Electrical Systems of Pumped Storage

Hydropower Plants
Electrical Generation, Machines,
Power Electronics, and Power Systems
Eduard Muljadi,1 Robert M. Nelms,1 Erol Chartan,2
Robi Robichaud,2 Lindsay George,3 and
Henry Obermeyer4
1 Auburn University
2 National Renewable Energy Laboratory
3 Small Hydro LLC
4 Obermeyer Hydro Inc.

NREL is a national laboratory of the U.S. Department of Energy Technical Report

Office of Energy Efficiency & Renewable Energy NREL/TP-5000-74721
Operated by the Alliance for Sustainable Energy, LLC June 2021
This report is available at no cost from the National Renewable Energy
Laboratory (NREL) at www.nrel.gov/publications.

Contract No. DE-AC36-08GO28308

 Electrical Systems of Pumped Storage
Hydropower Plants
Electrical Generation, Machines,
Power Electronics, and Power Systems
Eduard Muljadi,1 Robert M. Nelms,1 Erol Chartan,2
Robi Robichaud,2 Lindsay George,3 and
Henry Obermeyer4
1 Auburn University
2 National Renewable Energy Laboratory
3 Small Hydro LLC
4 Obermeyer Hydro Inc.

Suggested Citation
Muljadi, Eduard, Robert M. Nelms, Erol Chartan, Robi Robichaud, Lindsay George, and
Henry Obermeyer. 2021. Electrical Systems of Pumped Storage Hydropower Plants:
Electrical Generation, Machines, Power Electronics, and Power Systems. Golden, CO:
National Renewable Energy Laboratory. NREL/TP-5000-74721.
https://www.nrel.gov/docs/fy21osti/74721.pdf.

NREL is a national laboratory of the U.S. Department of Energy Technical Report

Office of Energy Efficiency & Renewable Energy NREL/TP-5000-74721
Operated by the Alliance for Sustainable Energy, LLC June 2021
This report is available at no cost from the National Renewable Energy National Renewable Energy Laboratory
Laboratory (NREL) at www.nrel.gov/publications. 15013 Denver West Parkway
Golden, CO 80401
Contract No. DE-AC36-08GO28308 303-275-3000 • www.nrel.gov
 NOTICE

This work was authored in part by the National Renewable Energy Laboratory, operated by Alliance for Sustainable
Energy, LLC, for the U.S. Department of Energy (DOE) under Contract No. DE-AC36-08GO28308. Funding
provided by the U.S. Department of Energy Office of Energy Efficiency and Renewable Energy Water Power
Technologies Office. The views expressed herein do not necessarily represent the views of the DOE or the U.S.
Government.

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Energy Laboratory (NREL) at www.nrel.gov/publications.

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List of Acronyms
AS-PSH adjustable-speed pumped storage hydropower
DFIG doubly-fed induction generator
FC-PMSG full converter-permanent magnet synchronous generator
IEEE Institute of Electrical and Electronics Engineers
NERC North American Electric Reliability Corporation
PMSG permanent magnet synchronous generator
PSH pumped storage hydropower
RMS root mean square
SCC short-circuit current
SCE Southern California Edison

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Executive Summary
While the concept of pumped storage hydropower (PSH) is not new, adjustable-speed pumped
storage hydropower (AS-PSH) is equipped with power electronics; thus, it has more capabilities
and is more agile and flexible to integrate with modern power systems. The composition of
power systems from a century ago consist mostly of conventional synchronous generators
delivering power to customers via a unidirectional power flow. As the ratio of conventional
power plants with synchronous generators to variable generation decreases with increasing
penetrations of renewables, future power systems will be more dynamic. With fewer
synchronous generators, the level of the rotating inertia within the power system decreases, and
balancing variable generation and load in a condition with low rotating inertia is not easy.
Fortunately, AS-PSH can provide a quick and flexible response with the power converter control
while balancing the supply and demand, thus securing power system stability. In a way, AS-PSH
is a combination of energy storage (storing potential energy) and a conventional power plant.

This report covers the electrical systems of PSH plants, including the generator, the power
converter, and the grid integration aspects. Future PSH will most likely be influenced by the
technology (advancement of the electric machines, power converters, smart sensors, control
systems, grid/microgrid configurations), the requirement and the need to maintain the reliability
of power systems (grid code; local, regional, and environmental rules and regulations), the
potential revenues from offering system reliability products (various ancillary services: ramping,
reserves, inertial and frequency response; voltage and reactive power regulations), and energy
arbitrage.

Chapter 1 describes the general energy conversion of the hydropower plant and the AS-PSH
plant. Chapter 2 discusses the different types of AS-PSH at the generator level. Chapter 3
describes the AS-PSH from the power plant perspective.

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Table of Contents
Introduction ................................................................................................................................................. 1
1 Hydropower Energy Conversion......................................................................................................... 2
1.1.1 Reduced Noise, Vibration, and Cavitation Problems ....................................................... 3
1.1.2 New Flexibility in Site Selection and Sizing of Hydropower Units ................................ 4
1.1.3 Improved Implementation of Load Changes .................................................................... 4
1.1.4 Relaxation of Parameter Requirements ............................................................................ 5
1.1.5 Inherent Starting Capability in the Pumping Mode.......................................................... 5
2 Types of Hydropower Generators....................................................................................................... 6
2.1 Fixed-Speed Hydropower Generator: Directly Connected to the Grid ......................................... 8
2.1.1 Conventional Hydropower Based on Synchronous Generator......................................... 8
2.1.2 Conventional Hydropower Based on Induction Generator ............................................ 12
2.2 Adjustable-Speed Hydropower Generator: Inverter-Based Hydropower Generation ................. 15
2.2.1 Adjustable-Speed Hydropower Based on Doubly-Fed Induction Generator ................. 15
2.2.2 Adjustable-Speed Hydropower Based on Full Conversion Generator ........................... 23
3 Hydropower Plant ............................................................................................................................... 26
3.1 Reliability Concepts .................................................................................................................... 26
3.2 System Integration....................................................................................................................... 26
3.3 Hydropower Plant ....................................................................................................................... 28
3.4 Summary of Short-Circuit Current Contribution for Different Types of Hydropower Generator
..................................................................................................................................................... 29
3.5 Generator Interconnection ........................................................................................................... 30
4 Conclusion .......................................................................................................................................... 31
References ................................................................................................................................................. 32

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List of Figures
Figure 1. Performance characteristics for a hydraulic turbine model, 1-ft head ........................................... 2
Figure 2. Per-phase equivalent circuit of a symmetrical fault ...................................................................... 6
Figure 3. Short-circuit for an AC source connected to an R-L circuit: (a) AC component, (b) DC
component, and (c) combined response ................................................................................... 7
Figure 4. Hydro turbine with synchronous generator directly connected to the grid.................................... 9
Figure 5. Operating point (along the dashed red line) to illustrate the constant-speed operation ............... 10
Figure 6. Illustration of a three-phase symmetrical fault with DC offset removed..................................... 11
Figure 7. Hydro turbine with an induction generator directly connected to the grid .................................. 13
Figure 8. Equivalent circuit of a squirrel-cage induction generator............................................................ 14
Figure 9. SCC from a Type I induction generator ...................................................................................... 15
Figure 10. AS-PSH plant with a DFIG ....................................................................................................... 16
Figure 11. Stator power as a function of total power .................................................................................. 17
Figure 12. Rotor power as a function of total power .................................................................................. 17
Figure 13. Simplified diagram of a machine-side converter ....................................................................... 18
Figure 14. Simplified diagram of a line-side converter .............................................................................. 18
Figure 15. Illustration of the optimum efficiency operation of a hydro turbine ......................................... 19
Figure 16. Optimum operation of AS-PSH at different power levels as a function of the head (a) rotor
speed and (b) gate position..................................................................................................... 20
Figure 17. Optimum operation of AS-PSH at different power levels as a function of the head (a) rotor
speed and (b) gate position..................................................................................................... 20
Figure 18. Equivalent circuit of a DFIG ..................................................................................................... 21
Figure 19. Effect of the crowbar on maximum DFIG current for a fault on the terminal of the generator 22
Figure 20. Stator current of a DFIG during the fault on the transmission line ........................................... 22
Figure 21. Rotor current of a DFIG during the fault on the transmission lines .......................................... 23
Figure 22. Full conversion hydropower generator with a direct-drive PMSG............................................ 23
Figure 23. Grid interconnection at different voltage levels determined by the power rating of the plant .. 27
Figure 24. Typical one-line diagram of a hydropower generator ............................................................... 28

List of Tables
Table 1. Components of Synchronous Machine Reactances ...................................................................... 12
Table 2. AS-PSH Comparison of Electromechanical Interactions ............................................................. 24
Table 3. AS-PSH Comparison of Grid Integration ..................................................................................... 25
Table 4. Comparison of SCC Contribution for Different Types of Hydropower Plants ............................ 29

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Introduction
Adjustable-speed pumped storage hydropower (AS-PSH) technology has the potential to become
a large, consistent contributor to grid stability, enabling increasingly higher penetrations of wind
and solar energy on the future U.S. electric power system. AS-PSH has high-value
characteristics, such as a fast response to provide ancillary services to the grid, because it is a
power converter interface with the grid (like battery storage), but at the same time it has the
energy content large enough to supply both short-term (seconds to minutes) and long-term
(minutes to hours) energy needs, like more conventional power plants. Designs must be
optimized, however, to reduce capital expenditures and to provide a high-quality grid-interface
capability (e.g., power quality, ancillary service provider, fault-tolerant or fault ride-through
capability), which is a primary factor in the acceptance of AS-PSH into a utility’s generation
mix.

