Dynamic Dimensioning of Hydro Power Plants (DRAFT)

DYNAMIC DIMENSIONING OF
HYDRO POWER PLANTS
PROFESSOR TORBJØRN NIELSEN

Abstract
This document covers the dimensioning of water power plants with respect to dynamic
properties.
In Chapter 2, the general equations for the waterway system, shafts, turbine and governors are
described. All though the equations are the same, it is convenient to handle the different
dynamic phenomena separately. The most common system dynamic phenomena are pressure
rise in front of the turbine, surging in shafts and governor stability.
In Chapter 3, the pressure rise in front of the turbine due to wicket gate closure is handled.
The elastic properties of water and waterway system are often dominating. By using
Joukowsky’s formula, the highest possible pressure rise can be found. For complex systems,
the Method of Characteristics is suitable for solving the wave equations, i.e. the equation of
continuity and the equation of motion combined.
Chapter 4 is about surging in shafts. The phenomenon is explained and a simplified thumb
rule formula derived. It is shown how to set up the differential equations for a system with
surge shafts which can be solved by suitable numerical integration routines. Also air cushions,
which is a special case of surge equipment, is handled.
Governor stability is handled in Chapter 5. It is suitable for the purpose of stability analysis to
describe the dynamic system in frequency domain, hence linearization of the differential
equations and Laplace transformations are explained. The complete block diagram of a water
power system is put up.
ii
Contents
1 INTRODUCTION ....................................................................................................................................... 1
2 THE SYSTEM OF EQUATIONS .............................................................................................................. 0
2.1 TUNNELS AND PRESSURE SHAFT ........................................................................................................... 0
2.2 SURGE SHAFT ........................................................................................................................................ 2
2.3 THE TURBINE ........................................................................................................................................ 3
2.4 THE GOVERNOR .................................................................................................................................... 5
2.5 THE SYSTEM ......................................................................................................................................... 7
3 PRESSURE IN FRONT OF THE TURBINE ........................................................................................... 8
3.1 INTRODUCTION ..................................................................................................................................... 8
3.2 UNELASTIC WATER AND CONDUIT ........................................................................................................ 8
3.3 WATER HAMMER .................................................................................................................................. 9
3.4 THE METHOD OF CHARACTERISTICS................................................................................................... 17
3.5 THE BOUNDARY CONDITIONS ............................................................................................................. 20
3.6 MEANS FOR REDUCING THE TRANSIENT PRESSURE ............................................................................. 21
4 SHAFT SURGING .................................................................................................................................... 22
4.1 INTRODUCTION ................................................................................................................................... 22
4.2 SHAFT SURGE CALCULATIONS............................................................................................................. 25
4.3 THUMB RULE FORMULAS .................................................................................................................... 27
4.4 DIMENSIONING CRITERIA .................................................................................................................... 30
5 GOVERNOR STABILITY ....................................................................................................................... 31
5.1 INTRODUCTION ................................................................................................................................... 31
5.2 OSCILLATIONS AND STABILITY ........................................................................................................... 32
5.3 LAPLACE TRANSFORM ........................................................................................................................ 34
5.4 FREQUENCY ANALYSIS ....................................................................................................................... 37
5.5 AMPLITUDE-PHASE-FREQUENCY (APF) DIAGRAM............................................................................. 41
5.6 THE STABILITY CRITERION .................................................................................................................. 42
5.7 THE TRANSFER FUNCTION FOR A WATER POWER PLANT ...................................................................... 43
5.7.1 The system of equations................................................................................................................. 43
5.7.2 Correlation discharge, pressure and power .................................................................................. 44
5.7.3 The rotating masses ....................................................................................................................... 47
5.7.4 The governor ................................................................................................................................. 48
5.7.5 Block diagram and transfer function of the system ....................................................................... 49
5.8 THE TIME CONSTANTS TW AND TA ....................................................................................................... 50
5.8.1 Tw – Inflow time of the masses of water......................................................................................... 50
5.8.2 Ta – The acceleration time of the rotating masses ......................................................................... 51
5.9 ASYMPTOTIC APF DIAGRAM FOR A WATERPOWER SYSTEM ................................................................ 52
5.10 THE PID GOVERNOR ........................................................................................................................... 55
5.11 GOVERNOR SETTINGS ......................................................................................................................... 56
5.12 PERMANENT SPEED DROOP ................................................................................................................. 57
5.13 THE TURBINE’S SELF-GOVERNING ....................................................................................................... 59
5.14 SURGE CHAMBER ................................................................................................................................ 61
5.15 U-TUBE OSCILLATIONS ....................................................................................................................... 62
5.16 AIR CUSHION CHAMBER ...................................................................................................................... 64
5.17 SUMMARY........................................................................................................................................... 65
iii
List of Figures
FIGURE 2-1 MODEL FOR NON-STATIONARY FRICTION LOSS ..................................................................................... 1
FIGURE 2-2 CONTINUITY EQUATION IN THE CONNECTION BETWEEN TUNNEL, SURGE SHAFT AND PRESSURE SHAFT 2
FIGURE 2-3 POWER BALANCE .................................................................................................................................. 4
FIGURE 2-4 TURBINE PERFORMANCE DIAGRAM ....................................................................................................... 4
FIGURE 3-1 EQUATION OF MOTION - RIGID THEORY ................................................................................................. 9
FIGURE 3-2 ILLUSTRATION OF A WATER HAMMER, INITIAL CONDITION ................................................................. 10
FIGURE 3-3 WATER HAMMER, PRESSURE RISE ....................................................................................................... 10
FIGURE 3-4 WATER HAMMER................................................................................................................................. 11
FIGURE 3-5 PRESSURE HAMMER ............................................................................................................................ 11
FIGURE 3-10 TYPICAL PRESSURE FLUCTUATION .................................................................................................... 14
FIGURE 3-11 PRESSURE HISTORY WHEN CLOSING THE VALVE AT T=TL.................................................................. 15
FIGURE 3-12 PRESSURE HISTORY WHEN CLOSING THE VALVE IN A LONGER TIME THAN TL .................................... 15
FIGURE 3-13 THE CHARACTERISTICS ..................................................................................................................... 19
FIGURE 3-14 NOMENCLATURE FOR THE INTEGRATED EQUATIONS ......................................................................... 20
FIGURE 4-1 WATERPOWER PLANT WITH SURGE SHAFTS BOTH UP- AND DOWNSTREAM THE TURBINE .................... 22
FIGURE 4-2 WATER POWER SYSTEM FOR THE SIMULATION EXAMPLE .................................................................... 26
FIGURE 4-3 SHAFT SURGING DUE TURBINE SHUT-DOWN COMPARED TO SUBSEQUENTLY TURBINE START-UP AND
THEN SHUT-DOWN JUST AS THE WATER SURFACE IS ON ITS WAY UP. ............................................................ 30
FIGURE 5-1 BLOCK DIAGRAM DESCRIBING THE GOVERNING PROCESS ................................................................... 32
FIGURE 5-2 OSCILLATION MODUS DEPENDENT ON THE REAL AND IMAGINARY TERMS........................................... 33
FIGURE 5-3 A SIMPLE BLOCK DIAGRAM ................................................................................................................. 35
FIGURE 5-4 ILLUSTRATION OF FREQUENCY ANALYSIS ........................................................................................... 37
FIGURE 5-5 A BLOCK CONNECTED TO A SPRING ..................................................................................................... 38
FIGURE 5-6 AMPLITUDE-PHASE–FREQUENCY DIAGRAM FOR A MASS AND SPRING SYSTEM ................................... 39
FIGURE 5-7 BLOCK DIAGRAM FOR A FEED BACK SYSTEM ....................................................................................... 39
4
1 INTRODUCTION
The system dynamics in water power plants are in general related to two conditions.
First there is the issue of governing the hydraulic power to be in balance with the demand on
the electric grid at all time. In practice, this is done by regulating the flow by means of the
wicket gate (Francis or Kaplan type turbines) or by adjusting the needle valve (Pelton type
turbines) so that the speed of rotation is kept constant at synchronous speed. This topic is
related to running the power plant at more or less steady state.
The second issue is connected to large load variation at for instance start-up and close down.
At a sudden load rejection, the governor will detect an increasing speed of rotation and will
instruct servomotors to close the wicket gates (or needle valves) as fast as possible.
Retardation of the masses of water in the pressure shaft will cause high pressure at the turbine
inlet and might lead to pressure fluctuations due to the elasticity of water. This phenomenon is
often referred to as the water hammer. Between surge shafts and reservoirs there will be U-
tube oscillations.
When dimensioning waterpower systems with respect to dynamic phenomena it is common to

divide the problem into:
- Pressure in front of the turbine

- Surges in shafts
- Governor stability
For all these phenomena it is the same differential equations that should be handled. However,
the causal relations are not the same and therefore the analysing and calculating methods as
well as the dimensioning criteria must be treated differently.
Governor stability is handled by analysing small disturbances around the turbine’s steady
state performance. Thereby the formally non-linear equations can be linearized and general
methods of stability analysis can be utilized.
For mass oscillations and water hammer, the amplitudes are large and the non-linearity can
not be disregarded when solving the differential equations.
However, because it is formally the same system we shall analyse, we will start by setting up
the general equations for a water power plant and thereafter adjust the system of equations to
handle the mentioned phenomena.
1
2 THE SYSTEM OF EQUATIONS
From a hydraulic system dynamic point of view, a water power plant consists of the following
components:
- Waterways (Tunnels and pressure shafts)

- Surge shaft
- Turbine with generator
- Governor
These elements can be described by their own characteristic equations and thereafter, the
elements can be connected to represent the whole water power system.
2.1 Tunnels and pressure shaft
For a water string, the continuity equation and the equation of motion can be described as
follows:
The continuity equation:

H a 2 v
 0 (2.1)
t g x
The equation of motion:
H v vv
g   0 (2.2)
t t 2D
The pressure is defined by the piezo metric head H which is the hydraulic pressure h plus the
geostatic head z, i.e.:
H  hz (2.3)
In the continuity equation, the pressure propagation speed, a, defines the elasticity of water in
a closed conduit. The connection between the pressure propagation speed and the elasticity of
water, defined by K, the compressibility modulus, can be derived:
K
a (2.4)

where  is the density.
The pressure propagation speed is analogous with the speed of sound, hence the signal of
change in pressure is travelling through the water at the speed of sound in the water in the
same way as sound goes through the air.
Chapter 2 The system of equations
The elasticity of the water is of course also affected by the elasticity of the conduit and pipes.
This can be taken into account using a lump compressibility modulus in the equation above
defined according to the equation:
1 1 1
  (2.5)
K L K w tE
where Kw is the compressibility of water, E is the elasticity of the material of the pipe, t is the
pipe wall thickness.
In Appendix A the above equations are deduced.
In the equation of motion, the frictional loss is formulated based on the equation
Lvv
h   (2.6)
D 2g
or using the flow as the state variable:
h  const  Q Q (2.7)
This means that the frictional loss is supposed to have the same characteristics as steady state
turbulent loss where the loss is proportional with the flow squared. In the equation, the
formulation with the absolute sign is used in order to take care of the fact that the velocity
might change during the dynamic performance direction, se Figure 2.1.
Fricional loss
xA
Flow
Figure 2-1 Model for non-stationary friction loss

