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Investigation On Pump As Turbine PAT Technical Asp - 2017 - Renewable and Sust
Investigation On Pump As Turbine PAT Technical Asp - 2017 - Renewable and Sust
A R T I C L E I N F O A BS T RAC T
Keywords: Energy is unarguably the key factor for today's economic and social development within nations. Electricity as
Micro-hydropower one of many energy forms is a critical input to developing countries in the struggle to the national self-
Pump turbine satisfaction in all domains. Rural electricity supply involved institutions have recently recommended the pump
Performance prediction as turbine (PAT)-based micro hydropower plant (MHP) schemes for remote off-grid electrification, mostly from
Pressure fluctuation
their economic advantages. However, from different published research findings, PAT-based MHP is not only
Flow stability
simple and economically feasible, but has presented bottlenecks in the move to its full understanding. Moreover,
compared to other clean energy technologies, PAT technology has not found much literature in academic
published researches, thus contributing to its limited understanding within the community. Therefore, the PAT
literature availability is one way to level up its understanding, which can be helpful to academic and professional
communities. In the present study, a state-of-the-art review on the two most challenging PAT aspects, namely
PAT performance prediction and PAT flow stability aspects are presented. In the presented literature, the
selected energy sources history leading to the actual MHP global adoption was first briefly explained, followed
by an intensive literature on PAT operations, where details about PAT selection and performance prediction
were provided. Finally, the PAT flow stability aspects where pump-turbine S-shape and Saddle-type
characteristics constitute the main focus, were discussed. It is worth an attention to mention that the words
“pump-turbine”, “Pump as turbine”, and “reversible pump turbine”; are equally used throughout the whole
literature. It is within the authors wish that this paper can scale up the reader's PAT technology understanding,
thus serving awareness in the same.
⁎
Corresponding authors.
E-mail addresses: suwentao@hit.edu.cn (W.-T. Su), lifch@hit.edu.cn (F.-C. Li).
http://dx.doi.org/10.1016/j.rser.2017.04.071
Received 25 April 2016; Received in revised form 22 February 2017; Accepted 27 April 2017
Available online 18 May 2017
1364-0321/ © 2017 Elsevier Ltd. All rights reserved.
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Fig. 3. Turbine selection flow chart for micro hydropower schemes [5].
Kaunda et al. [5] has presented the systematic process of selecting 2.2. Pump-turbine performance prediction
the optimum turbine according to the site conditions, where both the
importance of head-volumetric flowrate chart and the turbine specific PAT is an economical alternative for small and micro-hydro
speed were recognized (Fig. 3), and different factors which can assist in schemes in remote areas. A pump in reverse can generally handle
pump selection decision making, viz. investment cost of the turbine, comparatively higher flow rates, which in turn may implicate higher
turbine design complexity, unit power generation cost, and the turbine output energy ranges [73]. However, due to the fact that the pump
performance, were discussed as well. manufacturers do not offer performance curves of their pumps in
The field applications of multistage, single impeller centrifugal and turbine mode; the selection of a suitable pump turbine to run under
axial flow pumps can be compared with Pelton, Francis and Kaplan site-specific operation conditions has become a big challenge [18]. A
turbines respectively [66]. According to Lueneburg and Nelson [50] large number of theoretical and experimental studies have been done
and Sharma [67], all centrifugal pumps from low to high specific speed, for performance prediction of reverse running centrifugal pumps [59].
single or multistage, radially or axially split, horizontal or vertical The pump mode-based prediction technic is the easiest way as it
installations, in-line and double suction can be used in reverse mode. only requires the user to have access to the pump performance basic
However, depending on their operational principles or structural information such as the flow rate QP , head HP and the efficiency ηP ,
design, some pumps cannot be reversed, thus being unfit for energy which in turn makes it easy to find correspondent turbine mode
generation applications. For instance, self-priming and wet-motor performance parameters through simple calculations. Therefore, the-
submersible bore hole pumps cannot be reversed because of the oretical researches were mainly based on pump mode performance
presence of a non-return valve. Dry-motor submersible pumps also parameters where the head and flow correction factors play a key role
cannot be used mainly because of their over-heating issue. in PAT performance prediction.
The main weaknesses of simple PATs are generally the inability to Many researchers, e.g., Stepanoff [74], Childs [75], Sharma [76],
control the flow as they are not provided with flow control facilities among others, have developed PAT performance prediction relations
(guide vanes), and the poor performance at off-design operating based on pump best efficiency point (BEP) whereas others such as
conditions, viz. part and over flow conditions. Therefore, they only Gopalakrishnan [77], Diederich [78], and Grover [79] have developed
can work efficiently at a short range of discharges close to the full load their relations basing on the pump specific speed. However, theoretical
(80–100%). prediction methods have not provided a completely reliable solution to
However, MHPs are often required to work at off design conditions, the problem as their results were way erroneous as compared to field
mainly from seasonal flow variations. In this case, the site flow rate can test results. Therefore they may only be used to get a rough picture of
pass or go below the maximum plant capacity in rainy or dry seasons the required PAT characteristics, which need validation adjustment by
respectively. To take care of this issue, the site flow should be recorded experimental methods. Selected PAT performance studies and their
on the whole year, so that PAT selection can be performed based on the respective findings have been chronologically presented by Jain et al.
lowest annual flow record. Another alternative would be running many [18] as shown in Table 3.
PATs in parallel to take care of the off design flow conditions. This To some authors, e.g., Fraser [70], Garay [80], and Sharma [76]
method would be more profitable as PATs can be switched on and off among others, pump mode-based prediction methods are reliable, but
depending on the site available flow [68], however, needing more may need some corrections in particular cases. To some others, e.g.,
attention so that the MHP cost-effectiveness goal remains uncompro- Burton and Muluget [81], Hanif [82], and Ventrone and Navarro [83]
mised. In this respect, different researchers, such as Singh [44], to mention about, these methods are solely unreliable, but recognize
Spangler [69], Fraser et al. [70], Nicholas [71], and Hochreutiner the pump geometry as the most fundamental parameter to base on PAT
[72], have come out with a range of number of PATs ranging from 3 to performance predictions, as pump manufacturers don’t necessarily
7, which when operated in parallel would be more efficient than a provide universally standardized pumps. It is said that two pumps of
single conventional turbine of a comparable capacity. The last technic same BEP may sometimes have different performance in their turbine-
to be presented in this paper is the “siphon intake” method as mode operations.
presented by Williams [47]. This method is used in low flow cases, As a matter of fact, a comparatively small number of researchers
where the flow is accumulated and stored in a reservoir in order to have rather opted on using the pump geometrical design and other
release the full flow to the PAT intermittently, thus producing an hydraulic phenomena to end up with more accurate technics. However,
intermittent power. This method is not convenient to engineering due to their complexity, these methods were generally not preferred.
applications requiring continuous energy supply, but it can serve for Away from the researches which was carried out in the early age of PAT
different basic operations such as heating and battery charging. discovery, PAT has remained a hot research topic among professional
and academic communities. Barbarelli et al. [84], after discussing
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Table 3
Performance prediction methods for pump-turbines.
Year Name of investigator Criteria Head correction (h) Discharge correction factor (q) Remarks
weaknesses as found in many published PAT performance predictions turbine mode performance of two pumps, a horizontal single suction
methods [66,73,85,86], came to a conclusion that the PAT performance centrifugal pump and a vertical multistage pump. The main idea was to
prediction model universality can only be achieved if, through direct expand the application of performance prediction models from hor-
PAT geometry identification without disassembly, the PAT perfor- izontal single stage pumps, which is the most used type by researchers,
mance curves could be developed. This however, requires the knowl- to other pump types. Performed experiments were by the way meant
edge of the machine flow passage areas as well as corresponding losses. for validation of the Performance prediction model as presented in
In the developed model, a 1D computational model was adopted for [37,66], as well as its application to vertical multistage pumps. The
both PAT performance curves establishment and losses calculations, validity of Derakhshan and Nourbakhsh method was confirmed only
where the developed code was implemented in a LabView® environ- under certain flow conditions on the vertical multistage pump, where
ment. Taking from the pump manufacturer catalogue, a pump virtual more studies were finally recommended for remaining performance
geometrical design was computed, followed by flow losses calculations, prediction methods validity check, when applied on vertical single or
resulting in automatic performance curves obtention (Head and multistage pumps.
Efficiency vs. Flow). After validation through comparison with other Frosina et al. [92] presented a CFD-based pump turbine perfor-
experimental test findings, the model was found acceptably accurate mance prediction technic on three pumps of specific speed ranging
with errors ranging between 5% and 20%. Li [87], taking from the from 20.5 to 64. Flow Simulations were performed through a CFD
grounds that all recently used pump turbine performance prediction commercial code PumpLinx®, where conventional and generating
methods were all based on water as the working fluid, sought to operating modes’ results have been validated through manufacturer-
develop a new method where liquid viscosity effect was to be provided data and experimentation respectively. Moreover, several
considered. The flow through a single stage end-suction centrifugal theoretical models have been applied and compared to the developed
pump turbine operating at 1485 rpm was first computationally studied computational model results, where some approximately agreed
at five different viscosities (ν=1, 24, 48, 90 and 120 cSt), the results of (Stepanoff's method) others diverged (Childs’ method) from predicted
which are found in [88]. Basing on the obtained PAT performance results.
curves, the PAT performance conversion factors of Head, Power, and More intensive theoretical, experimental and computational studies
efficiency under five different flow conditions (Zero efficiency, 0.8BEP, have so far been carried out on the PAT performance prediction, which
BEP, 1.2BEP, and Maximum flow) in generating mode, and of Head eventually resulted in a big literature about PAT performance predic-
and efficiency in pumping mode, were extracted and correlated to the tion, as described in the following sections.
impeller Reynold number; where through the use of Power output and
Head curves’ 3rd and 4th order polynomials, a new PAT performance
prediction model was developed. The newly established model was 2.2.1. Theoretical studies
found acceptably accurate with errors as negligible as 1.67%, 2.57% Pump turbines are a cost-effective alternative for micro-hydro
and 6.76% for Head, Power output and efficiency respectively. Deeper schemes at remote areas. Different researchers have continuously
research on the effect of Impeller Reynold number was recommended carried out theoretical, numerical, and experimental studies or some-
for future studies. Tan and Engenda [89], considering the fact that times a combination of some of these methods, to come out with a
among all published Pump turbine performance prediction methods, universal PAT performance prediction method. A considerable number
the ones basing their calculations on the pump's geometrical data of published theoretical methods were based either on pump mode
[86,90] presented comparatively smaller errors than the ones based on performance parameters or pump geometric design. This subsection
the machine's BEP and Specific speed; but also keeping in mind that comprises pure theoretical researches and their combination with other
pump manufacturers don’t necessarily provide geometrical data to methods.
third parties for the sake of their product's quality protection; opted at Nourbakhsh and Derakhshan [96] carried out an investigation on
experimentally developing a new prediction model making use of the PAT performance in small hydros by theoretical and experimental
pump specific diameter and specific speed. The pump specific diameter methods. Different existing empirical PAT performance prediction
is a geometrical design parameter and it can be easily disclosed by methods were compared, to finally come out with a favorable choice
pump manufacturers. The proposed model exhibited acceptably good which can be used in general cases. From experimental results as
accuracy compared to nine others as found in the paper's literature. performed on a complete laboratory model of a mini hydropower plant
Pugliese et al. [91] carried out an experimental study to assess the built in Tehran University, it was found that, the discharge, head and
efficiency were higher in turbine than pump mode; the turbine power
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
output was higher than pump input power, and finally, the slight
impeller modification could result in a considerable efficiency increase,
where the pump with higher specific speed was surely expected to
exhibit higher turbine mode efficiency. However, no universally reliable
PAT performance prediction formula or theoretical method was found.
