Heliyon 10 (2024) e26084

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Heliyon
journal homepage: www.cell.com/heliyon

Review article

The pump as a turbine: A review on performance prediction,

performance improvement, and economic analysis
Abdulbasit Nasir a, b, *, Edessa Dribssa c, Misrak Girma a, d
a
Department of Mechanical Engineering, College of Engineering, Addis Ababa Science and Technology University, P.O. Box 16417, Addis Ababa,
Ethiopia
b
Department of Mechanical Engineering, Faculty of Manufacturing, Institute of Technology, Hawassa University, Hawassa, Ethiopia
c
School of Mechanical and Industrial Engineering, Addis Ababa Institute of Technology, Addis Ababa University, P.O. Box 385, Addis Ababa,
Ethiopia
d
Sustainable Energy Center of Excellence, Addis Ababa Science and Technology University, P.O. Box 16417, Addis Ababa, Ethiopia

A R T I C L E I N F O A B S T R A C T

Keywords: Pumps as Turbines (PATs) are known for their ability to replace conventional turbines in Pico/
Case study micro-hydropower plants. However, selecting a suitable pump and estimating its performance
Economic analysis in reverse mode is a challenging task. The overall efficiency of PATs is also lower when compared
Historical development
to purpose-made turbines. Numerous attempts have been made to analyze the performance of
Performance analysis
Performance improvement
PAT in power-generating applications, and many scholars have presented their research on
Pump as turbine performance improvement and economic analysis. In this paper, a detailed review is conducted to
show the historical development and current status of PAT technology. The review also presents
the findings of performance prediction, performance improvement techniques, and economic
analysis. The results of the literature survey demonstrate that the choice of an appropriate pump
for a specific application significantly affects the performance of the PAT system. Among the
various options, the Shear Stress Transport (SST) k-ω and standard k-ε turbulence models are
widely used for simulating the pump as a turbine. Blade grooving and blade tip rounding are
recognized as the most promising techniques for improving efficiency, with gains of 4.91% and
4.00%, respectively. Except for impeller diameter trimming, blade modification techniques pro­
posed by various scholars have a significant impact on the efficiency of PATs; however, further
research is needed to investigate the economic advantages of impeller modification.

1. Introduction

The global focus on meeting the energy demand has drawn attention to the state of electricity access, particularly in developing
countries where it remains at a significantly lower level [1]. Governments and scholars in the field emphasize the development of
environmentally friendly energy sources. Among all renewable resources, Pico and micro-hydropower (1–500 kW) are considered the
most feasible, decentralized, environmentally suitable, and sustainable energy sources [2–11]. In contrast to large hydropower pro­
jects, Pico/micro-hydro power resources occupy a relatively small area and do not result in significant displacement of communities
from their original locations. Therefore, these energy sources are considered highly suitable in many regions of the world without

* Corresponding author. Department of Mechanical Engineering, College of Engineering, Addis Ababa Science and Technology University, P.O.
Box 16417, Addis Ababa, Ethiopia.
E-mail addresses: abdulbasitn1@gmail.com (A. Nasir), edessadr@gmail.com (E. Dribssa), misrakmgh@gmail.com (M. Girma).

https://doi.org/10.1016/j.heliyon.2024.e26084
Received 22 August 2023; Received in revised form 7 February 2024; Accepted 7 February 2024
Available online 13 February 2024
2405-8440/© 2024 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
A. Nasir et al. Heliyon 10 (2024) e26084

giving rise to controversial issues between nations. However, using conventional turbines for Pico/micro-hydropower projects is not
economically viable in developing countries [12–14]. As a low-cost alternative, pumps can be used in reverse mode to replace
purpose-made turbines.
Hydraulic pumps serve several purposes, including liquid transportation, agricultural irrigation, and domestic and industrial ap­
plications [15,16]. Additionally, when operating in reverse mode, pumps can be utilized to generate electrical power. PAT technology
finds application in various fields, including Pico/micro-hydropower projects [17–25], water supply/distribution systems [26–29],
reverse osmosis systems [29,30], pressure-reducing systems [31,32], and power recovery in irrigation and industrial piping networks
[33,34].
PATs offer numerous advantages over conventional turbines, such as lower investment and maintenance costs, easy availability,
and suitability for a wide range of hydraulic conditions [35,36]. From an economic perspective, it is commonly observed that PATs
used in Pico/micro-hydropower projects have investment payback periods of around 2 years [37–39], which is significantly lower
compared to purpose-made turbines.
The unavailability of pump characteristics for reverse operation in manufacturer catalogs [15,37] and the generally lower effi­
ciency of PATs [40–42] are the two primary limitations when considering the use of pumps as turbines.
To highlight pump selection, performance prediction, and feasibility of PAT for power-generating applications different scholars
have presented review papers. The output of performance prediction and performance improvement of PAT was presented [43–46].
However, the review papers [16,40,47,48] exclude many performance improvement techniques. Ismail et al. [49] considered only
centrifugal pumps but not axial pumps operating in turbine mode for power generation. Additional Aidhen et al. [20] and Vasan­
thakumar et al. [50] are also reported in the area while economic analysis of the PAT for electricity generation is not included.
This review examines the technical and economic aspects of PAT, considering original published articles. It extensively discusses
various methodologies proposed for selecting PAT and presents three performance prediction approaches: theoretical/empirical,
numerical, and experimental methods. The analysis aims to provide a comprehensive understanding of current advancements in PAT
performance for power generation. Furthermore, it explores different techniques suggested by researchers worldwide to modify
performance. Feasibility studies on PAT for electricity generation are also covered, along with future research directions including
pump selection, performance prediction, performance improvement, and economic analysis for rural electrification purposes.
A comprehensive literature search was conducted to find out appropriate publications on PAT for power generation applications.
Databases such as Google Scholar, ResearchGate, Scopus, Science Direct, Web of Science, PubMed and many more were searched
without any restrictions on publication date or language. Many search terms were used, such as “PAT performance analysis,” “PAT
historical development,” “Economic analysis of PAT,” “Case study,” and “PAT performance improvement.” The keywords, abstracts,
titles, and main texts of the indexed articles were all searched for using these terms. Furthermore, a manual search was conducted
through the reference lists of the identified literature to find additional relevant studies. The gathered articles were screened for
original publications, and Microsoft Excel spreadsheets were used for data extraction. Studies that were not written in English, and
contained insufficient research data or information were eliminated.

