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A selected literature review of efficiency

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Impact Factor: 5.9 DOI: 10.1016/j.rser.2015.06.023

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 Renewable and Sustainable Energy Reviews 51 (2015) 1828

Contents lists available at ScienceDirect

Renewable and Sustainable Energy Reviews

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

A selected literature review of efciency improvements

in hydraulic turbines
Xin Liu a, Yongyao Luo a, Bryan W. Karney b,n, Weizheng Wang a
a
Department of Thermal Engineering, Tsinghua University, Beijing 100084, China
b
Department of Civil Engineering, University of Toronto, 35 St. George St., Toronto, Canada ON M5S 1A4

art ic l e i nf o a b s t r a c t

Article history: Knowing the efciency of a hydraulic turbine has important operational and nancial benets to those
Received 21 October 2014 who operate a plant. Historical efciency and other data on turbine performance are essential for the
Received in revised form informed selection and use of turbines. So having such a database from different manufactures is
27 April 2015
attractive. However, at present it is almost impossible to get a universal database to reect the turbine
Accepted 1 June 2015
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,
Keywords: rated head, rated ow and other main design parameters. Since the design theories, methods and tools
Hydraulic turbines of turbines are relatively mature, and the majority of turbine manufacturers have reached a level of
Efciency losses
know how which enables them to carry out hydraulically and structurally correct units to product high-
Performance testing
performance turbines. This paper paid more attention to the design factors, which could inuence the
CFD method
Efciency improvement 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.

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2. Mathematical model for predicting turbine efciency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
3. Design factor affecting turbines efciency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
3.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
3.2. Inuence of surface roughness and wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
3.3. Inuence of gap clearances on the internal leakage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
3.4. Others. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
3.5. Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4. Performance testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.1. Model tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2. Field tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.3. Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5. CFD method for promoting the research and design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.1. Improving pressure recovery in draft tube. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.2. Cavitation research by CFD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
5.3. CFD in tip clearance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.4. Prediction of erosion in hydraulic turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.5. CFD in off-design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
5.6. Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

n
Corresponding author. Tel.: 1 416 9787776.
E-mail address: karney@ecf.utoronto.ca (B.W. Karney).

http://dx.doi.org/10.1016/j.rser.2015.06.023
1364-0321/& 2015 Elsevier Ltd. All rights reserved.
 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828 19

6. Efciency improvement in turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

6.1. Better design or optimization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
6.2. Improve the surface performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
6.3. Improvements to hydropower production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
7. Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

1. Introduction
For reaction runners, the peak efciency equation has the
Hydropower has been a proven, extremely exible, and well- following form:
advanced technology for more than one century. At present, its peak A  year  specif icspeed size 1
technology is very mature. Still, there is some room for further
improvements. Turbine efciency is likely the most important where A is a constant value depending on the type of the runner;
factor in a unit. As the heart of the system, design of a turbine is year is the efciency change due to the year the unit was
focused on this to obtain the maximum efciency. The maximum commissioned; specif icspeed is the efciency change due to specic
efciency can be reached when all losses are kept to a minimum. speed; and size is the efciency change due to size.
In general, peak efciencies of Francis turbines with modern This equation indicates that four parts inuence the peak
design tools like CFD method have enabled to achieve the range of efciency. The rst one xed the base level of the peak efciency.
93% to almost 96%. The position that peak efciency occurs varies Based on the statistics of a large sample of data in a lot of
between 80% and 95% ow. For Kaplan turbine, the position that operating hydropower plants, A has a value of 0.9187 for a Francis
peak efciency occurs varies between 94% and 100% ow. Ef- runner and 0.904 for Kaplan and axial ow runners. The difference
ciency loss at higher heads drops 2 to 5 percent points below peak in the base level is 1.47%, double the 0.75 difference given in ASME
efciency at the design head, and as much as 15 percent points at data [3]. The second one shows the difference in ages and
lower heads. For multi-nozzles Pelton turbines, the high efciency commissioning. The rst three parts determine the peak model
zones are even broader due to the number of operating jets can be efciency. And the last one is a modication on the prototype size
varied. The position that peak efciency occurs varies between and the runner throat diameter. For the details of exact peak
65% and 80% ow. Crossow turbines are only used in the lower efciency and shape equations and scope of them could see
power range. Generally, large turbine refers to single unit with a Gordon's paper [2].
capacity of more than 50,000 kW, and small turbine refers to unit Manness and Doering [4] developed Gordon's method, with a
capacity of 100 kW to 50,000 kW. Turbines can reach high ef- large Manitoba Hydro's data. Furthermore, Manness's method
ciency under normal circumstances, but rather low efciency includes the effects of rerunnering turbines in his model while
during small ow rate. With total efciencies from 84% to 87% Gordon's does not. The accuracy of rened model is within 72%
[1], the peak efciency is a little less than that of other turbines. for an older turbine, and within 7 1% for new one.

