Renewable and Sustainable Energy Reviews 79 (2017) 148–179

Contents lists available at ScienceDirect

Renewable and Sustainable Energy Reviews

journal homepage: www.elsevier.com/locate/rser

Investigation on pump as turbine (PAT) technical aspects for micro MARK

hydropower schemes: A state-of-the-art review
⁎ ⁎
Maxime Binamaa, Wen-Tao Sua, , Xiao-Bin Lia, Feng-Chen Lia, , Xian-Zhu Weia,b, Shi Anc
a
School of Energy Science and Engineering, Harbin Institute of Technology, Harbin 150001, China
b
State Key Laboratory of Hydropower Equipment, Harbin Institute of Large Electric Machinery, Harbin 150040, China
c
School of Management, Harbin Institute of Technology, Harbin 150001, China

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.

1. Introduction augmentation of the yearly total world electricity generation in the

Energy is unarguably the key factor for today's economic and social
development within nations. The provision of reliable, secure and
affordable energy services is central to addressing many of today's
global development challenges [1]. Electricity as one of many energy
forms is a critical input to developing countries in the struggle to the
national self-satisfaction in all domains. Being a secondary source of
energy, electricity can be obtained through the conversion of primary
sources of energy, such as fossil fuels, nuclear energy or green energy
[2]. From the early age, mankind require electrical energy to fulfil their
needs such as lighting their houses, running industrial processes,
heating and cooling for comfort, communication and numerous others
[3]. However, both the demographic growth and the socio-economic
development that took place during the last century have led to a
continuous increase in electricity demand. These two events caused an
period 1973–2008, which increased from 6’116 TW h/year to
20’181 TW h/year [4].
Despite this demonstrable increase in world electrical energy
production, there is still shortage of electricity supply and other forms
of modern energy in most of the developing countries [5]. According to
the International Energy Agency, 1.4 billion people worldwide have no
access to electricity [6], Sub-Sahara African region being the worst hit,
yet the region is endowed with several resources from which modern
forms of energy can be generated, for example hydropower [7].
Fossil fuels have been the main electrical energy sources for the
past years (67%). However, owing to their fast rate depletion and the
environmental pollutions they produced, many utilities have switched
their generation sources to renewable energy sources [8]. Moreover,
the increase in oil prices and subsequent worldwide energy crisis in
1973 prompted many countries to search and develop renewable

⁎
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.
sources of energy [9,10].
Many researchers and field players have shown their worries about
the extensive use of conventional energy resources at the time. For
instance, Akella [11] has demonstrated the undeniable contribution of
conventional energy sources such as oil, coal and natural gases, to the
economic development, but also showcased their serious environmen-
tal impacts. The use of renewable energy was also discussed.
Thereafter, the results confirmed that after the installation of renew-
able energy system in remote areas, the total emission reduction in
different years had been exponentially increasing [10].
Nevertheless, as far as electricity is concerned, hydropower is the
most important renewable contribution to the primary energy supply
mix. It represents more than 92% of all worldwide renewable energy
generated, and it continues to stand as the most important renewable
energy source [12].
Hydropower is a renewable energy source based on the natural
water cycle, and actually the most mature, reliable and cost-effective
renewable power generation technology available [13]. It contributes to
around 16% of the World electricity supply generated from about
20,053 TW h of installed capacity [14]. In many countries it is the main
source of power generation e.g. Norway – 99%, Brazil – 86%,
Switzerland – 76% and Sweden – 50% [8]. Hydropower is the most
flexible source of power generation available and is capable of
responding to demand fluctuations in minutes, delivering base-load
power and, when a reservoir is present, storing electricity over weeks,
months, seasons or even years [6,13].
While large hydropower plants feed the national grid, typical off-
grid micro hydropower plant (MHP) is the most popular solution for
electrification among rural communities, supplying the power in the
range of 5–100 kW, usually using a run-of-the-river to divert some of
the water from the river before dropping into a pressurized penstock
[15]. Note that there is no worldwide consensus classifying hydropower
into specific categories [5,16,17]. However, in accordance with indivi-
dual countries’ administrative purposes [5,18], hydropower plants have
been classified in terms of head or installed capacity, with different
upper and lower limits for each category. Table 1 shows one of used
classifications as found in the literature.
The main components that comprise typical MHP schemes are
electromechanical equipment, civil structures, and energy distribution
systems [19], the turbine being one of the critical technological
components of the MHP project [5]. Small and micro hydropower
installations have, historically, been cheap to run but expensive to
build. This is now changing, with smaller, lighter and more efficient
higher-speed turbine equipment [20].
Among the different elements of the plant, the turbine is at the
earth of the energy production; it's the same for the electric generators.
For these crucial elements which are directly connected to the positive
column of the financial balance of the plant, it's very important to
search the highest efficiency without weighed down the budget [23]. So
the game has to be played on both legs but sometimes including case-
sensitive priorities. The mostly met problem in micro turbines is their
higher price compared to full scale ones with respect to the whole
project budget, owing to their expensive manufacturing price. For
instance, it's very difficult, time-consuming, and costly to develop such
site-specific turbines in accordance with the local ecology [18].
Table 1
Hydropower scheme classification.
Hydro scheme Capacity (Haidar et al. [21]) Capacity (Williams [22])
Large More than 100 MW More than 100 MW
Small Up to 25 MW 1–10 MW
Mini Below 1 MW 100 kW to 1 MW
Micro 6–100 kW 5–100 kW
Pico Up to 5 kW Up to 5 kW
149
Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Fig. 1. Cost distribution for large and micro hydropower plants.
The cost of electro-mechanical components in large hydro-power
plants is around 20% but in MHPs it is relatively high and varies from
35% to 40% of the total project cost which may rise even up to 60% or
70% of the total project cost in some typical cases [24] (See Fig. 1).
Other details about large and small scale HP plants have been
presented through [25]. Therefore, a better solution to this issue would
be finding cheaper electro-mechanical equipment but considering three
fundamental conditions, viz. simplicity, efficiency, and reliability.
One way to reduce the equipment cost has been the use of a
standard pump unit as an alternative to a conventional turbine [26–
29]. Pumps are mass-produced, and as a result, have different
advantages for MHP compared to purpose-made turbines, viz. avail-
ability in large number of standard sizes for a wide range of heads and
flows [26–28], short delivery time [28–32], long life span [29–33] and
easy installation and availability of spare parts such as seals and
bearings [26–28]. Islam et al. [34] discussed the possibility of setting
up a micro hydro scheme in hilly areas of Bangladesh ranging from 300
to 500 m which was actually a viable proof for setting up pump turbine
systems in Bangladesh.
However, the first pump turbine had been set at a remote farm in
the Yorkshire Dales of the North England in 1930. This scheme has
been working for a five year testing time, after which its reliability was
confirmed before being transferred to other countries [26]. From then
on, pump turbine has become a hot topic amongst researchers and field
engineers, where indeed, it has been used at so many sites, mainly for
electricity provision in remote hilly regions away from central grid
reach (Table 2). Different researchers; Williams [26], Orchard and
Sander [35], Ramos and Borga [36], Derakhshan and Ahmad [37], and
Arriaga [38] among others, have provided information about the
applications and advantages of a pump working as a turbine, mainly
basing their arguments on its two most important features: “cost-
effectiveness” and “simplicity”.
Adding on the third one, “smallness”, which is also true in a way;
PAT's simple structural design would reflect its easily understandable
operations. However, owing to the philosophy behind the pump's
Table 2
PAT installations.
Location Capacity of plant Year of installation
Sainyabuli Province, Laos [38] 2 kW 2008
Thima Kenya [39] 2.2 kW 2001
Mae Wei village, Thailand [40] 3 kW 2008
West Java, Indonesia [41] 4.5 kW 1992
Kinko village, Tanzania [42] 10 kW 2006
Fazenda Boa Esperanca, Brazil [43] 45 kW 2007
Ambotia Micro-hydro project, India 50 kW 2004
[44]
British Columbia, Canada [45] 200 kW –
Vysni Lhoty, Czech Republic [46] 332 kW 2008
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179

functioning difference between conventional and reverse modes, pump

turbines flow dynamics and operational characteristics have not been
fully understood, thus requiring more research efforts in the same. As a
matter of fact, many researchers have tried different PAT efficiency
prediction methods but in vain, as the predicted results never got
validated through experimentation, with errors of the order of ± 20%
[47], and couldn’t cover a wide range of pump operating conditions in
reverse mode.
Moreover, the flow stability characteristics within these machines is
still an unresolved problem, so long as the so called “hump” and “s-
shape” characteristics for pump and turbine mode operating conditions
respectively, have not yet found a long-lasting solution in large size
pump turbines, most likely in pumped storage hydropower plants. Note
that the two stated abnormalities are accompanied by high pressure
fluctuations in the machine flow areas, resulting in numerous detri-
mental phenomena occurrence such as noise, vibration, and subse-
quent performance degradation.
Though the reasons for these failures are somewhat controversial,
Singh [44] through his theory “Small is beautiful but not simple”,
emphasized that one of the foremost causes is that these technologies
are considered easy and simple which do not need competence of
schooled engineers, scientists or policy makers. He also added that one
of the easily confused things is equating “small” to “simple”, as it
mostly results in a backfire. On the other hand, according to Gong et al.
[48], the s-shape characteristics is a natural phenomenon, that cannot
be completely eliminated, but can be reduced or controlled through
different modifications be it design or operation-related.
Taking from these grounds, the present paper, through a deep
literature survey, seeks to serve as awareness about the mostly met
techno-scientific problems in pump turbines’ daily operations, where
the PAT selection and performance prediction, as well as the pump
turbine flow stability aspects constitute the backbone to the presented
literature. This is done in the sense of scaling up the knowledge and
know-how in the same field, possibly leading to more future resolu- Fig. 2. Head-flow charts for hydro turbines.
tional inspirations within the academic and professional communities.
made turbines, the main drawback in its usage is generally the difficulty
2. Pump-turbine selection and performance prediction of finding the turbine characteristics that are needed to select the
correct pump for a particular site [26]. The adequate selection of the
2.1. Pump-turbine selection PAT has been a big challenge in the past decades, where different
aspects need a close attention, viz. available head range, capacity range,
Typical micro hydropower plants convert the falling water-con- back pressure at the turbine outlet, desired speed, etc. [18,50]. For the
tained energy to mechanical energy by turning the pump turbine, PAT based MHP cost effectiveness goal to be achieved, an optimum
which converts the water pressure into mechanical shaft power to drive operational design, smart selection of the equipment and reduced
an electric generator. The power available is proportional to the professional consultation must be implemented to lower the overall
product of head and volume flow rate as the general formula for cost [51–53]. Nevertheless, for the optimum PAT selection at a
hydropower systems shows [49]: particular site, there is a fundamental need of basic information about
the head and discharge available at the site, but most importantly, the
P = ηρgQH (1) expected PAT performance characteristics, which in fact, are two key-
where P is power output, η hydraulic efficiency, ρ fluid density, g factors to the PAT selection validity. However, the lack of PAT
gravitational acceleration, Q volumetric flowrate and H water head. performance data is always stated as one of the significant challenges
As shown in Eq. (1), the turbine selection process for a MHP of in the design of PAT for MHP sites [54]. Different researchers; Orchard
interest, should be based on the head and flowrate available at the site. and Sander [35], Franc et al. [55], Chapallaz et al. [56], Fraenkel et al.
The power output may also be related to the head to express the turbine [57] and Paish [49] among others, have so far provided head-flow
specific speed. charts depicting the range of application for different PATs (Fig. 2a). It
was generally concluded that multistage radial flow PATs fit sites with
nP1/2 high heads-low flow rates, whereas axial flow ones perform well at low
NS =
H 5/4 (2)
head-high flow rates sites. However, the use of single stage end suction
where Ns is the turbine specific speed and n is the real rotation speed of centrifugal PATs from low to medium heads, has also been recom-
turbine. This parameter characterizes the turbine runner, spiral casing, mended by many of researchers [37,50,58–64]. PAT selection can also
blade shape and other geometric design features, thus doesn’t depend be carried out through a head-specific speed chart. Avellan [65] has
on the size but the shape of the machine of concern [18]. For instance presented a head-specific speed chart for Francis-type reversible pump
two machines of similar shape and different size may have same turbines, where the PAT geometric design plays the key role in the
specific speed. classification process. PATs with narrow impeller channels at the
One of the biggest difficulties in micro hydropower technology is to runner inlet are characterized by high heads-low specific speeds, while
adapt the equipment to the specificity of the plant [23]. For instance, as PATs with wider impeller channels at the runner inlet are characterized
much the PAT can be having many advantages compared to purpose- by low heads-high specific speeds (Fig. 2b).