Nourbakhsh and Derakhshan [97] have also developed a theoretical
PAT performance prediction method, where pump mode geometrical
and hydraulic characteristics were first defined, followed by pump
mode-based PAT's BEP and hydraulic characteristics prediction meth-
od development. The newly obtained correlation formulas were then
applied to the Worthington-Simpson 25WB125 pump used as an
example, and the new calculation method together with five other
prediction methods results were compared to experimental findings.
This method appeared to have comparatively little errors and it gives
better BEP prediction results.
Hossain et al. [98] carried out a comparative study between two
mostly used theoretical PAT performance prediction methods
(Chapallaz et al. [56] and Sharma [76] methods) to get an idea which
is better than the others. Pump hydraulic characteristics were first
found through an experiment session on a 4 hp DC powered motor
pump at a 2900 rpm rotational speed. The experimental results were
used to get PAT performance characteristics, power, and output
electrical energy, through the two above mentioned methods. The
study, through a comparative scheme, concluded that Sharma method
could only predict the PAT BEP and power whereas Chapallaz et al.
method gave a wide range of operating points from minimum to
maximum deviation, thus providing the access to the information
about PAT operation at and away from BEP. Chapallaz et al. method
was found to provide more clear understanding of the PAT perfor-
mance characteristics.
Derakhshan et al. [37] have compared three PAT performance
prediction methods, viz. “Area ratio” a theoretical method developed by
Gantar [99] and Anderson [100], numerical, and experimental meth-
ods. Theoretical and numerical prediction results were compared to
experimental ones to get an idea which one predicts well the PAT
performance characteristics (at BEP). The pump two operational
modes (direct and reverse modes) numerical simulation was performed Fig. 4. Comparison between Pump (a) and PAT (b) experimental and numerical results.
through FineTurbo V.7 flow solver, where 3D full Navier-Stokes
equations were solved; the results of which, helped on the pump Table 4
complete characteristics curve construction for both modes. An experi- BEP predictions by various methods.
mental test-rig was constructed as in [66], and experimental results
Experimental Numerical Theoretical Sharma Stepanoff
were compared to both theoretical and numerical predictions.
Theoretical method's predicted values were found slightly lower than h 1.89 2.00 1.99 1.74 1.58
experimental data with 1.1%, 4.7%, 5.25%, and 2.1% deviation for q 1.66 1.70 1.55 1.45 1.26
discharge (ϕ), Head (ψ), Power (π), and efficiency (η) numbers Error h (%) – +5.3 +5.3 −7.9 −16.4
Error q (%) – −2.4 −6.6 −12.7 −24.1
respectively. CFD results were in good agreement with experimental
results in pump mode, but much lower in turbine mode.
Yang et al. [85] carried out a PAT performance prediction study in prediction methods on 35 pumps with specific speeds ranging from
which three methods, viz. theoretical, numerical, and experimental 12.7 to 183.3, where the main research focus was the impact of
methods, were used. A pump mode-based theoretical prediction performance prediction methods errors (deviation between predicted
method was developed, the results of which got compared with other and actual BEP values) on PAT operations. Every method's credibility
theoretical, numerical and experimental methods. Numerical simula- was evaluated through a British standard-based prediction coefficient
tions on both modes (reverse and direct operating modes) were C, for which acceptable errors were supposed to be equal or inferior to
performed by ANSYS-CFX which is a commercial 3D Navier-stokes a unity.
CFD software. The selected turbulence model was k-ε, where the flow
domain was subdivided into four parts, viz. inlet pipe, volute, impeller, ⎛ Δa ⎞2 ⎛ Δb ⎞2
C2 = ⎜ ⎟ +⎜ ⎟
front and back chambers to facilitate the gridding process by ANSYS ⎝ 0.3 ⎠ ⎝ 0.1 ⎠ (3)
ICEM. Comparing experimental results as tested by a Jiangsu
1 1
University-based test rig, with numerical, theoretical and other pre- with Δa = 2
+ Δh ) and Δb =
(Δq (Δq 2 + Δh2 − 2ΔhΔq ) .
2
diction methods results; CFD results were found in good agreement The C value was calculated from an H-Q curve, for which the center
with its two modes’ experimental data, whereas a slight difference coincided with the manufacturer-provided BEP. It was found that none
between experimental and numerical results was noticed. The theore- of all evaluated methods was reliable; however, Sharma method
tical and CFD methods were more accurate than the other two methods presented better performance than others, thus being the most
(Sharma [76] and Stepanoff [74] methods), as shown in Fig. 4 and recommended method. It was also suggested that theoretical prediction
Table 4. methods should be accompanied with experimental ones for their
Williams [61] carried out a comparative study of eight different validity confirmation during PAT installation.
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Fernandez et al. [58] has, by applying experiments-derived pump Brothers Limited (KBL) mixed flow pumps, namely pump A and B,
hydraulic characteristics in both modes, modified the Euler's head having different specific speeds, were tested on a Maulana Azad
equation to finally come up with a newly developed PAT performance National Institute of Technology-based test rig, at different rotational
prediction equation. It had been noticed that all PAT performance speeds, flow rates and heads. The experimental results were then
prediction methods were either, based on pump BEP characteristics compared to Chapallaz et al. [56] theoretical method ones, where
similarity between both modes, or algebraic relations as a function of different conclusions were drawn. It was found that, as usual, the heads
efficiency; where most importantly, the rotational speed was consid- and flows for turbine mode are always higher than in direct mode.
ered equal in both modes; which in fact was opposed in this study by However the efficiency could be less or more irrespective of the pump
considering different rotational speeds in both modes. specific speed.
Carravetta et al. [101] proposed the turbomachinery affinity laws Daniela et al. [31] studied the PAT characteristics to get an idea of
modification scheme to eliminate the big discrepancy between PAT the PAT benefits as compared to normal turbines. The experimental
performance theoretical and experimental prediction methods. In data were collected from a medium size river-based plant which
order to obtain the PAT BEP characteristics at a speed N ΙΙ recently got upgraded from normal turbine to PAT-based site. The
(N ΙΙ≠NMAX ), the usual turbomachinery affinity laws were transformed measured PAT parameters were then used, through basic turboma-
to functions of the ratio ( N ΙΙ / NMAX ) as follows: chines calculations, to get the complete PAT performance curves. It was
found that PAT worked at higher flow rates and heads, whereas the
Q ΙΙ ⎛ N ΙΙ ⎞
q= = f1 ⎜ MAX ⎟ efficiencies were almost the same for both operating modes. PAT was
QBMAX ⎝N ⎠ found to work in turbine mode without any mechanical complications.
HBΙΙ ⎛ N ΙΙ ⎞ Suarda et al. [104] presented an experimentally comparative
h = MAX = f2 ⎜ MAX ⎟
HB ⎝N ⎠ research between two small pumps in their turbine operational modes,
PBΙΙ ⎛ N ΙΙ ⎞ one of volute, another of diffuser type. Experimental findings showed
p = MAX = f3 ⎜ MAX ⎟ the volute type performance more attractive than the diffuser type.
PB ⎝N ⎠
Derakhshan and Kasaeian [105] used experimental means to validate
ηBΙΙ ⎛ N ΙΙ ⎞
ε= = f4 ⎜ MAX ⎟ the numerically obtained propeller PAT performance study results.
ηBMAX ⎝N ⎠ (4) Moreover, the thereafter performed runner blades geometry optimiza-
tion resulted in the efficiency improvement of about 14%, with a
Functions f1 , f2 , f3 and f4 were obtained from experimental results
comparatively better cavitation performance. The propeller pump was
on several submersible pumps operated at different speeds. Using
found to satisfactorily work as a low-head turbine.
Suter parameters in conjunction with the obtained modified affinity
Singh et al. [106] studied the effect of casing eye ribs on the pump
laws, the decrease of scatter between the calculated and measured
turbine hydraulics and performance characteristics. Two pump models,
values was achieved.
casing rib absent (CRA) and casing rib present (CRP), were both
Ramos and Borga [36] carried out a Suter parameters-based steady
numerically and experimentally studied; where commercially available
and transient flow regimes study aiming at proving the pump physical,
software, CFX, for which the K-ℇ turbulence model was selected, was
economical and technical reliability not only in industrial processes but
used for simulations. The PAT flow experimental and numerical
also in power generation sector. It was confirmed that using PATs is a
analysis was comparatively carried out for two operating modes, CRA
good alternative to dissipation of excess flow energy that, normally
and CRP, at six operating points, namely, A (51% QBEP), B (70% QBEP),
would be lost. The study outcomes also showed that, depending on
C (88% QBEP), D (100% QBEP), and E (116% QBEP), constituting the
runner characteristics, PATs efficiency can attain 80%. Induced motors
part, full, and over loads. The study results from both methods showed
were recommended for large electric grids, and synchronous motors for
that CRA had higher efficiency and greater performance for the part-
isolated operations. For whatever case, PAT was globally found to be
load and overload operations as compared to CRP. A satisfactory
the best economic solution.
similitude was noticed between experimental and numerical results,
Singh et al. [42] carried out a PAT performance prediction study at
where the PAT exhibited good performance with 82% as the highest
a 10 kW MHP site in Kinko, Tanzania; where the theoretically found
attained efficiency.
results were compared to field performance characteristics. Deviation
Nautiyal et al. [59] carried out an experimental study on PAT
between the two methods outputs were noticed, where on-site char-
performance characteristics in the hope to come out with a more
acteristics at full load were slightly scattered from predicted ones with
accurate prediction method. The test results on a pump of 18 (m, m3/s)
4%, 2%, and 3% deviations for discharge, head, and electric power
as specific speed, running at 1500 rpm, confirmed that, as it had been
output respectively.