2. Historical development and the current status

The primary purpose of a hydraulic pump is to increase the water pressure and facilitate fluid movement from one location to
another [51]. Additionally, pumps have a long history in power generation applications, although the exact origins of pumps used for
such purposes are unclear [15]. D. Thoma and C. Kittredge [52] conducted tests around 1931 to analyze pump characteristics and
incidentally discovered that hydraulic pumps work effectively in reverse. R. Knapp [53] presented comprehensive features of pumps
based on experimental studies. Pump storage power plant models in the 50–100 MW range gained popularity in developed nations
during the 1950s and 1960s [50]. Subsequently, chemical industries, water supply/distribution networks, reverse osmosis systems,
pressure-reducing systems, and energy recovery in irrigation networks emerged as additional areas for implementing PAT technology
[16,46]. This circumstance allowed for an efficient research period, during which standard pumps were used in turbine mode. In later
years, many more performance analysis and performance improvement techniques were developed. Fernandez et al. In later years,
numerous techniques for performance analysis and improvement were developed. Fernandez et al. [54] contributed to advances in
electrical apparatus control technologies, torque, and rotation sense. S. Rawal and J.T. Kshirsagar [55] investigated pumps in turbine
mode for water supply network applications. S. Derakhshan and A. Nourbakhsh [56] examined the field applications of axial pumps,
multistage, and single impeller centrifugal pumps, comparing them with Kaplan, Pelton, and Francis turbines, respectively. A.
Agostinelli and L. Shafer [57] extensively studied pumps in reverse operation and found that their efficiency remains the same as in
direct mode, with higher pressure head and flow rate at the best efficiency point (BEP). Vasanthakumar et al. [50] reviewed research
works in the field of PAT and discussed the selection of optimum pumps for different locations. Simão et al. [36] investigated the
importance of PATs operating in parallel, revealing that parallel operation allows for a wider discharge range and reduces shock losses
within the impeller. Fontanella et al. [58] proposed a performance database called Redawn, which is used for predicting PAT char­
acteristics. Pienika et al. [59] highlighted the main features of axial pumps used as turbines. Most existing works focus on radial flow
pumps as turbines [60] due to their lower cost and availability. Recent publications concentrate on studying flow features such as
rotational speed [53,55], transient behavior [54,56], tip leakage flow [61–63], entropy production [60,64], and cavitation [65,66] in
PATs. Furthermore, there are numerous research works focused on performance improvement [40,67], and a relatively small number
of papers examine the economic analysis [61,62] of PATs.

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A. Nasir et al. Heliyon 10 (2024) e26084

3. Pump selection and performance prediction

Selecting an appropriate pump as a turbine is always challenging because most pump manufacturers do not provide reverse
performance data for their pumps [15,16,68,63,69,70]. The performance of a PAT is highly dependent on operating conditions, such as
the head and flow rate at the site [71]. Chapallaz et al. [72] introduced a chart that aids in selecting the optimal pump based on more
than 80 test results. Radial flow pumps can be used as hydraulic turbines within a head range of approximately 10–150 m and a
discharge range of 0.003–0.5 m3/s. Mixed flow PATs exhibit pressure head values ranging from 7 to 50 m and discharge values ranging
from 0.002 to 0.75 m3/s. Multistage-radial flow pumps are more suitable for pressure heads between 50 and 1000 m and discharge
rates between 0.001 and 0.03 m3/s. Axial flow pumps are preferable for pressure heads ranging from 2 to 7 m and volume flows
between 0.04 and 10 m3/s. Double suction pumps are well-suited for operating conditions with a head range of 10–200 m and a flow
rate of 0.2–0.7 m3/s. Numerous theoretical/empirical, numerical, and experimental investigations have been conducted and docu­
mented in the literature to predict the performance of pumps in the reverse direction.