3. Design factor affecting turbines efciency

2. Mathematical model for predicting turbine efciency
It is difcult to nd out on turbine efciency data in detail in
most paper, while manufacturers are reluctant to divulge data.
Since manufacturers regard such information as proprietary that
could compromise a competitive advantage. So in some cases it is
challenging and not exible to obtain the turbine efciency due to
time, budgetary, or other constraints. J.L Gordon [2] did a very
good job to develop a set of empirical equations for calculation of
turbine runner efciencies, taking the increase in efciency of
newer designs and deterioration since commissioning into
account. The method outlined by Gordon is a generic procedure,
with calibration factors for different turbines. The accuracy of
Gordon's method is within 73%. These equations are intended as
an aid in
 Estimating new runner performance at the feasibility study
stage and
 Estimating old runner performance where it is impractical to
undertake efciency tests or where commissioning test records
are unavailable.
At last, these equations with their plotting curves are very
useful to help understand the development of the efciency level
of turbines, and different efciency characteristics of different
types of turbines.
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,
20 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828

Fig. 1. Loss breakdown of Francis turbines as a function of specic speed.

Fig. 2. Surface roughness impact the Francis turbine specic energy efciency.

Fig. 3. Inuence of buckets erosion on efciency of a Pelton turbine.

 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828 21

Fig. 4. Decay of efciency due to wear.