demonstrated by many other researchers, the centrifugal pump can
surely be used as turbine under various operating conditions, where the
2.2.2. Experimental studies turbine operating mode is always characterized by higher flow rates
Raman et al. [102] carried out an experimental study aiming at a and heads but with comparatively lower efficiencies. Together with four
better understanding of PAT characteristics. A centrifugal pump with other pump models from different researchers, the tested pump was
15.36, 22 m, and 8.31 l/s as specific speed, head, and flow rate farther analyzed to come up with a new prediction method based on
respectively, was tested in a test rig as installed in the Mechanical both pump efficiency and specific speed. Compared to other prediction
Engineering Laboratory of the Universiti Tenaga Nasional. The pump methods, the developed method presented better performance, with
selection process was performed following a reconnaissance technic as comparatively reduced errors (as compared to test results) as shown in
presented by Raman and Hussein [103]; thereafter, the experimental Fig. 5, thus making it the best.
results were compared to other previously published researches. The Derakhshan and Nourbakhsh [66], based on experimental results
experiment findings were approximately similar to other methods; as performed on a mini-hydropower test rig at the University of
although, the specific speed and efficiency values were slightly lower. Tehran, has developed new correlation equations for PAT BEP predic-
The pump operation in turbine mode was found to require high heads tion. Four centrifugal pumps in specific speeds range from 14.6 to 55.6
and flows compared to the direct mode. It was confirmed that a (m, m3/s) were tested, where centrifugal pumps were again found to fit
centrifugal pump can satisfactorily be operated as turbine without any the turbine operating conditions with comparatively higher heads and
mechanical problems. flows and approximately equal efficiencies. The newly developed
Prasad et al. [24] carried out an experimental research to assess the specific speed-based prediction method was compared to many others,
PAT performance and cavitation characteristics. Two Kirloskar to only find it exhibited better and acceptable estimates of flow rate and
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Q1 n
= 1
Q2 n2
H1 ⎛ n1 ⎞
2
=⎜ ⎟
H2 ⎝ n2 ⎠
P1 ⎛ n1 ⎞
3
=⎜ ⎟
P2 ⎝ n2 ⎠ (5)
where the subscripts 1 and 2 stand for first and next operating
conditions in terms of speed. Experiments were carried out on a
Jiangsu University based-test rig at different rotational speeds, viz.
1000 rpm, 1200 rpm, 1500 rpm, and 1800 rpm. And finally, the PAT
model was numerically analyzed. The numerical study was performed
by a CFD commercial code Ansys CFX, where the k-ℇ turbulence model
was adopted, and static pressure inlet and mass flow rate outlet were
selected as inlet and outlet boundary conditions respectively. Test,
numerical, and theoretical results were in a quite acceptable agree-
ment. However numerically predicted efficiency, head, shaft power
values tended to be slightly higher than test ones by 4.85%, 2.31%,
5.39% respectively. Nevertheless, theoretical results were higher than
the two first, where wider deviation was found in Shaft power
predictions. The developed theoretical method was found reliable but
needing some perfections to get even better results.
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Table 6
Best efficiency values of the selected PAT operating as a pump, turbine predicted, and
turbine actual [126].
to 53–92% of full stroke, and net specific energy values ranging from
34 j/kg to 83.3 kg/j with 5 j/kg repetitive increments. The prediction
results for pump rated operation, Sharma prediction method, and
presented experimental test; as well as the experimental tests-resulted
efficiency hill chart are shown in Table 6 and Fig. 10 respectively. The
tested impeller exhibited a maximum overall efficiency of 79% in good
agreement with PAT theory, and it has been able to operate within a big
range of flow conditions.
Sheng et al. [127] studied the influence of impeller trimming on
PAT performance through experimental and numerical methods. Note
that impeller trimming is generally aimed at pump performance
improvement whenever there is pressure head or flow rate drop.
Three PAT models with full, once-trimmed, and twice-trimmed im-
pellers, were tested at the same rotational speed of 1500 rpm in both
turbine and pump modes with ± 0.57%, ± 0.50%, ± 0.76%, ± 1.2%, ±
1.27% and ± 0.14%, ± 0.50%, ± 0.52%, ± 1.08%, ± 1.20%; as respec-
tive pressure head, flow rate, hydraulic power, generated shaft power,
and efficiency measured uncertainties, at a Jiangsu University-based
test rig. The steady state numerical research was carried out through a
CFD code Ansys CFX, where the k-ℇ turbulence model was used, and
static pressure in and mass flow rate out were chosen as inlet and outlet
boundary conditions. The experimental results showed the PAT
efficiency drop of about 4.11% from full to twice-trimmed impeller
diameter. Numerical predictions were in an acceptable agreement with
experimental ones, yet comparatively higher, from the neglected losses
in numerical analysis. The PAT performance variation was the com-
bined effect of four driving parameters, viz. impeller diameter, blade
wrap angle, blade thickness, and inlet blade angle.
Sanjay et al. [128] carried out an experimental study to optimize the
PAT geometrical and operational parameters, viz. impeller diameter,
blade tip rounding, and impeller rotational speed. Experiments were
carried out on a selected centrifugal pump of 20 m, 0.0292 m3/s,
1400 rpm, and 75% as rated head, discharge, speed, and efficiency, at a
Nirma University-based test rig. Tests were run at a wide range of
rotational speeds from 900 rpm to 1500 rpm on PATs with original,
10%, and 20% trimmed impellers (250 mm, 225 mm, and 200 mm as
respective diameters), before and after blade edge curving. Every test
was run three times and the parameter mean values were considered.
From test findings, recommendations were given. However they were
more specific to this research case, thus requiring a generalization
process to a wide range of PAT geometrical and operational conditions.
The highest efficiency (76.93%) was record at a 10% trimmed impeller
running at 1100 rpm. Finally an empirical correlation was developed
and gave the efficiency predictions in the range of ± 10% compared to
experimental ones. Impeller trimming and blade rounding led to a
better part load performance and efficiency increase about 3–4%
respectively.
Derakhshan et al. [129], using the gradient-based optimization as
presented in his previous publication [130], modified the impeller
blade geometric design to improve the PAT maximum efficiency. The
blade design was firstly optimized through a gradient-based optimiza-
tion technique, coupled with a 3D Navier-Stokes flow solver, after
Fig. 9. Performance curves of PATs with different blade thicknesses a) Ns=57 b) Ns=119 which the optimized impeller blades got rounded and experimentally
c) Ns=168 [125]. tested for further analysis. FINE/TURBO was used for simulations and
k-ℇ turbulence model was selected to solve the flow RANS equations,
where mass flow rate in and static pressure out were the chosen inlet
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Fig. 10. Performance Hill chart of the micro-hydro turbine unit [126].
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Table 7
BEPs of PAT with different blade numbers [135].
noticed. The highest PAT efficiency was obtained at eight blades; thus
making it the optimum blade number (Table 7). Unsteady pressure
analysis results showed a global pressure pulsation amplitudes de-
crease with the increase of blades number; which got validated through
experimental tests.
Yang et al. [136], through experimental, numerical, and theoretical
methods, investigated the effect of impeller diameter on PAT perfor-
mance. Experimental tests were performed on a single stage centrifugal
pump with a rotational speed of 1500 rpm, with different impeller
Fig. 12. Performance curves of the PAT with different radial gaps [132]. diameters namely 215 mm, 235 mm, and 255 mm respectively. Both
power and efficiency increased after BEP while the Head dropped with
losses in the study, the flow domain was divided into five parts namely impeller diameter increase. However the PAT efficiency, shaft power,
inlet pipe, volute, front and back plate and impeller. Static pressure in pressure head, and flow; all increased in the range from 10.26% to
and mass flow rate out were the selected inlet and outlet boundary 89.39%, for an impeller diameter increase from 215 mm to 255 mm, at
conditions; where, by continuously varying the flow, PAT performance BEP. Simulation results were in a quite good agreement with experi-
curves were acquired. Taking steady state analysis as the initial mental ones; yet small discrepancies were noticed, mainly from some
conditions, unsteady numerical simulations were performed, where neglected losses. Also hydraulic losses were globally noticed to have
pressure monitoring points were placed within PAT flow areas for been decreasing with the impeller diameter increase. Theoretical
further pressure field analysis. Experimental tests were also performed method over-predicted the BEP characteristics as compared to experi-
to validate PAT numerical performance predictions. Results showed an mental findings, therefore, they were only recommended for PAT BEP
improvement in PAT efficiency with the splitter blades addition. rough estimations.
Numerical and test results were in a good agreement, although
numerical over-prediction was noticed from some neglected losses.
3. Pressure fluctuations and flow stability aspects in pump
Also, the decrease in pressure pulsation amplitudes was globally
turbines
noticed, with splitter blades addition.
Singh and Nestmann [134] investigated the effect of impeller
In the last decades, world electrical energy consumption has
rounding on PAT performance. Nine centrifugal pumps, eight redial-
significantly increased with a rate that has reached 17.7% in 2010
flow and one mixed-flow pumps, with rotational speeds ranging from
and is predicted to double by 2025 [137,138]. Hydropower, as one of
20 to 94.4 rpm were experimentally tested for both before and after
bests green electricity production methods, has recently gained a
impeller modification cases, in reverse operating mode. The rounding
substantial role due its different advantages over other mostly used
curvature radius was a half of blade and shroud thicknesses at blade
renewable energy (REN) technologies, where pumped storage hydro
and shroud inlet edges respectively, thus conferring a bullet head-like
power plants (PSPP) are now mostly adopted for compensating the
shape at the same areas. The performed modifications caused some
power consumption random nature, within the power generation mix,
flow characteristics changes at the inlet section, viz. wake formation
coupled to other power generation technologies. Koutnik et al. [139]
reduction, weakened flow separation, system loss coefficient reduction
has pointed out that the use of PSPP in this period of REN domination
and an increase in exit relative flow angle, with subsequent net head
consists of both the energy storage and electrical grid stabilization. A
drop and an increase in net Euler momentum as well as net head across
PSPP is generally built on two reservoirs, where during peak hours
the PAT. The efficiency was globally increased with the band of +2%
(daytime usually), the upper reservoir's water is used for power
and further impeller rounding method standardizations were recom-
generation, while at night-time; the lower reservoir's water is pumped
mended.
back to upper side. The use of reversible pump turbines (RPT) within
Yang et al. [135] carried out a numerical investigation on the
these plants is the most preferred over other formerly used combina-
impeller blades number on the PAT performance and unsteady
tional arrangements such as Francis turbine/pump or Pelton turbine/
pressure fluctuations. The steady state flow through a six blades single
pump, due to its operational flexibility as well as its cost-effectiveness.
stage centrifugal pump having a rated rotational speed of 1500 rpm
The off-design operation and, fast and frequent operating modes
was numerically studied through a CFD code Ansys CFX. The k-ℇ
switching abilities are some of the RPT advantages. However, despite
turbulence model was chosen, where static pressure in and mass flow
many advantages presented through the use of these machines, their
rate out were the used inlet and outlet boundary conditions; after
operation has been noticed to be connected to different unstable
which, the PAT operating curves were plotted by changing the flow rate
phenomena occurrence, characterized by high amplitudes pressure
values.
fluctuations and subsequent structural vibrations within these systems.