The capital expenditure will be greatly affected by the cost savings associated with the civil
structure, turbine design, power electronics, control systems, or unique generator designs. A
holistic design must be considered to get a full picture of the benefits of the technology
proposed. AS-PSH can be controlled to reduce the impact of transient disturbances on a power
system and to minimize subsequent component fatigue and potential oscillation modes within a
plant, with the overall impact on reducing operational expenditures.

Generating clean power to meet standards such as the Institute of Electrical and Electronics
Engineers (IEEE) 519 and International Electrotechnical Commission 1000-3-2 will be a
continuing challenge. For many technology developers, however, improved AS-PSH
technologies will become a key component of generator storage systems in the future given the
prospects of increased performance and decreasing costs as well as the ever-increasing
penetration levels of renewable generation (e.g., wind power and solar power).

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1 Hydropower Energy Conversion
Conversion from the available energy in water into useful electrical energy delivered to the
electric grid can be explained by understanding the characteristics of a hydropower plant. The
detail of the overview section is derived from Kerkman et al. (1980). The power available in a
stream of water is:

𝑃𝑃 = 𝜂𝜂 • 𝜌𝜌 • 𝑔𝑔 • ℎ • 𝑞𝑞′ (1)
where:

• 𝑃𝑃 = power (J/s or W)
• 𝜂𝜂 = turbine efficiency
• 𝜌𝜌 = density of water (kg/m³)
• 𝑔𝑔 = acceleration of gravity (9.81 m/s²)
• ℎ = head (m). For still water, this is the difference in height between the inlet and outlet
surfaces. Moving water has additional components, subtracted to account for dynamic
friction losses, and added to account for the kinetic energy of the flow. The total head
equals the dynamic pressure head plus velocity head.
• 𝑞𝑞′ = flow rate (m³/s).
The parameters of the variable-speed operation are illustrated in Figure 1.
HP 1

ϕ 1

Figure 1. Performance characteristics for a hydraulic turbine model, 1-ft head

This figure shows the performance characteristic curves of a typical Francis turbine having 24
stationary gates and 18 rotating vanes.
𝑛𝑛𝑛𝑛
𝜑𝜑ℎ =
1840√ℎ
(2)

3
𝐻𝐻𝐻𝐻ℎ = 𝑃𝑃𝑢𝑢 𝐷𝐷2 ℎ2 (3)

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where h, the head, is equal to 1 ft; and D, the diameter of the turbine vanes, is equal to 12 in. Per
unit (p.u.) is the unit power parameter, which is constant for similar turbines. The closed solid
lines denote points of constant efficiency, whereas the dashed lines represent the locus for a fixed
gate opening. The parameter is the cavitation susceptibility or “critical sigma,” and NS is the
specific speed. The point of maximum efficiency can readily be located in the curve as 91% at a
gate opening of 67% (magenta star on graph). Note that both 𝜑𝜑ℎ and 𝐻𝐻𝐻𝐻ℎ are functions of head,
so the optimum efficiency point at a particular head can be reached only at one value of head and
power output (rated speed and rated power). Other values of output power at rated head can be
achieved only by changes in the gate opening, which follows the heavy vertical Line A (blue
line) in Figure 1. This line is constructed for an assumed +10% variation in power level. As the
reservoir is drawn down, it can be noted from Eq. 1 that the vertical line of the operating
conditions moves to the right, shown as Line B (green line), resulting in reduced efficiency at all
power levels. Line B shows such a condition corresponding to a 25% decrease in head.
Conversely, during the spring runoff, head levels can exceed the rated value; again, however, the
operating efficiency is decreased. A heavy Line C (red line) is drawn for a 10% increase in head
with the same +10% power variation.

It is apparent that operation at constant speed constrains operation along a vertical line that is,
regrettably, nearly along the direction for a maximum (rather than minimum) change in
efficiency. In contrast, the possibility of adjustable speed would permit the operation to be
maximized so that operation is along the “ridge” of the efficiency loci, resulting in a minimum
reduction in efficiency for given power demand, as shown by Curve D (black line). Indeed, if the
turbine is in a base-loaded plant and the power output of the plant is adjusted to meet the
demands of the available head, the plant would be able to operate year-round at a constant
efficiency of 91%.

Pumped storage plants would realize an additional payoff in efficiency if the variable-speed
operation were adopted. Because the reversible Francis turbine uses one runner for both types of
operation, it is difficult to change the turbine and pump characteristics independent of each other.
As a result, the optimum speed for pumping ranges from 1.1–1.2, which is that of generating. It
is evident that constant-speed operation at maximum efficiency cannot be achieved at any time
for both modes with a single generator/motor. This problem would be overcome with variable-
speed operation because the optimum speed-horsepower profile for pumping and generating
could be set independently.

In addition to the promise of significant energy savings, several other important benefits will be
realized if the speed of the turbine can be adjusted. These are detailed in the following sections.

1.1.1 Reduced Noise, Vibration, and Cavitation Problems

Vibration and noise are unavoidable with present designs under constant-speed operation. One
such manifestation of this problem is turbine surging during overload, which occurs when guide
vane openings exceed the design point. Certain vane openings result in an unacceptable
relationship between flow angle and runner vane entrance angle. Excessive vane openings can
also result in severe cavitation problems. Another area of concern is turbine surging during
partial load. At loads from 40%–60% of rated, pressure surges are generated that often yield
noise and vibration problems. Although these fluctuations can be reduced by providing

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compressed air, surging generally limits the range of automatic frequency control and partial-
load operation.

Another undesirable characteristic occurs at low head during generation. In this case, the
characteristic is a hysteresis phenomenon that tends to limit the operating head variation. These
difficulties can be avoided, to a large extent, if turbine speed can fluctuate as demanded by the
electrical load.

In pumping mode, two phenomena limit the range of operation. One is reverse flow at the high
head, which causes cavitation growth, a decrease in efficiency, and an increase in both vibration
and noise. The other results from operating at low head, requiring increased discharge. Such
operation, again, leads to reduced efficiency and cavitation problems. These problems can be
minimized if the power output is adjusted with an increase in speed rather than increased flow.

1.1.2 New Flexibility in Site Selection and Sizing of Hydropower Units

If the speed of the synchronous generator can be adjusted to accommodate the limitations of the
hydraulic turbine, efficient operation will be possible over a much larger head variation than
previously possible. This feature will, in turn, permit sizing of reservoirs and dams on a different
basis because a wide range of operating head allows more flexibility in the design of the upper
and lower pools for pumped storage. A wider variation in head would allow for the use of deeper
ponds with less surface area, opening sites previously considered either marginal or requiring
two distinct speeds. In addition, the variable-speed operation would provide greater flexibility in
the selection of the number and size of units to be installed in a station because each individual
unit is capable of operation over a wide, rather than narrow, power range. These advantages
translate into inherent cost savings in the overall hydropower station design.

1.1.3 Improved Implementation of Load Changes

To accommodate load changes that occur within the power system and to maintain constant
speed, hydraulic and pumped storage plants rely on an assortment of devices. These control
elements include movable gates and runners as well as a speed governor system that regulates
the flow, power output, and speed to match the system demand. Such devices are cumbersome,
difficult to maintain, and respond very sluggishly to the dispatcher’s commands. These problems
are compounded in pumped storage plants. An important characteristic of the single-stage,
reversible Francis turbine is that it is not generally capable of making load changes by means of
wicket gate movement during pumping. In addition, where reversible turbines are used under
high head situations, the pump turbine faces serious stress and vibration problems associated
with the wicket gate operating assembly so that wicket gates are only infrequently adjusted.
These restrictions can be entirely removed if the generating or pumping rate is adjusted by
changing speed. Because synchronous motor torque can be developed at all rotor speeds, load
changes can be made within a fraction of a cycle by simply changing the converter firing angle.
The energy required to supply the momentary change in system load is taken out of the machine
and turbine inertia as the machine and turbine rapidly slow down or speed up to satisfy the new
load demand. Similar advantages could be gained during emergency braking of the unit because
excess energy could be supplied to the electric grid to brake the unit, even if the wicket gates
remain open.

