CHAPTER-1

INTRODUCTION AND LITERATURE REVIEW

1.1 INTRODUCTION
Hydropower is a renewable, non-polluting and environmentally benign source of energy.
It is perhaps the oldest renewable energy technique known to the mankind for mechanical
energy conversion as well as electricity generation. Hydropower represents use of water
resources towards inflation free energy due to absence of fuel cost with mature
technology characterized by highest prime moving efficiency and spectacular operational
flexibility.
Hydropower contributes around 22% of the World electricity supply generated from
about 7,50,000 MW of installed capacity and in many countries, it is the main source of
power generation e.g. Norway – 99%, Brazil- 86%, Switzerland – 76% and Sweden –
50%[25]. Power generating total installed capacity in India is 1, 27,056 MW, which
includes 32,442.5 MW from hydro. Despite hydroelectric projects being recognized as
the most economic and preferred source of electricity, the share of hydropower in India
has been declining since 1963. The hydro share declined from 50% in 1963 to about 26%
in 2005. For grid stability the ideal hydro-thermal mix ratio is 40:60. It is therefore,
necessary to correct the hydro-thermal mix to meet the grid requirements and peak power
shortage.
The Government of India has announced, in August, 1998 Policy on Hydro Power
Development, followed by 50,000 MW hydro-electric initiatives in May, 2003. About
70% of the population in India lives in rural areas. The rural energy scenario is
characterized by inadequate, poor and unreliable supply of energy services. Realizing the
fact that small hydropower projects can provide a solution for the energy problem in
rural, remote and hilly areas where extension of grid system is comparatively
uneconomical and also along the canal systems having sufficient drops, promoting small
and mini Hydro projects is one of the objectives of the Policy on Hydro Power
Development in India.

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 In addition, 56 number of pumped storage projects have also been identified with
probable installed capacity of 94,000 MW .in addition to this, hydro-potential from small,
mini& micro schemes has been estimated as 15000 MW. Thus in totality India is
endowed with hydro-potential of about 2, 50,000 MW.

Hydro is many times a cheaper option for the country compared to thermal power due to
the following reasons:

a. Life of hydro plants is 60 years minimum ,against 30 years that of thermal plants
b. Against zero cost input in case of hydro ,constant escalation in cost of coal makes
the operational cost of Thermal ever increasing
c. Load carrying capacity of the grid and hence its economy improves with the
peaking partnership of Hydro ,reducing backing down of thermal plants and
therefore increasing their PLF and efficiency

Capital investment of hydro if half that of thermal ,considering the infrastructural costs
and auxiliary factors .in India ,average cost of hydro power generation is one 3 rd to one 4th
of thermal. The status of hydropower potential in India is given in Table1.1

Table No.1.1 status of hydro electric potential development [24]

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 ( In terms of Installed capacity) - As on 30.06.2008
Region/state Indentifie Capacity developed Capacity under Capacity Capacity yet to be
d capacity Construction developed+ capacity developed
as per re- under construction
assessment
study

NORTHERN (MW) (MW) % (MW ) % (MW) % (MW) %

Jammu&kashmir 14146 1864.2 13.18 899.0 6.36 2763.2 19.53 11382.9 80.47
Himachal Pradesh 18820 6085.5 32.34 4435.0 23.57 10520.5 55.90 8299.6 44.10
Punjab 971 1297.7 100.00 0.00 0.00 1297.7 133.64 0.00 0.00
Haryana 64 62.4 97.50 0.00 0.00 62.4 97.50 1.6 2.50
Rajasthan 496 430.0 86.69 0.00 0.00 430.0 86.69 66.0 13.31
Uttaranchal 18175 3056.1 16.81 1850.0 10.18 4906.1 26.99 13269.0 73.01
Uttar Pradesh 723 510.2 70.57 0.00 0.00 510.0 70.57 212.8 29.43
Sub Total (NR) 53395 13305.9 24.92 7184.0 13.45 20489.9 38.37 32905.1 61.63
WESTERN (MW) (MW) % (MW ) % (MW) % (MW) %

Madhya Pradesh. 2243 2438.5 108.72 400.0 17.83 2838.5 100.00 0.0 0.00
Chhattisgarh 2242 137.0 6.11 0.00 0.00 137.0 6.11 2105.0 93.89
Gujarat 619 555.0 89.66 0.00 0.00 555.0 89.66 64.00 10.34
Maharashtra 3769 2653.3 70.40 0.00 0.00 2653.3 70.40 1115.7 29.60
Goa 55 0.00 0.00 0.0 0.00 0.0 0.00 55.0 100.00
Sub total (WR) 8928 5783.8 64.78 400.0 4.48 6183.8 69.26 2744.2 30.74
SOUTHERN (MW) (MW) % (MW ) % (MW) % (MW) %