Unsteady simulation were run at a single mass flow rate and used
Nevertheless, early age studies by researchers like Lacoste [140],
the steady state case as its initial conditions, where pressure field
Boussuges et al. [141], and Blanchon et al. [142] to say the least;
analysis was finally performed from pressure monitoring points data.
had already investigated and pointed out some pump turbines un-
Experimental tests were carried out for validation of both steady and
steady off-design operation-related challenges. Recently, Zuo et al.
unsteady flow simulation results. Steady simulation predictions were
[143] has mentioned that hydraulic instabilities (pressure fluctuations)
found in an acceptable agreement with experimental ones. However,
and related mechanical vibrations can also cause premature mechan-
due to the neglected losses, numerical results over-prediction was
ical failures of the machine. And indeed, Egusquiza et al. [144]
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Fig. 15. Pump turbine instability conditions for both reverse (b, c) and conventional (a) modes [153].
and positive slopes respectively (dQ / dH <0 and dQED / dnED >0 ), whereas totally blocking some runner channels. This rotating stall got so intense
for pump mode instability, the head-flow curve presents a positive at lower discharges, giving birth to reversed flows and vortices in the
slope (dQ / dH >0 ) (see Fig. 15). Another necessary but not sufficient wicket gates. The flow channels blocking action by the rotating stall was
instability criterion for pump-turbine generating mode was derived by believed to be at the origin of the head increase, affecting the flow
Martin [151], and state that the slope of Torque-Speed characteristic characteristics in turbine mode. The induced reversed flow was also
(TED-nED) must be positive. However, with this slope being slightly considered the trigger of the shift to pumping mode by the machine
positive, the system can still present stable characteristics depending within the same operating region. Many studies carried out by different
on the fluid or the slope of flow-speed characteristics (QED-nED). other researchers, Gentner et al. [153], Houdeline et al. [161], Wang
The discharge, speed and Torque factors (QED, nED and TED) are et al. [162], and Sun et al. [163] to mention about, have presented
expressed as: similar results. To more deeply understand the S-shape characteristics
and related flow instabilities, many more researches have been carried
QED = Q / D 2 gH
out through experimental as well as numerical methods.
nED = nD / gH Sun et al. [155] predicted the flow characteristics near runaway of a
TED = T / ρgHD 3 (6) low specific speed pump turbine using numerical and experimental
technics. A numerical study with the detached eddy simulation (DES)
Many researchers have carried out different studies on reversible
and two-equation turbulence models was first carried out and the
pump turbines stability aspects, mainly to get more knowledge on the
results were compared to experimental ones. DES results was found to
flow dynamics explaining the causes behind flow instabilities occur-
give better agreement with test ones, where centrifugal forces and large
rence. The following section gives a literature on different investigators
incidence angles were found to be at the origin of large vortices
findings in the same.
development in the vaneless space, which was the main factor of the
s-shaped characteristics occurrence. Nielsen and Svarstad [164] sug-
3.1.1. S-shaped characteristics gested a simulation model for pump turbine characteristics description,
The S-shape induced instabilities are associated with fluctuations in the results of which showed an acceptable agreement with experi-
flow rate, torque, speed, and head that have negative effects on the mental findings. The paper discussed also the throttle technic for
pump turbine start up, synchronization with the grid, and load instability reduction. Instabilities were not totally eliminated in the
rejection processes. For pump-turbines operating in the S-shaped pump turbine but the system stability as a whole was improved.
operating characteristics region, some speeds correspond to three Li et al. [165], for better understanding of the S-shape character-
different flow conditions with a positive slope along the operating line istics of the No. 1 unit at Baoquan pumped storage power station,
which results in both positive and negative torques which can easily carried out a research through on-site test and numerical methods. The
damage the pump-turbine components [154,155]. At the start up, the No. 1 Francis type pump turbine was tested at no-load mode at three
machine works at no-load conditions where the acquired hydraulic net heads ranging from 518.04 m to 530.38 m, where operational
energy is totally dissipated in form of energy losses. The developed flow parameters such as vibration, shaft displacement, and pressure fluctua-
instability at these areas is characterized by torque fluctuations and tion; constituted the main research target. The rotation speed fluctua-
can, at a certain point, affect the machine operating mode as well as tions were found to go beyond the synchronization requirements,
inflicting significant fluctuations of head and flow with possible self- which got resolved through the use of Misaligned Guide vanes technic.
excited vibrations and noise [156]. For runners, it has been generally The vibration and shaft displacement at no-load were found to be
found that, in terms of operational damage, one start-up operation is dominated by the rotating frequency signal whereas the pressure
equivalent to years of operation under normal operating conditions fluctuations didn’t show an obvious main frequency for a wide
[157,158]. Many researchers have tried to explain the S-shape in- spectrum. Nevertheless the amplitudes of vibration, shaft displacement
stabilities occurrence reasons and related flow dynamics, and the and pressure fluctuations were found to increase with the decrease in
progress so far is of a substantial value. It was generally found that net head values. The numerical and test results were found in a good
the S-shape induced instabilities are due to the head increase at part- agreement with an error of ± 6%, making the CFD technic reliable for
load, which is, in turn, associated to the blockage of some impeller S-shape characteristics studies.
channels by a developed rotating stall. Cavazzini et al. [166] carried out a research to more deeply
Seidel et al. [159] and Hasmatuchi et al. [160] have carried out understand the cause, onset, and effects of unstable behaviors in pump
almost similar studies on S-shape instabilities. The machine being turbines, precisely in the S-shaped region of their characteristics curve.
tested from stable conditions through runaway to the turbine brake The used numerical model was first validated through comparison with
conditions, the flow instabilities were noticed at the runaway condi- tests results. The unsteady simulations were then carried out to
tions and got amplified in the S-shaped region with stall cells investigate the pump turbine developing instabilities during load
development, rotating at 70% of the runner rotational frequency and
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rejection, by decreasing the flow rate from 45.1% QBEP (slightly above
the runway) to 15.9% QBEP (turbine brake) in a 20 s-time interval. The
flow analysis at unstable zones identified the onset and development of
stalled cells, which grew to block some runner and distributor
channels, and rotating in the same direction with the runner. Their
intensification resulted in fluctuations in flow, pressure, and torque;
followed by the continuous shifts between turbine and pumping modes
by the machine. The unstable behaviors in pump turbines were found
to be associated with the negative slope of the machine head curve at
part-load, resulting in the S-shape formation at the machine flow-speed
characteristics curve.
Yin et al. [167] performed a CFD simulation of the pump turbine S-
shape characteristics-induced unstable rotating speed. Because the
time-dependent rotational speed was not known a priori, it was
required to get it continuously updated all along the simulation
process; therefore, the use of dynamic sliding mesh method (DSMM)
was a necessity. The stable simulation was first run, the results of which
got compared to test ones for model validation. The following unstable
simulation at the runaway were performed by varying the machine
operating head and it was found that the severity of the instability was
well quantified by the magnitude of the fluctuating quantities once a
quasi-periodic limit cycle oscillation was obtained. The S-zone instabil-
ity was found to take source from developed vortex at the runner inlet,
leading to severe flow channels blockage and associated fluctuations in
flow rate, pressure, torque and rotational speed. Hence, the developed
dynamic vortex was confirmed to be the trigger to the dynamic
instability occurrence in pump turbines.
Guggenberger et al. [168] conducted a research aiming at the
improvement of understanding about the mechanisms responsible for
the unstable behaviors occurrence in pump turbines. A reduced scale
pump model was tested where dynamic wall pressure sensors and the
particle image velocimetry (PIV) technics were used investigate the
effect of rotor-stator effects as well as the onset and spread of flow
instabilities within the machine. It was globally found that pressure Fig. 16. Streamlines for 50% (a) and 5% (b) of the flow rates [169].
fluctuations increased at expected unstable regions. At turbine brake
zone, the pressure fluctuated with a low frequency of about 65% of the compromise between an optimum pump and an optimum turbine.
impeller rotational frequency, within which the induced rotating stall Guggenberger et al. [168] claimed that the pump turbine's capacity to
was detected. The PIV test results showed an inhomogeneous flow work with acceptable efficiency in two operating modes as well as the
patterns at the runner channel and vaneless space under part load ability to switch between them in a fast and frequent way; made them
operating conditions. the best choice within Pumped storage power plants over other
Zhang et al. [169] conducted a numerical simulation study on the formerly used arrangements. However their operations at start up,
causes of S-shaped characteristics occurrence in pump turbines, mode transition, and load rejection phases; were found to be associated
whereby the “partial reverse pump” concept got introduced. Test with instabilities which could result in speed, pressure, torque, and
results were first used to showcase the occurrence of the unsteady flow fluctuations; leading sometimes to machine structural vibrations
instabilities at different guide vane openings (GVO), leading to S-shape and possible mechanical failures. For instance, the start-up phase
zone apparition. Next, SST k-ω turbulence model-based numerical creates severe and random flow variations due to the combined effect of
simulation was conducted on a pump turbine. The flow at the runner different factors such as the low runner speed and transient pressure
channels was noticed to shift from stable to highly disturbed state with changes. The associated head and flow fluctuations lead to the
induced vortex, as the flow rate decreased (Fig. 16). The reversed flow performance fluctuation, and sometimes leading to a prolonged
was noticed even before the machine entered the S-zone, and caused a synchronization process as well [172]. He et al. [173] investigated
great deal vortex in runner as well as guide vanes. This condition the resonance phenomenon in a pump turbine at the start-up, where it
(partial reverse pump) was found to be responsible for the machine S- was found that the rotor-stator interaction (RSI) induced hydraulic
shaped characteristics occurrence. excitation frequency was one of the main causes of resonance in the
Casartelli et al. [170] presented an open source toolbox machine structure. Guggenberger et al. [174] on the other hand,
OpenFOAM-based model to compute the pump turbine flow under carried out an experimental investigation on the pump-turbine in-
no-load conditions. The study was conducted by gradually increasing stability during synchronization. PIV and pressure sensor technics
the guide vanes opening starting from speed no-load conditions to the were used for velocity and other parameters measuring. The study
turbine brake quadrant. The flow analysis results showed a complex results confirmed the existence of a complex flow pattern at the
flow structure from different flow patterns interaction in the vaneless vaneless space between rotor and guide vanes and high velocities at
space, where the guide vanes flow produced severe vortices at the the center of runner inter-blade flow areas. The secondary flow causing
runner inlet, blocking some runner flow channels. The produced torque both the local flow blockage and flow reversal was noticed; where PIV
was from the non-blocked flow streams in the vicinity of both the technic proved to be a reliable technic for characteristics study in the S-
runner hub and shroud, whereas both the runner blade pressure and Shaped region. Nevertheless, because the machine must pass through
suction sides were dominated by a reversed flow. zero and negative torque conditions at high speeds, the load rejection
Billdal and Wedmark [171] pointed out that, in practice, a single- phase is mostly characterized by stochastic pressure fluctuations, which
stage reversible pump-turbine is by nature forced to be operated as a may even cause the machine to temporarily work in the reverse
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Fig. 17. Outflow into vaneless space between the runner and guide vanes [175].
