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Proposals for a European Strategy of Research, Development and Demonstration for Renewable Energy from Small Hydropower Thematic Network on Small Hydro Power

Proposals for a European Strategy of Research, Development and Demonstration (RD&D) for Renewable Energy from Small Hydropower

Prepared by the Thematic Network on Small Hydropower (TN SHP)

2005

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Proposals for a European Strategy of Research, Development and Demonstration for Renewable Energy from Small Hydropower Thematic Network on Small Hydro Power

1

FOREWORD.................................................................................................................... 5

2

SUMMARY....................................................................................................................... 6

3

INTRODUCTION............................................................................................................ 7 3.1

SCOPE AND OBJECTIVES OF THIS REPORT ..................................................................... 7

3.2

GENERAL PRESENTATION OF SMALL HYDROPOWER PLANTS (SHP)............................ 7

3.2.1 3.2.2

General definition of SHPs................................................................................................ 7 Description of SHPs .......................................................................................................... 9

4 NECESSITY OF A EUROPEAN STRATEGY FOR RESEARCH, DEVELOPMENT AND DEMONSTRATION (RD&D) IN SMALL HYDROPOWER 10 4.1

POTENTIALS .............................................................................................................. 10

4.2

OBSTACLES TO POTENTIAL PLANT DEVELOPMENT ..................................................... 12

4.3

MAIN CHALLENGE: TO RECONCILE ECONOMY AND ECOLOGY .................................... 13

4.3.1

4.4

Production- cost reduction .............................................................................................. 14

RD&D PROGRAMMES AND PUBLIC FUNDINGS ........................................................... 15

4.4.1 4.4.2

4.5

Former and current programmes .................................................................................... 15 Needs for a systematic and co-ordinated RD&D strategy .............................................. 17

EXAMPLES OF NEEDS FOR RD&D.............................................................................. 18

4.5.1 Improvement of the efficiency and reliability of small turbines ...................................... 18 4.5.2 Development of machines easily integrated to the environment: small bulb turbines using permanent magnet ........................................................................................................................ 19 4.5.3 Development of specific techniques for very-low-heads sites ......................................... 19

5

RD&D ASSESSMENT AND STRATEGY IN THE DIFFERENT SHP FIELDS... 20 5.1

GENERAL TOPICS ....................................................................................................... 20

5.1.1 5.1.2

Current assessment.......................................................................................................... 20 Proposals for a European strategy.................................................................................. 20

5.1.2.1 5.1.2.2 5.1.2.3 5.1.2.4

5.2

Administrative and marketing aspects ................................................................................. 20 Maps, hydrology and residual flow ..................................................................................... 23 Know-how and information dissemination.......................................................................... 24 Multipurpose projects and rehabilitation ............................................................................. 25

GENERAL DESIGN, CIVIL WORK & ENGINEERING ....................................................... 26

5.2.1

Current assessment.......................................................................................................... 26

5.2.1.1 5.2.1.2

5.2.2

Proposals for a European strategy.................................................................................. 27

5.2.2.1 5.2.2.2 5.2.2.3 5.2.2.4 5.2.2.5

5.3 5.3.1 DG TREN

State of industry & market................................................................................................... 26 State of RD&D .................................................................................................................... 27 Environment integration ...................................................................................................... 28 Weirs and water storage....................................................................................................... 29 Penstocks ............................................................................................................................. 29 Methods and equipment for construction, maintenance, repair and overhaul of SHP plants29 Desilter, water intakes & trashracks .................................................................................... 30

ELECTROMECHANICAL EQUIPMENT, CONTROL & MONITORING ................................. 31 Current assessment.......................................................................................................... 31 pag. 2/50

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5.3.2

Services and equipment suppliers in the hydropower sector ............................................... 31 Industry and employment .................................................................................................... 32 RD&D assessment ............................................................................................................... 32

Proposals for a European strategy.................................................................................. 33

5.3.2.1 5.3.2.2

Turbines ............................................................................................................................... 33 Electrical equipment ............................................................................................................ 35

5.3.2.2.1 5.3.2.2.2 5.3.2.2.3

5.3.2.3

Permanent-magnet excitation synchronous-generator (PME) ........................................................ 35 Synchronous generators with separate excitation (SG) .................................................................. 36 Variable speed operation (VSO) .................................................................................................... 36

Control & monitoring .......................................................................................................... 37

5.3.2.3.1 5.3.2.3.2

5.4

Advanced turbine control ............................................................................................................... 38 Improved programming ................................................................................................................. 38

ENVIRONMENT ISSUES ............................................................................................... 39

5.4.1

Current assessment.......................................................................................................... 39

5.4.1.1 5.4.1.2

5.4.2

State of industry: Environment specialists........................................................................... 39 State of RD&D .................................................................................................................... 39

Proposals for a European strategy.................................................................................. 40

5.4.2.1 5.4.2.2 5.4.2.3 5.4.2.4 5.4.2.5 5.4.2.6

Integrated design.................................................................................................................. 40 Bioengineering..................................................................................................................... 41 Non-technical measures for environment integration.......................................................... 41 Fish passes ........................................................................................................................... 42 Waterways ........................................................................................................................... 43 Environmental- impact assessment...................................................................................... 44

6

PRIORITIES SUMMARY ............................................................................................ 45

7

SUGGESTED MEANS TO REACH THE OBJECTIVES ........................................ 48

8

GLOSSARY.................................................................................................................... 49

9

BIBLIOGRAPHY .......................................................................................................... 50

LIST OF FIGURES Figure 3.1 The Karlstor hydropower plant, 3'100 kW ............................................................................................ 8 Figure 3.2 The La Douve II hydropower plant, 75 kW........................................................................................... 8 Figure 4.1. SHP installed capacity (MW) in EU-25, in the candidate countries (CC) and for Norway (NO) & Switzerland (CH), 2003 (official limit for SHP: 10 MW)viii........................................................................ 11 Figure 4.2. SHP electricity generation (GWh/year) in EU-25, in the candidate countries (CC) and for Norway (NO) & Switzerland (CH), 2003 (official limit for SHP: 10 MW)viii .......................................................... 11 Figure 4.3. Remaining SHP potential in EU-25, in the candidate countries (CC) and in Switzerland (CH), 2003 (official limit for SHP: 10 MW) .................................................................................................................. 12 Figure 4.4 Cost curve: investment cost in euros/(kWh/year) vs annual electrical production in kWh/year (Source: Thematic Network on Small Hydropower, ESHA, 2005) ........................................................................... 14 Figure 5.1 Main components of a SHP plant (source: Office Fédéral des Questions Conjoncturelles, Switzerland) ..................................................................................................................................................................... 28

LIST OF TABLES Table 4.1 Growth in SHP capacity – 1980 to 2010x.............................................................................................. 12

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Proposals for a European Strategy of Research, Development and Demonstration for Renewable Energy from Small Hydropower Thematic Network on Small Hydro Power

This report has been prepared within the FP5 Project Thematic Network on Small Hydro Power, with the support of the European Directorate for Transport and Energy and the Swiss State Secretariat fir Education & Research, by: •

ESHA, European Small Hydropower Association

EPFL-LCH, Laboratoire de Constructions Hydrauliques of the Swiss Federal Institute of Technology of Lausanne, Switzerland

ISET, Institut für Solare Energieversorgungstechnik e.V., Germany

MHyLab, Mini-Hydraulics Laboratory Foundation, Switzerland

SCPTH, Syndicat des Constructeurs de Petites Turbines Hydrauliques, France

SERO, Sverige Energiföreningars RiksOrganisation, Sweden

Studio Frosio, Italy

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Foreword

Prioritising Small Hydro Research This Research, Development and Demonstration (RD&D) Strategy document presents the priorities for Small Hydropower short-term research. In other words, it seeks to explode the myth that there is no longer a need for funding for SHP research. Indeed, in Europe, whereas the potential for large hydro development is practically exhausted, small hydro has still a huge and untapped potential – abandoned or outdated sites with low head, water networks, … - which will allow EU small-hydro industry to increase its activities. Contrary to the generally accepted idea that small hydropower is an old energy that has reached such an experience that it cannot be improved; small hydro has still a scope to evolve, especially in equipment and design practises. Therefore small hydro will gain to carry on being improved through RD&D so as to be even more economically, technically and environmentally efficient. On top of that, without supports, RD&D cannot be undertaken by independent SMEs in small hydro due to the lack of financial and human resources. Developed by the Thematic Network on Small Hydropower (TNSHP) through the FP5 funded Project (Framework Programme n°5), this RD&D Strategy document represents the combined thinking and close collaboration of manufacturing industry, financiers, research institutions, national energy authorities and EU institutions. It details the key priorities in terms of electromechanical equipment, control and monitoring, environmental integration, civil works, and administrative and marketing issues. Chapter 6 gives the agenda: the priorities divided in technical and non-technical ones are weighted (1) essential to reach White Paper objectives by year 2010, (2) useful to reach White paper objectives by year 2010, (3) interesting in the scope of White Paper objectives by year 2010. Although research projects involving small hydropower have been included in successive EU Research & Technological Development (RTD) framework programmes (FP), the number of small hydro power projects funded by these programmes has decreased to the point at which no RTD programme has been developed for SHP under the FP6. Annually, the proposed overall budget of FP7 represents an increase of nearly 200% on FP6. The portion of this dedicated to energy however, at €2,931 million, is only some 4% of the total budget, representing a slump in the already increasingly diminishing proportion of framework programme funding assigned to energy (at 66% in 1983). In real terms, the FP7 budget for energy represents an increase of only 3.3% over FP6. Finally, there is an urgent need for amendment of the Framework Programme structure to include a specific budget for renewable energy RD&D, including a chapter for small Hydropower, to replace the existing “Sustainable Energy” budget line, which includes technologies not defined as renewable in the EU Directives, e.g. carbon sequestration and hydrogen.

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SUMMARY

How could small hydropower be of any interests for the European Union (EU) and Switzerland? Several reasons could justify the fact that the EU, Switzerland and Norway invest, regarding economy, environment and social fields, in small hydropower, this renewable, decentralised and indigenous energy, which corresponds perfectly to the objectives of both the Kyoto protocol, and the European Commission's White Paper. Indeed the European Union and Switzerland have ratified the Kyoto Protocol, which means the States members of the EU and Switzerland have to reduce their green house gases emissions by 8 % between 2008 and 2012. Moreover, the European Union has committed itself through the White Paper to develop Renewable Energies. The objective set by the White Paper is to reach by 2010 a proportion of 12 % of renewable energies in the European gross electricity consumption. But the proportion raised 5.4 % in 1997, and then 6.0 % in 2001. Such an objective for 2010 can not be achieved without small hydro: 4'500 MW have to be created, which means the annual production ought to grow to 55 TWh. In Europe, whereas the potential for large hydro development is practically exhausted, small hydro has still a huge and untapped potential – abandoned or outdated sites with low head, drinking water networks, wastewater ones, irrigation ones, ‌ - which will allow EU smallhydro industry to increase its activities. Moreover, outside Europe (as SHP brings a solution to the electrification of peripheral areas and developing countries), there are new opportunities for export and technology transfer which offer good prospects for EU manufactures. Whereas the commercial actors in large hydro develop solutions that are case specific and involve much Research, Development and Demonstration (RD&D) for each case, small hydropower ought to be systemised as far as possible, so as to achieve an optimal design from a technical, environmental and economic point of view. This systematisation process has the advantage to guarantee the performances of the equipment, regarding the exact characteristics of the site to be equipped, thanks to the fact that it is based on laboratory developments. On top of that, RD&D cannot be undertaken without supports by the independent SME in small hydro due to the lack of financial and human resources, contrary to the commercial actors in large hydro. Contrary to the generally accepted idea that hydropower is an old energy that has reached such an experience that it can not be improved, small hydro has still a scope to evolve, especially in equipment and design practises. Therefore small hydro will gain to carry on being improved through RD&D so as to be even more economically viable. To conclude, small hydro constitutes a good business for the EU and Switzerland, and an environment-friendly industry will develop and ought to be at short term self-financing.

