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RESOURCEA SSESSMENT&P ROJECTF EASIBILITY
Er
ts
Editedb y Jack J. Fritz
EI
horoughlyc overingt he technorogye,c onomicsa, nda pprica- EI' L
ons of small and mini hydropowers ysremsi n the united
ratesa nda broad,t his comprehensivbeo ok fills a hugeg api n
=
rivn fiiinLliril. .. ifit tcE ni-tiocoi.ttf.,i./. ,-wirrri^t-i en a^-nr ci ^w--e-iril_organizeci throughout_ -5
esignedto be usefult o botht heg eneralr eadera ndt het echni_ ET
F.
rl specialist.
* lt helpsd eterminet he properp roceduresm, aterials,a nd
nrethodsto use in a varietyo f situations
* It presentsu seful data for making cost-effective
decisions
* Ir savesti me andw ork by providinga wealtho f technical
informationin one place
* It stimulatesn ew ideasa nda pplications
rom economica nd hydrologicr esourced ataf or planningp ro-
ramsf or electricityg enerationto specifict echnicalg uidelines
r help designa nd constructs mall hydropowerp rojects,t his
rrok providest oday's most completet reatmento f all impor-
rnt aspectso f this increasinglyim portantf ield.
!il! Book Company
l'Jeed for Knowledge
-t the Americas ISBN0 -0?-0aaq?o-b
SMALLA NDMINI
HYDROPOWER
SYSTEMS
RessurceA ssessmencfn d
ProjectF eosibility
Jock J.F rilz
McGRAW-HILL BOOKC OMPANY
New York St. Louis San Francisco Auckrand Bogot6 Hamburg
Johannesburg London Madrid Mexico Montrear New Derhi
Panama Paris Sio pauro singapore sydney Tokyo Toronto
gL'
Contents
Librery of CongressC etaloging in Publication Data
Main entry under title:
Contributors xi
Small and mini hydropower systems.
Preface xiii
Includes bibliographical referencesa nd index.
Notes on Notation xv
l.Hydroclectric power plants-Design and construc-
tion. I.Fritz, Jack J.
TH4581.S53 1984 62t.31'2t34 83-13595
ISBN 0{7{l247G6 1. Introduction Jack J. Fritz, Jean Frangois Henry 1.1
l.l The Promiseo f Small Hydropower 1.2
1.2 Definitiono f Small, Mini, arrdM icro Hydro Projects 1.5
Copyright O l9E4 by McGraw-Hill, Inc. All rights reserved.P rinted 1.3 Historical Perspective 1.7
in the United Statcs of America. Except as permitted under the United
Statcsc opyrightA ct of 1976, no part of this publicationm ay be repro 1.4 World Hydropower Resources l.t 0
duccd or distributcd in any form or by any means,o r stored in a data 1.5 DomesticP rogramsi n the United States 1.14
basc or retricval system, without the prior written permission of the
1.6 SelectedD evelopingC ountry HydropowerP rofiles 1.15
publishcr.
1.7 Small Hydropowera nd Other Sourceso f Electricity r,20
1234567890 KGP/KGP 89876543
1.8 Planninga Small/Mini HydropowerP roject t.24
rsBN 0-D?-0aa'{? 0-h 1.9 References 1.26
Thc cditors for this book were Patricia Allen-Brownea nd Peggy Lamb, 2. Hydrologic Analysis John S. Gladwell,I zroy F. Heitz,
thc dcsigncr was Mark E. Safran, and the production supervisor was Calvin C. Warnick 2.r
Reiko Okamura. It was set in Times Roman by University Graphics,
2.1 Overviewo f Analysis Techniques 2.2
Inc.