Andhra Pradesh 4424 2056.5 46.49 605.0 13.68 2661.5 60.16 1762.5 39.84
Karnataka 6602 3448.3 52.23 230.0 3.48 3678.3 55.71 2923.7 44.29
Kerala 3514 1838.5 52.32 160.0 4.55 1998.5 56.87 1515.5 43.13
Tamilnadu 1918 1757.5 91.63 60.0 3.13 1817.5 94.76 100.6 5.24
Sub Total (SR) 16458 9100.8 55.30 1055.0 6.41 10155.8 61.71 6302.3 38.29
EASTERN (MW) (MW) % (MW ) % (MW) % (MW) %

Jharkhand 753 237.2 31.50 0.0 0.00 237.2 31.50 515.8 68.50
Bihar 70 44.9 64.14 0.0 0.00 44.9 64.14 25.1 35.86
Orissa 2999 2011.5 67.07 0.00 0.00 2011.5 67.07 987.5 32.93
West Bengal 2841 156.5 5.51 292.0 10.28 448.5 15.79 2392.5 84.21
Sikkim 4286 594.0 13.86 1919.0 44.77 2513.0 58.63 1773.0 41.37
A& Nicobar 0 5.3
Sub Total (ER) 10949 3049.4 27.85 2211.0 20.19 5260.4 48.04 5688.7 51.96
NORTH EASTERN (MW) (MW) % (MW ) % (MW) % (MW) %

Meghalaya 2394 185.2 7.74 124.0 5.18 309.2 12.92 2084.8 87.08
Tripura 15 15.0 100.00 0.0 0.00 15.0 100.00 0.0 0.00
Manipur 1784 105.0 5.89 0.0 0.00 105.0 5.89 1679.0 94.11
Assam 680 375.0 55.15 0.0 0.00 375.0 55.15 305.0 44.85
Nagaland 1574 99.0 6.29 0.0 0.00 99.0 6.29 1475.0 93.71
Arunachal Pd 50328 423.5 0.84 2600.0 5.17 3023.5 6.01 47304.5 93.99
Mizoram 2196 0.0 0.00 0.0 0.00 0.0 0.00 2196.0 100.0
Sub Total (NER) 58971 1202.7 2.04 2724.0 4.62 3926.7 6.66 55044.3 93.34
ALL INDIA 148701 32442.5 21.82 13574.0 9.13 46016.5 30.95 102684.5 69.05

1.2 SMALL HYDROPOWER

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Small hydro power (SHP) is one of the most common renewable, economic, non-
consumptive, non-radioactive, non-polluting and environmentally benign sources of
energy. India has a century old history of hydropower and the beginning was from small
hydro. The first hydro power plant was of 130 KW set up in Darjeeling during 1897,
marked the development of hydropower in the country. With the advancement of
technology, and increasing requirement of electricity, the thrust of electricity generation
was shifted to large size hydro and thermal power stations. However, during the last 10-
15 years there is a renewed interest in the development of small hydro power projects due
to its benefits particularly concerning environment and ability to produce power in
remote areas. Small hydro projects are economically viable and have relatively short
gestation period. The major constraints associated with large hydro projects are usually
not encountered in small hydro projects. The World estimated potential of small hydro is
of around 180,000 MW. India has as an estimated potential of about 15,000 MW with
perennial flow rivers, streams and a large irrigation canal network with dams & barrages.
Of this, 4,861 potential sites with an aggregate capacity of 12841.81 MW have been
identified. The advantages and SWOT analysis are given below [27].and state wide
identified of small hydropower is given in Table1.2; small hydro scene up to 25 MW is
given in table1.3.
1.2.1 Small hydro advantages
1. A fast way to increase rural electrification, improved living standards and simulation
of rural industries
2. Flexibility of installation and operation in an isolated mode and also in a localized or
regional grid system
3. Relatively small investments required as compared to large hydro
4. Low operational cost with cheap and simple maintenance
5. Standard indigenous technologies and maintenance base available which require only
minor adaptation to specific site condition
6. Compatible with use of water for other purposes such as irrigation , drinking etc
7. Long life of 30- 40 years
8. Perennial source of income generation
1.2.2 SWOT analysis of Small Hydro Power

