3

CHAPTER 2
LITERATURE REVIEW OF HYDROPOWER PLANT

2.1. Literature Review of Francis Turbine

Salman Bahrami carried out multi-fidelity design optimization of Francis
runner blades in December 2015. This PhD project proposes a multi-fidelity design
optimization (MFDO) methodology that aims to improve the design process
efficiency. This methodology has been developed to tackle hydraulic turbine runner
design problems, but it can be employed in other engineering optimizations, which
have costly computational design processes. The MFDO approach splits the
computational burden between low- and high-fidelity phases to integrate benefits of
low- and high-fidelity evaluations. Einar Agnalt performed pressure measurements
inside a Francis turbine runner. In this paper, an investigation of pressure pulsations in
a high head model turbine is performed with the use of onboard pressure sensors and
strain gauge. On the other hand, the setup is considered as a good reference for
computational fluid dynamics validation (CFD) [3].
Kurosawa performed design optimization method for Francis turbine in
December 2014. This paper presents a design optimization system coupled CFD.
Optimization algorithm of the system employs particle swarm optimization (PSO).
Blade shape design is carried out in one kind of NURBS curve defined by a series of
control points. U Tun Oke performed the research of Francis Turbine (Runner) in
2009. In his research, the design and calculation of Francis Turbine (Runner) was
designed and calculated. Daw Cho New Tun carried out the paper of cross-flow
turbine in 2008. This paper expresses the design and calculation of 5kW cross-flow
turbine for microHydropower Plant [2].

2.2. Introduction to Water Turbine

Water power is one of the major sources of energy. The other sources of
energy being developed by the fuels such as coal, oil, etc., and nuclear power are used
for energy. These are some of the conventional sources of energy. However, some 4
non-conventional sources of energy have also been developed such as tidal power,
 4

solar power, wind power, tec. Total world energy requirements are supplied primarily
by fossil fuels, nuclear fuel and hydraulic and other. About 96 percent of world
energy requirements came from fossils fuels, with the other 4 percent largely form
hydroelectric and nuclear sources. A Hydropower Plant requires no fuel and it is
much simpler to operate and maintain. Therefore the operating costs of Hydropower
Plant are much less than thermal power plant [8].

2.3. Classification of Hydropower Plants

There are several classifications of related to the dimension of hydropower
plants, Hydropower plants can be classified as follows:
1. Large Hydro: 100 MW to 1000 MW
2. Medium Hydro: 15 MW to 100 MW
3. Small Hydro: 1 MW to 15 MW
4. Mini Hydro: 100 kW to 1 MW
5. Micro Hydro: 5 kW to 100 kW
6. Pico Hydro: Fewer Watt to 5 kW

2.4. Types of Hydropower Plants

Hydropower plants may be classified in the different ways depending on the
certain classification. They are
1. Impoundment Types
2. Diversion Types
3. Pumped Storage Types

2.4.1. Impoundment Types

The most common type of hydroelectric power plant is an impoundment
facility. An impoundment facility, typically a large hydropower system, uses a dam to
store river water in a reservoir. The construction of a dam and impounded add to the
cost of behind facility, may have undesirable environmental consequences due to
flooding the dam, but may also provide for downstream flood control, and improved
agricultural, industrial, and municipal water supplies. Water released from the
reservoir flows through a turbine, spinning it, which in turn activates a generator to
produce electricity. The water may be released to meet changing electricity needs or
other needs, such as flood control, recreation, fish passage, and other environmental
 5

and water quality needs. Impoundment type is as shown in Figure 2.1 [5].

Figure 2.1. Impoundment Types [11]

2.4.2. Diversion Types

A diversion, sometimes called a “run-of-river” facility, channels a portion of a
river through a canal and/or a penstock to utilize the natural decline of the river bed
elevation to produce energy. The plant output is therefore dependent directly on the
instantaneous flow rate of the stream, although the plant may be utilized all of the
water available, especially under flood conditions. Micro hydropower plants are
almost always diversion type. A diversion may not require the use of a dam.
Diversion Type is as shown in Figure2.2 [5].