2.2 Obtaining and Evaluating Data 2.4
Printcd and bound by Thc Kingsport Prcss
Vi CONTENTS CONTENTS vii
2.3 Indirect Estimationo f Flowsa t a Site 2.13 6.3 BackgroundM aterial 6.5
2.4 Other Hydrologica nd Hydraulic Considerations 2.26 6.4 TurbineT cchnology 6.31
2.5 ProcessingS ite Flow Data 2.28 6.5 Hydraulig Structuresa nd OperationalC onsiderations 6'54
^L?.0 nrr es,-e-n-l al^lo' ntr - - o^lr rrn-y--q'r-o^lto^E^:,^lL j a^-lllu rfrty-,u.lI -^a,,u1t:t^w nu^a+'L^(r 2.32 6.6 -Examples 6.59
2.7 References 2.33 6.7 Summary 6.62
6.8 References 6.63
3. Hydrologic Computationsa t a Small Hydro Site
Norman H. Crawford 3.1
7. Generation and Electrical Equipment lltilliam L. Hughes,
3.1 Introduction 3.1 R. G. Ramakumar, Dan Lingelbach 7,1
3.2 Hydrologic Processes 3.2 7.1 GeneralC onsiderations 7.1
3.3 Estimating PeakF low at a Site 3.9 7.2 Reviewo f BasicE lectricitya nd the Nature of Alternators
3.4 Estimatingt he Flow-DurationC urve at a Site 3.r7 and Generators 7.4
3.5 Reference 3.2i 7.3 Selectiono f ElectricalG enerationE quipment t.tv
7.4 Load Characteristics 7.24
4. Site Developmenta nd Hydraulic Analysis John J. Cassidy 4.1 7.5 Deterrninationo f Demand 7.27
4.1 Site Configuration 4.2 7.6 Operating Requirements 7.30
4.2 Topographic Surveys 4.7 7.7 Safety Considerations 7.31
4.3 Required GeologicI nvestigations 4.8 7.8 Bibliography r 7.33
4.4 Hydraulic Designa nd Analysis 4.9
4.5 Turbine Setting 4.28 8. Environmental Impact Willis E. Jacobsen 8.1
4.6 Powerhouses 4.29 8.1 Stream Impoundments 8.3
4.7 Capital Costso f Site Development 4.3r 8.2 Spillwaysa nd ReservoirO utlets 8.11
4.8 References 4.32 8.3 Powerhouseasn d ElectricalS ystems 8.13
8.4 Constructiono r Maintenance 8.13
5. Dams and Reservoirs John J. Cassidy 5.1
8.5 ReqpiredP ermits 8.17
5.1 Types of Dams 5.1 8.6 Cost Implications of EnvironmentalC ontrol Technology 8.18
5.2 Earth Dam Design 5.5 8.7 Checklist of EnvironmentalI nformation 8.19
5.3 Rockfill Dams 5.19 8.8 EnvironmentalA ssessmenTt echniques 8.21
5.4. Concrete Dams 5.23 8.9 References 8.23
5.5 Masonry Dams 5.27
5.6 Spillway Design 5.28 9. The Systemso f Regulation of Hydroelectric Power in the
5.7 Diversion During Construction 5.31 United States Peter W. Brown 9.1
5.8 References 5.32 9.1 Hydropower-A Diversea nd DispersedR esource 9.1
9.2 The Legal, Regulatory,a nd Institutional Context for
6. Hydraulic Turbines Roger E. A. Arndt, CesarF arell, Hydropower Development 9.2
Joseph M. Wetzel 6.1
9.3 Policiesa nd Trendsi n American Water Policy and Energy
6.1 Introduction 6.1 Development 9.23
6.2 Historical Perspective 6.2 9.4 References 9.25
Viii CONTENTS CONTENTS ix
10. Institutionala nd Policy Environmenitn Developing Appendix A.t
Countries Robert F. Ichord Jr.. Jack J. Fritz l0.l ConversionF actors A.l
l0.l Energyf or Rural DevelopmentA: New policy Arena t0.l PresentW orth Factors 4.2
/
! 0.2 Growing Int,eresitn Mini Hydropower ia.2
lO.3 Elite Competitiona nd GovernmenDt ecisionM aking 10.4 index ioiiowsn ppenciix I.t
lO.4 Demand for Electricitya nd the Role of Mini
Hydropower
10.4
lO.5 Organizationa nd Management 10.6
10.6 Type and Origin of Equipment 10.7
lO.7 Pricinga nd Credit policies 10.8
lO.8 Determining Rural DemandS tructure l0:8
lO.9 ComparativeC aseE xperiences l0.lI
10.10 Conclusions r0.14
l0.l I References 10.15
ll. Economica nd Financial Feasibility Jack J. Fritz,
Jerry W. Knapp, Herschel Jones I 1.1
ll.l Background 11.1
ll.2 Project Analysis l1.4
I 1.3 BasicT ools of EconomicA nalysis 11.7
ll.4 EconomicA nalysisT echniques 11.9
ll.5 Financialo r CashF low Analvsis I l.l4
I 1.6 DeterminingB enefits rl .l5
ll.7 Determining Costs I l.l6
I1.8 U.S. Financing I l.l9
I1.9 SomeC aseS tudy Examples I 1.19
I l.l0 Summary tt.29
t l.l I References I1.30
12. System Design and Case Studies Jack J. Fritz t2.l
l2.l Planning a Small Hydropower project T2.L
12.2 ReconnaissancSet udies 12.2
12.3 FeasibilityS tudies t2.6
12.4 Streamliningt he studies processin a Developingc ountry 12.t3
12.5 CaseS tudies 12.t6
12.6 Closure t2.74
12.7 References r2.75
\
Arndt, RogerE . A. Heitz, I"eroy F.