3.1. Theoretical/empirical approaches

A mathematical model was implemented to study the performance of PAT by converting partial differential equations (PDE) into
ordinary differential equations (ODE) [68]. In a micro-hydro power application, a statistical method was employed to select a suitable
PAT, followed by performance analysis using numerical [38] and experimental [73] approaches. However, the study does not provide
a comprehensive understanding of the relationship between site characteristics and pump hydraulic data. Yang et al. [69] introduced
the entropy production theory to evaluate the irreversible losses in axial flow PATs. The most significant method for selecting a suitable
pump to be used in the reverse direction is by employing conversion factors at the BEP for pressure head and flow rate [36,74]. The
work conducted by Kramer et al. [75] demonstrated the technical and economic feasibility analysis of a stainless-steel pump. Con­
version methods were subsequently established to predict the BEP of the pump when used as a turbine (Eq. (1)). The authors suggested
that experimental studies are essential for accurately determining the complete characteristics curve.
ηbep,T = ηbep,P ± 0.02 (1)

The BUTU method (the pump as a turbine in Spanish), based on curve fitting of experimental data, is presented [76]. This method
evaluates the performance of PAT in terms of output power (Eq. (2)), pressure head (Eq. (3)), and efficiency (Eq. (4)) as follows.
Pp
= 2η9.5
p + 0.205 (2)
Pt

Hp
= 0.85η5p + 0.385 (3)
Ht

ηt = ηp − 0.03 (4)

where p and t represent the pump in direct and reverse mode.

Wang et al. [77], Yang et al. [37], Barbarelli et al. [38], Pienika et al. [59], and Venturini et al. [78] assumed the same rotational
speeds for both pump direct and reverse modes. According to the infinite-blade theory, Euler’s head (Ht ) in pump direct and reverse
modes is similar.
1
Ht = (u2 vu2 − u1 vu1 ) (5)
g

where vu1 and vu2 represent the peripheral elements of velocity at the high and low-pressure sides, respectively. The variable u1 and u2
denote the peripheral speeds, and g represents the gravitational acceleration. In Eq. (5), vu2 tends to zero; therefore, Euler’s head (Eq.
(6)) is defined as:
u1 vu1
HP Euler = = Ht Euler (6)
g

Due to the slip caused by the finite number of blades, the theoretical head (H″) for both the pump (Eq. (7)) and turbine (Eq. (8)) is
given by:

H″p = μHp Euler (7)

/
H″t = Ht Euler λ (8)

where μ and λ are the slip factors for pump (Eq. (9)) and PAT (Eq. (10)) mode operation, respectively.
ΔHp
μ= (9)
HEuler

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A. Nasir et al. Heliyon 10 (2024) e26084

ΔHt
λ= (10)
HEuler
Capurso et al. [79] worked on slip factor correction in a one-dimensional performance prediction model for PAT. To further
evaluate the significance of accounting for the slip phenomenon at the outlet of the runner, the model was applied to another
double-suction centrifugal pump. This pump was tested in both operating modes and shares similarities with the referenced machine,
including a similar specific speed number, the same number of blades, and a similar outlet blade angle.
From the fundamentals of energy transfer in hydraulic turbines, the output power (Pt ), theoretical head (Ht ), and hydraulic effi­
ciency (ηh ) can be represented by Equations (11)–(13) [80]: In Equation (13), Htotal represents the sum of both losses and theoretical
head. The conversion factor proposed by the researchers is summarized in (Table 1).
Pt = ρgQHt − Pmech − Pleak (11)

Ht = σHEuler (12)

Ht
ηh = (13)
Htotal
Stefanizzi et al. [86] developed a performance prediction model for multistage centrifugal pumps used as turbines with two-phase
flow. In their study, a 6-stage centrifugal pump operating as a turbine was used as a case study to develop a theoretical model. The goal
was to predict the performance of a pump as a turbine operating with a two-phase flow, where the properties of the fluid are known. In
this model, the fluid is assumed to have no vapor phase at the inlet section of the machine, while both the mass vapor fraction and the
volume vapor fraction are increased during the expansion process.
The velocity triangle method is another theoretical approach used to analyze the performance of a PAT [37]. It involves analyzing
the velocity vectors of the water at both the outlet and the inlet, and evaluating the power output and efficiency based on the resulting
fluid velocities.
The performance of a 4-blade axial flow pump equipped with a 980 rpm induction generator in both pump and turbine modes was
examined [59]. To gain a better understanding of the interplay between these two operations, the researchers utilized the Euler
equation and velocity triangles. The findings highlight that utilizing an axial pump as a turbine instead of traditional axial turbines
offers a compelling alternative for reducing investment costs.
When delving into the energy conversion characteristics of the PAT, the theoretical approach can only provide a macroscopic
perspective [22]. As a result, the theoretical approach is suitable for investigating flow domains with limited parameters, but it be­
comes challenging to examine PATs in detail.