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INTRODUCTION

3.1

SCOPE AND OBJECTIVES OF THIS REPORT

This report is limited to Small Hydropower (SHP), which differs from large hydropower especially if financial and technical means are considered. Indeed SHP has its own technique, and up-to-now R&D in this sector is limited, although there is a considerable scope for: •

Designing and developing material and construction procedures aiming at reducing strongly the negative environmental impact of SHPs (in other words, how the technological development can help the environmental integration of SHPs) ;

Improving the cost-effectiveness of SHPs, especially in low-head developments, both through technical and non-technical innovations.

The object of this paper is to present an overview of small hydro in Europe, which specifies: •

development potential,

obstacles likely to be encountered,

state of the market, industry, environmental integration and research, development and Demonstration (RD&D),

priorities that should be assigned to the various domains in question, to reach White Paper and European Commission objectives,

a number of ways to reach these objectives.

3.2 3.2.1

GENERAL PRESENTATION OF SMALL HYDROPOWER PLANTS (SHP) General definition of SHPs

There is no general international consensus on the definition of SHPs. The upper power-limit varies from 2.5 to 25 MW, according to the country, but 10 MW is becoming generally accepted and has been adopted by ESHA (The European Small-Hydropower Association) i . The Karlstor hydropower plant ii , on the Neckar in Heidelberg, has two 1'550 kW Kaplan turbines, each with a runner of 3.35 m diameter, and a nominal discharge of 70 m3/s. The La Douve II hydropower plant iii uses the effluent of a wastewater treatment station in the Swiss Alps. Its Pelton turbine develops 75 kW. If we consider the power criterion only, both of these are small-hydro plants. It took four years, however, to build and commission the first one but only a few months to completely build and assemble the second in the workshop (including powerhouse, controlpanel and electrical equipment). The plant was then erected in 23 minutes, with the help of a helicopter because the site was unreachable by road. It is obvious that such an operation can only be successful if technical solutions specific to small-hydropower plants are used in the design.

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Figure 3.1 The Karlstor hydropower plant, 3'100 kW

Figure 3.2 The La Douve II hydropower plant, 75 kW

Even if these two examples are extreme, the average erection and commissioning time being 2 years, it clearly demonstrates the shortcomings of the power criterion. It is essential to realise that a small-hydro plant is not a simple, geometrically reduced version of a large one. Such reasoning can lead to either excessive loss in output, if the turbine geometry is inappropriately simplified, or to an expensive and complex construction requiring fine-tuned operations. In the same way, the geometry of a turbine generating a few kilowatts cannot be adequately extrapolated to that of a turbine generating some tens or hundreds of kilowatts. In both cases, as the constraints are different, it would seem essential to develop technical solutions specific to small-hydropower plants capable of meeting fundamental requirements as regards easy environmental integration (fish friendly design, underwater power plants, bio-engineering, etc.), simplicity, high-energy output, maximum reliability, and easy maintenance by non-specialists.

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From technical and economical considerations, a small-hydropower plant must not be designed by just geometrically reducing a large one. The power criterion being qualitative, we will consider, for reasons of simplicity, that any hydro system rated at 10 MW or less, is a SHP. As we will see further in the document, we will make a clear distinction between large and small power plants, the manufacturers and companies able to supply and build them being different. 3.2.2

Description of SHPs

Whether we speak of small or large hydro, basic principles remain the same. The main requirement for hydropower is to create a concentrated head so that water, diverted through an intake channel or a pipe (the penstock) into a turbine, discharges back into the river downstream. Small-hydro power is mainly "run of the river" (therefore it normally does not involve significant impoundments which require the construction of large dams and reservoirs). There are two broad categories of equipment based on two different types of turbines: •

Impulse turbines (notably Pelton) in which a jet of water impinges on the runner, which is designed to reverse the direction of the jet and thereby extract momentum from the water. This turbine is suitable for high heads and "small" discharges.

•

Reaction turbines (notably Francis and Kaplan), which run full of water and, in effect, generate hydrodynamic "lift" forces to propel the runner blades. These turbines are suitable for medium to low heads, and "medium" to "large" discharges.

Turbine size depends on the available head and on the river flow characteristics. As the maximum discharge of a river can be several orders of magnitude greater than its minimum discharge, the amount of energy extracted depends on the sizing strategy: the larger the turbine is, at a given site, the poorer its load factor, as it will run at rated power for a shorter period. A turbine designed to use minimum discharge only can have a load factor approaching 100%, but it will obviously extract less energy per annum than a larger turbine. A system optimised for good cost-effectiveness should have a high load factor. Resource assessment for hydro power plants has been developed to a high degree. It is preferably based on actual discharge measurements, but it can also use computer analysis of rainfall, catchments' area, and run-off.

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NECESSITY OF A EUROPEAN STRATEGY FOR RESEARCH, DEVELOPMENT AND DEMONSTRATION (RD&D) IN SMALL HYDROPOWER

There still is potential for development and improvement of SHPs, particularly in the field of iv, v , vi , vii , etc

environmental integration

4.1

, as will be shown here through different points:

Potentials: SHP does not only bring a solution to the electrification of peripheral areas and developing countries, but also enables industrialised countries, where the potential for large developments is practically exhausted, to increase their hydroelectricity.

Obstacles: to this day, SHP constitutes one of the most important potentials of renewable energy to have been allowed to lie fallow due to several obstacles: institutional barriers, image, cost... and which could be rapidly developed.

Main challenge: to reconcile economy and ecology: To accelerate SHP development, it is necessary to develop equipment, methods and mitigation measures which simultaneously satisfy the criteria of easy environmental integration, simplicity, efficiency, and reliability so as to lower the break even point, through a better use of available resources, and a decrease of construction, operation, and maintenance costs.

RD&D programmes and public funding: A strategy is needed so as to support SHP market.

Examples of needs for RD&D. POTENTIALS

Hydropower now accounts for about 84 % of the electricity generation from renewable sources in Europe (EU-25) and for 13 % of total electricity production in the EU-15 1 . In 2001, in EU-15, SHP contributed about: • 2 % to the total electricity generation • 9 % of the RES (Renewable Energy Source) electricity generation • 4 % of the RES primary energy. This contribution was similar to wind and lower than biomass At present, almost in all countries hydropower is a dominant source of energy in RES electricity production. SHP accounts for approximately 4.6 % of total hydro generation in the new EU Member States (EU-10new 2 ) and in the Candidate Countries (CC 3 ). None of the other renewable energy sources (wind, biomass, photovoltaic, etc) is able to compete with small hydropower in these countries. In EU-25 about 16'800 SHP plants are in operation with a total installed capacity of 11 GW, while the total production is about 41 TWh per year viii .

1

EU-15: Portugal, Sweden, Germany, France, Italy, Luxembourg, Greece, Spain, Finland, Belgium, the Netherlands, Denmark, Austria, Ireland, UK 2 EU-10new: On 1 May 2004 eight Eastern European and two Mediterranean countries, the Czech Republic, Cyprus, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Slovakia, Slovenia joined the EU 3 CC: Bulgaria, Romania and Turkey are Candidate countries

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12000

Installed Capacity MW

10000

9909

8000 6000 4000 2000 822

608

EU-10

CC

969

777

NO

CH

0 EU-15

Electricity Generation, GWh/year

Figure 4.1. SHP installed capacity (MW) in EU-25, in the candidate countries (CC) and for Norway (NO) & Switzerland (CH), 2003 (official limit for SHP: 10 MW)

45000 40000

39397

35000 30000 25000 20000 15000 10000

2329

1407

4415

3372

EU-10

CC

NO

CH

5000 0 EU-15

Figure 4.3. SHP electricity generation (GWh/year) in EU-25, in the candidate countries (CC) and for Norway (NO) & Switzerland (CH), 2003 (official limit for SHP: 10 MW)

According to Eurostat figures for 2002, Italy accounted for about 21% of the total SHP installed capacity in the EU-25, followed by France (17%) and Spain (16%). Poland and the Czech Republic both with 2% of the total EU-25 SHP capacity are the lions of the New EU Member States. From the Candidate countries, Rumania and Turkey represent about 25 % and 15 % respectively of the total SHP installed capacity in 2002 in EU-10 + CC. More than 65 % of all economically feasible potential has been exploited in EU-15 so far. The remaining economically feasible potential amounts: • to some 20 TWh/year in EU-15 viii

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to some 26 TWh/year in the New Members States and CC, which majority (roughly 80% or 19'300 GWh/year) is located in Turkey, while Poland and Romania rank second, having indicated potential 6 to 10 times lower than that of Turkey (the third group is composed by the Czech Republic, Slovenia, Bulgaria and Slovakia ). 22809

Remaining SHP potential GWh/year

25000 19645

20000 15000 10000

2620

4004

5000 0 EU-15

EU-10

CC

CH

Figure 4.5. Remaining SHP potential in EU-25, in the candidate countries (CC) and in Switzerland (CH), 2003 (official limit for SHP: 10 MW)

The EU White Paper ix foresees a SHP production increase from 37 TWh to 55 TWh in EU countries between 1995 and 2010, which contributes by 4.7 % of the global renewable energy production increase. Table 4.1 shows one assessment of expected growth in small-hydro capacity worldwide x . World installed capacity (MW)

1980

1985

1990

1995

2000

2005

2010

19000

21000

24000

27900

37000

46000 55000

Table 4.1 Growth in SHP capacity – 1980 to 2010

It has to be noted that a large part of the potential consists in low-head hydro sites (heads below 30 meters). 4.2

OBSTACLES TO POTENTIAL PLANT DEVELOPMENT

Recent growth rates for SHPs have been disappointing, in comparison with the growth rates of other forms of renewable energy (less than 3% per annum improvement in capacity in Europe). This is because development of SHPs, both in Europe and elsewhere, has been generally handicapped by not receiving support similar to the one given to other forms of renewable energy. Possible explanations are: •

Numerous institutional barriers exist, the main one being, in many countries, the difficulty in getting the concession to use and divert water from the river. Difficulties in gaining affordable connections to the grid are also common, although this situation is tending to improve. See § 5.1.2.1.

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There also exists the impression that hydro plants adversely affect fish migration, fishing, boating, and other river-leisure interests (though well-designed hydro systems avoid most environmental impacts).

There is a general impression that the technology is already mature and fully developed, and it is, consequently, wrongly assumed that market forces alone are sufficient to push it forward, without any need for significant institutional support. It is therefore generally excluded from programmes designed to assist renewable energy development.

Economic analyses of hydropower projects generally give no significant credit for the exceptionally long useful life and low running costs of SHPs. SHP systems may last some 30 to 60 years, but the capital is commonly amortised over 10 to 15 years – making the electricity produced often expensive during the first 10 to 15 years, but extremely cheap thereafter.

Liberalisation of the European electricity market has a significant impact on small electricity-producers. Though inappropriate cost calculations may discourage investment in small hydro, the situation could be improved if regulatory measures were introduced, to support sustainable and ecological power. Increasing and securing green electricity prices has a positive effect on the possible investment for a better environmental integration.

With the present international concern about global environmental dangers, SHPs clearly deserve to be more widely and effectively developed and promoted.

4.3

MAIN CHALLENGE: TO RECONCILE ECONOMY AND ECOLOGY

Small hydraulics' main challenge relates to both economy and ecology. This source of renewable energy can be largely developed only to the extent that it produces electricity at competitive prices, and under conditions that are respectful of the environment, thus ensuring that it is accepted by the general public, authorities, and nature-defence groups. There are two solutions to increase the competitiveness of renewable energy sources: o by increasing sales price of the produced energy, which is a political option ; o by decreasing production costs, which essentially depends on the technology at hand (see § 4.3.1). Furthermore, a better environmental integration will have a positive effect on administrative procedures making easier to obtain the required construction and operation authorisations. As a positive RD&D result for ecology, we can for instance consider: o the development of techniques allowing an optimal integration of the equipments into the environment, o the design of "fish friendly" turbines, o the reduction of noise by adopting low-head turbines without gearbox, o the use of bio-degradable oil. Moreover, a small hydropower plant working under optimal conditions ensures that water resources are used rationally, reducing the environmental impact to a minimum, since an increase in efficiency allows more power to be produced without increasing the amount of water diverted from the river.

