Renewable and Sustainable Energy Reviews 69 (2017) 610619

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Renewable and Sustainable Energy Reviews

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Operation of hydro power plants-a review

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Vineet Kumar Singh , S.K. Singal
Alternate Hydro Energy Center, Indian institute of Technology Roorkee, Roorkee, Uttarakhand, 247667, India

A R T I C L E I N F O A BS T RAC T

Keywords: Energy is one of the major factors contributing in the development of a country. There are various sources of
Energy energy throughout the world, renewable as well as non-renewable. Renewable energy sources are considered
Penstock more environmental friendly. Among all the sources of renewable energy, hydro power is considered most
Renewable energy advantageous source of energy. Hydro power has negligible social and environment impact as compared to
Small hydropower
other forms of renewable energy. Proper operation of hydropower plant is very important for generating
maximum energy by utilizing the available potential. The present study has been undertaken for review on the
operational aspects of hydro power plants contributing in energy generation with minimum operational cost as
well as the minimum environment eect. All the components and parameters contributing in operation of hydro
power plant have been discussed, with respect to minimization of operational cost and maximizing generation.
The mathematical models developed earlier for operation of hydro power and techniques to minimize the
operation cost as well as maximization of energy generation of hydro power plant have also been presented for
the benet of the researchers. It has been found that earlier studies mainly focused on operation of reservoir
based hydropower plants and further studies are required for optimum operation of run of river small
hydropower plants.

1. Introduction
Energy plays key role in the development of a country and dening
its living standards. Due to rapid growth in population and industria-
lization around the world, the energy demand is increasing sharply.
The rise in energy demand is rapidly depleting the conventional energy
resources. Conventional energy sources including coal, petroleum and
nuclear apart from being limited are also responsible for polluting the
environment and disturbing the ecological balance. On the other hand,
non-conventional renewable energy resources such as wind, solar,
hydro, geothermal, ocean tidal are abundant, inexhaustible and non-
polluting in nature. Thus the direction of development in power
generation is being shifted towards non-conventional renewable energy
resources over the years. Out of all the available renewable energy
resources, hydropower is a clean, ecient and hassle-free technology of
power generation. Hydropower plants are broadly classied as reser-
voir based and run of river type. The run of river scheme can be
advantageous as it does not lead to rehabilitation of people also have
negligible environmental impact as it uses instantaneous ow of water
to drive the turbines. Hydropower schemes are dened as large or
small based on the capacity of the plant. Dierent countries follow
dierent norms for this denition. In India hydropower plants upto
25 MW are classied as small hydropower (SHP) and more than
25 MW as large hydro [1]. Hydropower, the most important form of
renewable energy for electrical power generation throughout the world,
provides 19% of the planet's energy demand [2]. There were various
small hydroelectric power plants developed at the starting of the
twentieth century. Many of them have been abandoned [3]. The total
installed capacity of electricity from all sources in India is 257,787 MW
as shown in Figs. 1 and 2 shows the contribution of various renewable
energy sources. It is found that growth rate of installed capacity from
renewable sources in India is about 7% per year over last 15 years as
shown in Fig. 3.
Hydro power has wide range of power generation and proper
operation of such plants is very important in order to achieve
maximum generation at minimum operation cost. This study is aimed
to cover review of all the aspects of hydro power plant operation
considering all the components and parameters aecting the operation.
Various operation models have been developed by the various authors
which include hydrothermal units optimized with dierent techniques.
This review study presents all the aspects of hydro power plant
operation including hybrid systems. It covers environmental aspects
and design aspects of operation of hydro power units also. The main
objective of this review work is to present the past studies carried out
on hydropower plant operation comprehensively with a special focus
on identication of factors eecting the operation, environmental,
scheduling, economic and optimization aspects. The study is also
aimed to nd out future scope for research work in the operational

Corresponding author.

http://dx.doi.org/10.1016/j.rser.2016.11.169
Received 5 November 2015; Received in revised form 27 August 2016; Accepted 12 November 2016
1364-0321/ 2016 Elsevier Ltd. All rights reserved.
V.K. Singh, S.K. Singal Renewable and Sustainable Energy Reviews 69 (2017) 610619

180000 154170
160000
Capacity (MW)

140000
120000
100000
80000
60000 33791 40876
40000 22971
20000 1199 4780
0

Energy Sources
Fig. 1. Total installed capacity in India from dierent sources [4].

