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Article history:
Received 21 October 2014
Received in revised form
27 April 2015
Accepted 1 June 2015
Knowing the efciency of a hydraulic turbine has important operational and nancial benets to those
who operate a plant. Historical efciency and other data on turbine performance are essential for the
informed selection and use of turbines. So having such a database from different manufactures is
attractive. However, at present it is almost impossible to get a universal database to reect the turbine
characteristics. This paper reviewed a set of empirical equations to replacefull database which denes
the peak efciency and shape of the efciency curve as a function of the commissioning date for the unit,
rated head, rated ow and other main design parameters. Since the design theories, methods and tools
of turbines are relatively mature, and the majority of turbine manufacturers have reached a level of
know how which enables them to carry out hydraulically and structurally correct units to product highperformance turbines. This paper paid more attention to the design factors, which could inuence the
value of the practically attainable overall turbine efciency. To quantify the effects of these factors, this
paper investigated the inuence of roughness and gap clearances on the internal leakage ow rate.
Testing and CFD are the most two important tools in different design stages. This paper reviewed some
key ideas and issues on the efciency research in both. At last, improvement measures based on these
above mentioned design factors were provided.
& 2015 Elsevier Ltd. All rights reserved.
Keywords:
Hydraulic turbines
Efciency losses
Performance testing
CFD method
Efciency improvement
Contents
1.
2.
3.
4.
5.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Mathematical model for predicting turbine efciency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Design factor affecting turbines efciency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.1.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2.
Inuence of surface roughness and wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.3.
Inuence of gap clearances on the internal leakage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.4.
Others. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.5.
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Performance testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.1.
Model tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.2.
Field tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.3.
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
CFD method for promoting the research and design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.1.
Improving pressure recovery in draft tube. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.2.
Cavitation research by CFD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.3.
CFD in tip clearance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.4.
Prediction of erosion in hydraulic turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.5.
CFD in off-design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5.6.
Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
http://dx.doi.org/10.1016/j.rser.2015.06.023
1364-0321/& 2015 Elsevier Ltd. All rights reserved.
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6.
1. Introduction
Hydropower has been a proven, extremely exible, and welladvanced technology for more than one century. At present, its
technology is very mature. Still, there is some room for further
improvements. Turbine efciency is likely the most important
factor in a unit. As the heart of the system, design of a turbine is
focused on this to obtain the maximum efciency. The maximum
efciency can be reached when all losses are kept to a minimum.
In general, peak efciencies of Francis turbines with modern
design tools like CFD method have enabled to achieve the range of
93% to almost 96%. The position that peak efciency occurs varies
between 80% and 95% ow. For Kaplan turbine, the position that
peak efciency occurs varies between 94% and 100% ow. Efciency loss at higher heads drops 2 to 5 percent points below peak
efciency at the design head, and as much as 15 percent points at
lower heads. For multi-nozzles Pelton turbines, the high efciency
zones are even broader due to the number of operating jets can be
varied. The position that peak efciency occurs varies between
65% and 80% ow. Crossow turbines are only used in the lower
power range. Generally, large turbine refers to single unit with a
capacity of more than 50,000 kW, and small turbine refers to unit
capacity of 100 kW to 50,000 kW. Turbines can reach high efciency under normal circumstances, but rather low efciency
during small ow rate. With total efciencies from 84% to 87%
[1], the peak efciency is a little less than that of other turbines.
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3.1. Introduction
The majority of the hydraulic turbine manufacturers have
reached a very high level of knowhow which enables them to
carry out hydraulically and structurally correct designed turbines.
So the value of the practically attainable overall turbine efciency
is mainly inuenced by factors such as surface roughness of
parts that are in contact with the ow, and the internal leakage
ows through the gaps between the blades and shroud. The
former means the performance of a turbine can degrade over
time, due to erosion damage, cavitation damage and weld repairs,
etc. The latter also could get worse due to erosion wear.
Fig. 1 shows a breakdown of the loss distribution within a
Francis turbine as a function of specic speed [5]. The value of
specic speed directly corresponds to the shape of the runner.
With lower specic speeds, the volumetric losses as well as losses
due to runner disk friction are very signicant. For high head
Francis turbines, the efciency due to disk friction can reach up
1.0% [6]. For higher specic speeds, the inuence of blade friction
losses and exit swirl losses in draft tube dominates and mainly
determines the level of the overall efciency. There are similar
results for other types of turbines [3]: turbine efciency is a
function of the specic speed, with both low and high specic
speed turbines having lower peak efciencies than medium ones.
At lower heads, losses in the draft tube are increasingly signicant;
at high heads, ow losses through the runner seals increase. Lastly,
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Fig. 2. Surface roughness impact the Francis turbine specic energy efciency.
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larger reaction turbines are more efcient than smaller ones due
to the relatively lower effect of friction in runners.
3.2. Inuence of surface roughness and wear
Scientists and engineers have long known that surface roughness on ow surfaces will rob a moving uid of energy in piping
systems. Brice and Kirkland [7] found the similar relationship
between surface roughness of the turbine components and degradation of the unit performance. Here, the surface roughness
includes the initial roughness strongly depends on the manufacturing techniques used, and the roughness which is changed by
wear or erosion. Thereby surface quality causes increased energy
losses during its operation.