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4.3.1

Production- cost reduction

Reducing production costs of energy implies the reduction of construction, operation, and maintenance costs, as well as the improvement of the hydro- and electromechanical performances. The costs of environment-protection facilities, which are "non-productive" but are essential for the environmental integration of the SHP, are at present so high that they can discourage from building new developments or refurbishing existing plants, particularly for small low-head ones. RD&D is essential in this field too, in order to develop efficient and economical equipment and construction methods, so as to keep the global investment in reasonable limits. It is therefore essential to have well-structured and coordinated RD&D programmes, in order to continue and increase the development of new machines and construction techniques, with the objective that equipment and plants are environment-friendly, simple, reliable, and efficient.

2.0 1.8 1.6

cost â‚Ź/kWh*a

1.4 1.2 1.0 0.8 0.6 0.4 0.2 0.0 0

1'000'000

2'000'000

3'000'000

4'000'000

5'000'000

6'000'000

7'000'000

8'000'000

9'000'000

10'000'000

Production kWh/a

Figure 4.7 Cost curve: investment cost in euros/(kWh/year) vs annual electrical production in kWh/year (Source: Thematic Network on Small Hydropower, ESHA, 2005) xi

Figure 4.7 shows the investment cost expressed in euros per (kWh/year) versus the annual electrical production in KWh/year, between 500 MWh/year and 10 GWh/year. Assuming the typical 5'000 hours per year of full load for a SHP site, this range equals an installed capacity from 100 kW to 2 MW. For example, considering 5'000 hours of full load per year, the investment cost for a 100 kW SHP ranges from 0.95 to 1.80 euros per kWh/year or from 475'000 and 900'000 euros, whereas for a 2 MW SHP it ranges between 0.55 and 0.75 euros per kWh/year, or between 5.5 and 7.5 millions of euros. It appears that a special effort is needed so as to decrease the total cost for low-head plants that generally correspond to an output below 500 kW. And as a large proportion of the poten-

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tial in Europe concerns low-head plants, the benefits of concentrating development efforts in this area, and particularly for low power developments, are obvious. Moreover the environmental impact of such low-head power plants can be very limited, as numerous sites already exist (old mills weirs, abandoned power plants, etc.). One other important point to consider is the efficiency of the power plant so as to generate the maximum of electricity with the available discharges and head. This infers that RD&D has to be led so to find a compromise between the cost of the equipments and their efficiency and that this efficiency (the turbine's one, notably) has to be accurate and guaranteed. 4.4

RD&D PROGRAMMES AND PUBLIC FUNDINGS

The main target of RD&D programmes should be to increase the quality of goods and services supplied to the market, in order to make it technically, economically and environmentally more efficient. As mentioned all along this chapter, the majority of SME's supplying equipments and services in the field of small hydro do not have easy access to RD&D, essentially for financial reasons. The fact that a large number of plant operators are not systematically informed of the benefits they can make using efficient technology, prevents equipment suppliers from profiting from any investments they might have made. Moreover, the fact that hydraulic-energy production has existed for numerous years has created the impression that non-professionals can easily design sites and equipment. Therefore organisations, which generally support RD&D, imagine that everything has already been developed in this field, and thus that small hydro does not need support. Unfortunately, some faulty solutions to specific problems have led to the construction of plants that were unreliable or that did not respect nature-protection rules. Even if it is far from the majority of all SHPs built during the 20th century that have such defects, these bad examples have lead to mistrust or outright refusal of this type of development. Since this document's general framework does not allow programmes in all EU countries to be analysed, be they completed or still under way, we will only deal with projects supported by Community programmes, and with those completed in Switzerland. 4.4.1

Former and current programmes

The former Directorate-General Energy, now the Directorate-General Transport and Energy (DG TREN) has a long tradition of technology development with a first programme launched in 1974. The JOULE- THERMIE Programme was launched in 1995 as the first European Union integrated programme, bringing together the resources of Directorate-General Research and Energy, within the 4th framework programme. The aim was to encourage the wider use of non-nuclear energy from RD&D, and the introduction of these systems in the market. Between 1995 and 1998, THERMIE supported 41 demonstration projects and 20 accompanying measures projects in the small-hydro sector (with a financial support of 11.87 Mio â‚Ź). A summary of the most interesting projects presented to the THERMIE programme is presented in the following table. Although these projects did not necessarily focus on RD&D, they did address the need for innovation in the industry. This document presents the main objects that these projects, presented by the European private sector, focused on, and lays the basis for new areas of RD&D.

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Number of proposals in this area

% referred to the total number of proposals

Overall design

9

18%

45% : submersible plants

Civil engineering

12

24%

27% : powerhouse – 23% : dam – 23% : penstock

Turbines

30

60%

61% : new designs – 14% simplification – 12% improvement of efficiency

Gear box

1

2%

Electrical equipment

8

16%

75% : variable speed – 12% : off-grid

Supervision & Control

20

40%

32% : Supervision-monitoring – 68% : control

Use of water

4

8%

75% : drinking water + energy

Environment

22

45%

50% : pollution (of which 64% on lubrication, the main part with water) – 25% : integration in the landscape

Concerned area

Comments

Note that the same project may refer to several areas. The Energie programme, which encourages the development and use of innovative energy technologies, so as to meet EU objectives across a wide spectrum of policy areas: energy, environment, economy, innovation, regional and social aspects, is the successor to the JouleThermie programme, within the 5th and 6th Framework Programmes. However, we should notice that small hydro is not clearly mentioned in these programmes and that up to now no call for proposals has been open to it yet. It is equally interesting to mention a few examples of national or international programmes that support small-hydro development through education, diffusion of information, promotion of research programmes, or financing demonstration projects. Generally speaking, projects, which benefited from financial support, were all related to demonstration. In order to limit risks novel solutions were only partially tested, based on familiar techniques (like lubrication without oil, the use of new materials, etc.) without questioning the general concepts used in the design of the equipment. It is therefore difficult to produce a synthesis, and, even more so, to make the whole branch profit from the results obtained. In 1990, Switzerland launched a programme known as "Energie 2000", in which two chapters called "DIANE", (Durchbruch Innovativer Anwendungen Neuer Energietechniken) and PACER (Programme d'Action Energies Renouvelables) concerned small hydro. Since 1998, the "small-hydropower plants" programme has replaced these. These investments have stopped the dismantling of SHPs in the country, and have allowed new applications, like the use of drinking water and wastewater in turbines xii . DG TREN

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One of the important results has been the construction of an experimental mini-hydraulics' laboratory xiii with the object of systematically developing the hydraulic profiles of hydroturbines needed for the construction of small, reliable, and efficient power plants, and to make results available to all companies who would ask for them. Needless to say, access to these results is not limited to Swiss firms. The University of Laval, in Quebec xiv is at present working on the design of small hydraulic turbines, in cooperation with the Canadian Ministry of Energy, Mines and Resources (CANMET) and the Quebec ministry of natural resources. We can also mention the working group in small-hydro of the IEA Hydropower Technologies and Programme Implementing agreement xv , as well as the actions of support, RD&D, and information performed in France by the ADEME and the CLER (for example, working group for SHPs and environment). Finally, we also note, the work of the Idaho National Engineering and Environmental Laboratory in the field of fish-friendly turbines, which can be useful for small-hydro. 4.4.2

Needs for a systematic and co-ordinated RD&D strategy

Public funding is needed to support industry in its efforts to bring about a breakthrough in favour of this environmentally friendly technology. A co-ordinated European RD&D strategy in this field is desirable for the following reasons: •

Hydro RD&D is very expensive, especially in hydraulic-turbine laboratory development, and the construction of civil-engineering scaled physical models for testing the performances of the hydraulic structures. If the Majors (defined in § 5.3.1.1) can benefit from the experience and development performed by the large hydro development, it is clearly not the case for the independent SME's active in this highly competitive market, which cannot allocate important sums to the development of quality new products.

RD&D is needed in order to integrate optimally small hydropower plants to the environment, considering that they deal with specific techniques and with small-sized equipments.

Small-hydro development requires multidisciplinary RD&D involving technological know-how that is widely dispersed in Europe. A European RD&D strategy is the most efficient way of bringing together competence and RD&D, thus allowing efficient use of available resources, and avoiding redundancies.

Certain techniques are already being developed for other sources of energy (use of lowspeed alternators developed for wind-energy applications, as used for instance in low-head bulb turbine by a Major), which could not be developed exclusively for small-hydro. Coordination with other RD&D programmes (national and international) is therefore essential.

Small-hydro RD&D is consistent with the Commission's objectives for the rational use of energy, improvement of energy security, reduction in the emission of CO2 and other pollutants, and increase in industrial competitiveness. Moreover, SMEs are an important target of a number of EU Programmes, including the 6th Framework Programme.

It must be noted that the majority of projects that have so far been promoted by national or European research programmes are concerned with demonstration. Though very useful in validating a given technique, they nevertheless have the disadvantage of not being generally applicable to other sites or conditions (in particular civil engineering, hydraulics, or the pro-

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tection of fauna and flora, which are all strongly site-dependant). These projects are moreover developed, for their own benefits, by independent firms, which publish only partial results. It is thus impossible to assure that research is systematic, and results widely distributed. Even if we agree that small hydro consists in site-specific projects, there is a strong need for the establishment of general design method. It is therefore essential to co-ordinate small-hydro RD&D, and to move over from a situation where know-how and results are dispersed, and necessarily incomplete, to one where work is systematic and co-ordinated, within the framework of true research programmes. This is one of the reasons why ESHA and other partners have proposed the present Thematic Network. 4.5

EXAMPLES OF NEEDS FOR RD&D

4.5.1

Improvement of the efficiency and reliability of small turbines

In order to illustrate the need for RD&D, we can for instance examine the necessity of improving the efficiency and reliability of small turbines with less than 1 MW output. It may indeed seem strange to require high and guaranteed efficiency levels for turbines that have powers comprised between a few tens, and a few thousand kW. First efficiency reflects the use of water resources. A better efficiency means a higher electricity production without diverting more water. Moreover, it must be remembered that efficiency mirrors optimal hydrodynamic performance. Thus it does not only guarantee future production, but also turbine reliability and operation. Poor efficiency is, in general, the consequence of a hydraulic defect, which can, in particular, result in destroying blades through cavitation, creating excessive vibrations which cause fatigue ruptures, etc. It is therefore very important that guarantees concerning efficiency are reliable, and indisputable, even though, it might seem that with small powers, a difference of one percentage point in efficiency is negligible. Two methods are available to control the output of a turbine: •

The first one is to carry out on-site tests after the turbine has been started up. The main problem is that if the tests demonstrate that guaranteed output is not achieved, it is usually too late to improve the machine. Payment, by the manufacturer, of contractual penalties never compensates for production losses sustained by the operator over the turbine's lifetime.

•

The second method consists in performing laboratory tests on turbines geometrically similar to the industrial prototypes. By complying with the applicable standards in the field, reliable and transposable results are obtained. Moreover, the hydraulic behaviour of the turbine may be observed over the whole extent of its operating range. It is thus possible to correct possible shortcomings before the machine is actually built.

The inconvenience of such tests is obviously their cost. This obstacle can be overcome by developing specific material based on large hydro development results or adopting the systemisation method, which implies RD&D project. Note: this example will be further developed in § 5.3.2.1.

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4.5.2

Development of machines easily integrated to the environment: small bulb turbines using permanent magnet

Another example of RD&D needs is the development of small bulb turbines using permanent magnet generators. This type of development, aiming at building compact machines without gearbox, needs an RD&D programme coordinated between turbines and generators manufacturers. The advantages of such solutions are obvious as they allow a better environmental integration (less noise, smaller and underground power plants, etc.) and a greater reliability and efficiency (no gearbox). Note: this example will be further developed in ยง 5.3.2.2.1.