This formulation of the loss is well suited for our calculation models, but is by no means
perfect. The friction formulation anticipates a fully developed turbulent velocity profile. This
might be correct for small fluctuation around large flow, point A in Figure 2.1. The model
also assumes that the velocity maintains a turbulent profile also when it turns, which is
doubtful. Especially for surging around zero flow, both these objections are important.
Experiments shows that the loss is also dependent on the surging frequency; the higher the
frequency, the higher the losses. In state space calculations, the frequency dependency is
impossible to include. For calculations in the frequency regime, however, there are some
suggestions on loss formulations verified by experiments.
So, in general, to use a steady state loss formulation will underestimate the dampening,
especially for surging around zero flow. However, for most purposes, the friction is modelled
sufficient enough, but one should be aware of the limitations.
2.2 Surge shaft
The continuity equation in the connection between tunnel and shaft will be:
Q1  Q2  QS (2.8)
Where Q1 is the flow in the tunnel upstream, Q2 is the flow in the tunnel downstream the shaft
and QS is the flow going up into the shaft, se Figure 2.2
Q
S
Q
1
Q
2
Figure 2-2 Continuity equation in the connection between tunnel, surge shaft and pressure shaft
The flow into the surge shaft is the shaft cross section As multiplied with the velocity. The
velocity can be expressed by the changing of the shaft level z, hence:
dz
QS  AS (2.9)
dt
2
Combining the equations (2.8) and (2.9) gives the differential equation describing the shaft
surging:
dz 1
 (Q1  Q2 ) (2.10)
dt AS
2.3 The turbine
The turbine converts hydraulic power into mechanical rotating power, i.e.:
gHQ  T (2.11)
Newton’s second law for a rotating system can be expressed by:
d
TJ (2.12)
dt
where T is the torque and J is the polar moment of inertia.
The hydraulic power, Ph, will contribute to cover the electric power demand on the grid, PN,
acceleration of the rotational masses and the losses in the energy transformation, according to
the equation:
d
Ph  J  PN  losses (2.13)
dt
where the hydraulic power is:
Ph  gQ(H1  H2 ) (2.14)
This is illustrated in Figure 2.3.
3
losses
PN
T
gQH
1
 gQH
2
Figure 2-3 Power balance
By rearranging the equation, the differential equation that describes the turbine and rotational
masses will be:
d
J  Ph  PN  losses (2.15)
dt
Transformation of hydraulic power into rotational mechanical power is utilized by the turbine.
The turbine performance diagram, see Figure 2.4, describes the process. The contour lines in
the diagram shows the efficiency. The diagram is therefore often referred to as “Hill
diagram”.
2
0.6 0.7
 0.8

1.5
1.3 0.9
1 1.0
0.7
0.5
0.3 
0
0 0.5 1 1.5 2
Reduced speed of rotation
Figure 2-4 Turbine performance diagram
It is convenient to use reduced unit flow, Q/*Q, and reduced unit angular speed of rotation,
/* . The reduced properties are defined as follows:
4
Reduced flow:
Q
Q (2.16)
2gH e
Reduced angular speed of rotation:


 (2.17)
2gH e
The turbine is designed for best efficiency at a specific operating point with a given flow and
speed ratio denoted by * i.e. *Q and *.
The diagram also includes the flow characteristics, i.e. how the flow varies with the speed of
rotation at constant wicket gate openings. A high head Francis turbine will typically have
falling flow characteristics, the flow decreases when the speed of rotation increase. Low head
Francis and Kaplan turbines will have the opposite tendency. For impulse turbines like the
Pelton turbine, the speed of rotation has no influence on the flow characteristics.
2.4 The governor
The task of the governor is to balance the hydraulic power by means of adjusting the wicket
gate opening, and thereby the hydraulic power, so that the speed of rotation is kept constant at
synchronous speed at varying power demand.
The simplest version of a governor is a proportional (P) governor. The governor measures the
speed of rotation, n, and changes the wicket gate opening, Y, proportional to a deviation from
the reference speed of rotation:
Y  K p n (2.18)
Taking the derivative gives the differential equation:
dY dn
 K p (2.19)
dt dt
According to the equation, the wicket gate will change until the speed becomes constant. That
means that the speed of rotation end up at a different speed than the reference speed of
rotation. The deviation will be proportional with the change in load, which is not what we are
after. Another matter is that a P-governor will not be sufficient to obtain stable governing. In
order to achieve stable governing as well as zero speed deviation, a PI-governor must be used.
The “I” stands for an integration term shown in the equation:
KP
TD 
Y  (K P n  n dt) (2.20)
or on differential form:
5
dY dn K P
 K P  (n ref  n) (2.21)
dt dt Td
The first term can be recognized from the equation of the P-governor. The next term will
make sure that the wicket gate will change until the speed deviation is zero, i.e. n=nref.
The time constant, Td, is called integration time or dash pot time constant because the
integration term in mechanical-hydraulic governors was made possible by a dash pot.
With a PI-governor, both stable governing as well as zero steady state speed deviation will be
achieved. For some systems, however, it might be necessary to introduce a derivative term
(D). This can be achieved by using a PID-governor. The derivative term gives a positive
contribution to the phase and will improve the stability of the process. We will come back to
this in Chapter 5.
The equation for a PID-governor is:
KP dn
Y  ( K P n 
TD  n dt  K P TN
dt
) (2.22)
Taking the derivative:
dY dn K P d2n
 K P  (n ref  n)  K P TN 2 (2.23)
dt dt Td dt
The derivative term with the derivative time constant TN must be limited by using a filter time
constant Tf. This will be addressed in Chapter 5.
On a commercial governor, the proportional constant Kp, the dash pot time constant Td, the
derivative time constant TN and the filter time constant Tf can be adjusted in accordance with
the process that shall be governed.
The benefit of PI or PID governors is that they do not require exact knowledge of the
behaviour of the process. Almost all kind of processes can be stable governed by these kind of
governors. However, the quality of the governing might be poor unless certain requirements
to the system are fulfilled.
6
2.5 The system
In order to model a complete waterpower system, the differential equations of the different
elements must be formulated and connected to form the actual system.
For each water string, the continuity equation and the equation of motion must be defined,
i.e.:
H a 2 v
 0 (2.24)
t g x
H v vv
g   0 (2.25)
t t 2D
The continuity equations in the connection between a surge shaft and a tunnel gives the
differential equation for the shaft level z:
dz 1
 (Q1  Q2 ) (2.26)
dt AS
Power balance between hydraulic power and rotational mechanic power gives:
d
J  Ph  PN  losses (2.27)
dt
The loss is a complex quantity which is expressed in the performance diagram of the turbine.
Speed governing by means of a PI-governor, which is the most common governor for medium
to high head turbines, yields:
dY dn K P
 K P  (n ref  n) (2.28)
dt dt Td
Depending on the actual system to be modelled, the complete system dynamic model can be
rather complex. It is therefore convenient to simplify the model and adjust it to the purpose of
the calculations. In the next chapters we shall describe the modelling for the system dynamic
phenomena already mentioned, namely: Pressure in front of the turbine with variable load,
surging in shafts and governor stability.
7
Chapter 4 Shaft surging
3 PRESSURE IN FRONT OF THE TURBINE
3.1 Introduction
Every change in the flow through the turbine will induce dynamic pressure variations in front
of the turbine because of acceleration or retardation of the masses of water in the pressure
shaft. After a sudden load rejection, the increased rotational speed will cause the governor to
close the wicket gate when the masses of water are at high speed. This performance will result
in high pressure rise due to sudden retardation of the flow.
In order to calculate this transient pressure, the continuity equation and the equation of motion
must be solved, namely:
H a 2 v
 0 (3.1)
t g x
H v vv
g   0 (3.2)
t t 2D
3.2 Inelastic water and conduit
At first it is assumed that the elasticity of water and conduit can be neglected. In the equation
above, this means that the wave propagation speed a is infinite. Equation (3.1) will reduce to
the simple continuity equation stating Qinn = Qout.
Neglecting the losses as well as the elasticity, Newton’s second law for a pipe will be:
dv
g(H1  H 2 )A  LA (3.3)
dt
where H is pressure head and L and A is length and cross section as illustrated in Figure 3.1.
Introducing that flow is velocity multiplied with area, i.e.: Q = vA, the equation of motion
will be simplified to the ordinary differential equation:
L dQ
H1  H 2  (3.4)
gA dt
8
H H
1 2
A Q = vA
Figure 3-1 Equation of motion
Observe that for a hydraulic system, the inertia in Newton’s second law is equivalent with the
length/cross section ratio L/A.
Assuming linear reduction of the flow during the wicket gate closing time TL we may put:
dQ Q
 (3.5)
dt TL
Combining equations (3.4) and (3.5) gives the pressure increase H = H2 – H1:
L Q
H  (3.6)
gA TL
This equation is derived assuming no elasticity in the water and conduit which is sufficient if
the pressure shaft is short and the closing time relatively long. These assumptions will be
explained with more detail in the next chapter.
For a long pressure shaft combined with immediate reduction of the flow, to neglect the
elasticity can dangerously wrong. The effect of the elasticity might give a substantial increase
in the transient pressure, resulting in a so called water hammer in the pipe line.
3.3 Water hammer
In order to explain the principle of elastic pressure waves, a simple pipeline with a reservoir at
up-stream and a valve downstream can be used as an example. Disregarding the losses, the
reservoir level defines the initial steady state pressure line as shown in Figure 3.2.
9
Steady state pressure
V=V
0
Figure 3-2 Illustration of a water hammer, initial condition
The steady state velocity is, according to Torricelli’s formula:
v0  2gH (3.7)
Suppose that the valve closes immediately from initial velocity v = vo to v = 0. The following
figures and text describe the course of events:
V = V0 v=0 t
Figure 3-3 Water hammer, pressure rise
Retardation of the masses of water in the pipeline, causes an immediate pressure rise just
upstream the valve. However, because of the elasticity, the signal of pressure rise will travel
upstream with limited speed, a, the pressure propagation speed. At a given time, the velocity
downstream the pressure front will be v = 0, while upstream the pressure front, the velocity
will still be v = vo.
10
H
v=0 t
Figure 3-4 Water hammer
When the pressure front reaches the reservoir, the velocity in the pipeline is zero, however,
the pressure in the pipeline has become H+H all the way to the reservoir. This is of course
an unstable situation, and the water will start flowing from the pipeline into the reservoir.
H
t
v=-v v=0
0
Figure 3-5 Pressure hammer
The velocity in the pipeline will become negative, i.e. v = – vo as the pressure release will
travel with pressure propagation speed down to the valve.
11
H
v=-v V=0 t
0
When the pressure is released all the way down to the valve, the velocity will be v = – vo.
However, the valve is closed, so this will cause a suction or negative pressure and zero
velocity by the valve. A negative pressure wave will travel with pressure propagation speed
towards the reservoir giving v = 0 in the pipeline.
H
V=0 t
When the negative pressure wave reaches the reservoir, the velocity in the pipeline is again
zero.
12
H
V=V V=0 t
0
The situation is unstable and the water starts flowing into the pipeline again.
H
V=V t
0
The velocity becomes v = v0 when the pressure is back to steady state level. But the valve is
still closed and results in a pressure wave travelling upstream again, and the whole process
will be repeated.
The pressure fluctuation in the pipeline will be as shown in Figure 3.10. Losses will
eventually damp out the pressure waves.
13
H
t
Figure 3-10 Typical pressure fluctuation
Figure 3.10 shows a typical pressure fluctuation due to an immediate closure of a valve in a
pipeline
With a wave propagation speed of a and a pipe length L, the pressure history will have a
period of:
4L
T (3.8)
a
From Newton’s second law combined with Hook’s law, bearing in mind that the wave
propagation speed is a function of the compressibility modulus K, the maximum pressure for
immediate valve closure can be derived:
p  av [N] (3.9)
or in meter water column:
av
H  [mWC] (3.10)
g
Equation (3.9) is called the Joukowsky equation and the maximum pressure it yields is often
referred to as Joukowsky pressure.
The presumption of immediate valve closure is related to the reflection time of the pressure
wave. If we assume a valve closure over a given time, the pressure history will be as shown in
Figure 3.11. The pressure wave will reflect and return to the valve at a given time:
2L
Tr  (3.11)
a
14
H
T Tr
L t
Figure 3-11 Pressure history when closing the valve at t=TL
If the valve is closed slower than the reflection time, Tr, the maximum pressure described by
the Joukowsky formula will not be achieved because the valve will still be open when the
pressure wave returns to the valve, hence the pressure history will be as shown in Figure 3.12.
H
T Tr
L t
Figure 3-12 Pressure history when closing the valve in a longer time than TL
The Joukowsky pressure will only be obtained if the closing time is less than the reflection
time. So therefore “immediate” valve closure means closing time less than the reflection time
Tr.
The maximum pressure rise will be:
av 2L
H  when TL  (3.12)
g a
15
If the closing time is longer than the reflection time an estimation of the maximum pressure,
using a rather rough assumption that the pressure rise is proportional to the closing time
would be:
av Tr 2L
H  when TL  (3.13)
g TL a
2L
Inserting the expression for the reflection time TL  and that Q  vA, where A is the
a
area of the conduit we get the following expression:
L Q
H  2 (3.14)
gA TL
Comparing this expression with equation (3.4), which was derived assuming unelastic water
and conduit, the effect of the elasticity gives roughly estimated twice as high pressure rise.
The pressure propagation speed in water is approximate 1450 m/s. In a pipeline, the pressure
propagation speed is not only a function of the compressibility and density of the fluid. In
addition the flexibility of the pipeline must be taken into account.
K eq 1 1 d
a where   (3.15)
 K eq K tE
Keq is an equivalent compressibility modulus, d is the pipe line diameter and t is the wall
thickness.
The pressure propagation speed is also very much dependent on the air content in the water
and of entrapped air in the conduit. In tunnels, also the quality of the rock has an influence.
Measurements in waterpower tunnels has shown that a pressure propagation speed of
1200 m/s is a good approximation.
The conclusion is that in order to calculate the pressure rise during a valve or turbine closure
it is essential to take into account the elastic properties of water and conduit system,
especially if the closure time is in the same range as the reflection time, i.e. when the pressure
shaft is relatively long. In these cases, the continuity equation and the equation of motion
must be formulated in full as in equations (3.1) and (3.2). The most elegant way of solving
these equations, is by the method of characteristics.
16
3.4 The Method of Characteristics
The method of characteristics (MOC) is a numerical method for solving so called hyperbolical
differential equations, the wave equations. For all kinds of pipe net work analysis, the method
is very common and is described in several text books.
In order to use MOC, one thing is to set up a system of the equation of motion and the
continuity equations for all the pipe or conduit elements, another thing is to describe the
boundary conditions like valves, turbines, shafts etc.
If the equation of motion and the continuity equations are called L1 and L2 respectively:
H a 2 v
L1   0 (3.16)
t g x
H v vv
L2  g   0 (3.17)
t t 2D
By introducing a multiplier M, the two equations can be combined so that:
ML1  L2  0 (3.18)
or:
H a 2 v H v vv
M(  )g   0 (3.19)
t g dx t t 2D
Rearranging the equation gives:
H g H a 2 v v vv
M(  )  (M  ) 0 (3.20)
x M t g dx t 2D
The chain rule implies:
dH H dx H
  (3.21)
dt x dt t
and:
dv v dx v
  (3.22)
dt x dt t
17
By examining equation 3.17, and comparing it wit eq.3.18, it is seen that by setting:
dx g a2
 M (3.23)
dt M g
the partial differential equation (3.20) becomes the ordinary differential equation:
dH dv vv
M   0 (3.24)
dt dt 2D
From equation (3.23), it can be derived that
g dx
M and  a (3.25)
a dt
The equation of motion and the continuity equation can thereby be transformed into two sets
of ordinary differential equations:
g dH dv vv 
   0
a dt dt 2D 
 C (3.26)
dx 
for a 
dt 
g dH dv vv 
    0
a dt dt 2D 
 C (3.27)
dx 
for  a 
dt 
These are the characteristic equations. C+ applies when the pressure propagates in the flow
dx
direction, i.e.  a , while C- applies when the pressure propagates against the flow
dt
dx
direction, i.e.  a .
dt
Figure 3.13 shows the characteristics in a x-t plot.
18
C C-
+
t
2x x
Figure 3-13 The characteristics
When for instance a valve is closing, pressure waves will be transmitted continuously and a
reflection from, let us say, a reservoir will also happen continuously. Both systems of
equation, C+ as well as C-, will give the same pressure and velocity in the same point in the
pipe line. There are two equations to solve the two unknown, namely the piezometer head H
and the velocity v.
The flow is introduced by Q = vA and the loss is expressed by const QQ. Multiplying with
dt gives the two equations:
a dx
dH  dQ  kQ Q  0 for a (3.28)
gA dt
a dx
dH  dQ  kQ Q  0 for  a (3.29)
gA dt
Integrating the two equations from A to P and from B to P respectively, see Figure 3.14,
gives:
a
HP  HA  (QP  QA )  kQA QA (3.30)
gA
a
HP  HB  (QP  QB )  kQB QB (3.31)
gA
19
t
P
to+ t
t
C+ C-
to
A 2x B x
Figure 3-14 Nomenclature for the integrated equations
At time to, the variables of state HA,QA,HB and QB is known. And QP and HP at time to+t can
be found.
x
The correlation   a must be maintained.
t
The numerical procedure for calculating the pressure propagation in a pipe line will be:
1 The pipe line is made discrete and each part is x = at . In order to fit in the
boundary conditions, the total length of the pipe line must be Nx where N is a
integer.
2 Q and H for all the internal points of the pipeline at time to is found
3 Equation 3.26 and 3.27 are solved with respect to the P-points, i.e. the condition at
time to+t is found.
4 When the condition at time to+t is known, the procedure is repeated in order to
find the condition at to+2t etc.
3.5 The Boundary Conditions
At the ending points of the pipe line, there is only one characteristic equation, C+ or C-.
Another equation is needed. This equation is the relation between the flow an head defined by
the boundary condition. For instance a reservoir will keep a constant head and will give the
following equation:
H  H0  constant (3.32)
For a valve with a opening degree y, the equation will be:
Q  yA 2gH (3.33)
20
For pipe lines connected in series, the other equations comes from the characteristic equation
of the other pipeline, hence one must make sure the time decrement t is the same
for the hole system according to the relation: t = ax.
To define the boundary conditions is in many ways the essential task while using the method
of characteristics.
3.6 Means for reducing the transient pressure
In general there are only two ways of reducing the transient pressure during turbine closure:
a) Increase the closing time, i.e. reduce the retardation of the water
b) Decrease the hydraulic masses involved
For reaction turbines like Francis and Kaplan turbines, the closing time may not be set too
high because to there is another consideration to make, that is to limit the increasing speed of
rotation. Some turbines are, however, equipped with a bypass valve. When the the turbine
needs to be stopped and the wicket gate starts closing, the bypass valve will open and lead the
water away from the turbine. The turbine will not be exposed to the hydraulic energy and at
the same time the valve and wicket gate can be closed more gradually.
Pelton turbines are equipped with a deflector or “knife”. At load rejection when the nozzle’s
needle valve starts to close, the deflector starts interfering with the water jet and deviates the
water from the runner. Thus the valve can close gradually without having to consider speed
rise of the runner.
The masses of water participating in the retardation is equivalent with the length-area ratio,
i.e. L/A, of the waterway system from the nearest free water surface upstream to the nearest
free water surface downstream the turbine. To reduce the masses of water in order to limit the
pressure increase during closure, the immediate solution is to increase the areas of the
conduits which might be rather expensive.
Another way is to move the free water surfaces nearer to the turbine and thereby reduce the
length of the conduits participating in the retardation. Practically, this means introducing
surge shafts in the system. For long conduits, this is the most common solution. By
introducing a surge shaft, another dynamic element is introduced and causes U-tube
oscillations in the system which has to be handled with care.
21
4 SHAFT SURGING
4.1 Introduction
The intention of surge shafts in a hydraulic system is:
a) To limit the retardation pressure during transients

