Version 2

STANDARDS/MANUALS/
GUIDELINES FOR
SMALL HYDRO DEVELOPMENT

General –
Investigation of Small Hydro Projects

Sponsor: Lead Organization:

Ministry of New and Renewable Energy Alternate Hydro Energy Center

Govt. of India Indian Institute of Technology Roorkee

May 2011
 GUIDELINES FOR
INVESTIGATION OF SMALL HYDRO PROJECT

CONTENTS

S.NO. TITLE PAGE NO.

1. RUN OF THE RIVER SCHEMES 2
2. GEOLOGICAL INVESTIGATIONS 7
3. HYDROLOGICAL INVESTIGATIONS 11
4. CONSTRUCTION MATERIAL SURVEY 13
5. SURVEY FOR EVACUATING POWER 13
6. ENVIRONMENTAL CONSIDERATION 13
7. SOCIO-ECONOMIC SURVEY 14
8. ACCESS TO THE DIFFERENT COMPONENT OF SCHEME 15
 INVESTIGATION OF SMALL HYDRO PROJECTS

SMALL HYDRO
The hydro power installations are normally classified by the output of
hydropower station. The main category are Major hydropower schemes, medium
hydropower schemes & small hydropower schemes. In India, hydropower
schemes up to 25 Mw capacities are termed as small hydropower schemes.
Central electricity authority has further sub-classified the small hydro in three
subcategories.
(i) Micro: Those having output upto 100kw.
(ii) Mini: Those having output from 101kw to 2000kw with unit size 1000kw.
(iii) Small: Those having output from 2001kw to 25000kw with unit size
5000kw.
Small hydro may further be grouped under:
(i) Type-1: Run of the river schemes.
(ii) Type-2: Schemes on canal falls.
(iii) Type-3: Schemes utilizing the existing dam/barrage for water supply.
For type 2 & type 3 schemes, the availability of water is well defined. The
schemes can therefore be formulated on the basis of water available or water to be
released from dam / barrage for the irrigation or for any other purpose for which
the dam / barrage was originally constructed. However the field investigations for
layout of penstocks, power channel, power house, switchyard, tailrace channel
and other appurtenant works will be required, similar to type 1 schemes i.e. run of
the river schemes.
1.00 Run of the river schemes: The following field investigations would be
essential.
(1) Topographical survey.
(2) Geological mapping and exploration.
(3) Hydrological and silt data collection.
(4) Investigation and identification of construction material sites.
(5) Power utilization/ evacuation facility.
(6) Access to different components of the scheme.
Object of detailed investigations are:
(i) To access the general suitability of site for small hydropower project.
(ii) To enable adequate & economical design to be prepared.
(iii) To foresee and provide solution against difficulties that may arise due to
ground and other local conditions.
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 Selection of a proper site for project is the first important task which can be done
with the help of Survey of India topo sheets and reconnaissance survey of project
area. The reconnaissance should involve visiting all possible locations which are
available for consideration and gathering information relative to each site as is
possible without detailed field explorations. The best map available should be
obtained in many locations. Preliminary layout of different components of
projects should be laid out and the most feasible layout may be selected.
Next, detailed field surveys are to be carried out. The run of the schemes are
mostly located in hilly terrain at Small River or large nalas. The stability of side
slopes are most important considerations for siting different structures. Unstable
slopes are to be ignored and sites which are away from slip zones, easily
accessible site for men & materials should be given more weightage.
1.1.0 Topographical Surveys:
After selection of suitable site, detailed surveys are required to be carried out. A
survey of India bench marks should be located and based on this survey of India
bench mark a project bench mark should be installed in the project area. This is
very-very important for the successful completion of project as well as to the life
of project. Surveys for different components of project as detailed below are to be
carried out.
TABLE-1.1: Topographical Surveys for run of the river schemes

S.No. Feature Survey Requirement Scale Contour Additional Requirement

Interval
1. L-section Bed level of the stream 1:10000 _ (i) Date of survey
along the along its center line from (ii) Water levels on date
Stream 5 km upstream of of survey along the stream
diversion structure to 2
km downstream of
confluence of tailrace.
2. General (1) Contour plan to 1:10000 5m
layout cover all _
components of the
project extending
from 2 km upstream
of diversion
Structure to 1 km
downstream of
confluence of
tailrace with the
river.
(2) River cross sections 1:500 _ The following information to
at 200 m interval to be included:
cover both banks (i) Date of survey
well above the (ii)Water level on date of
highest flood marks survey
and include water (iii)Max. observed HFL on the
conductor for the basis of flood marks.