3.2. Numerical investigations

Computational Fluid Dynamics (CFD) is considered a suitable tool for determining the characteristics curve and BEP of the PAT.
Bozorgi et al. [12] conducted simulations of a pump operating in the reverse direction using computational fluid NUMECA software.
The study focused on low-head Pico-hydro resources. The simulations involved solving the Reynolds-averaged Navier Stokes (RANS)
equations coupled with the Spalart-Allmaras turbulence model. The results showed that axial pumps can be viable alternatives to
conventional turbines in low-head hydropower sites. Simão et al. [36] presented a numerical investigation of two PATs operating in
parallel and single arrangements. The study highlighted the advantages of PATs operating in parallel, particularly in terms of covering
a wider range of discharge compared to single-mode operations. Frosina et al. [74] predicted the performance of three pumps with
specific speeds (Ns = 37.6, 20.5, and 64.0) operating as turbines at various flow rates (8–21 L/s) using numerical and experimental
approaches. The results showed that the pump’s performance improves as the flow rate increases from 8 to 21 L/s. It was also noted
that optimizing the impeller blades is crucial for achieving better performance in power-generating applications when using pumps as
turbines.
Telikani et al. [87] proposed an evolutionary Artificial Neural Network (ANN) based on a typology of the differential evolution
algorithm to predict the performance curves and BEP of a PAT using information obtained from the pump’s direct mode. The accuracy
of this approach was assessed through experimental tests.

Table 1
Conversion factors proposed by different scholars.
Authors q h

Yang et al. [81] 1.55 1.99

Alatorre-frenk [76,82], Bogdanovic-Jovanovic et al. [76] 0.85η5P + 0.385 1
2η9.5
P + 0.205
0.85η5P + 0.385
Huang et al. [83], Yang et al. [37], Barbarelli et al. [38], and Wang [77] QT HT
QP HP
Stepanoff [84] 1 1
√̅̅̅̅̅
ηP ηP
Sun-Sheng [39] 1.2η− 0.55
1.2η− 1.1

Aidhen et al. [85] – 1.56

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A. Nasir et al. Heliyon 10 (2024) e26084

In the study by Miao et al. [88], a single-stage pump operating in the opposite mode was selected and simulated using 3D modeling
software called Pro/Engineer. The pump had the following parameters: discharge = 12.5 m3/h, head = 30.7 m, rotating speed = 2900
rpm. A structured hexahedral mesh was created using ICEM. The study aimed to evaluate the variations in power across different
sections of the impeller under different working conditions. The input power in different areas of the impeller blade and the energy
transfer from the water to the impeller were analyzed. The impeller was divided into 6 sections, with the front and central parts
identified as the significant sections where work is primarily done by the fluid. The work done by the fluid in the rear area was
relatively small, indicating the need for optimization in the impeller’s rear part to improve performance. Shi et al. [89] conducted an
unsteady 3D simulation based on the RANS equations to analyze the turbine mode with a guide vane. The study focused on the pressure
fluctuation behavior and the stability of hydraulic turbine operation. It was observed that the pressure fluctuation varied with different
flow rates, with higher flow rates resulting in more significant pressure fluctuations.
Bogdanovic-Jovanovic et al. [76] analyzed the characteristics of the turbine mode and investigated improvements in the internal
hydraulic performance of a PAT using the commercial code Ansys CFX. The simulation employs the 3-D incompressible RANS
equations coupled with the standard k-ε turbulence model. An unstructured computational mesh is utilized, with a fixed number of
270,373 nodes and 1,116,956 elements determined after conducting the grid independence study. The overall pump characteristic is
evaluated by considering variables such as net head, hydraulic output torque, discharge, and rotational speed.
Scholars have also examined both the direct mode (pump) and inverse mode (PAT) operations [90]. In the study of Kan et al. [62],
the energy loss characteristics and flow dynamics of an axial-flow PAT in both pump and turbine modes are analyzed. To achieve this, a
numerical simulation approach is employed, utilizing the entropy production theory. The study aims to develop an energy loss in­
tensity model in the cylindrical coordinate system. This model quantitatively describes the spatial variation pattern of energy losses in
both pump and turbine operating modes.
Yang et al. [37] presented the performance prediction of a centrifugal pump using CFD in both pump and turbine modes. To obtain
more accurate results, a hexahedral structured mesh was created using ICEM-CFD. The computational domain was divided into five
sections: volute, front chamber, impeller, back chamber, and inlet pipe. To validate the simulated results, the pump was manufactured
and tested on an experimental test rig.
Renzi et al. [91] conducted a case study that examined the installation of an axial pump operating as a turbine in a branch of the
wastewater sewer in Italy, considering both technical and economic aspects. The study identified an appropriate design for the axial
PAT using Ansys Workbench, and CFD simulations were conducted for the PAT design in both pump and turbine modes. The results
indicate that axial flow pumps offer great potential as a viable alternative to conventional turbines. (Table 2) and (Fig. 1) provide an
overview of the turbulence models applied by different researchers. Based on the literature survey, it is found that the standard k-ε and
SST k-ω turbulence models are widely used, accounting for 45% and 33% respectively.