The losses are increased by increased roughness due to
increased friction losses usually expressed in the head from the
worn surface and an offset from the optimum hydraulic prole.
Friction losses should be special considerable, especially in the
runner where the relative velocity is the greatest. As early as 1978,
Kurokawa et al. [8] studied the roughness effects on the three
dimensional boundary layer ow along an enclosed rotating disk
with theoretical and experimental approaches. And in 1997,
Kubota et al. [9] extracted the specic hydraulic energy deciency
from the performance diagrams of a model turbine changing the
roughness systematically to investigate the effect of surface roughness on a Francis turbine. In 2007, Krishnamachar and Fay [10,11]
synthesized analytical procedures with practical data and provided a reasonably simple computational method to obtain realistic estimates for roughness effects on the optimum efciency of
Francis turbines. Recently, Maruzewski et al. [12] studied the
specic losses per component of a Francis turbine, which were
estimated by CFD simulation. The results were performed for
different water passage surface roughness heights. The IEC (International Electrotechnical Commission), IAHR (International Association for Hydraulic Research) and their working groups collected
and analyzed vast data on both model and prototype turbines to
calculate or scale the different friction coefcients by upgrading
the scale effect formulas such as IEC 60995.
Fig. 2 shows the evolution of the specic hydraulic energy
efciency of a Francis turbine versus the sand grain roughness
height and versus the discharge [12].
The effect due to wear changing the roughness is also signicant. Truscott [13] surveyed the factors and types of wear, and
the effects of wear on performance and working life. Padhy and
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Fig. 6. Inuence of tip clearance ows on the development of cavitation. (a) Numerical result without tip clearence, (b) Numerical result with tip clearence and Experimental
Visualization.
could be an erosion risk even though the head could be low, see
Fig. 6 [21].
The effects induced by the presence of the tip clearance do not
have a linear growth with its size. So it is important to determine
the admissible tip clearance size [22]. Okita el al. [21] found the tip
clearance ows from the pressure side to the suction side of the
blade produced the tip vortex cavitation, which affected the sheet
cavitation on the leading edge of the next blade and enhances the
blockage effect near the casing than the ows without tip
clearance. Nilsson and Davidson [23] investigated the turbulent
ow in Kaplan hydraulic turbines. They focused on tip clearance
losses, which reduced the Kaplan turbine efciency by about 0.5%.
The computations capture a vortical structure close to the leading
edge tip clearance, where the tip clearance ow interacts with the
shroud boundary and cavitation occurs. The tip blade loading
increased when the specic speed decreased.
Labyrinth seals are the primary type of seals for hydraulic
turbines, see Fig. 7 [17]. However, as a type of non-contact seal, the
space between the crown and upper cover is lled with highpressure water, which results in a high disk friction loss. Zhao et al.
[24] carried an experimental study on leakage ow in different
geometrical disk seals to state that the leakage ow rate is inverse
proportional to the rotational speed and it could be possible to
optimize disk with tilting pads to reduce the leakage loss.
The hub/tip ratio is an important parameter as it not only
controls the ow rate but also inuences the stall conditions, the
tip leakage and the ability of the turbine to run up to operating
speed [25]. Singh and Nestmann [26] concluded that a larger hub/
tip ratio yielded lower runner losses. However, there is no clear
guidance on hub/tip diameter ratio. Without universal formula,
the ratio is determined through a review of empirical methods, e.g.
Nechleba [27], Durali [28] and Wright [29].
3.4. Others
Hydropower plants often get lots benet from air admission or
air injection [3032], because which smoothes out the annoying
high-frequency components of noise and vibration. In addition,
aeration sometimes removes ow instability by manipulating the
hydraulic transmission behavior in particular lowering the draft
tube natural frequency [33]. However, few research works have
been published about the effect of ow aeration on turbine
efciency. Energy losses due to aeration increase with the relative
air ow rate. Parts of results on efciency losses due to aeration
have been collected in connection with tests aiming at increased
tail water oxygen content [3436]. Depending on design, it is
necessary to add inserts in the draft tube. These structures
obstruct the ow and cause additional drop in efciency. Such
additional loss may be avoided if air can be admitted through the
shaft bore or head cover [33].
3.5. Discussion
The presented results show that disk and gap losses play a big
part in low specic speeds. So there is the highest potential for an
efciency improvement in the region of low specic speeds. All
efforts aimed at an improvement of the surface quality and wear
protection of wet surface of components will cause a gain of
efciency. Furthermore, it is worthy to reduce the clearance of the
sealing gaps to the smallest possible value in order to decrease the
volumetric losses.
It is mentioned that the conditions of the surfaces as well as the
sealing gaps will decay by the time of operation. So it makes sense
to check these parameters at reasonable intervals during the
lifetime of a turbine.
