Sustainable Energy Technologies and Assessments 49 (2022) 101704

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Sustainable Energy Technologies and Assessments

journal homepage: www.elsevier.com/locate/seta

A review on operation and maintenance of hydropower plants

Krishna Kumar *, R.P. Saini
Department of Hydro and Renewable Energy, Indian Institute of Technology, Roorkee 247667, India

A R T I C L E I N F O A B S T R A C T

Keywords: Hydropower is one of the renewable energy sources having the highest conversion efficiency than other
Hydropower plant renewable energy sources. The hydro turbine is considered as the main component of a hydropower plant and
Renewable energy operation and maintenance of various components are the critical issues for optimal energy generation. Under
Operation and maintenance
the present paper, a comprehensive literature review on the operation and maintenance aspects of hydropower
Hydro turbine
Monitoring and control
plants have been presented. In the literature, it has been reported that erosion and cavitation are the main causes
of hydro turbine damage and efficiency loss and with the modification of turbine runner blade profile, more than
30% reduction in the impact of sediment erosion can be obtained. In the case of Dam monitoring, the coaxial
rotating smeared crack method was found to be more accurate than the conventional method by 32% and 25%
for computation of overall tensile and compressive stresses, respectively. Further, various condition-based
monitoring techniques such as Fuzzy logic, AHP, PSO, ANN, and SOM have been used to optimize the opera­
tion and maintenance of hydropower plants. However, SCADA, IoT, and cloud computing-based monitoring
systems can be used for remote monitoring and fault analysis for optimal operation of hydropower plants.

Introduction
Energy is one of the essential requirements of human beings, which
plays a vital role in the development of any country. The living standards
of people can be analyzed based on their per capita energy consumption.
Iceland has the highest per capita energy consumption (53,832 kWh per
capita) globally, whereas India’s per capita energy consumption is 805
kWh [1]. In 2019–20, India imported 20,70,95,000 MT of crude oil and
around 3,94,14,000 MT of other fuels like liquefied petroleum gas,
motor spirit, naphtha, etc. [2]. The total installed electricity capacity in
India is about 3,70,106.00 MW, which includes 59% from coal, 27%
from other RE sources, and 14% from hydropower. The availability of
electricity in 2019–20 was 12,83,690 MU against the demand of
12,90,247 MU [3].
Hydropower contributes approximately 17% of the world energy
generation. The majority of hydropower plants in India are located
along the Himalayan rivers. Himalaya is a young mountain that contains
a high volume of silt and debris, especially during rainy sessions.
Therefore, the hydro machine should be operated within the permissible
silt (PPM) limit to safeguard the machines and plants. The energy gen­
eration during the rainy period is affected due to high silt content in the
water, which results in erosion of hydro turbine components. Most of the
large hydropower plants in India suffer from the silt erosion problem.
Therefore, coating of underwater parts is essential to minimize losses
due to erosion. Also, during the part-load operation of the turbine, it
should be operated within their efficiency zones to minimize the cavi­
tation losses.
A typical layout of a hydropower plant is shown in Fig. 1. Major
components of a hydropower plant can be divided into three categories
as below:
i) Civil works: It can be defined as the components that are in direct
contact with water and have no moving parts, such as dam,
powerhouse building, and tail race channel.

Abbreviations: AHP, Analytical Hierarchy Process; AHT, Advanced Hydropower Kaplan Turbine; API, Application Programming Interface; ART, Adaptive Reso­
nance Theory; BEP, Best Efficiency Point; CBM, Condition Based Maintenance; CFD, Computational Fluid Dynamics; CFSM, Converted Fed Synchronous Machine;
CM, Corrective Maintenance; CWS, Cooling Water System; DES, Detached Eddy Simulation; DFIM, Doubly-Fed Induction Motor; DG, Distributed Generation; DM,
Digitized Modeling; EMI, Electromechanical Impedance; FE, Finite Element; FFT, Fast Fourier Transform; FLC, Fuzzy Logic Controller; FSI, Fluid Structure
Interaction.
* Corresponding author.
E-mail address: krishnanitald@gmail.com (K. Kumar).

https://doi.org/10.1016/j.seta.2021.101704
Received 21 July 2021; Received in revised form 11 October 2021; Accepted 1 November 2021
Available online 18 November 2021
2213-1388/© 2021 Elsevier Ltd. All rights reserved.
K. Kumar and R.P. Saini
ii) Mechanical works: It can be defined as the components that are in
direct contact with water and having moving parts, such as the
turbine, gates, and valves.
iii) Electrical works: These can be defined as the components that are
not in contact with water and have moving parts, such as gen­
erators, transformers, and circuit breakers.
Hydro turbine
The hydro turbine is the most important component of a hydropower
plant which converts the potential energy of water into mechanical
energy and then drives the generator to generate electricity. Turbines
can be classified into two categories: impulse and reaction turbines.
Water flows through the nozzle in an impulse turbine and strikes on the
moving buckets with kinetic energy at constant pressure. Impulse tur­
bines are mainly suitable for high head and low discharge power plants.
In reaction turbines, water flows through some guide mechanism and
then through the moving blades with kinetic energy and reduced pres­
sure, such as Francis and Kaplan turbine. Reaction turbines are suitable
for medium and high discharge power plants. Erosion and cavitation
issues are more in reaction turbines. Due to cavitation and erosion, the
efficiency of the machine gets reduces. Cavitation and erosion increase
the temperature and vibration of the guide bearings. Also, during the
part-load operation, it becomes necessary to operate the turbine and
generator in their efficiency zones. A typical part-load efficiency curve
of different hydro turbines is shown in Fig. 2. The propeller turbine has
the lowest part-load efficiency and moderate maximum efficiency point
compared to other turbines. Kaplan turbine has the highest part-load
efficiency and highest maximum efficiency point, whereas Francis tur­
bine has moderate part-load efficiency and having maximum efficiency
point same as a Kaplan turbine.
Selections of hydro turbines
Erosion and cavitation issues are more in reaction turbines, as higher
speed turbines are more sensitive to erosion. Therefore, selecting a
Fig. 1. The layout of a typical hydropower plant.
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Sustainable Energy Technologies and Assessments 49 (2022) 101704
hydro turbine is an important task during the designing phase of the
hydropower plants. The hydro turbine can be selected either based on
specific speed as given in Table 1 or based on the head and discharge as
shown in Fig. 3. The selection of hydro turbines based on specific speed
and head and discharge are discussed below:
a) Based on specific speed
The expression of power potential for a hydropower plant is
expressed in Eq.(1), which is proportional to the head and discharge.
P=ρ×Q×g×H×η (1)
where Q is discharge, ρ is the density of water, g is gravity, H is head, η is
efficiency, and P is power.
The specific speed of a turbine can be expressed as Eq. (2). Different
turbines with their specific speed range are given in Table 1.
√̅̅̅
P
Ns = N 5 (2)
H4
where P is power (kW), N is rated speed (RPM), H is head (m).
b) Based on head and discharge
Hydropower energy generation depends on discharge and head, and
a turbine can be selected based on these parameters. Fig. 3 shows a
typical nomogram for the selection of different turbines with their
operating range.
Hydro turbine design criteria
The design of a hydro turbine is an important aspect. Pelton turbine
is a high head and low discharge turbine. The diameter of the jet and the
number of the jet should be selected based on the discharge. The
expression of discharge for a Pelton turbine is given in Eq. (3).
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Fig. 2. Efficiency characteristics of hydro turbines [4].

Table 1 Q = π × Do × Bo × Vf × K × ηhyd (4)

Turbines with specific speed range.
S. No. Turbine Type Specific Speed (Ns) (in RPM) where, Do is the outer diameter of the runner, Bo is outer width of runner,
Vf is spouting velocity, K is thickness of guidevanes, and ηhyd is hydraulic
1 Single jet Pelton Turbine Ns ≤ 35
2 Multiple jet Pelton Turbine 36 < Ns < 80 efficiency
3 Francis Turbine 80 < Ns < 400 Kaplan turbine is a low head and high discharge turbine. It is mostly
4 Kaplan Turbine 340 < Ns < 1000 suitable for the run of river hydropower plants. The outer diameter and
hub diameter of the Kaplan runner is selected based on the discharge.
π The expression of discharge for a Kaplan turbine is given in Eq. (5).
Q = (djet )2 × Vjet × n × η (3)
4 π( )
Q= D2o − dh2 *Vf (5)
4
where, djet is jet diameter, Vjet is jet velocity, and n is the number of jets.
Francis turbine is a medium head and medium discharge turbine. where Do is outer diameter of runner, dh is hub diameter, and Vf /is
Based on the discharge, the outer diameter and width of the runner spouting velocity.
should be selected. The expression of discharge for a Francis turbine is
given in Eq. (4).

Fig. 3. Operating range of hydro turbines (Sources: Andritz Hydro).