St. anthony FaltrsH ydraulic Laboratory Idaho Water ResourceRs .esearch
Minnoapo,lisM, ir,rnesota trnctitr;rte
Universityo f Idaho
Brown, Peterl V,
Moscow.I daho
Franklin PiorceL aw Center
Concord,N ew Harnpshirc Henry, Jean Frangois
National ConscrvationC orp.
Cassidy,J ohnJ .
Bechtel Civ"lla nd Minerals, Inc. Baltirnore,M aryland
San Franci,scoC, alifornia
Hughes,W illiun L
Crawford, Norman EngineeringE nergyl ,aboratory
[fydrocomp OklahomaS tatc Univcrsity
Motuntai,nV iew, California St il'lwater , Oklal.loma
Firelil, Cesar Ichord, RobertF ., Jr.
Minneapolis,M innesota WashiragtonD, .C.
Frltz, Jeck J.
National RcsoarchC ouncil Jacobsen,W iltis E.
WastringtonD, .C. The Mitre Corp./MetrekD iv.
N4cloa.n,V i.rgiltiit
Gladwell, John$ .
D,ivisiono f Water Scicnces Jones,H erschel
UNESCO cH2M Hill
Feris, Fransc SaeramentoC, ;alfio rnia
Xii CONTRIBUTORS
Knepp, Jerry W. OklahomaS tate University
cH2M Hilt Stillwater,O klahoma
Sacramento, California
Warnick, Calvin C.
Lingelbach, Dan Idaho Water ResourcesR _eseareh
tL-u-:E-^,t-i-ls:-E^l lrlE nE- -u-E^-r-B y rr- a-LD-o--r.a-l-ory institute
Oklahoma State University Universityo f Idaho
Stillwater, Oklahoma Moscow.I daho
Ramekumar, R. G. Wetzel, JosephM .
Engineering Energy St. Anthony Falls Hydraulic Laboratory
Laboratory Minneapolis,M innesota
Prefqce
The continuallye scalatinge nergy prices experiencedd uring the late 1970s
necessitatead comprehensivere examinationo f small and mini hydropower.I n
evaluatingr enewablea nd traditional hydrocarbone nergy resourcesf or their
economicsa nd technicalf easibility, small hydropowere mergede arly as a clear
winner. Since there was a dearth of indepth technical and economic infor-
mation available,U nited States federal agenciess, uch as the Department of
Energy,U .S. Army Corps of Engineers,a nd the Departmento f Interior devel-
opedf easibilitys tudy methodologiesa nd funded a number of their applications
in the field. The resultso f thesee fforts are currently being evaluated but with
project funding in doubt.
Internationallys, mall hydropoweri s comingt o the attention of multilateral
donorss ucha s the World Bank, the InteramericanD evelopmentB ank,a nd the
United Nations; as a viable alternative to dieselg eneratorsf or rural areaso f
developingc ountriesN. everthelessd, espitew ide interest,a comprehensivveo l-
ume on small and mini hydropowert echnologyi s not available. Basedo n his
experiencea sm anagero f the Small DecentralizedH ydropowerP rogramo f the
Agency for InternationalD evelopment,t he editor has assembleda collection
of technicapl aperso n this topic.
The contributorst o this book were selectedf or their indepth knowledgeo f
such specialitiesa s hydrology, turbine design, and government regulation.
Each chaptera ddressesa critical elementw hich requiress eriousc onsideration
xlll
xiv PREFACE
during projectd evelopmentT. he approachis to guide the readerf rom the ini-
tial hydrologic resourcea ssessmentt,h rough physical site design,t urbine-gen-
erator selectione, conomicsa, nd environmentailm pact,a nd culminatingi n case
studies.T his book therefores ervesb oth as a technical primer and as a guide-
book for energys pecialistss eekingt o asseshs ydropowerr esourceo pportunities.
It can also servea s a university level text in civil engineering.E conomica nd
engineeringd esigne xamplesa re given to aid the student reader.
The editor wishest o acknowledgeth e contributionsm adeb y the listeds pe-
cialists as well as those by David Willer of Tudor EngineeringC ompany,
Judith Hughesa nd JamesW illiamsono f R. W. Becka nd Assoc.D, ouglasB arr
of Douglas Barr Consulting Hydraulic Engineers,a nd Dr. Edmund Leo of the
U.N.'s Departmento f Technical Cooperationf or Developmenti n making case Noteso n Nototion
study materials available. Very specialt hanks go to Ms. SusanM cCutchen
and Mrs. Joan Polsonf or their patienced uring final typing, and to Ms. Adriane
Wodev and -Iean F Hennr for fheir editnrial r.nrrrnnFnre
-J ---
JACKJ . FRITZ
\
The followingl ist of symbolsis a generalg uide to the notationu sedt hroughout
this book. It is not absolutei n that the samen otation may be usedf or different
concepts;howevetrh, eres houldb e no confusion.E acht ime the symboli s used,
it is defined.