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Strengths
• Utilizes highest density renewable energy source
• Non-consumptive, non – polluting and environmentally benign
• Low gestation schemes
• Private sector policy is in position in 14 states of India
• Reliable and mature technology available in India
Weakness
• Non – availability of pre- investment study reports of newly identified sites
• Single window clearance facility not functional in all states
• Non – uniformity of wheeling & banking facility
• Non – uniformity of buy back and third party sale
• Water royalty charged from private entrepreneurs
Opportunities
• Estimated potential 15,000 MW of which 12,841MW has been developed
• International assistance available
• Power deficit / decentralized power requirement
• Attractive proposition for captive power
Threats
• Economics depends on government policies
• Hilly hydro face problems of land slides, uplift pressures, differential settlements,
flash floods etc.
• Rapid wear of equipment due to high concentration of sediment in the streams

Table 1.2 state wise identified small hydropower sites

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 up to 25 MW capacity (As on 31/03/2009) [24]

Sl. Installed SHP Under Identified Potential

No. Projects Construction Sites
Name of state
Projects
No. MW No. MW No. MW
1 Andhra Pradesh 75 214.64 45 97.85 376 247.70
2 Arunachal Pradesh 82 48.94 25 40.22 443 1239.53
3 Assam 3 2.11 17 73.70 99 162.88
4 Bihar 8 50.90 13 13.00 74 149.35
5 Chhattisgarh 4 18.00 34 410.70 146 564.41
6 Goa 1 0.05 4 4.45 1 2.00
7 Gujarat 2 7.00 3 3.60 287 186.37
8 Haryana 5 62.70 5 10.80 23 36.55
9 Himachal Pradesh 67 184.78 13 64.00 456 2019.03
10 Jammu & Kashmir 31 114.00 7 9.37 208 1294.43
11 Jharkhand 6 4.05 8 34.85 89 170.05
12 Karnataka 94 592.80 29 123.59 15 31.20
13 Kerala 18 119.27 22 135.30 205 449.53
14 Madhya Pradesh 9 33.15 5 41.10 285 729.39
15 Maharashtra 33 246.63 3 13.50 219 472.50
16 Manipur 11 7.13 4 10.25 99 91.75
17 Meghalaya 3 30.70 8 1.78 90 197.32
18 Mizoram 17 14.81 5 16.20 53 135.93
19 Nagaland 9 20.67 6 19.00 84 149.31
20 Orissa 6 7.30 10 70.18 206 217.99
21 Punjab 33 125.75 0 0.00 204 267.48
22 Rajasthan 9 23.85 2 5.50 55 27.82
23 Sikkim 16 38.82 5 12.40 70 214.33
24 Tamil Nadu 15 100.30 12 77.80 170 481.41
25 Tripura 3 16.01 0 0.00 10 30.85
26 UT (A & N Islands) 1 5.25 6 2.02 0 0.00
27 Uttar Pradesh 9 25.10 0 0.00 242 435.65
28 Uttarakhand 91 85.71 35 56.75 318 1434.99
29 West Bengal 45 101.35 17 81.25 141 213.52
TOTAL 674 2429.77 343 1429.15 5415 14,305.47

Table 1.3 small hydro (up to 25mw) scenario [24]

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 Overall potential 15,000 MW
Identified potential 14305.47 MW (5415 sites)
Installed capacity 2045.61MW
Under construction 1429.15 MW (343 projects)
Capacity addition during 2002-2007 Over 500 MW
Target capacity addition – 11th Plan 1400 MW
(2007-2012)

1.3 DEFINITION OF SMALL HYDRO POWER

There is a general tendency all over the world to define Small Hydropower by the
power output. Different countries follow different norms, the upper limit ranges between
5 to 50 MW, as given in the Table.1.4

Table 1.4 Worldwide definitions of SHP [23]

Country Capacity (MW)

UK ≤5
UNIDO ≤ 10
Sweden ≤ 15
Colombia ≤ 20
Australia ≤ 20
India ≤ 25
China ≤ 25
Philippines ≤ 50
New Zealand ≤ 50

In India, out of 150,000 MW hydropower potential, 15,000 MW potential is

estimated as small hydro, of which about 12% has been tapped so far. In India, SHP
schemes are classified by the Central Electricity Authority (CEA) as given in the

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Table1.5 Power stations are also classified based on the head available and is given in
Table1.6

Table 1.5 Classification of Small Hydro Power schemes in India [23]