25000 22465
20000
Capacity (MW)

15000 Fig. 5. Schematic of run of river small hydro power plant.

10000
other so that there is need for proper operation of each component in
3990 4165 3062 order to achieve maximum electricity generation with utilization of
5000
available potential. The schematic of run of river small hydro power
0 plant is shown in Fig. 5. In small hydro power run of river scheme,
Wind power Small hydro Bio power Solar power water is diverted from the river by the diversion weir. The weir is
power
constructed across the river, which maintains a continuous ow
Energy Sources
through the intake [5]. Water is then passed through the desilting
Fig. 2. Installed capacity in India from renewable [4]. tank in which sand particles are settled down. The water leaving from
the desilting tank goes to the forebay tank through a cannel and from
40000 the forebay tank water is passed to the turbine through the pressure
35000 33791
Capacity (MW)

30000 28067 pipe known as penstock. Water carried by penstock directly strike on
31702 the turbine blade followed by the guide vanes to rotate the turbine
25000 19974 24914
20000 14792 runner. The runner of the turbine is coupled with the shaft and this
15000 10257 16817 shaft also coupled with the generator to produce the electricity.
10000 8088 12403
5000 2906 3518 5311 Generally hydraulic turbine has eciency up to the range of 9495%
6161
0 3179 4880 and overall eciency of the hydro power plants can be up to 8890%
1999-2000
2000-2001
2001-2002
2002-2003
2003-2004
2004-2005
2005-2006
2006-2007
2007-2008
2008-2009
2009-2010
2010-2011
2011-2012
2012-2013
2013-2014
2014-2015

[6].
The operation of hydro power plants should be economic, reliable
and generate maximum energy. In the operation of hydro power plants,
it is possible to optimize the eciency, energy generation and cost-
Year
eectiveness of water use with imbalances in inows and demands [7].
Fig. 3. Growth in renewable energy installed capacity [4]. The large costs of establishing, maintaining and operating hydropower
plants have also encouraged for the optimal design and operation of
aspects of small hydropower stations. run of river power plants through existing approaches [8,9]. The
operation of hydropower plants also involves the scheduling of
2. Operation of small hydro power plant production units in every time interval.

The basic principle of the hydro power generation is impulse
momentum. Water potential is converted into the mechanical energy
by rotating the turbine and mechanical energy is further converted into
the electrical energy by using generator. The block diagram of
converting the hydro energy is shown in Fig. 4.
The mechanical energy produced by the turbine shaft is given as:
[5]
P =q. .g.h.
where is the hydraulic eciency of the turbine, q is discharge of water
in m3/s, h is head in m, g is gravitational acceleration in m/s2, and is
water density in kg/m3.
Hydro power plant has various components which can be categor-
ized as civil and electro-mechanical components. These components
have their own function and these functions are interconnected to each
Water Mechanical
Potenal Energy
Fig. 4. Block diagram of hydropower generation.
3. Research review
The earlier research works carried out on hydro power operation
discuss mostly about reservoir based hydro power plant. In this study, a
comprehensive review is presented on dierent aspects of a hydro
power plant such as: operation, economic aspect, components, para-
meters and optimization techniques in following sub sections:
3.1. Operation of hydro power system
Babel et al. [10] discussed the ow duration curve and range of
variability method for improving the eciency of the power generation.
The results show that by using ow duration curve, the power
generation can be increased by eight and four percent as compared
with the rule curve based operation. Power generation can also be
improved while maintaining the environmental ow requirements for
Electrical downstream ecosystems. Kishor et al. [11] developed the hydro power
Energy plant model as linear or non linear model and broadly categorized the
research on the basis of hydro plant model development and its
controller design. Finardi et al. in [12] developed the mathematical