b) To improve the quality of the frequency governing
The retardation pressure is connected to closure of the turbine wicket gate as a consequence of
load rejection. During load rejection, the rotational speed will increase and the wicket gate
will close and the retardation of the masses of water in the conduit will give a pressure rise in
front of the turbine. The pressure rise is proportional to the length/cross section ratio of the
conduit system which defines the hydraulic masses involved. The considered hydraulic
masses, is defined as the water between the nearest free water surface upstream to the nearest
free water surface downstream the turbine. By placing a surge shaft between the turbine and
the reservoir, the free water surface will be moved closer to the turbine and thereby reduce the
length of the water string in direct contact with the turbine and the retardation pressure will be
reduced.
How the surge shaft improves the quality of the frequency governing will be addressed in
Chapter 5.
If a surge shaft is introduced, it is necessary to calculate the maximum up-surge and the
minimum down-surge in the surge chamber. All shafts has to be dimensioned properly in
order to avoid flooding or sucking air into the conduit system.
The performance of a surge shaft during a load transient, may be explained by studying a
typical waterpower system as shown in Figure 4.1.
Figure 4-1 Waterpower plant with surge shafts both up- and downstream the turbine
22
In steady state operation, the level in the shaft in the head water is defined by the upper
reservoir level minus the head loss, and the shaft level in the tail water is defined by the lower
reservoir plus the head loss.
The maximum up and down surge is when the turbine is closing or opening due to load
rejection or load admittance.
Before the turbine starts up, the level in the head water surge chamber will be equal to the
upper reservoir level, and the surge chamber level in the tail water will be equal to the lower
reservoir level. When the turbine has reached the steady state operational point, the reservoir
levels will be defined by the hydraulic pressure line in the system.
In the head water the surge chamber level will be:
v2
z  Hou   head losses (4.1)
2g
and in the tail water, the surge chamber level will be:
v2
z  H Lu   head losses (4.2)
2g
Immediately after load rejection, the following will happen:
In the head water:
The wicket gate will close and that causes a retardation of the water in the pressure shaft. The
masses of water in the head race tunnel will be obstructed and will flow into the surge shaft.
Thereby the level in the surge chamber will increase until the flow in the tunnel is stopped.
Because of the inertia of the masses of water in the head race tunnel, the level in the shaft will
be higher then the reservoir level, so the water will start flowing backwards from the surge
chamber into the reservoir. The level in the surge shaft will drop until the flow in the tunnel is
zero. Because of the inertia of the water, the level in the surge shaft will become lower than
the reservoir level and the flow will start flowing into the surge chamber, and the whole
process will be repeated.
In the tail water:
When the wicket gate closes, the water supply through the turbine will stop. However,
because of the inertia of the water in the tail race tunnel, it will continue to flow taking water
from the surge shaft. Thereby the surge shaft level will decrease until the flow in the tail race
tunnel stops. The level in the surge shaft will then be lower that the reservoir level, and the
water in the tunnel will start flowing from the reservoir into the surge chamber. The surge
shaft level will increase until the flow has stops. Then the water will start flowing out into the
reservoir again and the process repeats.
23
30 4
30 3
30 2
Shaft level (m)

