2006 International Joint Conference on Neural Networks
Sheraton Vancouver Wall Centre Hotel, Vancouver, BC, Canada
July 16-21, 2006
Speed Optimisation Module of a Hydraulic Francis turbine based
on Artificial Neural Networks. Application to the Dynamic Analysis
and Control of an Adjustable Speed Hydro Plant
J. Fraile-Ardanuy, Member, IEEE, J. I. Pérez, I. Sarasúa, J. R. Wilhelmi, Member, IEEE and J. Fraile-
Mora, Senior Member, IEEE.
Abstract—The advantages of adjustable speed hydroelectric
generation have been highlighted by several authors. The
optimum speed for actual working conditions must be
continuously adjusted by means of an appropriate control
system. This process gives rise to dynamic changes in operation
variables. In this paper an Artificial Neural Network is used to
generate the reference speed that optimises the turbine
efficiency. The main results of measurements on a test loop
with an axial-flow turbine are reported.
I. INTRODUCTION
I N electric power small-signal stability studies is usual to
model the hydraulic turbine through a linearized model
around an operating point [1-3].
Large hydro power plants operate at fixed speed in order
to keep the output voltage frequency constant. So, in this
case, hydro turbines are optimized for an operating point
defined by speed, head and discharge.
Nowadays, there is a great need to use renewable
energies, due mainly to the increase of oil prices, the
growing dependence on imported energy sources and the
need to reduce CO2 emissions.
Small Hydro Power (SHP), understood as the energy
generated in any hydro power plant rated at 10 MW or less,
has a huge and yet untapped potential [4]. The application of
variable speed generation schemes to these hydroelectric
power plants offers a series of advantages, based essentially
on the greater flexibility of the turbine operation in situations
where the flow or the head deviate substantially from their
nominal values [5-7]. In these situations, turbine speed must
be adjusted continuously to its optimum value, following
changes in hydraulic operational conditions.
Our research group has been extensively working in this
area throughout last years [5-9]. At the first steps, while the
This work was supported in part by the Spanish Education and Science
under Grant ENE2005-08820/ALT National R+D Energy Program.
J. Fraile-Ardanuy is with the Polytechnic University of Madrid, Spain.
(phone: 34-91-3365354; fax: 34-91-3366764; e-mail: jefar@ ieee.org)
I. Sarasúa is with the Polytechnic University of Madrid, Spain.
(phone: 34-91-3366762 e-mail: jisarasua@hotmail.com)
J. I. Pérez is with the Polytechnic University of Madrid, Madrid, Spain.
(phone: 34-91-3366705; e-mail: jotai_perez@hotmail.com)
J. R. Wilhelmi is with the Polytechnic University of Madrid, Spain.
(phone: 34-91-3366714; e-mail: jrw@ caminos.upm.es)
J. Fraile-Mora is with the Polytechnic University of Madrid, Spain.
(phone: +34-91-3366706; e-mail: frailemora@ caminos.upm.es)
0-7803-9490-9/06/$20.00/©2006 IEEE
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dynamic response of the adjustable speed hydro plant was
characterized, it was detected the need of using intelligent
methods such as artificial neural networks to generate the
optimum speed that maximizes the turbine efficiency,
depending on the hydraulic operating point.
The aim of this paper is to present an artificial neural
network used to implement an optimum speed module used
in adjustable speed hydro plants. In the first section
conventional linear models, along with a proposed non-
linear approach, are presented. In the second section, the
optimum speed module (OSM) is described and its
drawbacks are highlighted. In the third section, an artificial
neural network (ANN) is used to approximate this nonlinear
module. Finally, an experimental application of this ANN is
presented. The turbine type used in the laboratory is an
axial-flow model. For this reason, the OSM-ANN was
slightly modified.
II. TURBINE MODELS
A. Linear Model
The hydraulic turbine representation most commonly used
for system stability studies consists of a transfer function,
obtained by linearizing the turbine characteristic curves
around an operating point defined by hydraulic head, water
flow and speed. Because of the simplicity of its structure,
this model provides insight into the basic characteristics of
the hydraulic systems [1-3]. The main advantage of this
model is that classical linear analysis techniques could be
applied to control system tuning.
The conventional transfer function that relates the turbine
power output changes in response to a change in gate
opening for an ideal lossless Pelton turbine is given by:
∆Pmech 1 − Tw s
= (1)
∆α 1
1 + Tw s
2
The water starting time, Tw, represents the time required
for a water head H0 to accelerate in the penstock from
standstill to velocity U0.
In order to take advantage of variable speed technology in
small hydro plants, it is necessary to use a more detailed
model. The resulting transfer function is similar to (1), but
4104
the coefficients depend on each operating point. reduction, for a constant net head H. This can be avoided by
adjusting the turbine speed so that the operating point moves
B. Non-linear approach
from (A) to (C). This one is the key characteristic of variable
An empirical and non-linear model of a Francis turbine speed operation.
has been derived by applying both the kinetic momentum
theorem (2) and the principle of energy conservation (3).
Two equations – first of which is the so-called Euler
1.1
50.0º
47.5º
equation – are obtained as a result of its application to the 1
40.0º
42.5º
45.0º