3.3. Experimental analysis

Testing the characteristics of a PAT through a laboratory setup is considered the most reliable approach for predicting its per­
formance. However, it is important to consider the potential effects of measurement inaccuracies when conducting experiments.
Raman et al. [107] conducted experiments on a radial flow pump with a specific speed of 15.36 to determine its reverse performance.
The peak flow rate and pressure head were 8.3 l/s and 22 m, respectively, and the pump operated at a speed of 1500 rpm.
Non-dimensional parameters, such as the head coefficient (ψ), discharge coefficient (φ), and power coefficient (π), were used to
present the results (Equations (14)–(16)) [108,109].
gh
Ψ= (14)
n2 D2

Q
φ= (15)
nD3

P
π= (16)
ρn3 D5
Ismail et al. [110] conducted an experimental design and investigation of a PAT for a micro-hydro system, evaluating its perfor­
mance across various rotational speeds. The maximum flow and head achieved were 8 l/s and 14 m, respectively. The power produced,

Table 2
Turbulence models applied by different researchers.
Turbulence model No. of papers Author

Standard k- ε 24 [35,68,38,53,63,69,92,71,72,83,76,78–80,82,84–91,93]
SST k- ω 18 [54,57,58,60,72,82,93–104]
RNG k-ε 4 [69,72,77,82]
Standard k-ω 4 [72,85,93,105]
Realizable k-ε 2 [82,106]
RSM 1 [104]
Spalart-Allmaras 1 [12]

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A. Nasir et al. Heliyon 10 (2024) e26084

Fig. 1. Summary of turbulence models.

available hydraulic input power, and overall efficiency can be expressed by Equations (17)–(19), respectively. The tested pump
exhibited a peak efficiency of 65.04% in turbine mode. However, there was a significant decline in efficiency at off-design points.
2πN τ
Pmechanical = τ × ω (Watt) = (Watt) (17)
60

Phydraulic = ρgQH (Watt) (18)

Pmechanical
η= × 100 (%) (19)
Phydraulic

Lin et al. [96] conducted tests on a low-specific speed pump operating in reverse mode using an experimental test rig. The voltage,
current, flow rate, and pressure head of the PAT were measured. The results showed a good agreement between the model and
experimental results under all tested conditions. In the study by Rossi et al. [34], experimental tests were performed to analyze the
performances of both modes. Torque, mechanical power, and efficiency were evaluated under different load conditions. The findings
indicate that a peak efficiency of 76% can be achieved in both the direct and reverse modes when operating at a specific speed of 0.57.
In comparison to other related studies (e.g., Refs. [107,110]), the disparity between the numerical values of flow rate and head of the
pump in both forward and reverse modes is large.
Delgado et al. [111] conducted experiments to investigate the variable speed operation of a centrifugal pump as a turbine. They
tested three single-stage centrifugal pumps with specific speed values of 23.1, 41.0, and 67.3. The results demonstrate that operating

Table 3
Comparison of simulated and tested outputs at the BEP.
Author Parameters Turbulence model Numerical value Experimental value Absolute error (%) ≈

Bozorgi et al. [12] ψ Spalart-Allmaras 2.54 2.59 1.93

π 0.67 0.69 2.90
η 62.23 61.05 1.93
Bogdanovic-Jovanovic et al. [76] H Standard k- ε 14.95 14.78 1.15
Yang et al. [37] H Standard k- ε 33.40 32.40 3.09
P 4.72 4.56 3.51
η 60.31 59.98 0.55
Sun-Sheng et al. [81] H Standard k- ε 33.71 32.40 4.04
P 4.98 4.56 9.21
η 63.03 59.98 5.09
Sun-Sheng et al. [39] H Standard k- ε 40.69 41.04 0.85
Q 95.00 96.99 2.05
P 6.92 6.78 2.06
η 65.77 62.53 5.18
Miao et al. [88] H RNG k-ε 47.86 46.22 3.55
η 62.43 58.60 6.54
Shi et al. [89] H Standard k- ε 127.71 123.07 3.77
η 83.02 78.71 5.48
Shi et al. [112] H Standard k-ω 165.50 157.84 4.85
P 154.10 144.26 6.82
η 76.28 75.35 1.23
Shi et al. [94] H Standard k- ε 44.84 46.00 2.52
η 73.83 70.85 4.21

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A. Nasir et al. Heliyon 10 (2024) e26084

the machines at variable speeds expands the discharge-specific energy operating range and improves efficiency. Additionally, the
extended operation revealed that these hydraulic machines do not exhibit an instability region near the runaway conditions. The
researchers recommended further research to develop a control algorithm that can effectively manage the discharge or downstream
pressure in PAT systems.
Aidhen et al. [85] suggested that care should be exercised when using a pump as a turbine in small hydropower plants. It is
important to carefully control and maintain the output of the PAT within the appropriate range for the shaft, bearings, and couplings.
Generally, both numerical and experimental results have shown that pumps can be successfully used as hydraulic turbines without
encountering mechanical difficulties. However, to achieve optimal performance, some parameters of the pump must be modified
before it is used as a turbine [69,76]. The error (Eq. (20)) between the simulation and experimental results for different PAT pa­
rameters is presented in (Table 3). The turbulence models used in the studies are also specified, and it is observed that the standard k-ε
model exhibits both maximum and minimum deviations (error). This indicates that the accuracy of numerical simulations is influenced
not only by the choice of turbulence model but also by other factors such as software type, grid size, physics setup, and more.
CFD value − Experimental value
Error = × 100 (20)
Experimental value
The output of the CFD simulation showed excellent agreement with the experimentally tested results, with a deviation of less than
10%. In many cases, the numerically predicted values demonstrated high accuracy and matched well with the experimental data. As a
result, computational fluid dynamics is considered a suitable approach for analyzing the performance of pumps operating in reverse
mode and determining the optimal working point.