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1.1.4 Relaxation of Parameter Requirements
By decoupling the synchronous tie through a high-voltage DC link, many restrictions on machine
design imposed by system stability requirements might be relaxed. For example, minimum
inertia requirements based on allowable frequency excursions might be eliminated. This will
allow the station units to be designed based on the site’s hydrology, cost, best obtainable
efficiency overhead, and load fluctuations. In addition, the need for bounds on machine
parameters—such as the short-circuit current (SCC) capability, transient time constants, and
damping—now depends only on the requirements of the site and not the electrical system.

1.1.5 Inherent Starting Capability in the Pumping Mode

One characteristic of pumped storage plants is the need to stop and reverse rotation to commence
pumping. To date, when transitioning from generating to pumping mode, an auxiliary pump
motor starting or induction starting of the main synchronous machine is used to bring the system
up to speed. Induction starting has been used less often because of the requirement of massive
bars in the armature windings and increased cost. In addition, this form of starting is often
restricted by power system stability requirements. Because of cost and size considerations, pump
motors must start the turbine in a dewatered state even though this is not necessarily desirable
because much time is wasted bringing the unloaded machine up to speed. Synchronous starting
methods require the dedicated use of at least one unit in the generating mode per site. This
reduces the number of reversible pump turbines by one and adds to the cost of the pumping
mode by prolonging the pumping time. If the synchronous machine is connected asynchronously
to the AC grid by a DC link, the starting could be accomplished automatically without extra
pump motors by proper control of the AC/DC. Because the converter is rated at full power, the
adjustable-speed operation would allow pumping to commence nearly upon starting with
minimum loss of operating revenue.

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2 Types of Hydropower Generators
The previous section discussed the overview and energy conversion aspects of hydropower
generation. As discussed, the power performance characteristic of a hydropower turbine plays a
key role in hydropower energy conversion. From the electrical generation point of view, two
types of hydropower generators are used. The first type is the fixed-speed hydropower generator,
based on an induction generator or a synchronous generator. This type is characterized by a
direct connection to the grid. The speed variation for an induction generator is normally around
1%–2%, whereas for a synchronous generator there is no speed variation, although there is a
power angle variation. The second type is the adjustable-speed generator. One common choice of
the generator is a doubly-fed induction generator (DFIG), which has partial power conversion
that is processed through rotor winding via a power converter and then to the grid, and another
part of conversion is through the stator winding directly delivered to the grid. Another choice is
to use a synchronous generator with full power conversion. This type is characterized by the
presence of a power electronics converter (power converter) in the system to allow for
adjustable-speed operation.

Each section discusses normal operation first, followed by short-circuit operation. The short-
circuit behavior is very important to design the infrastructure to protect the system during
abnormal conditions (e.g., short circuits, unbalanced, overloads, voltage and frequency dips).
Understanding the SCC behavior of different types of hydro turbine generators is important to
size the switchgear (circuit breaker, disconnect, recloser, etc.); to set the system protection
(trigger setting, coordination); and to know the transient and steady-state behavior of the SCC,
the transient time before reaching steady state, and the maximum-minimum size of the expected
SCC. Details on the short-circuit behavior found in this section can be found in Muljadi and
Gevorgian (2011), Samaan et al. (2010), Gevorgian and Muljadi (2010), and Grainger and
Stevenson (1994).

Short-circuit faults can occur in various locations of the power system in several different ways,
including line-to-ground and line-to-line faults. For simplicity, we consider a symmetrical three-
phase fault because it is the easiest to analyze. A simple per-phase equivalent circuit of a power
system under such fault conditions is shown in Figure 2.

Figure 2. Per-phase equivalent circuit of a symmetrical fault

The fault in Figure 2 is represented by a shorting switch. Immediately after the fault, the SCC
contribution from the generator can be found using the following equation:
𝑑𝑑𝑑𝑑
𝑢𝑢𝑔𝑔 = 𝐿𝐿
𝑑𝑑𝑑𝑑
+ 𝑖𝑖𝑖𝑖 (4)

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where 𝑢𝑢𝑔𝑔 is the instantaneous voltage on the generator terminals; and 𝑅𝑅 and 𝐿𝐿 are the line
resistance and inductance, respectively. Solving Eq. 4 for current (i) yields:
𝑉𝑉𝑔𝑔 𝑅𝑅 𝑉𝑉 𝑋𝑋
𝑖𝑖 =
𝑍𝑍
sin(𝜔𝜔𝜔𝜔 + 𝛼𝛼 − 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎( )) − 𝑒𝑒 𝐿𝐿 𝑡𝑡 � sin �𝛼𝛼 − 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 � ���
𝑔𝑔
𝑍𝑍 𝑅𝑅
(5)
where:

• 𝑉𝑉𝑔𝑔 is the peak generator voltage

• 𝑍𝑍 = √𝑅𝑅 2 + 𝑋𝑋 2 is the line impedance
• 𝛼𝛼 is the voltage phase angle
• ω = 2π f is the electrical frequency in rad/s, and f is the electrical frequency in Hz.

(a) (b)

20

10

10
0 0.02 0.04 0.06 0.08 0.1 0.12

(c)
Figure 3. Short-circuit for an AC source connected to an R-L circuit: (a) AC component, (b) DC
component, and (c) combined response
The solution to Eq. 5 has two components:

• The first component is stationary and varies sinusoidally with time. It represents the
steady-state SCC.
• The second component decays exponentially with a time constant equal to 𝑅𝑅/L. It
represents the DC component of the current.
The steady-state symmetrical fault current, 𝐼𝐼𝑠𝑠𝑠𝑠, from the generator can be calculated from the first
component of Eq. 6:

𝑉𝑉𝑔𝑔 /√2
𝐼𝐼𝑠𝑠𝑠𝑠 = √𝑅𝑅2 (6)
+𝑋𝑋 2

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The steady-state fault current depends on the impedance of the line. The closer the fault
occurrence location to the generator terminals, the larger the SCC contributed to the fault. The
peak magnitude of the transient component in Eq. 5 depends on the line impedance as well, and
it depends on the impedance angle, 𝜑𝜑 − 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑅𝑅Χ, at the point of the fault. The DC term does not
𝜋𝜋
exist if α=φ, and it will have its maximum initial value of 𝑉𝑉𝑉𝑉/𝑍𝑍 where 𝛼𝛼 − 𝜑𝜑 = ± 2 . So,
depending on the time when the fault occurs and the circuit characteristics, the transient current
waveform will be different. This means that in three-phase systems, the phase transient currents
will have different peaks because of a 120° shift in voltages.

In large power systems with many generators and transmission lines, the actual fault current at
any location on the grid will be the sum of the collective contributions from all generators,
making the analysis extremely complicated. In this case, some sort of simplification is needed for
the fault current calculation.

2.1 Fixed-Speed Hydropower Generator: Directly Connected to the

Grid
2.1.1 Conventional Hydropower Based on Synchronous Generator
A conventional hydropower plant uses a synchronous generator (see Figure 4). At a minimum, it
is equipped with the governor (to regulate the frequency) and exciter (to regulate the voltage via
its excitation winding). An additional component might include a power system stabilizer to
dampen power oscillations as they occur on the grid. This type of generation has been in place
for more than a century, and it has been accepted and is a mature technology. The excitation is
accomplished by feeding DC current to the field winding to adjust the flux on the rotor poles via
rotating slip rings. Newer synchronous generators might use a brushless concept to perform the
excitation control. In that case, there is no need to use the slip rings.

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 Grid
Plant
Synchronous Transformer
Generator

Field Winding

DC
Exciter

Figure 4. Hydro turbine with synchronous generator directly connected to the grid

2.1.1.1 Normal Operation

Figure 4 illustrates the simplified diagram of a hydropower turbine with a synchronous generator
directly connected to the grid operating in synchronous speed. A hydropower plant is usually
operated with low rotational speed (e.g., 300 rpm); thus, the number of poles can be significantly
larger than off-the-shelf induction machines (e.g., a 40-pole synchronous generator connected to
a 60-Hz grid rotates at 180 rpm). Because of the excitation and the field winding, a synchronous
generator normally operates without capacitor compensation. Instead, the excitation can be
controlled very smoothly to vary the reactive power generated by the synchronous generator.

Figure 5 illustrates the operating point of the hydro turbine, which moves along the dashed red
line (constant at synchronous speed) as the output power is varied by adjusting the wicket gate
opening (α). Note that the conversion efficiency of the operating turbine will vary as the output
power changes at constant rotational speed (synchronous speed). As for any output power, there
will be only a single matching rotational speed that will yield maximum efficiency.