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 rough-

ness 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 degra-
dation of the unit performance. Here, the surface roughness
includes the initial roughness strongly depends on the manufac-
turing 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 rough-
ness on a Francis turbine. In 2007, Krishnamachar and Fay [10,11]
Fig. 5. Blade and casing arrangement in a Kaplan turbine.
synthesized analytical procedures with practical data and pro-
vided a reasonably simple computational method to obtain realis-
tic estimates for roughness effects on the optimum efciency of
Francis turbines. Recently, Maruzewski et al. [12] studied the Saini [14] reviewed different causes for the declined performance
specic losses per component of a Francis turbine, which were and efciency of the hydro turbines and suitable remedial mea-
estimated by CFD simulation. The results were performed for sures suggested by various investigators, based on the literature
different water passage surface roughness heights. The IEC (Inter- survey various aspects related to silt erosion in hydro turbines.
national Electrotechnical Commission), IAHR (International Asso- For impulse turbines, wear on needle and nozzle would result
ciation for Hydraulic Research) and their working groups collected in a decay of efciency and possibly cavitation, see Fig. 3 [15]. In
and analyzed vast data on both model and prototype turbines to worn bucket, the boundary layer is thickened and disturbed due to
calculate or scale the different friction coefcients by upgrading an increased waviness of the surfaces.
the scale effect formulas such as IEC 60995. For reaction turbines, the performance of a turbine is destined
Fig. 2 shows the evolution of the specic hydraulic energy to degrade due to various reasons as years go by, shown in Fig. 4
efciency of a Francis turbine versus the sand grain roughness [15]. These factors include metal loss (cavitation, erosion, and
height and versus the discharge [12]. corrosion), opening of runner seal, opening of guide vanes clear-
The effect due to wear changing the roughness is also sig- ances, and increasing surface roughness. Erosive wear due to high
nicant. Truscott [13] surveyed the factors and types of wear, and content of abrasive material during monsoon and cavitation is the
the effects of wear on performance and working life. Padhy and very important one [16].
22 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
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.
Fig. 7. Erosion pattern of particles of different diameters in Francis turbine labyrinth.
In the presence of particular wear phenomena, mainly three
following results will lead to the efciency deterioration:
 wear of guide vanes components with increase of clearance
between guide vanes and wearing plates.
 Surface roughness increases in the runner channels.
 Erosion on the seal rings with increase of volumetric losses.
The roughness and wear inuence each other and promote
each other.
3.3. Inuence of gap clearances on the internal leakage
Volumetric losses are mainly caused by the existence of sealing gap
and tip clearance of runners. The higher is the differential pressure
across the space, the greater is the leakage. The leakage ow
contributes negatively to the turbine performance in several ways.
 Flow loses energy through viscous losses in boundary layer as
well as in viscous mixing with the mainstream.
 Flow does not give work to the blade.
 Flow blocks the mainstream by reducing the area available for
the mainstream and increases the 3D turbulent ow due to the
unsteady leakage vortex.
Worn guide vane end clearances can contribute to a decline in
unit performance. Over years of operation with eroded end
clearances, worn stem journal bushings, and improperly adjusted
toe to heel closures, the leakage through the guide vanes may
double. The tip ow strengthens the ow detachment caused by
the strong curvature of the blades and guide vanes. This is very
harmful to the turbine. Since the ow detachment inuences the
normal guidance made by the guide vanes and blades near their
tips, thus disturbs the ow at the outlet causing decay of the
energy transformation in the runner, efciency losses and local
erosion [17]. Worse, because of wear, the gap will continually
increase between guide vanes and wearing plates, which produces
an increase of volumetric losses and vortices.
For Kaplan and bulb turbines, since the blades are adjustable,
the runner is not shrouded, there must exist a nite clearance
between them, shown in Fig. 5. The tip clearance is of the order of
millimeter, but it is one of the most inuential parts to perfor-
mance of the turbines. These gaps can give rise to leakage ows,
resulting in the formation of vortices. Based on prototype mea-
surements, the leakage loss of a Francis turbine is at about 0.5% to
1%, even if with tight seal gaps [6]. For high head units, leakage by
seal rings may affect the overall efciency of the turbine by 1% to
3% [18]. The vortex breakdown is the cause of the unsteady
ow features. These secondary ows cause elevated water velo-
city, shear and rapid pressure changes and low absolute pressure
levels [19]. The large pressure gradient between the non-
cavitation pressure side and the cavitation suction side enhances
the tip clearance ows. Downstream of the trailing edge the ow
eld is characterized by a strong local ow blockage in the tip
region. The blockage is extremely large and persistent, and
becomes the dominant single source of hydraulic loss within
the blade passage [20]. And then tip clearance cavitation takes
place in the gap between the blades and the machine casing. There
 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
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 high-
pressure 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.
23
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 eleva-
tions, 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 devel-
opment 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 IEC-
60193 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:



