 above, it must be noted that the choice of a conservative test
pressure is not merely related to the working pressure. This is in view of the fact that the
surge pressure due to single pump failure is essentially dependent on delivery pipe
velocity, type of non-return valve and type of pump. In a low head scheme, this surge
pressure may exceed the pump head by several times, while in a high head scheme, the
factor will be lesser.
2.4 Pre-appraisal of Surge Picture
The safety of the pipe may be endangered due to upsurge or downsurge depending
on the type of pipe (pipe material), size of the pipe and its strength. There are essentially
three possible problems: a) direct effect of downsurge due to occurrence of vacuum,
causing buckling of the pipe or dislocation of the joints in the case of flexible joints; b)
effect of direct upsurge resulting in undue pressure rise causing failure of the pipe; c)
effect of secondary upsurge resulting from water column separation (occurrence of
vapour pressure) and associated shock pressure rise due to the rejoining of the separated
water columns. Out of these three types of problems, (a) and (c) are associated with
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For a truly circular steel pipe, the critical collapse pressure is given by the
following formula (AWWA Manual M11),
3
2E ⎛ t ⎞
Pc = ⎜ ⎟ (1)
(1 − ν 2 ) ⎝ D ⎠
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piezometric head and flow velocity, in two independent variables - distance along the pipe
and time. The solution requires specification of initial condition at time t = 0 before the
surge condition, and boundary conditions at external boundaries such as pumps and
reservoir and internal boundaries such as air vessel and one way surge tank. The theory
and computational methodology for solution by the method of characteristics are
available in standard references (Wylie, E.B and Streeter, V.L., Fluid Transients, McGraw
Hill International book Co., 1978). The computer program used in the present study has
been developed at the Indian Institute of Science and has been applied in more than 400
projects.
The design criteria for the surge protection system for a pumping main are stated in
terms of limits on allowable down surge and upsurge for the critical design condition of
power failure. The limits on allowable down surge and upsurge in the transmission main
may vary from system to system. Generally, if conservative design criterion is used, sub-
atmospheric pressures are not allowed and the maximum pressures may be restricted to
1.25 to 1.5 times the pump head or working pressures. Alternatively one may allow sub-
atmospheric pressures, but not vapour pressures. In some designs, vapour pressure may
also be allowed, but limitations may be placed on the pressure rise following the rejoining
of separated water columns. There are situations wherein the design of surge protection
system is reduced to the art of selecting a feasible alternative taking into consideration the
pipe strength and different alternative design criteria. For example, the pipe line
alignment and other hydraulic parameters may be such that complete elimination of sub-
atmospheric pressures may be impossible or too costly. Hence specification of uniform
design criteria for all projects may not be a desirable practice. It is necessary to consider
the type of pipe, the pipe strength, the values of relevant hydraulic parameters, the
possible operating conditions and the nature of the pipe line alignment while deciding on
the design criteria.
The design of the surge protection system is normally based on surge analysis for
the power failure condition. Surge analysis for single pump failure condition plays a
secondary role in finalising the required surge protection measures, and its importance
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lies particularly in relation to deciding the test pressure for the pipes and valves in the
pump house.
3. OPTIONS OF SURGE PROTECTION DEVICES
Following are the usual surge protection devices used for pumping mains.
• Air vessel
• One way surge tank
• Zero velocity valve
• Surge relief (anticipating) valve
• Dual plate check valve
• Intermediate non-return valve
• Stand pipe
• Air valve
• Air cushion valve
Primary surge immediately following power failure is down surge or pressure drop,
which occurs due to reduction of flow velocity. If some stored water can be supplied into
the rising main immediately after power failure, the down surge intensity will reduce.
This is the concept used in air vessel and one way surge tank protection devices.
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Free
Float
Overflow
pipe
Storage
height Scour
Connecting
Staging i
height Valve
Valve
GL
Elevation
One way surge
Non-return valve
Butterfly valve
Plan
Transmission main
Fig. 4 Schematic diagram of one way surge tank
OST may not be required or suitable if:
• Pipe is quite strong to withstand full vacuum;
• Upsurge is the major concern;
• Alignment is such that on the upstream half of alignment, no suitable location is
available for OST;
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Suitability of ZVV
• High head schemes with significant reverse flow development potential;
• Pressure rise due to column separation pronounced, particularly due to local
vulnerable peaks;
• Pipe strength good to withstand vacuum or down surge not severe;
• Under down surge, pressure drop rate is such that air valve or Air cushion valve
can control vacuum reliably.