150
M. Binama et al.
Fig. 3. Turbine selection flow chart for micro hydropower schemes [5].
Kaunda et al. [5] has presented the systematic process of selecting
the optimum turbine according to the site conditions, where both the
importance of head-volumetric flowrate chart and the turbine specific
speed were recognized (Fig. 3), and different factors which can assist in
pump selection decision making, viz. investment cost of the turbine,
turbine design complexity, unit power generation cost, and the turbine
performance, were discussed as well.
The field applications of multistage, single impeller centrifugal and
axial flow pumps can be compared with Pelton, Francis and Kaplan
turbines respectively [66]. According to Lueneburg and Nelson [50]
and Sharma [67], all centrifugal pumps from low to high specific speed,
single or multistage, radially or axially split, horizontal or vertical
installations, in-line and double suction can be used in reverse mode.
However, depending on their operational principles or structural
design, some pumps cannot be reversed, thus being unfit for energy
generation applications. For instance, self-priming and wet-motor
submersible bore hole pumps cannot be reversed because of the
presence of a non-return valve. Dry-motor submersible pumps also
cannot be used mainly because of their over-heating issue.
The main weaknesses of simple PATs are generally the inability to
control the flow as they are not provided with flow control facilities
(guide vanes), and the poor performance at off-design operating
conditions, viz. part and over flow conditions. Therefore, they only
can work efficiently at a short range of discharges close to the full load
(80–100%).
However, MHPs are often required to work at off design conditions,
mainly from seasonal flow variations. In this case, the site flow rate can
pass or go below the maximum plant capacity in rainy or dry seasons
respectively. To take care of this issue, the site flow should be recorded
on the whole year, so that PAT selection can be performed based on the
lowest annual flow record. Another alternative would be running many
PATs in parallel to take care of the off design flow conditions. This
method would be more profitable as PATs can be switched on and off
depending on the site available flow [68], however, needing more
attention so that the MHP cost-effectiveness goal remains uncompro-
mised. In this respect, different researchers, such as Singh [44],
Spangler [69], Fraser et al. [70], Nicholas [71], and Hochreutiner
[72], have come out with a range of number of PATs ranging from 3 to
7, which when operated in parallel would be more efficient than a
single conventional turbine of a comparable capacity. The last technic
to be presented in this paper is the “siphon intake” method as
presented by Williams [47]. This method is used in low flow cases,
where the flow is accumulated and stored in a reservoir in order to
release the full flow to the PAT intermittently, thus producing an
intermittent power. This method is not convenient to engineering
applications requiring continuous energy supply, but it can serve for
different basic operations such as heating and battery charging.
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
2.2. Pump-turbine performance prediction
PAT is an economical alternative for small and micro-hydro
schemes in remote areas. A pump in reverse can generally handle
comparatively higher flow rates, which in turn may implicate higher
output energy ranges [73]. However, due to the fact that the pump
manufacturers do not offer performance curves of their pumps in
turbine mode; the selection of a suitable pump turbine to run under
site-specific operation conditions has become a big challenge [18]. A
large number of theoretical and experimental studies have been done
for performance prediction of reverse running centrifugal pumps [59].
The pump mode-based prediction technic is the easiest way as it
only requires the user to have access to the pump performance basic
information such as the flow rate QP , head HP and the efficiency ηP ,
which in turn makes it easy to find correspondent turbine mode
performance parameters through simple calculations. Therefore, the-
oretical researches were mainly based on pump mode performance
parameters where the head and flow correction factors play a key role
in PAT performance prediction.
Many researchers, e.g., Stepanoff [74], Childs [75], Sharma [76],
among others, have developed PAT performance prediction relations
based on pump best efficiency point (BEP) whereas others such as
Gopalakrishnan [77], Diederich [78], and Grover [79] have developed
their relations basing on the pump specific speed. However, theoretical
prediction methods have not provided a completely reliable solution to
the problem as their results were way erroneous as compared to field
test results. Therefore they may only be used to get a rough picture of
the required PAT characteristics, which need validation adjustment by
experimental methods. Selected PAT performance studies and their
respective findings have been chronologically presented by Jain et al.
[18] as shown in Table 3.
To some authors, e.g., Fraser [70], Garay [80], and Sharma [76]
among others, pump mode-based prediction methods are reliable, but
may need some corrections in particular cases. To some others, e.g.,
Burton and Muluget [81], Hanif [82], and Ventrone and Navarro [83]
to mention about, these methods are solely unreliable, but recognize
the pump geometry as the most fundamental parameter to base on PAT
performance predictions, as pump manufacturers don’t necessarily
provide universally standardized pumps. It is said that two pumps of
same BEP may sometimes have different performance in their turbine-
mode operations.
As a matter of fact, a comparatively small number of researchers
have rather opted on using the pump geometrical design and other
hydraulic phenomena to end up with more accurate technics. However,
due to their complexity, these methods were generally not preferred.
Away from the researches which was carried out in the early age of PAT
discovery, PAT has remained a hot research topic among professional
and academic communities. Barbarelli et al. [84], after discussing
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

1957 Stepanoff [74] BEP 1 1 Accurate for Ns: 40–60

ηp ηp

1962 Childs [75] BEP 1 1 –

ηp ηp
1963 Hanckock [93] BEP 1 1 –
ηt ηt
1980 Grover [79] Specific speed 2.693 − 0.0229Nst 2. 379 − 0. 0264Nst Applied for Ns: 10–50
1982 Lewinsky-Kesslitz [94] Specific speed 1. 3 −
6
1. 3 −
1.6 –
Nst −3 Nst −5
1985 Sharma [76] BEP 1 1 Accurate for Ns: 40–60
η1.2
p ηp0.8

1988 Schmiedl [95] BEP −1. 4 +

2.5
−1. 5 +
2.4 –
ηhp 2
ηhp

1994 Alatorre-Frenk [68] BEP 1 0.85ηp5 +0.385 –

0.85ηp5 +0.385
2ηp9.5 +0.205

1998 Sharma [67] BEP ⎡ Ng ⎤2 1.1 Ng

×
1.1 f
Ng = 240 × −N
⎢ N ⎥ × 1.2 Nm η0.8 p
⎣ m ⎦ ηp p

weaknesses as found in many published PAT performance predictions
methods [66,73,85,86], came to a conclusion that the PAT performance
prediction model universality can only be achieved if, through direct
PAT geometry identification without disassembly, the PAT perfor-
mance curves could be developed. This however, requires the knowl-
edge of the machine flow passage areas as well as corresponding losses.
In the developed model, a 1D computational model was adopted for
both PAT performance curves establishment and losses calculations,
where the developed code was implemented in a LabView® environ-
ment. Taking from the pump manufacturer catalogue, a pump virtual
geometrical design was computed, followed by flow losses calculations,
resulting in automatic performance curves obtention (Head and
Efficiency vs. Flow). After validation through comparison with other
experimental test findings, the model was found acceptably accurate
with errors ranging between 5% and 20%. Li [87], taking from the
grounds that all recently used pump turbine performance prediction
methods were all based on water as the working fluid, sought to
develop a new method where liquid viscosity effect was to be
considered. The flow through a single stage end-suction centrifugal
pump turbine operating at 1485 rpm was first computationally studied
at five different viscosities (ν=1, 24, 48, 90 and 120 cSt), the results of
which are found in [88]. Basing on the obtained PAT performance
curves, the PAT performance conversion factors of Head, Power, and
efficiency under five different flow conditions (Zero efficiency, 0.8BEP,
BEP, 1.2BEP, and Maximum flow) in generating mode, and of Head
and efficiency in pumping mode, were extracted and correlated to the
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
found acceptably accurate with errors as negligible as 1.67%, 2.57%
and 6.76% for Head, Power output and efficiency respectively. Deeper
research on the effect of Impeller Reynold number was recommended
for future studies. Tan and Engenda [89], considering the fact that
among all published Pump turbine performance prediction methods,
the ones basing their calculations on the pump's geometrical data
[86,90] presented comparatively smaller errors than the ones based on
the machine's BEP and Specific speed; but also keeping in mind that
pump manufacturers don’t necessarily provide geometrical data to
third parties for the sake of their product's quality protection; opted at
experimentally developing a new prediction model making use of the
pump specific diameter and specific speed. The pump specific diameter
is a geometrical design parameter and it can be easily disclosed by
pump manufacturers. The proposed model exhibited acceptably good
accuracy compared to nine others as found in the paper's literature.
Pugliese et al. [91] carried out an experimental study to assess the
turbine mode performance of two pumps, a horizontal single suction
centrifugal pump and a vertical multistage pump. The main idea was to
expand the application of performance prediction models from hor-
izontal single stage pumps, which is the most used type by researchers,
to other pump types. Performed experiments were by the way meant
for validation of the Performance prediction model as presented in
[37,66], as well as its application to vertical multistage pumps. The
validity of Derakhshan and Nourbakhsh method was confirmed only
under certain flow conditions on the vertical multistage pump, where
more studies were finally recommended for remaining performance
prediction methods validity check, when applied on vertical single or
multistage pumps.
Frosina et al. [92] presented a CFD-based pump turbine perfor-
mance prediction technic on three pumps of specific speed ranging
from 20.5 to 64. Flow Simulations were performed through a CFD
commercial code PumpLinx®, where conventional and generating
operating modes’ results have been validated through manufacturer-
provided data and experimentation respectively. Moreover, several
theoretical models have been applied and compared to the developed
computational model results, where some approximately agreed
(Stepanoff's method) others diverged (Childs’ method) from predicted
results.
More intensive theoretical, experimental and computational studies
have so far been carried out on the PAT performance prediction, which
eventually resulted in a big literature about PAT performance predic-
tion, as described in the following sections.
2.2.1. Theoretical studies
Pump turbines are a cost-effective alternative for micro-hydro
schemes at remote areas. Different researchers have continuously
carried out theoretical, numerical, and experimental studies or some-
times a combination of some of these methods, to come out with a
universal PAT performance prediction method. A considerable number
of published theoretical methods were based either on pump mode
performance parameters or pump geometric design. This subsection
comprises pure theoretical researches and their combination with other
methods.
Nourbakhsh and Derakhshan [96] carried out an investigation on
PAT performance in small hydros by theoretical and experimental
methods. Different existing empirical PAT performance prediction
methods were compared, to finally come out with a favorable choice
which can be used in general cases. From experimental results as
performed on a complete laboratory model of a mini hydropower plant
built in Tehran University, it was found that, the discharge, head and
efficiency were higher in turbine than pump mode; the turbine power

152
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.