pumping conditions. A number of studies were carried out to under- openings (22.7%, 45.5%, and 145.5% considering the BEP GVO as
stand the flow dynamics at the above mentioned specific phases and 100%), after which experimentally as well as numerically harvested
related instability sources. Staubli et al. [175] presented a numerical time-averaged data were plotted through graphs for farther analysis. It
study focusing on the flow characteristics near runaway and flow was generally concluded that the observed vortex and backflow in the
phenomena leading to the instability. The simulated instabilities in the runner under large GVO, presented a hysteresis characteristic as
operating zone of interest was associated with the occurrence of time- compared to the situation under small GVO. Considering the fact that
dependent in and outflow between the runner channels and the s-shape characteristics lead to instabilities at critical phases as grid
vaneless space separating the runner and guide vanes (see Fig. 17). coupling and shutdown in pumped storage plants, accompanied by
This condition was believed to take source from the generated local different unwanted hydrodynamic phenomena both in the piping
vortices in the runner channels close to the leading edge, thus being the system and pump turbine, Jacquet et al. [178], targeting a complete
origin of instabilities in the machine. understanding of the flow characteristics evolution, carried out a
Chen et al. [176] carried out a 3D simulation of the pump turbine at numerical study on a pump turbine flow characteristics, from the
its starting period (no load). Aiming at a deep analysis of runner optimal efficiency point all along to zero flow point. The flow
transient characteristics such as flow, head, and torque as well as the Computational analysis was performed through a commercial software
internal flow dynamics, v 2−f turbulence model-based numerical study Ansys CFX, where the SAS-SST model was adopted for turbulence
was conducted, and the results were compared to test ones for modelling. After validation through results comparison to then-existing
validation. The pressure fluctuation amplitudes increased along the experimental findings, the main sources of flow instability were pointed
flow direction as rotational speed increased. At low flow rates, strong out, and the flow pattern timely evolution was observed. A backflow
vortices developed within the runner channels and the water ring was noticed in the vaneless space between the runner and guide vanes,
formed at the runner leading edge, blocking the flow through the taking source from flow separation in the runner inter-blade flow areas.
runner. With the increase in both rotational speed and flow rate, the This backflow got intense with a continuous decrease of flow, generat-
water ring gradually got weaker and the rotating stall in runner ing tougher flow blockage and higher momentum transfer between the
channels decreased until its complete elimination (Fig. 18). The impact coming and returning flows, all leading to increased energy losses. The
jet was strengthened by the flow increase and was found to be vaneless gap between the runner and guide vanes was therefore, found
connected to the runner torque increase. guilty for producing highly unsteady flow structures leading to the s-
Edinger et al. [177] examined the flow in the pump turbine under shape characteristics apparition.
zero flow conditions at the machine start-up. After experimental and Stens and Stefan [179] presented a numerical study on the machine
numerical analysis were done, it was found that, under zero flow fast transition from pump to generating mode. The machine flow was
operating conditions, the strong pre-rotation and flow reversal oc- simulated from pumping mode through the pump brake zone to the
curred at the runner inlet. Also, three dimensional vortex structures generating mode. As the flow decreased in pump mode, the induced
and stagnation points appeared within the stay vane channels, followed guide vanes stall with associated flow blockage in some channels,
by flow reversal from the associated strong flow rotation. The test inflicted severe pressure fluctuations in the runner. Under the pump
measurements and numerical results presented a complex flow pattern brake operating mode, there was an inhomogeneous pressure distribu-
characterized by positive and negative values of meridional and tion in the machine until the machine started the generating mode
secondary velocity components, taking source from the detected fully where the flow at the runner trailing edge got influenced by the draft
separated flow in the machine. tube flow instability. Four vortex ropes had appeared in the draft tube
Gong et al. [48], using experimental and numerical methods, shortly before the machine rotation direction reversal, which collapsed
studied the pump turbine flow characteristics, aiming at the extraction to two and then to one, as the machine shifted towards the turbine
of results explaining the reason behind the s-shape characteristics operating mode (Fig. 19). High amplitudes of pressure and torque
apparition. The flow through a pump turbine having 29.58 r/min as the fluctuations were noticed at the runner inlet vicinity and near the draft
specific speed was analyzed where the CFD commercial code CFX was tube during the direction reversal and the turbine mode beginning
used for numerical simulation and the time-dependent RANS phases respectively.
(Reynold-Averaged Navier-Stokes) model was adopted for turbulence During the pump-turbine transient load rejection process, the
modelling. Computations were run under three different guide vane pump-turbine flow is unstable under partial discharge conditions
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Fig. 18. Streamlines of blade to blade surface of runner during starting period [176].
[180]. The main reason, as noticed through different studies, is the transient process. A quite similar study was carried out by
presence of a vortex rope like a swirling rope in the draft tube. Jacob Kaznacheev and Kuznetsov [182], who by video observation and laser
and Prénat [181] pointed out that in case of load rejection, the Doppler anemometry (LDA) studied the unsteady flow characteristics
unsteadiness is amplified and the pressure fluctuation may rise greatly in the draft tube of the pump turbine model at part, optimum, and
due to the appearance of the vortex rope. Liu et al. [180] has forced load operating conditions. The draft tube vortex rope was found
computationally investigated the vortex rope development in the pump to inter-shift between broken and full shape at part load, disappear at
turbine draft tube at Load rejection, based on the v 2−f turbulence optimum load, and getting wider at forced load conditions. Moreover,
model. At the load rejection transient process, the flow rate decreased the induced cavitation was found to considerably affect the flow
causing the pressure at the runner exit to drop, thus inflicting the velocity profiles in the draft tube.
swirling flow in the draft tube, which got stronger and stronger with the
continuous flow rate decrease, thus giving the induced vortex rope 3.1.2. Saddle-type or Hump characteristics
more and more strength, until it got separated into two narrow parts at The saddle-type pump instability is undoubtedly the most challen-
the draft tube elbow. This vortex rope was considered the source of ging problem to face in order to significantly increase the operating
pressure fluctuations in pump turbines during the load rejection range of pump-turbines in pumping mode, even in case of variable
Fig. 19. Pressure isosurface under the runner different times [179].
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speed pump-turbine [183]. The operation stability for a pump turbine demonstrated the spatial fluctuation pattern existence, mostly concen-
operating in pumping mode is only attained when the difference of trated at the runner exit, which got increased at off-design conditions.
head between steady state characteristics of the water conduit and the Rodriguez et al. [192] presented a theoretical method which could
pump, increases with increasing flow [184]. Any slight deviation from predict and explain the RSI-induced harmonics in a pump turbine. This
the system stability characteristics will result in system flow unsteadi- method was based on hypothesis that 1) there is always a radial load
ness-induced abnormalities. whenever a runner blade passes in front of a guide vane 2) these loads
The pump mode flow instability is characterized by the head drop have similar shapes 3) their amplitudes depend on which runner blade
with a decreasing flow, known to be associated with hydraulic losses in interacting with which guide vane 4) the loads sequence primarily
both the runner and stator. Flow dynamic mechanisms leading to the depends on the combination of present number of runner blades and
stated instability as described by Gülich [90], include rotating stall, guide vanes. With this method, the RSI magnitude distribution around
different flow pattern transitions within pump channels, as well as inlet the perimeter of pump-turbine could be determined, allowing the
and outlet flow separation and recirculation, sometimes leading to identification of conditions of industrial interest, such as an eccentricity
vortex formation and possible vibrations. or an excessive RSI in a particular vane [193]. On the other hand, a
At different guide vane openings, the pump turbine measurements study on the resonance onset from the circumferential pressure
as performed by Eisele et al. [185], have confirmed the guide vanes fluctuation distribution unevenness was presented by Guo and
onset rotating stall as the main issue at the peak of the machine Maruta [194]. The here above mentioned phenomena (rotating stall
characteristics. In line with this, the rotating stall occurring at part load and Rotor-stator interactions) are discussed in a more detailed way in
in a low specific speed pump turbine, operating under pump condi- coming sections.
tions, was investigated by Braun [186]. It was noticed that the Hump characteristics are a main feature of unstable behavior in
investigated stall was quite different from the machine generating pump turbines, which happen in pump mode under small discharge
mode, as the found stall pattern consisted of four stall cells, rotating at operation conditions [153], where strong noise can be heard during the
lower speed as compared to the runner speed (almost 2%). The starting period and the start time is prolonged [172]. Many more
increased hydraulic losses connected to the onset rotating stall were studies have been carried out aiming at investigating, and by the way
found to be at the origin of the flow unsteadiness and related head understanding the pump turbine instability under pump mode operat-
drop. Investigations on the relationship between the guide vane open- ing conditions. Some of the conducted studies with corresponding
ings and different hydraulic losses in a pump turbine operating in detailed research methodologies are presented in the following.