Figure 2.2. Run-of-River Types [11]

2.4.3. Pumped Storage Types

Pumped storage hydropower, or PSH, works like a giant battery. A PSH
facility is able to store the electricity generated by other power sources, like solar,
wind, and nuclear, for later use. These facilities store energy by pumping water from a
 6

reservoir at a lower elevation to a reservoir at a higher elevation. When the demand

for electricity is low, pumped-storage hydropower facility stores energy by pumping
water from the lower reservoir to an upper reservoir. During periods of high electrical
demand, the water is released back to the lower reservoir and turns a turbine,
generating electricity. Pumped storage Type is as shown in Figure 2.3 [5].

Figure 2.3. Pumped Storage Types [11]

2.5. Basic Components of Hydropower Plants

Basic components of hydropower plants are
1. Dam
2. Intake
3. Head race
4. Powerhouse
5. Penstock
6. Forebay
7. Spillway
8. Tailrace
9. Turbine
10. Generator
11. Transformer

Civil work includes dam, intake, tailrace, headrace, powerhouse, forebay,

penstock pipe and spillway. Mechanical components are turbines, generators, drive
system and controllers. Electrical portions such as transmission or distribution
network are included. Basic components of Hydropower plants are as shown in
Figure2.4 [8].
 7

Figure 2.4. Basic components of Hydropower plants [11]

2.5.1. Dam
Dam is built at a suitable location across the river, both to create head and to
provide a large area or pond of water from which draft can readily be made. It is to
control the flow of water and to create high level of pressure head. Dam may be
different types such as earth dam, masonry dam, and concrete dam. Out of these,
concrete dams are quite common. In order to control supply of water from the storage
reservoir certain gates and valves are used [1].

2.5.2. Intake
The function of the intake in a hydropower system is to let the water flow into
the conduit or penstock pipe under controlled conditions. Intake weirs are used to
minimize inflow of sediment and flowing debris leave into the headrace channel.
Intake gates are used to block flood flow entering into the headrace channel since the
over flow from the headrace channel will cause damage. Intake weir can be repaired
after the flooding season has been over [8].

2.5.3. Head race

At many sites a headrace (cannel) that runs parallel to build up a sufficient
head is required. The cheapest way of achieving this is usually an unlined earth canal,
similar to the traditional irrigation canals. Occasionally, if it passes through soils that
are porous or is built above the terrain, it may be lined with concrete or be constructed
from masonry. Settling ponds add extra cost and are sometimes excluded; in that case
the settling that occurs tends to do so in the headrace itself which then has to be
cleaned regularly [8].
 8

2.5.4. Powerhouse
Powerhouse contains the turbine, the generator, and the control equipment.
The powerhouse must be situated so that it is not flooded and the foundations must be
constructed and placed not to be washed out by the tail water. The two bearings that
support the turbine axis should be secured to a concrete foundation. The powerhouse
can be built very cheaply and simply but can also be made to serve as a mill or a
workshop containing a variety of tools [8].

2.5.5. Penstock
Penstock is a pressure pipe that coveys the water under pressure from the
forebay to the turbine. This is a metal, plastic or concrete pipe, which allows for the
passage of water from the forebay to the turbine. This implies that the penstock
should be as short and steep as possible. It should be supported and carefully
designed, approximately 30% over static head to for pressure surges. It is important
that the penstock is well anchored at each end, and that it is firmly and supported [10].

2.5.6. Forebay
A forebay is essentially a storage reservoir at the head of the penstocks. The
purpose of a forebay is to temporarily store water when the turbine is not required and
supply the same when required. Where the powerhouse is located just at the base of
the dams no forebay are required to be provided since the reservoir itself serves the
same purpose. But, if the powerhouse is situated away from the storage reservoir, then
a forebay may be provided. In that case water from the reservoir is first led into
forebay which in turn distributes it to penstocks through which it is supplied to the
turbine. Where the power house is located at the end of a canal, a forebay may be
provided by enlarging the canal just ahead of the powerhouse [1].

2.5.7. Spillway
A control discharges of excess flow back into the river. The cost of a required
spillway is estimated separately from the cost of the dam since each type of dam has
different spillway requirements [8].