153
M. Binama et al.
Fernandez et al. [58] has, by applying experiments-derived pump
hydraulic characteristics in both modes, modified the Euler's head
equation to finally come up with a newly developed PAT performance
prediction equation. It had been noticed that all PAT performance
prediction methods were either, based on pump BEP characteristics
similarity between both modes, or algebraic relations as a function of
efficiency; where most importantly, the rotational speed was consid-
ered equal in both modes; which in fact was opposed in this study by
considering different rotational speeds in both modes.
Carravetta et al. [101] proposed the turbomachinery affinity laws
modification scheme to eliminate the big discrepancy between PAT
performance theoretical and experimental prediction methods. In
order to obtain the PAT BEP characteristics at a speed N ΙΙ
(N ΙΙ≠NMAX ), the usual turbomachinery affinity laws were transformed
to functions of the ratio ( N ΙΙ / NMAX ) as follows:
Q ΙΙ ⎛ N ΙΙ ⎞
q= = f1 ⎜ MAX ⎟
QBMAX ⎝N ⎠ found to work in turbine mode without any mechanical complications.
HBΙΙ ⎛ N ΙΙ ⎞
h = MAX = f2 ⎜ MAX ⎟
HB ⎝N ⎠ research between two small pumps in their turbine operational modes,
PBΙΙ ⎛ N ΙΙ ⎞
p = MAX = f3 ⎜ MAX ⎟
PB ⎝N ⎠
ηBΙΙ ⎛ N ΙΙ ⎞
ε= = f4 ⎜ MAX ⎟
ηBMAX ⎝N ⎠ (4)
Functions f1 , f2 , f3 and f4 were obtained from experimental results
on several submersible pumps operated at different speeds. Using
Suter parameters in conjunction with the obtained modified affinity
laws, the decrease of scatter between the calculated and measured
values was achieved.
Ramos and Borga [36] carried out a Suter parameters-based steady
and transient flow regimes study aiming at proving the pump physical,
economical and technical reliability not only in industrial processes but
also in power generation sector. It was confirmed that using PATs is a
good alternative to dissipation of excess flow energy that, normally
would be lost. The study outcomes also showed that, depending on
runner characteristics, PATs efficiency can attain 80%. Induced motors
were recommended for large electric grids, and synchronous motors for
isolated operations. For whatever case, PAT was globally found to be
the best economic solution.
Singh et al. [42] carried out a PAT performance prediction study at
a 10 kW MHP site in Kinko, Tanzania; where the theoretically found
results were compared to field performance characteristics. Deviation
between the two methods outputs were noticed, where on-site char-
acteristics at full load were slightly scattered from predicted ones with
4%, 2%, and 3% deviations for discharge, head, and electric power
output respectively.
2.2.2. Experimental studies
Raman et al. [102] carried out an experimental study aiming at a
better understanding of PAT characteristics. A centrifugal pump with
15.36, 22 m, and 8.31 l/s as specific speed, head, and flow rate
respectively, was tested in a test rig as installed in the Mechanical
Engineering Laboratory of the Universiti Tenaga Nasional. The pump
selection process was performed following a reconnaissance technic as
presented by Raman and Hussein [103]; thereafter, the experimental
results were compared to other previously published researches. The
experiment findings were approximately similar to other methods;
although, the specific speed and efficiency values were slightly lower.
The pump operation in turbine mode was found to require high heads
and flows compared to the direct mode. It was confirmed that a
centrifugal pump can satisfactorily be operated as turbine without any
mechanical problems.
Prasad et al. [24] carried out an experimental research to assess the
PAT performance and cavitation characteristics. Two Kirloskar
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Brothers Limited (KBL) mixed flow pumps, namely pump A and B,
having different specific speeds, were tested on a Maulana Azad
National Institute of Technology-based test rig, at different rotational
speeds, flow rates and heads. The experimental results were then
compared to Chapallaz et al. [56] theoretical method ones, where
different conclusions were drawn. It was found that, as usual, the heads
and flows for turbine mode are always higher than in direct mode.
However the efficiency could be less or more irrespective of the pump
specific speed.
Daniela et al. [31] studied the PAT characteristics to get an idea of
the PAT benefits as compared to normal turbines. The experimental
data were collected from a medium size river-based plant which
recently got upgraded from normal turbine to PAT-based site. The
measured PAT parameters were then used, through basic turboma-
chines calculations, to get the complete PAT performance curves. It was
found that PAT worked at higher flow rates and heads, whereas the
efficiencies were almost the same for both operating modes. PAT was
Suarda et al. [104] presented an experimentally comparative
one of volute, another of diffuser type. Experimental findings showed
the volute type performance more attractive than the diffuser type.
Derakhshan and Kasaeian [105] used experimental means to validate
the numerically obtained propeller PAT performance study results.
Moreover, the thereafter performed runner blades geometry optimiza-
tion resulted in the efficiency improvement of about 14%, with a
comparatively better cavitation performance. The propeller pump was
found to satisfactorily work as a low-head turbine.
Singh et al. [106] studied the effect of casing eye ribs on the pump
turbine hydraulics and performance characteristics. Two pump models,
casing rib absent (CRA) and casing rib present (CRP), were both
numerically and experimentally studied; where commercially available
software, CFX, for which the K-ℇ turbulence model was selected, was
used for simulations. The PAT flow experimental and numerical
analysis was comparatively carried out for two operating modes, CRA
and CRP, at six operating points, namely, A (51% QBEP), B (70% QBEP),
C (88% QBEP), D (100% QBEP), and E (116% QBEP), constituting the
part, full, and over loads. The study results from both methods showed
that CRA had higher efficiency and greater performance for the part-
load and overload operations as compared to CRP. A satisfactory
similitude was noticed between experimental and numerical results,
where the PAT exhibited good performance with 82% as the highest
attained efficiency.
Nautiyal et al. [59] carried out an experimental study on PAT
performance characteristics in the hope to come out with a more
accurate prediction method. The test results on a pump of 18 (m, m3/s)
as specific speed, running at 1500 rpm, confirmed that, as it had been
demonstrated by many other researchers, the centrifugal pump can
surely be used as turbine under various operating conditions, where the
turbine operating mode is always characterized by higher flow rates
and heads but with comparatively lower efficiencies. Together with four
other pump models from different researchers, the tested pump was
farther analyzed to come up with a new prediction method based on
both pump efficiency and specific speed. Compared to other prediction
methods, the developed method presented better performance, with
comparatively reduced errors (as compared to test results) as shown in
Fig. 5, thus making it the best.
Derakhshan and Nourbakhsh [66], based on experimental results
as performed on a mini-hydropower test rig at the University of
Tehran, has developed new correlation equations for PAT BEP predic-
tion. Four centrifugal pumps in specific speeds range from 14.6 to 55.6
(m, m3/s) were tested, where centrifugal pumps were again found to fit
the turbine operating conditions with comparatively higher heads and
flows and approximately equal efficiencies. The newly developed
specific speed-based prediction method was compared to many others,
to only find it exhibited better and acceptable estimates of flow rate and
M. Binama et al.
Fig. 5. Comparison of errors for discharge (a) and Head (b) ratio from experiment and
various methods.
head for pumps with specific speeds higher than 60 (m, m3/s). It was
also demonstrated that between two pumps with same specific speed,
the one with bigger impeller diameter has higher efficiency. Also the
higher the flow and head they exhibit, the more efficient they become. A
better PAT selection procedure for a specific site was also proposed.
Singh and Franz [107] developed a new consolidated model from
experimental results on many pumps of different shapes (20–80 rpm),
mainly targeting its parsimony on PAT performance prediction, selec-
tion, and evaluation, which are its three main segments; in order to find
a lasting solution for PATs modelling and establish a new basis of
evaluating uncertainties, based on fundamental theory of turboma-
chines. The prediction segment required the pump shape and size to
come out with complete PAT performance characteristics. The selection
segment required only the site head and flow data to determine the
suitable pumps for specific sites. And finally, the evaluation segment
compared the selected pumps and their characteristics to decide the
most suitable PAT for specific operating conditions. The developed
consolidated model, from obtained test results and related analysis,
through many modelling acrobatics, contributed to the economic
feature, needing a small number of parameters to give the complete
and accurate PAT predictions.
Yang et al. [108] studied the influence of rotational speed to the
PAT performance. In this paper, a rotational speed-based theoretical
PAT performance prediction method was first developed where new
correlation equations for flow rate, head, and shaft power; were
developed as shown:
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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.
2.2.3. Numerical studies
Many researchers have shown that CFD analysis is a reliable tool to
predict the behavior of a pump machine operating as a turbine and to
estimate the performance curves of the turbomachinery [109]. With
CFD, complex fluid flow behaviors inside the PAT can be virtually
previewed, which can substantially reduce both the design time and
cost. A big number of studies have been carried out aiming at PAT flow
characteristics understanding and performance prediction.
Ismail et al. [110] tested an end suction centrifugal pump by means
of CFD simulations to determine its performance characteristics in
both direct and reverse modes. The CFD modelling and simulations
were performed by Ansys CFX14.0, where the K-ℇ was selected for flow
turbulence modelling in a pump of 70 units (Euroflo EU50-20) as
specific speed and working at a rotational speed of 1450 rpm. The
computational domain was divided into three parts, viz. volute,
impeller and draft tube; where inlet and outlet boundary conditions
were set to mass flow rate inlet and static pressure out respectively.
However, the reverse mode simulations had to be run at 1550 rpm in
accordance with the used induction generator's speed. The flow
simulations were then run at flows varying from 0.7 to 1.3 QBEP.
After comparing both modes CFD predicted results to pump manu-
facture-provided ones, it was observed that BEP was attained at higher
flows and heads in turbine than pump mode. However efficiency was
found higher in pump mode (72.63% against 71.62%). Numerical
simulation method was confirmed viable for PAT performance predic-
tion.
Fernandez et al. [111] presented a 3D flow simulation study on a
pump as turbine aiming at validating the experimental results as
previously presented in [58], using the sliding mesh technique to
capture the interactions between the impeller and the volute tongue.
The PAT flow numerical simulation was performed through a CFD
commercial code Fluent at a rotational speed of 1750 rpm under five
different flow regimes viz 50, 65, 80, 100, and 120 m3/h. The pressure-
velocity coupling was achieved by SIMPLE algorithm and Standard k-ℇ
model was selected for turbulence modelling. Numerical simulation
and experimental results showed a neat agreement, especially for head
and Power predictions (Fig. 6).
Páscoa et al. [112] carried out a numerical study on a centrifugal
pump to check the validity of three randomly selected theoretical
M. Binama et al.
Fig. 6. Performance characteristics for pump and reverse modes [111].
correlation methods, viz. Stepanoff, Sharma, and Viana methods. In
this study, through a CFD commercial code Ansys Fluent, the flow in a
NNJ125-250 pump was modelled, where Reynolds Averaged Navier
Stokes (RANS) equations were solved through Spalart-Allmaras turbu-
lence model. PISO algorithm was used for pressure-velocity coupling
and stagnation pressure in and static pressure out were chosen for inlet
and outlet boundary conditions respectively. Theoretical results were
compared to computational ones, where an acceptable agreement was
finally noticed between both. A new approach for PAT power plant
design was also developed; where at each constant head, it was now
possible and easy to know the most efficient PAT rotational speed. All
computational results in this paper were achieved through a frozen
rotor approach.
Peter and Varchola [113] carried out a numerical study on two
mixed flow pumps, one with mixed-flow diffuser, and the other with an
axial-flow diffuser, in both direct and reverse modes; aiming at
examining the optimal operational parameters in both modes through
a comparative scheme. A good agreement was noticed between
Computational and experimental results.
Nautiyal et al. [114] presented a review of some already published
works on PAT performance prediction through CFD. It was shown that
CFD usage in the area of turbomachines has seen extensive growth in
recent decades. Generally manufacturers don’t provide performance
and flow characteristics of their pumps in turbine mode; so CFD has
been a recent attempt for PAT performance prediction. It was men-
tioned that CFD made it possible to identify losses in different parts of
PAT. However, there have been discrepancies between numerical and
experimental predictions mainly from geometry simplification in
computational studies, as reported in this paper. Nevertheless, it was
pointed out that, numerical predictions accuracy would also depend on
grid quality and numerical methods and used turbulence models. CFD
was generally acknowledged as an effective design tool for PAT
performance prediction.
Rawal and Kshirsagar [115] carried out a study through both
numerical and experimental methods on a mixed flow pump with the
objective of analyzing the accuracy of computational tools for PAT
studies. The PAT flow was first numerically studied at five different
flows, viz. 60%, 80%, 100%, 120%, and 140% of the BEP flow at a
rotational speed of 1450 rpm. The k-ℇ turbulence model was adopted,
where the chosen inlet and outlet boundary conditions were total
pressure in and flow rate out, respectively. The experimental part was
run at a test facility based at a major University in Karlsruhe, German
(Fig. 7). The single stage mixed flow pump with four mixed flow vanes
was tested at three different speeds, viz. 800 rpm, 900 rpm, and
1000 rpm, under flows ranging from no load to maximum load. The
agreement between computational and test results has been satisfac-
tory. The numerical approach served in the identification of losses in
PAT's different parts, and it was suggested that the use of finer mesh,
better numerical methods and turbulence models, could improve on
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
the numerical results accuracy.
Baburaj et al. [116] presented a literature about the usage of
computational methods for PAT flow studies, performance prediction
playing a core role. As an example, a computational study was carried
out on a single stage centrifugal pump at 2880 rpm. The CFD
commercial code Ansys CFX was used where total pressure and mass
flow rate were chosen for in and outlet boundary conditions, with the
mass flow rate continually varied to come up with a complete PAT
performance curve. The CFD usage for PAT flow studies was confirmed
reliable.
Barrio et al. [117] presented a numerical study on a centrifugal
pump with twisted backwards curved blades in both direct and reverse
operating modes, aiming at the investigation of global flow character-
istics within the machine at different flow rates. A CFD commercial
code Ansys Fluent was used together with k-ℇ turbulence model to
solve the full unsteady RANS equations, with total pressure in –
variable static pressure out and constant total pressure in – constant
pressure out, as boundary conditions in pump and turbine mode
respectively. After comparison between numerical and experimental
results, an agreement between both was quite satisfactory with max-
imum errors less than 4% (Fig. 8). However flow recirculation and
backflow regions were noticed at off-design flow rates in the reverse
operating mode.
Jovanović et al. [118] presented a comparative study between
numerical and experimental results on a centrifugal pump running in
both reverse and direct modes. In this paper, different PAT usages and
performance prediction methods were discussed. From its different
advantages over other mostly used methods, namely theoretical and
experimental methods, CFD method was confirmed very effective for
PAT flow studies. An example computational case-study was run
through Ansys CFX commercial code, together with K-ℇ turbulence
model for both modes, where extracted results were compared to
collected experimental ones. Different frequently met problems in
computational method usage were pointed out as well as their
respective way outs. There was a good agreement between test and
numerical results with comparatively small errors (less than4%).
Milan et al. [119] simulated the flow in the middle stage of a radial-
flow multistage PAT to get the flow pattern information for efficiency
improvement through geometrical modifications if by any means
needed. CFD commercial code Ansys CFX was used to solve the fully
unsteady three dimensional RANS equations together with the shear
stress transport (SST) turbulence model. The studied flow domain
consisted of a six blades impeller with two different diameters (full and
reduced) and an eight channels stator, where the selected boundary
conditions were the flow rate and average static pressure for inlet and
outlet boundary conditions respectively, for the turbine operational
mode. Six interfaces, three rotor-stator and three stator-rotor inter-
faces, were used between rotor and stator, and the analysis was carried
out at different rotational speeds and flow rates. The numerical results
were in good agreement with experimental ones with an error of about
13% from the neglected loss estimations in the numerical study. Full
diameter impeller version showed a comparatively better performance,
and it was found that the multistage pump doesn’t need any modifica-
tion to become more efficient as it could get sufficiently higher
efficiencies, unmodified.
2.3. Pump-turbine performance improvement attempts
Many more researches have been recently curried out aiming at
performance improvement through geometry modifications and opti-
mization technics, Miao et al. [120] presented a pump turbine blade
profile optimization model, where different methods were applied viz
blade profile parametrization, Latin Hypercube experimental design,
computational fluid dynamics techniques, back propagation neural
network, and genetic algorithm. The model results exhibited quite good
performance, where the efficiency was increased by 2.9% under
M. Binama et al.
Fig. 7. Karlsruhe University-based testing facility [96].
Fig. 8. Flow-Head characteristics in pump and reverse mode [117].
optimum operating conditions. Given the complexity in terms of design
and operational mechanism of a counter-rotating pump turbine, Kim
et al. [121], in an attempt to improve the machine efficiency, developed
a design technic where the Design of Experiments (DOE) method was
combined with a numerical simulation scheme. The presented model
contributed a considerable improvement to the system performance.
Qian et al. [122] reaffirmed that, despite their comparatively low
efficiency, pump-turbines presents different advantages over conven-
tional turbines. Their inability to control the flow, making it practically
impossible to work efficiently over a large range of flows, figures among
their first operational shortcomings. In an attempt to fix the problem,
numerical and experimental analysis were carried out on the perfor-
mance of an axial flow pump turbine in which the adjustable guide vane
(AGV) system was incorporated, under both conventional and generat-
ing modes. The AGV usage provided great performance, where the
machine could work efficiently over a wider range of flows, thus
increasing the machine flexibility Vis a Vis the continuously changing
hydrological conditions at remote hydro sites. Doshi et al. [123]
investigated the effect of edge rounding at critical locations such as
the impeller's blade, inner shroud, and outer shroud; on the machine's
performance. The performed geometrical modification was found
beneficial as it contributed to the efficiency increase between 1% and
2.5%. However, a large suction wake development was noticed,
resulting from interaction between the stationary volute and the used
backward blade impeller, which was not fully resolved by the edge
rounding action. For future solution attempts, the gradual change of
blade angle was recommended targeting a comparatively reduced
wake.
Patel et al. [124] experimentally studied the effect of impeller
modification on PAT performance. The main objective was to compare
the PAT efficiency as well as other performance parameters before and
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
after impeller modification. Different modifications were made, viz.
impeller edges rounding, hub and shroud extremities rounding, and
material removal at the impeller exit areas; after which, the modified
model was tested at a constant speed of 1100 rpm under continually
varied loads. After comparing the modified against unmodified model
performances, it was reported that the modified model exhibited
comparatively higher efficiency, where the BEP head and power were
attained at lower flow rates. It was then demonstrated that the rounded
edges impeller would make a more efficient PAT.
Yang et al. [125] carried out a study on the influence of impeller
blade thickness on PAT performance. Three impellers with different
design parameters (Table 5) were experimentally and numerically
analyzed, and through a comparative scheme, their performance
characteristics were discussed.
Due to its robustness and fast convergence, the CFD commercial
code Ansys CFX, was chosen to solve steady state Navier-Stokes
equations together with standard k-ℇ turbulence model. The selected
inlet and outlet boundary conditions were static pressure in and mass
flow out respectively, with continuously changed flow to come up with
the complete PAT performance curve. Ansys ICEM was used for flow
domain grid generation. The PAT experimental tests were run at a
Jiangsu University based test rig, the results of which got compared to
numerical ones. Both methods predictions were in an acceptably good
agreement. It was found that both pressure head and shaft power
increased, whereas the efficiency decreased with the blade thickness
increase (Fig. 9), therefore a small blade-thickness possible was
recommended as long as its strength is not compromised.
Giosio et al. [126] presented an experimental study aiming at
improving the PAT operating conditions by flow regulation facility
incorporation thus eliminating a widely known PAT problem of
inflexibility towards flow regime fluctuations. A suitable pump was
first selected using Sharma method and got installed inside the
customized housing provided with flow regulation facility, and guide
vane assembly consisting of 13 hydrofoil shaped vanes; at a micro-
hydro test rig based at the University of Tasmania. For the construction
of the PAT efficiency hill chart, the steady state flow test was performed
at different guide vane openings ranging from 20° to 35° corresponding
Table 5
Design parameters of the PAT.
Q/ m3 h−1 H/m n/r min−1 ns
100 40 1500 57
120 43 3000 119
125 28 3000 168
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].