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 N (Rotational Speed)
Pref

Output Power

Figure 5. Operating point (along the dashed red line) to illustrate the constant-speed operation

2.1.1.2 Short-Circuit Operation

The synchronous generator short-circuit has a specific characteristic, especially in the initial
formation of the SCCs (the first few cycles before reaching steady state). The SCC
characteristics (shown in Figure 6) are influenced by the fluxes from the field windings, the
armature windings, and the damper windings. The three important periods of the SCC are known
as the subtransient, transient, and steady-state periods. In the subtransient period, the subtransient
SCC is the largest; in the next period (transient period), the transient SCC is less than the
subtransient SCC; and in the steady-state period, the sustained SCC is the lowest SCC among the
three. Similarly, the subtransient reactance (𝑋𝑋𝑑𝑑′′ ), transient reactance (𝑋𝑋𝑑𝑑′ ), and steady-state
reactance (𝑋𝑋𝑑𝑑 ) have increasing values (𝑋𝑋𝑑𝑑′′ < 𝑋𝑋𝑑𝑑′ < 𝑋𝑋𝑑𝑑 ); and the corresponding SCC has decreasing
magnitudes (|𝐼𝐼 ′′ | > |𝐼𝐼 ′ | > |𝐼𝐼 |). As the three-phase faults commonly used as the metric to size the
switchgear to disconnect the SCC from the circuit, the symmetrical three-phase fault is
considered in the next few sections.
𝑡𝑡 𝑡𝑡
|𝐸𝐸𝑖𝑖 | 1 1 − ′ 1 1 − ′′
𝐼𝐼(𝑡𝑡) = 𝑋𝑋𝑑𝑑
+ |𝐸𝐸𝑖𝑖 | �𝑋𝑋 ′ − 𝑋𝑋 � 𝑒𝑒 𝑇𝑇
𝑑𝑑 + |𝐸𝐸𝑖𝑖 | �𝑋𝑋 ′′ − 𝑋𝑋 ′ � 𝑒𝑒 𝑇𝑇
𝑑𝑑 (7)
𝑑𝑑 𝑑𝑑 𝑑𝑑 𝑑𝑑

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 Sub-transient, I’’ Transient, I’ Steady State, I

Figure 6. Illustration of a three-phase symmetrical fault with DC offset removed

The initial symmetrical root mean square (RMS) current (I’’) or the subtransient current can be
computed from the graph as follows:
𝑜𝑜𝑜𝑜 |𝐸𝐸𝑖𝑖 |
|𝐼𝐼 ′′ | = = (8)
√2 𝑋𝑋𝑑𝑑′′

where the emf voltage, Ei, is the no-load terminal voltage.

This is the value of the SCC immediately after the fault occurred. This indicates the size of the
current acting and producing mechanical forces on the structure of the circuit breaker that must
be withstood by the circuit breaker before the current must be extinguished from the grid.
𝑜𝑜𝑜𝑜 |𝐸𝐸𝑖𝑖 |
|𝐼𝐼 ′ | = = (9)
√2 𝑋𝑋𝑑𝑑′

This is the RMS value of the current representing the transient SCC between which the contacts
within the circuit breaker must be separated to extinguish the SCC.
𝑜𝑜𝑜𝑜 |𝐸𝐸𝑖𝑖 |
|𝐼𝐼| = = 𝑋𝑋𝑑𝑑
(10)
√2

This is the RMS value of the SCC that will be sustained if the circuit breaker fails to disconnect
the faulted circuit; thus, the backup protection must be able to detect the fault to activate the
backup circuit breakers farther from the faulted region and the current used to predict the heat
generated by sustained SCC in the cable carrying the SCC. The typical values of the steady-state,
transient, and subtransient reactances for a variety of synchronous generators are shown in Table
1 (Prentice 1937). Note that it is very important to understand that the subtransient SCC is very
high compared to the steady-state sustained SCC, and a modern circuit breaker can disconnect

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within 3–4 cycles; thus, the design must consider the subtransient contact separation and the
forces it must overcome to separate contacts to clear the fault within a short time.

Table 1. Components of Synchronous Machine Reactances

Source: Prentice 1937

2.1.2 Conventional Hydropower Based on Induction Generator

An induction generator is often used in micro-hydro turbines. It uses a squirrel-cage induction
generator. This is the simplest type of AC induction generator, where there is no winding in the
rotor of the generator. Instead, squirrel-cage-like copper or aluminum bars are casted within a
cast iron or other ferromagnetic materials to function as the rotor winding. This generator does
not require access to the rotor circuit of the generator. This is different from a wound-field AC
generator (e.g., wound-field synchronous generator or wound-field induction generator), where a
set of slip rings is required to access the rotor winding. The operating speed varies by a very
narrow range (e.g., 1%–2% range). Note that the slip range is an indication of the efficiency of
the generator; thus, for practical purposes, the range of operating speeds of the hydro turbine
using an induction generator is very narrow, so it can be considered as having fixed-speed
operation.

2.1.2.1 Normal Operation

Figure 7 illustrates an induction generator connected to a hydro turbine and connected to the
grid. This type of generator is sometimes used for small (micro-hydro) power generation.
Usually, three-phase power factor correction capacitors are connected to the terminals of the
induction generator so that the reactive power is mostly provided by the AC capacitor
compensation. Output power can be adjusted by adjusting the wicket gate; thus, adjusting the
water flow drives the turbine, producing mechanical torque, which in turn drives the electrical
generator. Note that an induction generator is less efficient than a synchronous generator;
however, it is mass-produced for motors to drive machinery in factories. In addition, it is very
rugged, cheap, and requires no maintenance. In water pumping applications, it is often used as
the motor to drive the pump. In small water pumps, an induction motor is immersed in the water

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with the rotor, laminated with thin stainless steel, and the water flows through the surface of the
rotor, cooling it down at the same time.

Power factor correction capacitors are usually three-phase capacitor banks that enable its
effective capacitance to be varied as the output power of the generator varies with the operating
slip. Power factor correction is needed because the induction generator, by its nature, always
absorbs reactive power during motoring or generating modes. The size of the reactive power is
proportional to the quadratic function of the real power generated. In isolated operation, it is
possible to operate an induction machine driven by a pico-hydro to generate by self-excitation,
where the excitation comes from AC power factor correction capacitors. A set of capacitor banks
is used to regulate the voltage and frequency, although the frequency and the voltage regulation
depend on the ability to vary the mechanical torque from the turbine and the capacitor values of
the switched capacitor banks.

Grid
Plant
Transformer
Generator
Induction

PFC - AC
SCIG

Capacitors

Figure 7. Hydro turbine with an induction generator directly connected to the grid

2.1.2.2 Short Circuit

Some small hydropower generators (e.g., micro-hydro, P < 100 kW) are operated at a fixed
speed with a squirrel-cage induction generator. The squirrel-cage induction generator generates
electricity when it is driven above synchronous speed. The difference between the synchronous
speed and the operating speed of the induction generator is measured by its slip (in per unit or in
percentage). A negative slip indicates that the induction generator operates in generating mode.
Normal operating slips for an induction generator are between 0% and -1%. The simplified
single-phase equivalent circuit of a squirrel-cage induction machine is shown in Figure 8.

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 RS LSσ Lrσ

IS Ir

Lm Rmr/S
VS

Figure 8. Equivalent circuit of a squirrel-cage induction generator

The circuit in Figure 8 is referred to as the stator, where R and Rr are the stator and rotor
S

resistances, and 𝐿𝐿𝑆𝑆𝑆𝑆 and 𝐿𝐿𝑟𝑟𝑟𝑟 are the stator and rotor leakage inductances, respectively; Lm is the
magnetizing reactance; and s is the rotor slip. In the case of voltage fault, the inertia of the rotor
drives the generator after the voltage drops at the generator terminals. The rotor flux might not
change instantaneously right after the voltage drop resulting from the fault; therefore, voltage is
produced at the generator terminals, causing the fault current to flow into the fault until,
gradually, the rotor flux decays to zero. This process takes a few electrical cycles. The fault
current produced by an induction generator must be considered when selecting the rating for
circuit breakers and fuses. The fault current is limited by the generator impedance (and can be
calculated from the parameters shown in Table 1) and the impedance of the system from the
short-circuit point to the generator terminals.