2.5.8. Tailrace
The tailrace is usually a short, open canal which leads the water from the
power house back into a stream generally the stream from which the water came [10].
 9

2.5.9. Turbine
The turbine is the head of the hydropower system. It consists of a runner
connected to a shaft, which converts the potential energy from falling water into
mechanical or shaft power. Turbines are usually divided into three groups
corresponding to high, medium and low heads. The selection depends on the desired
running speed of the generator. All turbines are lending to most efficiency at
particular combination of speed, head and flow [10].

2.5.10. Generator
The generator connects to the turbine and rotates to produce the electrical
energy. As the turbine blades turn, so do a series of magnets inside the generator.
Giant magnets rotate past copper coils, producing alternating current (AC) by moving
electrons. Electrical machines which use the mechanical energy convert it into
electrical energy [2].

2.5.11. Transformer
The transformer inside the powerhouse takes the AC and converts it to higher
voltage and current. Electrical equipment varies the voltage which enables energy to
be transported over distances economically [4].

2.6. Hydraulic Turbines

Hydraulic turbines are the prime movers that convert the energy of the falling
water into a rotational mechanical energy and consequently to an electric energy
through the use of the generators that are connected to the turbines. The wheel or
rotator carrying a number of blades or vanes is called runner. The rotating turbine
runner drives the rotor shaft of the electric generator converting the mechanical
energy to electrical power. Water is delivered from the water head to the turbine
through pressure conduits and drawn away from the runner through draft tubes into
the tail water system.

2.7. Head
On the basis of the head and quantity of water required, the turbines may be
classified as follows:
1. High Head Turbines
2. Medium Head Turbines
 10

3. Low Head Turbines

2.7.1. High head turbines

High head turbines are those which are capable of working under very high
heads ranging from several hundred meters to few thousand meters. These turbines
thus require relatively less quantity of water. In general, impulse turbines are high
head turbines.

2.7.2. Medium head turbines

Medium head turbines are those which are capable of working under medium
heads ranging from about 60m to 250m. These turbines thus require relatively large
quantity of water, Modern Francis turbine may be classified as medium head turbines.

2.7.3. Low head turbines

Low head turbines are those which are capable of working under heads less
than 60m. These turbines thus require large quantity of water.

2.8. Position of Shaft

The distinction as to position of shaft is obvious. The vertical shaft turbines
are, however, further classified as right-hand or left-hand turbines according to the
direction of rotation. If in looking down upon the wheel from above, the rotation
appears clockwise it is called right-hand turbine. The reverse of this is left-hand
turbine.
In general, a horizontal shaft is more desirable from the stand point of the
station operator on account of greater accessibility and less bearing trouble, but the
latter is of less significance in recent years due to the greater perfection that has been
obtained in the construction of suspension bearings for such service. A vertical shaft
turbine occupies much less floor space, but often requires more excavation and a
higher building.
So far as efficiency of the runner alone as little difference between vertical and
horizontal turbines. Vertical turbine is more power output than the horizontal other
things being equal, the hydraulic losses should be identical in either case, but there
might be some difference in the friction of the bearing. As the latter is only a
relatively small item, a reasonable variation on its value would have but slight effect
on the efficiency.
 11

2.9. Types of Hydraulic Turbine

The hydraulic turbines can also be categorized into two types: impulse and
reaction turbines based on the change of the water pressure while passing through the
rotor.

2.9.1. Types of Reaction Turbine

Reaction turbines are the turbines that use the pressure as well as the velocity
of the moving water to rotate. The water is fed to the runner all around the
circumference from a volute casing through a ring of guide vanes. Reaction turbines
are placed in the water stream where the water enters the casing tangentially. It is
necessary for the runner to be always full with water to reduce the pressure losses.
After rotating the blades the water axially leaves the casing of the turbine. All reaction
turbines are subject to the danger of cavitations. Typical types of reaction turbines are
Francis turbine, Propeller turbine, Free-flow turbine and Kaplan turbine.

2.9.1.1. Francis turbine

The Francis turbine is a type of water turbine and it is also called an inward-
flow reaction turbine because that combines radial and axial flow concepts. Francis
Turbine is as shown in Figure 2.5.