1  m V 1  Rem =Rep 2
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. Oster-
walder 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.
24 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
Therefore, IEC-60913 recommends, for impulse turbine model
tests, to choose a specic hydraulic energy which satises the
Froude similitude. Standard JSME (Japanese Society of Mechanical
Engineers) S008 also summarized the viscous losses [40]. It thought
loss distribution factor was function of the specic speed, while it
was constant in the IEC-60193 for each type of machine.
The unsteadiness, not mentioned by various standards, exactly
makes different contributions on losses. Actually, this is a very
important feature because a ow must be unsteady in so complex
passages. Research in EPFL (Ecole Polytechnique Federale de
Lausanne) group conrmed that ow unsteadiness disturbed the
boundary layer in Francis turbines [41,42]. Li [43] in his PhD thesis
did an experimental investigation of head loss of oscillatory ow
in a rectangular. The head losses increase with the amplitude of
the oscillation and the frequency, which means ow unsteadies
may also lead to additional viscous losses in turbulent ows. So
when and how the scaling formulas take these losses into account
need more research.
4.2. Field tests
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 operat-
ing 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 run-
away 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, power-
house head determination, site differences, manufacturing differ-
ences, 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 ef-
ciency. 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 ne-
tuning 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 differ-
ential 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, non-
standardized 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
Usually the performance of large turbines is determined rst in
model tests. However prototype turbine installations always have
some differences from their model, which alter their performance.
No matter model or eld tests, the core problem is to develop a
high accuracy method to ascertain performance by measuring ow
rate, head, and power, from which efciency may be determined. A
major difculty resides in the accurate determination of the ow
rate. Work should be concentrated methods of measurement,
testing procedures, and methods of calculation. Another problem
is to develop high accuracy correction and extrapolation princi-
ples. Every reasonable effort shall be made to conduct the test as
close as possible to specied operating conditions in order to
minimize deviation corrections. And the study of the various
models of the energy conversion associated with all kinds of
losses is help to reduce the extrapolation deviation.
5. CFD method for promoting the research and design
The ows in turbine system are almost invariably turbulent.
The development and interaction of boundary layers and separa-
tion of boundary layers cannot be completely analyzed theoreti-
cally. To predict the behavior of uids in turbulent ow,
computational uid dynamics (CFD) based on turbulent models
of uid behavior can provide better visual solutions of ows and
valuable data. The design calculations for attaining the highest
possible efciency and the optimization are done on a computer
with CAD and CFD approaches. Expect for design stage, before
upgrading or rehabilitation, tests are carried out to determine the
efciency to reveal that the current efciency of the turbine is
indeed lower than expected. This is necessary to refurbish the
units. However there is no way to verify if the new turbine meets
the performance improvement before which is really manufac-
tured. Nowadays, with CFD technology, engineers are able to
simulate the new one at required operating zone, including the
ow as the water passes through the intake, penstock, spiral
casing, stay/guide vanes, the runner and draft tube. With CFD,
plants and manufactures can save large money from the expensive
tests and lots of physical modications. From last few decades, the
vast number of applications by the CFD method in engineering has
proven this approach is an important help to designers and
operators. Even then, models must still be designed and tested
before a prototype machine can be built.
5.1. Improving pressure recovery in draft tube
The numerical ow simulation in draft tube is one of most
difcult and least reliable. Workshops [45,46], such as Turbine 99,
validated the computational method and parameters, and exam-
ined the accuracy of draft tube ow prediction. The Swiss EPFL
[47] continued the research on the draft tube ow analysis. They
compared the measurement data of the pressure recovery of the
model of FLINDT Francis turbine with CFD predictions of all
different FLINDT partners. After few years' effort, the prediction
of the pressure recovery with the CFD approach seems reliable
under clean and precise modeling only. Pan [48] simulated a
hydro-turbine system provided by Waterpumps Oy, Finland. With
the CFD method, they found the turbine system efciency is
increased by 1.5% and the draft tube pressure recovery factor is
increased by 4.03%, by introducing Vortex Generators into the
draft tube.
Up to now, CFD prediction of draft tube ow is still an
open issue.
5.2. Cavitation research by CFD
Turbines show declined performance after few years of opera-
tion, as they get severely damaged due to various reasons. One of