4.5.3

Development of specific techniques for very-low-heads sites

As presented in chapter ยง 4.1, the most important remaining potentials are low-head sites, among them very-low-head ones, or the ones below 5 meters, from 10 to 500 kW. The RD&D need is to create machines that are environmentally, economically and technically efficient, the difficulty here being to reduce as far as possible costs by developing equipments that could be mass produced, but still adapted to the sites so as to guarantee a high technical efficiency for the reasons presented in ยง 4.5.1. Note: this example will be further developed in ยง 5.2.2.

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5

RD&D ASSESSMENT AND STRATEGY IN THE DIFFERENT SHP FIELDS

This chapter makes a situation assessment of SHP industry, market and RD&D, and gives a list of proposals (presented in grey tables) for a European strategy for each following SHP field: 5.1 General topics 5.2 General design, civil work & engineering 5.3 Electromechanical equipment, control & monitoring 5.4 Environment issues Next chapter (§ 6) will sum up the main priorities of the European strategy described here, technical ones distinguished from non-technical ones. What can already be pointed out here is that almost each SHP field has this strategy keynote in common: RD&D is needed so as to reduce costs, while assuring the best technical, economic and environmental efficiencies and an easy environmental integration. 5.1 5.1.1

GENERAL TOPICS Current assessment

Current trends in the hydroelectric market are increasingly focusing on small and mediumsized plants. There are a number of reasons for this. First, large projects (> 10 MW) such as those constructed these past decades are both debated from a socio-economic standpoint. For the majority of them, they are burdened with financial and profitability problems. Thus, international aid agencies and financing organisations are increasingly focusing on small and medium-sized hydropower plants. Secondly, SHPs meet the electrification needs of remote or peripheral areas, in countries or regions having a low-density grid, as it is the case in developing and emerging countries. Finally, this type of installation is becoming increasingly popular in countries where the hydro potential is already largely used, as it is the case for many countries in Western Europe. All these conditions will give very interesting export opportunities for European industry. 5.1.2

Proposals for a European strategy

5.1.2.1 Administrative and marketing aspects Simplification and harmonisation of administrative procedures: o Create a European workgroup entrusted with SHP harmonisation and simplification procedures in order to give an input to European directives dealing with renewable energy. o Set up a single reception point for authorisation applications. o Ensure a co-ordination between the different administrative bodies involved and the establishment of reasonable deadlines. o Establish a “fast-track” planning procedure for SHP producers.

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o Where applicable, create the possibility of establishing mechanisms under which the absence of a decision by the competent bodies on an application for authorisation within a certain period of time automatically results in an authorisation. o Produce specific planning guidelines for RES projects. o Identify, at national, regional or local level, sites suitable for establishing, o Create new capacity for generating RES electricity. o Introduce training programmes for the personnel responsible for the authorisation procedures. Setting of binding mandatory national targets for 2010 to generate more efforts in all Member States toward RES-e in General and SHP in particular Introduction of regulatory measures in favour of electricity generation from renewable sources: o Consider external costs of conventional electricity generating sources as an essential element of reference in order to quantify the compensation that must be received by small hydropower electricity in terms of compensation for its environmental and social benefits. o Compensate the weak position of small-hydropower operators through longterm, guaranteed, minimum prices, for delivery of electricity to regional or national grids. o Force regional and national public and private utilities, by law, to accept up to 10 MW from SHPs. o Create transparent and fair connection terms to the grid where cross subsidies are avoided and with a price structure that reflects the actual costs. o Further harmonise and strengthen the rules on grid access for and transmission of renewable electricity in favour of renewable energy technologies, and secure Member State transposition of existing legislation on grid access. o Implement green tariffs and labels. Coordination between different EU Directives (i.e Water Framework Directive vs RES-e Directive): o The strict implementation of the WFD will in fact cause a remarkable reduction of SHP production combined with higher costs. The targets of the RESelectricity Directive can never be reached in matters of SHP if there is no harmonisation between absolutely different targets. o One of the best possible steps to a compromise is a regulation on how to compensate the financial losses. Other solutions may found in a more precise definition of some terms in the WFD to make its transposition clear and predictable. DG TREN

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Finally, it is of significant importance that the contradictions between different European directives are made obvious. A solution should be found on how to overcome this. Despite its potential, SHP growth rates (about 2% /year in Europe) are considerably smaller that other RES. There is a common perception, nonetheless, that the technology is mature and fully developed and that therefore it does not need any significant level of institutional support. It is assumed that market forces alone will be sufficient to take it forward. For this reason, it is commonly excluded from programmes designed to assist other forms of renewable energy development. However, in reality, and as shown all along this document, there is still potential for SHP development. On the administrative point of view, three aspects impact on SHP development: Targets settled in the legislation; Tariff structures and support schemes currently in force and their effectiveness; Barriers still standing (purely administrative and environmental, despite the new favourable legislative framework). Indeed the main non-technical problem that constitutes an obstacle to the development of small hydro is the difficulty in obtaining the necessary authorisations to build a new site. Apart from the very long time required to process them, procedures vary strongly from one country to another, or even, for federal states, from one region to another. Administrative procedures concerning water concessions and rights, as suggested in the draft proposal for a directive on the promotion of electricity from renewable energy sources, should be harmonised at the European level. They should moreover be simpler than those required for the construction of large developments, especially when dealing with the refurbishment of abandoned works. With such objective, it would be interesting to develop scientific tools to evaluate and measure the positive and negative environmental impacts of SHP projects. Engineering projects having this target should be granted by EC programmes. Note: this subject will be further developed in the environment chapter (§ 5.4) and in specific documents prepared by the environment group of the Thematic Networkxix, xvi , xvii . Another problem is uncertainty due to new, liberalised, market conditions, even though the resulting (temporary) price decrease could at least partially be counterbalanced by an increase in demand for sustainable and ecological power. Regulatory measures could therefore be introduced or generalised, to support the generation of electricity produced from renewable energy sources. For hydropower in particular, as mentioned in the previous table, some of these measures could be: •

to compensate the weak position of small-hydropower operators through long-term, guaranteed, minimum prices, for electricity delivery to regional or national grids, as it is nowadays practiced in Italy, Spain and Germany for example ;

to force regional and national public and private utilities, by law, to accept up to 10 MW from SHPs, as it is already the case in France, Germany, Switzerland and the United Kingdom ;

to implement green tariffs and labels.

These measures imply that the costs of the impacts of different modes of production are taken into account according to the Kyoto protocol, in order to calculate the real cost of energy.

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The solution to this problem is essentially a political one. Harmonisation at the EU level should be sought. Note: these types of problems and needs are analysed in details by the marketing group of the Thematic Network xviii . 5.1.2.2 Maps, hydrology and residual flow Definition of correct minimum residual flows and/or appropriate flow conditions: o Compare existing methods, and, if necessary, develop new ones. o Harmonise procedures in Europe. Improvement of hydrological assessment methods: o Improve development and availability of digital orthophotography and laser scanned topography, accurate hydrological data, and remote sensing techniques. o Perform RD&D directed towards creating and validating software for hydrological site evaluation. o Develop low-cost flow measurement techniques. Setting correct minimum residual flow and/or appropriate flow regimes is important for both producer and public authorities. Different methods have been developed or are in the development stage xix, xx . A comparison between these methods mainly applicable for specific types of rivers (mountain rivers, low-land rivers, etc.) would be useful in order to optimise river flow (see ยง 5.4.2.6). Detailed, accurate maps are an important primary tool in the development of a SHP project. Obtaining such maps is often a difficult task, however. The largest proportion of our planet's surface lacks maps having sufficient resolution, and vast areas have no reliable maps at all. The development of digital orthophotography 4 and digital terrain models by scanning techniques now offers solutions. Accurate hydrological assessment is also essential to a project's detailed evaluation. Several computer programs have recently been developed to help in the assessment of sites and the selection of equipment. Remote sensing techniques have also been used to assess isolated sites. There is also a demand for low-cost flow measurement techniques, especially for developing countries. These tools have not yet been developed. It is therefore essential to develop measurement methods which are as economical as possible, as well as software which can help in hydrological studies based on measurements made over short periods, or made on similar and neighbouring drainage basins, etc. Sophisticated hydrological tools are available but they can normally be handed only by specialists and are financially too heavy for small hydro. 4

An orthophotography is an aerial photography that has been processed to remove scale inaccuracies, resulting in a true-scale image that can be exactly geo-referenced.

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Although producing software does not constitute a major problem, it must be validated on the basis of real cases. Development efforts must, therefore, bear on program validation, and improvement. In no case, however, software can replace the work of specialists, the only ones, who can appreciate the quality of the results. The main goal remains therefore, above all, to reduce the cost of hydrological studies. 5.1.2.3 Know-how and information dissemination Promotion of dialogue with all the actors concerned by SHP: public authorities, independent producers, fishermen, developers, industry, NGOs: o Create working groups with all the actors involved at local, national and international level. Awareness campaigns to assist in understanding the technology, and promote better acceptance of small hydro: o Organise courses in small hydro for various publics: its contributions, its advantages. (See for example the PACER course, organised from 1990 to 1995 in Switzerland) o Publish brochures and articles o Set up demonstration projects along the lines defined. o Hold a general information campaign (site visits, press conferences, etc.) o Install a small-hydro Hotline, in each region or country. See for example "InfoÊnergie" (Energy-info) SHP service in Switzerland. Development of good-practice design guidelines for developers and engineers: o Develop a systematic project-development method. o Develop a preliminary-project design-software. o Create a European data base on best practice and design method so as to diffuse it in both EU and target markets. Assistance to professional institutions encouraging self-control and standards within the industry o Increase coordination of RD&D programmes. o Gather information, synthesise it (where is it?, under what form?, ‌) o Create an association of European manufacturers, which sets up standards and deontological guidelines, and simplifies holding of common RD&D programmes.

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Dispersed know-how and the lack of technical knowledge among some of the actors in the field are obstacles to small-hydro development. Know-how exists in manufacturing firms (mechanical, electrical, process-control), in certain laboratories (systemisation of hydraulic turbine profiles, performance, and functional guarantees), and in consultant groups. The main problem lies in the lack of information dissemination. A potential improvement for the dissemination of information is the compulsory publication of results from projects supported by the EU. In particular, this aspect is not sufficiently enforced in the 5th and 6th FP. It is obvious that a professional approach does not preclude the use of computer developmenttools that help with preliminary project design, and decision-making. Their object should essentially be, however, to supply sufficient information to justify a more detailed estimate of the project, whilst demonstrating to the user that this field is not quite as simple as it may appear. It is moreover important that users of small-hydro fully understand the importance of selecting the right equipment, and the assurance offered by performance guarantees. Furthermore, an appropriate design of the hydraulic structures as intakes highly influences the performance of the plant. It is an unfortunate fact that users are not generally ready to pay the price for efficient technique and design, as they do not see what direct benefits they get in exchange. Creation of quality standards would help to compare solutions regarding economics, techniques and environment. Small-hydro being a specialised field, it is necessary to set up a programme for the education and information of the different actors in the branch, the syllabus being adapted to the public concerned. That could be performed using thematic networks, a professional association, or within the framework of a general information contract. ESHA, for example, could be entrusted with the programme. Whether performed by the Commission or by associations, development work must be coordinated at European level. 5.1.2.4 Multipurpose projects and rehabilitation Environment-oriented renovation of existing plants: o Existing plants are already part of the environment. Modernising them essentially involves electromechanical equipment, and RD&D necessary in this field to reduce environmental impact and costs. Awareness campaigns to support the development of multipurpose projects: o Methods identical to awareness campaigns described under ยง 5.1.2.3. Multipurpose developments that intend to make an optimal use of the community's hydraulic resources should be helped, particularly when few technical obstacles exist, both to build the development and to spread information, so that energy production ought to be included automatically in drinking-water or irrigation schemes, for example.