3
K. Kumar and R.P. Saini
Maintenance of hydro power plants
Operation and Maintenance (O&M) of hydropower plants is an
important aspect for its efficient working and long life. Proper O&M
practices are critical factor in maintaining the health of the plant. Lack of
effective O&M processes can result in major losses such as electricity
generation and revenues, whereas poor O&M practices can also affect
employees and public safety. O&M can be planned based on the per­
formance parameters like availability factor, efficiency, force outage
rate, and accident frequency rate. The risk matrix of hydropower plant
components should be prepared based on their impact and risk level.
Fig. 4 shows the different stages involved during the maintenance of
hydropower plants. Daily fault reports, trends of operating parameters,
and system efficiency are used to analyze the condition of the systems.
Based on the condition of the systems, a strategy for objective planning
of main activities, cost estimation, tender allocation, and execution of
strategies on time should be developed. The maintenance of hydropower
plants can be categorized into two parts, viz., preventive maintenance
and corrective maintenance. Preventive maintenance can be further
classified into planned, conditional and predictive maintenance,
whereas corrective maintenance is employed in an emergency, as shown
in Fig. 5. The maintenance work of hydropower plants is mainly
executed in a lean discharge period to minimize energy generation
losses.
The major maintenance activities employed in different segments of
hydropower plants are as listed below [4]:
a) Hydro Turbines
i) Dismantling of machine, repairing of the top cover and gland
seal, repairing and painting of spiral casing and stay ring.
ii) Repairing of runner and guide vanes along with top and bottom
moving labyrinth, and replacement of bushes.
iii) Repairing of runner cone, repairing of the top static labyrinth,
repairing of the lower cylinder, repairing of the bottom static
labyrinth.
iv) Removal of rotating sleeve and mild steel segment mounting bolts
from the turbine shaft and tap new threads.
v) Replacement of turbine sealing assembly, including rotating
sleeve flappers and seal segment, and repairing pivot ring.
vi) Repairing and overhauling of MIV, bypass valve and seal valve,
repairing and overhauling of MIV servo motor.
Fig. 4. Maintenance strategies of a hydropower plant [5].
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Sustainable Energy Technologies and Assessments 49 (2022) 101704
vii) Polishing and machining of the turbine shaft, repairing of upper
and lower bush housing and replacing damaged bushes.
viii) Overhauling of servomotors including replacement of piston ring
and seal of the turbine, setting of the stroke length with regu­
lating ring.
ix) Repairing of turbine guide bearing (TGB) housing, assembly of
the unit, leveling, alignment, centering, bearing pads setting, and
dynamic balancing.
b) Hydro Generator
i) Measurement of air gaps of rotor pole to the stator winding,
cleaning, repairing, and painting of stator, IR testing of the stator.
ii) Cleaning and replacement of damaged carbon brushes, imped­
ance testing of the rotor pole, tightening of rotor pole keys.
c) Testing of Generator Transformer and HV Side Bushing
i) Testing of all relays with relay testing kit.
ii) Generator insulation resistance (IR) test, Tan-Delta test, winding
resistance test, and transformer turn ratio test.
iii) Tan-delta test of HV bushing.
d) Power Evacuation System
i) Dynamic/Static contact resistance test of circuit breakers, open­
ing and closing timing test of circuit breakers.
e) DC Battery Bank Testing
i) 48 V and 220 V DC battery bank capacity testing and battery
charger testing.
In order to ensure the proper alignment of machines, some important
measurements should be taken before and after the maintenance.
Measurements before and after the maintenance of the machine
Measurement of clearances before the maintenance of machines is
generally taken to know the offset setting and analyze the machine’s
condition. Measurement after the maintenance is required to set the
machine in its best efficient zone. The important measurements which
are needed to be done before and after the maintenance of machines are
listed below:
i) Measurement of clearances between the labyrinth of the lower
cylinder, top cover, and labyrinth of the runner
ii) Measurement of the gap between pivot ring liner and top cover
liner
iii) Guide vanes radial clearances
iv) Top and bottom clearances of guide vanes
v) Bearing housing gap from the journal
vi) UGB, LGB, and TGB pads gap
vii) Rotor and stator air gap
viii) Servo motor stroke length
Operation and maintenance cost of hydropower plants
Hydropower projects have two important cost components, viz., civil
works and cost of electro-mechanical equipments. Costs of dam and
reservoir construction, tunnel construction, and the construction of
powerhouse buildings are the major cost associated with the civil works.
Electromechanical equipment costs include the cost of turbines, gener­
ators, transformers, cabling, power evacuation system, and control
systems. The total investment costs in hydropower significantly depend
on the site, design choices, local labour, and material costs. The large
civil works significantly affect the overall cost.
The total installation cost usually varies from USD 1000/kW to USD
3500/kW for small and large-scale hydropower projects, respectively.
Hydropower plants, once commissioned, usually require lesser mainte­
nance and operating costs. The annual cost of O&M ranges from 1% to
4% of investment costs per kW per annum. IEA reported it as 2.2% for
large hydropower and 2.2% to 3% for smaller projects with a global
average of around 2.5% [6]. Previous studies [7] indicated that fixed
K. Kumar and R.P. Saini
Fig. 5. Classification of maintenance of a hydropower plant [5].
O&M costs account for 4% of the overall cost of capital. This figure may
be suitable for small-scale hydropower plants. However, large hydro­
power plants may have comparatively significantly lower values. The
standard for large-scale projects is assumed to be an average value of 2%
to 2.5% for O&M costs. Nevertheless, it does not cover the replacement
of major electromechanical equipment or the renovation of penstocks
and tailraces [8–9]. Other research also indicated that O&M costs on an
average of USD 45 / kW / year for large hydropower projects and around
USD 52 / kW / year for small hydropower plants [10].
Studies on the operation and maintenance of hydropower plants
The use of hydropower as a renewable energy source to enhance the
capacity and optimize the performance of existing power plants is a
major challenge. To understand the present status and technological
advancement, an extensive literature review has been presented on
different aspects of O&M of hydropower plants such as dam and barrage,
hydraulic turbines and generators, power evacuation system, plant
auxiliaries, automation/online monitoring and control system.
Operation and maintenance of dam/barrage
Operation and Maintenance of dams and barrages are important as
these are mainly used to regulate water and flood control. There are
various studies available in the literature on the operation and mainte­
nance of dams and barrages. These studies are categories in the
following sub-sections.
Vibrational impact of dam and barrage
Measurement of vibration of dam/barrage structure is an important
parameter to know the condition of dam/barrage. Higher amplitude
vibration of dam/barrage structure leads to failure of dam/barrage,
which may cause flood in the downstream side of dam/barrage. Gui
et al. [11] modeled the earthquake shaking and found that a lower
upstream formation would lead to an additional vital upstream slope
displacement. The height of upstream formation wouldn’t affect the
downstream slope displacement profile. Zhao et al. [12] modeled an
RCC dam’s seismic damage and dynamic performances using EMI based
on SHM technique enabled by lead zirconate titanate (PZT) ceramic
sensors network and concluded that modeling of dam body for seismic
could help to improve the design of dam safety. Fenves et al. [13] pro­
posed a two-stage protocol for evaluating dam protection and analyzing
the elastic design. An improved response history analysis approach for
finite element idealizations of the dam was estimated directly from
earthquake modeling. Jafari et al. [14] applied a comprehensive forced
vibration test on the dam and measured the responses in three directions
to analyze the deformation. Castelli et al. [15] investigated the dynamic
behavior of the Lentini earth dam using 1-D seismic response and codes
EERA, MARTA, and the finite element software PLAXIS. Khazaee et al.
[16] studied the transient analysis of dam-reservoir systems with the
boundary conditions to understand the deformation pattern. Lelio et al.
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Sustainable Energy Technologies and Assessments 49 (2022) 101704
[17] investigated the vibration characteristics of Seven Oaks dam during
the Yucaipa and Big Bear Lake earthquakes in 2001 and 2005 and the
applicability of 3-D and 2-D numerical procedures to simulate the dam’s
reaction. Based on dam design data, a 3-D model of the structure and its
foundation was developed and concluded that the calculated dam
response was subjected to parametric analyses to determine its sensi­
tivity to various input assumptions. The findings revealed that 3-D
analysis is capable of simulating the dam’s response.
Wang et al. [18] Modeled a rock system of underground structure to
determine seismic risk and concluded that seismic damage in an un­
derground powerhouse is mainly distributed in the upper part of the
concrete structure. Albano et al. [19] performed a numerical investi­
gation to analyze the seismic response of the dam. Dynamic simulations
have been combined to study the response of the embankment, rocky
base, and bituminous facing to reduce computational effort. The study
found that the interaction of several factors determined the dam’s
seismic response. The largest settlements are seen in the empty reser­
voir, which was a less dangerous situation from a safety point. The
majority of the embankment’s deformation occurred in the upper third
part, while the section near the rocky basement, side abutment, and
central rocky spur remained relatively intact. Mirzabozorg et al. [20]
investigated the system’s response with the massed foundation,
including infinite elements to analyze the dam’s behavior. Kumar et al.
[21] studied the greenhouse gases (GHG) emitted through reservoirs
and provided the baseline information to take corrective measures
before impoundment a reservoir. Pata et al. [22] investigated the carbon
status based on the annual time series data from 1980 to 2016. A sum­
mary of the literature review to analyze dam and barrage vibrational
impact is given in Table 2.
Dam/barrages are used to regulate water for irrigation, flood control,
and energy generation. Based on the literature review, it has been found
that monitoring of dam/barrage is important. Higher amplitude vibra­
tion of dam structure causes dam failure. It has also been observed that
most deformation occurred in the upper third part of the structure.
Modeling of earthquake shaking and transient behavior analysis of dam/
barrage structure can help to analyze the seismic impact, which can be
further utilized to improve the design of dam/barrage.
Stress on dam and barrage structure
Stress analysis is an important aspect for analyzing the pre-and post-
seismic conditions of dam/barrage. Effective water regulation strategies
can minimize the stress loading on dam/barrage structures and mini­
mize the evaporation losses. Mirzabozorg et al. [23] used the five-
parameter failure criterion to model the nonlinearity of concrete mass
with a coaxial rotating smeared crack approach, and it was observed
that in comparison to conventional methods, the coaxial rotating
smeared crack method was found to be more accurate by 32% and 25%
to determine the overall tensile and compressive stresses, respectively. It
was also discovered that the joint nonlinearity results in higher
compressive and lower tensile stresses than the linear approach. Li et al.
[24] simulated the earth-fill dam combined with a hydropower plant
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 2
Vibrational Impact on Dam and Barrage.
Author Components Parameters Optimization Techniques Remarks/Recommendations

Gui et al. Dam Earthquake Shaking Numerical Analysis A lower upstream water table would result in a significant
[11] upstream slop displacement.
Zhao et al. Dam Seismic Damage and Dynamic Structural Health Monitoring Modeling of dam body for seismic can help to improve the design
[12] Performance of an RCC dam (SHM) Technique of the dam.
Fenves et al. Dam Vibration Finite Element Method Computed the dynamic response of dam vibration.
[13]
Jafari et al. Dam Vibration Comprehensive Forced Analyzed the deformation behavior to improve the design
[14] Vibration Test considerations.
Castelli et al. Dam Vibration Mathematical Modeling 1-D analysis for the dynamic behavior modeling.
[15]
Lelio et al. Dam Vibration 3-D and 2-D numerical The 3-D analysis can simulate the dam’s response.
[17] procedures
Wang et al. Underground Seismic Risk Mathematical Modeling Most of the damages in an underground powerhouse occur in the
[18] Structure upper portion of the concrete structure.
Albano et al. Dam Seismic Response Numerical Analysis Most of the embankment’s deformation occurred in the upper
[19] third part.