The initial value of the fault current fed by the induction generator is close to the locked rotor
inrush current. Assuming a three-phase symmetrical fault, an analytical solution can be found to
estimate the current contribution of the generator. The SCC of an induction generator can be
calculated as:

√2𝑉𝑉𝑠𝑠 − 𝑇𝑇𝑡𝑡′ 𝑡𝑡
− ′
𝑖𝑖 = [ 𝑒𝑒 𝑠𝑠 sin(𝛼𝛼) + (1 − 𝜎𝜎 )𝑒𝑒 𝑇𝑇𝑟𝑟 ] (11)
𝑋𝑋𝑠𝑠′
where α is the voltage phase angle for a given phase, 𝜎𝜎 is the leakage factor, 𝑋𝑋𝑠𝑠′ =𝜔𝜔𝜔𝜔𝑆𝑆′ is the stator
transient reactance, and 𝑇𝑇𝑠𝑠′ and 𝑇𝑇𝑟𝑟′ are the stator and rotor time constants for damping the DC
component in the stator and rotor windings. The transient stator and rotor inductances, 𝐿𝐿′𝑠𝑠 and 𝐿𝐿′𝑟𝑟 ,
can be determined as:
𝐿𝐿 𝐿𝐿 𝐿𝐿 𝐿𝐿
𝐿𝐿′𝑠𝑠 = 𝐿𝐿𝑠𝑠𝑠𝑠 + 𝐿𝐿 𝑟𝑟𝑟𝑟+𝐿𝐿𝑚𝑚 𝐿𝐿′𝑟𝑟 = 𝐿𝐿𝑟𝑟𝑟𝑟 + 𝐿𝐿 𝑠𝑠𝑠𝑠+𝐿𝐿𝑚𝑚 (11-a)
𝑟𝑟𝑟𝑟 𝑚𝑚 𝑠𝑠𝑠𝑠 𝑚𝑚

𝐿𝐿𝑠𝑠 = 𝐿𝐿𝑠𝑠𝑠𝑠 + 𝐿𝐿𝑚𝑚 𝐿𝐿𝑟𝑟 = 𝐿𝐿𝑟𝑟𝑟𝑟 + 𝐿𝐿𝑚𝑚 (11-b)

𝐿𝐿′ 𝐿𝐿′ 𝐿𝐿2

𝑇𝑇𝑠𝑠′ = 𝑅𝑅𝑠𝑠 𝑇𝑇𝑟𝑟′ = 𝑅𝑅𝑟𝑟 𝜎𝜎 = 1 − 𝐿𝐿 𝑚𝑚𝐿𝐿 (11-c)
𝑠𝑠 𝑟𝑟 𝑠𝑠 𝑟𝑟

The current calculated from Eq. 11 is shown in Figure 9 using parameters for a typical 2-MW
induction generator when 𝛼𝛼=300+𝜋𝜋/2 and prefault voltage 𝑉𝑉𝑉𝑉=0.7 𝑝𝑝.𝑢𝑢. As shown in Figure 9,
the current reaches the maximum value at 𝑡𝑡=𝑇𝑇/2 (the first half a period); therefore, it might be a

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good approximation to calculate the maximum (peak) current by substituting 𝑡𝑡=𝑇𝑇/2 into Eq. 11.
The resulting equation for peak current will be:
𝑇𝑇 𝑇𝑇
√2𝑉𝑉𝑠𝑠 − −
𝑖𝑖𝑚𝑚𝑚𝑚𝑚𝑚 = [ 𝑒𝑒 2𝑇𝑇′𝑠𝑠 sin(𝛼𝛼) + (1 − 𝜎𝜎 )𝑒𝑒 2𝑇𝑇′𝑟𝑟 ] (12)
𝑋𝑋′𝑠𝑠

It was demonstrated experimentally that Eq. 11 gives satisfactory accuracy for peak current
assessment. The resulting current is shown in Figure 9.

Figure 9. SCC from a Type I induction generator

2.2 Adjustable-Speed Hydropower Generator: Inverter-Based

Hydropower Generation
2.2.1 Adjustable-Speed Hydropower Based on Doubly-Fed Induction Generator
An adjustable-speed hydropower plant can be used to control the conversion efficiency to its
optimum operation based on the present conditions. A single-line diagram of the system is
presented in Figure 10. The first implementation of this type of generation can be found in Japan.
Many other similar configurations have been built at different sites around the world (China,
Europe, etc.). The first implementation was based on the original synchronous generator, where
the excitation winding of the generator was replaced by a wound-field induction generator with a
set of three-phase rotating windings fed by a three-phase power converter. Rebuilding the rotor
winding was constructed by using a narrower air gap than the original synchronous generator
because an induction generator with so many poles will have a low magnetizing Lm, resulting in
low power factor, which affects the overall efficiency. A more detail discussion about this type
of AS-PSH can be found in Muljadi et al. (2015) and Muljadi et al. (2017).

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 Grid
Plant
Transformer

Line Side

Power Converter
Converter
(LSC)

Machine Side
Converter
(MSC)
DFIG

Figure 10. AS-PSH plant with a DFIG

Since it was invented by Nikola Tesla in 1883, the induction machine has been preferred for
extensive industrial applications because of its numerous advantages. Recently, the use of
wound-rotor induction machines has been revived in the form of induction generators for wind
turbine and hydro turbine applications. With the power converter connected to the rotor winding,
the induction generator can be operated at variable speed using a partial-rating power converter.

Of the total air gap power of the generator, only a small fraction is dissipated in the rotor circuits.
The total electrical output power generated to the grid is given by:

𝑃𝑃𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 = (𝑃𝑃𝑚𝑚𝑚𝑚 − 𝑃𝑃𝑚𝑚𝑚𝑚 ) = (1 − 𝑠𝑠)𝑃𝑃𝑚𝑚𝑚𝑚 (13)

where:

• 𝑃𝑃𝑚𝑚𝑚𝑚 = power output through the stator winding

• 𝑃𝑃𝑚𝑚𝑚𝑚 = power output through the rotor winding
• 𝑠𝑠 = operating slip.
Thus, the total power generated by the DFIG is converted into electrical power delivered to the
grid, the majority via the stator winding and the rest via the rotor output power. For example, if
the turns ratio of the stator-to-rotor winding is one, the DFIG needs to be operated at +30% slip.
The power converter to be used must have a rated voltage of approximately 30% and a rated
current of 100%. The implication is that using a DFIG in variable speed with slip variation from
-30% to +30% requires the size of the power converter to be approximately 30% of the rated
power of the induction generator.

2.2.1.1 Normal Operation

The power converter and the DFIG are controlled based on the equations derived in the previous
section. The reference power is the commanded power output of the turbine. The DFIG has two

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separate paths of generation: the stator output power and the rotor output power. The output
power from the stator winding (always flowing out of the stator to the grid) can be described as:
𝑃𝑃𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡
𝑃𝑃𝑚𝑚𝑚𝑚 =
(𝟏𝟏−𝒔𝒔)
(14)
The stator power generated by the DFIG as a function of the total power is illustrated in Figure
11. As shown, the variation of the stator power is very narrow. For example, in the span of 0.2
p.u. total power variation, the stator power varies by approximately 2%.

Thus, the power entering the rotor winding of the DFIG as shown in the previous equation can be
computed based on the desired total power (also refer to Figure 12). As described in the previous
equation, the slip (s) is negative above synchronous speed, and it is positive below synchronous
speed. Thus, the power flows can flow into (in subsynchronous speed range) or out of (in
supersynchronous speed range) the rotor winding depending on the rotor speed.

Figure 11. Stator power as a function of total Figure 12. Rotor power as a function of total
power power
The rotor power can be computed as:
𝑠𝑠
𝑃𝑃𝑚𝑚𝑚𝑚 = 𝑃𝑃
(𝟏𝟏−𝒔𝒔) 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡
(15)

2.2.1.2 Control Implementation

As shown, the variation of the rotor power is linear to the total power variation. For example, in
the span of 0.2 p.u. total power variations, the rotor power varies by approximately +/-12%. Note
that the rotor power becomes zero at the synchronous speed (slip=0). Below the synchronous
speed, the rotor power flows from the grid into the rotor winding; above synchronous speed, the
rotor power flows out of the rotor winding to the grid.

As shown in Figure 13, the machine-side converter is used to control the commanded stator
output power (Pstator-ref) based on the calculated reference that will optimize the hydro turbine.
And the reactive power is controlled to follow the commanded reactive power output of the
stator winding (Qstator-ref). The real power component of the stator current, IpS, and the reactive
power component of the stator current, IqS, are controlled by the machine-side converter.

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As shown in Figure 14, the line-side converter is controlled to maintain the DC bus constant and
the reactive power contribution from the line-side converter to the grid. Note that by controlling
the DC bus constant, the line-side converter automatically transfers the rotor power to the grid.
The real power component of the current, IpLSC, is controlled to maintain the DC bus voltage,
whereas the reactive power component of the current, IqLSC, is used to control the requested
reactive power from the line-side converter.

ωm slip Pstator-ref = Pstator-ref

slip= f(ωm)
f(Pref,slip)
Pref

Pstator-ref PS-err Pstator

Ips* DFIG
: PID MSC
+ -
Pstator Qstator
Vt
Iqs*
+
: PID
Qstator-ref
- QSerr
Qstator Vt

Figure 13. Simplified diagram of a machine-side converter

PLSC
VDC-ref VDC-err IpLSC* DFIG
PID LSC
+ -
VDC QLSC

QLSC-ref QLSCerr IqLSC*

: PID
+
-
QLSC Vt

Figure 14. Simplified diagram of a line-side converter

The numerous benefits derived from variable-speed operation justify a renewed look at pumped
hydro station operation from the point of view of adjustable speed. The needed technology for
such an application is only now emerging, and much research is needed to approach an optimum
design of a hydro turbine that can be controlled with the commanded power to follow the
maximum efficiency of the energy conversion. As shown in Figure 15, by allowing the rotational
speed and the wicket gate opening to follow the desired output power, the operating point of the
hydro turbine can ride along the ridge of the conversion efficiency (maximum efficiency). In
addition, the power converter can be controlled with an additional loop that can be added to
damp the mechanical resonance modes or electrical power system mode; thus, it is practically
designed to mitigate the possible damaging impacts on the generator, turbine, or power system
stability.