 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
the important reasons is erosive wear of the turbines due to
cavitation. Reaction turbines, however are more prone to cavita-
tion especially Francis turbines where a zone in the operating
range is seriously affected by cavitation and considered as for-
bidden zone. Cavitation is a phenomenon which manifests itself in
the pitting of the metallic surfaces of turbine parts because of the
formation of cavities [49]. Few years ago, the CFD method
generally identies cavitation risk by evaluating zones of pressure
below vapor pressure in computed ow elds with a single-phase
model. Its major disadvantage is that the effect of a cavitation
bubble on the ow eld is neglected. Perhaps this approach is
adequate in most cases. But it cannot provide more information
such as the effect of cavitation on the efciency or a more accurate
prediction of the extent of a cavitation bubble. The CFD method in
two-phase simulation has to be carried out. The most powerful
model is the RayleighPlesset two-phase ow model. This
approach is being used for modeling the formation and decay of
vapor bubbles. So it can enable a more accurate prediction of the
cavitation zone and the associated drop in efciency. Wu et al. [50]
simulated the unsteady cavitation turbulent ow in a Francis
turbine using the RANS method and the improved mixture model
of two-phase ows. Necker and Aschenbrenner [51] calculated a
two-phase ow including cavitation model in a horizontal shaft
bulb turbine, and Szantyr et al. [52] analyzed the tip vortex
cavitation with experimental and numerical methods. All of their
work got good results in validation of the CFD approach compared
with the experimental data. The predicted size and position of the
vapor zone is found to be in very good agreement with the
observation. There is still more work needed in the prediction of
the related rise and sharp drop in efciency with decreasing the
Thoma number [53]. Kumar and Saini [49] gave a very compre-
hensive and systemic review on cavitation in hydro turbines.
5.3. CFD in tip clearance
Flow simulation in tip clearance needs a ner grid scheme in
the boundary layer. Sell [20] simulated the tip clearance affect on
the ow eld in a turbine blade row. The static pressure distribu-
tion indicated that care had to be taken in the selection of
appropriate downstream boundary conditions for the computation
of the unusual ow features. Liao et al. [54] analyzed the internal
ow in a Kaplan turbine runner with the Triangle Acute Clearance.
Control of the leakage ow by modifying the blade tip shape has
been the main subject for much research [55]. Actually cavitation
easily occurs in the tip clearance, so two-phase cavitation model
should be taken into account in the CFD approach. Okita et al. [21]
numerically analyzed the inuence of the tip clearance ows on
the unsteady cavitation ows in the 3D inducer. Because of
cavitation feature and boundary layer effect, further research is
needed.
5.4. Prediction of erosion in hydraulic turbines
State of the art CFD methods are employed to further under-
stand the mechanics of hydro-abrasive erosion and, in particular,
to design erosion-resistant hydraulic proles [56]. At present, the
computerized methods successfully predict the region of max-
imum wear and can somewhat mitigate the erosion by rening
hydraulic design and exact type and position of protective coatings
needed [57].
5.5. CFD in off-design
Boundary layer separation can be negligible when a turbine is
operating near its design point, and the dominant ow character-
istics in the ow passages can be calculated by CFD. These
25
calculations can lead to new runner design having signicantly
higher efciencies than older designs. However, one of the most
challenges for CFD is that off-design ow characteristics cannot be
calculated with condence. Since boundary layer separation
occurs and leads to highly complex ow patterns that defy
accurate description.
The ow at the draft tube inlet is characterized by a strong
swirl in a certain range of off-design operation. This is a very
popular focus on CFD simulation in off-design. The strong pressure
pulsations and rotating vortex can even damage the draft tube and
make a sharply drop in efciency. Paik et al. [58] calculated
incompressible swirling ow in a typical hydroturbine draft tube
unsteady Reynolds-averaged NavierStokes (URANS) simulations
and detached-eddy simulations (DESs). Their method could cap-
ture the onset of complex, large-scale instabilities in the ow,
including the formation of a precessing spiral rope vortex, and
yield mean velocity proles in reasonable agreement with mea-
surements, and Stein et al. [59] found that the CFD simulation of
the draft tube requires great care with respect to turbulence
model. Because of the strongly curved ow paths and invalid of
the assumption of isotropy, the Reynolds stress models, Large Eddy
Simulation or similar approaches should be applied instead of
two-equation turbulent models. Draft tube vortex simulation with
a two-phase approach using the RayleighPlesset model, which
require huge computational grids for an accurate simulation, is a
serious challenge. Here too, more work is needed.
5.6. Discussion
Using CFD simulation provides not only better energy conver-
sion efciency by improved shape of turbine runners and guide/
stay vanes, but also leads to a decrease in cavitation damages at
high head plants and reduced abrasion effects when dealing with