Values of BEP Nq [–] H [m] Q [m3/s] N [rpm] P [kW] η [%]

Pump as rated 104.3 12.25 0.222 1450 34.0 78.5

Turbine predicted 92.4 4.38 0.139 750 4.68 78.5
Turbine actual 71.9 5.98 0.133 754 6.20 79.0

Fig. 9. Performance curves of PATs with different blade thicknesses a) Ns=57 b) Ns=119
c) Ns=168 [125].
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
which the optimized impeller blades got rounded and experimentally
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

158
M. Binama et al.
Fig. 10. Performance Hill chart of the micro-hydro turbine unit [126].
Fig. 11. Experimental results for a) Head number-efficiency and b) Power number-
efficiency [129].
and outlet boundary conditions respectively. The tested pump was a
low specific speed centrifugal pump (23.5 m, m3/s), with a turbine
mode rotational speed of 1500 rpm. The test measurement uncertainty
analysis was carried out through Moffat technique [131], where 5.5%,
3.4%, 5.1%, and 5.5% were respective head, flow rate, power, and
efficiency uncertainties. As shown in Fig. 11, the optimization process
raised the PAT performance, but the rounded PAT version exhibited
even higher performance compared to both initial and optimized
versions. Both modifications contributed to the efficiency improvement
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
in the range from 3% to 5%. Impeller modification was found a reliable
performance improvement method within PATs.
Suarda et al. [64] presented an experimental study on a small
volute-type centrifugal pump, aiming at pump reverse mode efficiency
improvement by modifying the shape of impeller blade tips into bullet
nose-like shape. A small volute-type centrifugal pump having 0.13 m3/
s, 13 m, and 0.4 kW as maximum discharge, head, and motor power
respectively; has been tested under various flow rates, for both original
and modified impellers, at Huai Kra Thing village site. Experiment
results showed an increase in both power and efficiency for the
modified impeller. The maximum efficiency shifted from 34.34%
(before modification) to 37.5% (after modification) with a compara-
tively lower BEP flow rate (0.00149 m3/s against 0.002 m3/s). Flow
turbulences at the impeller inlet were also substantially decreased. This
method was mostly recommended for large capacity PATs, where
remarkable improvements can be noticed; rather than in small pumps,
as their performance improvement would be as small as ineffective.
Yang et al. [132] carried out a numerical study about the influence
of the radial gap between the impeller and the stationary volute to both
the PAT performance and PAT pressure fields characteristics. A CFD
steady state simulation was first carried out on PATs with different
radial gaps, viz. 0.062D2, 0.145D2, and 0.224D2 (D2: impeller inlet
diameter) at a rotational speed of 1500 rpm. Ansys CFX code was used,
and k-ℇ turbulence model was adopted; where static pressure in and
mass flow out were chosen for inlet and outlet boundary conditions
respectively. By continually changing the flow rate, PAT performance
curves were achieved; where it was found that 0.145D2 was the
optimum radial gap as it exhibited the highest efficiency (69.18%) at
BEP (Fig. 12). For the next step, monitoring points were set in the inlet
pipe, volute, and blade flow passages and the unsteady PAT flow
simulation was performed, aiming at analyzing the pressure fields in
the PAT flow domain. The rotor-stator interaction created both high
and low frequency unsteady pressure fluctuations in volute and
impeller respectively. However, due to volute high frequency fluctua-
tions propagation towards the impeller channels and inlet pipe;
impeller pressure fields were a combination of both kinds. With the
radial gap increase, volute pressure pulsation amplitudes decreased,
whereas the impeller situation remained unchanged.
Sheng et al. [133] investigated the effect of splitter blades to the
influence of PAT's performance and pressure field characteristics.
Steady state numerical simulations were carried out through a CFD
code Ansys CFX, with k-ℇ turbulence model; on a single stage
centrifugal pump with and without splitter blades, working at a
rotational speed of 1500 rpm. To include different mostly ignored
M. Binama et al.
Fig. 12. Performance curves of the PAT with different radial gaps [132].
losses in the study, the flow domain was divided into five parts namely
inlet pipe, volute, front and back plate and impeller. Static pressure in
and mass flow rate out were the selected inlet and outlet boundary
conditions; where, by continuously varying the flow, PAT performance
curves were acquired. Taking steady state analysis as the initial
conditions, unsteady numerical simulations were performed, where
pressure monitoring points were placed within PAT flow areas for
further pressure field analysis. Experimental tests were also performed
to validate PAT numerical performance predictions. Results showed an
improvement in PAT efficiency with the splitter blades addition.
Numerical and test results were in a good agreement, although
numerical over-prediction was noticed from some neglected losses.
Also, the decrease in pressure pulsation amplitudes was globally
noticed, with splitter blades addition.
Singh and Nestmann [134] investigated the effect of impeller
rounding on PAT performance. Nine centrifugal pumps, eight redial-
flow and one mixed-flow pumps, with rotational speeds ranging from
20 to 94.4 rpm were experimentally tested for both before and after
impeller modification cases, in reverse operating mode. The rounding
curvature radius was a half of blade and shroud thicknesses at blade
and shroud inlet edges respectively, thus conferring a bullet head-like
shape at the same areas. The performed modifications caused some
flow characteristics changes at the inlet section, viz. wake formation
reduction, weakened flow separation, system loss coefficient reduction
and an increase in exit relative flow angle, with subsequent net head
drop and an increase in net Euler momentum as well as net head across
the PAT. The efficiency was globally increased with the band of +2%
and further impeller rounding method standardizations were recom-
mended.
Yang et al. [135] carried out a numerical investigation on the
impeller blades number on the PAT performance and unsteady
pressure fluctuations. The steady state flow through a six blades single
stage centrifugal pump having a rated rotational speed of 1500 rpm
was numerically studied through a CFD code Ansys CFX. The k-ℇ
turbulence model was chosen, where static pressure in and mass flow
rate out were the used inlet and outlet boundary conditions; after
which, the PAT operating curves were plotted by changing the flow rate
values.
Unsteady simulation were run at a single mass flow rate and used
the steady state case as its initial conditions, where pressure field
analysis was finally performed from pressure monitoring points data.
Experimental tests were carried out for validation of both steady and
unsteady flow simulation results. Steady simulation predictions were
found in an acceptable agreement with experimental ones. However,
due to the neglected losses, numerical results over-prediction was
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
Table 7
BEPs of PAT with different blade numbers [135].
Blade numbers Q (m3/s) η (%) H (m) Pshaft (kW)
6 85.00 63.50 32.78 4.82
7 95.00 64.28 37.07 6.16
8 95.00 64.99 37.20 6.25
9 95.00 64.51 36.57 6.10
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
diameters namely 215 mm, 235 mm, and 255 mm respectively. Both
power and efficiency increased after BEP while the Head dropped with
impeller diameter increase. However the PAT efficiency, shaft power,
pressure head, and flow; all increased in the range from 10.26% to
89.39%, for an impeller diameter increase from 215 mm to 255 mm, at
BEP. Simulation results were in a quite good agreement with experi-
mental ones; yet small discrepancies were noticed, mainly from some
neglected losses. Also hydraulic losses were globally noticed to have
been decreasing with the impeller diameter increase. Theoretical
method over-predicted the BEP characteristics as compared to experi-
mental findings, therefore, they were only recommended for PAT BEP
rough estimations.
3. Pressure fluctuations and flow stability aspects in pump
turbines
In the last decades, world electrical energy consumption has
significantly increased with a rate that has reached 17.7% in 2010
and is predicted to double by 2025 [137,138]. Hydropower, as one of
bests green electricity production methods, has recently gained a
substantial role due its different advantages over other mostly used
renewable energy (REN) technologies, where pumped storage hydro
power plants (PSPP) are now mostly adopted for compensating the
power consumption random nature, within the power generation mix,
coupled to other power generation technologies. Koutnik et al. [139]
has pointed out that the use of PSPP in this period of REN domination
consists of both the energy storage and electrical grid stabilization. A
PSPP is generally built on two reservoirs, where during peak hours
(daytime usually), the upper reservoir's water is used for power
generation, while at night-time; the lower reservoir's water is pumped
back to upper side. The use of reversible pump turbines (RPT) within
these plants is the most preferred over other formerly used combina-
tional arrangements such as Francis turbine/pump or Pelton turbine/
pump, due to its operational flexibility as well as its cost-effectiveness.
The off-design operation and, fast and frequent operating modes
switching abilities are some of the RPT advantages. However, despite
many advantages presented through the use of these machines, their
operation has been noticed to be connected to different unstable
phenomena occurrence, characterized by high amplitudes pressure
fluctuations and subsequent structural vibrations within these systems.
Nevertheless, early age studies by researchers like Lacoste [140],
Boussuges et al. [141], and Blanchon et al. [142] to say the least;
had already investigated and pointed out some pump turbines un-
steady off-design operation-related challenges. Recently, Zuo et al.
[143] has mentioned that hydraulic instabilities (pressure fluctuations)
and related mechanical vibrations can also cause premature mechan-
ical failures of the machine. And indeed, Egusquiza et al. [144]
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179