30 1
30 0
29 9
29 8
29 7
0 50 10 0 15 0 20 0
T (s ec)
Shaft level (m)

0
-1
-2
-3
0 50 10 0 15 0 20 0
T(s ec)
Figure 4-2 Shaft surging due to turbine closure
For turbine start-up, the following will happen:
In the head water:
The turbine wicket gate opens up, and water will start flowing through the turbine at first
supplied from the surge shaft because, due to the inertia, it takes some time to accelerate the
water in the tunnel. The level in the surge shaft will decrease and the pressure difference
accelerates the water in the head race tunnel. Again, due to the inertia, the flow in the tunnel
will exceed the turbine flow and the surplus has to go into the surge chamber. The level in the
shaft increases and ends up at a higher level then the reservoir level, which will result in a
flow out of the surge shaft. The surging process will continue and gradually dampen out until
the tunnel flow equals the turbine discharge.
In the tail water:
When the wicket gate opens, the turbine discharge will initially flow up in the surge chamber
and the level will increase. The difference between the shaft level and reservoir level will
cause an acceleration of the water in the tail race tunnel. Due to inertia, the surge chamber
level will go below the reservoir level and give a retardation of the water in the tunnel. The
surge shaft level increases. Again, the surging process will go on and gradually dampen out
until the turbine discharge is equal to the tunnel flow.
30 3
30 2
30 1
Shaft level (m)
30 0
29 9
29 8
29 7
0 50 10 0 15 0 20 0
T (s ec) 3
2
Shaft level(m)
-1
0 50 10 0 15 0 20 0
T(s ec)
Figure 4-3 Shaft surging when the turbine starts up
24
Figure 4.2 and 4.3 show how the surge chamber level will surge and end up at steady state
level. The hydraulic losses cause the surge to dampen out.
When dimensioning the surge shafts, the maximum and minimum of the surge chamber levels
have to be calculated. According to explanations above:
Maximum surge level in head water is found by simulating turbine closure

Minimum surge level in head water is found by simulating turbine start up
Maximum surge level in tail water is be found by simulating turbine start up

Minimum surge level in tail water is found by simulating turbine closure
4.2 Shaft surge calculations
In order to calculate the surging, we need to set up the differential equations of the system.
The elasticity of water and conduits is of no importance because these oscillations are slow
and the frequency is by no means close to the water hammer waves. So we can use the rigid
equations i.e. Newton’s 2. law and the continuity equation without the elasticity term.
As shown in Chapter 3, Newton’s second law for an hydraulic string is:
L dQ
 H1  H 2  kQ Q (4.3)
gA dt
The last term represents the head loss. The steady state head loss is in general proportional to
the flow in square. The absolute sign takes care of the fact that the flow might change
direction. The loss coefficient k is given by:
L
k (4.4)
2gA 2 Dh
where  is the Darcy-Weisbach loss coefficient, L is the length, A is the area off the conduit
and Dh is the hydraulic diameter, for a pipe the same as the diameter.
The continuity equation will be:
Q in   Qout (4.5)
For dimensioning of the surge shafts, the governor equation has no influence. The
dimensioning flow transient is given by opening and closing the wicket gate. The turbine
defines the flow change as a function of the wicket gate opening and the transient pressure. In
Francis type turbines, also the speed of rotation will influence the flow transient. For very
exact calculations, it is necessary to define the flow by using the performance diagram of the
turbine.
25
However, in most cases, it is sufficient to represent the turbine by the valve equation:
Q 2gH eR
 (4.6)
QR 2gH e
where QR and HeR is rated flow and rated effective head. He is the effective head, but will,
dynamically speaking, be the pressure difference over the turbine. It is convenient to solve the
equation on regard of this head:
Q 2
H e  H eR ( ) (4.7)
QR
With these equations, as an example, the system shown in Figure 4.4 can be modelled. In
order to keep it simple, the masses in the two surge shafts are neglected. For short shafts
relative to the tunnels, this simplification can be done.
As1
Ho z
1
Q1
As2
L1 A Q2 z
1 2 Hu
L2
A2 Q3
L3 A3
Figure 4-2 Water power system for the simulation example
The equation of motion for the three conduits will be:
L1 dQ1
 H0  z1  k1Q1 Q1 (4.8)
gA1 dt
L2 dQ2 Q
 z1  z 2  HeR ( 2 )2  k 2Q2 Q2 (4.9)
gA 2 dt QR
L3 dQ3
 z 2  H u  k 3Q3 Q3 (4.10)
gA3 dt
26
According to the continuity equation, the differential equations for the shaft level will be:
dz1 1
 (Q1  Q2 ) (4.11)
dt As1
dz 2 1
 (Q2  Q3 ) (4.12)
dt As2
Thereby we have five equations to solve the five unknowns Q1, Q2, Q3, zs1 and zs2.
The ordinary differential equations can easily be solved in a spread sheet by using a simple
Euler integration code.
4.3 Thumb rule formulas
Neglecting the losses, the equation of motion for the U-tube consisting of reservoir and shaft
can be simplified to:
L dQ
 z (4.13)
gA T dt
AT is the tunnel area, L is the length of the tunnel between the reservoir and the shaft.
The continuity equation for the connection between the shaft and the tunnel will be:
dz
AS  Q  Q  Q turbine (4.14)
dt
Q is the flow in the tunnel and AS is the area of the water surface of the surge chamber.
When the turbine closes, the flow through the turbine Qturbine will of course be zero, hence Q
will be equal to the tunnel flow Q. When the turbine starts up, the tunnel flow Q is initially
zero and Qturbine  Q. Hence Q = - Q
Approximately we can set: dz  z, dt  t. By eliminating t we get a formula for up-surge
in the shaft:
L / AT
z  Q (4.15)
aAS
The positive sign is for up-surge and negative sign for down surge.
27
The continuity equation may be written:
dz
Q  AS (4.16)
dt
Taking the derivative one more time gives:
dQ d2z
 AS 2 (4.17)
dt dt
Substituting dQ/dt in the equation of motion (4.13) gives:
L d2z
AS 2  z  0 (4.18)
gA T dt
This equation is on the well form describing a spring-mass system:
mx  kx  0 (4.19)
The solution or natural frequency of this spring-mass system is:
k
 (4.20)
m
In the hydraulic U-tube system, the mass, m, is equivalent with L/gAT and the flexibility
constant, k, is equivalent with 1/AS, hence the natural frequency will be:
g
 (4.21)
L
AS
AT
The time period of the U-tube oscillation will be:
2
T (4.22)

28
a) b)
z
202 201.5
201.5
201
201
A 200.5
S 200.5
Shaft level z
Shaft level (m)

200 200
199.5
199.5
199
199
198.5
198 198.5
0 20 40 60 80 100 120 140 0 20 40 60 80 100 120 140
Time(sec) Time (sec )
Q
turbine
QT
L AT
Figure 4-5 Approximate calculations of a) up-surge and b) down-surge
The equations above may be adjusted to include the effect of head loss. The following
equations were suggested by Dr. R. Svee in 1972:
Up-surge from steady state level in the shaft due to turbine shut down:
L / AT 1
z  Q  hf (4.23)
aAS 3
hf is the head loss at steady state before turbine shut down.
The down surge due to turbine start-up:
L / AT 1
z  Q  hf (4.24)
aAS 9
hf is the head loss at steady state after turbine start-up.
29
4.4 Dimensioning criteria
The requirement for dimensioning the surge chambers with respect to surging, is to construct
the shaft so that we avoid flooding while up-surging and avoid air entrance into the conduit
system while down surging. These criteria must be fulfilled for the worst case possible.
Normally, the highest up- and down surge in the shaft is a result of turbine shut-down or start-
up. However, turbines might experience subsequent shut-downs and start-ups which might
give even higher surging amplitudes. For instance, when at turbine is started a down surge
will be followed by an up-surge. If the turbine is shut down due to some error in the system
just as the water is on it’s way upwards, the up-surge might be considerably higher then first
anticipated. Then it is thinkable that a new start up happens as the water surface is on its way
down again, which may give a tremendous down surge and then the turbine is shut down
again etc.
With remote controlled stations, it is thinkable that such transient manoeuvres might occur.
Even for remote controlled stations, subsequent start-ups and shut downs are not likely to
happen in an infinite number. Common sense must be used to find reasonable and probable
dimensioning criteria.
A common situation is, however, that an error occurs just after start-up and then the turbine
will have to be shut down immediately after start-up. In Norway, most surge shafts are
dimensioned for this situation illustrated in Figure 4.6.
Compared with a simulation of a single start-up, the surge will be substantially higher.
305 305
304 304
303 303
Shaft level (m)
302 302
Shaft level (m)
A 301 301
S 300 300
299 299
298 1 298 1
Q T/Q0
QT/Q0
297 0 297 0
0 50 100 150 200 0 50 100 150 200
T T
Q
turbine
QT
L AT
Figure 4-3 Shaft surging due turbine shut-down compared to subsequently turbine start-up and then shut-
down just as the water surface is on its way up.
30
5 GOVERNOR STABILITY
5.1 Introduction
A water power plant is supposed to deliver electric power to the grid, and contribute in
covering the electricity demand of the consumers at all time. In addition, the demand is also to
maintain the grid frequency at 50 Hz (in some countries 60 Hz). The grid frequency should
not vary with more than  0.1 Hz in steady state operation. To keep the grid frequency
constant means to keep the speed of rotation constant at synchronous speed.
The synchronous speed of rotation is related to the grid frequency according to:
60f 3000
n0    rpm (5.1)
 
where f is the AC grid frequency which is normally 50 Hz.  is the number of pole pairs in the
generator. Obviously, the maximum synchronous speed of rotation will be 3000 rpm for
generators with only one pole pair.
In the turbine, the hydraulic power is transformed to rotating power and the generator
transform it to electrical power to be delivered into the grid. Let us assume that the turbine’s
power output initially is in balance with the demand on the electrical grid. If then the power
demand is decreasing, there will be a surplus of hydraulic power which will start accelerating
the rotational masses. The speed of rotation increases which will give a deviation from the
demanded grid frequency that can not be tolerated. The hydraulic power surplus will have to
be dealt which is the task of the governor. The governor senses the speed of rotation and a
speed deviation from synchronous speed will give message to the servo motors to change the
turbines wicket gate opening. Thereby the hydraulic power will be altered and the process will
go on continuously and see to that the electric power demand is in balance with the hydraulic
power out put at all time. It is obvious that power governing is closely linked to speed
governing.
In order to obtain stabile governing, the whole power producing system must be regarded. In
general, a water power system consists of reservoirs, conduit system and the unit, i.e. turbine
and generator. In the conduit system, the gravity forces and hydraulic inertia are the
dominating forces. The turbine defines the flow and thereby the hydraulic power output from
the system The turbine characteristics describes the relation between flow, speed of rotation,
wicket gate opening, head and efficiency. The generator transforms the rotation power to
electric energy. However, in this respect, the generator can merely be regarded as a rotating
inertia. A varying electric power output will give a varying torque on the turbine shaft and
will give cause to acceleration/retardation of the rotating masses.
31
Chapter 5 Governor stability
The governing process can be described by using Block diagram as shown in Figure 5.1.
Pe
n
nref n Turbine and Ph P Rotating
Governor Conduites inertia
-n
Figure 5-1 Block diagram describing the governing process
The hydraulic power is transformed to mechanical rotating power and the generator
transforms it to electrical power to be delivered on the grid to the consumers. As long as the
hydraulic power equals the electrical power demand, the speed of rotation stays constant, i.e.
P = 0, see Figure 5.1. Supposing the electric power demand decrease, the speed will
increase according to Newton’s 2. law for a rotating system:
d
I  T  P (5.2)
dt
where I is the polar moment of inertia, w is the angular speed of rotation and T is torque.
The governor measures the actual speed of rotation and compares it to the reference speed of
rotation. A negative speed deviation, i.e. n>nref will move the wicket gate in closing direction
in order to lower the hydraulic power in order to balance the power output with the demand.
Closing the wicket gate will, however, cause retardation forces in the pressure shaft and the
head will go up. Increasing head tend to increase power output, which is the opposite effect of
what we wanted. The proper governor action is therefore dependent on the system
characteristics.
The governor has limited ability to influence the system, and certain requirements to the
system characteristics must be set in order to obtain satisfactory governing. Before going into
the details it might be necessary to repeat some generalities regarding oscillations, stability
criteria etc.
5.2 Oscillations and stability
Most dynamic processes may be modelled by ordinary differential equations:
x  Ax  Bu (5.3)
where x the state vector, u is the control vector.
32
In order to check the systems dynamic properties, the system itself, without the control vector,
is handled, i.e.:
x  Ax (5.4)
The eigenvalues of the matrix A says everything about the system’s dynamic properties. The
eigenvalues of the matrix is found by:
Det(A  I)  0 (5.5)
where I is the unity matrix and the eigenvalues.
Hereby the characteristic equation can be derived and the eigenvalues are the complex roots
of this equation. The following will be the case:
1 In order to have oscillations, the eigenvalue must have an imaginary term
2 If the real value is negative, the oscillation is damped and stable
3 If the real value is positive, the oscillation is undamped and unstable
4 If the real value is zero, the oscillation will be steady
If complex roots, there will always be two, a complex conjugated pair. The higher the
absolute value of the imaginary term, the higher the frequency.
The different oscillation modus is shown in Figure 5.2.
j