fluid inside the turbine [10]. These equations state as 0.9 84

85
.0
37.5º
35.0º
86 32.5º
follows: 0.8
87 .0 8 8 30.0º
27.5º 8 9 .0
25.0º
22.5º
0.7
g ⋅ H u = U 1 ⋅ Vu1 − U 2 ⋅ Vu 2 , (2) 20.0º
(A)

Q I (m 3 /s )
17.5º
0.6
15.0º
90
12.5º 89 .0
H = H u + ∆H 1 + ∆H 2 , (3)
0.5
88
10.0º 87 .0 6 .0
8 8 5 84
where:
0.4
7.5º

∆H 1 = C1 ⋅ Q 2 , (4)
0.3
5.0º
(C) (B)
0.2
2.5º

∆H 2 = C 2 (Q − Qn1 )2 ,
0.1
(5) 30 35 40 45 50 55 60
nI (r.p.m.)
65 70 75 80 85

Fig. 2. Francis Turbine hill curves.

S1 ⋅ U 1
and Qn1 = . (6)
cot gα 0 + cot gβ1
This model, shown in Fig. 1, has been implemented as a III. OPTIMIZATION MODULE AND ITS PRACTICAL
MATLAB function script file. Its inputs are flow Q (m3/s), LIMITATIONS
rotational speed, n (r.p.m.) and gate angle, α (grades). Its The conventional Optimum Speed Module (OSM) has
outputs are the mechanical turbine torque (N.m) and net been implemented using MATLAB® script file, in order to
head, H (m). relate the optimum speed with hydraulic conditions system.
The OSM behavior can be summarized as follows (Fig.
1 3):
Q 1 • There is a different efficiency turbine hill surface for
MATLAB
2
Function
emu Mechanical Torque every gate angle position.
n 2

3
Francis
H • Fixing flow and gate angle, a curve is obtained, giving
Turbine
alpha the efficiency as a function of runner speed

Fig. 1. Static Francis Turbine Model.

Static characteristic relationships of hydraulic turbines can

be globally studied through the so-called hill charts.
Valuable information can be extracted from them, such as
turbine efficiency for any operating point given by runner
speed, net head and gate position or discharge. These curves
have been obtained by applying the above-mentioned
equations, for a constant net head H. They are shown in Fig.
2, referred to unit speed and unit flow:

nD1 Q
nI = QI = (7)
H D12 H
Fig. 3. Evaluating optimum speed for α=constant and Q=constant.
At fixed speed operation, an input flow variation involves
an important decrease in efficiency. The turbine operating
point follows a trajectory over the plane unit speed-unit flow • Finally, the value of the speed that allows a maximum
similar to that superimposed over the turbine hill charts in efficiency is evaluated.
Fig 2. As it can be seen there, the efficiency decreases
substantially with respect to its initial value. The operating
point moves from (A) to (B) in response to an input flow
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 For a complete model simulation, conventional OSM has The proposed conventional OSM Module operates
been integrated in a SIMULINK® block as shown in Fig. 4. correctly during the simulation, but is inefficient due to the
Their inputs are gate angle and turbine flow and its output is inclusion of several FOR-END loops. These loops are
the optimum rotational speed. continuously evaluated for each step of the SIMULINK®
solver, so the simulation becomes slower. Table I presents
1
the execution times for a 50 seconds of simulation interval
Q, of the complete model. If the OSM module is implemented
turbine
flow
MATLAB
Function
1 in MATLAB®, it last 474 seconds. If an ANN is used, the
2 OSM Module
Optimum speed execution time is reduced about 20 times, lasting 21 seconds.
alpha,
gate angle

1 350
wm
pu->rpm

Fig. 4. Optimum Speed Module (OSM) MATLAB-SIMULINK®

2 -1/0.5 Tmec
Turbine
Torque T orque->pu
Mechanical wm
wm

block. PID Speed Equations

Te T elec
vs Real
wr vt
Telec Speed (pu)
1 1/350 we PID
int is
Optimum ASYNCHRONOUS
Reference rpm->pu1 Iwk
T erminator2 MACHINE
Speed Mechanical Equations
f_Es
Terminator

A complete model of a run-of-river hydro plant is

wm is_abc
f_Rt is_dq

Terminator1 Current
v s_abc

presented in Fig. 5, based on [8].

v s_dq
Voltages
P

Active
lwk
Q POWER

Measurements Reactive
POWER
pu >rpm

Fig. 7a. Electromechanical subsystem.