Figure 2.5. Sectional Arrangement of Francis Turbine [4]

 12

The flow passes inwardly through a circular series of guide vanes or wicket
gates, pivotally for regulation and having contracting passages between them in
which a part of the head is converted into velocity head. The streams issue from the
guide vanes in a diagonal direction having both radial inward and tangential velocity
components. The streams then merge within a transition space represented by the
clearance between the guide vanes and runner vanes and form a continuous ring of
revolving and inwardly progressing water.
The water then enters the runner passages in which the radial component of
motion is gradually turned between inner and outer walls of the runner either partially
or completely into the axial direction, while the tangential or whirl components are
gradually deflected by the vanes until at discharge from the runner a small whirl
component remains. The flow then passes through a draft tube which by means of
progressively increasing cross-sectional area gradually reduces the velocity, a large
part of the residual kinetic energy remaining in the runner discharge being converted
into effective head, which is utilized through a reduction in the static pressure against
which the runner discharges. Francis turbines are the most common water turbine in
use today, and can achieve over 95% efficiency.

2.9.1.2. Propeller turbine

The propeller turbine is a type of inward flow reaction turbine with a
propeller-shaped runner, which can be seen in ships and submarines. It is equipped
with either fixed or adjustable blades. In the propeller turbine, the water flow is
regulated by adjustable guide vanes (or wicket gates). The vanes move the water into
the runner to transfer its energy to the blades. The propeller turbine is usually
employed in hydraulic sites with high flow rates. Most reaction turbines are propeller
type. The propeller turbine runner generally has three to six blades, to which water
strikes continuously at a constant rate.

The main components of a propeller turbine are the runner, a scroll case,
wicket gates, and the draft tube. The main part of the runner is the propeller including
the rotating hub and blades to carry the fluid potential and kinetic energy to the shaft
attached to the turbine. Propellers can be classified based on different methods, such
as the number of blades or blade pitch. The flow direction is axial for most propeller
turbines, parallel to the axis of rotation. They are therefore categorized as mid-flow
 13

turbines. Early developments used propeller turbine units with vertical shafts. More
recent developments utilize a horizontal shaft. The blade of a propeller turbine can be
rigidly attached to the hub, called fured-blade runners. Propeller Turbine is as shown
in Figure 2.6.

Figure 2.6. Propeller Turbine [5]

2.9.1.3. Kaplan turbine

The Kaplan turbine is a propeller-type water turbine which has adjustable

blades. The Kaplan turbine is an inward flow reaction turbine, which means that the
working fluid changes pressure as it moves through the turbine and gives up its
energy. Power is recovered from both the hydrostatic head and from the kinetic
energy of the flowing water. The design combines features of radial and axial
turbines. The inlet is a scroll-shaped tube that wraps around the turbine's wicket gate.
Water is directed tangentially through the wicket gate and spirals on to a propeller
shaped runner, causing it to spin. The outlet is a specially shaped draft tube that helps
decelerate the water and recover kinetic energy. The turbine does not need to be at the
lowest point of water flow as long as the draft tube remains full of water. A higher
turbine location, however, increases the suction that is imparted on the turbine blades
by the draft tube. The resulting pressure drop may lead to cavitation. Variable
geometry of the wicket gate and turbine blades allow efficient operation for a range of
flow conditions. Kaplan turbine efficiencies are typically over 90%, but may be lower
in very low head applications. Kaplan turbines are widely used throughout the world
for electrical power production. They cover the lowest head hydro sites and are
especially suited for high flow conditions. Sectional Arrangement of Kaplan Turbine
is as shown in Figure 2.7.
 14

Figure2.7. Sectional Arrangement of Kaplan Turbine [4]

2.9.1.4. Free flow turbine

Kinetic energy turbines, also called Free Flow turbines, generate
electricity from the kinetic energy present in flowing water rather than the potential
energy from the head. The system may operate in rivers, man-made channels, tidal
water, or ocean currents. Kinetic systems utilize the water stream’s natural pathway.
They do not require the diversion of water through man-made channels, riverbeds, or
pipes, although they might have application s in such conduits. Kinetic systems do not
require large civil works; they can use existing structures such as bridges, tailraces
and channels. Free Flow Turbine is as shown in Figure 2.8.