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 N (Rotational Speed)
Pref

Output Power

Figure 15. Illustration of the optimum efficiency operation of a hydro turbine

The performance characteristic presented in Figure 1 can be simplified in the form of a hill
diagram, shown in Figure 15, wherein the optimum efficiency can be maintained by adjusting the
water flow (via the wicket gate angle, α, control) and the rotational speed, n (directly via speed
control or indirectly via power control).

AS-PSH is normally optimized to maximize the efficiency of the hydro turbine. The typical
optimum operation of a hydro turbine can be found in several publications. For each different
head, there is a linear relationship between the rotational speed and the output power of the
hydro turbine, and it can be written as:

𝜔𝜔𝑚𝑚 �ℎ𝑒𝑒𝑒𝑒𝑒𝑒, 𝑃𝑃𝑟𝑟𝑟𝑟𝑟𝑟 � = − 0.05 + 1.25�𝑃𝑃𝑟𝑟𝑟𝑟𝑟𝑟 − 0.8� − 0.25(ℎ𝑒𝑒𝑒𝑒𝑒𝑒 − 0.8) (16)

Similarly, for different head levels, there is a linear relationship between the wicket gate
positions (to adjust the water flow) as the output power is changed from one value to another,
which can be described by:

𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺�ℎ𝑒𝑒𝑒𝑒𝑒𝑒, 𝑃𝑃𝑟𝑟𝑟𝑟𝑟𝑟 � = 0.8 + �𝑃𝑃𝑟𝑟𝑟𝑟𝑟𝑟 − 0.8� − (ℎ − 0.8) (17)

The equation for the rotational speed and the gate adjustment can be implemented as shown in
Figure 16. In Figure 16, the steady-state optimum operation of the hydropower can be achieved
if we can adjust the wicket gate opening and the corresponding rotational speed at any desired
output power.

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 Figure 16. Optimum operation of AS-PSH at different power levels as a function of the head (a)
rotor speed and (b) gate position
The relationship is adjusted as the head varies overtime. Note, however, that the variation of the
head is much slower than the variation of the reference power, especially during short-term
transients when the turbine is required to perform ancillary services (e.g., to accomplish
frequency regulation). This characteristic matches the behavior of future power systems,
especially in situations with high penetration levels of renewable generation. Examples of
successful combinations of hydropower to compensate renewable generation are hydropower and
wind power in the Pacific Northwest of the United States within the Bonneville Power
Administration. Another example is a combination of photovoltaic generation (850-MW
photovoltaic plants) and a hydropower plant (1.3 GW) in Longyangxia Lake in Qinghai, China.

Optimum operation of the adjustable-speed hydropower plant can be illustrated in the block
diagram shown in Figure 17.

ωm*- ωerr
ωm* = f(Pref) Governor
+
ωm
Pref
+
* + Hydro Pmech
Gate = f(Pref)
Gate* Gref Turbine

Figure 17. Optimum operation of AS-PSH at different power levels as a function of the head (a)
rotor speed and (b) gate position
The fact that the rotational speed of the generator can be adjusted brings a new dimension to
operating a hydropower plant with optimum efficiency. In addition, operating the AS-PSH with a

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power converter makes it possible to operate the system in a fast and flexible manner, thus
contributing to power system stability.

2.2.1.3 Short Circuit

An equivalent circuit of a DFIG generator is shown in Figure 18. It is similar to one for a regular
induction generator except for an additional rotor voltage, representing voltage produced by a
power converter. A crowbar system is usually used to protect the power electronics converter
from overvoltage and thermal breakdown during short-circuit faults. Additional dynamic braking
on the DC bus is also used to limit the DC bus voltage.

Figure 18. Equivalent circuit of a DFIG

During faults, the rotor windings are essentially short-circuited by an equivalent crowbar
resistance, 𝑅𝑅𝑅𝑅𝑅𝑅. The transient time constant for a DFIG generator will be:
𝐿𝐿′𝑟𝑟
′
𝑇𝑇𝑟𝑟.𝐶𝐶𝐶𝐶 =
𝑅𝑅𝑟𝑟 +𝑅𝑅𝐶𝐶𝐶𝐶
(18)
And the maximum SCC of a DFIG will be:
𝛥𝛥𝛥𝛥 𝛥𝛥𝛥𝛥
− ′ − ′
𝑖𝑖𝑚𝑚𝑚𝑚𝑚𝑚 =
√2𝑉𝑉𝑠𝑠
�𝑒𝑒 𝑇𝑇𝑠𝑠 + (1 − 𝜎𝜎 )𝑒𝑒 𝑇𝑇
𝑟𝑟.𝐶𝐶𝐶𝐶 � (19)
�𝑋𝑋𝑠𝑠′ 2 +𝑅𝑅𝐶𝐶𝐶𝐶
2

If 𝑅𝑅𝐶𝐶𝐶𝐶 ≫ 𝑅𝑅𝑟𝑟, then 𝑇𝑇𝑟𝑟.𝐶𝐶𝐶𝐶

′
is small, and the time of the first peak Δ𝑇𝑇 → 0. In such a case, it is
proposed that the equation can be simplified for DFIG maximum SCC. Calculated SCCs for a
DFIG for two different crowbar resistance values are shown in Figure 19. In this case, 𝑅𝑅𝐶𝐶𝐶𝐶2 >
𝑅𝑅𝐶𝐶𝐶𝐶1 ≫ 𝑅𝑅𝑟𝑟 . The red plot represents zero crowbar resistance when 𝑅𝑅𝑅𝑅 = 0.005 𝑝𝑝.𝑢𝑢. The blue and
green plots represent cases when 𝑅𝑅𝑅𝑅𝑅𝑅 = 0.05 𝑝𝑝.𝑢𝑢. and 𝑅𝑅𝑅𝑅𝑅𝑅 = 0.1 𝑝𝑝.𝑢𝑢., respectively. From Eq. 18
and Eq. 19, and as shown in Figure 19, a larger crowbar resistance will lead to lower peak
current and smaller AC component. The maximum value of crowbar resistance, 𝑅𝑅𝐶𝐶𝐶𝐶.𝑚𝑚𝑚𝑚𝑚𝑚, can be
found from the equation if the maximum allowable rotor voltage is specified.

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 Figure 19. Effect of the crowbar on maximum DFIG current for a fault on the terminal of the
generator

Figure 20. Stator current of a DFIG during the fault on the transmission line
Note that there is a major difference between a DFIG with a regular induction generator because
the excitation in a regular induction generator comes from the grid; thus, for an induction
generator, if the grid is short-circuited, all the electromagnetic energy will be dumped into the
grid. In a DFIG, however, the excitation comes from both the grid and the power converter
feeding the rotor winding; thus, in case where the fault occurs on the transmission line—i.e., far
from the plant—the output of the DFIG is sustainable because the grid voltage did not
completely dip to zero, and thus the excitation from the power converter connected to the rotor
winding can still be maintained. Figure 21 illustrates this condition from the test result. Although
there is a small transient when the fault starts at t=0.6 seconds, the stator can be maintained
constant at its maximum condition (i.e., 1.1 p.u. values), and another transient is noticeable at the
end of the fault, around t=0.75 seconds.

Figure 21 illustrates the rotor currents of a DFIG during the fault. Note that the rotor current is
controlled to shape the stator current output of the stator winding. The harmonics current content
shown is the typical output of the current-regulated pulse-width-modulated power converter. And
the variable frequency shown in the current waveform indicates that the rotor speed varies during

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the observation. Note that during the fault it is common that the turbine is commanded to provide
reactive power to support the voltage on the grid; thus, the output is normally intended to
produce reactive power to the grid to satisfy the fault ride-through capability of the generator.

Figure 21. Rotor current of a DFIG during the fault on the transmission lines

2.2.2 Adjustable-Speed Hydropower Based on Full Conversion Generator

Figure 22 illustrates the physical diagram of a full conversion (FC) generator connected to the
grid. Although a permanent magnet synchronous generator (PMSG) is used to illustrate this
concept, the generator can be replaced by a wound-field synchronous generator or even an
asynchronous generator.
Grid
Plant
Transformer

Line Side
Power Converter

Converter
(LSC)

Machine Side
Converter
(MSC)
PMSG

Figure 22. Full conversion hydropower generator with a direct-drive PMSG

A synchronous generator from the electrical design perspective is different from a wound-field
induction generator found in a DFIG because a synchronous generator can have many poles
without reducing the power factor of the synchronous generator, and thus it does not directly
affect the overall efficiency. Another difference between the FC-PMSG and the AS-DFIG is that

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the AS-DFIG requires only a partial-size power converter. Considering that the range of
operation of the variable speeds currently installed is from 0% to 20%, the size of the power
converter for a DFIG with 20% range is only 10% of the rated power of the stator winding. The
requirement for a speed range operation might be a consideration in choosing the system to be
considered for AS-PSH applications.