presented a case where flow induced pressure fluctuations within a

high head pump turbine, resulted in the runner clown breakage. The
pressure fluctuations in the vaneless space were confirmed to have
considerably contributed to the failure. Therefore, many of recent
studies have been more about the pump-turbines flow stability aspects,
where pressure fluctuations within the machine flow zones and induced
detrimental phenomena such as vibration, noise and mechanical
failures, were the main research focus. Yao et al. [145] investigated
the flow characteristics in the pump-turbine at small discharge in
pumping mode. The study results showed that complex flows, such as
backflow and vortex, were noticed in draft tube, runner, and diffuser,
leading to significant pressure fluctuations. Sun et al. [146] studied the
distribution of pressure fluctuations in a prototype pump-turbine
under pump mode, at different mass flow and guide vane openings.
Pressure fluctuation distribution was found different under different
conditions with no regular slope. Deyou et al. [147], has however,
presented the effect of guide vanes opening to the pressure fluctuations
in the vaneless space, where it was found that the amplitude of pressure
fluctuations with oscillating guide vanes was higher than with the fixed
guide vanes opening. Moreover, there was an increase in pressure
fluctuations with the opened guide vanes. Yin et al. [148] considered
the water compressibility in the governing equations of unsteady flow
in a pump turbine. Study results revealed that the high pressure
fluctuations were predicted by compressible simulation and lower
frequency component in pressure signal could be easily captured,
therefore, water compressibility consideration was recommended for
unsteady flow simulations in hydraulic machines. Liu et al. [149] used
the non-linear RNG k-ε turbulence model to study the pressure
fluctuations in a pump-turbine at 20% relative guide vanes opening.
Only high frequency components were observed for pressure fluctua-
tions, where the first dominant frequency was the blade passing
frequency (BPF) and second was the double (2BPF). It can then be
seen that pressure fluctuations in pump-turbines constitute the key-
cause of the machine instability characteristics, taking source from
different causes but most obviously, occurring under off-design oper-
ating conditions. Details about pump-turbine stability aspects and
related literature survey are presented in the following section.
Fig. 13. Four quadrant characteristics of a reversible pump turbine a) Flow-speed curve
b) Torque-speed curve [150].
3.1. Pump-turbines stability aspects
to decelerated flow field, which results in flow separation and related
The general system stability aspect was defined by Greitzer [150] as hydraulic losses as well as possible self-excited vibrations; the design of
the ability of the system to recover its initial state after a certain pump turbines has to be carried out with a big emphasis on the pump
perturbation, where the system can either exhibit static or dynamic operating mode characteristics.
stability. The criterion for stability of the pump turbine is called Pérez-Diaz et al. [137] have classified the pump turbines instability
dynamic when the shaft is disconnected from the generator and the features into two types; the first occurring at low load off-design
speed of rotation varies with the unbalanced torque; On the other hand, operating conditions closer to the runaway (zero torque) in turbine
when the pump turbine is connected to the generator with a frequency mode, otherwise called the “s-shaped” characteristics (Fig. 14), and the
proportional to the electric grid frequency a static stability criterion second occurring at part-load in pumping mode, generally called the
applies [151]. In their everyday operations, pump turbines go through “saddle-type” characteristics or hump characteristics.
frequent switching between pump and turbine modes, thus sometimes According to Gentner et al. [153], the flow instability occurs in
working under off-design conditions. The fact that these machines can turbine mode when the head-flow and speed-flow curves have negative
rotate and deliver the flow in two opposite directions, confer them the
so called “four quadrants” operational characteristics at specific guide
vane openings, allowing them to operate under five defined regimes,
viz. turbine, turbine brake, pump, pump brake, and reverse pump (see
Fig. 13). Each regime characteristics and working conditions were
presented by Amblard et al. [152].
A pump turbine is basically a compromise between the pump and
turbine but the geometry is more like the pump. Pump turbines are
generally known to have steeper speed-flow characteristics than
Francis turbines of same specific speeds, which under certain operating
conditions, may be the source of stability problems within the machine.
The pump turbine stability aspect can thus be assessed through the
slope of its characteristics curves for both pumping and turbine modes
through head-flow and flow-speed curves.
Because the pump mode of operation is known to be very sensible Fig. 14. S-shape characteristics of a pump turbine [137].

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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
for pump mode instability, the head-flow curve presents a positive
slope (dQ / dH >0 ) (see Fig. 15). Another necessary but not sufficient
instability criterion for pump-turbine generating mode was derived by
Martin [151], and state that the slope of Torque-Speed characteristic
(TED-nED) must be positive. However, with this slope being slightly
positive, the system can still present stable characteristics depending
on the fluid or the slope of flow-speed characteristics (QED-nED).
The discharge, speed and Torque factors (QED, nED and TED) are
expressed as:
QED = Q / D 2 gH
nED = nD / gH
TED = T / ρgHD 3
Many researchers have carried out different studies on reversible
pump turbines stability aspects, mainly to get more knowledge on the
flow dynamics explaining the causes behind flow instabilities occur-
rence. The following section gives a literature on different investigators
findings in the same.
3.1.1. S-shaped characteristics
The S-shape induced instabilities are associated with fluctuations in
flow rate, torque, speed, and head that have negative effects on the
pump turbine start up, synchronization with the grid, and load
rejection processes. For pump-turbines operating in the S-shaped
operating characteristics region, some speeds correspond to three
different flow conditions with a positive slope along the operating line
which results in both positive and negative torques which can easily
damage the pump-turbine components [154,155]. At the start up, the
machine works at no-load conditions where the acquired hydraulic
energy is totally dissipated in form of energy losses. The developed flow
instability at these areas is characterized by torque fluctuations and
can, at a certain point, affect the machine operating mode as well as
inflicting significant fluctuations of head and flow with possible self-
excited vibrations and noise [156]. For runners, it has been generally
found that, in terms of operational damage, one start-up operation is
equivalent to years of operation under normal operating conditions
[157,158]. Many researchers have tried to explain the S-shape in-
stabilities occurrence reasons and related flow dynamics, and the
progress so far is of a substantial value. It was generally found that
the S-shape induced instabilities are due to the head increase at part-
load, which is, in turn, associated to the blockage of some impeller
channels by a developed rotating stall.
Seidel et al. [159] and Hasmatuchi et al. [160] have carried out
almost similar studies on S-shape instabilities. The machine being
tested from stable conditions through runaway to the turbine brake
conditions, the flow instabilities were noticed at the runaway condi-
tions and got amplified in the S-shaped region with stall cells
development, rotating at 70% of the runner rotational frequency and
Renewable and Sustainable Energy Reviews 79 (2017) 148–179
totally blocking some runner channels. This rotating stall got so intense
at lower discharges, giving birth to reversed flows and vortices in the
wicket gates. The flow channels blocking action by the rotating stall was
believed to be at the origin of the head increase, affecting the flow
characteristics in turbine mode. The induced reversed flow was also
considered the trigger of the shift to pumping mode by the machine
within the same operating region. Many studies carried out by different
other researchers, Gentner et al. [153], Houdeline et al. [161], Wang
et al. [162], and Sun et al. [163] to mention about, have presented
similar results. To more deeply understand the S-shape characteristics
and related flow instabilities, many more researches have been carried
out through experimental as well as numerical methods.
Sun et al. [155] predicted the flow characteristics near runaway of a
(6) low specific speed pump turbine using numerical and experimental
technics. A numerical study with the detached eddy simulation (DES)
and two-equation turbulence models was first carried out and the
results were compared to experimental ones. DES results was found to
give better agreement with test ones, where centrifugal forces and large
incidence angles were found to be at the origin of large vortices
development in the vaneless space, which was the main factor of the
s-shaped characteristics occurrence. Nielsen and Svarstad [164] sug-
gested a simulation model for pump turbine characteristics description,
the results of which showed an acceptable agreement with experi-
mental findings. The paper discussed also the throttle technic for
instability reduction. Instabilities were not totally eliminated in the
pump turbine but the system stability as a whole was improved.
Li et al. [165], for better understanding of the S-shape character-
istics of the No. 1 unit at Baoquan pumped storage power station,
carried out a research through on-site test and numerical methods. The
No. 1 Francis type pump turbine was tested at no-load mode at three
net heads ranging from 518.04 m to 530.38 m, where operational
parameters such as vibration, shaft displacement, and pressure fluctua-
tion; constituted the main research target. The rotation speed fluctua-
tions were found to go beyond the synchronization requirements,
which got resolved through the use of Misaligned Guide vanes technic.
The vibration and shaft displacement at no-load were found to be
dominated by the rotating frequency signal whereas the pressure
fluctuations didn’t show an obvious main frequency for a wide
spectrum. Nevertheless the amplitudes of vibration, shaft displacement
and pressure fluctuations were found to increase with the decrease in
net head values. The numerical and test results were found in a good
agreement with an error of ± 6%, making the CFD technic reliable for
S-shape characteristics studies.
Cavazzini et al. [166] carried out a research to more deeply
understand the cause, onset, and effects of unstable behaviors in pump
turbines, precisely in the S-shaped region of their characteristics curve.
The used numerical model was first validated through comparison with
tests results. The unsteady simulations were then carried out to
investigate the pump turbine developing instabilities during load
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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-
stand the flow dynamics at the above mentioned specific phases and
related instability sources. Staubli et al. [175] presented a numerical
study focusing on the flow characteristics near runaway and flow
phenomena leading to the instability. The simulated instabilities in the
operating zone of interest was associated with the occurrence of time-
dependent in and outflow between the runner channels and the
vaneless space separating the runner and guide vanes (see Fig. 17).
This condition was believed to take source from the generated local
vortices in the runner channels close to the leading edge, thus being the
origin of instabilities in the machine.
Chen et al. [176] carried out a 3D simulation of the pump turbine at
its starting period (no load). Aiming at a deep analysis of runner
transient characteristics such as flow, head, and torque as well as the
internal flow dynamics, v 2−f turbulence model-based numerical study
was conducted, and the results were compared to test ones for
validation. The pressure fluctuation amplitudes increased along the
flow direction as rotational speed increased. At low flow rates, strong
vortices developed within the runner channels and the water ring
formed at the runner leading edge, blocking the flow through the
runner. With the increase in both rotational speed and flow rate, the
water ring gradually got weaker and the rotating stall in runner
channels decreased until its complete elimination (Fig. 18). The impact