pumping mode, were carried out by Zhu et al. [187] and Deyou et al. Ješe et al. [195] predicted the hump characteristics and associated
[188]. On the other hand, a study as carried out by Zhang et al. [189], rotating stall in a high head pump turbine (Nq=27). Numerical
through both experimental and numerical simulation methods, high- simulations using a commercial code FINE™/Turbo were conducted
lighted the undeniable role of the impeller inlet recirculation on the at four different GVOs (12°, 14°, 16°, and 18°) for a wide range of
machine's performance discontinuity under pumping mode. While flow flows, the results of which got finally compared to tests ones. To
separation and rotating stall have been blamed through many pub- accurately capture the hump shaped performance, periodicity and
lished studies to have played the root cause of pump turbine flow steady approach were adopted. The lines “simulation 14°” and “Sim-
instability, this study instead showed that the impeller inlet flow pre- combine14°” on Fig. 20 stand for calculations with periodic and
rotation is the main threat to the machine stability, revealing the combined mesh respectively. The flow showed global stable character-
impeller required attention, both at design and operation stages. In line istics at large GVOs. Nevertheless, the noticed increased flow cells next
with this, Li et al. [190] investigated the flow characteristics of a pump to decreased flow regions, confirmed the high chance of rotating stall
turbine under pumping operating mode. The study also aimed at onset.
demonstrating the LES (Large Eddy Simulation) computational meth- However, their number has been random, where the 18° GVO
od's feasibility in terms of accurate flow dynamics capture in these presented a worse performance with 8 cells, and 16° performed the
machines. Referring to the performed experiments’ results, LES could best with 0 found cells. With respect to the pump hump performance,
predict the machine performance characteristics better than RANS high opening values, especially 16° GVO, performed well compared to
method. Next, investigations were then carried out on a pump turbine lower ones, where 14° GVO exhibited a worse performance. Cavitation
under different flow conditions (0.85 QBE, 0.88 QBE, 0.91 QBE, and phenomenon was also investigated and it was found to impede the
1.00 QBE), trying to figure out the reasons behind the machine Head hump characteristic but inducing more losses at most of operating
drop. The flow recirculation at the runner inlet, especially noticed points in the machine as shown in Fig. 21. Numerical results were
under 0.85QED flow conditions, was finally believed to be at the origin found in good agreements with test ones.
of the Head drop within the energy-discharge curve. Li et al. [196] investigated the flow characteristics at different
However, it has been found, in the literature, that the machine discharges for a pump turbine in pump mode, under three different
unstable behavior does not only implicate the head drop, but may also GVOs namely: 18 mm, 20 mm, and 32 mm. Results from performed
be accompanied by high cycle fatigue stress, possibly resulting in crack K–ω turbulence model-based simulations agreed well with experimen-
formations and their probable propagation. The rotor-stator interac-
tion (RSI)-born strong excitations were the most blamed causes of this
phenomenon. The pump turbine structural complexity is believed to
favor the RSIs, which is a fluid-dynamical interaction between machine
rotating and static parts; and known responsible for fluid-dynamical
instabilities onset in the machine.
In his study, Majidi [191] confirmed the existence of RSI-induced
pressure distribution circumferential distortion at the runner exit, the
same place where stronger pressure pulsations were found but
extending to the inlet and affecting the mass flow rate in the runner
channels. The flow unsteadiness was particularly found to substantially
increase the blade loading fluctuations as well as contributing to the
important dynamic effects development at off-design conditions.
Researching on the RSI-induced flow unsteadiness effect on the Fig. 20. Obtained characteristics curves for the three used methods under 14° guide
machine flow characteristics, Billdal and Wedmark [171] have also vane opening [195].
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Fig. 21. Cavitation effect on pump hump characteristics (a) and estimated cavitation
associated losses (b) [195].
tal ones, especially at points near BEP, with an overall error as small as
1.5%. Higher efficiency values and their corresponding regions de-
creased the GVO, and the hump characteristics got more pronounced at
low GVOs. Results from different afterwards carried out vaned
distributor flow analysis, under different GVOs; showed no complex
flow near the BEP, whereas secondary and vortex flow structures were
noticed at small discharges. Loss distributions displayed no regular Fig. 22. Schematic diagram of investigated cross sectional areas (a) and information on
the chosen analysis points (b) [198].
pattern.
Yao et al. [197] explored the cause of the Hump characteristics and
and increase of the flow drag force, which lowered the through-flow
associated internal flow mechanism. A numerical analysis was con-
capacity. The discharge near the crown on the other hand, increased as
ducted at four points, viz. A, B, C, and D; on a pump turbine model
the flow blockage happened near the band. It was globally concluded
made up with five parts namely draft tube, runner, guide vanes, stay
that the drooping phenomenon is due to a combined effect of the flow
vanes, and spiral casing; under flow discharge in the range from 55% to
incidence and hydraulic losses in the machine. The main hydraulic
110% optimum discharge. Through a comparative scheme, the stan-
losses were revealed to happen in runner and the tandem cascade;
dard k-ε turbulent model was preferred over the SST model from its
among which, the runner losses contributed more to the drooping
easier and faster convergence ability, and its simulation results
occurrence. The blade shape optimization was recommended for
presented a good agreement with experimental ones. The main energy
further drooping zone stability improvements.
losses were found concentrated in the runner and guide vanes and they
Liu et al. [199] has both numerically and experimentally studied the
showed a rapid increase with the discharge decrease. It was confirmed
pump turbine hump characteristics and associated cavitation effects. In
that the investigated disorganized flow patterns in form of backflow,
order to investigate the relationship between the hump characteristics
non-uniformly distributed velocity flow, complex secondary flow, and
and cavitation phenomenon, numerical simulations were carried out
vortex flow at specific places namely runner inlet, runner outlet, and
with RNG k-ε and Singhal et al. [200] as the used turbulence and
guide vanes domain respectively, were related to the Hump region
cavitation models. The hump characteristic was found to take source
formation.
from the vortical flow patterns onset within the guide vanes and
Li et al. [198] numerically investigated the pump turbine flow
associated flow blockage as the discharge flux decreased. The cavitation
characteristics in the drooping zone. To get to know how and why the
analysis results at four different cavitation coefficients namely 0.09,
runner flow properties change, an SST K-ω turbulence model-based
0.12, 0.15, and 0.18; showed the hump characteristic weakening and
numerical simulation was conducted on a pump turbine in pumping
further disappearance with the increase in cavitation coefficient values,
mode, at five operating points namely the part load (45% φBEP),
at a continuously decreasing flow rate. Numerical and experimental
drooping zone load (0.65 φBEP), near BEP point (90% φBEP), BEP
results presented a quite acceptable agreement.
(100% φBEP), and overload (124% φBEP); with a 32 mm GVO (φBEP
Li et al. [201] studied the hump characteristics in pump turbines
stands for the mass flow coefficient of the BEP).
under pump mode. An SST K-ω turbulence model-based 3D unsteady
Numerical results showed a good agreement with experimental
incompressible turbulent flow numerical study was conducted on a
ones. For further flow field analysis, two cross-sections were chosen at
reduced scale pump turbine model, the results of which showed a solid
the inlet and outlet of one runner channel, and studied at five points
agreement with test ones. The used numerical scheme and operating
(Fig. 22). With the flow decrease, the vortex flow was formed at the
points are presented by Tables 8 and 9. Next, the operating points in
runner inlet, and its influence extended to the crown along the flow
the hump region were selected for the flow field analysis. The analysis
direction with further flow decrease. The investigated backflow near the
findings revealed the existence of three vortex groups within the
band in the inlet led to the decrease of the inlet flow area of passages
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Table 8
Numerical setup [201].
Table 9
The operating points [201].
tandem cascade channels as the machine entered the Hump region; the
scope and strength of which, changed as the discharge decreased. The
machine hump characteristics were finally believed to take source from
the vortex motion in the tandem cascade.
Braun et al. [202] studied the flow dynamics in the hump region,
and it was generally concluded that the change in the machine global
performance was linked to the change in the investigated second flow
patterns in diffuser channels.
Liu et al. [203] used the cavitation model to analyze the pump
turbine hump characteristics, where the flow rates in the range of Q/
QD=0.5–1.2, were studied through both mixture and single phase
models. Three dimensional unsteady numerical simulations, based on
both SST K-ω turbulent model and Rayleigh Plesset cavitation model,
were carried out and the results were compared to experimental ones.
The cavitation model presented a solid agreement with experimental
results whereas the single phase model exhibited big errors, making it
reliable only at operating points out of hump zone. The pressure at the
runner inlet decreased with the discharge flux, and the cavitation
bubbles appeared in the flow range from φ=0.228 to φ=0.192 where
cavitation phenomenon was to its highest level (see Fig. 23), followed
by its progressive disappearance in the flow range 0.192≥φ≥0.165, and
completely vanished for all flows φ < 1.6. Considering the investigated
similarity perfectness between the pump hump characteristics and
cavitation curve slopes, it was concluded that the head drop in the
hump region was caused by cavitation occurrence.
Under serious cavitation conditions, pressure fluctuations were
found to depend on the rotational speed. The used total head coefficient
ψ and flow coefficient φ are defined as:
ψ = 2gH / ω02 R2
φ = Q / πω0 R3 (7)
where R is radius of outlet of the runner, ω0 is rotational speed of the
runner, and g is acceleration of gravity.
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
characteristic [204]. Pump turbines may sometimes experience the below the design flow and flows at real instability (hump) zones.
flow unsteadiness from flow separation within the machine flow Hasmatuchi et al. [223] studied the onset and development of the
channels and other associated phenomena such as rotating stall, flow unsteadiness at runaway and low flow conditions. The rotating
impacting the machine characteristics due to induced hydraulic losses. stall phenomena in a low specific speed radial centrifugal pump turbine
Hasmatuchi [2] defined the flow separation as a complex phenomenon, was experimentally investigated, increasing the rotational speed from
which is present in the flow around an aero or hydrofoil, at high nominal through the runaway to low flow conditions (zero torque
Reynolds number, mainly when the incidence angle is changed from value), where high-speed flow visualization technic coupled with air
zero. Simpson [205] claimed that the flow separation is the entire bubbles injection was used for flow field visualization in the vaneless
process of departure or breakaway or the boundary layer flow break- gap between the impeller and stay vanes, and piezo-resistive pressure
away. Hu and Yang [206] declared that flow generation can be a source sensors were used for wall pressure measurements in spiral casing,
to the unsteady area appearance with associated severe turbulences guide and stay vanes as well as the draft tube. From the BEP to the S-
and many recirculation zones. Another important effect was found by shaped zone, the pressure fluctuations changed from low to substan-
Hoarau et al. [207], which is the onset of vortical flow structures, under tially high pressure fluctuation, especially pronounced in guide vanes.