and analyzed using a 3D finite element (FE) model to represent one intervals between pipeline elements and the surge tank connector are
vertical Kaplan turbine array. The water pressure pattern was calculated identical. Aftab et al. [29] modeled a surge tank to reduce pressure
on the boundary of the operating turbine model to transform into spikes and immediately provide extra water in the event of a pressure
pressure and found that the variations in water stress on the body of the drop. The nonlinear first-order differential equation can be used to
dam were proportional to the inverse distance from the turbine. Goor explain the dynamics of a surge tank system as represented in Eq.(6).
et al. [25] improved the nonlinear behavior of hydropower systems √̅̅̅̅̅̅̅̅̅̅̅̅̅
through Stochastic Dual Dynamic Programming (SDDP) to solve multi­ dh(t) c 2gh(t) u(t)
= − + (6)
purpose multi-reservoir operational problems. For the efficient benders dt A[h(t) ] A[h(t) ]
decomposition approach to manage the broad state-space multi-reser­
where h(t) is the present liquid level of the tank, A[h(t)] is the cross-
voir operation challenges, the one-stage optimization problem is
sectional area of the tank, and u(t) is the control input.
required to be a convex program. Shyam et al. [26] used the Linear
Cao et al. [30] analyzed the long-distance pipe explosion phenom­
Programming (LP) technique to create a water allocation plan for a
enon that occurred with the advent of a water hammer. It has been
canal, and compared it with existing alternative operation policies, and
recommended to construct a surge tank to minimize the hydraulic
found it to be superior to existing operation policy, with aggregate net
transients to avoid damages due to the water hammer. Yu et al. [31]
returns of 16.68, 16.18, 15.46, and 9.98 %, respectively. A summary of
analyzed the mechanism of the long-distance pipe explosion phenome­
the literature review carried out on the stress analysis of dam and bar­
non and recommended to construct a surge tank to avoid damages due to
rage structure is listed in Table 3.
the water hammer. Moghaddam et al. [32] attempted to find a solution
Analysis of pre-and post-seismic conditions of dam/barrage can be
for the surge oscillation in a surge tank based on the design consider­
used to calculate the remaining life of the structure. Three-dimensional
ations. It has been recommended that the surge tank should be installed
finite element (FE) modeling can be utilized to analyze stress behavior.
closer to the power plant with sufficient height and cross-sectional area
The variation in the water stress on the dam body is proportional to the
to prevent overflow and ensure stability.
inverse distance from the turbine area. Effective water regulating stra­
Fang et al. [33] simulated a high head long penstock with upstream
tegies minimizes the evaporation losses and stress on the dam. Also,
and downstream surge tank using MATLAB/Simulink. To quantify and
linear programming and SDDP technique can be utilized to prepare
simulate hydraulic transients, the nonlinear characteristics of the hy­
better dam/barrage regulating strategies.
draulic turbine were considered, followed by the inelastic water
hammer effect. The effects of various parameters on the dynamic effi­
Surge tank
ciency of the hydraulic turbine regulating system were investigated,
A surge tank is a storage reservoir installed whenever the distance
including turbine governor PID gains and the pressure of the water
between the dam/barrage and the power plant is considerably higher.
supply system. The conclusions drawn based on the simulation are:
The surge tank reduces the pressure fluctuations caused by sudden
changes in water velocity. Moghaddam et al. [27] suggested to install a
i) At various operating points, the turbine speed governor PID gains
surge tank in hydroelectric power plants to avoid a sudden increase in
should be calibrated.
pressure due to instant valve closure. Kim et al. [28] modeled a surge
ii) The critical factor causing poor dynamic output is water inertia in
tank using a Genetic Algorithm (GA) and impulse response method. The
the penstock between the two surge tanks.
simulation results show good agreement only when the computational

Table 3
Stress on Dam and Barrage Structure.
Author Components Parameters Optimization Techniques Remarks/Recommendations

Mirzabozorg et al. Dam Nonlinear Behavior of Coaxial Rotating The overall tensile and compressive stresses were minimized by 32%
[23] Concrete Mass Smeared Crack Method and 25%, respectively.
Li et al. [24] Dam Body and Draft Stress Analysis 3-D finite element (FE) Variations in water stress on the dam body is inversely proportional
Tube modeling to the distance from the turbine.
Goor et al. [25] Multi reservoir Evaporation Losses SDDP Evaporation losses increase with the water level in the reservoir.
operation problems
Shyam et al. [26] Water allocation plan Operation of Canal Linear Programming (LP) The proposed model is superior to all four existing models with
for a canal aggregate net returns of 16.68, 16.18, 15.46, and 9.98 %.

6
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

iii) The surge tank water-level oscillation is primarily influenced by
the surge tank filling time constant.
iv) A longer turbine wicket gate closing time means higher turbine
speed and lower turbine water pressure.
A summary of the literature review on surge tanks design criteria is
given in Table 4.
A surge tank is a temporary storage reservoir installed nearer to the
power plants. It is recommended to install a surge tank when the plant is
located at far distances from the dams/barrages. It reduces the pressure
fluctuations in the penstock caused by the sudden load variation of the
plant. Mathematical modeling of the surge tank can be used to identify
the suitable location for the installation of the surge tank and approxi­
mate the height of the surge tank. The Genetic Algorithm optimizes the
surge tank design parameters, whereas a Fuzzy Logic Controller (FLC)
can be used to analyze the behavior of the surge tank with sudden load
variation.
Trash rack
A trash rack is a metallic structure used to separate debris coming
with water. It is necessary to install a trash rack in high discharge power
plants to minimize the damages due to debris and silt. The accommo­
dation of silt/debris in the dam reduces the operating life of the dam.
This may convert a dam-based power plant into a runoff river power
plant. Walczak et al. [34] experimented with the shape and orientation
angle of trash rack bars and observed that using cylindrical trash rack
bars inclined at an angle of 80◦ towards the channel bottom gives the
best results with the minimal head loss. Hribernik et al. [35] analyzed
the losses caused by the debris accumulated on the trash rack using a
simple compensated model. The analysis has shown that the annual
losses could be reduced by applying an optimal cleaning strategy.
However, it is difficult to predict an optimal strategy due to the sto­
chastic nature of the amount of debris drifting in the river daily. Nas­
cimento et al. [36] simulated the flow through a large trash rack
concerning the impact of its obstruction due to the accumulation of
aquatic plants using the Finite Element model. The model included the
fluid–structure interaction effect, hydro-elastic vibration structure, and
natural frequencies. It has been revealed that frequency approaches for
vortex shedding damage to the trash rack are likely due to operating
under resonant conditions.
Liu et al. [37] analysed that the shear stress is superior to stream
power hydraulic parameters for modeling soil detachment rates at
various sediment concentrations. The soil detachment rate by sediment-
laden flow was found to be negatively related to both sediment load and
median sediment size. Hribernik et al. [38] investigated the different
trash rack designs to analyze their impact on fluid flow. Three different
trash rack bar profiles were investigated, a basic low-cost rectangular
profile was used as a reference case compared to two alternative aero­
dynamically formed profiles. The flow of the river was simulated using
an ANSYS CFX 12 solver with 3D CFD simulations. At each point in the
velocity field, the local head-losses caused by the trash rack were
calculated using an empirical formula and finally integrated to obtain
the gross head-loss caused by the specific trash rack design. The study
revealed that after 10 years of operation, the alternative trash rack
design could be used. A summary of the literature review on trash rack
design is given in Table 5.
A trash rack is a wooden or metallic structure depending on
discharge, silt, and debris coming with the flowing water. Debris and silt
particles of significant shape and size damage the underwater parts of
the plant. An installation of a trash rack creates a head loss problem and
reduces the efficiency of the plant. Therefore, an optimal trash rack
design is essential. Cylindrical trash rack bars inclined towards the
channel bottom at an angle of 80◦ minimize head loss. Also, an efficient
trash rack cleaning strategy can be utilized to minimize head loss.
Operation and maintenance of hydro turbine
A hydro turbine is the most important component of a hydropower
plant. Erosion, cavitation, and vibration are the main causes of the
reduction of performance and life of a hydraulic turbine. Maneri Bhali
Stage-II (MB-II) hydropower plant is situated in Uttarakhand (India),
where every year during the monsoon period, the underwater parts get
erode heavily due to silt. Therefore, the maintenance cost and time
required for the maintenance are very high. Fig. 6 shows the eroded
runner and guide vanes of MB-II.
Effect of silt erosion in hydro turbines
Erosion of underwater parts due to silt is the main cause of efficiency
loss. During maintenance maximum man-days are consumed in the
maintenance of the turbine parts only. Addressing the issues of silt
erosion is important to get continuous and efficient energy generation.
An approximate thumb rule is given in IEC 62364:2019 to assess the
severity at a particular site.
i) If C × H1.5 ≤ 150, then the hydro abrasive erosion may not be
significant,
ii) If 150 < C × H1.5 < 1500, then the hydro abrasive erosion may be
significant,
iii) If C × H1.5 ≥ 1500, then the hydro abrasive erosion may be
severe.
where C is the mass of the solid particles per volume of water-particle
mixture in Kg/m3 (where 1000 PPM is 1 Kg/m3), and H is the head in
meter.
Kumar et al. [39] reviewed the silt erosion problem of Indian hy­
dropower plants and developed a correlation for calculating sediment
erosion rate in Kg/Year. A list of plants suffering from erosion and
cavitation problems is given in Table 6 and a correlation for the sedi­
ment erosion rate in Kg/Year (Eq.7).

Table 4
Surge Tank.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Moghaddam et al. [27] Surge Tank Pressure Mathematical It is recommended to install the surge tank to avoid a sudden increase in pressure due to
Variation Modeling instant valve closure.
Kim et al. [28] Surge Tank Hydraulic Genetic Algorithm Optimized the design parameters of Surge Tank.
Transients
Aftab et al. [29] Surge Tank Non-linear Fuzzy Logic Controller Optimized the Surge Tank operation.
Dynamics (FLC)
Cao et al. [30] and Yu Surge Tank Pipeline Mathematical The surge tank minimizes the water hammering effect on the pipeline.
et al. [31] Modeling
Moghaddam et al. [32] Surge Tank Surge Oscillation Numerical Analysis A surge tank should be installed closer to the power plant with sufficient height and
cross-sectional area to prevent overflow and ensure stability.
Fang et al. [33] Power Plant Performance Simulation At various operating points, the turbine speed governor PID gains should be calibrated
Analysis optimally.

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K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 5
Trash rack design.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Walczak et al. Trash rack losses through trash rack Experimental Head loss is reduced by using cylindrical trash rack bars that are
[34] analysis tilted at an angle of 80◦ towards the channel bottom.
Hribernik et al. Trash rack Losses through trash rack Experimental An optimal cleaning strategy has been developed to minimize the
[35] analysis losses due to accumulated debris.
Nascimento et al. Flow-Through a Large Impact of obstruction due to the Finite element The damage to the trash rack is due to operating under resonant
[36] Trash Rack accumulation of aquatic plants modeling conditions.
Liu et al. [37] Dam Soil detachment rate Experimental The soil detachment rate by sediment-laden flow is proportional to
analysis both the sediment load and the median sediment size.
Hribernik et al. Trash Rack Designs Impact on fluid flow CFD analysis After 10 years of operation, the alternative trash rack design could
[38] be used.

Fig. 6. Eroded runner and guide vanes of MB-II HEP, UJVN Ltd.