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In spite of various projects implemented in this field by the THERMIE programme (for example: the use of mountain drinking-water for the generation of electrical energy), or by the Swiss programmes (Pacer and Diane) (see § 4.4.1), the recovery of hydraulic power from irrigation, drinking-water, or wastewater networks, is still unknown to numerous market actors, and to political or private decision makers. The additional cost of civil work for such multipurpose SHPs is often minimal and can increase the economic potential of the site. Given the obstacles that many developers have met in developed countries in their attempts to obtain licenses for the development of new sites, the use of existing drinking and irrigation water-networks for power generation is of interest for future developments. Though SHPs included in water networks are generally accepted when energy production is not central to the project, a SHP is not always accepted when it is the main objective, and other applications serve only to optimise water resources. In this case, integration is more difficult, and good solutions are not widespread, but the following ones can be mentioned: •

use of SHP poundage basins for recreational and fishery purposes,

plants having the complementary function of: o stabilising groundwater level, o stabilising the longitudinal profile of the river against vertical erosion, o improving flood protection.

The development of these schemes should be a strategic objective, so as to increase social and environmental acceptance of small hydro, especially for new plants. Finally, modernisation is a keyword in small-hydro: a great number of SHPs require rehabilitation and refurbishing, given the environmental targets stated in the Kyoto protocol and in the EU white paper. New public awareness to the environment should make this goal easier to reach, however.

5.2 5.2.1

GENERAL DESIGN, CIVIL WORK & ENGINEERING Current assessment

5.2.1.1 State of industry & market There are very few companies, which supply general design services specifically for smallhydropower plants, and no construction companies, which supply civil engineering services specifically to small hydropower plants. Some engineering companies are specialised in small hydro, mainly in the range from 1 to 10 MW. Generally, the projects are separated in one civil work contract and one equipment contract. As it is difficult to find competences in civil engineering in the small-hydro field, equipment suppliers do not want to take any responsibility in civil work. Unfortunately, many operators think that civil work is easy to realise and do not use specialized consultancy and engineering services. If it can be true when building a drinking-water SHP plant, it is certainly not the case for low-head sites. As a result, we can for instance observe problems of intake performance or bad environmental integration.

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5.2.1.2 State of RD&D For large power plants (> 10 MW), RD&D is done on an individual-plant basis. Calculations and tests for the main hydraulic structures are performed in university laboratories, where scaled physical models of water intake systems, dams, etc., are used. However, in hydropower plants, and in small ones more particularly, it can be pointed out that water intakes are very often potential sources of major problems, mainly in view of sediment transport and floating debris. Nevertheless a certain number of companies have made development efforts in this field, as the improvement of "Tyrol type" self-cleaning water intakes. This type of RD&D is essentially financed through large electricity producers companies in the scope of their large projects. 5.2.2

Proposals for a European strategy

Development of standardized/systemized hydraulic structures with the purpose to reduce design and construction costs : o Gather and synthesize information on best practice examples of the most important hydraulic structures. o Standardize the design as far as possible to reduce cost and increase reliability of performance. o Verify new standard design rules with detailed real-life examples and point out eventual differences. o Based on the above, optimize standard design rules based on practical experience. o By the help of a standard design, develop an optimization tool for fast and safe layout definition and good performance structures. Head-enhancement techniques for very low heads: o Gather and synthesise information on existing inflatable weirs, analyse both failures and successes. o Perform RD&D so as to improve the system, and lower its cost. o Diffuse information to encourage installing this type of equipment. The principal components of the civil works of a small hydropower scheme are shown in Figure 5.1. Each of these components serves specific purposes.

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Figure 5.1 Main components of a SHP plant (source: Office Fédéral des Questions Conjoncturelles, Switzerland)

Development of SHP plants has to face several problems linked to civil works: • they represent a major proportion of the total cost, often more than 50 % (including the penstock, in the case of high heads), and prevent many small-low head sites to be built or rehabilitated, • there is a lack of simple and generally applicable procedures and methods of realization, • each SHP has to be environmentally integrated, which infers special equipments and constraints of construction. Concerning general design, one of the objectives is to favour a general reduction in costs, aiming at lowering the break event point and thus increasing the proportion of hydraulic potential, which could be recovered both technically, and economically, but which at present lies fallow. This cost-reduction is particularly important in the case of small low-head plants, which have significant potential in Europe be they new, abandoned, or obsolete. There also exists a potential in existing infrastructures, like the impoundments used for irrigation. 5.2.2.1 Environment integration Power plants have to be designed so as to be integrated to the environment, which is notably the key to a fast authorisation award, which implies, for instance: •

an integrated design, developed in chapter § 5.4.2.1.

diversion works, designed to reduce the interruption of river continuity: in low-head schemes, they could take advantage of a major RD&D aiming at reducing the height,

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and therefore their visual impact, of ancillary works such as hydraulic cylinders, which move gates located in the body of the weir. •

efficient fish passes, equipped with device to attract fish, and special intakes and screens which prevent fish from entering plant waterways, developed in chapter § 5.4.2.4.

a noiseless powerhouse, at reasonable cost: one important development field is the design of submersible power plants, developed in chapter § 5.3.2.1.

5.2.2.2 Weirs and water storage Progress has been made in the use of geotextiles, and applications such as weir construction, daily-storage lagoons, and drainage below power-canals to prevent landslides can benefit from the proper use of these materials. The use of inflatable weirs to optimise generation-head without compromising flood defence should be encouraged. 5.2.2.3 Penstocks Reduction of penstocks installation cost: o

Perform RD&D on assembly and laying down techniques, as well as on materials.

Various materials have been studied for penstocks, as they can account for almost 50 % of total civil work costs in high-head SHP. It appears that fibreglass can be cost-effective for up to 2 MW power. Moreover the penstocks' setting up is also very expensive. Note: the environmental aspect of such subject will be developed in chapter § 5.4.2.5.

5.2.2.4 Methods and equipment for construction, maintenance, repair and overhaul of SHP plants Finding new methods for maintenance, repair and overhaul so as have alternatives to conventional cofferdams: o Perform RD&D on design and improvement of local-water cut-off standard equipment Finding alternatives to the use of cofferdams during construction: o Gather information on existing systems (including pre-fabrication of civil structures), which could give creative ideas to other shut of systems than soil coffer dams. o Perform RD&D on design and improvement of compact equipment which require the laying of few, if any cofferdams. In order to reduce SHP erection costs, RD&D should be done on how to avoid the use, in hydro-systems, of generally costly cofferdams.

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A coffer dam is a local cut off of water to enable construction or repair of weirs and intakes at water-free conditions. But it is very expensive and sometimes also impossible to use a complete (soil material) coffer dam, especially when it comes to repair of gates and their adjacent structures. RD&D is needed to know which is the most cost-efficient system concept and erectiontechniques (for instance, pre-fabrication of civil structures). Moreover, many SHP plants are of high age and preparations for future maintenance and repair were not enough foreseen in their design and construction. This results in high costs when civil structures have to be repaired, especially those parts located in water. Such repair activities represent a high cost burden to operators who tend to postpone them. Therefore, research, development and demonstration regarding methods, technology and new materials to mitigate these costs have a high priority. Areas defined in this respect are weirs and gates, intakes with trash racks and head and tail race channels. One measure is to find cheap and efficient alternatives to coffer dams for SHP plants during construction, repair and maintenance. It seems to be technically possible to design, test and demonstrate very local water-cut-off standard equipment covering one or two gates that is cheap, efficient and easily applicable not needing heavy construction vehicles. The development of such alternatives will exclude the use of expensive construction vehicles and purchase and transports of big amounts of conventional coffer dam construction materials. It will also impact less on the environment considering that conventional coffer dams create particles in the water at construction and removal. It will also keep the water constantly flowing through other gates of the weir excluding the need to construct a temporary by-pass for the water flow. Moreover a local gate water-cut-off equipment will create employments for the local industry. And it will enable the operator to make the repairs on time so that the risk of gate failures and low level dam surfaces is removed. 5.2.2.5 Desilter, water intakes & trashracks Development of efficient desilters with high-head intakes, of proper water intakes, and of trashracks: o Gather and synthesise information, analyse both failures and successes. o Perform RD&D for equipment that is both efficient, and compatible with smallhydro constraints. o Create design tools that allow the equipment thus developed to be manufactured. Apart from the development of new "Tyrolean" water intakes, which have self-cleaning trashracks and allow a significant reduction of visual impact, practically no research has been done in this field. Numerous small plants have problems in precisely this area, however, due to inlet vortexes, accumulation of sand or trash, etc. Research for the best solutions aiming at standardisation of the main intake type must be undertaken.

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Sediments sluicing, especially in high-head sites where silt can rapidly destroy turbine runners is an important problem, as desilters normally waste much water if no sophisticated or expensive flushing devices are used. Research on new designs is in progress, in Norway particularly, and will be developed and demonstrated. Trash racks and trash removal can in many cases represent major cost elements in a SHP operation; various innovations such as submerged and/or self-cleaning trash racks or selfflushing intakes are currently developed.

5.3

ELECTROMECHANICAL EQUIPMENT, CONTROL & MONITORING

5.3.1

Current assessment

5.3.1.1 Services and equipment suppliers in the hydropower sector Considering electromechanical equipment, control, and monitoring systems, the following main categories of players can be distinguished in the hydropower market: 1. Manufacturers of turbines, generators, electrical equipment, control and monitoring, valves and gates, penstocks or other mechanical equipment ; 2. Consulting engineers: a few consulting engineers companies work only in the small hydro equipment field, generally dealing with large hydro and adapting their knowhow to small hydro ; 3. Universities or private institutes, performing work that anticipates on industrial applications or being specialised in expert activities, as for instance laboratory acceptance tests. The manufacturers can be divided in three groups: o the Majors Large international companies working in the hydropower market have to face increasingly hard international competition. A direct consequence has been the regroupings and mergers observed over the past decade, mainly in Europe and North America, so that there now exist only few international groups, present on the five continents, capable of supplying complete equipment for a given development. Looking for new markets, these large industrial groups have often acquired smaller companies, specialised in small hydro. These usually deal with plants with less than 10 MW in power, and have developed a specific range of equipment based on the expertise from the large hydro department. They are able to invest in new products development as for instance use of permanent magnet generator in small hydro, specific design, etc. They export their products worldwide. Their clients are mainly utilities and operators with strong quality requirements. For a more convenient reading of the document, we will call them the Majors. o SME – Small & Medium Enterprise A second category of small hydro suppliers are the manufacturers who theoretically cover the field from 0 to 10 MW, but who do not belong to international companies. In fact, the majority of the plants they build are below 5 MW. These companies, which are generally small or

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medium sized enterprises (SME), often participate in subcontractor networks. They generally work at national level, some of them work exporting mainly in Europe. For financial reasons, their ability to perform R&D activities is limited, particularly if we speak of hydro-turbine development. That is why they mainly use simplified techniques, issued from large hydro, but generally not tested before being put on the market. Their clients are mainly privates and small utilities, who are looking for a compromise between performances and investment. o Small companies A third category of small hydro suppliers is the small companies dealing with plants with less than 1 MW in power. Those companies have really no means to invest in R&D and in future innovative products. They mainly work at regional and national level. Very few export in Europe or in the Mediterranean area. They usually are very competitive in their market. Their clients are mainly independent electricity producers, for whom price and investment level is one of the main purchase criteria. We can say that these three categories have adapted their organisation, promotion and product in function of the specificity of their own market. More details on their ways of working are given in § 5.3.2.1. 5.3.1.2 Industry and employment An accurate figure for the total number of employees in the EU directly involved in smallhydropower is difficult to obtain. The Blue Age study xxi estimates that the number of European manufactures was about 70 in 2001, while the total sector employs 10'000 persons in Europe. According to a EREC (European Renewable Energy Council) report, the EU SHP industry is multi-disciplinary and highly skilled, employing about 10'000 people in EU-15 and offering a full range of products and services for the sector. This number can reach 15'000 in 2010 if the UE target of doubling the share of RES in the EU energy sector from 6 to 12 % by 2010 is achieved. According to SCPTH xxii estimation, the total sector generates a yearly turnover around 150 180 Mâ‚Ź. European manufacturers dominate the world market for SHP equipment. It is worth noting that out of 447 small-turbine contracts (larger than 1MW) awarded worldwide between July 1997 and December 2000, only 82 (18 %) were assigned to non-European firms xxiii . The Majors dominate about 90% of this market. This situation will only last, of course, if technical and non-technical challenges are met, leading to even better environmental integration and more cost-effective, technically elegant and efficient designs. 5.3.1.3 RD&D assessment Suppliers of equipment for large hydropower plants design efficient techniques and methods which, when facing competition, constitute their main sales arguments. Large sums are thus invested in research, producing results, which, naturally, are not made public. The comDG TREN