two types of mechanism, viz. Kelvin-Helmholtz and von Karman At runaway, a rise of low frequency component at 70% of the runner
instabilities. As portrayed through many investigation findings, the rotational frequency was noticed, which as the machine approached the
flow separation is the origin of different flow unsteadiness-related zero flow conditions, increased in amplitude. One rotating stall rotating
phenomena; especially occurring at off-design operating conditions on with the impeller at sub-synchronous speed was also noticed in the
the solid surfaces of the machine's rotor or stator. It is also believed to vaneless space between the guide vanes and the impeller; accompanied
be the main cause of rotating stall onset within the machine flow by the flow reversal in the guide vanes at lower flows. It was also
channels. confirmed that the investigated impeller channels flow blockage took
Zhang [208] defined the rotating stall as the cells of flow separation, source from the developed rotational flow separations at the same
which emerge at different locations in the impeller. A comparatively areas.
global definition was given by Frigne and Van Den Braembussche Liu et al. [224] has studied the pump turbine instability at no load
[209], as the unsteady flow phenomenon that gives rise to the opening. The Numerical simulation results from both SST K-ω and
occurrence of sub-synchronous rotating velocity fluctuations. Both v 2−f models were compared to experimental ones as performed by
Brennen [210] and Berten [211] stated that the so called stall, is a Nicholas and Poul [225]. The results of v 2−f model were found in a
highly dynamic phenomenon, which occur when the machine operates good agreement with experimental ones, so it was used for the next
with too high incidence angles at the impeller blades or diffusor vanes. simulations. A 3D unsteady incompressible flow was used to study the
This leads to the unstable behavior of the flow inside the machine, and pump turbine flow, where the fluid coupling and direct mesh were used
it is one of the reasons to the unstable machine operations [212], to simulate the transient rotational speed and the angular rotational
because the induced losses lead to a drop in machine flow character- speed was found through the formula:
istics [184]. Different investigators, such as Brennen [213], Dixon
[214], Johnson et al. [215], Sano et al. [216], and Stepanik and Brekke dω
IZ = MR − MG
[217] among others, have confirmed the rotating stall onset in pumps dt (8)
and pump turbines, at off-design operating conditions. Indeed, as
presented by Fay [218], the stall cell can consecutively occur at several where IZ, MR, MG, t, and ω stand for moment of inertia, runner torque,
flow channels, sometimes causing the flow blockage and resultant flow payload torque, time, and angular speed respectively. The moment of
reversal. In the researches as carried out by Widmer et al. [219], Seidel inertia was found to have a big influence on the machine characteristics
et al. [159] and Hasmatuchi et al. [160], the onset rotating stall was at no-load opening as its increase would dump both the speed and
found to rotate in the same direction with the impeller, with a torque fluctuations as well as eliminating the rotating stall within the
frequency in the range between 50% and 70% of the impeller rotating machine flow channels.
frequency. For an even more comprehensive literature about the Botero et al. [226] has presented a flow visualization approach in a
subject matter as well as the dynamics behind the rotating turbulences, reduced scale model of a Francis type reversible pump turbine,
review articles as published by Zhang et al. [220], Greitzer [150] and operating from turbine mode through runaway to break turbine
Godeferd and Moisy [221], are recommended. More studies were conditions. Fluorescent monofilaments wires (tufting) coupled with
carried out, where the pump turbine flow instability was found to be high speed image processing technics and pressure sensors were
linked to the rotating stall onset in the machine flow channels, and installed in the vaneless space between the runner and guide vanes,
some of them are here-down presented with respective detailed and within the guide vane flow channels, for further descriptive
research methodologies. analysis of flow with and without rotating stall. The analysis was
Pavesi et al. [222] investigated the unsteady phenomena develop- carried out at three operating conditions as shown in Table 10. the flow
ment and the instability characteristics in a two-stage pump turbine at OP1 was found to be stable with pressure fluctuations at the blade
under direct operating mode. The investigation was carried out through passing frequency (BPF) and non-accented vortex rope, whereas flow
two technics namely the high-speed flow visualization and dynamic separation and recirculation causing the flow blockage in some vane
pressure measurements respectively, at the operating points ranging channels and the backflow from the impeller, was noticed at OP2. At
from the design to part load flow rates. The analysis of pressure point OP3, the flow became even more unstable giving rise to the
fluctuations were conducted both in frequency and time frequency rotating stall phenomena. The used flow visualization and pressure
domains and the flow visualization was focused in the wickets gates and measurements technics were confirmed reliable.
in return channels. The investigated machine characteristics showed a Xia et al. [227] carried out a numerical study to investigate the
slight hump region in the flow range from Q/QDIS=0.45 to 0.70. To
Table 10
study the flow characteristics in the instability zones, the high-speed
Reference points in the turbine [226].
visualization technic was used coupled with the air-bubbles injection in
the guide and return vanes. It was found that with a continual flow rate Point Description QED nED
decrease from the design flow rate through the instability zone to the
OP1 High efficiency point: calm flow 0.0995 0.1933
stable zone, the flow unsteadiness got gradually severe, where the back
OP2 Runaway 0.0445 0.2421
flow in the return channel and separated boundary layer as well as the OP3 Turbine-brake 0.0148 0.2324
induced rotating stall in the guide vane, were noticed for flows slightly
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
onset and development mechanism of rotating stall phenomenon in a [143,234] through their presented reviews about pump turbines
pump turbine model under pump mode. CFD simulation results were stability aspects. Pump turbine Cavitation-related studies are of a
found in a good agreement with experimental ones where it was crucial importance as cavitation occurrence can, apart from causing
noticed that the flow stability deteriorated as the flow rate gradually different mechanical and hydraulic damages, affect the system natural
decreased from BEP to lower values. At part-load, four equally and frequencies, and is mostly the source of many unwanted system
circumferentially distributed rotating stall cells were noticed, causing behaviors; noise, vibrations and spontaneous pulsations among others.
flow blockage in some vane channels, and a forced flow in others, which For a pump-turbine, cavitation is more serious when it works as a
led to strong flow jets in the spiral casing and associated high pressure pump [235]. A great deal of studies is already carried out on cavitation
periodical impingement on the casing wall as well as the possible occurrence and related instability in pump turbines under both pump
induced structural instability. The observed stall-induced severe flow and generating modes. An experimental study on leading edge cavita-
separations disturbed the flow, leading to periodical high pressure tion detection in a pump turbine operating in pump mode was
fluctuations, the intensity of which, was found to differ in different presented by Cencîc et al. [236]. Zhang et al. [237] predicted the
span-wise planes at the guide vanes. Additionally, the guide vane's both pump turbine cavitation occurrence and its locations. Li and Zhang
sides pressure fluctuation difference induced torque vibrations could [238] compared the centrifugal PAT cavitation performance under
lead to adverse effect on the machine operation. conventional and generating modes. Tao et al. [239] presented a
Hasmatuchi et al. [228] carried out an experimental investigation genetic algorithm-based optimization of pump turbine's cavitation
on a reduced scale model of a reversible pump turbine in generating inception performance.
mode aiming at the description of flow instabilities onset and devel- Borciani and Thalmann [240] and Amblard et al. [152] investigated
opment under runaway and S-shape operating conditions. Pressure the cavitation effect on the S-shape characteristics on two low specific
measurements and high speed flow visualization technics were respec- speed-Francis type pump turbines, operating at the points ranging
tively used in the stator and rotor-stator vaneless space, throughout the from turbine mode through runaway and turbine brake zone to
entire experimental process. The runner speed was continuously reversed pump mode. The S-characteristics slope was found to flatten
increased from the best efficiency point until the flow got reversed. with the decrease in cavitation number, which was more pronounced at
The rotating stall appeared at the runaway and its amplitude gradually the model with higher specific speed.
increased with a continuous flow decrease, reaching its maximum at Liu and Guan [241] studied the effect of cavitation on pressure
zero flow. One rotating stall rotating at a sub-synchronous speed was fluctuations in a pump turbine operating in pump mode. The increase
noticed at rotor-stator vaneless gap, causing the flow blockage in some in cavitation number was found to decrease the pressure fluctuation
runner flow channels. amplitudes. Schmidt et al. [242] investigated the cavitation onset at the
pump turbine leading edge through acoustic emissions and high speed
video recording technics. Jese et al. [243] investigated the cavitation
3.2.2. Cavitation locations in the runner of a pump turbine reduced scale model
Cavitation is defined as the process of formation of the vapor phase operating in pump mode for a wide range of flows. It was observed
in a liquid when it is subjected to reduced pressures at constant that the hump characteristics was due to flow separations in the
ambient temperature [229]. In hydroelectric machines, static pressure distributor and vaneless gap area, leading to increased losses at lower
may sometimes fall far enough to go below the fluid vapor pressure, flow rates. Moreover, cavitation position was found to depend on the
thus giving rise to the cavitation phenomenon and related flow velocity triangle at the runner inlet and its zones were getting wider
instabilities. The design, operation and refurbishment of hydraulic with the decrease in net pressure suction head (NPSH) values. It was
turbines, pumps and PATs are strongly related to cavitation phenom- located at blade leading edge's suction side for reduced flows, on blade
ena, which may occur in either the rotating runner-impeller or the leading edge's suction or pressure side depending NPSH value at BEP
stationary parts of the machine [230]. So far, a great deal of studies flow, and at the blade leading edge's pressure side for increased flows,
have been carried on cavitation occurrence in different hydraulic as shown in Fig. 24. Numerical and experimental results were found in
machines, where different associated aspects viz cavitation causes, a good agreement.
cavitating flow dynamics, cavitation parameters, cavitation impact on Li et al. [244] has investigated the relation between the pump-
system characteristics, and mitigation technics to say the least, have turbine hump characteristics and cavitation phenomenon. Numerical
been discussed. Lou et al. [231], Kumar and Saini [232], and Maxime simulations based on the single phase model and multiphase model
et al. [233] have presented reviews on different studies as carried out were carried out where the multiphase model showed better agreement
by several investigators on cavitation occurrence in hydro-turbines and with the test results. Four operating points namely A, B, C, F (see
centrifugal pumps. Many other studies, Gantar [99], Prasad et al. [24], Fig. 25) were analyzed, where as shown in Fig. 26, cavitation
Singh [44] among others have discussed cavitation and its effect on phenomenon was found more pronounced at Hump (Point B) and
pump turbine efficiency. Moreover, a number of investigations on high flows (Point F) operating points.
cavitation occurrence in pump turbines were discussed by Zuo et al.
Fig. 24. Inlet velocity triangles for different flow rates [243].