Table 6
Francis turbine-based Indian hydropower plants suffering from erosion and cavitation [39]
S. Project Installed Capacity Head Rated Speed Water Velocity (m/ Average silt particle size Eroded material Kg/
No. (MW) (m) (rpm) Sec) {mm} year

1 Machkund, A.P. 3 × 17 + 3 × 23 245.4 600 8.64 0.28 5215

2 Nathpa Jhakri, H. 6 × 250 428 456 13.73 0.22 3438
P.
3 Bairasiul, H.P. 3 × 60 240 375 10.28 0.24 4143
4 Dehar, H.P. 6 × 165 282 300 18.68 0.26 6588
5 Giri, H.P. 2 × 30 147.5 428 8.74 0.35 7420
6 Umtru, Meghalaya 4 × 2.8 53.3 500 22.24 0.38 4987
7 Periyar, T.N. 4 × 35 374 750 9.20 0.26 4011
8 Kundah-IV, T.N. 2 × 50 64 158 3.66 0.26 6652
9 Chibro, U.K 4 × 60 110 250 6.20 0.25 1712
10 Dhalipur, U.K 3 × 17 30.5 150 4.71 0.25 5347
11 MB-I, U.K 3 × 30 180 428 5.31 0.25 3324
12 MB-II, U.K 4x76 148 333 8.96 0.23 2488

W = 0.2223 × C0.6244 × V 0.1241 × D0.3437 (7)

where C = is the total silt concentration in tons, V = Velocity of attack in

m/s, and D = Size of silt particles in mm.
Singh et al. [40] investigated the impact of silt erosion on the Francis
turbine and found that roughly two-thirds of the sediment particles
transported in the Bhagirathi River is silt, angular in shape, and quartz
material. During the monsoon period, the runner, guide vanes, and
labyrinths all lost significant weight. Koirala et al. [41] investigated the
impact of sediment erosion on the guide vanes of the Francis turbine and
found that the erosion increases pressure on both sides of the guide
vanes. Fig. 7 shows the relationship between weight loss and sediment
passed, a rise in the sediment would increase the accumulated weight
loss, results in an increase in pressure change (as shown in Fig. 8). Fig. 7. Weight loss vs. Sediment passed [41].
Padhy et al. [42] investigated the parameters of silt erosion, such as
silt thickness, hardness, concentration, water velocity, and base material WC-Co-Cr coating applied through the HVOF process is the best pro­
properties and found that when erosive wear increases, the turbine tection against hydro-abrasive erosion. Darde et al. [44] tested the
output reduces. Anant et al. [43] experimented on the effect of sediment materials used in underwater parts and suggested the replacement of the
concentration and size on hydro-abrasive erosion and found that the metallurgy of stainless steel for the runner, guide vanes by 13Cr Ni4 to

8
K. Kumar and R.P. Saini
Fig. 8. Pressure changes with the quantity of sediment passed [41].
minimize erosion effect.
Chhetry et al. [45] recommended HVOF coating on the turbine parts
to resist silt erosion. During the experiment, various HVOF coated tur­
bine parts, such as the runner vane inlet, perimeter, and seals, showed
positive results against silt erosion; however, coating on the runner
outlet, the bottom edge of the guide vane, and the faceplate was not
shown to be effective. Thapa et al. [46] used the CFD and Fluid-Structure
Interaction (FSI) to improve the design of the Francis runner. The runner
outlet diameter, peripheral inlet velocity, and blade angle distribution
all had a substantial impact on runner sediment erosion. It has also been
found that simply modifying the blade’s hydraulic profile can reduce
sediment erosion by more than 30%. The recommendations provided for
the design modifications in Francis runners are as given in Table 7.
Bajracharya et al. [47] developed a correlation of spear erosive wear
levels (Eqs.8 & 9) and output reduction relationships from the field
survey of the Pelton turbine-based plant.
Erosive wear rate∝a(size)b
Where, erosive wear rate is in Kg/year, and the value of constants a =
351.35 and b = 1.4976 for quartz content of 38 %; a = 1199.8 and b =
1.8025 for quartz content of 60 %; and a = 1482.1 and b = 1.8125 for
quartz content of 80 %.
Efficiency reduction∝a(erosion rate)b
Where a = 0.1522 and b = 1.6946
Felix et al. [48] investigated the hydro-abrasive erosion and sedi­
ment exclusion facilities and recommended that better cooperation is
required among hydropower stakeholders to cost-effectively exploita­
tion of hydropower. Kumar et al. [49] studied the problem of operation
and maintenance of SHP turbine and found that the selection of the
material of the hydro turbine is the most important factor. Kumar et al.
[50] developed a correlation for maintenance cost of a high head run of
the river small hydropower plant, which is expressed as:
CT (in Rs/MW) = − 6877 + P × 6391 − H × 46.93
where P is the capacity of plant (MW) and H is head (m). A summary of
Table 7
Recommendations for design modifications in the hydro turbine [46].
S. Modifications Limitations
No.
1 Increase in the runner blade height Fabrication
2 Accelerate the flow through the Number of runner blades to
runner prevent backflow
3 Reduce the peripheral inlet velocity Reaction ratio
4 Increase the number of pole pairs of Speed number
generators
5 Change the shape of blade angle Strength, fabrication
distribution
6 Increase the runner’s outlet diameter Size of the turbine
Sustainable Energy Technologies and Assessments 49 (2022) 101704
the literature review on the effect of silt erosion in hydro turbines is
given in Table 8.
A hydro turbine is the main component of a hydropower plant. The
efficiency of the turbine is affected by erosion. Heavy silt erosion has
been observed during the monsoon period, which reduces plant effi­
ciency. Severely affected plants required frequent maintenance. Erosion
of the turbine underwater parts also disturbs the stability of the ma­
chine, which may create vibration in the machine. WC-Co-Cr coating
applied through the HVOF process is works best against hydro-abrasive
erosion. It has also been suggested to replace the stainless-steel material
with 13Cr Ni4 to minimize the erosion effect.
Effect of cavitation in hydro turbines
Cavitation is a phenomenon in which the static pressure of the liquid
reduces to below the liquid vapor pressure. It is a multiphase process
involving the formation of bubbles inside a liquid medium. Cavitation
creates noise, vibration, surface erosion, and efficiency loss in hydro
turbines. Turi et al. [51] modeled a complex two-phase flow of turbo­
machinery. The cavitating flow is a homogenous mixture of liquid and
vapour, and the mixture density ρ varies in the flow as a function of the
equivalent void ratio between the vapour density ρV and the liquid
density ρL as shown in Eq. (11).
ρ = αρV + (1 − α)ρL (11)
Only one set of RANS equations has been utilized to explain the flow
motion. An iterative technique was used to calculate the inlet mass flow
rate on a simplified computational domain to reduce the experimental
and numerical torque discrepancy. Xian et al. [52] highlighted recent
advances in hydraulic cavitation, mainly newly developed numerical
approaches utilizing improved optical techniques to better analyze the
cavitating flow mechanism. A Francis turbine has six operating zones. A
(8) typical hill chart of the Francis turbine is shown in Fig. 9.
A turbine should not be operated in Zone-1 due to its low efficiency
at minimum load. Zone-2 is a partial load operation zone where the
turbine cannot be run for an extended period. There is a low-frequency
pressure fluctuation as well as discharge oscillation due to the helical
vortex rope. Zone-3 and Zone-4 are the most common operating zones of
Francis turbines, with Zone-3 being a high partial load operating zone
(9) with 65% to 90% of optimal flow and Zone-4 being the most efficient
operation zone. Pressure fluctuations with a frequency greater than the
rotating frequency are likely in Zone-3. The draft tube in Zone-4 does not
have a vortex rope, and the operation is stable. Zone-5 is the full load
operation zone. Self-oscillations can occur when the system is fully
loaded. Pressure and power oscillations can occur as a result of the full
load pressure surge. Both cavitation and pressure fluctuation increase in
the overload region, i.e., Zone-6, and a secondary vibration may occur.
Yu et al. [53] used numerical simulation to construct vortex-control
grooves for the Francis turbine using the partially averaged Navier-
Stokes process. The cavitation rope action and induced pressure oscil­
(10) lations were studied under a wide range of operating conditions. Based
on the simulation results, it has been found that vortex ropes are
commonly found in the draft tube, which causes pressure oscillations, as
shown in Fig. 10. The simulation result gives the optimized runner cone,
minimizing swirling flow, cavitation, and pressure fluctuation.
Silva et al. [54] presented a case study to analyse the pressure pul­
sations on the draft tube of Francis turbine caused by part load vortex
rope and found that the draft tube models for a multi-machine system
might characterize either oscillation in all the machines with the same
phase or oscillations in phase opposite. Mo et al. [55] analyzed the low-
pressure region forms around the runner blades and cavitation forma­
tion at the surface of the blade along with the vortex at the runner outlet.
When the cylindrical valve is progressively closed, the velocity of flow
over the runner area increases, and the pressure gradient becomes more
significant as the discharge decreases. Veli et al. [56] analyzed the
vibrational effects of vortex formation in Francis turbines during the
high head condition. The problem has been resolved by introducing an
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K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 8
Effect of Silt Erosion in Hydro Turbines.
Author Components Parameters Optimization Techniques Remarks/Recommendations

Singh et al. [40] Hydro Turbine Silt Erosion Data Analysis Significant weight loss has been found during the monsoon period.
Koirala et al. [41] Hydro Turbine Silt Erosion Numerical Analysis Erosion raises the pressure on both sides of the vane.
Padhy et al. [42] Hydro Turbine Silt Erosion Experimental Analysis Turbine output decreases with the increase in erosive wear.
Anant et al. [43] Hydro Turbine Coating Material Experimental Analysis WC-Co-Cr coating performed best against silt erosion.
Darde et al. [44] Underwater Materials used in Data Analysis Replacement of stainless-steel material with 13Cr Ni4 minimizes the
Parts underwater parts erosion effect.
Chhetry et al. Hydropower HVOF Coating Experimental Analysis HVOF coating performs best against silt erosion.
[45] Plant
Singh et al. [46] Hydro Turbine Silt Erosion CFD and Fluid-Structure Interaction Sediment erosion can be reduced by more than 30% by optimizing
(FSI) the blade profile.
Bajracharya et al. Hydro Turbine Silt Erosion Correlation of spear erosive wear levels The longer the needle is operated in the partial (half) opening
[47] and output reduction condition, the higher the needle erosion.

close to 100 Hz corresponding to the synchronous frequency multiplied

by the number of runner blades as given in Eq. (14).
n 428.6
f = ×N = × 14 = 99.96Hz (14)
60 60
Based on Eqs.12, 13, and 14, it has been concluded that the funda­
mental frequency will decrease if the turbine blades are eroded.
Pennacchi et al. [58] investigated the vibrations caused by vortex
rope in the Kaplan turbine. Domain transformations and first and
second-order cyclostationary indicators, among other diagnostic ap­
proaches, have proven effective in spotting insurgency concerns. In
addition, for automated condition monitoring, a synthetic Kurtosis-
based indicator has been devised. Xu et al. [59] compared a large
semi-cushion spiral case structure for its natural vibration properties and
Fig. 9. A typical hill chart of Francis turbine [52]. resonance protection. Finite element analysis and a spiral case frame­
work were used to create a four-parameter damage constitutive model.
The findings revealed that the spiral case structure stiffness decreases
after the concrete damage while the natural frequency of each mode
decreases.
Lian et al. [60] found that the transmission of lateral-river vibration
is greater than longitude-river vibration and vertical vibration. The vi­
brations created by the low-frequency tail fluctuation propagate
simultaneously as the vibrations are caused by the hydraulic generator
rotation. Yu et al. [61] studied the pressure fluctuations in a hydro
turbine. The results revealed that cavitation creates a lower-frequency
pressure fluctuation in addition to the pressure fluctuation induced by
the rotation of the cord. Minakov et al. [62] used the DES turbulence
model to study the low-frequency pressure pulsations in hydro turbines
and revealed that the recessing vortex rope mainly causes pressure
pulsation in the draft tube. This method is based on the k-ω SST model to
effectively blend the robust and accurate formulation of the k-ω model in
the near-wall region with the k-ε model in the free stream region.
∂ρk
+ ∇(ρkv) = ∇(Γk ∇k) + Gk − Yk .FDES (15)
dt
Fig. 10. Vortex rope structure by Q-criterion [53]. ( )
Lt k1/2
FDES = max , 1 , Lt = , CDES = 0, 61
CDES ∇ βω
air-injection system. Georgiana et al. [57] analyzed the vibration levels
to keep vibration rates relatively low during part-load operation. The where Lt is the turbulent length scale, CDES is the empirical constant and
frequency corresponding to the synchronous speed for the unit is given Δ is defined as maximum among the three sizes of the control volume Δx ,
in Eq. (12) Δy , Δz .
428.6 Wei et al. [63] analyzed the maximum responses on the dynamo
fs = = 7.14Hz (12)
60 floor for hydraulic vibration and found that floor vibration is mainly
caused by static and dynamic disturbances of the hydraulic turbine
If the number of turbine blades is 17, the fundamental frequency is
blade. Zhang et al. [64] proposed a mathematical model to analyze the
close to 120 Hz, which corresponds to the synchronous frequency
pressure fluctuations in the draft tube due. The vibration was mainly
multiplied by the number of runner blades as given in Eq. (13)
observed due to cavitation and vortex formation in the turbine. Negru
n 428.6 et al. [65] simulated the hydraulic stresses caused by steady fluid flow in
f = ×N = × 17 = 121.44Hz (13)
60 60 a Francis turbine. The 3-D turbulent flow in the Francis turbine
If the number of turbine blades is 14, the fundamental frequency is distributor and the runner was simulated, and the results presented in