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panies that perform it thus largely finance this type of RD&D and their subsidiary companies specialised in small hydro (the Majors) can of course beneficiate from this knowledge. University institutes' work anticipates on industrial applications and their research projects generally attempt to understand physical phenomena. Cooperation with large industrial groups that seek to increase the competitiveness of their future products is frequent. This research is essentially financed through public funds, unless they have been requested by a potential end-user who demands exclusive use of the results. Because of the high costs entailed, it is not generally directed towards small hydro, which, by definition, produces limited power. Moreover, the cost of fossil energy that was relatively low until these last years, and the fact that the cost price per electric KWh is still being calculated without considering external costs, exerts pressure on the number of project realisation per year. As the number of contract signed by a manufacturer directly affects its ability to finance new product development, we can consider in a certain way that the price paid per kWh has an indirect influence on R&D activities. As we already saw in chapter 5.3.1.1, the Majors have developed a small-hydro specific range of products, for instance by standardising the design and manufacturing procedure, using standardised elements, etc. This is made possible by their belonging to international companies having large hydro department and know-how. This leading position makes them able to produce high-quality material. However, SME's working in the field cannot therefore invest large sums in the development of new equipments, or in the improvement of existing ones. This remark is particularly true in the field of small turbines of less than 1 MW, where the costs of laboratory developments, which are nonetheless necessary, are incompatible with the size and turnover of the SMEs that build them. Thus, a whole section of the branch cannot develop satisfactorily and lastingly, without an increase in external support. The target of this support should of course not be to increase the number of suppliers but to help them increase the quality of the material they propose. The only way to develop both small hydro markets (P < 1 MW and 1 MW < P < 10 MW) is to have a general high-quality standard, in order to allow a real and undistorted competition. 5.3.2

Proposals for a European strategy

5.3.2.1 Turbines Development of appropriate turbines' design suitable to an electrical output < 1MW: o Perform R&D programmes to systemise turbine hydraulic profiles (simplicity, reliability, operational and performance guarantees). o Guarantee access to results for independent manufacturers aiming at supplying small turbines with high quality level Development of low-head and very-low-head turbines Development of fish-friendly turbines Development of submersible turbo-generators:

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o Perform R&D for the design of small submersible hydro-electric units. o Build pilot plants to test the reliability of such construction techniques. Tests of new construction material: o Perform RD&D on new materials aiming at reducing small-turbine cost. o Build pilot plants to test the reliability of such construction techniques. The turbine accounts for 15 to 30 % of the total cost of a SHP and every mean to reduce its cost would be welcomed by all manufacturers. As presented in chapter 5.3.1.1, there are three types of small-turbines manufacturers, and two ways of working can be distinguished: o

The Majors have developed specific product which hydraulic profile is based on largehydropower laboratory development. They have standardised design and manufacture procedures in order to reduce development costs. They use sub-assembly tested device, but each turbine is designed according to the precise site data. Finally, they have developed mechanical solutions allowing easy manufacturing and maintenance. Their way of working allows them to propose quality products with guaranteed performances.

o

Smaller independent manufacturers aim at the same goal of simplicity, reliability and performances. However, as they cannot receive the support of large-hydro department and have limited financial means, they have few possibilities to measure the effect of the introduced design simplification on the hydraulic profile. Moreover, they deliver fewer turbines per year than the majors and have not so many possibilities to introduce standard design and manufacture methods.

For these manufacturers who aim at proposing quality equipment and are able to produce it, a RD&D objective can be the systemisation of the hydraulic and mechanical design. From a hydraulic point of view, the systemisation procedure xxiv consists in aiming at entirely configuring turbine hydraulics, then in testing its behaviour and performance, as a function of these parameters. Once this procedure is validated by laboratory tests, normalised similarity laws will allow each new turbine to be individually calculated in relation to the exact characteristics of the site to equip, and thus to guarantee performances. This makes it possible to pass from a semi-empirical method to a technical one that is both accurate, and without risk. It is of course beyond a small manufacturer's possibilities to perform such a development himself. These developments are only possible if it is funded by public sector and performed by neutral organisations with RD&D of general interest, as it is now the case in Switzerland, which aims at supplying the results to independent SMEs. The main question to be answered is: How far can the hydraulic forms, which can account for important reduction-costs, be simplified without deteriorating performance beyond the limits imposed by project break event point? As the method has been proven with small Pelton turbines, it now has to be developed for other types of turbines, particularly those intended for low-head sites where investment costs are particularly sensitive issues. The second phase of systemisation is constituted by the development of CAD tools, for the calculation and drawing of turbines hydraulic profiles based on test results. It is in fact necessary, in order to further reduce design costs, to automate this step as far as possible. Apart DG TREN

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from costs, delivery times can also be considerably shortened. This method allows efficiency and operation guarantees, as for large turbines, to be requested. Apart from the development of new design methods, important progress must still be made in the following fields: •

Development of low-head and very-low head turbines, considering notably that they represent the most important remaining potentials in Europe. The aim is to create reliable and simple machines, with high guaranteed efficiencies and to reduce the cost of the whole power plant, and notably of the civil engineering works, which is nowadays heavy in the total investments.

Development of fish-friendly turbines, so as to prevent fish from being damaged when passing through the turbine, while guaranteeing high turbine performances (turbine efficiency, reliability) and low costs.

Development of submersible turbo-generators: They use a technology similar to that of submersible electric pumps, and have low maintenance requirements. They can do without a powerhouse, or direct operator supervision, thereby reducing significantly environmental impact and costs.

Testing of new construction materials: plastics, new anti-corrosion materials, bearings and seals, which all offer possibilities for more cost-effective turbines, penstocks, pipes, etc. It would, for example, be interesting to test the wear on resin Pelton turbine buckets in a drinking-water network using a pressure of less than 10 bars (savings of the order of 25% of turbine cost)

5.3.2.2 Electrical equipment Adaptation of high pole permanent-magnet excitation (PME) generators to SHP: o Support R&D programmes which aim at developing this type of generator (new designs, cheaper magnetic materials, for example) Development or adaptation of low-speed generators: o Develop direct-drive low-speed generators, for low heads in particular Development of variable-speed operation: o Develop load-control equipment, and frequency converters, to allow the use of unregulated turbines, particularly at low and variable heads (and hence variable speed) Support for cooperation and the spread of know-how, between SHP and other industries (with the wind energy sector, for example) 5.3.2.2.1 Permanent-magnet excitation synchronous-generator (PME) A promising development is the permanent-magnet excitation synchronous-generator (PME), which has already been successfully tested in many research and demonstration projects. Due to the large number of poles possible, and to the high efficiency particularly under

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partial load, this type of generator is often considered, so as to avoid a mechanical speed multiplier. The PME has still a high potential for development. With increasing power and reliability, reduced cost and improved efficiency, the PME could, in time, become an important generator for SHPs. Very efficient, cost effective electric designs are possible, particularly in combination with a frequency converter for variable speed operation. New designs and cheaper magnets will help reduce the cost and increase the available power range. In particular in submerged turbine arrangements, as in bulb turbines for example, the windings can be water-cooled. This leads to a reduced thermal load. Still, a PME generator must handle the full torque of the turbine. Some very recent machines manufactured for bulb turbines show that is technically and economically possible to apply direct drive PME generators even in a power range up to some MW. The number of manufacturers of PME generators having numerous poles is limited. Many design options are still under investigation in electrical machine research. Commercial success of the technology is expected in the near future, but only for applications at the lower power-end, at high speeds and consequently with lower torques, as for example, small diesel generators, and small WECs for remote power applications, in the range of a few kW up to several hundred kW. Co-operation of turbine manufacturers, generator manufacturers and research or engineering institutions that can help with system integration is strongly recommended. 5.3.2.2.2 Synchronous generators with separate excitation (SG) The use of synchronous generators with separate excitation (SG) in SHP stations has a long tradition. Especially for off-grid installation (remote power supplies, rural electrification), the SG is still the technology of choice. Due to the high complexity of this type of machine for excitation and voltage control, specific costs of SGs are significantly higher than that of ASGs, up to about 800 to 1000 kW. In the MW-power range, the specific cost of SGs is lower than that of induction generators. The SG can maintain a given power factor and can be easily operated without a grid, by using rotating permanent magnets for a pilot exciter which supplies the main exciter coils with the necessary magnetic field. Where these advantages are relevant, the SG is preferred to the ASG. The only field of application of this type of alternator where progress can be hoped for is that of low-speed SGs, which, because of the small number of manufacturers and of the small series built, are still expensive. These machines, which have the advantage of not requiring speed multiplication devices, which are often unreliable and inefficient, satisfy moreover the needs of low-head sites that have to be built or refurbished. Developments of these machines along the lines of systemisation can be envisaged as the large number of poles implies a repetitive structure. Developments are at present being made in relation with wind energy. 5.3.2.2.3 Variable speed operation (VSO) Variable speed operation (VSO) in small hydropower is often mentioned as a means of improving performance and reducing cost. Nowadays there is no cost reduction, for example in propeller turbines, if runner regulation only is replaced. In addition, it is not possible, in general, to improve energy production compared with a double-regulated Kaplan turbine. So far, about 15 pilot sites have been installed or are under construction in Europe, five of which are demonstration projects under the THERMIE programme of the European Commission DGTREN. From this demonstration stage, the technology has the potential to develop quickly to a standard option for various manufacturers. DG TREN

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In order to develop this technology further, costs must be reduced, in particular those of frequency converters (FC).This technology has developed over the last two decades and the efficiency of FC is already very close to its technical limits, so that very small improvements only can be expected in the future. However, a further significant decrease in specific cost is feasible. This will certainly help in opening new markets, in small-hydropower applications in particular. Variable speed technology could cause exaggerated engineering costs in the case of site refurbishments, if a FC alone is installed. That is because numerous site-specific modifications could be necessary, in the controls, for example. These costs could be reduced considerably if the FC were set-up together with new controls, and a new generator. In this case, a package could be used consisting in the FC, the generator, and controls. Another application of variable speed techniques consists in rotating turbines at a fixed, nonsynchronous speed, avoiding the use of a mechanical gearbox. The choice is limited to the higher speed ranges, since the only possibilities available are 1500 rpm, 1000 rpm, or 750 rpm. The usual procedure consists in choosing a speed close to that ideal for the turbine. In order to improve flow conditions, it would often be advantageous to choose an intermediate speed, as 1240 rpm, for example. 5.3.2.3 Control & monitoring Development of standardised hardware packages: o Development of standardised, packaged, hardware platforms for industrial control applications Development of full software support for site-specific digital control, for the control of operational specifications, and for that of generalised control modules and development of a graphical user interface, and of improved monitoring and data analysis: o Development of a full software support using different levels of computeraided design.