Type Station capacity Unit rating
Micro Up to 100 kW Up to 100 kW
Mini 101 to 2000 kW 101 to 1000 kW
Small 2001 to 25000 kW 1001 to 5000 kW

Table 1.6 Small Hydro Power Classification based on head [23]

Type Range of Head
Ultra Low Head Below 3 m
Low Head 3 to 40 m
Medium/ High Head Above 40 m

1.4 TYPES OF SHP SCHEMES

Small Hydropower can also be broadly categorized in three types as follows:
1. Run of River schemes
2. Canal based schemes
3. Dam toe based schemes
1.4.1 Run-Of River Scheme
Run-of-River hydroelectric schemes are those, in which water is diverted towards
power house, as it comes in the stream. Practically, water is not stored during flood
periods as well as during low electricity demand periods, hence water is wasted. Seasonal
changes in river flow and weather conditions affect the plant’s output. After power
generation water is again discharged back to the stream. Generally, these are high head
and low discharge schemes. The typical run-of river scheme is shown in Fig. 1.1.

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 Fig.1.1 Typical arrangement of run-off river scheme [23]

1.4.2 Canal Based Scheme

Canal based small hydropower scheme is planned to generate power by utilizing
the fall in the canal. These schemes may be planned in the canal itself or in the bye pass
channel. These are low head and high discharge schemes. These schemes are associated
with advantages such as low gestation period, simple layout, no submergence and
rehabilitation problems and practically no environmental problems. The typical canal
based scheme is shown in Fig.1.2

Fig.1.2 Typical arrangement of canal based scheme [23]

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1.4.3 Dam Toe Based Scheme
Dam based schemes are those in which water is stored in the river by constructing
a dam across the river and the power is generated by controlled flow from the
storage.dam toe powerhouse is common in India. In dam toe scheme, the intake system
forms the part of the main dam. The typical layout of dam based small hydropower
scheme is shown in fig1.3

Fig. 1.3 Typical arrangement of dam toe based scheme [23]

1.5 LITERATURE REVIEW

Earlier author has carried out work in the past on sizing and cost of small hydro power
projects and literature available in journals and other publications has been studied. The
important literature is presented as follows

1.5.1 LITERATURE REVIEW ON COST

F. Forouzbakhsh, S.M.H. Hosseini, and M. Vakilian [1] in their paper reviews the
structure of BOT contracts and through an economic evaluation based on different
percentage of investments of private sector in providing the expenses of small and
medium hydro-power plants, demonstrates that by increasing the percentage the share of
the private sector in the investment, the economic indices B/C and NPV improve
substantially.

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Oliver Paish [8] in his paper summarizes the different small hydro technologies, new
innovations being developed, and the barriers to further development Small-scale hydro
is in most cases “run-of-river”, with no dam or water storage, and is one of the most cost-
effective and environmentally benign energy technologies to be considered both for rural
electrification in less developed countries and further hydro developments in Europe.
R. Montanari [4] in his paper presents an original method for finding the most
economically advantageous choice for the installation of micro hydroelectric plants.
More precisely, the paper that follows is to be considered in a context defined as
“problematic” by those who have the job of constructing water-flow plants with only
small head and modest flow rates. Traditional plant solutions using Kaplan or Francis
type turbines must be rejected because of the high levels of initial investments. Much
more simple configurations must be analyzed, such as plants with propeller turbines or
Michel–Banki turbines, in order to reduce the investment costs. The general methodology
applied provides a powerful decision-making instrument which is able to define the best
plant configuration. The method is based on the use of economic profitability indicators,
such as the Net Present Value (NPV), calculated using the plant project parameters, the
nominal flow rate and head, and the particular hydrologic characteristics of the site, such
as the type of distribution, the average value and the standard deviation of the flow rates
in the course of water supplying the plant
S.M.H. Hosseinia, F. Forouzbakhshb, M. Rahimpoor [6] in their paper a method to
calculate the annual energy has presented, as is the program developed using Excel
software. This program analyzes and estimates the most important economic indices of a
small hydro power plant using the sensitivity analysis method. Another program,
developed by Mat lab software, calculates the reliability indices for a number of units of a
small hydro power plant with a specified load duration curve using the Monte Carlo
method. Ultimately, comparing the technical, economic and reliability indices will
determine the optimal installation capacity of a small hydro power plant.
S.K. Singal and R.P.Saini [9] has presented methodology to determine the correlations
for the cost of different components of canal based small hydro power schemes. The cost
based on the developed correlations, having different head and capacity, has been
compared with the available cost data of the existing hydropower stations. It has been

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found that these correlations can be used reasonably for the estimation of cost of new
canal-based SHP schemes.