jet was strengthened by the flow increase and was found to be
connected to the runner torque increase.
Edinger et al. [177] examined the flow in the pump turbine under
zero flow conditions at the machine start-up. After experimental and
numerical analysis were done, it was found that, under zero flow
operating conditions, the strong pre-rotation and flow reversal oc-
curred at the runner inlet. Also, three dimensional vortex structures
and stagnation points appeared within the stay vane channels, followed
by flow reversal from the associated strong flow rotation. The test
measurements and numerical results presented a complex flow pattern
characterized by positive and negative values of meridional and
secondary velocity components, taking source from the detected fully
separated flow in the machine.
Gong et al. [48], using experimental and numerical methods,
studied the pump turbine flow characteristics, aiming at the extraction
of results explaining the reason behind the s-shape characteristics
apparition. The flow through a pump turbine having 29.58 r/min as the
specific speed was analyzed where the CFD commercial code CFX was
used for numerical simulation and the time-dependent RANS
(Reynold-Averaged Navier-Stokes) model was adopted for turbulence
modelling. Computations were run under three different guide vane
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
openings (22.7%, 45.5%, and 145.5% considering the BEP GVO as
100%), after which experimentally as well as numerically harvested
time-averaged data were plotted through graphs for farther analysis. It
was generally concluded that the observed vortex and backflow in the
runner under large GVO, presented a hysteresis characteristic as
compared to the situation under small GVO. Considering the fact that
s-shape characteristics lead to instabilities at critical phases as grid
coupling and shutdown in pumped storage plants, accompanied by
different unwanted hydrodynamic phenomena both in the piping
system and pump turbine, Jacquet et al. [178], targeting a complete
understanding of the flow characteristics evolution, carried out a
numerical study on a pump turbine flow characteristics, from the
optimal efficiency point all along to zero flow point. The flow
Computational analysis was performed through a commercial software
Ansys CFX, where the SAS-SST model was adopted for turbulence
modelling. After validation through results comparison to then-existing
experimental findings, the main sources of flow instability were pointed
out, and the flow pattern timely evolution was observed. A backflow
was noticed in the vaneless space between the runner and guide vanes,
taking source from flow separation in the runner inter-blade flow areas.
This backflow got intense with a continuous decrease of flow, generat-
ing tougher flow blockage and higher momentum transfer between the
coming and returning flows, all leading to increased energy losses. The
vaneless gap between the runner and guide vanes was therefore, found
guilty for producing highly unsteady flow structures leading to the s-
shape characteristics apparition.
Stens and Stefan [179] presented a numerical study on the machine
fast transition from pump to generating mode. The machine flow was
simulated from pumping mode through the pump brake zone to the
generating mode. As the flow decreased in pump mode, the induced
guide vanes stall with associated flow blockage in some channels,
inflicted severe pressure fluctuations in the runner. Under the pump
brake operating mode, there was an inhomogeneous pressure distribu-
tion in the machine until the machine started the generating mode
where the flow at the runner trailing edge got influenced by the draft
tube flow instability. Four vortex ropes had appeared in the draft tube
shortly before the machine rotation direction reversal, which collapsed
to two and then to one, as the machine shifted towards the turbine
operating mode (Fig. 19). High amplitudes of pressure and torque
fluctuations were noticed at the runner inlet vicinity and near the draft
tube during the direction reversal and the turbine mode beginning
phases respectively.
During the pump-turbine transient load rejection process, the
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
presence of a vortex rope like a swirling rope in the draft tube. Jacob
and Prénat [181] pointed out that in case of load rejection, the
unsteadiness is amplified and the pressure fluctuation may rise greatly
due to the appearance of the vortex rope. Liu et al. [180] has
computationally investigated the vortex rope development in the pump
turbine draft tube at Load rejection, based on the v 2−f turbulence
model. At the load rejection transient process, the flow rate decreased
causing the pressure at the runner exit to drop, thus inflicting the
swirling flow in the draft tube, which got stronger and stronger with the
continuous flow rate decrease, thus giving the induced vortex rope
more and more strength, until it got separated into two narrow parts at
the draft tube elbow. This vortex rope was considered the source of
pressure fluctuations in pump turbines during the load rejection
transient process. A quite similar study was carried out by
Kaznacheev and Kuznetsov [182], who by video observation and laser
Doppler anemometry (LDA) studied the unsteady flow characteristics
in the draft tube of the pump turbine model at part, optimum, and
forced load operating conditions. The draft tube vortex rope was found
to inter-shift between broken and full shape at part load, disappear at
optimum load, and getting wider at forced load conditions. Moreover,
the induced cavitation was found to considerably affect the flow
velocity profiles in the draft tube.
3.1.2. Saddle-type or Hump characteristics
The saddle-type pump instability is undoubtedly the most challen-
ging problem to face in order to significantly increase the operating
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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M. Binama et al.
speed pump-turbine [183]. The operation stability for a pump turbine
operating in pumping mode is only attained when the difference of
head between steady state characteristics of the water conduit and the
pump, increases with increasing flow [184]. Any slight deviation from
the system stability characteristics will result in system flow unsteadi-
ness-induced abnormalities.
The pump mode flow instability is characterized by the head drop
with a decreasing flow, known to be associated with hydraulic losses in
both the runner and stator. Flow dynamic mechanisms leading to the
stated instability as described by Gülich [90], include rotating stall,
different flow pattern transitions within pump channels, as well as inlet
and outlet flow separation and recirculation, sometimes leading to
vortex formation and possible vibrations.
At different guide vane openings, the pump turbine measurements
as performed by Eisele et al. [185], have confirmed the guide vanes
onset rotating stall as the main issue at the peak of the machine
characteristics. In line with this, the rotating stall occurring at part load
in a low specific speed pump turbine, operating under pump condi-
tions, was investigated by Braun [186]. It was noticed that the
investigated stall was quite different from the machine generating
mode, as the found stall pattern consisted of four stall cells, rotating at
lower speed as compared to the runner speed (almost 2%). The
increased hydraulic losses connected to the onset rotating stall were
found to be at the origin of the flow unsteadiness and related head
drop. Investigations on the relationship between the guide vane open-
ings and different hydraulic losses in a pump turbine operating in
pumping mode, were carried out by Zhu et al. [187] and Deyou et al.
[188]. On the other hand, a study as carried out by Zhang et al. [189],
through both experimental and numerical simulation methods, high-
lighted the undeniable role of the impeller inlet recirculation on the
machine's performance discontinuity under pumping mode. While flow
separation and rotating stall have been blamed through many pub-
lished studies to have played the root cause of pump turbine flow
instability, this study instead showed that the impeller inlet flow pre-
rotation is the main threat to the machine stability, revealing the
impeller required attention, both at design and operation stages. In line
with this, Li et al. [190] investigated the flow characteristics of a pump
turbine under pumping operating mode. The study also aimed at
demonstrating the LES (Large Eddy Simulation) computational meth-
od's feasibility in terms of accurate flow dynamics capture in these
machines. Referring to the performed experiments’ results, LES could
predict the machine performance characteristics better than RANS
method. Next, investigations were then carried out on a pump turbine
under different flow conditions (0.85 QBE, 0.88 QBE, 0.91 QBE, and
1.00 QBE), trying to figure out the reasons behind the machine Head
drop. The flow recirculation at the runner inlet, especially noticed
under 0.85QED flow conditions, was finally believed to be at the origin
of the Head drop within the energy-discharge curve.
However, it has been found, in the literature, that the machine
unstable behavior does not only implicate the head drop, but may also
be accompanied by high cycle fatigue stress, possibly resulting in crack
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
machine flow characteristics, Billdal and Wedmark [171] have also
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
demonstrated the spatial fluctuation pattern existence, mostly concen-
trated at the runner exit, which got increased at off-design conditions.
Rodriguez et al. [192] presented a theoretical method which could
predict and explain the RSI-induced harmonics in a pump turbine. This
method was based on hypothesis that 1) there is always a radial load
whenever a runner blade passes in front of a guide vane 2) these loads
have similar shapes 3) their amplitudes depend on which runner blade
interacting with which guide vane 4) the loads sequence primarily
depends on the combination of present number of runner blades and
guide vanes. With this method, the RSI magnitude distribution around
the perimeter of pump-turbine could be determined, allowing the
identification of conditions of industrial interest, such as an eccentricity
or an excessive RSI in a particular vane [193]. On the other hand, a
study on the resonance onset from the circumferential pressure
fluctuation distribution unevenness was presented by Guo and
Maruta [194]. The here above mentioned phenomena (rotating stall
and Rotor-stator interactions) are discussed in a more detailed way in
coming sections.
Hump characteristics are a main feature of unstable behavior in
pump turbines, which happen in pump mode under small discharge
operation conditions [153], where strong noise can be heard during the
starting period and the start time is prolonged [172]. Many more
studies have been carried out aiming at investigating, and by the way
understanding the pump turbine instability under pump mode operat-
ing conditions. Some of the conducted studies with corresponding
detailed research methodologies are presented in the following.
Ješe et al. [195] predicted the hump characteristics and associated
rotating stall in a high head pump turbine (Nq=27). Numerical
simulations using a commercial code FINE™/Turbo were conducted
at four different GVOs (12°, 14°, 16°, and 18°) for a wide range of
flows, the results of which got finally compared to tests ones. To
accurately capture the hump shaped performance, periodicity and
steady approach were adopted. The lines “simulation 14°” and “Sim-
combine14°” on Fig. 20 stand for calculations with periodic and
combined mesh respectively. The flow showed global stable character-
istics at large GVOs. Nevertheless, the noticed increased flow cells next
to decreased flow regions, confirmed the high chance of rotating stall
onset.
However, their number has been random, where the 18° GVO
presented a worse performance with 8 cells, and 16° performed the
best with 0 found cells. With respect to the pump hump performance,
high opening values, especially 16° GVO, performed well compared to
lower ones, where 14° GVO exhibited a worse performance. Cavitation
phenomenon was also investigated and it was found to impede the
hump characteristic but inducing more losses at most of operating
points in the machine as shown in Fig. 21. Numerical results were
found in good agreements with test ones.
Li et al. [196] investigated the flow characteristics at different
discharges for a pump turbine in pump mode, under three different
GVOs namely: 18 mm, 20 mm, and 32 mm. Results from performed
K–ω turbulence model-based simulations agreed well with experimen-
Fig. 20. Obtained characteristics curves for the three used methods under 14° guide
vane opening [195].
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179