Although the theoretical limit of the speed range for an AS-PSH is limited, in theory the range of
the rotational speed variation of the AS-PSH can be very wide considering that the power
converter and generator in an FC-PMSG are normally capable of delivering rated torque for the
range of the operating speed range. Another fact not often discussed in DFIG operation is that
the operation below synchronous speed (positive slip) will have caused the power to flow from
the grid into the rotor winding. This can affect the efficiency of energy conversion (because of
the circulating power flow between the grid and the generator via the rotor winding), although
the power flow from the stator winding has the same direction regardless of the slip.

Table 2 and Table 3 show the comparison between the DFIG and full converter systems.
Table 2. AS-PSH Comparison of Electromechanical Interactions

FC-PMSG DFIG
Theoretical rpm theoretical limit 0.0 p.u. < ωm < 1.0 rpm theoretical limit for 30% slip
variable-speed p.u. variation 0.7 p.u. < ωm < 1.3 p.u. In
range many cases, the range of slip is from
+5% to +10%.
Grid coupling Stator winding completely decoupled Electrically and electromagnetically
from the grid; thus, this is electrically coupled to the grid. Stator winding
and electromagnetically decoupled from connected to the grid, and rotor
the grid. winding decoupled from the grid
Power system oscillations can be Power system oscillations might
buffered to stay on the grid and not impact the rotor and the hydro
affect the rotor and hydro turbine. turbine (via electromagnetic coupling
from the grid-connected stator)
Impact of grid During the voltage dip, there might be a The same as FC-PMSG
faults on control temporary imbalance between the
coordination mechanical input and the electrical
output to the grid (because of the
voltage dip). This requires control
coordination to ensure that kinetic
energy in the water flow and rotating
mass can be diffused through the gate
control and the power control.

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 Table 3. AS-PSH Comparison of Grid Integration

FC-PMSG DFIG
Reactive power Adjustable up to max limit and down to The same as FC-PMSG
controllability min limit
Reactive power Reactive power is controllable up to its The same as FC-PMSG
and voltage maximum limit for a PQ bus, or it is
control—normal used to control the voltage for a PV bus.
operation Note: PQ and PV are power system
terms often used to describe the control
implemented on the generating bus—
i.e., power, P, and voltage, V,
controllable for PV and for PQ bus; the
Q means reactive power is controllable.
Reactive power During the fault, the bus voltage is often For distant faults: The same as FC-
and voltage dropping significantly; thus, the PMSG
control—fault available power that can be delivered is For near faults: Often the power
events also limited because of the voltage converter connected to the DFIG
drop. Thus, the maximum power loses its capability to control the
converter current cannot be exceeded. machine. Survival mode requires
disconnection or, to a lesser degree,
crowbar insertion during the near-
fault events.

Impact of grid For distant faults and near faults: For distant faults: Output currents
faults on the power Output currents controllable up to 1.1 controllable up to 1.1 p.u. rated
converter p.u. rated current (assuming the 10% current (assuming the 10%
overcurrent design of the power overcurrent design of the power
converter). Very often during the fault converter). Very often during the fault
the power converter is commanded to the power converter is commanded
supply reactive power to support the to supply reactive power to support
grid voltage. the grid voltage.
For near faults: Output currents
might not be controllable during the
fault. Crowbar protection is often
used to avoid overvoltage on the DC
bus of the power converter.
Fault ride-through Fault ride-through is often implemented The same as FC-PMSG
based on the grid requirement. It is
basically the requirement that the power
plant stays connected to the grid during
a fault event. Often it is defined by the
lower and upper limits of the voltage
and frequency range, within which the
plant must stay connected, and beyond
which the plant can be disconnected
from the grid.

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3 Hydropower Plant
3.1 Reliability Concepts
The North American Electric Reliability Corporation (NERC) defines the reliability of the
interconnected bulk power system in terms of two basic and functional aspects (NERC 2013):

• Adequacy
o The ability of the electricity system to supply the aggregate electrical demand and
energy requirements of the end-use customers at all times, taking into account
scheduled and reasonably expected unscheduled outages of system elements.
• Operating reliability.
The ability of the bulk power system to withstand sudden disturbances, such as electrical short
circuits or an unanticipated loss of system elements from credible contingencies, while avoiding
uncontrolled cascading blackouts or damage to equipment.

Hydropower plants in general address the adequacy aspect of power systems with predictable
energy resources available to be deployed to supply power within a specific duration. AS-PSH
addresses the operating reliability of the power system by its capability to react and to quickly
rectify the temporary power imbalance between supply and demand during both pumping and
generating operations.

3.2 System Integration

Connection to the grid is often the subject of power system integration, where the plant is
connected to the grid at different levels of the voltage depending on the power rating of the
power plant, as illustrated in Figure 23. Based on capacity, hydropower can be classified as: pico
(<5 kW), micro (5 kW–100 kW), small (101 kW–2,000 kW), mini (2,001 kW–25,000 kW), and
large (>25,000 kW). These categories might vary from one country to another, but the general
rules are the same (low power rating is connected to low-voltage level, high power rating is
connected to the subtransmission or transmission voltage levels).

In general, a very small hydro turbine is connected at the low- or medium-voltage (distribution
network). A large hydropower plant is the same size as a conventional power plant (e.g., steam,
gas, wind, photovoltaic power plants), and it must be connected to a higher voltage level
(subtransmission or transmission voltage levels). A variable-speed design normally incorporates
advanced power electronics components that increase overall turbine cost. These components are
required to change varying AC power to a constant voltage and frequency. Electrical distribution
grids, to which the turbine is connected, must maintain steady frequency and voltage levels to
avoid damaging equipment (at the point of common coupling) of other users on the same utility,
such as motors and sensitive electronics. Electrical harmonics are also a critical issue for any
variable-speed design. Harmonics distort the normally smooth sinusoidal variation of utility
voltage. Among many other drawbacks, harmonics increase losses and heating in transformers
and motors, do not contribute to motor output torque, cause unbalanced currents in power
systems, and are harmful to many modern computers and communications system components.

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 2.1 GW – Hoover Dam Minidoka Dam
(2x10MW) Idaho
Power plant Large Hydro
Mini Hydro
Micro Hydro
Pico Hydro

Step-up Step-up
transformer transformer
Step-down Step-down Step-down
transformer transformer transformer

Transmission to
other utilities Subtransmission Distribution
Customers Customers

Distribution Customers

115kV and higher 26-115 kV 4-35 kV 120-480 V

Distributed Interconnections per

PowerWind Farm
Plant Interconnections
Interconnections IEEE-1547

Source: National Renewable Energy Laboratory

Figure 23. Grid interconnection at different voltage levels determined by the power rating of the
plant
In addition to these well-known electrical harmonic problems, there is the special case of sudden
jumps in voltage. Such voltage surges can usually be analyzed as a combination of many high-
frequency harmonics. The past few years have shown a remarkable increase in insulation failures
of motors and generators driven by adjustable-speed drives that employ power electronics. This
phenomenon appears to be related to the sudden drive voltage changes that some power
electronic circuits can supply to their associated motor or generator. The problem appears to get
worse as the distance between the generator and power electronics increases. This problem is
especially significant for some applications where the electric machines are usually remote from
their driving electronics on the ground (e.g., submarine oil pump for oil exploration, wind
turbine, some water pumping and hydro turbine applications).

A key factor in dealing with these two issues is the control methodology for the adjustable-speed
turbine. A properly designed control scheme can smooth the time-varying loads that are
transmitted through the machine components by using wicket gate (gate) control or the ability of
advanced power electronics to smooth rotor loads by limiting torque excursions within the
drivetrain. Optimum power electronic designs are still under study, as are new control
methodologies. Despite the issues and unknowns, the increased gain in energy capture by the
application of adjustable-speed design, together with torque spike reduction and excellent grid
integration, have made the pursuit worthwhile.