Most state-of-the-art protection and control devices in SHPs are based on programmable logic controllers (PLCs) or a combination of hardware components, such as relays from different manufacturers. Both approaches have the disadvantage of requiring engineering costs for site-specific hardware system-integration, or software development. The software development costs of PLC based systems exceed the cost of the control hardware. Another problem is the independent operation of the controllers, which can lead to additional problems in case of malfunction. These disadvantages can be overcome by using universal digital control devices similar to those used in industrial automation control systems, and similar to industry PCs. It is much easier and safer to handle all control tasks from one unique platform. The use of Digital Turbine Controllers helps in reducing shutdown, maintenance, and repair-times, and can offer the following options, which have so far only been used in large hydro: •

improved turbine control

•

optimisation of hydraulic components (e.g. trash-rack cleaner operations)

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improved component protection in case of malfunction

detailed monitoring and supervision

remote control and SCADA-interface

automatic alarms

advanced analysis facilities

optimisation of multiple turbine installations

The advantages of digital control systems are offset by hardware and software complexity, and engineering costs too high for specific site applications. The problem can be solved by using packaged hardware platforms developed for industrial control applications. From an electrical and process-control point of view, the same type of technical functions has to be provided. The standards of industrial installations and specifications can be used. Special monitoring, supervision and analysis capabilities can be supported by the hardware. The software of such systems can usually be updated remotely, so that software improvements costs can be reduced. The systems however are not widely accepted yet, and need to be developed further so as to make them easier to handle and more flexible for site-specific problems. Standardisation of control packages is an option for cost reduction. 5.3.2.3.1 Advanced turbine control The state-of-the-art approach to double turbine-control is the use of curves, which give the relationship between the two turbine-control organs. For double regulated Kaplan turbines, the guide-vane angle controls the level upstream, whereas the runner blade angle changes according to the pre-set relationship. The standard solution is to use a fixed curve relating guide vane and runner blade angles, determined through model tests or, in the case of renovations, of on-site measurements. Changes in hydraulic conditions, inaccuracies, even mistakes in the design of the intake and of the draft tube, can lead to substantial energy losses in refurbished or new sites. Examples of this problem have been published on various occasions. One proposed solution is a neural-network self-optimising algorithm. It has to 'learn' the best performance curve, rather than measure it. This type of control strategy can be used to solve part of the problem of optimising performance. When dealing with several turbines, it is even more complex to determine optimum operating conditions, because of the greater number of possible parameter combinations. Selfoptimising control algorithms are an option, which can help identify control parameters, which optimise total-power production under all load conditions. 5.3.2.3.2 Improved programming Nowadays, digital control still requires computer specialists, which few small-hydro stations can afford. In case digital-control software has to be modified, costs can run high. In order to reduce costs, and have full software support, it would be possible to work as follows, using various levels of ‘computer-aided engineering’: •

Software support for site-specific control development using a catalogue of functions and requirements for each site.

Generalised control software modules

Development of a graphical user interface to increase the acceptability of digital control systems improving handling and simplifying implementation

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•

Improved monitoring and data analysis such as remote-control and SCADA interfaces, automatic alarms, and advanced analysis facilities (with options for on-line faultdetection, advanced-condition monitoring, failure history, lifetime statistics)

5.4

ENVIRONMENT ISSUES

5.4.1

Current assessment

5.4.1.1 State of industry: Environment specialists With the exception of a few small- and medium-sized companies, specialised in the design and construction of special fish passes, and device to attract fish to the passes, no company supplies specific SHP solutions to environmental problems. Several engineering companies have experiences with large hydro projects, but their know-how is not directly usable for small hydro, mainly for cost reasons. Nevertheless, environmental-improvement measures are a success condition for any project. The linked construction constraints now required for SHP represent a substantial proportion of the total costs (up to 10-20%, in areas which, like natural parks, are environmentally particularly sensitive). The fact that increasing attention is being paid to environmental problems, and the consequent increase in the importance given to mitigation or compensation works, can represent an important market opportunity for small companies with relevant skills and knowhow. 5.4.1.2 State of RD&D Hydropower plants are built within an existing environment. The related RD&D must therefore cover a very wide range of subjects focusing on eco-engineering and environmental integration. The main environmental problem with a SHP is the diversion of water from the river, reducing its natural discharge, as well as the creation of an obstacle by weir and intake structures, and the consequent ecosystem modifications. At present, RD&D attempts to reduce the effect of the interruption of river flow, which essentially depends on fish by-pass efficiency and on the height of diversion works, implicitly reducing environmental problems to fish problems. However, we can also mention other subjects as generators noise, visual impact, etc. Universities, mainly for academic purposes, have carried out studies on the effects of water diversion on river ecosystems. The models developed are mostly site-specific, and require, in order to be calibrated, numerous difficult and long-lasting measurements of on-site biotic parameters. These models are therefore not adapted to the construction of small-hydro plants, and their use, if imposed, would constitute a de facto impediment to the construction of such developments. It has to be noted that some countries have introduced quantitative minimum discharges in specific laws (as mentioned in § 5.1.2.2). Electro-mechanical equipment-related RD&D, essentially carried out by the Majors in a large number of projects supported by the EU THERMIE project, has dealt with various issues, as for example: •

the design of environmental-friendly turbines, which avoid major injuries to fishes which accidentally pass through the turbine,

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•

new materials and components to eliminate the use of lubricants that cause pollution in case of leakage,

•

low-noise gearboxes and generators.

Though this RD&D was meant for large hydro stations, the results, which obviously have to be adapted, are equally available to small-hydro manufacturers. Up to now, little systematic RD&D has been performed on reducing the impact on the environment of civil engineering works: no research activity, specifically addressed to the development of a final product has been made, although this field is the one with the highest environmental impact. Nevertheless, site-specific innovative solutions have been developed, but no results synthesis has been disseminated. RD&D in Europe, addressing to the reduction of the impact of small hydro on the environment, has usually been funded by EU or some other public body. Indeed one of the main problems of SHPs in developed countries is their social acceptance per se. RD&D should create tools to help designers evaluate the global environmental impact of various options, so as to determine which mitigation and compensation measures have to be taken in order to improve the acceptability of SHPs from an environmental standpoint. In this view, the Hypse software, realised within the 5th FP, using a multi-criteria analysis for environmental impact assessment of SHP, is a first attempt to approach the water diversion problem on an objective basis.

5.4.2

Proposals for a European strategy

5.4.2.1 Integrated design Integrated design, taking environmental issues in consideration, from the very early design stages: o Prepare guidelines to simultaneously address economic, technical and environmental problems related to SHPs o Encourage start-up of companies or associations, which can supply plants on a turnkey basis. o Diffuse information on the advantages of working with an integrated fashion. The state-of-the-art method for the design of small hydropower plants is to first achieve maximum energy production, then to adapt the design to take environmental constraints into account. Actually, these constraints considerably affect the general design and layout of SHPs. The selection of a new site should thus result from an integrated design, which yields the best compromise between technical and environmental needs. Obviously, a maximisation of energy production is important, but it should not be the only criterion. An integrated design consists in designing a SHP as a whole, and not as the sum of a certain number of components. This allows not only to rationalise and standardise working methods, but also to use standard materials wherever possible. So far, developments have generally not been co-ordinated and, as designs have been oversimplified, they have not always achieved the expected results. With few exceptions, the design of small plants as a whole (integrated design) has not been undertaken nor developed on a large scale. The start-up of companies or DG TREN

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associations, which can supply plants on a turnkey basis, must therefore be encouraged, and potential plant owners and operators should be made aware of the advantages of this method. An integrated design will prevent designers from considering that respect of the environment is just a burden. Mitigation and compensation measures, which presuppose a negative impact, should be replaced by a design process where environment is considered as an important element. RD&D could be addressed to establish general guidelines, for integrated design, which could be agreed on, or accepted by relevant authorities. This would simplify the design of small hydropower plants compliant with environmental constraints. 5.4.2.2 Bioengineering Bioengineering techniques applied to a wider range of works (especially waterways): o Research activities, from a hydraulic and structural point of view, to increase the use of these techniques in waterways. o Prepare easy-to-use and engineer-oriented guidelines for the use of bioengineered rather than traditional materials, in structural works also. o Spread information to increase the number of small enterprises capable of applying bioengineering techniques: increasing the number of companies both develops competition, thus reducing manufacturing costs, and increases proximity of suppliers, reducing transport costs. Bioengineering is now used as a mitigation procedure aimed at reducing major mechanical and visual effects. Environment-friendly techniques applied to small hydro are essential to increase acceptance, but bioengineering should supply solutions that are compatible with technical, and energy production related requirements. It is therefore a priority to achieve higher reliability and to insure that these techniques have a solid engineering base. Higher penetration of bioengineering in small hydro is only possible if related costs and technical reliability are comparable to traditional solutions. Cost reduction thus necessarily becomes a strategic priority. 5.4.2.3 Non-technical measures for environment integration Improvement of the environment integration of SHPs and development of local public awareness to environmental benefits and costs of small-hydro: o Perform RD&D on new social and technical integration instruments, to favour public participation in the decision process concerning the erection of local small hydro, while minimising overall administrative procedures. o Develop spread of information to correct prejudice caused by big-hydro to the way individuals and society consider small-hydro o Elaborate a standard convention between small-hydro investors and relevant local authorities to overcome the traditional quid pro quo approach.

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o Perform RD&D on new tools for the promotion of green pricing contracts on a European scale o Promote dialogue with environmentalist associations in view of agreement on principles concerning building new plants o Develop spread of information-programmes, which aim at preliminary consent to new plants, for the benefit of local residents, in areas where new small-hydro initiatives are considered. o Study the trend of green certificates up to 2010, in order to better evaluate security and facilitate access to credit for plant erection. o Study the outlook of electricity markets penetration, with energy produced by SHPs (green pricing). The local and global benefits that result from renewable energy are often forgotten because of prejudice against large hydro. This results in excessive environmental constraints, or the refusal of licences to build the plant. Environmental and social integration of small hydro is fundamental. This consists in making the plant a physically pleasing (or at least acceptable) element, as well as one that is socially appreciated, and considered as an important local, renewable-energy source. Global environmental integration is essential if small hydro is to be better accepted by the local public. Research on new standardised methods to test local individual sensibility to environmental problems, and new solutions to achieve higher participation of the public in the design process, should be favoured. 5.4.2.4 Fish passes Development of appropriate fish screening systems for downstream and upstream migrating fish: o Perform RD&D on fish-guiding systems o Perform RD&D on fish-passes, in order to increase efficiency and reduce cost. One of the most common objections to new hydro systems is that they might harm or interfere with fish migration. Highly site-specific, as are all civil engineering works, no universal design exists for fish passes. Diverse ones (concrete fish ladders, rock ramps, Bordland lift, pool and step design – nature-like or not-…) and device to attract fish to the passes are now available and installed. The fact that a large number of technologies exists shows that the ideal solution generally applicable has not been found yet. RD&D in this field is still going on, and new systems are being tested. R&D is led so as to understand fish migration and to create or adapt screening systems that are fish migration – friendly. In that scope, a workshop organised by ESHA was held in Vienna on the 5th of October 2004 on fish ladders and SHP. Different kinds of fish and aquatic life migration exist: DG TREN

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fish migration to the upstream and downstream direction

migration of larvae, juveniles and adults

seasonal fish migrations, among them: the spawning season

different migration behaviour depending on species.

Beside conventional, technical fish ladders, nowadays more and more natural-like pool passes are built. Most of them reveal themselves as being efficient, which means they have the following functions, for most of the fish species or for the aimed species: •

they allow beside upstream migration also downstream migration,

they create spawning grounds and biotopes,

they serve as a habitat for young fish.

Monitoring is used so as to demonstrate the efficiency of a fish pass using for examples traps to identify the species that go through the fish pass, fish counters at the entrance and at the exist points, or underwater cameras to observe fish behaviour. The workshop showed that a standardized, efficient and low-cost design of fish migration devices for small hydropower plants is still missing. What can be noticed is that there is still an important lack of knowledge on fish migration and especially on downstream migration. Nevertheless some special device has been developed in Germany for facilitating the downstream migration of eels. The tendency is to replace the technical, structural fish ladders by small artificial waterways with step & pool morphology as they can be found in small mountain rivers, so called nature-like fish ways. Widely spreading results and technologies now available, for example by means of a document relating success stories and lessons learned, could be an important tool to increase the use of best practice and the social acceptance of hydro plants. 5.4.2.5 Waterways A set of rather new solutions is used to reduce environmental impact in high-head schemes: •

Hillside-channels and steel open-air penstocks on the headrace side replaced by underground plastic penstocks (glass reinforced plastics, HDPE) to reduce land occupation, visual impact, and maintenance.