611
V.K. Singh, S.K. Singal
model for the scheduling of the plant. In this model, mechanical and
electrical losses in turbine and generator were considered and opti-
mized by the lagrangian relaxation method. Barros [13] analysed the
operation of reservoir system with the parameters such as inow,
energy generation and time interval of inow by using linear and non-
linear programming optimization techniques. The results show that
non-linear programming is most suitable for real time operation.
Labadie [14] reviewed the operation of reservoir system to improve
the eciency as well as reducing the cost of the plant by using the
dierent optimization techniques and stated that genetic algorithm is
more convergent as compared to others techniques. Goor et al. [15]
presented stochastic dual programming for operation of reservoir
which gives more accurate result for optimizing the net production
rate. Ngo et al. [16] developed the MIKE11 simulation model for
reservoir operation to maximize hydropower production in the ood
season as well as in dry season by maintaining the reservoir level.
MIKE11 simulation model is a computer program based model that
simulates ow and water level, water quality and sediment transport in
rivers, ood plains, irrigation canals, reservoirs and other inland water
bodies. It also provides the eect design environment for engineering,
water resources, water quality management and planning. Prez-Daz
et al. [17] presented mathematical model for the scheduling of the
hydro power plant considering head and discharge variation to
generate maximum power by using dynamic programming. Connolly
et al. [18] developed three practical operation strategies i.e. 24 optimal,
24 prognostic, and 24 historical to compare the prots feasible for a
pumped hydro electrical strategy facility. The results show that upto
97% prots can be obtained by using 24 optimal strategy approach
based on energy storage on the day-ahead electricity prices. Mahmoud
et al. [19] formulated new mathematical model for cascade hydro
power plants where hydraulic losses due to friction were considered to
improve the eciency of the plant by using the Simulink method.
Chang et al. [20] discussed dierential dynamic algorithm for better
operation of high head small tail reservoir system. This algorithm is
developed by considering class of constrained dynamic optimization
problems and the dual dynamic programming technique was used to
solve the unconstrained dynamic optimization problem. Soares et al.
[21] presented stochastic programming method for Operation of
reservoir with single as well as cascade system for optimal use of water
with high level of head. The results show that the reservoir operates at
the highest level of storage for maximum eciency. Naresh et al. [22]
proposed a two-phase articial neural network approach for scheduling
of reticulate hydro power plants. This algorithm was used to maximize
the hydropower generation and serve for the irrigation requirement.
The proposed technique is compared with augmented penalty function
methodology for achieving the better results. Shawwash et al. [23]
discussed the linear programming method for determining the day to
day generation and schedules in power market. This model was used to
determine the optimal scheduling to meet the hourly internal load.
Birger et al. [24] discussed the price model by using the stochastic
optimization technique for hydro power operation and exible con-
tracts. The price model must have limited parameters while applying
the stochastic optimization algorithm. Cheng et al. [25] discussed the
operation of reservoir by using hybrid genetic algorithm and chaos
genetic algorithm. The results show that chaos genetic algorithm has
more convergence speed and good solution accuracy. Chaos genetic
algorithm has also been found faster than dynamic programming and
giving better accuracy. Xu et al. [26] presented dynamic feasible region
genetic algorithm for optimization of reservoir system. Dynamic
feasible region genetic algorithm was used because it involves rene
and more ecient solution. Bastos et al. [27] presented a model for
operation of hydro power plants considering maximum distribution of
the dispatched power from the power generating units with the usage
of an on-oine model. It becomes easy to overcome some diculties
that are hard to catch using regular system modeling, such as head
variation, temperature inuence, equipment aging, and atmospheric
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Renewable and Sustainable Energy Reviews 69 (2017) 610619
pressure variation. Hydro generation optimization shows a valuable
technique with easy implementation in modern power plants, using an
on-oine optimization procedure. Stedinger et al. [28] developed a
stochastic dynamic programming model which involves the best
forecast period of ow, outow from a reservoir for the expected
advantage from future operation. Grygier et al. [29] discussed the
algorithms for hydro power optimization and also compared with other
algorithms. Authors discussed three algorithms for the optimal opera-
tion of hydro power such as successive linear programming, optimal
control algorithm, and combination of linear programming and
dynamic programming. The results showed that optimal control
algorithm gave good results as compared to the combination algorithm.
Marino et al. [30] studied about reservoir operation model and
presented ecient algorithm for operation of a system of two parallel
reservoirs for monthly power generation. Sharif et al. [31] presented
genetic algorithm for the operation of reservoir systems. A generic
genetic algorithm model was developed for the operation of reservoir
systems that can be easily applied to any reservoir system. This model
has various practical advantages and there is no requirement for trial
state ballistics to initiate the search using a genetic algorithm. Jalali
et al. [32] presented ant colony algorithm for reservoir operation. This
algorithm provided better and more comparable results.
Representation of the proposed model is less sensitive for desired
parameters so, changes in the parameters are required. Ahmed et al.
[33] discussed a genetic algorithm model for developed operating
policy of a reservoir. Genetic algorithm formulated policies are better
and promising and can aect the reservoir operation. Jalali et al. [34]
developed model for the operation for multi reservoir problem by using
the multi-colony ant algorithm. Multi-colony algorithm helps to
generate a non homogeneous mesh to reduce the possibility of losing
in global optimum domain. Proposed algorithm provided better and
accurate solutions with known optimum results. Howard [35] proposed
decision support system for operation of hydro power plant to
maximize the use of water resources by providing rapid changes based
on current data and dynamic calculation of hydrology and loads
variation of individual hydro plants within the overall system.
Duckstein et al. [36] mentioned multiobjective function optimization
for planning of water resources consisted in trading o non-commen-
surable objectives within the framework of a complex and dynamic
process. The authors included the cost-eectiveness approach and
compromise programming and applied to a particular plant. Stedinger
et al. [37] focused on reservoir operation model by using stochastic
dynamic programming optimization. This approach included previous
period's inow as a hydrologic state variable and found that both
stationary and non stationary successive dynamic programming mod-
els can identify better reservoir operating policies, if better hydrologic
state variables are employed. Archibald et al. [38] developed a new
method for obtaining the operating policy for reservoir problems with
eect of head which reduces the original problem to a series of
independent, low dimensional sub problem. Oliveira et al. [39] focused
on reservoir operating policies by using genetic search algorithm
considering individual reservoir storage volumes or releases based on
time and the existing total storage volume in all reservoirs. The genetic
algorithm used both the system release and individual reservoir storage
volume to decide functions of total storage within a year. Mishra et al.
[40] presented the eect of penstock parameter on the mechanical
power by using the simulink programming. It was observed that the
eect of water hammer on mechanical power would reduce with the
increase in the length, diameter, and thickness of the penstock to an
extent. It was also observed that with the change in the material used in
construction of penstock, the eect is decreased. Jacoby et al. [41]
investigated the use of analytical optimization models for possible
plans and to select a small number of parameters for simulation
analysis. Deterministic and stochastic optimizing models developed