Hydraulic/Hydrologic Symbols
A,a A cross-sectionafll ow area
B,b Width of a flow area or depth
C Coefficient,d rag, lift, discharge,v elocity
c Velocity of sound
D,d Diameter, grain size
E Energy
e Efficiency
F Force
.f Coefficiento f friction
G Submergenced istance
g Accelerationo f gravity
H,h Energy head, head loss,d epth, height
J Moment of inertia
K,k Empirical coefficient
xvi NO.tSSON NOTATION
NOTESO N NOTATION XYii
LJ Wavelength, length
GreekS ymbols
M Msrnent
I{ Spccifies poed,s tability nurnber,p recipitation er( alpha)F, Geta) Velocitya nglesin 'turbinesa. ngles
r Mmairg rwgtsr ertenci.'ar n krarnr) z (\ir.. 1ri6rr
F Xlgayof,,perimrro,tperrc, ei,pitation 7 (gamma) Specific werght of water
p F*ess,ure
4 (eta) Efficiency
Q,q Flow ratc
d (theta) Angle
R Hydraul'ic radius, lcngttr
Re Rcynold's nu.ffi;bcr z (nu) Kinematic viscosity
r Radius, coieffiaiento csmelation, reservoir reagh p (rho) Density of,w ater
s
S!@pcs, 'tanda.rdd eviatio,n, standard errotr, su-ctions pecific speed, o (sigma) Cavitation index
Vctrrcitfpotential
T $[ravep eri@d,d arn wi'dth, torque
t Timcot lriekn€ss
u Vel.ooity
v,U Vel,wity
W Vfeighr
w Width
x Horiaontadl istancev, ariable
Y Dcp,tlav, aniab{e
z Elevationv, ariable
Electrical Syrnbols
B Magnaticf lux density
C Capaeitanee
E,e (tl Voiltage
f Frequcncy
fi (tl Currcnt
j Xmaginarny umber
k L,osse seffieient
L Induetance
N,n Nurnbero f coil turns,g erreratosrp eed
p Nurnber of poles
Q,q Ul Electrical charge
R R.esistance
r Slip
V,a (t) Voltagc with inductance
X Inductive r€actance
Z Impodancc
About the Editor in Chief
Introduction
JACK J. FRITZ, a ProfessionalA ssociate with the
Nationai ResearchC ouncil's Board on Sciencea nd Tech-
nology for International Development, has extensive
experience in the renewablee nergy systemsf ield. prior
to his joining the National Academy of Sciences,h e was
Jack J. Fritz
program managerf or the Agency for International Devel-
opment, managinga small hydropowerp rogramd esigned JeanF rangoisH enry
for application in less developedc ountries. In addition,
he has more than ten years' experience in renewable
energy systemsd esigni n both the privatea nd the public
sectors.A registeredp rofessionale ngineeri n New york,
he has a B.S. degree in mechanicale ngineeringa nd a
Ph.D. degreei n civil engineeringfr om the StateU niversi-
ty of New York at Buffalo and has publisheds ome two The world is currently in the throeso f an energyc risis that has reordered,a nd
dozen papers on renewablee nergy technology,e conom- will continuet o reorder,o ur perceptionso f how to power the infrastructure on
ics, and environmental engineering. which we have come to depend.I ncreasingp ricesf or petroleum products,p ro-
jections that petroleum resourcesw ill be exhaustedin a relatively short period
of time, and use of fossil fuel resourcesf or political purposesa re adversely
affecting worldwide economic and social development.T he impact of the
energyc risis is particularly felt in lessd evelopedc ountries( LDCs) wherea n
ever-increasingp ercentageo f national budgets earmarked for development
must be diverted to the purchaseo f petroleump roducts.T o reduce this depen-
denceo n imported fuels with high price volatility, most countriesh ave initiated
programst o developa lternatives ourceso f energyb asedo n domesticr enewable
resourcesA. mong theser esourcesa re solar energy,w ind, geothermal energy,
biomass,a nd not least, hydropower.
In the United States,o nly a small percentageo f electrical energy is pro-
duced from waterpowerr esourcesp, rimarily by the larger systemss uch as the
TennesseeV alley Authority and the BonnevilleP ower Administration. How-
ever,m ostl arge sitesi n the United Statesh avea lreadyb een developedm, aking
it highty unlikely that hydropowerw ill offer significantn ew contributionst o
the nationalp ower grid in the future.T his hasg ivenr ise to a new trend: Small
l.t