heavy sediment-loaded propulsion water. So in hydraulic turbine
eld, CFD is becoming a powerful tool, but requires validation
versus smartly designed and executed experiments as well as
profound knowledge in uid mechanics. CFD is good, but not
excellent enough. There is a lot work needed, in particular the off-
design simulation.
6. Efciency improvement in turbines
Large turbines are close to the theoretical efciency limit when
operated at the best design point. But this is not always possible.
Further and continued research is needed to make more efcient
operation possible over a broader range of ows. At the same time,
most of the existing units will need to be modernized during the
next three decades, allowing for improved efciency and higher
power and energy output by retrotting new equipment. CFD is an
important tool, making it possible to design turbines with high
efciency over a broad range of discharges. Improving operation
and reducing the cost of maintenance of equipment by new
techniques (e.g. articial intelligence, neural networks, fuzzy logic
and genetic algorithms) is also an innovational approach [57].
Generally speaking, based on the actual problem, there are two
types of approaches to improve the hydraulic turbine's efciency,
better structural design or optimization and surface improvement.
6.1. Better design or optimization
Through experimental and numerical data accumulated, opti-
mizing the hydraulic performance of turbine components is more
and more easy and automatic. There is a great technique and
market potential for units modernization. Since the older ones
were not optimum design within the limitations of their
26 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
contemporary technology. Replacement of stator and/or rotor
proled machinery parts with new ones can increase the ef-
ciency. For example, just minor modications to the stay/guide
vane system could result in operation efciency which increases to
0.5% or more. These optimizations are easily studied in a CFD
model and/or physical model. The blade proles rening, even a
partial renewal, can increase much more efciency than other
components modication. More twisted blade in 3D space, such as
X-type blade for Francis turbines, in some cases can improve over
5 percent points than the very old units. Tip leakage cannot be
avoided. The technique that tends to reduce the tip leakage losses
has the objective to decrease the tip gap mass ow rate. A detailed
review of the various aspects of axial turbine tip clearance leakage
ow is given by the VKI Lecture Series 2004-02 [60]. Reducing the
negative effects of the tip leakage is generally referred to as tip
desensitization. The desensitization methods include active and
passive methods [55]. The latter is the major form in hydraulic
turbines. The passive control is simple, practical, and effective,
through modifying the blade/tip shape to control the leakage ow.
These blade tip geometries are squealer tips and winglets or tip
chamfering.
6.2. Improve the surface performance
Grinding, coating or painting the wet surfaces can rene the
roughness and improve the wear resistance in surface. And it is
also good to maintain and extend life of these structures.
Reducing the surface roughness of the penstock interior (i.e.
minimize frictional resistance) will help reduce the head loss
through the system, by using new coating materials. Some new
technology coating, such as silicone-based fouling release systems,
not only improve surface roughness but also can limit organic
buildup [61,62]. And another method is taking the innovative
containment principles and permeability control measures in pipe
design and construction to minimize water leakage through the
rock mass. CFD technology yields more accurate penstock hydrau-
lic designs for hydrodynamic loading limiting head loss and
reducing water hammer effects. Paish et al. [63], Maher and Smith
[64], Alexander and Giddens [65] provided in depth guidance on
optimizing the penstock design for hydro systems.
For Pelton turbines, in order to keep the performance, sufcient
the coating of needles and nozzles is relatively inexpensive and
helpful for preserving the quality and the compactness of the jet.
For Francis turbines, the conditions of component are quite more
complex than Pelton. Coating of stationary/rotating seal rings,
guide vanes including their wearing plates, and inlet and outlet
edges of the runner can keep turbine in good performance. In
some cases, eld tests found that efciency may improve 0.1% to
0.8% comparing pre-coated versus post-coated performance [66].
Applying the new materials is another useful way to improve
the surface performance. Use suitable proven materials such as
stainless steel and the invention of new materials for coatings to
manufacture the components of turbines to maximize the resis-
tance to erosion, abrasive wear and cavitation, and to extend
lifespan. If the sediments contain hard minerals like quartz, the
abrasive erosion of guide vanes, runners and other steel parts may
become very high and quickly reduce efciency or destroy
turbines completely within a very short time [56]. New solutions
are being developed by coating steel surfaces with a very hard
ceramic coating, protecting against erosive wear or delaying the
process.
6.3. Improvements to hydropower production
High-efciency or cost-effective operation requires attention to
both the individual turbine performance and the entire system
characteristic. Sometimes engineers pay more attention to the