   
Re
Figure 5-2 Oscillation modus dependent on the real and imaginary terms
33
The speed of the oscillation is given by the imaginary term, or the time constant, which is the
inverse of the frequency. The real value defines where the system will end up as the
oscillation dies out.
To each eigenvalue, there is an eigenvector or eigen frequency given by the relation:
Ax  x (5.6)
The eigenvector is the vector x that satisfies this equation.
5.3 Laplace transform
Even if it is possible by time domain analysis to find out if a system is stable or not, it is
difficult to determine the resonance frequencies and hence find out how to alter the system in
order to make it stable.
Using Laplace transformation, the differential equations can be transformed into the
frequency domain which is very convenient for analysing a system as a whole. All the
resonance frequencies will be identified by the increased amplitude at this particular
frequency.
In general, the Laplace transform is given by:

f (s)   f (t)e st dt (5.7)
0
where s is a complex variable:
s    j (5.8)
From the general expression the following simple rules for transformation may be derived:
L(af (t))  af (s) (linearity) (5.9)
d
L( f (t))  sf (s)
dt
(derivation) (5.10)
d2
L( 2
f (t))  s 2f (s)
dt
1
L( f (t) dt)  f (s) (integration) (5.11)
s
where L( ) means the Laplace transform of ( ).
34
For instance, the Laplace transform of the equation:
x  ax  bu (5.12)
will be, using the rules above:
s(x(s)  ax(s)  bu(s) (5.13)
Solving the equation on respect of x(s) we get:
b
x(s)  u(s) (5.14)
sa
b
H ( s)  is the transfer function between the control variable u(s) and the response x(s).
sa
A common way of illustrating the transfer function is by using so called block diagrams. The
block diagram of equation (5.14) is shown in Figure 5-3.
u b x
s-a
Figure 5-3 A simple block diagram
In the transfer function, the roots in the numerator are called the “zeros” and the roots in the
denominator are called “ poles”. Poles and zeros are critical characteristics of the system.
Excitation of the system with a frequency corresponding to a pole, the transfer function H(s),
and thereby the response amplitude becomes infinite. At zero points, the transfer function
becomes zero, i.e. the zeros tells the where the system will end up steady state if a step is
enforced.
Poles in the negative quadrants, negative real values, gives positive damping. The oscillations
will dampen out. Poles in the positive quadrants, positive real values, gives un damped
oscillation. The system is unstable.
In more complex systems, there will be several zeroes and poles, both in the negative and
positive quadrant. If the system is linear, which very often might be assumed for small
amplitudes, the effect of the poles and zeros can be summarized.
Figure 5-4 is taken from Balchen (1) and gives a good illustration of the response of transfer
functions with different poles and zeroes.
35
H1(s) H (s) H (s) H (s) H (s) H (s)

2 3 1 2 3
H1(s)
H (s) H (s) + H (s) + H (s)

2 1 2 3
H (s)
3
H1(s) H1(s)
H (s)
2
H (s) H (s)
2 1
H1(s)
H1(s)
1 + H (s) H (s)
1 2
H (s)
2
Figure 5-4 Reduction of block diagrams [Balchen]
To model a process dynamically implies in general to set up a system of differential equations

in order to describe the dynamic behaviour. Linearization and Laplace transformation makes
it possible to describe the process by block diagrams where output of one transfer function
becomes input to the next, and so on. Figure 5-5 shows an example of such a block diagram
H (s) H2(s) H (s)

1 3
H (s)
4
Figure 5-5 Block diagram
36
For analytical determination of the dynamic properties of the total system, it is convenient to
combine the transfer function into one. This can be done by following certain rules as
described in Figure 5-4.
5.4 Frequency analysis
When a system is modelled by means of differential equations the behaviour of the system as
a whole can be analysed by simulating the system’s step response. Instability will readily be
detected, but the oscillations is sum result of the whole system. It is not possible to distinguish
the different resonant frequencies. By linearizing the equations at a certain operating point,
the equations can be Laplace transformed and hence analysed in the frequency domain. Then
the system’s response to disturbances from distinct frequencies can be observed and analysed.
Resonant frequencies will give cause to high amplitudes and even lead to instability and
measures can be taken to increase the damping of this particular frequency response.
The method can be illustrated as shown in Figure 5.8. The Laplace transformed equations for
the whole system represents the process. Then disturbance by means of varying frequencies
with the same amplitude is inflicted and the response calculated.
Forced
Answer from
disturbance
the process
”all frequencies”
Process
Figure 5-4 Illustration of frequency analysis
The system is enforced pure sinusoidal oscillations:
u(t)  u 0 sin(t) (5.15)
The Laplace transform of this equation is:
u o
u(s)  (5.16)
s  2
2
The response of a process that has the transfer function H(s), is:
y(s)  H(s) u(s) (5.17)
Laplace transformation gives:
y(t)  u 0 h( j) sin(t)  h( j) (5.18)
37
As we see, the response will be a new sinus function with the same frequency as the enforced
signal, but with a different amplitude u 0 h( j ) and a phase shift given by the angle h( j ) .
The function h( j ) is named the system’s frequency response. The amplitude ratio is
y0
 h( j ) .
u0
Frequency analysis can be exemplified by examining the dynamic system illustrated in Figure
5.5, a mass by means of a block-spring model where a mechanical spring is attached to a
block with mass m.
u 0 h sin(t )  h u 0 sin(t )
Figure 5-5 A block connected to a spring
If we enforce a sinus movement on the plate at the right side of the spring and start out with a
very slow frequency, it is obvious that the block will get exact the same movement both in
amplitude and frequency. If we increase the frequency, the inertia of the block will lead to a
phase shift and an increased amplitude. The amplitude will increase until the frequency of the
enforced movement reaches the resonant frequency of the spring-mass system. Theoretically,
if not damped, the amplitude will go to infinity. By increasing the frequency even more, the
amplitude will decrease until the frequency of the enforced movement becomes so high that
the block cease to follow, again because of the inertia. This may be illustrated by drawing the
amplitude and the phase angle as a function of frequency, see Figure 5.6.
38
h
0
-180 
Figure 5-6 Amplitude-Phase–Frequency diagram for a spring-mass system
A water power system with the governor included, is a so called feed back system and has a
block diagram similar to the one shown in Figure 5.7.
y y
0 H H
1 2
-
y
Figure 5-7 Block diagram for a feed back system
This is a typical block diagram for a governed system where the transfer function H1 is the
governor and H2 will be the system. The intention is to keep constant y. This is done by
measuring the signal y and compare it with a reference signal y0. If there is a discrepancy, the
control device of the governor will give action so to obtain equality.
The disturbance v will give cause to a change of the wicket gate opening inflicted by the
governor. The transfer function of the governor is a part of the system. The issue is to choose
a governor transfer function which accommodate to the whole system so that the response y to
the disturbance v is minimized.
39
Applying the rules for reducing the block diagram as explained earlier, all transfer functions
can be assembled in one block A shown in Figure 5.12
yo y
A
Figure 5.12 Reduced block diagram of the feed back system
The block diagram can be further reduced as shown in Figure 5.13. Here the feedback is
included in the block M.
yo y
M
Figure 5.13 Further reduced diagram
The transfer function A is called the open loop transfer function and M is the onset ratio.
According to the rules for reducing block diagrams, M is given by the formula:
1
M A (5.19)
1 A
The transfer function M tells how close the output y follows the input yo when introducing a
feed back to the system. If M=1 , the reference y0 will be followed perfectly, i.e. y = yo.
The offset ratio N is defined as:
1
N (5.20)
1 A
and shows the direct benefit of the feed back. It should be noticed that when:
1
 A>> 1, N  , i.e. M=1 which is what we want to obtain.
A
 A<<1, N  1 , i.e. the feed back has no influence at all.
40
5.5 Amplitude-Phase-Frequency (APF) Diagram
APF diagram, also called Bode diagram, is a diagram where the amplitude versus the
frequency is put together with the phase angle also versus frequency in order to analyse the
stability as well as the stability margins of a given process. For a rapid check of the system it
is possible to draw asymptotic APF diagram as we know that:
 Pole in the left half plane gives a slope of –1 for the amplitude curve and a phase shift
of –90o .
 Zero in the left half plane, gives slope of +1 for the amplitude curve, and +90o phase
shift.
 In a water power system, there is also a zero in the right half plane, which is a
speciality for hydraulic systems A zero in the right half plane gives a phase shift of
90 . The slope is, however, +1 also for this zero point.
The rules above are valid when using logarithmic scales. For the amplitude of A, it is
common to use the logarithmic dB-scale defined as:
1dB  20log10 (A) (5.21)
In order to illustrate how to construct an asymptotic APF-diagram, we may use the following
transfer function:
k(1  T1s)
H(s)  (5.22)
s(1  T2s)(1  T3s)
1 1 1
The function has a zero point in s   and poles in s = 0 ; s   and s  
T1 T2 T3
Figure 5.14 the asymptotic APF diagram for the transfer function.
41
-1
0
|A|
Kryssfrekvensen
-1
1/T3
1/T1 1/T2 ΔK
-2
h |N|
-90
Ψ
-180
Figure 5.14 Asymptotic APF diagram
5.6 The stability criterion
According to the Nyquist stability criterion, the closed loop control system is absolute stable
if h( j)  180 when h( j)  1 (1  0dB) .
In addition to determining the absolute stability of a system, the Nyquist diagram provides
qualitative information concerning the degree of stability. To determine the degree of stability
we use the terms phase margin ψ and gain margin Δk. The phase margin tells us how far
above 180 the phase curve is at the cross-frequency. The gain margin indicates the distance
between 0dB and the amplitude curve when the phase curve crosses 180 (see figure 5.14).
To ensure a satisfactory degree of stability we often require:
  45 and k  2  6 dB (5.23)
To gain stability we see that we can either change the time constants (T1, T2, T3) in the system
or we can alter the amplification. Increased amplification moves the amplitude curve up, i.e.
the cross-frequency is shifted to the left. This gives lower phase and gain margins and may
cause the system to be unstable. Generally speaking, increased amplification will give a
quicker but less stable system.
42
5.7 The transfer function for a water power plant
In the following we will examine the water power system by means of simplified transfer
functions. The main components of the system are the governor, the turbine, the waterways
and the rotating masses.
As previously stated, it is necessary to set up the differential equations for the system,
linearize the equations near an operating point, i.e. assuming stationary operating conditions,
and finally Laplace transform the equations.
To simplify the equations we assume lossless flow and neglect elasticity in the water and the
conduits.
Ho
Q
Hu
L 1 A1