and applied for multi period planning problem. The results indicated
minimum error for the combined use of optimization and simulation
V.K. Singh, S.K. Singal
models. Ahmadi et al. [42] presented hydro-thermal self scheduling
(HTSS) problem faced in day ahead joint energy and reserve market by
using mixed integer programming method. This modeled in the form of
multi-objective framework to simultaneously maximize generation
prot and minimize impact of pollution by thermal units. Norouzi
et al. [43] proposed a method for short term security-constrained unit
commitment (SCUC) for hydro as well as thermal generation units. The
SCUC problem is constructed as a multi-objective problem to concur-
rently minimize operation cost as well as minimizing the emissions by
thermal units. Aghaei et al. [44] presented the application of mixed-
integer programming for solving the hydrothermal self scheduling
problem of generating units. The HTSS is a complex mixed-integer
optimization problem. In this study, mixed-integer programming
formulation is adopted for precise modeling of dynamic ramp rate
limits, prohibited operating zones, operating services, valve loading
eects, variable fuel cost, non-linear start-up cost functions of thermal
units, fuel and emission limits of thermal units, multi head power-
discharge characteristics of hydro plants and spillage of reservoir which
gives the better accuracy and covers wide range of parameters to solve
the complex and multi objective problems. Aghaei et al. [45] presented
mixed integer programming for solving stochastic security-constrained
daily hydrothermal generation scheduling. Generating units were
scheduled through mixed integer programming for all sets of determi-
nistic scenarios to minimize the cost of supplying energy and ancillary
services over the operating time considering network security con-
straints. A summary of the research work carried out earlier on
operation of hydropower system is presented in Table 1.
3.2. Operation of small hydro power system
Duckstein et al. [46] discussed multicriterion decision-making
techniques to reduce the eect of social and environmental impact of
hydropower operation and development. Environmental, ecological,
and social consequences of operation and design of small power plants
can use multicriterion decision-making models to reduce the eects of
these problems. The results of these studies stated that the plant owner
increased the minimum stream ow to protect the ecological values.
Garrido et al. [47] developed a new simulation tool for run of river
small hydropower plants by changing its conguration parameters and
achieved good correlation between the developed model and the real
data model. Anagnostopoulos [48] highlighted the optimal design of
run of river small hydro power plants having the dierent types of
turbines and showed the optimal design of schemes for best cost
benets of the plant. Aslan et al. [49] discussed the case study where
three turbines were installed to utilize the higher ow rates as the best
conguration by using dynamic and sensitive analysis programming.
Williamson et al. [50] developed a model to select most suitable turbine
conguration for a low-head hydropower plant by using quantitative
and qualitative analyses. The individual weighted scores were com-
pared with perceived relative importance of each of the criteria to select
a turbine based on the total weighted score. Singal et al. [51] presented
low head small hydro power plant cost estimation by using regression
method and these correlations were compared with the cost of
developed projects. It was found that the correlation developed for
cost of projects can be used reasonably for cost estimates at the
planning stage of projects. Haddad et al. [52] developed the model for
design and operation optimization of small hydro power plant. The
honey bee mating optimization algorithm was used for optimization
and compared with analytical approach using Lagrange multipliers
highlighting the advantages in design, eective operation and ease of
application. Najmi et al. [53] presented the design criteria for small
hydro power plants fundamentally based on some important and
critical cost-eective parameters such as discharge, penstock or tunnel
diameter, number of units and type of turbine and turbine capacity.
The computational analysis was based on two major objective functions
and a computer program was developed for fast maximization and
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Renewable and Sustainable Energy Reviews 69 (2017) 610619
optimization of the generated equations. Basso et al. [54] proposed an
analytical method to describe the energy production and the economic
protability of small run-of-river power plants on the basis of stream
ow. Analytical expressions were developed to maximize the produc-
tion of energy with the function of ow duration curve and minimum
environmental ow in the downstream of the plant. Garrido et al. [55]
developed a model using object oriented modeling and simulation of
run of river hydro power scheme. This model was used to simulate
dierent run of river schemes by changing conguration parameters. A
graphical user interface model was developed for environment cong-
uration and control of the simulation model. Nautiyal et al. [56]
discussed that small hydro power projects are very helpful projects
for providing electricity to rural and remote areas. The benets of small
hydro projects such as water supply, irrigation, ood prevention and
tourism make it sustainable and also focused on private sector
initiatives and government policies for small hydro power plant
development in India. Borges in [57] presented a model for evaluating
the generation availability for small hydro power plants that can be
applied to generation systems planning and reliability studies. It was
found necessary that the model of energy availability is correlated with
the variation in river inow together with the availability of generating
unit. Karami et al. [58] presented the application of Mixed-Integer
Programming for solving Daily Hydrothermal Generation Scheduling.
This approach allows precise modeling of hydro and thermal systems
that are represented in detail and also tested for dierent test system.
This model included the variable head for power conversion function of
hydro plants. Ghadikolaei et al. [59] investigated risk management by
introducing a novel multi-risk index to analyze expected downside risk
caused by both the wind power and market price uncertainties. Value-
at-Risk approach is used to assess the mentioned risk issue by the
proposed weighted expected downside risk, so that an optimal trade-o
between the prot and risk is made for the system operations. The
problem was formulated as a mixed integer stochastic framework for a
hydro-wind power system scheduling and tested on a generation
company. Ahmadi et al. [60] proposed a model for self scheduling
problem by using stochastic optimization. The proposed model used
practical constraints of hydro units, which included head dependent
reservoirs, multi head power discharge characteristics of hydro units
and cascaded reservoirs. The eectiveness of model is also tested for
the system. A summary of the research work carried out earlier all
operation of small hydropower system is presented in Table 2.
3.3. Optimization techniques
Banos et al. [61] reviewed optimization techniques in renewable
and sustainable energy development. These optimization techniques
were based on traditional approaches like mixed-integer and interval
linear-programming, Lagrangian relaxation, quadratic programming,
and NelderMead Simplex search. A large number of earlier research
work tackled these problems using heuristic optimization methods, out
of which genetic algorithms and particle swarm optimization are most
popular. Iqbal et al. [62] discussed various optimization methods for
operation of generating units by renewable energy resources. The
authors also provided an insight to area inspection, dierent modes
of operations, and types of objective functions. Yoo [63] developed a
linear programming approach for maximizing hydropower generation
considering the eect and sensitivity of the model and reservoir
storage. Kuby et al. [64] presented a multi-objective combination
approach towards optimization and evaluated ecological and economic
tradeos to support complex decision-making associated with dam
removal in a river system. The objective function was formulated
considering loss minimization in hydropower and maximizing storage
capacity. Fleten et al. [65] applied multi-stage mixed-integer linear
stochastic programming for a short-term operation of hydropower
plant operating under various uncertainties. The authors used data
from a Norwegian hydropower producer and the Nordic power market
V.K. Singh, S.K. Singal Renewable and Sustainable Energy Reviews 69 (2017) 610619