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].

Simulation type Unsteady

Turbulence model SST K-ω
Computational domain Full reduced scale model
Time step 1° of the runner revolution
Convergence criterion RMSmax < 10−6−10 internal coefficient loops

Table 9
The operating points [201].

Points Qm (kg/s) Efficiency (%)

Best point 192.1 88.09

0.95QBEP 182.5 87.74
0.90 QBEP 172.9 86.81
0.87 QBEP 167.1 85.86
0.80 QBEP 153.7 81.47

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.

3.2. Flow instability-related hydraulic phenomena

Flow instabilities and related Pressure fluctuations and vibrations

in fluid machinery are generally believed to be associated with different
flow time dependent phenomena occurring in the machine, and
pertaining to internal and external sources, such as rotor-stator
interactions (RSI), flow separation, cavitation, and so forth. In this
section, a brief literature survey on the same phenomena in pump
turbines is presented. Fig. 23. Cavitation phenomenon along with flow rate decrease [203].

3.2.1. Rotating stall

Today's researches on instabilities in pumps are mostly concerned
with what happens inside the pump and how this affects the pump

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M. Binama et al.
characteristic [204]. Pump turbines may sometimes experience the
flow unsteadiness from flow separation within the machine flow
channels and other associated phenomena such as rotating stall,
impacting the machine characteristics due to induced hydraulic losses.
Hasmatuchi [2] defined the flow separation as a complex phenomenon,
which is present in the flow around an aero or hydrofoil, at high
Reynolds number, mainly when the incidence angle is changed from
zero. Simpson [205] claimed that the flow separation is the entire
process of departure or breakaway or the boundary layer flow break-
away. Hu and Yang [206] declared that flow generation can be a source
to the unsteady area appearance with associated severe turbulences
and many recirculation zones. Another important effect was found by
Hoarau et al. [207], which is the onset of vortical flow structures, under
two types of mechanism, viz. Kelvin-Helmholtz and von Karman
instabilities. As portrayed through many investigation findings, the
flow separation is the origin of different flow unsteadiness-related
phenomena; especially occurring at off-design operating conditions on
the solid surfaces of the machine's rotor or stator. It is also believed to
be the main cause of rotating stall onset within the machine flow
channels.
Zhang [208] defined the rotating stall as the cells of flow separation,
which emerge at different locations in the impeller. A comparatively
global definition was given by Frigne and Van Den Braembussche
[209], as the unsteady flow phenomenon that gives rise to the
occurrence of sub-synchronous rotating velocity fluctuations. Both
Brennen [210] and Berten [211] stated that the so called stall, is a
highly dynamic phenomenon, which occur when the machine operates
with too high incidence angles at the impeller blades or diffusor vanes.
This leads to the unstable behavior of the flow inside the machine, and
it is one of the reasons to the unstable machine operations [212],
because the induced losses lead to a drop in machine flow character-
istics [184]. Different investigators, such as Brennen [213], Dixon
[214], Johnson et al. [215], Sano et al. [216], and Stepanik and Brekke
[217] among others, have confirmed the rotating stall onset in pumps
and pump turbines, at off-design operating conditions. Indeed, as
presented by Fay [218], the stall cell can consecutively occur at several
flow channels, sometimes causing the flow blockage and resultant flow
reversal. In the researches as carried out by Widmer et al. [219], Seidel
et al. [159] and Hasmatuchi et al. [160], the onset rotating stall was
found to rotate in the same direction with the impeller, with a
frequency in the range between 50% and 70% of the impeller rotating
frequency. For an even more comprehensive literature about the
subject matter as well as the dynamics behind the rotating turbulences,
review articles as published by Zhang et al. [220], Greitzer [150] and
Godeferd and Moisy [221], are recommended. More studies were
carried out, where the pump turbine flow instability was found to be
linked to the rotating stall onset in the machine flow channels, and
some of them are here-down presented with respective detailed
research methodologies.
Pavesi et al. [222] investigated the unsteady phenomena develop-
ment and the instability characteristics in a two-stage pump turbine
under direct operating mode. The investigation was carried out through
two technics namely the high-speed flow visualization and dynamic
pressure measurements respectively, at the operating points ranging
from the design to part load flow rates. The analysis of pressure
fluctuations were conducted both in frequency and time frequency
domains and the flow visualization was focused in the wickets gates and
in return channels. The investigated machine characteristics showed a
slight hump region in the flow range from Q/QDIS=0.45 to 0.70. To
study the flow characteristics in the instability zones, the high-speed
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
decrease from the design flow rate through the instability zone to the
stable zone, the flow unsteadiness got gradually severe, where the back
flow in the return channel and separated boundary layer as well as the
induced rotating stall in the guide vane, were noticed for flows slightly
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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
below the design flow and flows at real instability (hump) zones.
Hasmatuchi et al. [223] studied the onset and development of the
flow unsteadiness at runaway and low flow conditions. The rotating
stall phenomena in a low specific speed radial centrifugal pump turbine
was experimentally investigated, increasing the rotational speed from
nominal through the runaway to low flow conditions (zero torque
value), where high-speed flow visualization technic coupled with air
bubbles injection was used for flow field visualization in the vaneless
gap between the impeller and stay vanes, and piezo-resistive pressure
sensors were used for wall pressure measurements in spiral casing,
guide and stay vanes as well as the draft tube. From the BEP to the S-
shaped zone, the pressure fluctuations changed from low to substan-
tially high pressure fluctuation, especially pronounced in guide vanes.
At runaway, a rise of low frequency component at 70% of the runner
rotational frequency was noticed, which as the machine approached the
zero flow conditions, increased in amplitude. One rotating stall rotating
with the impeller at sub-synchronous speed was also noticed in the
vaneless space between the guide vanes and the impeller; accompanied
by the flow reversal in the guide vanes at lower flows. It was also
confirmed that the investigated impeller channels flow blockage took
source from the developed rotational flow separations at the same
areas.
Liu et al. [224] has studied the pump turbine instability at no load
opening. The Numerical simulation results from both SST K-ω and
v 2−f models were compared to experimental ones as performed by
Nicholas and Poul [225]. The results of v 2−f model were found in a
good agreement with experimental ones, so it was used for the next
simulations. A 3D unsteady incompressible flow was used to study the
pump turbine flow, where the fluid coupling and direct mesh were used
to simulate the transient rotational speed and the angular rotational
speed was found through the formula:
dω
IZ = MR − MG
dt (8)
where IZ, MR, MG, t, and ω stand for moment of inertia, runner torque,
payload torque, time, and angular speed respectively. The moment of
inertia was found to have a big influence on the machine characteristics
at no-load opening as its increase would dump both the speed and
torque fluctuations as well as eliminating the rotating stall within the
machine flow channels.
Botero et al. [226] has presented a flow visualization approach in a
reduced scale model of a Francis type reversible pump turbine,
operating from turbine mode through runaway to break turbine
conditions. Fluorescent monofilaments wires (tufting) coupled with
high speed image processing technics and pressure sensors were
installed in the vaneless space between the runner and guide vanes,
and within the guide vane flow channels, for further descriptive
analysis of flow with and without rotating stall. The analysis was
carried out at three operating conditions as shown in Table 10. the flow
at OP1 was found to be stable with pressure fluctuations at the blade
passing frequency (BPF) and non-accented vortex rope, whereas flow
separation and recirculation causing the flow blockage in some vane
channels and the backflow from the impeller, was noticed at OP2. At
point OP3, the flow became even more unstable giving rise to the
rotating stall phenomena. The used flow visualization and pressure
measurements technics were confirmed reliable.
Xia et al. [227] carried out a numerical study to investigate the
Table 10
Reference points in the turbine [226].
Point Description QED nED
OP1 High efficiency point: calm flow 0.0995 0.1933
OP2 Runaway 0.0445 0.2421
OP3 Turbine-brake 0.0148 0.2324
M. Binama et al.
onset and development mechanism of rotating stall phenomenon in a
pump turbine model under pump mode. CFD simulation results were
found in a good agreement with experimental ones where it was
noticed that the flow stability deteriorated as the flow rate gradually
decreased from BEP to lower values. At part-load, four equally and
circumferentially distributed rotating stall cells were noticed, causing
flow blockage in some vane channels, and a forced flow in others, which
led to strong flow jets in the spiral casing and associated high pressure
periodical impingement on the casing wall as well as the possible
induced structural instability. The observed stall-induced severe flow
separations disturbed the flow, leading to periodical high pressure
fluctuations, the intensity of which, was found to differ in different
span-wise planes at the guide vanes. Additionally, the guide vane's both
sides pressure fluctuation difference induced torque vibrations could
lead to adverse effect on the machine operation.
Hasmatuchi et al. [228] carried out an experimental investigation
on a reduced scale model of a reversible pump turbine in generating
mode aiming at the description of flow instabilities onset and devel-
opment under runaway and S-shape operating conditions. Pressure
measurements and high speed flow visualization technics were respec-
tively used in the stator and rotor-stator vaneless space, throughout the
entire experimental process. The runner speed was continuously
increased from the best efficiency point until the flow got reversed.
The rotating stall appeared at the runaway and its amplitude gradually
increased with a continuous flow decrease, reaching its maximum at
zero flow. One rotating stall rotating at a sub-synchronous speed was
noticed at rotor-stator vaneless gap, causing the flow blockage in some
runner flow channels.
3.2.2. Cavitation
Cavitation is defined as the process of formation of the vapor phase
in a liquid when it is subjected to reduced pressures at constant
ambient temperature [229]. In hydroelectric machines, static pressure
may sometimes fall far enough to go below the fluid vapor pressure,
thus giving rise to the cavitation phenomenon and related flow
instabilities. The design, operation and refurbishment of hydraulic
turbines, pumps and PATs are strongly related to cavitation phenom-
ena, which may occur in either the rotating runner-impeller or the
stationary parts of the machine [230]. So far, a great deal of studies
have been carried on cavitation occurrence in different hydraulic
machines, where different associated aspects viz cavitation causes,
cavitating flow dynamics, cavitation parameters, cavitation impact on
system characteristics, and mitigation technics to say the least, have
been discussed. Lou et al. [231], Kumar and Saini [232], and Maxime
et al. [233] have presented reviews on different studies as carried out
by several investigators on cavitation occurrence in hydro-turbines and
centrifugal pumps. Many other studies, Gantar [99], Prasad et al. [24],
Singh [44] among others have discussed cavitation and its effect on
pump turbine efficiency. Moreover, a number of investigations on
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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Renewable and Sustainable Energy Reviews 79 (2017) 148–179
[143,234] through their presented reviews about pump turbines
stability aspects. Pump turbine Cavitation-related studies are of a
crucial importance as cavitation occurrence can, apart from causing
different mechanical and hydraulic damages, affect the system natural
frequencies, and is mostly the source of many unwanted system
behaviors; noise, vibrations and spontaneous pulsations among others.
For a pump-turbine, cavitation is more serious when it works as a
pump [235]. A great deal of studies is already carried out on cavitation
occurrence and related instability in pump turbines under both pump
and generating modes. An experimental study on leading edge cavita-
tion detection in a pump turbine operating in pump mode was
presented by Cencîc et al. [236]. Zhang et al. [237] predicted the
pump turbine cavitation occurrence and its locations. Li and Zhang
[238] compared the centrifugal PAT cavitation performance under
conventional and generating modes. Tao et al. [239] presented a
genetic algorithm-based optimization of pump turbine's cavitation
inception performance.
Borciani and Thalmann [240] and Amblard et al. [152] investigated
the cavitation effect on the S-shape characteristics on two low specific
speed-Francis type pump turbines, operating at the points ranging
from turbine mode through runaway and turbine brake zone to
reversed pump mode. The S-characteristics slope was found to flatten
with the decrease in cavitation number, which was more pronounced at
the model with higher specific speed.
Liu and Guan [241] studied the effect of cavitation on pressure
fluctuations in a pump turbine operating in pump mode. The increase
in cavitation number was found to decrease the pressure fluctuation
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
locations in the runner of a pump turbine reduced scale model
operating in pump mode for a wide range of flows. It was observed
that the hump characteristics was due to flow separations in the
distributor and vaneless gap area, leading to increased losses at lower
flow rates. Moreover, cavitation position was found to depend on the
velocity triangle at the runner inlet and its zones were getting wider
with the decrease in net pressure suction head (NPSH) values. It was
located at blade leading edge's suction side for reduced flows, on blade
leading edge's suction or pressure side depending NPSH value at BEP
flow, and at the blade leading edge's pressure side for increased flows,
as shown in Fig. 24. Numerical and experimental results were found in
a good agreement.
Li et al. [244] has investigated the relation between the pump-
turbine hump characteristics and cavitation phenomenon. Numerical
simulations based on the single phase model and multiphase model
were carried out where the multiphase model showed better agreement
with the test results. Four operating points namely A, B, C, F (see
Fig. 25) were analyzed, where as shown in Fig. 26, cavitation
phenomenon was found more pronounced at Hump (Point B) and
high flows (Point F) operating points.
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179

Fig. 25. Head-Discharge facto curve [244].

Therefore, it was concluded that the hump characteristic is some-

how linked to the cavitation occurrence.
Tao et al. [245] studied the cavitation inception criteria and its local
position in the pump-turbine runner operating in pump mode.
Numerical simulations were carried out at five different flow rates
namely 360 kg/s, 405 kg/s, 450 kg/s (design flow), 495 kg/s, and
540 kg/s; where cavitation performance control was achieved by
gradually varying the outlet static pressure. It was demonstrated that
off-design operating points far away from the design point, experienced
a comparatively early cavitation occurrence. Moreover, cavitation
Fig. 27. Positions of inception cavitation under different flows [245].
location was found to depend on the inlet flow flux, where low flow
rates and high flow rates were found to exhibit blade leading edge's
suction and pressure sides respectively (Fig. 27). The vapor volume
fraction in the range from 0.0001% to 0.001% was recommended as the
proper criterion for cavitation inception in pump-turbines.

Fig. 26. Cavitation regions for different operating points [244].

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M. Binama et al.
Fig. 28. Three selected operating points used for CFD simulations [246].
Anciger et al. [246] has predicted the rotating stall occurrence and
cavitation inception in a pump turbine under pump mode operating
conditions. Analyzed at three operating points namely OP1, OP2, and
OP3 (Fig. 28), the rotating stall was initially observed at OP2 (a point
slightly above the projected maximum head), and got fully developed at
OP3 with three distinct rotating stall circumferentially and equally
distributed, and rotating in the runner rotational direction with a speed
approximately equal to one stay vane pitch per rotor revolution. This
phenomenon was found to take source from some guide vane channels
blockage by the onset stall cells, causing the flow to forcibly find its way
in next channels thus resulting in equidistant flow jets in the casing,
and causing high pressure fluctuations. The investigation results on
cavitation inception were not very clear, but their numerical and test
results presented good correlation.
Liu et al. [247] carried out a combined study on the pump-turbine
hump characteristics and cavitation performance, at three different
GVOs namely 12°, 18°, and 24° in pump mode. The mixture multi-
phase model was used together with SST K-⍵ turbulence model for the
numerical simulations, the results of which got compared and pre-
sented good agreement with experimental ones. It was found that both
the cavitation and hump characteristics depend on the relative guide
vane opening. And both phenomena were found more pronounced at
lower values of GVO. Cavitation locations were found at the blade
leading edge's suction side and got wider at the Hump wave trough.
Moreover, the pressure fluctuations increased greatly at the maximum
cavitation point, and reduced with cavitation region decrease. The
decrease in relative opening was found to greatly increase the vaneless
space pressure fluctuations.
3.2.3. Rotor-stator interactions (RSI)
The pressure distribution on any hydraulic machine's blade,
changes from pressure side to suction side, thus producing the required
working torque. The pressure field rotates with the runner in such a
way that, for a rotationally symmetric field, an external fixed observer
would notice a periodically varying succession of pressure and velocity
as the runner rotates. Unfortunately, this rotational symmetry is not
always present in turbo machines. This serves the source of many
periodic flow disturbances, in the stator by the rotor periodic blades
passage and in the rotor by the stator non-uniform flow, which is
generally known as Rotor-Stator Interaction or RSI. This phenomenon
is generally known to give source to different flow unsteadiness
associated with high pressure fluctuations, leading to possible vibra-
tions and structural fatigue within the machine. Hasmatuchi [2] and
Zobeiri [248] have stated that during the operation of a hydraulic
turbomachine at any operating point, the relative motion between the
impeller blades and guide vanes induces pressure fluctuations that
172
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
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
impeller, otherwise referred to as Guide vane passing frequency (GPF),
is quantitatively within the range of natural frequencies of the impeller
components, and therefore serving the source of unwished vibrations
and fatigue cracks in the impeller. The mainly influencing operating
parameter for both BPF and GPF was found to be the rotor-stator
vaneless gap. Arndt et al. [254] investigated the influence of rotor-
stator vaneless gap on pressure fluctuations in a centrifugal pump and
found that with the radial gap increase in the range of 1.5–4.5% of the
runner discharge diameter, the pressure fluctuations decreased by
50%. It's then obvious that the system will experience strong interac-
tions at full guide vanes opening, as the rotor-stator vaneless ring will
be at its smallest thickness; which may lead to vibrations, hydraulic
losses, and even blades cracks from resonance onset between the
vibration frequency and the system natural frequency [253,255,256].
Other parameters, as presented through Al-Qutub et al. [257] and
Parrondo-Gayo et al. [258] are the blade trailing edge shape and
operating regime respectively. The potential and viscous effects such as
wakes [259,260] and flow separations [261] play key roles in pressure
fluctuations increase. RSI-caused failures have been known from so
long ago where different cases, runner failure and structural vibrations
among others, were frequently met. As a matter of fact, as shown in
[144,262], runner failures were recently met from high RSI amplitudes,
where runner natural frequency was very close to wicket gate excitation
frequency, within a short operational time. Coutu et al. [263] presented
an impeller runner blade breakage case at a 447 MW pump-turbine,
after a 200 h working time.
In the latest designs of pump-turbines, RSI has become the most
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
vibration, pressure and velocity measurements; among which veloci-
metry technics, PIV [264,265] and LDV [266,267] to say the least, have
been widely adopted. It is of a central importance, to analyze the RSI
characteristics and its effects in turbo machines, which can only be
achieved through its deep understanding, where its mechanism and
influencing parameters must be clearly described. Different researchers
have so far presented their findings on rotor-stator interaction and
induced instabilities in pump-turbines. Yan et al. [268] investigated the
effect of water compressibility on RSI-induced pressure fluctuations.
The CFD method plausibility was first validated by comparing its
results with those found through a 1-D code for hydraulic networks,
SIMSEN. Next the effect of compressibility was investigated through
compressible and incompressible numerical simulations at different
sound speeds. Compressible simulation presented comparatively larger
pressure fluctuations in the vaneless space. On the other side, the
incompressible solution revealed pressure fluctuation amplitudes lin-
early decreasing along the runner channel center line, while compres-
M. Binama et al. Renewable and Sustainable Energy Reviews 79 (2017) 148–179