instant demands of the turbine. As the supplementary introduc-
tion of the efciency improvements of turbines, ways to increase
the value of hydropower were discussed here briey.
Compared to fossil, nuclear, wind, and other renewable ener-
gies, hydropower resources have the exibility and cost advan-
tages. But that does not mean hydropower is immune to
restrictions on operation. Attempting to maximize prot to safe-
guard the future of the facility, hydropower facilities must satisfy a
number of environmental and operational constraints. Some of
these constraints on hydropower operations include: [67] (1) lim-
itations in maximum and minimum water output which can vary
by season, time of day, abnormal events such as ooding and
drought, and environmental and regulatory policies; (2) facility
restrictions such as the vibration of equipment as turbines ramp
up and ramp down, optimizing efciency to ensure maximum
return of investment, and minimum and maximum generator
production limits; and (3) electrical considerations such as over
voltage and under voltage conditions and market prices that
ensure that the hydro facility is still protable. For more details
on the specic water constraints experienced at hydro facilities,
please refer to the Oak Ridge National Laboratory report from 2012
[67].
From the Energy Department, the Electric Power Research
Institute's (EPRI) report [68], outlining key improvements can
provide more efcient and cost-effective electricity to homes and
business in the United States. Efforts during this study have
addressed operational, market, business, and policy considerations
in valuing hydropower. A compact and simple review of this report
and the original version can be found on the website of U.S.
department of energy. This report identies and assesses the
quantiable benets from potential improvements, such as instal-
ling turbines that can operate with lower water levels, utilizing
new power plant designs that can increase revenue and efciency.
This study looked at improvements that could boost the efciency
and output of hydropower plants. By deploying new hydropower
technologies, making operational improvements, utilizing hydro-
power's exibility more in grid resource planning, and monetizing
the energy storage capability of pumped storage, hydropower
plants could reach their largest revenue and efciency increases.
Here are some key ndings from the report [68]: (1) relying more
heavily on hydropower to address changes in electricity supply
and demand could provide more exible reserve power options
and reduce wear and tear on conventional thermal-generating
equipment; this could translate to a 40% increase in the total
annual value of hydropower. (2) Expanding the effective operating
range of hydropower unitsby reducing the minimum amount of
water needed to use the turbines stablycan increase the produc-
tion value of plants by 60%. (3) Designing and implementing
cutting-edge plant designs that allow pumped storage to provide
grid services while pumping water would result in an 85% increase
in production value. (4) Treating pumped storage units as a unique
asset class would allow the creation of alternative business
models that could make investment in pumped storage more
attractive by integrating with variable renewables.
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
 X. Liu et al. / Renewable and Sustainable Energy Reviews 51 (2015) 1828
shape of the efciency curve as a function of the commissioning
date for the unit, rated head, rated ow and other main design
parameters. The informed selection and use of turbines can benet
from the application of these equations.
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.
Furthermore, it is worthy to reduce the clearance of the sealing
gaps to the smallest possible value in order to decrease the
volumetric losses.
Testing and CFD are the most two important tools in different
design stages. Work should be concentrated methods of measure-
ment, testing procedures, and methods of calculation. Another
problem is to develop high accuracy correction and extrapolation
principles to specied operating conditions in order to minimize
deviation corrections. Modern CFD ow analysis, FEA for engineer-
ing in manufacturing have signicantly improved turbine ef-
ciency and production accuracy. The next step is to improve
turbine performance at off-design heads/discharges and to
improve range of operating heads/discharges. With the help of
the test validation, fast, well-calibrated CFD methods for design
will be automatized to a higher degree, and improve the off-design
operation simulation accuracy.
Now the peak efciency of turbines based on hydraulic design
is almost reaching the theoretical limit. Optimization of the
hydropower systems considering various factors will make more
promising than purely optimization of structures. In future, opti-
mization of operation, mitigating or reducing environmental
impacts, adapting to new social and environmental requirements
and more robust and cost-effective technological solutions are
more and more important. Such as variable-speed turbines, matrix
technology, sh-friendly turbines (e.g. Alden Turbine), hydroki-
netic turbines, or hybrid windhydropower turbine systems, etc.
with the application of new technologies, the new styles of
turbines are more efcient and environmentally friendly, and
can compete with traditional designs.
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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