350
0 Mechanical Equations ti me
Cl ock
Mechani cal Torque->p.u.
Torque
Tmec -1/0.5 Tmec
wm
1
0 Mechani cal wm 0 wm
ANN OptSpeed wm
Equati ons
ANN Opt Speed vs Speed 2 QExterior
Qext vt
OptSpeed SMOOTH Te Telec Input Flow wm
Hc Hc Turbine Torque 1
QExterior
Hydraul ic System Q Q Q
Mechanical
ASYNCHRONOUS
we PID wr Iw k Turbine
MACHINE H
H Torque
Fore Bay alpha
Input Flow PID Speed Penstock
is is_abc current
is_dq Turbine
Qinput wm
v s_abc vol tage PID Head
v s_dq Q
0 350 alpha
350 P Acti vepower He PID
SmoothSPEED OptVel 2
int
Real SPEED Alpha Optimum
vs lwk
Q Reactivepower Terminator1 Reference
Reference SPEED Speed
Measurements ANN_Optimum_Speed
Href

Reference
Fig. 5. Optimum Speed Module (OSM) MATLAB-SIMULINK® Head

Fig. 7b. Hydraulic subsystem.

This system models a small hydro plant (Fig. 6) equipped
with a variable speed induction generator connected to the
fixed-frequency grid though a regenerative converter. TABLE I
SIMULATION TIMES COMPARATION

Simulation Time Conventional OSM OSM - ANN

A S Y N C H R O N O U S
R E G E N E R A T IV E 50 s. 474 s. 21 s.
F O R E B A Y C O N V E R T E R E L E C T R IC
M A C H IN E
E L E V A T IO N G R ID
S E N S O R
O W
F L
R
T E
W A

F O R E B A Y On the other hand, due to the fact that the optimization

algorithm discretizes the input variables, the optimum
3 p h a s e v a r ia b le
v o lta g e -fr e q u e n c y

P E N S T O C K
generated speed changes abruptly. This optimum speed is
S H A F T
used as a reference speed for the turbine-induction generator,
controlled by a conventional PID that modifies the supply
R
F L
O W
W A
T E
R
F L
O W
frequency of the regenerative converter, needed to adapt the
T E
W A
W IC K E T turbine speed to its optimum value.
G A T E S

F R A N C IS
C O N T R O L These small steps introduced in the optimum speed
T U R B IN E
generated by the conventional OSM, affect to the rest of the
Fig. 6. Variable speed hydro plant.block. dynamic system variables. This effect can be observed in the
rotor speed of the induction generator and the active power
This model comprises the behaviour of both the electrical generated, as shown in Fig. 8.
system (Fig. 7a), including electromagnetic and An Artificial Neural Network (ANN) was suggested to
electromechanical inertial dynamics, and the hydraulic solve these disadvantages. This ANN will learn the
system (Fig. 7b), including fore bay, penstock and turbine relationship between inputs and output of the conventional
dynamics. OSM module, smoothing the generated optimum speed.