L 2 A2
Figure 5.15 Hydro Power Plant
5.7.1 The system of equations
The water power system shown in Figure 5.15 can be described by the following equations:
For the waterways:

L dQ
  H (5.24)
gA dt
Where:
L L L
= 1 + 2 (5.25)
gA gA1 gA 2
H = Ho - Hu - H (5.26)
Where H is the actual turbine head, i.e. in steady state an no loss, H= Ho - Hu
For the turbine, using the definition of the opening degree, :
43
Qn
Q   2gH = k H (5.27)
2gH n
Hn is the design head of the turbine, hence Q = Qn, when H = Hn
For the acceleration of the rotating masses yields:
d
J  P (5.28)
dt
where DP is the difference between the generated hydraulic power and the power demand on
the grid. The generated hydraulic power is:
P  gQH (5.29)
and: J = Polar moment of inertia of the generator
= angular speed of rotation
In addition we have the equation for the governor, normally a proportional – integral –
derivative governor, so called PID governor. The equation for the PID governor will be
described later.
These equations describes the whole system dynamically. In order to establish the transfer
functions and the block diagram so that we can make a stability analysis, it is convenient to do
the equations dimension less.
We introduce the ratios:

Q
q (5.30)
Q0
H
h (5.31)
H0
P
p (5.32)
P0
n
 (5.33)
n0
5.7.2 Correlations between discharge, pressure and power
Both equations (5.24) and (5.27) relate discharge and pressure. Laplace transformation of
equation (5.24) gives:
44
L
Q  s  H (5.34)
gA
Introduce the flow ratios, q, and the head ration, h, and find:
Q0 L
h qs (5.35)
H 0 gA
Differentiation of equation (5.27) gives:
1 1
dQ   k dH (5.36)
2 H
We linearize the equation for the operating point Q0, H0:
1 1
Q   k H (5.37)
2 H0
We then multiply the equation with ( H0 )2 and insert Q0   k H0 :
1
H0 Q  Q0 H (5.38)
2
Inserting the ratios q and h yields:
1
q h (5.39)
2
The block diagram in Figure 5.16 shows the connection between equations (5.35) and (5.39),
i.e. the reciprocal effect between pressure and discharge.
q h
Q L
 s
gH A
1
2
Figure 5.16 Block diagram from q to h
The relation between the flow ratio, q and power ratio, p, is given by equation (5.40)
P  gQH (5.41)
45
We differentiate the equation, assume η = constant and insert ratios q, h and p:
dP  g(QdH  HdQ)
H Q
P  gQ0 H 0 (  )
H 0 Q0
hence:
p=q+h (5.42)
The transfer function between the wicket gate opening degree, y, and the power, p, is defined
according to the following figure.
y q h p
Q L
 s
gH A
1
2
Figure 5.17 Block diagram from q to p
Using the rules for reduction of block diagrams the reduced block diagram showing the
transfer function between p and q will be as shown in Figure 5.18.
y 1  Tw s p
1
1  Tw s
2
Figure 5.18 Reduced block diagram from q to p
Q0 L
The relation Tw  is called the inflow time of the masses of water. This is an important
gH A
time constant that we will come back to later on.
If the transfer function between q and p is Hv(s) we can write:
p = H v (s)q (5.43)
46
where:
1  Tw s
H v (s)  (5.44)
1
1  Tw s
2
Q0 L
Tw  (5.45)
gH 0 A
Tw defines the time constant related to the acceleration of the water masses in the penstock
and the draft tube.
5.7.3 The rotating masses
The transfer function for the rotating masses of the turbine and generator can be determined
by the differential equation:
d
J  P (5.46)
dt
The relation between angular speed of rotation, ω, and the number of revolutions per minute n
2n
is   .
60
We Laplace transform the equation:
0 J  s  P (5.47)
By inserting the ratios p and μ and rearranging the equations we get:
 1 P
 (5.48)
0 J0 2s P0
P0
1
 p (5.49)
J0 2s
P0
We can then introduce the acceleration time of the rotating masses defined as:
J0 2
Ta  (5.50)
P0
Ta is another important time constant that we will get back to later. By inserting Ta into the
transfer functions we get the following block diagram shown in Figure 5.19.
47
pG n
p

1 n0
Ta s
Figure 5.19 Reduced block diagram from q to 
The block diagram shows the relation between generated hydraulic power, electric power
demand, PG, and rotational speed.
5.7.4 The governor
The PI-governor is defined by the equation:
dy dn Kp
  Kp  (n 0  n) (5.51)
dt dt Td
Kp is a constant defining the proportional change in opening degree when the speed of
rotation changes. Td is the so called dash pot time constant.
Laplace transforming gives:
Kp
y s  K p n s  n (5.52)
Td
where
Δn = n0 – n
Δy= y0 – y and y0 = 0
n
We insert the ratio   :
n0
Kp
ys =  K p n 0  s   n0 (5.53)
Td
y 1  Tds
 Kpn0 (5.54)
 Td s
or:
y 1  Td s
 (5.55)
 b t Td s
48
1
The so-called transient speed droop, bt equals , which is the proportional term which is
Kpn0
adjustable on the governor. The dash-pot-time constant, Td, defines the integrational term and
is also adjustable on th governor.
The block diagram for a PI-governor is shown in Figure 5.20.
ref  0 1 y
bt
1
btTd s
Figure 5.19 Block diagram PI governor to y
5.7.5 Block diagram and transfer function of the system
If we put all the block diagrams together in one unit, we get the following block diagram for
the water power system:
(FIGURE)
The open loop transfer function A(s) when we use a PI-governor becomes:
1  Tds 1  Tw s 1
A(s)  (5.56)
b t Tds 1  0,5Tw s Ta s
Or rearranged:
1 (1  Tds)(1  Tw s)
A(s)  (5.57)
b t Ta Td (1  0,5 Tw s) s 2
The proportionality constant or the amplification for the system is represented by:
1
(5.58)
b t Ta Td
49
The transfer function is zero when:
1 1
s and s (5.59)
Td Td
And has poles for:
1
s and two poles for s  0 (5.60)
0,5 Tw
The transfer function includes the following time constants:

Tw – inflow time of the masses of water
Ta – time constant for the rotational masses
Td – integral time for the governor
These time constants are very important for our problem at hand, i.e. designing a water power
system with regard to stability. The time constants Tw and Ta are determined by the process,
and can not be altered once the power plant has been built. For this reason it is important to
construct the system in a way that enables a satisfactory degree of stability.
The integral time Td, as well as the amplification bt, are adjustable on the governor. Generally
speaking, a high amplification (low bt) gives a quick response, but can cause instability. A
long integral time Td will result in a longer settling time before the oscillations settles at
steady state values. The choice of governor parameters is closely related to the time constants
Tw and Ta of the process.
We can draw an asymptotic APF diagram as discussed in chapter 5.5. in order to determine
the stability requirements for the system. However, we will first take a closer look at the time
constants Tw and Ta and try to clarify the significance of them.
5.8 The time constants Tw and Ta
5.8.1 Tw – Inflow time of the masses of water
One of the things that complicates the governing of a water power plant is the inertia of the
very large masses of water. Accelerations of the masses cause pressure variations in the
system.
The expression for the hydraulic power is:
Ph  gQH (5.61)
If the wicket gate is changed in order to balance the power output, the change in flow will in
the transient period also change the pressure. If for instance, if the flow is reduced, the head
50
might increase because of the retardation so much, that the power increases, which is the quite
the opposite achievement than wanted. This opposite effect represents what is called a 180°
phase shift and must be avoided. In order to avoid the 180° phase shift we have to ensure that
the inertia of the masses of water does not become too large. The inertia is related to
accelerations that can be defined through a time constant. The time constant gives an
indication of the magnitude of the inertia associated with the masses of water.
This time constant is called the inflow time of the masses of water and can be defined as:
The time it takes to accelerate the masses of water from the nearest free water surface
upstream the turbine to the nearest free water surface downstream the turbine from zero
discharge to discharge Q0 for a given head H.
When we established the transfer function for the waterways we found that:
Q0 L
Tw   (5.62)
gH 0 A
To obtain a well functioning governing system we do not want Tw too large, preferably Tw
should be less than 1.0.
If the pressure shaft is long, the elasticity of the water will cause a reduction of the phase
margin compared to the phase margin we would find assuming inelasticity. A lower phase
margin reduces the system’s degree of stability.
Ervik (1971) defines the pipe characteristic as the ratio between Tw and the reflection time for
the elastic wave,
Q0 L
T gH 0 A
 w  (5.63)
Tr 2L
a
ca Q0
 where c  (5.64)
2gH0 A
Tw
For  1 the elasticity will be of little influence to the phase margin. Hence, in addition to
Tr
T
checking the criteria of Tw < 1 we also have to check that the pipe characteristic w  1 .
Tr
5.8.2 Ta – The acceleration time of the rotating masses
The generator and the turbine runner represent the rotating masses of the system. The
acceleration of the masses varies with the hydraulic power and the electricity demand. Due to
the inertia of the large masses, any attempt to vary the rotational speed will take some time,
i.e. the change cannot be immediate. This means that the rotational masses have a stabilizing
51
effect on the governing system, as their resistance to change gives the governor more time to
act according to changes in hydraulic or electric power. The magnitude of the rotational
masses can also be specified by a time constant. In this case the acceleration time of the
rotational masses Ta. Ta can be defined as:
The time it takes to accelerate the turbine and the generator from zero rotational speed to
ω0 assuming maximum torque.
An expression for Ta can be found by using the law of acceleration for a rotational system:
d
MJ (5.65)
dt
Where J is the moment of inertia, ω is the angular speed and M is the torque.
The torque can be found by using the expression for rotational power:
P  M (5.66)
P
M (5.67)