When the head is too high for this solution, maintenance-free penstocks, which are devoid of expansion joints, should be preferred if feasible, as it is thus not necessary to build tracks, roads or inclined planes to reach them.

Completely accessible, uncovered anchoring blocks can also reduce the impact of penstock civil-engineering works and increase safety.

Because of their large dimensions and discharges, environment-friendly solutions for lowhead waterways are difficult to design. However, important mitigation and compensation measures to reduce environmental impact begin to be taken, such as: •

design of headrace and tailrace channels, which serve ecological functions (that of a biotope).

creation of structured embankments in semi-aquatic areas.

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•

use of bioengineering in terrace, banks and splash zones.

5.4.2.6 Environmental- impact assessment Standard and objective methods for (negative & positive) environmental-impact assessment of SHPs: o Develop methods accepted by both proposers and relevant authorities, to carry out environmental impact assessments on a common basis: multi-criteria based methods, for example, could be used. o Develop simplified, rapid methods for assessing the effects of water abstraction from rivers, based on easily and quickly measurable non-biotic indexes In order to avoid evaluations that are unacceptably arbitrary or subjective, new assessment methods, which are acceptable to environmentalists, investors, and officers in charge of licensing, should be rapidly developed. A first step for further development could be the work realised within FP programme (Guide to environmental approach and impact assessment of small hydroelectric plants – DIS 2037/98-IT). Moreover concerning reserved flow and environmental effects of water abstraction from rivers, state-of-the-art models require abundant empirical calibration data collected, over long periods, along transverse sections of the river. RD&D should investigate on methods which are both simple and reliable, to assess the environmental effects of water abstraction from rivers, by small hydro schemes. The most cost-effective of these methods should be favoured. Once reserved flow has been rationally established, a suitable control and monitoring system, guaranteeing the availability of the reserved flow and optimising energy production, should then be designed. Note: this environment issue is linked to the general topic entitled: "Maps, hydrology and residual flow", § 5.1.2.2.

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PRIORITIES SUMMARY

The next two tables, the first one on technical priorities the second on non-technical ones use the following legend: 1:

Essential to reach White Paper objectives by year 2010.

2:

Useful to reach White Paper objectives by year 2010.

3:

Interesting in the scope of White Paper objectives by year 2010.

The last column gives the paragraphs of this document where the priority is developed. TECHNICAL PRIORITIES

RD&D

General topics Maps, hydrology and residual flow Definition of correct minimum residual flow and/or appropriate flow conditions Improvement of hydrological assessment methods General design, civil work & engineering Development of standardized/systemized hydraulic structures with the purpose to reduce design and construction costs Head enhancement techniques for very low heads Reduction of penstocks installation costs Finding new methods for maintenance, repair and overhaul so as to have alternatives to conventional cofferdams Finding alternatives to the use of cofferdams during construction Development of efficient desilters with high-head intakes, of proper water intakes, and of trash racks

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TECHNICAL PRIORITIES Electromechanical equipment, control & monitoring Turbines Development of appropriate turbines design suitable to electrical output below 1MW Development of low-head and very-low-head turbines Development of fish-friendly turbines Development of submersible turbo-generators Tests of new construction materials Electrical equipment Adaptation of high pole permanent-magnet excitation (PME) generators to SHP Development or adaptation of low-speed generators Development of variable-speed operation Control & monitoring Development of standardised hardware packages Development of full software support for site-specific digital control, for the control of operational specifications, and for that of generalised control modules and development of a graphical user interface, and of improved monitoring and data analysis Environmental issues Bioengineering techniques applied to a wider range of works Development of appropriate fish screening systems for downstream and upstream migrating fish Standard and objective methods for environmental impact assessment of SHPs

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Demonstration

NON-TECHNICAL PRIORITIES General topics Administrative and marketing aspects Simplification and harmonisation of administrative procedures Setting of binding mandatory national targets for 2010 to generate more efforts in all Member States toward RES-e in General and SHP in particular Introduction of regulatory measures in favour of electricity generation from renewable sources Coordination between different EU Directives (i.e Water Framework Directive vs RES-e Directive) Maps, hydrology and residual flow Definition of correct minimum residual flow and/or appropriate flow conditions Know-how and information dissemination Promotion of dialogue with all the actors concerned by SHP: public authorities, independent producers, fishermen, developers, industry NGOs Awareness campaigns to assist in understanding the technology, and promote better acceptance of small hydro Development of good-practice design guidelines for developers and engineers Assistance to professional institutions encouraging self-control and standards within the industry Multipurpose projects and rehabilitation Environment-oriented refurbishment of existing plants Awareness campaigns to support the development of multipurpose projects Electromechanical equipment, control & monitoring Support cooperation, and the distribution of know-how, between SHP and other industries Environmental issues Integrated design considering environmental issues from the very early design stages Improvement of the environmental integration of SHPs Development of local public awareness to environmental benefits and costs of small hydro.

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SUGGESTED MEANS TO REACH THE OBJECTIVES

The object of this document is to supply the base from which the main RD&D themes are chosen, and priorities established, in the successive RD&D European Commission (EC) programmes. Activities can be placed in three distinct categories: 1. RD&D intended to increase small-hydro environmental integration and competitiveness. 2. Educational and information programmes xxv to develop sector professionalism, make political and private deciders aware of small-hydro benefits, explain the principal technical elements in the branch, and tend towards a better acceptance of this means of producing renewable electrical energy. 3. Political activity in favour of small-hydro, to simplify authorisation procedures, adopt tariffs which favour the production of clean, renewable energy in the liberalised market (true energy cost-calculation which takes account of ancillary costs), and financially support projects which aim at the rational use of water resources, as in multipurpose projects, among others. By acting in those three fields, the EC can play a very important role in the development of small hydro, so as to reach White Paper objectives on renewable energies. Though hydraulics can seem to be a mature technology, this document demonstrates that the needs in research, development, and demonstrations are still important. Systematic catalogue of best practise examples should be established. The EC can support this endeavour both directly, through its own programmes, and indirectly, by coordinating the national programmes of member and associate States, thus avoiding redundancy. In order to reach that objective, the EC can encourage cooperation between RD&D public and private institutions. RD&D expenses in certain fields, like those of electric machines and process-control, are too high to be justified solely by the needs of small-hydro. It is therefore essential to privilege cooperation with programmes having similar needs, like those concerning wind energy, so as to adapt their results to SHPs, at lesser cost. The Commission should thus play a federative role, by simplifying information exchange, and avoiding that programmes be partitioned. The market structure of small hydro does not allow its actors to develop new techniques without public support, as the expenses involved are too high. The solution consists therefore in supporting general-interest programmes, and to make the results available to all. Information-exchange synergies with the International Energy agency (IEA), which has a workgroup especially for small hydro, should moreover be developed. The EC should view favourably the creation of a European association of smallhydropower plants manufacturers, including suppliers of electromechanical equipment, process control, or general enterprise, all of these fields being closely interconnected. The association would favour exchanges, and common RD&D projects, integrated design, and the establishment of sector standards. In order to handle Education and Information tasks, the EC could rely on existing associations like ESHA, which could, in turn, rely on national or regional associations.

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The Thematic Network on Small Hydropower is a first step to help the EC to reach the above mentioned objectives. Small hydro will not give full scope to its potential without EC support.

8

Glossary

ASG

Asynchronous generator

CC

Bulgaria, Romania and Turkey are Candidate countries

EC

European Commission

EREC

European Renewable Energy Council

ESHA

European Small Hydropower Association

EU

European Union

EU-10new:

On 1 May 2004 eight Eastern European and two Mediterranean countries, the Czech Republic, Cyprus, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Slovakia, Slovenia joined the EU

EU-15:

Portugal, Sweden, Germany, France, Italy, Luxembourg, Greece, Spain, Finland, Belgium, the Netherlands, Denmark, Austria, Ireland, UK

FC

Frequency Converter

FP

Framework Programme

GUI

Graphical user interface

HDPE

High Density PolyEthylene

IEC

International Electro-technical Committee

MPT

Maximum power tracking

NGO

Non Governmental Organisation

PLC

Programmable logic controller

PME

Permanent-magnet excitation synchronous-generator

RD&D

Research, development and demonstration

RES

Renewable energy source

SG

Synchronous generator

SHP

Small hydropower

SME

Small and medium enterprises

TN

Thematic Network

TN SHP

Thematic Network on Small Hydropower

VSO

Variable speed operation

WFD

Water Framework Directive

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Bibliography

i

Tung, T.T.P, Bennett, K.J., (IEA Small Hydro Task, Canada) "Small Scale Hydro Activities of the IEA Hydropower Programme", Hydropower and Dams, September 1995.

ii

Pauwels H, Handbook on small scale hydroelectricity projects, DG TREN, 1998

iii

Galé P.-A., Première suisse d'une application de turbinage d'eau usée, Conference papers, Verbandschrift N°56 des Schweizerischen Wasserwirtschaftsverbandes, Baden, pp 180-183, 1997 iv

Energy Information Association, US Department of Energy

v

An Action Plan for Renewable Energy Sources in Europe: Working Group Report on Small Hydro", Madrid Conference, 16-18 March 1994.

vi

Denis V., The role of the hydraulic laboratory in small-hydro development, Hydropower & Dams, Issue four, pp 50 -52, 1998. vii

Kuény J.L., Hydraulic engineering : objectives for small-hydro technology, IEA Nice Workshop, October 1998

viii

Small hydropower in New Member States and candidate countries, TNSHP, 2004

ix

White Paper for a Community Strategy and Action Plan : « Energy for the future : Renewable Sources of Energy » document COM(97) 599 x

New and Renewable Energy: Prospects for the UK; supporting Analysis; ETSU R-122 for the DTI, Section on Hydro Power, April 1999 xi

Cost Curve, Thematic Network on Small Hydropower, 2005

xii

Kleinstwasserkraftwerke in der Schweiz: Zuwachs 1985 bis 1997, F. Bieri & H.P. Leutwiler, Swiss Federal Office for Energy, September 1999.

xiii

Chenal R., Les objectifs du laboratoire de Montcherand, Les cahiers de l'électricité, Revue suisse de l'énergie, N°35, pp 24-29, mars 1997. xiv

Deschênes C, Bouziane S., Testing the characteristics of a propeller micro-hydro turbine, Hydropower & Dams, Issue four, pp 53 -59, 1998.

xv

Assessment of further Opportunities for R&D – Summary report, IEA, Implementing agreement for hydropower technologies and programmes, Armand F., March 2000 xvi

Reserve Flow: effects of Additional Parameters on depleted Stretch, Thematic Network on Small Hydropower (TN SHP), 2003

xvii

Reserve Flow: Short Critical Review of Methods of Calculation, TN SHP, 2003

xviii

Political aspects related to small hydropower, Thematic Network on Small Hydropower, August 2004

xix

Brochure on the environmental aspects of small hydroelectric plants, Thematic Network on Small Hydropower, 2005

xx

Guide on how to develop a small hydropower site, Thematic Network on Small Hydropower, 2004

xxi

Blue Energy for A Green Europe, Strategic study for the development of small hydro power in the European Union, ESHA, 2000

xxii

SCPTH: Syndicat des Constructeurs de Petites Turbines Hydrauliques, France

xxiii

Water power and dam construction, Yearbook 2001, Willmington publications, 2001

xxiv

Efficiency enhancing and CAD tools for small hydro, Denis V., Degen M., document prepared for the conference Hydro 2000 to be held in Bern, Switzerland, in October 2000 xxv

Small hydropower : Training, Information and Assistance Centres, The Altener Programme, Renewable Energy entering the 21st Century, Kuény J.L., Pierrat L.,Barcelona, November 1996.

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