3.4. Case studies

This subsection provides a summary of research papers that have examined the installation of PAT systems in real water distri­
bution networks. These studies focus on utilizing PATs as a replacement for pressure regulation valves and recovering a substantial
amount of energy.
Balacco et al. [113] developed a tool that can assist in selecting the pump as a turbine based on specific characteristics of water
distribution networks (WDNs). This tool is designed to apply to any WDN and machine catalog, and it can simulate water demand
patterns when flow rate data at the installation site is unavailable. The researchers introduced an algorithm that has been automated in
a computer tool called PaT-ID. The effectiveness of the algorithm was evaluated by testing it on the WDNs of two towns in the Apulia
region of Southern Italy as case studies. The results demonstrate the code’s excellent potential in aiding decision-makers and reducing
time-to-market. However, it is important to note that this approach does not calculate energy production or include an economic
analysis of the PAT.
Alberizzi et al. [114] examined a practical scenario in Laives, a small city in the South Tyrol region of Italy, to demonstrate the
benefits of speed control in PAT. To establish a correlation between the pump and turbine modes, the researchers determined the
specific speed and specific diameter of the machine while operating in pumping mode, and compared it to the specific speed and
specific diameter of the machine while operating in turbine mode.
Rossi et al. [28] conducted a study to explore the potential of PAT for energy recovery and pressure regulation. The researchers
specifically examined the Egna municipality Water WDN located in Northern Italy. The selection process for PATs involved analyzing
the available flow rates and heads within the network. To evaluate the BEP parameters of each PAT, analytical relationships based on
specific speed and specific diameter were established through experimental tests conducted on multiple PATs.
Marini et al. [27] introduced a novel approach to the selection of pumps as turbines. The researchers applied the proposed
methodology to a practical network to demonstrate the advantages of replacing a pressure-reducing valve with a PAT in a real water
distribution network district located in Benevento, Italy.
Filannino et al. [115] conducted an experimental test to explore the performance of a PAT within a potential layout integrated into
a WDN. The machine used in the study was selected using a specific procedure to ensure its BEP aligns with the average flow rate of the
daily flow pattern of an Italian WDN located in Southern Italy. PAT tests were conducted at a constant speed, employing a typical
hydraulic control scheme and incorporating a bypass. The results demonstrate the feasibility of recovering a significant amount of
hydraulic energy through the implementation of a bypass hydraulic control scheme.
Fontana et al. [116] examined a WDN in the city of Naples to evaluate the potential benefits of energy recovery instead of dissi­
pating excess pressure. Their analysis revealed that implementing energy recovery measures could result in substantial energy savings
and a significant reduction in water loss. Additionally, the researchers conducted a preliminary economic analysis for the installation
of PAT, which demonstrated attractive profit potential and a reasonable capital payback period.
An innovative booster set featuring two centrifugal submersible borehole pumps operating as a turbine was introduced in a study
by Carravetta et al. [35]. The research also presented an optimal hydraulic regulation scheme for the plant, aiming to achieve a balance
between low installation costs and simplified plant management. To conduct the study, a branch of an actual WDN situated in the
village of Granville in Normandie, France, was selected as a case study. The findings of this research can provide valuable insights for
network managers and technicians seeking to enhance energy efficiency and implement energy recovery in their networks.
Morani et al. [117] conducted a study using a real water network located in Ireland, approximately 100 km away from the capital
city, Dublin. The research focused on comparing direct pumping and indirect pumping methods, specifically evaluating the efficiency
of the system when equipped with energy recovery devices such as a PAT. The case study findings suggest that direct pumping can be
more efficient than indirect pumping.