We then introduce
dt  t  Ta (5.68)
and
d    0 (5.69)
to find:
Pmax 
J 0 (5.70)
0 Ta
and:
0 2
Ta  J (5.71)
Pmax
For an open loop transfer function we see that increasing Ta is analogous to reducing the
amplification which in turn improves the stability of the system (see equation (5.57)). In
systems with small rotational machines we sometimes increase Ta by attaching additional
rotational mass to the system, a so-called flywheel. For large units Ta is usually around 5-7
sec.
5.9 Asymptotic APF diagram for a waterpower system
The figure below shows an example of a water power system. We shall now take a closer look
at the example and determine the asymptotic APF diagram for the system.
(FIGURE – Example of a water power system)
52
With a PI governor the open loop transfer function for the system becomes:
1 (1  Tds)(1  Tw s)
A (5.72)
b t Td Ta s 2 (1  0,5Tw s)
We assume the time constant for the rotational masses to be:
Ta  6 sec (5.73)
The time constant of the masses of water is then found:
Q L 60 300 100
Tw    (  )
gH A g  300 12,56 50
(5.74)
Tw  0,53 sec
To determine the governor’s integral time Td and the transient droop bt we can use some of
the empirical formulas that are summarized later on in chapter 5.11:
Tw
b t  2, 6  0, 23 sec (5.75)
Ta
Td  6Tw  3, 2 sec (5.76)
The system’s amplification factor K in decibel (dB) becomes:
1 1
K  20 log ( )  20 log ( ) (5.77)
b t Td Ta 0, 23  3, 2  6
K  12,9 dB (5.78)
We can now draw an asymptotic APF diagram as shown in the figure below:
(FIGUR AV APF diagram)
As can be seen in the diagram, the phase angle at the cross-frequency is well above 180 ,
hence the system is stable.
A change of the amplification factor K will cause a parallel displacement of the amplitude
curve. If the displacement is caused by a change in bt (or Ta), the remaining time constants
will not change. Should the amplification become too large, a phase angle of less than
180 may occur at the cross-frequency, thus causing an unstable system.
53
It is always possible to achieve a stable waterpower system by adjusting the amplification

variables. However, a large Tw will require a small amplification and large Td. This will in
turn result in a large transient deviation of the rotational speed. In order to examine this
phenomenon, we turn to the closed loop transfer function.
We previously defined the onset ratio M og offset ratio N:
1
M A (5.79)
1 A
1
N (5.80)
1 A
The onset ratio M expresses how well the output, in this case the rotational speed n, follows
the reference output, here nref. If M  1 this indicates that n follows nref perfectly.
For A  1  N  0
For A  1  N  1
Or:
N dB   A dB when A dB  0
N dB  0 when A dB  0
In an asymptotic diagram the N dB-curve (see figure XXXX) can be seen as the reflection of
the A -curve for frequencies lower than the cross-frequency. For higher frequencies N  1 .
(FIGURE asymptotic N-curve)
The onset ratio is given by M  N  A , this means that for frequencies lower than the cross-
frequency M  1 , i.e. 0 dB as we want it to be. For higher frequencies M  A .
The asymptotic curves do not give us an exact picture of the govening system. In figure
XXXX we have determined the same curves by means of a computer program. We can then
see an overshoot on the N -curve around the cross-frequency. This means that for
frequencies higher than the cross-frequency, the feed back is not only inefficient, but it also
causes a direct worsening of the conditions. Due to this there are normally requirements that
states a maximum value for N . In Norway the requirement is set to:
N max  4 to 6 dB (5.81)
(FIGURE A- and N-curve and the rpm/load ratio)
54
In figure XXX above another curve has been drawn. This is the rpm/load ratio and tells us
something about the rotational speed deviation we get for a unit load amplitude as a function
of the frequency. We can see that the ratio curve lies below the 0dB-line. This is because the
amplitude of the rotational speed is always lower than the amplitude of the load. There is also
a requirement as to how high the maximum rpm/load ratio can be. In Norway the maximum
value is usually around –6 to –4 dB.
Summary of how to utilize the APF diagram with N-curve og rpm/load-curve:
1. Check stability to see if the phase angle is larger than 180 at the cross-frequency for
an open loop, i.e. │A│. To ensure satisfactory degree of stability we require:
Phase margin ψ > 20°
Gain margin Δk > –2 dB
2. Check the offset ratio, i.e. │N│max. We usually require:

N max  4 to 6 dB
3. The rpm/load ratio should lie well below the 0dB-line, preferably < –4 dB to – 6 dB in
the whole frequency range.
In order to ensure this quality of the governing we say that Tw < 1 sec when Ta ≈ 6 sec , i.e.
Ta
6 .
Tw
5.10 The PID governor
1 1
Because of the postitive pole we have for s  we get a phase angle of 180 for   .
Tw Tw
If the phase passes through 180 at a frequency lower than the cross-frequency, the process
will be unstable. As we mentioned in chapter 5.9, we can achieve stability of the system by
reducing the amplification or by increasing the integral time Td. But there is also another
possibility and that is to introduce a derviative term in the governor, in other words to use a
so-called PID governor.
As we showed in chapter 2.4 the PID governor can be described by the following differential
equation:
dy dn K p d2n
 K p  (n 0  n)  K p TN 2 (5.82)
dt dt Td dt
where TN is the derivative time of the governor.
We derive the transfer function for a PID governor the same way as we do for a PI governor
and find:
55
y 1 1
 H PID  (1   sTN ) (5.83)
 bt Tds
(FIGURE Block diagram for a PID governor)
Usually TN << Td which means that s(Td  TN )  sTd . If we introduce this into equation (5.83)
we get the following approximated transfer function:
1 (1  sTd )(t  sTN )

H PID  (5.84)
bt sTd
The asymptotic APF diagram for a PID governor is shown in figure XXX.
(FIGURE APF diagram)
In figure XXX we see that the introduction of the derivative term result in a positive phase
contribution. This makes it possible to obtain stability even with higher amplification and
lower Td.
In order to prevent the governor from being influenced by high frequency disturbances a filter
time contstant Tf is introduced. The filter time constant limits the derivative term so that it
1
only applies to frequencies lower than   . This is shown with a dashed line in figure
Tf
XXX.
The transfer function for a PID governor with an upper limit for the derivative term, i.e. with
a filter time constant, becomes:
1 (1  Tds)(1  TNs)
H PID  (5.85)
b t Tds(1  Tf s)
5.11 Governor settings
To establish the governor parameters bt, Td and TN we often apply a set of formulas called
Stein’s empirical formulas:
For a PI governor:
Td  6Tw (5.86)
Tw
b t  2, 6 (5.87)
Ta
For a PID governor:
Td  3Tw (5.88)
56
TN  0,5Tw (5.89)
Tw
K p  1,5 (5.90)
Ta
5.12 Permanent speed droop
The governor is equipped with a compliant resetting which makes the frequency stationary
dependent on the load frequency. The degree of compliance is adjustable on the governor.
If several units supply the same grid it is a minimum requirement that the frequency is load
dependant on all but one unit, this to ensure a grid with a well-defined load distribution. The
governor property that defines the frequency dependence is called permanent speed droop and
it is defined as the percentage change in the frequency for a 100% change of the power output
from the unit. The following figure illustrates an example where the permanent droop is
defined as load dependant for all units.
(FIGURE permanent droop)
The power requirement on the electric grid is constantly covered by the sum of power from
the three units in figure WWW. When the power requirement suddenly changes, the
permanent speed droop will cause a change in the rotational speed of the units. Since the
rotational speed and the grid frequency are related, this will also cause a change in the grid
frequency. All three units will experience the same change in rotational speed. As we can see
from the figure, the resulting ΔP for each unit will be determined by the droop of that
particular unit.
If one of the units have zero droop, this unit will have to handle the entire load control alone
as shown in the following figure:
(FIGURE)
If two units have zero droop, the grid will not know which one of the two should handle the
load control, and this will cause undesired power oscillations between the two units.
(FIGURE Two units with zero droop causing undefined load distribution)
To ensure a precise defintion of the load distribution for units serving the same grid, we can
conclude that a dependency between the steady state rotational speed and the load is is
necessary.
The differential equation for a PI governor is:
dy dn Kp
  Kp  n (5.91)
dt dt Td
57
dy dn
For steady state we know that  0 and  0 which in turn means that
dt dt
n  n ref  n  0 .
We wish to introduce a steady state deviation term, so called permanent speed droop, into the
differential equation so that n  0 . We define the deviation term as a function of a constant
k and the guide vane opening y:
n  k y (5.92)
We then introduce the deviation term into the differential equation:
dy dn Kp
  Kp  n  k y (5.93)
dt dt Td
The equation is then Laplace transformed and we introduce ratios and time constants:
1 1
ys  s    ky (5.94)
bt b t Td
y 1  Tds
 (5.95)
 kb t Td  b t Tds
or:
y 1  Tds
 (5.96)
 b p  b t Tds
where bp  kbt Td expresses the permanent droop.
For steady state, i.e. s  0 , we find:
y 1
 (5.97)
 bp
  bp y (5.98)
n
 bp y (5.99)
n ref
n  bp n ref y (5.100)
58
From the equations above we can see that bp is a ratio that indicates the steady state variation
in rotational speed in proportion to the wicket gate opening.
The ratio bp can be adjusted with values from 0 to 6 % according to system requirements. The
chosen bp-value specifies the share of the electric load alternations the considered unit must
handle in steady state.
5.13 The turbine’s self-governing
For reaction turbines like the Francis and Kaplan turbines, the rotational speed has a direct
influence on the discharge through the turbine. For a high head Francis turbine the volume
flow will decrease as the rotational speed increases, whereas for a Kaplan turbine the volume
flow increases as the rotational speed increases. The κ-lines in the efficiency diagram in figure
XXX shows the correlations for a Francis turbine.
(FIGURE)
The aim of the governing is to keep the frequency or the rotational speed at a constant value.
When the rotational speed increases, we wish to reduce the volume flow through the turbine,
and this is done by reducing the wicket gate opening. For a Francis turbine, even when the
wicket gate remains fixed the volume flow will automatically decrease as a result of increased
rotational speed. This has a positive and stabilizing effect on the governing process. We often
refer to this effect as the turbine’s self-governing. A Kaplan turbine will have a “negative”
self-governing, because the correlation between rotational speed and flow will in this case
have a negative and destabilizing effect on the governing.
For a Pelton turbine there is no feedback between rotational speed and volume flow, hence the
Pelton turbine can be modeled as a valve.
For Francis turbines, just like the permanent speed droop, the self-governing will reduce the
rotational speed when the flow Q, and consequently the power P  gQH , increases.
In chapter 5.7.3 we presented the differential equation for the rotational masses:
d
J  Ph  PN (5.101)
dt
The resulting transfer function can be expressed as:
 1
 (5.102)
 Ta s
where μ and ν are defined in equations (5.32) and (5.33) and:
J 0 2
Ta  (5.103)
P0
59
If we introduce a proportional term to equation (5.101) we get:
d
J  Ph  PN  k (5.104)
dt
For steady state operation, equation (5.104) yields:
1
  P (5.105)
k
Equation (5.104) yields the following transfer function:
 1
 (5.106)
 T s k
a
P0
where the self-governing is represented by:
k
bs  (5.107)
P0
Steady state, i.e. s  0 , yields:
 1
 (5.108)
 bs
n 1 P
  (5.109)
n ref bs P0
The transfer function implies a linear correlation between Δn and ΔP where the
1
proportionality constant around the operating point P0 is .
bs
In the block diagram of the system, and consequently in the system’s transfer function, the
1 1
term can be replaced with to include the self-governing effect.
Ta s bs  Ta s
The transfer function of the system, with a PI governor, then becomes:
(1  Tds) (1  Tw s) 1
A (5.110)
(b p  b t Tds) (1  0,5Tw s) (bs  Ta s)
For a high head Francis turbine, bs is a negative value.
60
5.14 Surge chamber
The inflow time of the masses of water Tw is highly decisive for the governing of a the power
plant. Tw depends entirely on the system of the waterways:
Q L
Tw   (5.111)
gH A
According to equation (5.111), we can, in theory, decide Tw by designing a system that gives
L L
us a desired ratio, i.e.  from the nearest free water surface upstream to the nearest free
A A
water surface downstream the turbine.
Q
From equation (5.111) we can also see that the ratio will be smaller for high head power
H
plants than it will for low head power plants, and consequently it will be easier to satisfy
Tw  1 for a high head power plant.
In Norwegian power plants we often use long head race tunnels. This is particularly the case
Q L
for high head plants, so even if the ratio is small, the ratio is so high that Tw  1 . So
H A
how can this be solved? The solution is to introduce surge chambers or air cushion chambers
L
and thus reducing the ratio. By doing this we reduce the amounts of water that are to be
A
accelerated or retarded, because the surge shaft can accumulate or “feed” the masses of water.
The procedure for establishing a preliminary design for a waterpower plant is to estimate Tw.
If Tw  1 we need to introduce a surge chamber so that the system satisfies the limit Tw  1 ,
i.e.:
Q L
Tw   1 (5.112)
gH A
L
By solving equation (5.112) for  we can determine where in the system the surge
A
chamber or chambers should be placed.
(FIGURE surge chamber)
When we design waterpower systems with surge chambers, we consequently introduce