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
propagate through the entire machine. Nicolet et al. [249] claimed that
the RSI take source from the combined effect of rotating pressure field
related to runner blades and wakes of wicket gates, and that the RSI-
induced pressure waves lead to two different kinds of pressure
fluctuations within the machine viz diametric pressure mode in the
vaneless space between runner and guide vanes, and the standing
waves in the spiral casing. As presented through different studies,
Tanaka [250] and Fischer et al. [251] among others, the diametrical
kind can give rise to resonance phenomena occurrence between the
rotating diametric pressure and the impeller structure. On the other
hand, the standing wave may inflict resonance with the power house
structure or cause pressure fluctuations in the penstock. The RSI may
be considered as a combination of inviscid flow, potential, and viscous
flow, wake, interactions [252]. Considering the potential effect, the
stator channels flow is periodically affected by the rotating rotor blades,
otherwise called the blade passing frequency (BPF) effect, which is
source to pressure fluctuations in the stator, possibly extending to the
Fig. 28. Three selected operating points used for CFD simulations [246]. spiral casing. On the other hand, as stated by Gonzalez et al. [253], the
periodical passing frequency of the guide vanes when viewed from the
Anciger et al. [246] has predicted the rotating stall occurrence and impeller, otherwise referred to as Guide vane passing frequency (GPF),
cavitation inception in a pump turbine under pump mode operating is quantitatively within the range of natural frequencies of the impeller
conditions. Analyzed at three operating points namely OP1, OP2, and components, and therefore serving the source of unwished vibrations
OP3 (Fig. 28), the rotating stall was initially observed at OP2 (a point and fatigue cracks in the impeller. The mainly influencing operating
slightly above the projected maximum head), and got fully developed at parameter for both BPF and GPF was found to be the rotor-stator
OP3 with three distinct rotating stall circumferentially and equally vaneless gap. Arndt et al. [254] investigated the influence of rotor-
distributed, and rotating in the runner rotational direction with a speed stator vaneless gap on pressure fluctuations in a centrifugal pump and
approximately equal to one stay vane pitch per rotor revolution. This found that with the radial gap increase in the range of 1.5–4.5% of the
phenomenon was found to take source from some guide vane channels runner discharge diameter, the pressure fluctuations decreased by
blockage by the onset stall cells, causing the flow to forcibly find its way 50%. It's then obvious that the system will experience strong interac-
in next channels thus resulting in equidistant flow jets in the casing, tions at full guide vanes opening, as the rotor-stator vaneless ring will
and causing high pressure fluctuations. The investigation results on be at its smallest thickness; which may lead to vibrations, hydraulic
cavitation inception were not very clear, but their numerical and test losses, and even blades cracks from resonance onset between the
results presented good correlation. vibration frequency and the system natural frequency [253,255,256].
Liu et al. [247] carried out a combined study on the pump-turbine Other parameters, as presented through Al-Qutub et al. [257] and
hump characteristics and cavitation performance, at three different Parrondo-Gayo et al. [258] are the blade trailing edge shape and
GVOs namely 12°, 18°, and 24° in pump mode. The mixture multi- operating regime respectively. The potential and viscous effects such as
phase model was used together with SST K-⍵ turbulence model for the wakes [259,260] and flow separations [261] play key roles in pressure
numerical simulations, the results of which got compared and pre- fluctuations increase. RSI-caused failures have been known from so
sented good agreement with experimental ones. It was found that both long ago where different cases, runner failure and structural vibrations
the cavitation and hump characteristics depend on the relative guide among others, were frequently met. As a matter of fact, as shown in
vane opening. And both phenomena were found more pronounced at [144,262], runner failures were recently met from high RSI amplitudes,
lower values of GVO. Cavitation locations were found at the blade where runner natural frequency was very close to wicket gate excitation
leading edge's suction side and got wider at the Hump wave trough. frequency, within a short operational time. Coutu et al. [263] presented
Moreover, the pressure fluctuations increased greatly at the maximum an impeller runner blade breakage case at a 447 MW pump-turbine,
cavitation point, and reduced with cavitation region decrease. The after a 200 h working time.
decrease in relative opening was found to greatly increase the vaneless In the latest designs of pump-turbines, RSI has become the most
space pressure fluctuations. important excitation over the impeller-runner and usually produces the
highest vibration levels measured in the whole pump-turbine [192].
The mostly used technics for RSI characteristics analysis have been
3.2.3. Rotor-stator interactions (RSI) vibration, pressure and velocity measurements; among which veloci-
The pressure distribution on any hydraulic machine's blade, metry technics, PIV [264,265] and LDV [266,267] to say the least, have
changes from pressure side to suction side, thus producing the required been widely adopted. It is of a central importance, to analyze the RSI
working torque. The pressure field rotates with the runner in such a characteristics and its effects in turbo machines, which can only be
way that, for a rotationally symmetric field, an external fixed observer achieved through its deep understanding, where its mechanism and
would notice a periodically varying succession of pressure and velocity influencing parameters must be clearly described. Different researchers
as the runner rotates. Unfortunately, this rotational symmetry is not have so far presented their findings on rotor-stator interaction and
always present in turbo machines. This serves the source of many induced instabilities in pump-turbines. Yan et al. [268] investigated the
periodic flow disturbances, in the stator by the rotor periodic blades effect of water compressibility on RSI-induced pressure fluctuations.
passage and in the rotor by the stator non-uniform flow, which is The CFD method plausibility was first validated by comparing its
generally known as Rotor-Stator Interaction or RSI. This phenomenon results with those found through a 1-D code for hydraulic networks,
is generally known to give source to different flow unsteadiness SIMSEN. Next the effect of compressibility was investigated through
associated with high pressure fluctuations, leading to possible vibra- compressible and incompressible numerical simulations at different
tions and structural fatigue within the machine. Hasmatuchi [2] and sound speeds. Compressible simulation presented comparatively larger
Zobeiri [248] have stated that during the operation of a hydraulic pressure fluctuations in the vaneless space. On the other side, the
turbomachine at any operating point, the relative motion between the incompressible solution revealed pressure fluctuation amplitudes lin-
impeller blades and guide vanes induces pressure fluctuations that early decreasing along the runner channel center line, while compres-
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
MGV0 – 0°+9° 9°
MGV5 3, 4, 13, 14 5°+9° 9°
3.3.3. Case-sensitive attempts
MGV15 3, 4, 13, 14 15°+9° 9° Olimstad et al. [284] investigated the geometric parameters which
can influence the reversible pump-turbine characteristics. Five differ-
ent runner blade's leading edge profiles were analyzed. The results
Xiao et al. [276] predicted the pressure pulses in a Francis type revealed that the used profiles modified the radius of curvature and
pump-turbine at different MGV openings as shown in Table 11. inlet blade angle, where smaller blade angles gave less steep character-
Pressure monitoring points were fixed in all machine flow areas, viz. istics in turbine mode. In respect to the pump-turbine stability
runner, guide and stay vanes, spiral casing, and draft tube. The improvement, some recommendations were then provided, viz. in-
numerical solution showed that the MGV technic substantially reduced creasing the blade length, increasing the inlet blade angle, increasing
the pressure pulses in stationary parts of the machine, where pressure the radius of curvature at the pressure side of the blade leading edge,
amplitudes considerably dropped as the MGV opening increased. and decreasing the inlet radius.
However, the same technic was found to aggravate the situation within Sun et al. [285], provided that pump-turbine stability is more
the rotating domain as pressure amplitudes were found to increase associated with pressure pulsations than anything else, investigated the
with the MGV openings. In their previous almost similar study [277], a influence of the distributor pitch diameter on pressure fluctuations in a
substantial RSI influence at small openings had been noticed, espe- pump-turbine's rotor-stator vaneless space and external performance.
cially in the guide vanes and runner domains. The analysis was carried out over D0/D1 values ranging from 1.099 to
Sun et al. [163] studied the flow in the pump-turbine's S-shaped 1.025. The maximum efficiency was found when D0/D1is 1.129 and
region aiming at analyzing the S-characteristics and pressure fluctua- different guide vane positions gave different pressure fluctuation
tions with and without MGV. The analysis results of flow near no-load amplitudes with minor differences.
conditions, showed that even though the MGV technic eliminated the Kerschberger et al. [286] optimized the runner blade profile
S-shaped characteristics, it has increased the radial forces fluctuations through different methods namely the inverse design, numerical
and vibration in the runner, leading flow symmetry destruction and simulation, and mode testing methods; to come up with a significantly
system oscillations. This technic was also confirmed to give source to improved design in terms of hydraulic performance compared to the
pressure fluctuations in the draft, thus leading to the whole unit's initial design.
unstable operations. Yin et al. [287] presented a method to eliminate the pump-turbine
Liu et al. [278] analyzed the MGV method induced pressure S-shaped characteristics thus improving the pump-turbine stability. As
fluctuations in a pump-turbine during the start-up period at no-load a big part of hydraulic losses generally happens in the runner, the
conditions. The analysis results of two models, viz. synchronous and method for runner hydraulic performance improvement was proposed.
MGV models in terms of pressure, showed that amplitudes of pressure Through the analysis of blade loading by the direct analysis approach,
fluctuations in the MGV model was twice larger than the synchronous the S-shaped characteristics were eliminated by the blade meridional
one. The use on MGV destroyed the uniform flow in the casing, causing section broadening. For validation, two similar impellers with different
vortical flow patterns apparition in the rotor-stator vaneless space, the meridional section designs were manufactured and tested, where the
same place where the dominant frequency (the BPF) was observed. runner with broader meridional section exhibited stable performance.
Even though the MGV technic could improve the S-characteristics, it Nowicki et al. [288] presented the optimization of a pump turbine
was found guilty of flow instability creation due to the pressure at Tongbai pumped storage plant. Liu et al. [289] carried out a pump
fluctuations increase in the machine. turbine hydraulic optimization to eliminate the S-characteristics at
Xiao et al. [279] investigated the S-shaped flow characteristics and Xianju pumped storage plant. Numerical and experimental tests were
their improvement by MGV method in a pump-turbine. The MGV carried out, and the onset vortex and water ring at the vaneless space
method ability to eliminated S-characteristics was verified, and as were found to cause flow blockage in some channels thus contributing
shown in the above presented review, this method inflicted pressure to the S-shape characteristics appearance. Thus both of the phenomena
fluctuations amplitudes increase within the flow passages as well as the were found to be the optimization targets. After different variations of
runner radial forces at the starting period. At start-up, the pressure flow conditions, the S-characteristics were eliminated and the inner
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M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179
flow was improved. The improved runner provided the flow steadiness tion of this article.
at no-load conditions.
Acknowledgement
4. Concluding remarks
This work is supported by National Natural Science Foundation of
This paper presents a deep literature review from previously China (51506037, 51276046, 71390522), Foundation for Innovative
published works on pump-turbine technical aspects namely pump- Research Groups of the National Natural Science Foundation of China
turbine selection, performance prediction and flow stability, where the (51421063), and the Fundamental Research Funds for the Central
following conclusions are drawn, followed by some remarks regarding Universities (HIT.NSRIF.2017047).
the future research in the area of PAT:
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