.1.5.2 LITERATURE REVIEW ON SIZING

John S. Anagnostopoulos, Dimitris E. Papantonis [13] in their paper the sizing of a
small hydropower plant of the run-of-river type is very critical for the cost effectiveness
of the investment. In the present work, a numerical method is used for the optimal sizing
of such a plant that comprises two hydraulic turbines operating in parallel, which can be
of different type and size in order to improve its efficiency. The study and analysis of the
plant performance is conducted using a newly developed evaluation algorithm that
simulates in detail the plant operation during the year and computes its production results
and economic indices. A parametric study is performed first in order to quantify the
impact of some important construction and operation factors. Next, a stochastic
evolutionary algorithm is implemented for the optimization process. Analyzing the
results of various optimizations runs, it becomes possible to identify the most
advantageous design alternatives to realize the project. It was found that the use of two
turbines of different size can enhance sufficiently both the energy production of the plant
and the economic results of the investment. Finally, the sensitivity of the plant
performance to other external parameters can be easily studied with the present method,
and some indicative results are given for different financial or hydrologic conditions
K.V.Alexander, E.P.Giddens [5] in their paper an overview of a program that is in the
final stages of developing a modular set of cost-effective micro hydro schemes for site
heads below those currently serviced by Pelton Wheels. The rationale has been that there
is a multitude of viable low-head sites in isolated areas where micro hydro is a realistic
energy option, and where conventional economics are not appropriate, especially in Third
World countries. The goals of this project have been to provide low-cost, soundly based
turbine design solutions that systematically cover the 0.2–20kW supply, that are uniquely
resistant to debris blockage and are easily built by tradesmen of medium skills in regional
workshops. The paper presents the results as a matrix of the most cost-effective penstocks
matched to modular turbines using established electronic controls. It discusses practical
issues of site selection and options for sites where exact matches are not achieved.

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N.G. Voros, C.T. Kiranoudis, Z.B. Maroulis[14] in their paper the problem of
designing small hydroelectric plants has been properly analyzed and addressed in terms
of maximizing the economic benefits of the investment. An appropriate empirical model
describing hydro turbine efficiency was developed. An overall plant model was
introduced by taking into account their construction characteristics and operational
performance. The hydro geographical characteristics for a wide range of sites have been
appropriately analyzed and a model that involves significant physical parameters has
been developed. The design problem was formulated as a mathematical programming
problem, and solved using appropriate programming techniques. The optimization
covered a wide range of site characteristics and three types of commercially available
hydro turbines. The Methodology introduced an empirical short-cut design equation for
the determination of the optimum nominal flow rate of the hydro turbines and the
estimation of the expected unit cost of electricity produced, as well as of the potential
amount of annually recovered energy.
S.K. Singal and Varun [10] in his paper planning and designs of small hydroelectric
schemes is an evolving process leading to safe and cost effective refinements in designs.
The major factor for high cost of civil works of the these schemes is conventional designs
coming out of designers with a mind set, that of miniaturizing a major hydro model for
small/mini hydro, there-by including many of the components not required or used in
small hydro operation at all. First and foremost step needed is to break this mindset and
reduce the civil cost of small hydro projects by innovative and practical designs. The
lesson learnt from the experience and use of new technologies make small hydropower
plants economically viable. Use of local materials and site-specific design/solutions make
the scheme cost effective and reduce the operation and maintenance cost

1.6 OBJECTIVE OF PRESENT STUDY

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The problem associated with Small Hydro is initial capital cost which becomes the
overriding issue. Each proposed site requires individual engineering considerations for
civil works as well as for equipment. Therefore, costs become infeasible due to lack of
standardization of the system for such a small power generation.
Cost effective small hydro would depend largely on proper selection of site, good
planning of the layout of the scheme on optimization basis, competent hydrological and
power potential studies, careful and correct designs of structures, proper estimates with
realistic rates and use of construction techniques appropriate to small hydro and efficient
execution. In the present study has been carried out to considering following
1. To study various components of SHP schemes
2. To identify cost sensitive parameters
3. To carry out sizing of components of civil works
4. To determine cost of components of civil works based on actual based on
actual quantity and prevailing rates.
5. To determine the correlations for cost of components.
6. Using linear optimization optimum layout was selected

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