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4. Performance testing
CFD methods, talked about in next section, provide the turbine
designer with powerful tools for achieving highly efcient hydraulic
turbine designs. However, CFD techniques cannot be in accordance
with the true nature very well, especially in complex physic
environment. CFD methods still require ne-tuning with test
results. Turbine performance test parameters typically include:
generator output, turbine ow rate, headwater and tailwater elevations, inlet head and discharge head. There are two kinds of tests in
hydraulic turbines, one is model test and the other is eld test.
4.1. Model tests
Model test is an important element in the design and development phases of a new turbine. It will verify the performance of a
given turbine design. It is necessary for determining performance
over a range of operating and for determining quasi-transitory
characteristics. Model test can also be used to eliminate or
mitigate problems associated with cavitation, hydraulic thrust,
vibration and pressure pulsation. A standard for model testing of
water turbines is International Standard IEC-60193. In general IEC60193 applies to any type of reaction or impulse turbine tested
under prescribed laboratory conditions and may accordingly be
used for acceptance tests of the prototype turbines as well. Typical
laboratory facilities include [37]:
Water tunnels;
Depressurized umes;
Depressurized towing tanks;
Pump and turbine test loops;
Other test apparatus, i.e. cavitation erosion test.
The formula for up scaling the efciency form the model to the
prototype Francis turbine is:
2
1 m V 1 Rem =Rep
where is the rated efciency difference between the prototype
and the model, m is the efciency of the model, Rem, Rep is the
Reynolds numbers of the model and prototype respectively, V is
the scalable part of the losses, and is exponent. For Kaplan
turbines, the value of V is different.
There is a debate in the extrapolation of model test results to
prototype values. In principle, based on the similarity laws, various
scaling formulas can be used to estimate prototype values (i.e.
discharge, speed, power, etc.) from model tests. In fact, too many
factors can lead to the prototype real value different from those
calculated by scaling formulas. The essential reason is that all of
losses lead to efciency will change in prototype machine. Osterwalder and Hippe [38] made attempts to set out diagrams
permitting a quick determination of efciency scaling. Bachmann
el al. [39] proposed some methods to predict the prototype
efciencies. The IEC-60913 thought losses could be classied into
two categories based on whether those losses depended on
Reynolds number. For reaction turbines, friction losses are mainly
dependent on the Reynolds number provided that ow conditions
are hydraulically smooth. Because the Reynolds number of the
model, referred to the reference diameter of the machine (or to a
characteristic length of a component), is usually smaller than that
of the prototype, the ratio of friction losses to total losses for the
model becomes larger than the corresponding ratio for the
prototype. Therefore, in most cases, model efciency is somewhat
lower than prototype efciency. Because of two-phase ow in the
turbine housing, the efciency of impulse turbines (e.g. Pelton
type) may be strongly inuenced by the Froude number.
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The previous section has told a truth that though a good result
got in model test, there is no guarantee that the prototype
machine is an accurate reproduction of design. Besides, ow
conditions, intake head losses, water quality, the effect of operating other adjacent units, etc., cannot be analyzed in model tests.
For these reasons, eld performance tests will often be performed
once prototype machine is installed. Field tests are also performed
for commission a site and for various problem-solving activities.
However, eld tests also cannot take the place of model tests.
Some conditions, such as severe cavitation and maximum runaway speed, can be simulated in model tests, but seldom tested in
a prototype. The factors leading to difference between model test
results and eld test results include: efciency step up, powerhouse head determination, site differences, manufacturing differences, deection differences and wear [44]. International Standard
IEC-60041 and ASME PTC 18-2011 describe the basic procedures
and code-accepted measurement methods.
There are several different types of eld tests which serve
different purpose: the absolute efciency and the relative efciency. The former is measured for acceptance or performance
tests, more complex, more expensive, commonly tested once;
while the latter is measured when operating information or netuning of turbine performance is desired. The difference is
whether the discharge is measured absolutely or in relation to
some other known parameters.
The absolute methods include: the velocityarea method by
means of current-meters or Pitot tubes, the pressuretime method
(Gibson method), tracer methods either by transit-time or dilution
measurement, standardized thin-plate weirs, standardized differential pressure devices, and volumetric gauging. In addition the
acoustic method also is optional. Moreover, the thermodynamic
method of efciency measurement permits discharge to be
obtained as a derived quantity from efciency, specic energy
and power measurements.
Relative methods such as the WinterKennedy method, nonstandardized differential pressure devices, non-standardized weirs
or umes, certain simple forms of the acoustic method or local
velocity measurement with a single current-meter may be used to
obtain a relative value of the discharge or even an absolute value if
they are calibrated in situ by comparison with an absolute method.
4.3. Discussion
Turbines show declined performance after few years of operation, as they get severely damaged due to various reasons. One of
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7. Conclusion
Efciency, reliability, and maintenance of hydraulic turbines are
most important for the economy and safety of hydropower.
However, basic knowledge of design and maintenance is required
to select the best equipment for a safe operation with highest
possible production. This paper reviewed a set of empirical
equations replaced of full database which is almost impossible to
get from different manufactures. It denes the peak efciency and
Acknowledgments
The rst author is grateful to the China Scholarship Council
(CSC) for nancial support to study in University of Toronto. And
this work was supported by National Natural Science Foundation
of China, China (No. 51279083).
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