Table 1
Operation of hydro power system.

Author Components Parameters Optimization Technique Remarks

Babel et al. Hydropower system Flow, installed capacity, storage capacity Flow Duration Curve (FDC) method, Reservoir operation considering environmental
[10] and the Range of Variability condition of the river to increase power
Approach (RVA) generation.
Kishor et al. Hydropower plant Review paper Linear and nonlinear models Broadly categorized the research on the basis of
[11] models hydro plant model development and its
controller design.
Finardi et al. Hydro unit Head, efficiency, discharge, global loss, Lagrangian relaxation, Inexact New mathematical model developed including
[12] commitment and mechanical and electrical losses Augmented Lagrangian mechanical and electrical losses in the turbine-
loading problem generator
Barros [13] Storage hydropower Inflow, energy production Nonlinear, linear and successive Nonlinear programming is found most suitable
system linear programming, for real time operation
Labadie [14] Multireservoir Efficiency, survivability, sustainability, Heuristic programming, genetic Study for improving efficiency and Reducing
operation review inflow algorithm, stochastic optimization cost
Goor et al. Multipurpose Head, discharge, power Stochastic dual dynamic More accurate method for optimizing the net
[15] reservoir Operation programming production rate and also can be considered
when hydraulic head effect is negligible
Ngo et al. [16] Operation of reservoir Reservoir level, water level, MIKE 11 simulation model Reduces Downstream flood peaks and
maintains a high reservoir level for increasing
the hydropower production in the flood as well
as in the dry season.
Prez-Daz Hydro power plant Head, scheduling, discharge Dynamic programming Obtained scheduling by head and discharge
et al. [17] variation to produce maximum power
Connolly et al. Pumped storage Time duration to start/stop the turbine Optimal (24 Historical, 24 Maximum energy storage to sale in the market
[18] Prognostic, and 24 Optimal) for maximizing the profit.
Mahmoud Cascaded reservoir Nonlinear flow rates, and nonlinear Dynamic programming, SIMULINK New dynamical model developed for a cascaded
et al. [19] based hydropower dynamical hydraulic heads and gate hydropower plant. The head loss due to friction
plants opening is found key factor in the plant's efficiency.
Chang et al. Hydropower system Load, volume of reservoir, flow Differential dynamic programming Algorithm developed for better operation of the
[20] high head small-tail reservoir plant system.
Soares et al. Operation of Water head, discount rate, inflow Stochastic programming Operation of reservoir with single as well as
[21] reservoirs seasonality and system design cascade system for optimal use of water with
high level of head
Naresh et al. Hydro power system Discharge, head, reservoir level Artificial neural network (ANN) Optimization of inter connected hydro power
[22] system.
Shawwash Hydro power system Rivers, tributaries, Reservoirs, powerhouses Linear programming Determined the optimal hourly generation and
et al. [23] and additional hydraulic facilities such as trading schedules in a competitive power
intake structures, spillway gates and weirs. market
Birger et al. Hydro power system Price forecasting, price node on time Stochastic dual dynamic Discused about the operation as well as price
[24] interval optimization, Stochastic dual model for hydro power system
optimization
Cheng et al. Hydropower reservoir Head, discharge, reservoir level and Hybrid genetic algorithm and chaos Improved convergence speed and solution
[25] operation operating hours accuracy in the dynamic programming
Xu et al. [26] Multi-reservoir Storage volume, outflow limit, head, load Dynamic feasible region genetic Modified GA Improved the refinement of the
system algorithm (GA) solution in a more efficient and robust way
Bastos et al. Hydro power plant Efficiency, flow, pressure, power On-offline approach Used an on-offline optimization procedure for
[27] hydro generation in modern power plants
Grygier et al. Hydropower system Reservoir inflow, time interval to inflow Successive linear programming, an Successive linear programming, an optimal
[29] optimal control algorithm, and a control algorithm, and a combination of linear
combination of linear programming programming and dynamic programming (lp-
and dynamic programming dp) employed to optimize the operation of
multireservoir hydro systems for deterministic
inflow forecasting
Marino et al. Reservoir operation Flow, time of flow, storage level Dynamic programming (DP) Increased the size of the DP which require more
[30] core storage. It has been found that the addition
of more reservoirs will not affect the DP
Sharif et al. Multi reservoir system Storage in reservoir, water level, release of Genetic Algorithm A generic genetic Algorithm model developed
[31] water from reservoir for the optimization of reservoir systems that
can be easily used to any reservoir system.
Jalali et al. Reservoir system Water level. Time required to flow Ant colony method Ant colony system global-best algorithm
[32] provided better and more comparable results
with known global optimum results
Ahmed et al. Multipurpose Flow of water Genetic algorithm, stochastic GA-derived policies were found promising and
[33] reservoir dynamic programming competitive. These can be effectively used for
reservoir operation.
Jalali et al. Multi reservoir Number of reservoir, number of release Multi-colony ant algorithm Multi-colony algorithm is proposed to generate
[34] interval, storage a non homogeneous and more or less random
mesh in entire search space to minimize the
possibility of loosing global optimum domain
Howard [35] Hydro electric system Head, discharge, planning of operation Decision support systems The purpose of hydroelectric system
optimization is found to maximize the value of
water resources by providing rapid and
informative recommendations based on current
data and dynamic forecasts of hydrology, energy
prices and loads at individual hydro plants
(continued on next page)