10
K. Kumar and R.P. Saini
Fig. 11. The stress variations vs. discharge [65].
Fig. 11 demonstrate that under BEP and in overload (OL1, OL2) oper­
ating conditions, the largest static stresses occur at the transition be­
tween the blade and the crown near the trailing edge. In contrast to part-
load operating situations (PL4, PL3, PL2, and PL1), both the trailing and
leading edge experienced similar stress peaks.
Brekke et al. [66] reviewed the turbine design criteria to avoid
cavitation, as the structural design of the turbine changed from castings
and riveted plates to fully fabricated structures of high tensile strength
steel in the stationary sections and stainless 13/4 Cr/Ni or 16/5 (17/4)
Cr/Ni replaced the 13/1 Cr/Ni in the runners, which improved the
runner performance. Platonov et al. [67] investigated the pressure
pulsations in the flow duct. The water flow rate is increased nearly
fourfold when the degree of guide vane assembly opening was increased.
At the same time, the efficiency of the turbo-generator increases from
40% to 60%. There was no formation of a single focused vortex at small
degrees of guide vane opening in the suction-tube diffuser. When further
increased in the guide vane assembly opening, a focused processing
vortex core began to form behind the runner.
Luo et al. [68] modeled the unsteady multiphase flow in the Francis
turbine, the pressure oscillations under part-load operation were simu­
lated. To decrease pressure oscillations, air injection system was used. A
modified methodology was utilised to improve numerical accuracy that
combined the Level-set-based method with the FBDCM model. The
simulation results suggested that the modified technique is capable of
predicting turbine pressure oscillations with reasonable accuracy.
Gebrselassie et al. [69] investigated the efficiency of the tidal turbine
and built an Immersed Body Force (IBF) model based on CFD. Aqua­
scientific Ltd created the turbine Momentum Reversal Lift (MRL) uti­
lising the OpenFOAM open-source computational fluid dynamics code
(CFD). Experimental investigation on a small-scale model was utilised to
evaluate the turbine operating output, and the findings were used to
validate the IBF model.
Trivedi et al. [70] experimented over various operating conditions to
generate a Hill chart. Shear stress transport (SST) k-ω and standard k-ω
and two advection schemes were used in numerical simulations at five
operating conditions. Fourier analysis of the signals showed the exis­
tence of a vortex rope in the draft tube, and the highest efficiency
(93.4%) was found at a guide vane angle of 9.9◦ with a speed factor of
0.18 and a discharge factor of 0.15. Gohil et al. [71] simulated the
cavitating flow using the SST turbulence model in the CFX solver. The
numerical predictions of cavitating flow were developed using the
Rayleigh-Plesset mass transfer model in the operating range of overload
(130% rated load) to part load (40% rated load). Fig. 12 shows the effect
11
Sustainable Energy Technologies and Assessments 49 (2022) 101704
Fig. 12. Predicted vs. model test efficiency [71].
of flow velocity on efficiency loss for various suction heads.
Gohil et al. [72] investigated the impact of temperature, suction
head, and flow velocity on cavitation in a Francis turbine using model
testing and CFX code. The empirical relationship Eq. (16) has been used
to obtain the value of σc and found that the efficiency loss and cavitation
rate increase with suction head and temperature, and the cavitation rate
increases with the flow rate.
σ c = 0.625 × (Ns /380.78)2 (16)
where Ns is the specific speed of the turbine.
Kumar et al. [73] found the turbine efficiency reduces due to cavi­
tation after few years of service. Cavitation forms the cavities due to the
pitting of the metal surface of the turbine components. Kim et al. [74]
analyzed the Kaplan turbine tip clearance is crucial in turbine design
because operating with a high tip clearance can cause a change in the
flow pattern, resulting in a loss of efficiency and, eventually, turbine
breakdown. Menarin et al. [75] investigated the influence of the blades
on the basis of field data from four distinct turbines. The flow rate and
static efficiency characteristics were identified. The combination curve
was used to develop the most effective relationship between the wicket
gates and runner blades.
Kim et al. [76] investigated the effect of blade thickness on a Francis
turbine efficiency and found that the power and efficiency decrease with
an increase in blockage ratio. Fig. 13 shows the numerical results
(normalized P and η) at the BEP condition with different blockage ratios.
It has been seen that the efficiency with the thinner runner blade was
declining due to the higher flow rate. Therefore, both the output torque
and the input flow rate decrease as the blockage ratio increases.
A summary of the literature review on the effect of cavitation in
hydro turbines is given in Table 9.
Cavitation is related to the installation of the turbine. When the
pressure in any part of the flow passage reaches the vapor pressure of the
Fig. 13. Performance curves [76].
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 9
Effect of Cavitation in Hydro Turbines.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Turi et al. [51] Kaplan Turbine Cavitation Analysis Numerical Analysis Predicted the cavitation phenomena in the Kaplan turbine.
Yu et al. [53] Hydraulic Vortex Rope Numerical Analysis Vortex rope generates pressure oscillation in the draft tube.
Turbines
Silva et al. [54] Draft tube Pressure pulsations on the draft Time-domain simulation Analyzed the draft tube oscillation behavior in all the machines with the
tube same phase or phase opposition.
Mo et al. [55] Turbine Runner Vortex Rope Numerical Analysis As the discharge drops, the pressure gradient becomes more substantial.
Veli et al. [56] Hydro Turbine Vortex Effect Air Injection System An air injection system can be used to minimize the vortex effect.
Georgiana et al. Part-load Vibration Level FFT and Spectral Analysis If the turbine blades are eroded, then the fundamental frequency will
[57] operation decrease.
Pennacchi et al. Hydro Turbine Vibration Analysis Experimental Analysis Recommended to use automatic vibration monitoring systems.
[58]
Xu et al. [59] Spiral Casing Vibrational Analysis Finite element analysis The spiral case structure stiffness decreases after concrete damage.
Yu et al. [61] Hydraulic Pressure Fluctuations Numerical Analysis Cavitation causes a new pressure fluctuation with a lower frequency.
Turbine
Minakov et al. Hydraulic Low-Frequency Pressure DES turbulence model Pressure pulsation is mainly caused by the recessing vortex rope
[62] Turbines Pulsations downstream of the runner.
Wei et al. [63] Dam Vibrational Analysis Numerical Analysis Floor vibration is mainly caused by static and dynamic disturbances of
the hydraulic turbine blade.
Zhang et al. Unit Shaft Vibration Analysis Mathematical Modeling Shaft vibration should be monitored in HEPs.
[64]
Negru et al. Francis Turbine Hydraulic stresses Fluid flow analysis The transition between the blade and the crown was observed at the most
[65] static tension point.
Platonov et al. Hydraulic Pressure pulsations Experimental Analysis The water flow rate is increased approximately fourfold by increasing the
[66] Turbine degree of guide vane assembly opening, while the turbo-generator
efficiency rises from 40% to 60%.
Luo et al. [68] Part-load Pressure oscillations Level-set-based method The air injection system suppresses the pressure oscillation in the draft
operation and the FBDCM model tube.
Gebrselassie Cross Flow Tidal Turbine Efficiency Immersed Body Force Introduced a CFD-based Immersed Body Force (IBF) model to analyze the
et al. [69] Turbine (IBF) model turbine efficiency.
Trivedi et al. Hydraulic Unsteady numerical simulations Shear stress transport The model maximum efficiency (93.5%) was achieved when the guide
[70] Turbine (SST) k-ω and standard k-ω vanes were angled at 10◦ .
Gohil et al. [71] Hydraulic The cavitating flow of the Shear Stress Transport At the suction head ranges from 2.5 m to 3.7 m a significant efficiency
Turbine Francis turbine (SST) turbulence model loss was observed at the flow velocities of 1.24 m/s and 4.57 m/s.
Gohil et al. [72] Hydro Turbine Impact of temperature, suction Model testing and CFX The cavitation rate and efficiency loss increase as the suction head and
head, and flow velocity on code temperature rise.
cavitation
Kim et al. [74] Hydraulic Turbine tip clearance Numerical Analysis Turbine efficiency decreases with rising tip clearance.
Turbine
Kim et al. [76] Hydro Turbine Effect of blade thickness Modeling and Simulation The hydraulic performance was affected by increasing the blockage ratio.

flowing liquid, it starts vaporizing and small vapor bubbles form in the
large amount. The bubbles are carried along with the flow and reaches to
the high-pressure zone. These bubbles suddenly get collapse in the high-
pressure zone; this phenomenon is called cavitation. Cavitation gener­
ates vortex rope due to pressure oscillation in the draft tube. The pres­
sure gradient becomes more significant as discharge decreases. The
turbine should be placed lower to the tailrace water level to avoid
cavitation in reaction turbines (Francis and Kaplan). Numerical analysis
and model testing of the turbine is recommended to analyze the cavi­
tating phenomena. It has been suggested to use an air injection system to
minimize the vortex effect. Vibrations of the hydraulic turbine are due to
extreme force fluctuations caused by cavitation. Therefore, an automatic
vibration monitoring system is recommended to install in the hydro­
power plants.
Maintenance optimization strategies
Different numerical and experimental techniques are being used to
improve the performance of the system. Kumar et al. [77] investigated
the maintenance problems of the hydro turbines due to cavitation,
erosion, fatigue, material defects and identified the cavitation sensitive
parts and erosion sensitive parts of hydro turbines. Chhetry et al. [78]
studied the design of the vertical Francis turbine headcover. The use of a
faceplate with stud bolts in headcovers has been proven to reduce the
effect of silt erosion. The stud bolts allow the faceplate to be removed
from the headcover, reducing downtime during disassembly and
replacement. Because of the plate thickness constraint, faceplate repair
work necessitates extra care to produce a satisfactory result.
Sherif et al. [79] developed a framework for the Lean Maintenance
(LM) cycle based on the five principles that were organized into two tiers
of four bundles and 26 lean practices/tools along with building a House
of Waste (HoW) to illustrate the relationship between maintenance
waste and the LM tools. Nasir et al. [80] reviewed the component se­
lection criteria of the micro hydropower plant. Under sudden load shifts
in hydro-generators, the weight multiplied by the gyration radius (WR2)
square should be adequate to ensure satisfactory speed control. This can
help to reduce the water hammer effect and slowing down the runaway
speed. On the other hand, slow-speed generators necessitate a wide D2
× L for a given generator capacity. Slow-speed machines have lower
internal reactance, higher short circuit currents, large power swings
from slight angular changes in rotor location and require robust elec­
trical protection against faults at the system terminals. Grassmann et al.
[81] analyzed that running a Kaplan turbine in a partially static mode
could increase the flow velocity in the turbine. This effect reduces the
size of the turbine for the given power, resulting in low capital invest­
ment in dam construction due to the reduction in dam height.
Han et al. [82] analyzed the issues of hydropower unit reliability.
Intelligent systems were used for unit control, fault diagnosis, early
warning system, and optimum allocation of hydropower resources.
Installing a monitoring system to detect problems in the running process
might help solve the problem quickly. Molina et al. [83] developed a
control architecture for a hydropower plant, consisting of an Expert
Program and two modules of the Neural Network Acoustic Prediction
(NNAP) and Neural Network Predictive Maintenance (NNPM). The
NNPM used an Adaptive Resonance Theory (ART) MAP to classify the
different conditions from plant-state variables to avoid potential
malfunctions.