3.4 Air Valves
Air valves are always very useful as supplementary surge control devices along with
some other devices. Their principal merit is the low cost and also the fact that air valves
are, in any case, provided for filling & draining purposes. Air valves for surge control
must be distinguished from air valves required for normal pipe filling & draining
purposes. Air cushion valves are special type of air valves with separate inflow port &
controlled outflow rate. Size of the air valves may be decided based on IS:14845-2000.
Uncertainties of analysis for air valve
1. Time lag in the vacuum breaker function of air valve;
2. Inlet capacity of air valve;
3. Air exhaust characteristics of air valve;
4. Movement of air introduced along the pipe;
5. Two phase flow effects.
Items 1, 4 and 5 cause maximum uncertainty in analysis. Hence analysis for air valves
is approximate.
Air valve role – Points of attention
• Surge protection based on only air valves may be suitable only if the pipe strength
is good for both upsurge & down surge;
• If all air valves in a rising main are considered as ideal vacuum breaker, there will
be no severe down surge, which may not be true;
• Reliability of air valve function as vacuum breaker may be dependent on the rate
of pressure drop following power failure, in the absence of air valve;
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Air valve
Flow direction
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624 m
495 m
491 m
PS 3
353 m
349 m
PS 2
220.5 m
PS 1
PS 1
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PS 2
PS 3
PS 1 – Stage 2 Discharge
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PS 1 – Stage 1 Discharge
PS 1
Protection provided: Six air vessels of 97 m3 each with air volume of 44 m3 with
connections shown as above
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PS 1 – Type 1 design
PS 1 – Type 1 design
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PS 1
PS 1 – Type 2 Design
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PS 2
PS 2
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PS 2
PS 3
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PS 3
PS 3
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PS 3
PS 3
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One intermediate pumping reach is discussed here to demonstrate the multiple one way
surge tanks protection. Salient features of the project are given below:
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Proposed protection
OST 1 OST 2 OST 3
Location Ch. 5300 Ch. 9875 Ch. 14750
Diameter 5m 8m 12.5 m
Storage height 3m 4m 4m
Staging height 18 m 8m 2m
Connecting pipe size 2 x 800 mm 2 x 1100 mm 2 x 1000 mm
Filling pipe size 2 x 200 mm 2 x 200 mm 2 x 300 mm
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9. CONCLUDING REMARKS
Surge analysis and design of surge protection systems is very important for safe
and reliable functioning of water transmission systems. Though software can be used for
analysis of surge pressures, it is the intuition and experience with the pumping and
protection systems makes one decide on a suitable surge protection system and fine
tuning of the design.
10. ACKNOWLEDGEMENTS
The author acknowledges Late Prof. K Sridharan for introducing the subject of pipeline
engineering in general and surge analysis in particular. The author acknowledges the
project managers/ engineers/ technicians from various client organizations which
consulted him, from whom he learnt several practical aspects of surge protection systems.
11. REFERENCES
1. AWWA M11 (2004) Steel pipe – A guide for design and installation, Manual for
water supply practices – 4th edition, American Water Works Association, Denver,
CO, USA.
2. IS:14845-2000 (Reaffirmed in 2005) Resilient seated cast iron air release valves
for water works purposes – specification, Bureau of Indian Standards, New Delhi.
3. IS:3589-2001 Steel pipes for water and sewage – specification (third revision),
Bureau of Indian Standards, New Delhi.
4. IS:8329-2000 (Reaffirmed in 2005) Centrifugally cast ductile iron pressure pipes
for water, gas and sewage – specification (third revision), Bureau of Indian
Standards, New Delhi.
5. Sridharan K and Raghuveer Rao P (2007) Surge Analysis Program Version 2
(SAP2) User manual and Design guidelines manual (Available on request).
6. Wylie EB and Streeter VL (1978) Fluid Transients, FEB Press, Ann Arbor, Mich.
USA.
7. IS:784-2001 (Reaffirmed in 2005) Prestressed concrete pipes (including specials) –
specification (second revision), Bureau of Indian Standards, New Delhi.
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