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V.K. Singh, S.K. Singal
Table 1 (continued)
Author Components Parameters
Duckstein River basin system Head, discharge, demand, water quality,
et al. [36] water level
Stedinger et al. Reservoir system Inflow forecasting, time of inflow,
[37] hydrologic state variable
Archibald Multireservoir system Head, discharge, time of flow, reservoir
et al. [38] classes, number of reservoir
Oliveira et al. Multireservoir system Probability of spillage, the evaporation
[39] losses, impacts on water flows and storage
volumes
Mishra et al. Hydro power plant Head, discharge, area, length, velocity,
[40] friction factor, diameter, thickness
Jacoby et al. River basin system Stream flow, time interval, river basin class
[41]
Ahmadi et al. Hydro and thermal Thermal unit parameters: Fuel cost, valve
[42] units cost, capacity limits, ramp down limit
(RDL), ramp up limit (RUL), fuel
limitations, time varying startup cost,
minimum up time and down time. Hydro
unit parameters: volume and multi
performance linear curves, power discharge
curves, discharge limits, initial and final
volume, water balance and operating
services.
Norouzi et al. Hydro/ thermal Hydro unit parameters: linear volume and
[43] system for unit multi head formulation, linear power
commitment discharge curve, water discharge limits,
initial and final volume, water balance and
operating services, logical status of
commitment. Thermal unit parameters:
Fuel cost of prohibited operating zones
(POZs), valve loading effect costs, unit
capacity limits, dynamic RDL and RUL,
time varying start-up cost, reserve services,
minimum up and down time, logical
commitment status
Aghaei et al. Hydro/ thermal Thermal unit parameters: piecewise linear
[44,45] system for self- approximated fuel cost, stair-wise startup
scheduling cost, minimum up and down time, valve
loading effects cost, crew constraint and
generation maintenance outage, unit
capacity limits, dynamic RUL/ RDL, reserve
services, fuel and emission limitations, shut
down time counter, logical commitment
status. Hydro plant parameters: initial and
final volume, volume and head, linear
power discharge curve with variable head,
operating services, water balance and
discharge limits.
at Nord Pool. Moeini et al. [66] developed a fuzzy rule-based strategy
for hydropower reservoir operation with emphasis on ideal or target
storage levels. In case of an expected unnerved energy based on current
615
Renewable and Sustainable Energy Reviews 69 (2017) 610619
Optimization Technique
Multiobjective Optimization
Stochastic dynamic programming
Stochastic dynamic programming
Genetic search algorithm
MATLAB/Simulink program
Dynamic programming
Multi-objective optimization, Mixed
integer programming
Multi-objective optimization, Mixed
integer programming
Mixed integer programming
water storage levels and forecasted storage inow, the maintenance
duration is generally shortened or maintenance tasks are postponed.
Norouzi et al. [67] proposed model for hydrothermal scheduling
Remarks
within the overall system.
Decision making is found a dynamic process:
complex, redundant with feedback and
sideways, full of search, detours, information
gathering and information ignoring, fueled by
fluctuating uncertainty, fuzziness and conflict; it
is an organic unity of both pre decision and post
decision stages of the overlapping regions of
partial decisions
Stochastic dynamic programming derived
stationary policies by using the previous period's
inflow as a hydrologic state variable. It was
found that both stationary and non stationary
SDP models can identify better reservoir
operating policies if better hydrologic state
variables are employed
A new method of determining an operating
policy for multireservoir developed with
problems of variable head which reduces the
original problem to a series of independent, low
dimensional sub problem.
The genetic algorithms used real-valued vectors
containing information needed to define both
system release and individual reservoir storage
volume targets as functions of total storage in
each of multiple within-year period
Turbine penstock model has been analysed to
study the effect of water hammer. Also an
attempt has been made to analyze the effect of
length, diameter and thickness of the penstock
on water hammer.
Investigated the use of analytical optimization
models to 'screen' the set of possible plans and
to select a small number worthy of simulation
analysis
Investigated energy generation maximization
and reduced thermal emissions. A linearized
valve loading effect model developed to facilitate
the computation.
Appreciable total cost and emission output
optimization obtained using security-
constrained unit commitment. The model was
tested on an IEEE 119-bus system with 8 hydro
and 54 thermal units.
A generalized self-scheduling approach is
presented with performance assessment
considering three different case studies: (a)
without valve loading costs and POZs (b) with
valve loading costs (c) with valve loading costs
and POZs.
V.K. Singh, S.K. Singal Renewable and Sustainable Energy Reviews 69 (2017) 610619