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Fig. 8. Turbine speed and active power generated by the hydro plant
obtained when OSM MATLAB module is used.
IV. OSM - ARTIFICIAL NEURAL NETWORK
An ANN has been designed to avoid these discrete steps
generated by the conventional OSM module and to
accelerate the execution time of the simulation.
In this application a multilayer perceptron is used [6]. It
has 2 neurons in the input layer (processing Flow and
Turbine Gate Position information), 5 neurons in the hidden
layer and 1 neuron in the output layer determining the
estimated optimum speed.
This two-layer network has a tansig transfer function in
the first-hidden layer and a linear transfer function in the
second-output layer.
The training set is generated by the conventional OSM,
varying turbine flow and gate angle and recording these
inputs and the optimum generated speed output.
The conventional Levenberg-Marquardt algorithm has
been used to train this ANN [11-13]. This algorithm was
designed to approach second-order training speed without
having to compute the Hessian Matrix. The key step in this
algorithm is the computation of the Jacobian matrix, based
on a variation of the backpropagation algorithm.
Typically, the performance function used to adjust the
network parameters (weights and biases), has the form of a
sum of square error. In this case, the Hessian matrix can be
approximated as:
H = JT J ,
and the gradient can be evaluated as:
grad = J T e ,
where J is the Jacobian matrix containing first derivatives of
the network errors with respects to the network parameters,
and e is a vector of network errors.
The Levenberg-Marquardt algorithm uses this
approximation to the Hessian matrix in the following
Newton-like update:
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[
x k +1 = x k − J T J + µI ]−1
JT e , (10)
where xk is a vector of network parameters.
When µ is zero, (10) represents the Newton’s method for
approximate the Hessian matrix. If µ is large, this algorithm
becomes a gradient descent with a small step size. This
parameter µ is decreased after each successful step, defined
as a reduction in the performance function, and is increased
only when a tentative step would increase this function. In
this way, the aim of the Levenberg-Marquardt algorithm is
to shift towards Newton’s method as quickly as possible.
This algorithm converges in less iteration than other
methods and it has a very efficient MATLAB
implementation, but its main drawback is the storage
requirements, due to the need of storing the approximate
Hessian matrix. This is a n × n matrix (where n is the
number of network parameters, weight and biases).
For a standard backpropagation algorithm it is only
needed to store the gradient vector, which is an n-
dimensional vector. For moderate numbers of network
parameters, the Levenberg-Marquardt algorithm is one of
the fastest neural network training algorithms [12].
V. SIMULATION RESULTS
Simulations have been done in order to evaluate the
dynamic response of the variable speed hydro plant to
changes in fore bay elevation. Particularly, the smoother
effect of the OSM implemented by an ANN is studied.
In this simulation, smooth change is applied to the fore
bay elevation, using a sigmoid function:
1
sigmoid (x, a, b ) = , (11)
1 + e ((− x + a ).b )
where a and b are adjustable parameters used to change the
initial position and the slope.
Initially, fore bay elevation is equal to 65 m and gate
position is fixed to 15º. At 5 seconds, fore bay elevation is
increased until it reaches a final value of 85 m at time equal
to 20 seconds, keeping fixed the gate position. In Fig. 8 it is
shown:
(8)
• Optimum speed generated by the OSM implemented
by FOR-END loops (conventional OSM), for this
defined change in the hydraulic operating points.
• Real turbine – rotor speed.
(9) • Active power injected to the electric grid.
It is observed that changes in the optimum speed are done
by steps. These steps affect to the rest of the dynamic
behaviour. In particular, the behaviour of the real speed of
turbine-induction machine group is damped oscillatory.
In Fig. 9 the same simulation is done, using an ANN
instead of the conventional OSM.
4107