12
K. Kumar and R.P. Saini
Alvarado et al. [84] proposed a Smart Maintenance (SM) model
based on Markov chains to describe the reliability of the component.
Fuzzy logic has been used to determine the component operational risk
and the degree of the maintenance effect on the component failure rate.
Pansrisu et al. [85] developed a preventive maintenance optimization
(PMO) tool to improve equipment reliability. The Weibull distribution
has been used to find the meantime to failure, failure rate, and reliability
with minimum error. The simulation results shown that implementing a
PMO-based maintenance plan will increase the power plant reliability.
Baidya et al. [86] proposed a framework for predictive maintenance
indicator effectiveness (PMIE) based on the AHP. The research was
conducted based on three case studies, and it was found that different
organizations have different management objectives and strategic
maintenance requirements. As a result, the model outcome differed for
each company, and a small difference influenced the outcome in the
Eigen vectors value.
Arunraj et al. [87] developed a maintenance strategy to minimize
equipment failure rate and maintenance costs. The maintenance policies
were selected using AHP and Goal Programming (GP) and the findings
indicated that, when the risk is a criterion, then condition-based main­
tenance (CBM) is preferable over time-based maintenance (TBM)
because CBM can reduce risk better than TBM. Corrective maintenance
(CM) is often preferred when the cost is a factor. However, when risk and
cost are considered multiple criteria, the AHP-GP findings indicate that
CBM is preferred for high-risk equipment, and CM is preferred for low-
risk equipment. Bevilacquaa et al. [88] used AHP to determine the
appropriate maintenance plan. The analysis considers preventive, pre­
dictive, condition-based, corrective, and opportunistic maintenance,
and AHP was integrated with a sensitivity analysis to improve the
methodology’s efficacy. This makes it possible to predict when the
controlled quantity value reached or exceeded the threshold values.
Evrencan et al. [89] developed a multi-objective maintenance
planning architecture for hydroelectric power plants. The first stage uses
a combination of AHP and TOPSIS to determine the risk levels of the
equipments. The planning resulted in 96 working days for electrical
maintenance and 110 working days for mechanical maintenance, and
the remaining days reserved for unexpected failures. Fazreen et al. [90]
introduced a maintenance optimization system based on the AHP and
PSO techniques. The AHP was used to reorganize maintenance activities
based on priority and the PSO was used to reduce operating time and
maintenance costs.
Kumar et al. [91] used the SOM machine learning technique to
analyze the silt data utilized to reduce the risk of failure. Velayutham
et al. [92] addressed power plant maintenance scheduling issues based
on reducing the target function while considering a power system cost-
effective and reliable operation. The findings revealed that the PSO
might be the most time-efficient strategy for maintenance scheduling.
Yang et al. [93] proposed a preventive maintenance optimization finite
time horizon policy based on a three-stage failure process. The concept
of a three-stage failure mechanism was utilized to divide the lifetime of
the system into three stages utilizing three widely used color schemes.
Normal, minor, and severe defects are the three states of the system. The
findings showed that the optimal inspection period could be estimated,
which can assist maintenance managers to make scientific maintenance
decisions.
Azizi et al. [94] rated the power plant based on the four key factors, i.
e., production quality, reliability, cost, and safety. The research deter­
mined various factors associated with each key factor using the fuzzy
analytical method and graded pairwise comparisons and found that the
most critical issues of reliability were best resource utilization, increased
access to maintenance equipment, reduced demand and interruption.
Oyedepo et al. [95] studied the Preventive Maintenance Programme
(PMP) performance based on the turbine failure database from the year
2005 to 2009. Layth et al. [96] analyzed the preventive maintenance
program, which depends on seven steps (inspection and testing, lubri­
cation, planning and scheduling, documentation, training, stimulation,
13
Sustainable Energy Technologies and Assessments 49 (2022) 101704
and control of spare parts), and the work evaluated using Microsoft
Office Access 2007 & Visual Basic 2008 and recommended to use an
integrated preventive maintenance program in power plants.
Kralj et al. [97] discussed the conventional and new maintenance
methods to increase the reliability of the system. The analysis shows a
reduction in malfunctioning by 50% and spare parts costs by 15%. It has
also been found that the results obtained by making classical analysis
were 70% more expensive than the preventive approach. Pamuk et al.
[98] analyzed the fault occurrence using an association diagram be­
tween the equipment failure and the time interval, which can help to
analyze the fault nature and activities required to address those faults.
Wei Li et al. [99] modeled a hydro turbine and governor system using
Power System Analysis Toolbox (PSAT). The Fast Fourier transform
(FFT) has been used to convert the time-domain signals into the fre­
quency domain so that it would be possible to determine the particular
frequencies of the signals. A functional diagram with all the components
of the turbine and governor system is shown in Fig. 14
Piraisoodi et al. [100] developed a fuzzy fractional PID controller for
a nonlinear HTGS. The simulation tested the tracking capability and
performance of HTGS during dynamic setpoint changes for a wide range
of operating conditions. Klun et al. [101] tested LDV for hydropower
plants. An electronic method was used to reduce the instrument noise
due to the sensitivity of accelerometers to the magnetic field. The
problem has been resolved by using an isolation transformer and a band-
stop filter. Bayram et al. [102] developed a static excitation system
based on interleaved buck converters to eliminate the delayed response
under dynamic load conditions. A traditional converter produces cur­
rent ripple of 1.17A, whereas an interleaved buck converter produces
the current ripple upto 0.5A. McCarthy [103] studied the thrust bearing
material and pad tilting angle and compared the performance of PTFE/
glass fiber composite material and found that PTFE/glass fiber com­
posite reduces the bearing and shaft coller temperature. Shah et al.
[104] modified the existing Cooling Water System (CWS) by introducing
a close loop circuit in which water supply passes through a tubular heat
exchanger directly submerged into draft tube water.
Valavi et al. [105] studied the challenges and opportunities of the
variable-speed operation of hydropower machines. Operating a machine
at variable speed would maintain the efficiency of the system. A com­
parison was made between the Doubly-Fed Induction Motor (DFIM) and
the Converter fed synchronous machine (CFSM) configurations. The
study revealed that CFSM provides superior efficiency than DFIM, but
the need for a full-rated converter is a major drawback for this model.
Kougiasa et al. [106] reviewed the recent developments in the electro-
mechanical components and generator design related to mitigating
flow instability. Variable speed hydropower generation and its appli­
cation in pumped storage plants were presented. Efforts to minimize
hydropower environmental footprint were also presented via the utili­
zation of small-scale and fish-friendly installations.
Ribeirao et al. [107] classified the equipments used in hydro-
generators for predictive maintenance. The Current signature analysis
(CSA), Voltage signature analysis (VSA), and the Enhanced Park Vector
Method (EPVA) were used to isolate the signal spectrum and identify
frequencies associated with the electrical and mechanical defects of the
generator-turbine set. Chen et al. [108] reviewed the TBM and CBM
systems and found that the Digitized Modeling (DM) method is put
forward based on the 3D dynamic modeling method and the Distributed
Physical Graphic-Net modeling method to satisfy the demands of CBM.
Based on the DM method, the HOMIS system was developed for the
online monitoring of hydropower plants. Jagatheesan et al. [109]
simulated the Load Frequency Control (LFC) of three areas of unequally
interconnected thermal, wind, and hydropower generation developed in
MATLAB/SIMULINK with a Proportional-Integral (PI) controller and
concluded that the integrated ITSE controller gives superior perfor­
mance than ITAE.
Vinatoru et al. [110] developed a mathematical model to describe
the hydro unit dynamic and stationary behavior accurately. A digital
K. Kumar and R.P. Saini
Fig. 14. Functional block diagram of the turbine and governor [99].
control algorithm to digitize the monitoring and control systems for
power, frequency, and voltage was implemented. Glatzel et al. [111]
evaluated the CFD performance for a wide range of lab-on-a-chip
(LOAC) applications on the four commercial finite volume pro­
grammes (CFD-ACE+, CFX, Flow-3D, and Fluent). The results reveal
that qualitative tools can calculate convection–diffusion using a second-
order algorithm effectively. It was also discovered that CFX and Flow-3D
did not determine the free surface forms as well as the other pro­
grammes, however CFD-ACE + was the only programme that accurately
replicated the droplet break-off.
Sakamoto et al. [112] used CFD analysis with Laser Doppler Veloc­
imetry (LDV) in the draft tube cone to enhance the accuracy of numer­
ical flow modeling for forecasting dynamic turbine characteristics. The
commercial flow solver ANSYS CFX was used to produce a steady
Reynolds-Averaged Navier-Stokes (RANS) simulation for numerical
analysis. Xu et al. [113] analyzed the distribution characteristics of
energy losses and stability trends in transient processes. It has been
found that the hydraulic friction loss in spiral casing plays a decisive role
in operating efficiency. Chukwuemeka et al. [114] developed a system
to analyze the performance of a hydropower plant, past ten years of data