Figure2.8. Free Flow Turbine [11]

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2.9.2. Types of Impulse Turbine

The impulse turbine powers the runner and uses the water speed to discharge
the atmospheric pressure. The impulse turbine has one or more fixed nozzles, in each
of which the pressure is converted to the kinetic energy of a water jet. The jets of
water then impinge on the moving plates of runner where they lose practically all their
kinetic energy. The velocity of the water at discharge is only sufficient to enable it to
move clear of the runner. The important feature of the impulse turbine is that there is
no change of static pressure across the runner and also no suction on the low side of
the turbine because the water flows out of the base of the turbine box as it hits the
runner. Impulse turbines are best suited to application with high hydraulic head, low
flow and they are characterized by high reliability, low maintenance cost and high
efficiency. Pelton, Turgo, and Cross-flow turbines are the most common types of
impulse turbine.

2.9.2.1. Pelton turbine

The Pelton wheel or Pelton Turbine is an impulse-type water turbine. Nozzles

direct forceful, high-speed streams of water against a series of spoon-shaped buckets,
also known as impulse blades, which are mounted around the outer rim of a drive
wheel which is also called a runner. As the water jet hits the blades, the direction of
water velocity is changed to follow the contours of the blades. The impulse energy of
the water jet exerts torque on the bucket-and-wheel system, spinning the wheel; the
water jet does a "U-turn" and exits at the outer sides of the bucket, decelerated to a
low velocity. In the process, the water jet's momentum is transferred to the wheel and
hence to a turbine. Thus, "impulse" energy does work on the turbine. Maximum
power and efficiency are achieved when the velocity of the water jet is twice the
velocity of the rotating buckets. A very small percentage of the water jet's
original kinetic energy will remain in the water, which causes the bucket to be
emptied at the same rate it is filled, and thereby allows the high-pressure input flow to
continue uninterrupted and without waste of energy. Typically two buckets are
mounted side-by-side on the wheel, with the water jet split into two equal streams;
this balances the side-load forces on the wheel and helps to ensure smooth, efficient
transfer of momentum from the water jet to the turbine wheel. Essential Components
of Pelton Turbine are as shown in Figure 2.9.
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Figure 2.9. Essential Components of Pelton Turbine [4]

Pelton wheels are the preferred turbine for hydro-power where the available
water source has relatively high hydraulic head at low flow rates. Pelton wheels are
made in all sizes. There exist multi-ton Pelton wheels mounted on vertical oil
pad bearings in hydroelectric plants. The smallest Pelton wheels are only a few inches
across, and can be used to tap power from mountain streams having flows of a few
gallons per minute. Some of these systems use household plumbing fixtures for water
delivery. These small units are recommended for use with 30 metres (100 ft) or more
of head, in order to generate significant power levels. Depending on water flow and
design, Pelton wheels operate best with heads from 15–1,800 metres (50–5,910 ft),
although there is no theoretical limit.

Figure 2.10. Pelton Wheel [11]

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2.9.2.2. Turgo turbine

The Turgo turbine is an impulse water turbine designed for medium head
applications. Operational Turgo turbines achieve efficiencies of about 87%. In factory
and lab tests Turgo turbines perform with efficiencies of up to 90%. It works with net
heads between 15 and 300 m. The Turgo has some advantages over Francis and
Pelton designs for certain applications. First, the runner is less expensive to make than
a Pelton wheel. Second, it doesn't need an airtight housing like the Francis. Third, it
has higher specific speed and can handle a greater flow than the same diameter Pelton
wheel, leading to reduced generator and installation cost. Turgos operate in a head
range where the Francis and Pelton overlap. While many large Turgo installations
exist, they are also popular for small hydro where low cost is very important. Like all
turbines with nozzles, blockage by debris must be prevented for effective operation.

Water does not change pressure as it moves through the turbine blades. The
water's potential energy is converted to kinetic energy with a nozzle. The high speed
water jet is then directed on the turbine blades which deflect and reverse the flow. The
resulting impulse spins the turbine runner, imparting energy to the turbine shaft.
Water exits with very little energy. Turgo runners are extremely efficient. A Turgo
runner looks like a Pelton runner split in half. For the same power, the Turgo runner is
one half the diameter of the Pelton runner, and so twice the specific speed. The Turgo
can handle a greater water flow than the Pelton because exiting water doesn't interfere
with adjacent buckets. Aluminium-bronze is generally used for the material of the
runner. Turgo Turbine is as shown in Figure 2.11.