Table 2
Operation of small hydro power system.

Author Components Parameters Optimization Technique Remarks

Duckstein et al. [46] SHP plant case study Discharge, economics,
environmental
Garrido et al. [47] Run of river hydro plant reservoir level, water flows,
turbine efficiencies
Anagnostopoulos [48] Run of river hydro plant Head, diameter and length of
penstock
Aslan et al. [49] Sensitivity analysis for Turbine type and size decided
the design of small for SHP plant
hydropower plant case
study
Williamson et al. [50] Low head hydro plant Turbine type, head, discharge,
shaft speed
Singal et al. [51] low head run-of-river Head and capacity
small hydropower
Haddad et al. [52] Run of river power turbine types, number of
plants turbines, penstock diameter,
as well as scheduling the
operation of an RoR power
plant
Najmi et al. [53] Run of River Plant discharge design, penstock or
tunnel diameter, turbine
capacity, number of units and
type of turbine
Basso et al. [54] Run of River Plant Stream flow variability,
energy price, costs
Garrido et al. [55] Run of river scheme reservoir level, water flows,
turbine efficiencies, specific
number of turbines and
spillway gates
Nautiyal et al. [56] Small hydro power nil
Borges [57] Small hydro power uncertainties of rivers inflow
and generation units
operation
Karami et al. [58] Hydro thermal security Thermal and hydro unit
constrained generation parameters
scheduling
Ghadikolaei et al. [59] Hydro and wind units Risk constrained scheduling
models considering
uncertainty and
intermittency.
Ahmadi et al. [60] Hydropower generation Hydro unit constraints,
units scenario generation and
reduction.
MCDM by Monte Carlo simulation
Object oriented modeling
Stochastic evolutionary algorithm
Dynamic programming and sensitive
analysis
Quantitative and qualitative analyses
Regression method
Honey bee mating optimization,
Lagrange multipliers
Lagrange optimization
Dynamic programming
Object oriented modeling
nil
Stochastic Dynamic Programming
Mixed integer programming approach
Roulette wheel mechanism is employed
for random market price scenario
generation. Autoregressive integrated
moving average (ARIMA) model
employed to characterize the stochastic
wind farm generation. Mixed integer
stochastic framework for scheduling.
Stochastic self-scheduling and mixed
integer programming employed
environmental, ecological, and social
consequences of design and operation of power
plants can use MCDM models to reduce
conflicts.
Found good agreement between the developed
tool and the real data.
Used two schemes having different types of
turbines for the optimal design and cost benefits
Found best configuration of turbines to utilize
the higher flow rates
Analysed method to select most appropriate
turbine architecture for a low-head pico hydro
scheme using quantitative and qualitative
analyses.
cost of projects determined based on
developedcorrelations and validated with the
cost of recently developed projects
Compared with those of an analytical approach
using Lagrange multipliers highlighting the
advantages in design, effective operation, ease
of application and capability of the proposed
HBMO algorithm for solving such complex
problems
Carried out optimization based on cost
effectiveness,
energy production and the economic
profitability of small run of river power plant on
the basis of the underlying stream flow regime
This model can be used to simulate different
plants with run-of-river scheme by changing its
configuration and parameters.
Found SHP projects very useful for providing
electricity to remote and rural areas. Water
conservation and other benefits like irrigation,
water supply, flood prevention, fisheries and
tourism further increased the benefits to make it
self sustainable
Worked for generation availability and
reliability studies of SHP plants to model the
energy availability associated with the river
inflow variation together with the generation
unit availability
Aimed to provide reliable information to the
ISOs for daily scheduling based on linearized
formulations.
Developed a practical methodology of risk
measurement and management model for
hybrid wind/hydro generation scheduling that
allows generating companies (GENCO) to
manage the risk of wind generation and market
price uncertainties
Refers to the linear nature of the formulations
and real size power systems. Results showed a
rationale solution time.