were used as performance indicators. A value of the coefficient of per­
formance 7.523 was suggested as a benchmark, below which a hydro­
power plant was assumed to have underperforming.
Connolly et al. [115] compared the three operating strategies to
optimize the feasibility for a PHES facility. The results indicated that
almost 97% of the profits could be obtained by a PHES facility when
optimized using the 24-Optimal strategy, which optimizes the energy
storage based on the day-ahead electricity prices, surpassing the annual
investment repayments required. Yang et al. [116] presented a mathe­
matical model of the hydropower plants. Simulations and on-site mea­
surements were compared on various operating conditions. The factors
influencing the power response time were studied from the device
properties of both control and water direction. Stabilization of the low-
frequency oscillation of hydropower plants triggered by surge fluctua­
tion was studied as an isolated activity. Liu et al. [117] reviewed the
loading features and issues of fatigue damage. It has been recommended
that fatigue damage problems must be solved to ensure that turbine
units run safely and steadily within their design life.
Presas et al. [118] estimated the fatigue life of the Francis turbine
and found that the characteristics of Francis turbine flow excitation and
structural parameters were partly understood and cannot be entirely
simulated with computational models. Sammartano et al. [119]
analyzed the internal flow in a hydraulic crossflow turbine and the CFD
simulation results were compared with experimental data to optimize
the performance. Krishna et al. [120] explained the application of syn­
chronous condenser mode operation of hydropower plants which in­
creases the efficiency of the plant and reduces plant downtime. A
14
Sustainable Energy Technologies and Assessments 49 (2022) 101704
comparative analysis of different synchronous compensation equip­
ments is listed in Table 10.
Krishna et al. [121] analyzed the damping of synchronous genera­
tors. A PSS system has been used to improve the dynamic stability of the
generator through the excitation system. A summary of the literature
review on the maintenance optimization strategies is given in Table 11.
Running a hydropower machine in its efficiency zone is important to
minimize the part-load operational losses. Whereas maintenance of a
hydropower plant is a critical issue, hydro turbines suffering from
erosion and cavitation create efficiency loss. Therefore, severely affected
plants may require frequent maintenance with a higher cost of repairing.
Also, the availability of the machine will decrease. Proper operation and
maintenance strategies are needed for individual power plants, which
can be optimized by mathematical modeling. Automatic monitoring of
power plants may help to assess the plant condition.
Operation and maintenance of power evacuation system
Uninterrupted operation and proper maintenance of power evacua­
tion systems with sufficient control and safety are important in trans­
mitting energy from one location to another. Blanco et al. [122]
analyzed the voltage distortion due to harmonic current emission of
household electronic devices which depends on the magnitude of the
voltage harmonics and angles. The total harmonic distortion (THD) was
expressed as Eq.(17):
√̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
√ 50 ( )
√∑ h 2
√ I
IHAR √h=2
THD = = × 100% (17)
IFUN I 1
where I(h) represent the magnitudes of existing harmonics, IHAR
represents the overall RMS harmonic current, and IFUN represents the
RMS fundamental current. THD varies across all topologies, and this
variability grows with increased voltage distortion. The variance in THD
becomes greater if the harmonic angles of the voltage differ in a wider
range.
Williston et al. [123] analyzed the probability of an out-of-phase
reclosure event. The stress on the various elements was quantified.
Failure to detect an island formation raises the concern of reclosing out
Table 10
Reactive Synchronous Compensation Equipments [120]
Equipment type Capital costs ($/kVar) Operating Costs
STATCOM High Moderate
Static VAR compensator Intermediate Moderate
Synchronous condenser Moderate High
Capacitor, reactor Very low Very low
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 11
Maintenance Optimization Strategies.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Chhetry et al. [78] Head Cover of Vertical Maintenance of turbine Experimental Setup and The supply of stud bolts enables the removal of the faceplate from
Francis Turbine Mathematical Modeling the headcover and helps to reduce downtime.
Grassmann et al. Hydraulic Turbines Partially static mode operation Numerical Analysis Reducing the turbine size for the given power resulting in low
[81] capital investment in the dam construction due to the reduction
in dam height.
Han et al. [82] Hydropower Plant Reliability of Hydro Units Based on Experience Advanced technology should be used to monitor the condition of
the hydropower unit.
Molina et al. [83] Turbine and Generator Abnormality Prediction NNAP and NNPM The NNPM uses an Adaptive Resonance Theory (ART) MAP to
classify the different conditions from plant-state variables to
avoid potential malfunctions.
Alvarado et al. Hydropower Plant Smart Maintenance (SM) Markov chains Analysed the maintenance impact on the component failure rate
[84] model using fuzzy logic.
Pansrisu et al. [85] Hydropower Plant Reliability of equipment The preventive Implemented a PMO-based maintenance plan to increase power
maintenance optimization plant reliability.
tool
Baidya et al. [86] Hydropower Plant Predictive maintenance AHP A small difference influenced the outcome in the Eigenvectors
indicator effectiveness (PMIE) value.
Arunraj et al. [87] Hydropower Plant Maintenance strategy AHP and GP For high-risk equipment, CBM is chosen, while CM is preferred for
low-risk equipment.
Bevilacquaa et al. Hydropower Plant Maintenance plan selection AHP AHP combined with a sensitivity analysis boosts the methodology
[88] efficacy.
Özcan et al. [89] Hydropower Plant Maintenance planning AHP and TOPSIS The planning resulted in 96 working days for electrical
maintenance and 110 working days for mechanical maintenance.
Fuzi et al. [90] Hydropower Plant Maintenance Optimization AHP and PSO AHP has been used to prioritize maintenance activities, and PSO
has been used to reduce operating time and maintenance costs.
Kumar et al. [91] Silt monitoring Silt analysis Self-organizing map SOM can be used to predict the daily silt pattern accurately.
Velayutham et al. Hydropower Plant Maintenance Scheduling PSO Particle Swarm Optimization (PSO) is a time-efficient method for
[92] optimal maintenance solutions.
Yang et al. [93] Hydropower Plant Preventive maintenance Three-stage failure A Three-color scheme can be used to understand the behavior of
optimization policy mechanism the system.
Azizi et al. [94] Hydropower Plant Maintenance Strategies Fuzzy analytical method The most critical issues in terms of reliability were best resource
utilization, increased access to maintenance equipment, demand
reduction, and interruption.
Oyedepo et al. Hydropower Plant PMP Failure database of the Investigated the reliability and availability of the power plant.
[95] turbines
Layth et al. [96] Hydropower Plant Preventive maintenance Microsoft Office Access The maintenance depends on time, weight of the activity,
program 2007 and Visual Basic percentage completion, and duration of the activity.
2008
Kralj et al. [97] Hydropower Plant Maintenance Costs Analysis Data analysis Preventive maintenance reduces 70% maintenance costs than
classical analysis.
Pamuk et al. [98] Hydropower Plant Maintenance Strategies Analytical Association diagrams between the equipment failure and the time
period from the previous preventive maintenance are used to
analyse faults.
Li et al. [99] Turbine and Governor FFT has been used to analyze PSAT Analyzed power system performance.
the frequencies present in the
signals
Piraisoodi et al. Governing System Capability and robust Multi-objective fuzzy The fuzzy FOPID controller has a better fitness value than the PID.
[100] performance of HTGS fractional PID controller
Klun et al. [101] Measuring Instrument Seismic Analysis Laser Doppler Vibrometer The noise produced by the electronic circuit can be eliminated by
(LDV) using an isolation transformer and a band-stop filter.
Bayram et al. Generator and AVR Interleaved buck converter- Finite Element analysis- In terms of step response and inductor current ripple, an
[102] based static excitation based model interleaved buck converter performs better.
McCarthy [103] Bearings Pads Thrust bearing pad material Experimental Analyses PTFE/glass fiber composite reduces the bearing and shaft coller
temperature.
Shah et al. [104] CWS Impact of silt Experimental Analysis The use of closed-loop CWS minimizes the impact of silt choking
in the pipeline.
Valavi et al. [105] Hydraulic Turbine Variable-speed operation Experimental Analysis CFSM provides higher efficiency than DFIM.
Ribeiro et al. Hydro Generators Predictive maintenance CSA, VSA, and EPVA CSA, VSA, and EPVA isolate the signal spectrum and identify
[107] monitoring frequencies associated with defects.
Chen et al. [108] Hydropower plant HOMIS system Digitized Modeling Online monitoring is useful for the CBM.
Monitoring
Jagatheesan et al. Load Frequency Proportional-Integral (PI) Modeling and Simulation ITSE provides much better results than any other modeling.
[109] Control controller
Vinatoru et al. Hydropower Plant Behavior Analysis Mathematical Modeling It is recommended to install a SCADA system in each power plant.
[110]
Sakamoto et al. Dynamic Velocity and Pressure LDV and CFD Analyzed the velocity and pressure inside of a draft tube.
[112] characteristics of Distribution
turbine
Xu et al. [113] HTGS Performance Analysis Mathematical Modeling Hydraulic friction loss in spiral pipes plays a decisive role in
operating efficiency.
Chukwuemeka Hydropower Plant Performance Evaluation Modeling A coefficient of performance benchmark, 7.523 is suggested
et al. [114] below which a hydropower plant is assumed to have
underperforming.
(continued on next page)