another problem to the system and that is the phenomenon referred to as U-tube oscillations.
61
5.15 U-tube oscillations
If we introduce a surge shaft to the system, the reservoir and the surge shaft will form a
spring-mass system that will oscillate when the discharge varies.
With reference to figure XXX we can describe the system through the continuity equation and
Newton’s second law:
dz
As  vA  q (5.113)
dt
dv g
 (z  v v ) (5.114)
dt L
where:
v = water velocity in the waterway
v v = head loss
z = shaft level
q = turbine discharge
If we consider only a small disturbance, we can linearize the equations. Furthermore, we

neglect terms of higher order and assume ideal governing, i.e. q  H  constant . By finding an
expression for the eigenvalues of the set of equations and additionally requiring a negative
real part, we find that the U-tube oscillations are stable when the following expression is
satisfied:
Lf
A th  (5.115)
2g(H0  z 0 )
Ath is called the Thoma cross section area, and it represents the minimum cross section area of
the surge shaft that will give stable U-tube oscillations. A more detailed deduction of the
Thoma expression is given in appendix 2.
We often introduce the empirical Manning equation into the Thoma expression. The Manning
equation is:
2 1
v2
v  M Rh 3 I2 i.e. I  4
(5.116)
2 3
M Rh
where:
M = Manning’s friction factor
Rh = hydraulic radius
62
v 2 L
I = gradient of the pressure line  4
L 2 3
M Rh
For ordinary tunnels with cross section area A, the hydraulic radius can be approximated to
R h  0, 26 A .
We substitute for α in the following equation:
LA
A th  (5.117)
2gH 0
and obtain:
5
M2A 3
A th  0, 0085 (5.118)
H0
To ensure stable U-tube oscillation between the surge shaft and the reservoir, the shaft area As
must satisfy:
As  A th (5.119)
Usually the requirement is increased to ensure a higher degree of stability:
As  1,5 A th (5.120)
If we are to perform a frequency analysis on a system with a surge chamber, the result will be
similar to that of figure XXX. We can observe that the U-tube oscillations appears as a peak
or disturbance at the oscillating frequency. An approximation of the frequency ω can be
derived based on the equations in chapter 4.3.
g
 (5.121)
L
AS
AT
AT is the tunnel area, L is the length of the tunnel between the reservoir and the shaft and As is
the shaft area. For a shaft area smaller than the Thoma cross section area, the U-tube
oscillations will theoretically have an infinite amplitude, in practice that means unstable
resonant oscillations.
(FIGURE APF diagram for a waterpower system with a surge shaft)
For Norwegian waterpower plants it has been a standard requirement that the U-tube
oscillations must have an rpm/load amplitude smaller than 4 dB .
63
It must also be noted that the Thoma cross section area applies to all free water surfaces in the
system, not only in the surge shaft but also surfaces such as stream intakes, gate shafts
etcetera. On the other hand, the damping related to these other surfaces is often significant,
thus allowing areas smaller than the Thoma cross section area.
An example of an oscillating condition that may cause problems, often more for the
calculation model than for the actual stabilty of the system, are U-tube oscillations between
the gate shaft and the surge shaft downstream the turbine. Generally, it is hard to predict
whether such oscillations will cause actual instability problems, this is mostly because the
damping is difficult to model precisely. Reference XXX is a result of the PhD work of
Professor Hermod Brekke and it discusses an example of a suggested damping model that
shows good correlation with actual measurements.
5.16 Air cushion chamber
An alternative to construct an open surge shaft with direct contact to the atmospheric pressure,
is to construct a so-called air cushion chamber. The principle of the air cushion chamber is
that same as that of the open surge chamber, but the difference is that instead of the water
surface being subject to atmospheric pressure, a volumetric pressure is established inside a
closed chamber and this pressure varies as the water oscillates.
(FIGURE Waterpower system with air cushion chamber)
The model of a spring-mass system with an air cushion chamber will be nonlinear and less
elastic than regular surge shaft models. If we assume adiabatic pressure behaviour in the air
cushion chamber, the equation of state yields:
h p V   h p0 V0  (5.122)
where:
hp – variable pressure in the air cushion (absolute pressure)
hp0 – initial air cushion pressure
V0 – initial air volume [m3]
V – variable air volume [m3]
κ – adiabatic exponent = 1,4 for air
If we differentiate equation (5.122) with respect to the volume V, we get an expression of

how the pressure in the air cushion varies with the air volume:
dh p h p0
 (5.123)
dV V0
By comparing the open surge shaft and the air cushion models according to figure XXX we
find:
For the surge shaft (hvor står denne? Inkludere referanse?):
64
dh 1
 (5.124)
dV As
For the air cushion:

dh  dZL  dh p (5.125)
Or:
dh 1 dh p 1 h p0
   (  ) (5.126)
dV A L dV AL V0
Which can be expressed as:

dh 1
 (5.127)
dV A eq
Where:
1 1 h p0
  (5.128)
A eq A L V0
1
A eq  (5.129)
1 h p0

AL V0
In other words the dimensions for the air cushion chamber can be decided by replacing the
equivalent cross section area Aeq into the equations for the open surge shaft. Additionally, to
ensure stable U-tube oscillations, it is necessary to include a certain minimum air volume in
the air cushion chamber.
5.17 Summary
I ) Finding the inflow time of the masses of water Tw
Q0 L
Tw   (5.130)
gH 0 A
a) If Tw  1 the waterway is ok
b) If Tw  1 we have several options:
1) We can change the length/cross section ratio
2) For smaller units the rotational mass can be increased by
introducing a flywheel
3) For certain electric grids Tw  1 may be acceptable
4) We can reduce Tw by introducing a surge chamber or an air
cushion chamber
Steps 1 to 3 are trivial whereas step 4 would need further investigation.
65
II) Introducing a surge chamber
Surge chamber only upstream
(FIGURE system with surge chamber upstream)
The surge chamber is positioned in the waterway so that Tw  1 . For the system described in
figure XXX above, equation (5.130) yields:
Q0 L1 L2 L3
Tw  (   ) 1 (5.131)
gH0 A1 A 2 A3
The water surface area of the surge chamber must be larger than the Thoma cross section area
Ath, preferably 1,5  A th .
5
M2At 3
A  1,5  A th  1,5  0, 0085 (5.132)
H0
(Maybe At could be given another name, also in the figure above? Bytte indekser i hele
summary med noe som passer bedre på engelsk enn u og t?)
Surge chambers upstream and downstream
In a system with long tail race tunnels it can also be necessary to introduce a surge chamber
downstream the turbine.
(FIGURE)
Tw is then derived according to the figure above and equation (5.131) yields:
Q0 L1 L2 L3 L4
Tw  (    ) (5.133)
gH0 A1 A 2 A3 A 4
All free water surfaces in the system must satisfy the criteria of having a surface area larger
than the Thoma cross section area. For the downstream surge chamber this criteria yields:
5
2 3
M Au
A  1,5  A th  1,5  0, 0085 (5.134)
H0
In a system with two surge chambers we will equally have two U-tube oscillations.
The frequencies of the oscillations are derived by the equations:
66
g
upstream  (5.135)
As1L t
At
g
downstream  (5.136)
As2 L u
Au
If several U-tube oscillations are present we must try to design the system in the way that
prevents oscillations of similar frequency.
Many waterpower plants are constructed with a draft tube gate, and this draft tube gate often
has a free water surface in the gate shaft. Theoretically the water surface area of the gate shaft
should be larger than the Thoma cross section area. If additionally two surge shafts are
present, the system now has to deal with three different U-tube frequencies. The U-tube
oscillations between downstream surge shaft and gate shaft may particularly cause instability
challenges as their frequency is often high. Despite this, experiences show that the expected
high frequency oscillations are subject to significant damping and does not actually cause as
much instability problems as one might expect.
After having decided upon preliminary design dimensions, i.e. lengths and cross sections of
the waterways, shaft areas, positioning of surge chambers or air volumes in air cushion
chambers if such are required, all the dimensions must be verified and corrected by using
suitable numerical models for frequency analysis. Numerical models will be discussed in the
following chapter.
67
6 NUMERICAL MODELS

Dynamic Dimensioning of Hydro Power Plants (DRAFT)

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Dynamic Dimensioning of Hydro Power Plants (DRAFT)

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DYNAMIC DIMENSIONING OF

HYDRO POWER PLANTS

PROFESSOR TORBJØRN NIELSEN

When dimensioning waterpower systems with respect to dynamic phenomena it is common to

- Pressure in front of the turbine

- Waterways (Tunnels and pressure shafts)

2.1 Tunnels and pressure shaft

The continuity equation:

The equation of motion:

where  is the density.

In Appendix A the above equations are deduced.

or using the flow as the state variable:

Figure 2-1 Model for non-stationary friction loss

2.2 Surge shaft

2.3 The turbine

Newton’s second law for a rotating system can be expressed by:

where T is the torque and J is the polar moment of inertia.

where the hydraulic power is:

This is illustrated in Figure 2.3.

Figure 2-4 Turbine performance diagram

Reduced angular speed of rotation:

2.4 The governor

Taking the derivative gives the differential equation:

Taking the derivative:

2.5 The system

3 PRESSURE IN FRONT OF THE TURBINE

3.2 Inelastic water and conduit

Figure 3-1 Equation of motion

3.3 Water hammer

Steady state pressure

The steady state velocity is, according to Torricelli’s formula:

Figure 3-3 Water hammer, pressure rise

Figure 3-4 Water hammer

Figure 3-6 Pressure hammer

Figure 3-7 Pressure hammer

p  av [N] (3.9)

or in meter water column:

The maximum pressure rise will be:

3.4 The Method of Characteristics

By introducing a multiplier M, the two equations can be combined so that:

Rearranging the equation gives:

The chain rule implies:

From equation (3.23), it can be derived that

Figure 3.13 shows the characteristics in a x-t plot.

Figure 3-13 The characteristics

Figure 3-14 Nomenclature for the integrated equations

3.5 The Boundary Conditions

For a valve with a opening degree y, the equation will be:

3.6 Means for reducing the transient pressure

The intention of surge shafts in a hydraulic system is:

a) To limit the retardation pressure during transients

In the head water the surge chamber level will be:

Immediately after load rejection, the following will happen:

In the head water:

In the tail water:

Shaft level (m)

Shaft level (m)

Figure 4-2 Shaft surging due to turbine closure

For turbine start-up, the following will happen:

In the head water:

In the tail water:

Figure 4-3 Shaft surging when the turbine starts up

Maximum surge level in head water is found by simulating turbine closure