problem considering multi-objective function with two objective func-
tions i.e. fuel cost minimization and also minimization of pollutant
emission in hydro power plants. This study also considered the multi-
reservoir cascaded conguration of hydro units, while the relationship
considered between water discharge rate and power generated was
nonlinear. Ahmadi et al. [68] developed mathematical model for
optimal scheduling of hydro and thermal generation units considering
the short scheduling period to maximize the total prot. The model
consisted two objectives i.e. maximization of prot as well as mini-
mization of pollution emission. Mixed integer linear programming was
used to optimize the given model and compared with the various
techniques. Ahmadi et al. [69] investigated model for short term hydro
thermal scheduling considering the eect of environment and ecology.
The positive point of this approach was to avoid the selection of
arbitrary parameters and produced a set of evenly distributed points
regardless of the objectives scales. The results showed the eciency of
the proposed method to solve the short-term hydro thermal scheduling
problem and compared with other methods recently employed. Hydro
power plants were used to reduce the above environmental emission
because it used the water power directly to convert it in the electricity

616
V.K. Singh, S.K. Singal Renewable and Sustainable Energy Reviews 69 (2017) 610619

Table 3 Table 3 (continued)

Optimization techniques.
Author Components Parameters Optimization Remarks
Author Components Parameters Optimization Remarks Technique
Technique
emission load
Banos Renewable Design, Review of Presented dispatch of
et al. energy review Planning optimization review of the hydro and
[61] Control technique current state of thermal units
the art in considering
computational multi-reservoir
optimization cascaded
methods configuration
applied to and tested on
renewable and IEEE 118 bus
sustainable system.
energy. Ahmadi Hydrothermal Short term self- Mixed integer NBI method
Iqbal Renewable Input, output, Optimization, Presented et al. system scheduling linear extended for
et al. energy review constrains classification, optimization [68] with programming solving short
[62] algorithms techniques for environment and normal term combined
applications and economic boundary economic
with respect to considerations intersection emission
different end (NBI) method hydrothermal
users. self-scheduling
Yoo [63] Hydro power Sensitivity and Linear Linear with a MILP
system reservoir programming programming framework.
analysis approach for Linear
maximizing formulations
hydropower enabled fast
generation computation
considering the and well
effect and adapted to
sensitivity of cases of real
the model and size, large scale
reservoir power systems.
storage which Ahmadi Hydrothermal Short term Lexicographic This approach
gives the better et al. system multiobjective optimization avoided the
results. [69] scheduling and Normal selection of
Kuby Hydro power Ecology and Multi objective Multi-objective Boundary arbitrary
et al. system economic approach combinatorial Intersection parameters and
[64] tradeoff approach (NBI) method produced a set
towards of evenly
optimization distributed
and evaluated points
ecological and regardless of
economic the objectives
tradeoffs to scales.
support Most preferred
complex solution among
decision- all Pareto
making solutions is
associated with selected
dam removal in utilizing a fuzzy
a river system. satisfying
Fleten Hydro power Uncertainty Mixed integer Applied multi- method.
et al. system linear stochastic stage mixed-
[65] programming integer linear
stochastic generation without any wastage. Now a days there are various
programming
researches carried out in the eld of dam based hydro power plant to
for a short-
term operation reduce or minimize the eect of green house gas emission as compared
of hydropower to the other sources of energy. A summary of the research work carried
plant operating out earlier on optimization techniques used for operation of hydro-
under various
power system are presented in Table 3.
uncertainties.
Moeini Hydro power Storage level Fuzzy approach Developed a
et al. system fuzzy rule- 4. Conclusions and future scope
[66] based strategy
for hydropower
The present study has been undertaken to review the earlier
reservoir
operation with research work carried out in the area of operation of reservoir based
emphasis on as well as run of river hydro power plants. It has been found that the
ideal or target parameters which aect the operation of hydro power plant are head,
storage levels.. discharge, turbine and generator. The earlier studies focused on the
Norouzi Hydrothermal Scheduling Lexicographic Presented a
et al. system with optimization new method to
operation of hydro power system for generation of the power by using
[67] environmental and -constraint solve the short- various optimization techniques and also considering impact on the
and economic method term combined environment. The consolidated review of various mathematical models
considerations economic developed for the operation of hydropower generation have been
(continued on next page)
presented in this study. It has been found that the other parameters

617
V.K. Singh, S.K. Singal Renewable and Sustainable Energy Reviews 69 (2017) 610619

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