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4. Performance improvement

The efficiency of PATs is typically lower than that of Francis turbines [118], which are commonly used for hydroelectric power
generation. Additionally, PATs often have lower efficiency compared to cross-flow turbines [119], which are frequently utilized in
micro-hydropower plants in developing regions. Generally, PATs exhibited lower performance compared to purpose-made turbines.
The main reason for this is that some components specially impeller blades are not suitable to operate in the reverse direction [75,88].
Therefore, when using the pump as a turbine, it is necessary to properly enhance the impeller blades to achieve maximum
performance.
The performance of the PAT can be enhanced through various methods, including blade profile optimization [95], blade tip
rounding [13,71,120], impeller diameter trimming [13], adjusting the number of blades [112], implementing splitter blades [39,
121–123], blade grooving [102], and modifying blade thickness [80].
Optimization of a single-stage centrifugal pump operating in turbine mode was carried out in a numerical study [95]. In this work,
nine coordinate values were considered as control points. The efficiency of the modified PAT increased by 2.91%. Although there was a
slight increase in hydraulic loss in the outlet pipe and volute; overall, the total loss decreased.
The effects of impeller blade rounding on the performance of the PAT were investigated in studies [13,120]. The efficiency of the
PAT increased by up to 4% at the rated speed when the original impeller was used in different operating sections. In the research
conducted by Derakhshan et al. [71], the impact of blade rounding on the performance of the PAT, with a specific speed of 23.5 as a
turbine, was presented. A gradient-based optimization approach, in conjunction with a 3D Navier-Stokes flow solver, was employed to
modify the blade shape and achieve higher efficiency in turbine mode.
Yang et al. [81] conducted numerical simulations and experimental examinations on an axial flow PAT with different impeller
diameters of 255 mm, 235 mm, and 215 mm. The study found that the efficiency and flow rate at the BEP decreased by 2.17% and 20
m3/h, respectively, as the impeller diameter decreased from 255 mm to 215 mm. A review presented by Liu et al. [40] revealed that
impeller trimming negatively affects performance; however, it is important to adjust the best efficiency point. In the experimental
investigation conducted by Jain et al. [13], the influence of impeller diameter (250 mm, 225 mm, and 200 mm) on the performance of
the PAT was studied. The study found that the maximum efficiency was achieved at a diameter of 225 mm.
The influence of the number of blades (10, 11, 12, and 13) on the performance of the PAT was analyzed both numerically and
experimentally [112]. Numerical calculations were performed using ANSYS CFX, and the results were validated using experimental
data. It was found that when the number of blades was 10, the PAT exhibited the highest peak efficiency and the flow became more
stable. Similarly, Ismail et al. [103] investigated the impact of blade numbers (5, 6, 7, and 8) on the PAT’s performance. The study
revealed that the highest efficiency was achieved when the PAT had 7 blades.
The effects of splitter blades on the performance of PAT were investigated both numerically and experimentally by Yang et al. [39].
The study focused on a PAT with a rotational speed of 1500 rpm. It was found that after the implementation of splitter blades, the
efficiency was increased by 3.42%.
In the numerical research presented by Yang et al. [80], the effect of blade thickness on the performance of the pump as a turbine
was investigated. The study revealed that reducing the blade thickness resulted in a decrease in total hydraulic loss and an increase in
efficiency. Furthermore, the research highlighted the influence of blade inlet width and blade angles on the performance of the pump
as a turbine.
The effect of blade inlet angle, which is an important parameter for guiding the flow appropriately [102], on the performance of the
PAT was investigated. The study determined that the suitable range of blade inlet angle is 25◦ –35◦ [95]. CFD was employed to evaluate
blade inlet angles of 20◦ , 25◦ , 30◦ , and 35◦ [81]. The results showed that as the blade angle increased from 20◦ to 35◦ , the flow at the
BEP improved by 2.50 m3/h, and the maximum efficiency was achieved at a blade inlet angle of 30◦ .
Zhao et al. [97] conducted a study to investigate the performance enhancement of an axial-flow pump operating in turbine mode
with the implementation of inlet guide vanes (IGVs). The researchers redesigned and installed adjustable IGVs with five different
angles in front of the impeller of the axial pump, aiming to expand the operating range for high efficiency in PAT mode. The obtained
results indicate that the adjustable IGVs significantly influence the performance of the axial pump, particularly by expanding the
high-efficiency regime in PAT mode. In a related study, Qian et al. [124] performed a performance evaluation of an axial-flow pump
operating in turbine mode, utilizing adjustable guide vanes. The motivation behind using the PAT instead of a conventional turbine

Table 4
Results of PAT modification techniques.
Author Methods Efficiency improvement (%)

Sun-Sheng et al. [39] Splitter blades 3.42

Shi et al. [112] Number of blades 1.75
Miao et al. [95] Optimization 2.91
Derakhshan et al. [71] Blade rounding 4.00
Optimization 2.75
Singh and Nestmann [120] Blade rounding 2.00
Yang et al. [80] Blade thickness 1.40
Xia Shi et al. [94] Guide vane numbers 2.00
Nasir et al. [102] Blade grooving 4.91
Yu et al. [122] Splitter blades 1.30

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A. Nasir et al. Heliyon 10 (2024) e26084

was to reduce the initial capital cost and payback period.

Bayatloo et al. [41] conducted an experimental study on performance improvement of a pump operating as a turbine for energy
recovery considering the effects of polymer additives. The study focuses on investigating the impact of polymer additives, specifically
drag-reducing agents, on the performance of a centrifugal pump operating in turbine mode. The results of the study demonstrate that
the utilization of working fluids with viscoelastic properties, containing additive polymers, leads to significant performance im­
provements for both reverse and direct pumps.
A new technique called blade grooving was introduced by Nasir et al. [102] to examine its impact on the performance of a
single-stage pump operating as a turbine. In their numerical study, they achieved a 4.9 percent improvement in efficiency. The effects
of various modification techniques proposed by different researchers for different pumps are summarized in (Table 4).
Among the various techniques explored by scholars to enhance the performance of the PAT, two promising techniques have
emerged: blade grooving and rounding the impeller at the inlet. These techniques have shown significant efficiency improvements,
with blade grooving achieving an efficiency improvement of 4.91% and impeller rounding at the inlet resulting in a 4.00% efficiency
improvement.