15
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 11 (continued )
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Connolly et al. Hydropower Plant Operation Strategies Mathematical Analysis When a PHES facility is optimized utilising the 24-Optimal
[115] method, it can earn about 97% of its profits.
Yang et al. [116] Hydropower Plant Operating Conditions Numerical Analysis Stabilization of the low-frequency oscillation of hydropower
plants triggered by surge fluctuation.
Sammartano et al. Hydro Turbine Turbine Performance Numerical and To examine the turbine performance, the SST turbulence model
[119] Experimental Analysis was combined with the Kato-Launder production limiter.
Krishna et al. Hydropower Plant Synchronous Condensing Data analysis Synchronous Condensing Mode operation increases the overall
[120] Mode efficiency of the plant.
Krishna et al. AVR PSS Experimental Testing The dynamic stability of the generator can be improved by the
[121] PSS tuning of the excitation system.

of phase. These incidents may potentially cause harm to infrastructure
and surrounding customer facilities as well as the generator itself. The
main danger for applications with low-penetration DG was possibly the
generator itself. In an application with higher penetration, the risk to the
DG was reduced. In both the low and high-penetration cases, the inrush
current was less than the transformers on the feeder withstanding
current.
Sinclair et al. [124] recommended to use distance relay to minimize
the unwanted tripping. A summary of the research work carried out
earlier on the operation and maintenance of the power evacuation sys­
tem is shown in Table 12.
The power evacuation system is an important equipment for the
continuous generation and transmission of power. Various protection
systems are installed in a power plant to isolate the faulty system. Proper
relay coordination is important to avoid unwanted tripping. Power
system equipment tunning is also important to get a quick response from
the system. Maintaining the plant DC supply is also important as all the
protection systems work on the DC supply.
Automatic/online monitoring and control of hydropower plants
Online monitoring of hydropower plants is important for an unin­
terrupted power generation. Monitoring of silt, vibration, discharge,
level, energy generation, and tandem operation of power plants to know
the real-time condition of the plant is essential. Better monitoring and
control strategies can minimize unwanted breakdowns and improve the
performance of the system. Jeon et al. [125] developed Kwater’s online
dam management system (KDSMS) for the remote monitoring of 30
dams to secure from the dam failure due to aging, earthquakes, and
extreme weather changes. The architecture of a web-based monitoring
system is shown in Fig. 15. The data received from the sensors are
pushed on the internet through gateways to monitor and analyze the
system performance remotely.
Song et al. [126] developed a Web-based system “HYDES” for a
hydro turbine fault detection using the IF-THEN rule. The system
employed heuristic rules to diagnose the hydro turbine fault. Bishwa­
karma et al. [127] developed a real-time sediment monitoring system
“SMOOTH” to record the sediment load. This system can also be
installed after the settling basins to use as an early warning system.
Nasselqvist et al. [128] proposed an approach for determining the alarm
and trip levels based on design criteria and measured radial loads
produced by turbine unbalance deviations and dynamic flow parame­
ters. Mohanta et al. [129] studied vibration sources and their treatment
in hydropower stations. The study revealed that monitoring shaft and
bracket vibrations, relative shaft vibration, bearings with absolute vi­
bration, thrust bearing axial vibration, stator core vibration, stator bar
vibration, and stator end winding vibration are important to analyze the
behavior of the system. Betti et al. [130] developed a KPI-based
appropriately trained SOM model for condition monitoring of hydro­
power plants. Pressure, flow, and temperature parameters were used to
monitor the HV transformer and turbine, whereas vibration and tem­
perature parameters were used to monitor the generator performance.
Majumder et al. [131] used a polynomial neural network cognitive
technique to establish a single index for the real-time monitoring of
power plant reliability using generator efficiency, levelized energy costs,
and selling price. Zhang et al. [132] re-designed the monitoring system
‘ADAM’ using C++ and assembly language, 16-channel data acquisition
and visualization systems were installed for monitoring.
Stencil et al. [133] studied the temperature control in different sub-
assemblies and revealed that the SCADA device ensures adequate tem­
perature control and makes temperature-dependent behavior pre­
dictions. Zhaohui et al. [134] developed an online optimal maintenance
information system ‘HOMIS’ composed of seven specialized Monitoring
and Analysis Units (MAU) for the turbine, generator, transformer,
bearing, supporting system, governing system, excitation system, and a
General Monitoring and Diagnosis Server for the Group (GMDS).
Pepa et al. [135] developed a hydropower plant monitoring system
using a series of sensors with a PLC that runs an application software to
implement the security and control algorithms. Sobhan et al. [136]
implemented an automatic control and monitoring system for hydro­
power plants. A PLC controls the mechanism, and the plan was moni­
tored and supervised by a SCADA system. Yuechao et al. [137]
developed an intelligent web-based workstation (IWWS) based on the
data received from various methods (such as SCADA system, speed
governor, voltage regulator, condition monitoring systems) to help op­
erators with the query and interference on analysis.
Derakhshandeh et al. [138] developed an intelligent control system
converter (ICSC) to harness the hydrokinetic energy using the wake-
induced vibration (WIV) phenomena. The system is controlled auto­
matically and remotely to maximize the oscillation of the cylinder based
on the free stream velocity. IoT technology has been used to remotely set
the position of the downstream cylinder at desirable longitudinal at

Table 12
O&M of Power Evacuation System.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Blanco et al. [120] Hydropower Plant Supply Voltage Simulation Changes in single voltage harmonics lead to change in multiple harmonics in
Distortion current.
Williston et al. Electrical Auto Reclosing Inrush Current Inrush current creates out-of-phase reclosing of the circuit breaker.
[121] Protection
Sinclair et al. Electrical Relay Coordination Experimental Analysis Analyzed the alarm and trip behavior of distance relay time coordination.
[122] Protection

16
K. Kumar and R.P. Saini
Fig. 15. KDSMS dam management system [125].
transverse distances. Ginting et al. [139] implemented a system for
power monitoring using IoT through voltage, current, and water volume
sensors.
Sturdivant et al. [140] developed a low-cost IoT-based hydropower
plant monitoring system. The IoT device sends the data over the
accessible API using Message Queue Telemetry Transport (MQTT).
Dhobley et al. [141] compared the SCADA and IoT systems and found
that the SCADA system is primarily concerned with supervisory func­
tions and is not a full control system. IoT, on the other hand, serves as a
supplement to SCADA. The SCADA system creates data that can be used
as one of the IoT data sources. George et al. [142] developed strategies
on Industrial IoT (IIoT) security issues using a graphical model. The
strategies include detection and removal of the attack paths with high
risk and low hop length. Vasudeva et al. [143] developed a framework
for power-plant automation using a staged approach and recommended
to monitor turbine vibration, turbine water induction, generator gas,
generator shaft voltage, rotor dynamics, and balance monitoring, etc.
Kishora et al. [144] reviewed various articles on hydropower plants
and revealed that a number of contributions exist for the simple line­
arized first-order model of the plant. Similarly, different control ap­
proaches have been tested and implemented to study the behavior of the
plant under different operating conditions. Badoniya et al. [145]
developed a quantitative method for identifying critical components of
power generating systems using Fault Tree Analysis (FTA). The FTA has
great importance for the evaluation of potential failures. The quantita­
tive analysis made possible the determination of the most significant
root causes of events. David et al. [146] recommended to measure the
efficiency of the generating units to optimize the monitoring system for
maintenance and safety. Several existing measurement techniques have
been utilized to test, which depends on the power plant configuration
and the instrumentation capability. Kumar et al. [147] used ANN for
forecasting daily silt data. Based on the slit pattern, maintenance of the
plant can be proposed. Kumar et al. [148] explored the application areas
17
Sustainable Energy Technologies and Assessments 49 (2022) 101704
of artificial intelligence in hydropower. A summary of the literature
review on automatic/online monitoring and control of hydropower
plants is given in Table13.
Online monitoring of power plants using various technologies like
PLC, SCADA, and IoT-based systems can be used for continuous moni­
toring and remote operation. Monitoring of silt, vibration, discharge,
level, energy generation, and tandem operation is important. It helps to
assess the machines current status and based on the current situation the
operation and maintenance can be planned. An IoT-based system can be
utilized to develop a low-cost architecture for power plant monitoring,
and machine learning techniques can be used on the historical data for
automatic decision-making.
Conclusions
In this paper an extensive literature review has been carried out and
it is found that vibration and stress on dam body, design aspects of the
surge tank and trash rack, effect of silt erosion and cavitation in hydro
turbines are the critical issues which should be considered for operation
and maintenance of hydropower plants. Various optimization tech­
niques are adopted for monitoring of these issues. In the case of hydro
turbines, abrasive erosion is considered the major problem that results in
substantial losses in the energy generation of a hydropower plant. Based
on the literature review, the following conclusions are drawn.
i) Vibration monitoring of dam and barrage structures is necessary
to analyze the real-time condition of dam/barrage. In comparison
to conventional methods, the coaxial rotating smear­
ed crack method was found to be more accurate by 32% and 25%
to determine the overall tensile and compressive stresses,
respectively.
ii) During the operation of a hydropower plant, losses in trash rack
are also considered as an important aspect. It has been reported in
K. Kumar and R.P. Saini Sustainable Energy Technologies and Assessments 49 (2022) 101704

Table 13
Automatic/Online Monitoring and control of hydropower plants.
Author Components Parameters Optimization Remarks/Recommendations
Techniques

Jeon et al. [125] Dam Online dam KDSMS Remote monitoring of dams will increase the safety and security of
management system men and machines.
Song et al. [126] Hydro Turbine Monitoring HYDES The system employed heuristic rules to diagnose the hydro turbine
faults.
Bishwakarma et al. Hydropower Plant Sediment Monitoring SMOOTH Online sediment monitoring is important in high head HEPs.
[127]
Nasselqvist et al. Hydropower Plant Radial loads in Numerical Analysis The radial loads in hydropower units are caused by unbalance, shape
[128] hydropower units deviations, and dynamic flow properties in the turbine.
Betti et al. [130] Hydropower Plant Condition monitoring SOM Condition monitoring strategy for fault observation and prediction
should be prepared.
Majumder et al. Hydropower Plant Real-time monitoring Polynomial Neural The most important measure of reliability was generator efficiency,
[131] Network levelized energy costs, and selling price.
Zhang et al. [132] Turbine, Generator, Monitoring system C++ and assembly Condition monitoring improves the overall plant efficiency.
and Auxiliaries language
Li et al. [134] Hydraulic Turbine and Online monitoring HOMIS It improves the online monitoring of power plants.
Generator
Pepa et al. [135] Hydropower Plant Plant monitoring PLC and SCADA PLC and SCADA based system has been used for trend analysis and
remote operation.
Derakhshandeh et al. Hydropower Plant Intelligent control IoT Maximized the captured energy of the Wake Induced Vibration (WIV)
[138] system converter converter.
Ginting et al. [139] Hydropower Plant Power Monitoring IoT Monitoring of power generation from a remote location.
Sturdivant et al. Hydropower Plant Plant Monitoring IoT An IoT-based low-cost monitoring system can help to monitor the
[140] power plant remotely.
Dhobley et al. [141] Hydropower Plant Comparative Analysis SCADA and IoT SCADA is the only supervisory level control, whereas IoT can be used
for data analysis.
George et al. [142] Hydropower Plant Security Issues in Graph-Based Security Graph-based risk mitigation strategies can be used for risk mapping.
Industrial IoT Framework
Vasudeva et al. [143] Hydropower Plant Maintenance Cost ThroughControl System Performance optimization of the plant using the latest instruments.
Improvements
Badoniya et al. [145] Hydropower Plant Failure Analysis Fault Tree Analysis (FTA) FTA can be used to identify the causes of fault and action taken after
the fault.

the literature that the losses can be minimized using cylindrical
trash rack bars inclined at an angle of 80◦ .
iii) Erosion and cavitation are the main causes of hydro turbine
damage and efficiency loss; therefore, hydro turbines should be
designed based on silt data analysis. The modification in the
blade profile of the turbine runner is reported to reduce sediment
erosion more than 30%. Further, coating of harder material on
the underwater parts of the turbine is also recommended to
minimize the effect of silt erosion. It has also been found that
coating of WC-Co-Cr material with the HVOF process provides
the best resistance against silt erosion.
iv) The performance of a hydro turbine depends on the sediment
erosion which can be monitored by the fundamental frequency
measurement of a turbine and it is found to be decreased with the
sediment erosion rate of the turbine blades.
v) Under various studies, the Fuzzy logic technique was employed to
optimize the operation and maintenance issues to determine the
components operational risk, degree of maintenance exertion,
and maintenance effect on the component failure rate. Whereas,
Analytical Hierarchy Process (AHP) was proposed to re-organize
maintenance activities based on priority. For high-risk equipment
maintenance and low-risk equipment maintenance, Condition
Based Maintenance (CBM) and Corrective Maintenance (CM),
respectively, are preferred.
vi) Based on the investigations carried out under various studies, the
selection of maintenance strategies is recommended for different
plants considering the runtime conditions of the equipment.
Various condition-based monitoring techniques such as Fuzzy
logic, AHP, PSO, ANN, and SOM have been used to optimize the
operation and maintenance of hydropower plants. However,
there is a scope to employ SCADA, IoT, and cloud-based moni­
toring systems for remote monitoring and fault analysis of hy­
dropower plants. The present paper may be useful for the
engineers, developers, and researchers working in the
hydropower sector to optimize the operation and maintenance of
hydropower plants.
CRediT authorship contribution statement
Krishna Kumar: Conceptualization, Methodology, Writing – orig­
inal draft. R.P. Saini: Supervision, Visualization, Writing – review &
editing.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
Acknowledgments
The first author is employed in UJVN Ltd., and grateful to his orga­
nization for providing plant data and support for conducting this
research work.
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