Fig. 9. Reference Optimum Speed and Active Power obtained using
ANN compared to Reference Optimum Speed and Active Power
using OSM.
It is shown that the optimum reference speed generated by
the ANN is smoother than the signal generated by the
conventional OSM. In this case, the real speed of turbine-
induction machine group follows almost exactly the
reference speed, without showing an oscillatory behaviour.
The active power inserted to the grid is smoothed
compared to that obtained using conventional OSM.
VI. EXPERIMENTAL RESULTS
A. Description of the test facility
Fig. 10. Laboratory test facility.
In the Hydraulics Laboratory of the E.T.S. de Ingenieros
de Caminos (Polytechnic University of Madrid) some tests
on a tubular microturbine have been done [5]. The position
of the runner blades must be maintained during operation.
The turbine shaft is coupled to an asynchronous machine
through a torque transducer, and both machines turn at the
same speed. The electrical machine is connected to the A.C.
grid through a regenerative frequency converter.
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In Fig. 10 a diagram of the test loop is shown. Due to
limitations in the test loop, the net head is modified through
a change in the pump speed. This pump is operated by a
variable speed drive. Thus, the net head applied to the
turbine varies accordingly. The turbine and the
asynchronous machine turn at the same speed, its value
being very close to the synchronous speed. Thus it may be
changed by the regenerative converter by adjusting the
frequency in the stator side. In that way, a variable-head,
variable-speed turbine results. Once the pump and turbine
speeds are kept fixed, the discharge through the turbine is
determined by the hydraulic characteristics of this machine
Fig. 11. Turbine, speed-torque sensor and induction electric generator.
and the test loop.
In Fig. 11 the turbine, the speed-torque sensor and the
asynchronous electric machine are shown in detail.
B. Control of the turbine speed
The axial-flow turbine installed has no wicket gates, so
the turbine speed is the unique control variable. Hydraulic
operational conditions are defined by the pump speed, which
determines the gross head for the turbine and the turbine
flow.
It is not possible to take real time measurements of the
turbine flow, so in order to implement in the lab the OSM-
ANN proposed in section III, two different ANNs are
implemented in MATLAB-SIMULINK®. The first ANN is
used to estimate the hydraulic state of the system, given by
the pump speed. This variable is obtained from the measured
values of the turbine speed and the generated active power.
The second ANN generates the optimum reference speed
depending on the hydraulic operating points. Such value
determines the desired frequency in the machine side of the
regenerative converter. Differences between this ANN and
the proposed OSM-ANN (section III) are:
• The experimental ANN has only one input, because the
gate angle is kept fixed.
• Its input is the hydraulic condition defined by the
estimated pump speed instead of the turbine flow used in
the simulated OSM-ANN.
In the lower part of the Fig. 10 a diagram with the signal
and power connections is included. The first step of the
control process is performed by the ANN labelled “PUMP
STATE”; while the second step is carried out by the ANN
denominated “OPTIMAL SPEED”.
 Both Neural Networks are of the type multilayer-
perceptron. The first one has 2 neurons in the input layer, 8
neurons in the hidden layer and 1 output neuron determining
the estimated pump speed. The second ANN has a similar
structure with 1 neuron in the input layer, 5 neurons in the
hidden layer and 1 neuron in the output layer, giving the
optimal value of the turbine speed.
Fig. 12 shows the response of the first Neural Network
and its good agreement with experimental data.
Fig. 12. Response of the Neural Network “PUMP SPEED” x:
measured points; ¡ : ANN response (the turbine speed is fixed at
1200 r.p.m.)
The output of this ANN is considered as an estimation of
the system state, which is used by the second Neural
Network to determine the turbine speed giving the highest
efficiency. Fig. 13 presents the results for the tested system.
Fig. 13. Optimal turbine speed as a function of system state: + ANN
response;--: interpolated response.
It is clearly shown that for high values of the gross head
(represented here by the pump speed) the turbine speed
should be adjusted in the range of 1300 rpm; while for low
heads the optimum efficiency of the turbine is reached when
its speed approximates the value of 900 rpm. Obviously,
there exists a smooth transition between both regions.
The dependence of efficiency vs. turbine speed for each
pump speed is shown in Fig. 14. The line detached on the
surface links the optimum efficiency points.
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The used frequency converter must be able to operate
within the frequency limits imposed by the optimal turbine
speed variations. In this case, assuming that the synchronous
speed were 1000 rpm, the required range of frequency
variation would be (+ 30% , - 10%).
Fig. 14. Efficiency vs. turbine and pump speeds
VII. CONCLUSIONS
During the development of a dynamic model of a
variable-speed hydro plant, an original and novel optimum
speed module (OSM) has been developed. This module
generates an optimum speed value from the gate position
and the turbine flow.
The used algorithm generates a stepped reference
optimum speed that introduces some oscillatory behaviour
on the rotor speed, active power and torque. In order to
smooth the response, an interpolating artificial neural
network has been designed.
In order to prove the feasibility of the complete system, a
modified of the proposed OSM-ANN has been implemented,
using MATLAB-SIMULINK® and a data acquisition board,
in a small laboratory facility, where ccommercial frequency
converters have been used. This OSM-ANN has been
developed to adjust automatically turbine speed to the
existing operating conditions. The experimental results
confirm the improvements obtained in the turbine efficiency
when the turbine speed is continuously adjusted depending
on the hydraulic conditions.
APPENDIX
The notation used throughout this paper is stated as
follows:
Turbine model parameters
∆Pmech
Turbine mechanical power variation [p.u.]
∆α Gate angle variation [p.u.]
 Tw granted a student to collaborate in this research.
Water starting time [s]
Hu REFERENCES
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β1 Runner blades angle at the water inlet area [rad] Congresso Luso-Espanhol de Engenharia Electrotécnica. Vol. 3, pp.
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∆H 1
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ANN parameters
J Jacobian matrix containing first derivatives of
network errors with respect to network
parameters [adimensional]
e Network errors vector [adimensional]
xk
Network parameters vector [adimensional]
µ Adjustable parameter to be updated after each
successful iteration step [adimensional]

Simulation parameters
a, b Adjustable parameters used to fix both the
initial position and the slope of the smooth
change applied to the fore bay elevation.

ACKNOWLEDGMENT
The Polytechnic University of Madrid has supported this
work within its Interdisciplinary Research Programme
number AM0104. Fundación Agustín de Betancourt has

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