5. Economic analysis

The sustainability of Pico/micro-hydro projects for rural electrification can be achieved by employing a sustainability assessment
model that encompasses social, economic, environmental, and technical aspects [8,110]. In these plants, the cost of electro-mechanical
components is relatively higher compared to large hydro systems, accounting for approximately 35–40% of the total project cost.
However, this cost can be reduced by utilizing PAT technology instead of purpose-made turbines [19,125].
Relatively, a limited number of studies are focused on the economic analysis of PAT for power-generating applications. In their
study, M. De Marchis et al. [68] investigated the economic advantages of utilizing PAT technology in the WDN. The objective was to
assess the economic benefits of energy recovery through PATs from the fluid line, instead of conventional devices. The analysis was
conducted using a mathematical model and has been applied to a small town close to Palermo city (Sicily), called Misilmeri. The
computed compound payback time achieved values of about 2 years or 12 years as a function of the PAT position, clearly showing that,
in some cases, the investment is economically unfeasible.
Motwani et al. [19] conducted a cost evaluation comparing the PAT and Francis turbine. The comparison considered aspects such
as overall efficiency, initial cost, life cycle cost analysis, and cost of electricity generation. The electricity generation cost was found to
be 0.059 USD/kW for the Francis turbine and 0.012 USD/kW for the PAT.
De Marchis et al. [126] proposed the numerical model which has been applied to the WDNs of Palermo city (Sicily). To identify the
most suitable solution in terms of energy power production without compromising the hydraulic performance of the network in terms
of service delivery. The authors used a cost of 2000 €/kW for both the PAT and generator. The result showed that a really attractive
capital payback period was achieved when the PATs were installed in the pipes located close to the water supply node.
In the research conducted by Chacón et al. [127], an advanced statistical methodology is developed to determine the power
available for energy recovery through radial PATs in on-demand irrigation networks found in southern Spain. Then, a cost model was
employed that estimated the cost per kW of PATs with induction generators based on the number of magnetic poles. The results of these
studies collectively demonstrate that using PATs for power-generating units is cost-effective, often representing just 10% of the cost of
purpose-made turbines.
Different authors have proposed various methods for estimating the cost of the PAT and generator. Ramos et al. [128] suggested a
cost range of 200–400 €/kW for the PAT, specifically for nominal power lower than 40 kW. Carravetta et al. [129] planned a cost of 230
€/kW for the turbine’s nominal power and 115 €/kW for the generator.

6. Conclusions and prospects

In various sections of this review paper, it has been recognized that extensive investigations have been conducted on the perfor­
mance analysis, performance improvement, and economic analysis of the pump operating in reverse mode. Real case studies are also
considered by various researchers to justify their proposed methodology.
According to our analysis, the application of PATs proves to be both technically and economically appealing alternatives for Pico/
micro-hydropower applications. PAT can efficiently utilize various power sources such as natural streams, irrigation pipelines,
wastewater sewers, and industrial WDNs. To address the limitations associated with PAT, it is crucial to select an appropriate pump
and strategically determine the PAT’s location within the piping system. The initial performance of the PAT can be enhanced by
controlling the fundamental design parameters. This involves making adjustments such as changing the number of blades, application
of splitter blades, decreasing blade thickness, blade profile optimization, blade tip rounding, adjusting blade angles, and blade
grooving. Among the various modification techniques discussed in the literature, blade grooving and blade tip rounding have emerged
as the most promising methods with efficiency improvement of 4.91% and 4.00% respectively. However, impeller diameter trimming
has a negative impact on the performance of PAT. The economic analysis demonstrates that the utilization of PAT is economically
viable, as long as the available stream flow surpasses the design flow rate. With the aid of the PAT position, an attractive payback
period of about a year and 8 months was reported.
Additional research is needed to establish generic mathematical correlations between site-specific hydraulic data and pump per­
formance. Analyzing the economic feasibility of PAT with impeller modifications is also a promising area for future research.
Furthermore, conducting comparative studies on various turbulence models to determine the most effective one is essential. A

9
A. Nasir et al. Heliyon 10 (2024) e26084

comprehensive investigation into the choice of material for the impeller is crucial, particularly when considering the reduction of blade
thickness and application of blade grooving.

Data availability statement

Data will be made available on request.

Additional information

No additional information is available for this paper.

CRediT authorship contribution statement

Abdulbasit Nasir: Writing – review & editing, Writing – original draft, Data curation, Conceptualization. Edessa Dribssa: Writing
– review & editing, Writing – original draft, Supervision. Misrak Girma: Writing – review & editing, Writing – original draft, Visu­
alization, Funding acquisition.

Declaration of competing interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to
influence the work reported in this paper.

Acknowledgements

The authors acknowledge the financial assistance provided by Addis Ababa Science and Technology University (AASTU) through
internal research grants (Grant No. EM-229/19-1/21).

Abbreviations and acronyms

BEP Best Efficiency Point

CH Head conversion factor
CQ Flow rate conversion factor
CFD Computational Fluid Dynamics
H Head
k Turbulent kinetic energy
n Rotational speed
Ns Specific speed
PAT Pump as turbine
Q Flow rate
RANS Reynolds-averaged Navier Stokes
SST Shear Stress Transport
WDN Water Distribution Network
η Efficiency
ρ Density
ε Dissipation
ω Specific dissipation rate
φ Discharge number
ψ Head number
π Power number

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