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3.3 Hydropower Plant
A typical single-line diagram of a hydropower plant connected to the grid is shown in Figure 24.
The generator is connected to the generator bus (Bus 5), and unless the grid is very weak, a
turbine-level shunt compensation is normally not necessary. The generator side step-up
transformer steps up the voltage from the generator output terminal voltage to a higher voltage
for distribution throughout the distribution network or to be transmitted along the transmission
line to a distant load center. For a small hydropower plant supplying local loads, the generator
output voltage is usually in the medium-voltage range (three-phase, 60 Hz, 4.16 kV); however,
for a large generator, the generator output voltage is usually at a higher voltage rating (e.g., 22
kV or 33 kV). Similarly, the generator step-up transformer is an important bridge connecting the
generation side to the distribution or transmission side. It is often operated day and night at full
load and sometimes in very high swings of output generation (e.g., when operated to provide
ancillary services to the grid in cases of high penetrations of renewable generation). It is intended
to withstand extreme thermal loading to avoid premature aging or even failures of winding
insulations.
230/34.4 kV 230/34.5 kV 34.4/4.16 kV
substation GSU transformer 10 MW
transformer collector hydropower
system Rte , Xte generator
Bus 1 Bus 2 Rt, Xt Re, Xe, Be
230 kV Line Bus 3 Bus 4 Bus 5
R1, X1, B1
PSH

Replay
Recorded
V(t), f(t) Substation level Turbine level
At this bus shunt shunt
compensation compensation

Figure 24. Typical one-line diagram of a hydropower generator

The generator step-up transformer (at the transformer bus: Bus 4) is usually located near the
generator in the generating station complex. This generator step-up might be combined with the
substation transformer in cases where the voltage and the size of the plant are large enough, and
this arrangement might reduce capital costs of the plant. The output of the generator step-up
transformer is connected to another line either to supply the local loads (if connected to the
distribution network) or to deliver the power over long distances to load centers. In some cases, it
can be very far from the power plant. In this case, the line feeders connecting the generator step-
up transformer to the substation transformer will be rated at a higher voltage (e.g., 34 kV–110
kV) to ensure that the voltage drop along the line and the line losses will be minimum, especially
if there is a significant distance between the generating station and the substation transformer.
This line is connected to the substation bus (Bus 3), and there is provision to connect the
substation level shunt compensation (e.g., which might be needed if it is connected to a weak
grid).

At the substation, a substation transformer steps up the voltage from the subtransmission level to
the transmission level (e.g., 110 kV/230 kV). This stepping up of the voltage is very important to
deliver power over a long distance so that for the same power level, the delivered power requires
only small/low current to be transmitted over long distances (minimum voltage drop and
minimum line losses). At the transmission bus (Bus 2), the output power of the plant is delivered
to the load centers (e.g., at Bus 1). It is customary to see renewable generation sources located in

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rich resource areas, which are sometimes far from load centers, where the generated power can
be used.

3.4 Summary of Short-Circuit Current Contribution for Different

Types of Hydropower Generator
This section considers three-phase-to-ground faults. Other types of faults are normally smaller,
and thus the resulting SCC is not used to size the switchgear nor to set the system protection
setting values. The SCC for different types of hydropower generators is not the same, as
described in the previous section. For each turbine type, the peak value of the magnitude of the
SCC is affected by the transient reactance, the prefault voltage, the effective rotor resistance, the
existence of constant excitation (synchronous generator or DFIG), the distance from the faults,
and other circumstances at the instant the fault occurs.
Table 4. Comparison of SCC Contribution for Different Types of Hydropower Plants

Synchronous Induction
AS-PSH DFIG FC-PMSG
Generator Generator
2√2𝑉𝑉𝑠𝑠 2√2𝑉𝑉𝑠𝑠 2√2𝑉𝑉𝑠𝑠
Max ISC_PEAK 1.1 IRATED
𝑋𝑋𝑑𝑑′′ 𝑋𝑋𝑠𝑠′ 𝑋𝑋𝑠𝑠′
√2𝑉𝑉𝑠𝑠 √2𝑉𝑉𝑠𝑠
Min ISC_PEAK 1.1 IRATED 0
𝑋𝑋𝑑𝑑 𝑋𝑋𝑠𝑠′

Table 4 shows the tabulated SCC contribution, including the maximum and minimum values. A
grid-connected synchronous generator has the largest SCC as a result of small 𝑋𝑋𝑑𝑑′′ and 𝑋𝑋𝑑𝑑′
(influenced by the presence of the damper and startup windings) and the sustained SCC because
of the presence of excitation by the field winding. The induction generator has a large SCC, but
it has a very short duration because the electromagnetic flux dies out during the fault. The SCC
behavior of the inverter-based DFIG hydropower generator is affected by the crowbar and the
dynamic braking actions. For a very near fault, the crowbar might be fully deployed, thus short-
circuiting the rotor winding, and the SCC behavior resembles the grid-connected induction
generator; however, if the crowbar and the dynamic braking can maintain operation of the rotor-
side power converter, the SCC behavior is very close to that of an inverter-based FC-PMSG. For
almost all the SCC for a DFIG, only a small SCC current is passed through the power converter
because of the current limit of the power semiconductors. The FC-PMSG has a full power
converter between the generator and the grid; thus, the SCC is very well regulated, and the SCC
can be maintained at 1.1-p.u. rated current.

Because power system planners at utility companies are concerned about worst-case scenarios,
the generator representation is very suitable to determine the SCC contribution from a power
plant to perform a system impact study, to set and coordinate the system protection of the power
plant, and to size the switchgear within the power plant.

For a grid-connected synchronous generator, the SCC is well understood and well documented.
For a grid-connected induction generator, the maximum SCC assumes that the DC offset is at the
worst condition, and the minimum SCC is calculated by assuming that the DC offset is zero. For
a DFIG, the maximum value is computed when the crowbar shorts the rotor winding, and the
minimum value is computed when the power converter can follow the commanded current (i.e.,

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in case the fault occurs far from the point of interconnection, the remaining terminal voltage is
sufficiently high enough to let the power converter operate normally and supply the commanded
currents). Note that for a symmetrical fault, the actual fault current for each phase is different
from the other phases because the time of the fault occurs at a different phase angle for different
phases, thus affecting the DC offset. For an FC-PMSG, the stator current can always be
controlled because of the nature of the power converter, which is based on a current-controlled
voltage source converter.

3.5 Generator Interconnection

Grid interconnection for a generator or power plant usually follows guidelines provided by the
host utility. It is necessary to provide the interconnection guidelines when the power plant is to
interconnect to a host utility’s electric system to comply with the local rules and regulations set
up by the host utility. The interconnection often includes supplying ancillary services required to
support the operation and the reliability of the power system.

These requirements are needed for any generator connected the grid at the distribution network
or larger power plants (e.g., wind power plants or hydropower plants) connected at the
transmission level and delivering power to the grid. Interconnection requirements are subject to
federal regulation (e.g., Federal Energy Regulatory Commission), public utility commissions
(e.g., California Public Utilities Commission), and the host utility regulations (e.g., Southern
California Edison). A good reference on power plant interconnection to cover renewable energy
power plants can be found in the Southern California Edison (SCE) Interconnection Handbook
(2016). The handbook is revised periodically; thus, the latest edition should be checked at the
SCE website. The handbook is divided into three distinct parts based on the customer project
type that is being connected, planned to be connected, or facility additions and modifications to
existing customer facilities interconnected to SCE’s electric system. Note that the handbook can
be updated from time to time to reflect the changes in the power system network, the incoming
new types of generators, the new technologies in the power system implemented at the
distribution or transmission networks, and the new grid codes requirement from the regional
reliability organization and from NERC.

The three parts of the handbook address:

• Generator interconnections
• Transmission interconnections
• End-user facility interconnections.

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4 Conclusion
In summary, although an AS-PSH facility is a modern power plant with a combination of AC
generator and power converter, the electrical systems of pumped storage hydropower (PSH)
plants are similar to any other power plant. During the past few decades, numerous renewable
power plants have been installed, some of which have a power rating of several hundreds of
megawatts; thus, power system planning (feasibility studies, system impact studies, etc.)
facilities planning (sizing the switchgear, transformer, system protections) have been
implemented on other renewable power plants with similar capacities and capabilities.

From the resource point of view, the main difference between AS-PSH and other renewables
(wind, photovoltaics) is the availability of the resource (water) and the ability to adjust the source
(water flow). In comparison, wind (photovoltaics) cannot really increase the output power if the
wind speed (or solar irradiance) stays the same.

From the available energy stored, the main difference between AS-PSH and a conventional
battery energy storage system is the capacity (the level of potential energy available). A large
PSH plant might be able to store 1 GW-hour (assuming 100 MW at 10 hour). At this level of
capacity, a battery energy storage system will be too expensive to construct.

Regarding the life span, PSH can last more than 100 years, whereas a battery energy storage
system must be replaced within 10–20 years. Wind power plants and photovoltaic plants are
designed to last 20–30 years.

The following can be summarized for AS-PSH:

• Power, voltage, and current ratings are similar to those of conventional power plants
(steam, gas, large renewable plants).
• In AS-PSH plants, individual generators are typically much larger than the individual
generators in other renewable power plants (e.g., a large wind turbine is between 3–10
MW, whereas an AS-PSH plant could consist of multiple 100 MW generators).
• There are many types of hydropower generators (induction, DFIG, synchronous
generator, adjustable-speed generator), similar to wind power generators; thus, the start-
up procedure and the SCC contribution depend on the generator types. And the
switchgear and the setting of the system protections must be specified according to the
type of generator used for the AS-PSH.

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