Figure 2.11. Turgo Turbine [11]

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Figure.2.12 shows the water flow through in Turgo impulse turbine. Water jet
from the nozzles strikes the runner at an angle () of 20o~25o at the top of the inlet of
horizontal vanes each of three or four runner blades. The water jet is discharged
towards about the same direction of the shaft from the outlet side opposite to the inlet
direction.Turgo Turbine Wheel is as shown in Figure 2.13.

Figure 2.12. Water Flow Through in Turgo Impulse Turbine [5]

Figure 2.13. Turgo Turbine Wheel [11]

The Turgo turbine has certain disadvantages. Firstly, it is more difficult to
fabricate than a Pelton turbine, therefore the buckets are complex in shape and
overlapping and the vanes of the runner are more fragile than Pelton buckets.
Secondly, Turgo experiences a substantial axial load on its runner, which must be met
by providing a suitable bearing on the end of the shaft.

2.9.2.3. Cross-flow turbine

Cross-flow turbines are also called Banki-Mitchell turbine. The turbine

consists of a cylindrical water wheel or runner with a horizontal shaft, composed of
numerous blades up to 37, arranged radially and tangentially. The blade's edges are
sharpened to reduce resistance to the flow of water. A blade is made in a part-circular
 19

cross-section. The ends of the blades are welded to disks to form a cage like a hamster
cage and are sometimes called "squirrel cage turbines", instead of the bars, the turbine
has the trough-shaped steel blades.

The water flows first from the outside of the turbine to its inside. The
regulating unit, shaped like a vane or tongue, varies the cross-section of the flow. The
water jet is directed towards the cylindrical runner by nozzle. The water enters the
runner at an angle of about 45/120 degrees, transmitting some of the water's kinetic
energy to the active cylindrical blades. Water admission to the two nozzles is throttled
by two shaped guide vanes. These divide and direct the flow so that the water enters
the runner smoothly for any width of opening. The guide vanes should seal to the
edges of the turbine casing so that when the water is low, they can shut off the water
supply. The guide vanes therefore act as the valves between the penstock and turbine.
Both guide vanes can be set by control levers, to which an automatic or manual
control may be connected. The turbine geometry (nozzle-runner-shaft) assures that the
water jet is effective. The water acts on the runner twice, but most of the power is
transferred on the first pass, when the water enters the runner. Only 1⁄3 of the power is
transferred to the runner when the water is leaving the turbine. Cross-Flow Turbine is
as shown in Figure 2.14.

Figure 2.14. Cross-Flow Turbine [5]

 20

The water flows through the blade channels in two directions: outside to
inside, and inside to outside. Most turbines are run with two jets, arranged so two
water jets in the runner will not affect each other. It is, however, essential that the
turbine, head and turbine speed are harmonized. The cross-flow turbine is of the
impulse type, so the pressure remains constant at the runner.

2.10. Comparison between Impulse Turbine and Reaction Turbine

The following table gives the comparison between impulse turbine and
reaction turbine with regard to their operation and application.
Table 2.1. Comparison Between Impulse Turbine and Reaction Turbine
No. Aspects Impulse Turbine Reaction Turbine
The energy of the fluid is
The available fluid energy is partly transformed into
Conversion of
1. converted into kinetic energy kinetic energy before it
fluid energy
by a nozzle. enters the runner of the
turbine.
After entering the runner
with an excess pressure,
Changes in The pressure remains same
water undergoes changes
2. pressure and throughout the action of water
both in velocity and pressure
velocity on the runner.
while passing through the
runner.
Admittance of Water may be allowed to
Water is admitted over the
3. water over the enter a part or whole of the
circumference of the wheel.
wheel wheel circumference.
Water-tight
4. Required. Not necessary.
casing
Water completely fills all the
Extent to
The wheel/turbine does not passages between the blades
which the
5. run full and air has a free and while flowing between
water fills the
access to the buckets. the inlet and outlet sections
wheel/turbine
does work on the blades.
Always installed above the Unit may be installed above
Installation of
6. tail race. No draft tube is or below the tail race, use of
unit
used. a draft tube is made.
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