sible solutions exhibited parabolic distributions coinciding with acous-

tic analysis. It was confirmed that the water compressibility has a big
influence on pump turbine dynamical characteristics, especially in
cases of RSI-born pressure fluctuations. Rodriguez et al. [193] in-
vestigated the RSI characteristics in a 100 MW pump turbine, where
results from pressure measurements and vibration measurements both
in the bearing and rotating with the shaft, have been compared.
Pressure measurements technic was found more suitable for RSI
characteristics detection and monitoring, and its results could still be
found through the vibration measurements rotating with the shaft, thus
making it more appropriate as compared to the vibration measure-
ments in the bearings. The quality difference in information provided
by both vibration measurements methods was mainly due to the
different frequency response of rotor and bearing. Franke et al. [269]
Fig. 30. Frequency components of pressure coefficient in the distributor [270].
developed the previous RSI models. They also studied the RSI-arising
pressure mode shapes in a reversible pump turbine. Pressure measure-
models, through two CFD codes, viz. Fine turbo and CFX TASK flow.
ments were carried out at different areas such as the priming chamber
The analysis results showed that the unsteady rotor-stator interface
between runner and guide vanes as well as between the runner crown
model as performed through the two codes could accurately capture
and the head cover. Next, the RSI induced pressure pulsations were
different flow features and reproduce all RSI effects namely potential,
calculated through elementary fluid flow principles, the results of
viscous and pure advective ones. Moreover, the used sliding mesh R-S
which agreed favorably with measured ones. Zobeiri et al. [270]
interface method was found to be very demanding in terms of mesh
investigated the rotor-stator interactions in a pump-turbine in gen-
and time step sizes thus requiring a huge numbers of nodes even for
erating mode at the maximum guide vanes opening. The wall pressure
simple geometries. The pump mode analysis results revealed a highly
measurements using piezo-resistive sensors in the distributor channels
non-uniform flow from the runner; where at off-design operations, the
were carried out and the results satisfactorily agreed with numerical
flow entering the stator channels was strongly influenced by the rotor-
ones. Fig. 29 shows the selected monitoring points for numerical
stator relative position. The perceived flow behaviors at the rotor-stator
pressure fluctuation measurements in one distributor channel. The
zone led to complex flow patterns in the stator. When compared to
spectral analysis revealed that the difference originated from the value
experimental ones, the unsteady simulation results displayed a good
of BPF component. The maximum pressure amplitude of BPF was
agreement, where different RSI-associated flow features could be
noticed in the rotor-stator area but it decreased very fast backwards to
correspondingly captured.
the stay vanes as shown in Fig. 30, and the pressure amplitude of the
first harmonic spread to the spiral casing.
Bolleter [271] introduced a new approach on rotor-stator interac- 3.3. Pump-turbine stability improvement attempts
tions, where the accounted pressure fluctuations were considered to
take source from the interaction between the two non-uniform velocity- As shown in the above sections, the pump-turbine runner is the
pressure fields; the first coming from the guide vanes and the other is central part from which the machine efficiency and flow stability can be
the non-uniform pressure at the runner inlet [248]. counted. Basically, the runner geometry can considerably influence the
Guedes et al. [272] studied the RSI dynamics in a pump turbine machine flow stability, be it saddle-type or s-shape characteristics
through a comparative scheme between RSI steady and unsteady related. Therefore, its optimization would contribute a lot to the
machine stability improvement. Different studies have been carried
out aiming at improving the pump-turbine stability aspects, where the
most vulnerable stages, viz. start-up and load rejection, have been
deeply analyzed to come up with adequate solutions to associated
instabilities, where different universally applicable and case-specific
technics have been presented.

3.3.1. Misaligned guide vanes (MGV)

Fig. 29. Locations of monitoring points in the distributor [270].
This technic is mainly used for pump-turbine start-up related
instability mitigation. It was used for the first time in COO II pump-
turbines as presented by Klemm et al. [273]. The technic consists of
preopening a number of guide vanes during the machine start-up to
improve the associated S-shape instabilities. Fig. 31 shows such an
arrangement. Different studies have been conducted on the use of
MGV, related flow dynamics, and its effect on the machine flow
characteristics. Liu et al. [274] confirmed that the use of pre-opened
guide vanes could increase the flow and reduce vortices, leading to a
complete elimination of S-characteristics.
Liu et al. [275] investigated the effect of different guide vanes
openings on the pressure field in rotor-stator vaneless space. The non-
linear Partially-Averaged Navier-Stokes (PAN) model was used to study
the S-shape instabilities of a pump turbine with MGV, where it was
finally found that the use of MGV improved the flow stability in the so
called S-shape zone, whereby the water ring in the vanless got
destroyed. However, the MGV was noticed to worsen the pressure field
in the vaneless space, as the amplitudes of pressure fluctuations got
larger with the increase in guide vanes opening.

173
M. Binama et al.
Fig. 31. Positions of four MGVs [273].
Table 11
Operation condition points [276].
Operating conditions No. of MGV MGV Opening Rest MGV opening
MGV0 – 0°+9° 9°
MGV5 3, 4, 13, 14 5°+9° 9°
MGV15 3, 4, 13, 14 15°+9° 9°
Xiao et al. [276] predicted the pressure pulses in a Francis type
pump-turbine at different MGV openings as shown in Table 11.
Pressure monitoring points were fixed in all machine flow areas, viz.
runner, guide and stay vanes, spiral casing, and draft tube. The
numerical solution showed that the MGV technic substantially reduced
the pressure pulses in stationary parts of the machine, where pressure
amplitudes considerably dropped as the MGV opening increased.
However, the same technic was found to aggravate the situation within
the rotating domain as pressure amplitudes were found to increase
with the MGV openings. In their previous almost similar study [277], a
substantial RSI influence at small openings had been noticed, espe-
cially in the guide vanes and runner domains.
Sun et al. [163] studied the flow in the pump-turbine's S-shaped
region aiming at analyzing the S-characteristics and pressure fluctua-
tions with and without MGV. The analysis results of flow near no-load
conditions, showed that even though the MGV technic eliminated the
S-shaped characteristics, it has increased the radial forces fluctuations
and vibration in the runner, leading flow symmetry destruction and
system oscillations. This technic was also confirmed to give source to
pressure fluctuations in the draft, thus leading to the whole unit's
unstable operations.
Liu et al. [278] analyzed the MGV method induced pressure
fluctuations in a pump-turbine during the start-up period at no-load
conditions. The analysis results of two models, viz. synchronous and
MGV models in terms of pressure, showed that amplitudes of pressure
fluctuations in the MGV model was twice larger than the synchronous
one. The use on MGV destroyed the uniform flow in the casing, causing
vortical flow patterns apparition in the rotor-stator vaneless space, the
same place where the dominant frequency (the BPF) was observed.
Even though the MGV technic could improve the S-characteristics, it
was found guilty of flow instability creation due to the pressure
fluctuations increase in the machine.
Xiao et al. [279] investigated the S-shaped flow characteristics and
their improvement by MGV method in a pump-turbine. The MGV
method ability to eliminated S-characteristics was verified, and as
shown in the above presented review, this method inflicted pressure
fluctuations amplitudes increase within the flow passages as well as the
runner radial forces at the starting period. At start-up, the pressure
174
Renewable and Sustainable Energy Reviews 79 (2017) 148–179
fluctuation amplitudes in the vaneless space were recorded at its
maximum and rapidly reduced as the rotating speed increased. The
fact that MGV destroys the flow distribution symmetry in the guide
vanes and runner was believed to be responsible for increased pressure
fluctuation amplitudes in the machine. Similar results were found by
Xiao et al. [280].
3.3.2. Inlet valve throttling
Cepa [281] presented a practical experience in dealing with reverse
pump-turbines instability at the start-up within Dalesice and
Zarnowiec storage power plants. The use of two methods, as presented
by Dörfler et al. [282], digital turbine speed governor modification and
artificial head loss addition at the lower part of the penstock by means
of butterfly throttling, was discussed. The upstream biplane butterfly
valve effectively improved the turbine start-up as it was able to push
the stability limits to higher speed factor values. This start-up modified
technic has not presented any mechanical drawback.
Nielsen and Svarstad [164] discussed the mechanism when using a
throttle to achieve system stability, even if the turbine characteristics
imply instability. Mesnage et al. [283] proposed a similar start-up
strategy for hydraulic turbines prone to S-shaped characteristic, based
on a gain scheduling approach from finite horizon predictive control
[234].
3.3.3. Case-sensitive attempts
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
revealed that the used profiles modified the radius of curvature and
inlet blade angle, where smaller blade angles gave less steep character-
istics in turbine mode. In respect to the pump-turbine stability
improvement, some recommendations were then provided, viz. in-
creasing the blade length, increasing the inlet blade angle, increasing
the radius of curvature at the pressure side of the blade leading edge,
and decreasing the inlet radius.
Sun et al. [285], provided that pump-turbine stability is more
associated with pressure pulsations than anything else, investigated the
influence of the distributor pitch diameter on pressure fluctuations in a
pump-turbine's rotor-stator vaneless space and external performance.
The analysis was carried out over D0/D1 values ranging from 1.099 to
1.025. The maximum efficiency was found when D0/D1is 1.129 and
different guide vane positions gave different pressure fluctuation
amplitudes with minor differences.
Kerschberger et al. [286] optimized the runner blade profile
through different methods namely the inverse design, numerical
simulation, and mode testing methods; to come up with a significantly
improved design in terms of hydraulic performance compared to the
initial design.
Yin et al. [287] presented a method to eliminate the pump-turbine
S-shaped characteristics thus improving the pump-turbine stability. As
a big part of hydraulic losses generally happens in the runner, the
method for runner hydraulic performance improvement was proposed.
Through the analysis of blade loading by the direct analysis approach,
the S-shaped characteristics were eliminated by the blade meridional
section broadening. For validation, two similar impellers with different
meridional section designs were manufactured and tested, where the
runner with broader meridional section exhibited stable performance.
Nowicki et al. [288] presented the optimization of a pump turbine
at Tongbai pumped storage plant. Liu et al. [289] carried out a pump
turbine hydraulic optimization to eliminate the S-characteristics at
Xianju pumped storage plant. Numerical and experimental tests were
carried out, and the onset vortex and water ring at the vaneless space
were found to cause flow blockage in some channels thus contributing
to the S-shape characteristics appearance. Thus both of the phenomena
were found to be the optimization targets. After different variations of
flow conditions, the S-characteristics were eliminated and the inner
M. Binama et al.
flow was improved. The improved runner provided the flow steadiness
at no-load conditions.
4. Concluding remarks
This paper presents a deep literature review from previously
published works on pump-turbine technical aspects namely pump-
turbine selection, performance prediction and flow stability, where the
following conclusions are drawn, followed by some remarks regarding
the future research in the area of PAT:
a. By inversing the fluid flow direction, pumps can work effectively for
power generation without any mechanical failures, and present
many advantages over conventional turbines, especially in off-grid
energy systems. However, their selection for a specific site, still
presents difficulties as pump manufacturers don’t provide reverse
mode operational data for their products.
b. Pump- turbines operate poorly under part-load conditions and their
efficiency is usually lower or equal to conventional turbines.
However, their global adoption is more about economic profits
rather than performance efficiency. Moreover, their efficiency can
still be improved through impeller design modifications, where blade
rounding is so far the most promising technic.
c. A great deal of studies have been carried out on pump-turbine
performance prediction but in vain as there is no universal predic-
tion method applicable to a wide range of specific speeds yet found.
d. Flow instability in pump-turbines under both pump and generating
modes at off-design conditions, has been noticed to be associated to
different unsteady flow phenomena, viz. vortex flow, rotating stall,
flow blockage and flow reversal; especially at critical operating
phases, viz. machine start-up and synchronisation, operating modes
transition, and load rejection.
e. Different design and operational parameters, viz. inlet blade angle,
guide vanes number/impeller blades number proportion (Zgv/Zib),
guide vanes opening, rotor-stator vaneless ring thickness, impeller
inlet blade profile and so other parameters; have been found to
considerably influence the pump-turbine flow stability conditions,
thus requiring more attention both at the design and operation
stages
Despite the amazing progress in terms of pump turbines’ performance
characteristics and flow dynamics research, leading to a thorough under-
standing of its operating mechanism; further improvements are still
needed for, if not complete eradication then remarkable reduction of the
here above stated techno-scientific issues and their respective effects on
pump turbines operations. For instance, future studies would take from
the so far acquired knowledge, and develop optimization schemes in
terms of operational and design parameters to come up with optimum
operational characteristics with increased accuracy. In line with the PAT
performance prediction, it may also ensure an increased accuracy if the
mean of different prediction methods results, was to be considered. The
omission of certain flow locations on the used geometrical models, has
been blamed for results discrepancies with respect to experimental ones,
thus decreasing on the study outcomes relevancy. Therefore, further
research efforts are still needed for computational techniques improve-
ment. Moreover, CFD turbulence models should be optimized in order to
more accurately capture the flow dynamics of flow through pump turbines
which may grant more a correct understanding of their operational
mechanisms. More studies on the effect of geometrical as well as
operational modifications are still needed, but now in a co-ordinated
manner, where parametric analysis would allow the distinction between
stable and unstable areas of operation, for specific pump turbine designs.
Conflict of interests
The authors declare no conflict of interests regarding the publica-
175
Renewable and Sustainable Energy Reviews 79 (2017) 148–179
tion of this article.
Acknowledgement
This work is supported by National Natural Science Foundation of
China (51506037, 51276046, 71390522), Foundation for Innovative
Research Groups of the National Natural Science Foundation of China
(51421063), and the Fundamental Research Funds for the Central
Universities (HIT.NSRIF.2017047).
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