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 reach where it is
close to the river.
(3) Access road. 1:5000 5m _

3. Diversion (1) Contour plan to 1:200 1m _

Structure cover reach 50 m
upstream to 50 m
down stream of the
proposed structure
and extend at least
50 m above
anticipated highest
Flood level.
(2) 5 cross section, 1 1:200 _ The following to be include
along the axis and 2 (i) Date of survey
on either side i.e. (ii) Water level on the date of
Upstream and survey
downstream of the (iii) Max. Observed HFL on
axis. the basis of flood marks.

4. Water (1) Contour plan along 1:200 5m _

conductor water conductor
system alignment extending
20 m towards the hill
side and 10m
towards the valley
side.

(2) ‘L’ section along the 1:200 _ _

alignment of water
conductor.
(3) Cross – section along 1:200 _ _
the water conductor
at 100 m intervals
and at locations
where nalas are
intercepted as also at
locations where
topography change
abruptly.
(4) Three cross – section 1:200 _ _
of the nalas – one on
the alignment and
one each on either
side of the
alignment.
(5) ‘L’ section along _ _ The following information to
nalas 100 m on be include :
either side of water (i) Date of survey
conductor. (ii) Water level on date of

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 survey
(iii) HFL based on flood
marks to be indicated.
(6) Contour plan to 1:200 _ _
cover sufficient area
of the nalas and its
bank.
5. Forebay (1) Contour plan to 1:200 1m _
cover entire area of
forebay including its
vicinity.
(2) Longitudinal section 1:200 _ _
and 2-3 cross –
section.
6. Penstock (1) Contour plan 1:200 1m _
extending 20 m either
side of the alignment.

(2) ‘L’ sections along 1:200 1m _

penstock alignment.

(3) Cross-section at 1:200 1m _

100m intervals along
alignment and at anchor
block locations.
7. Powerhouse (1) Contour plan to 1:200 1m _
cover sufficient area
to include different
alternative layouts of
powerhouse and
switchyard and
tailrace channel up
to its confluence
with the river.
(2) ‘L’ sections along the 1:200 - The following information to
powerhouse and be included:
tailrace channel upto (i) Date of survey.
its confluence with (ii) Water level at the point of
the river. confluence of the tailrace
with the river on the data
of survey.
(iii) Max. observed HFL on
the basis of flood marks.
(3) Access road to 1:200 2m -
powerhouse.

1.1.2 For schemes on canal falls detailed field surveys are to be carried out after an
initial reconnaissance survey when information needs to be collected about the
topographical features and constraints for locating the bypass channel and powerhouse
adjacent to the fall structure. After a study of these particulars the alignment should be

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 identified in the first instance. Detailed field survey is to be carried out for the identified
alignment and location, covering sufficient area to examine all possible shifts in locations
to arrive at an optimum alignment and positioning of structures. The scale and particulars
of the survey are included in table 1.1.2 below.

TABLE-1.1.2 Topographical Surveys for schemes on canal falls

S. Feature Survey Requirement Scale Contour Additional

No. Interval Requirement

1. General (1) Contour plan 1:1000 2m Approach road

layout (2) Longitudinal section 1:1000 routing to
intake and
powerhouse
switchyard
locations to be
included.
2. Intake of the (1) Contour plan 1:200 2m Longitudinal
canal (2) Longitudinal section and 2 1:200 section to
cross-section include canal
and inlet area.
3 Widened (1) Contour plan 1:200 2m -
canal bypass (2) Longitudinal section and 1:200
canal cross-sections.
4 Powerhouse (1) contour Plan 1:200 2m -
and (2) Longitudinal section and 2 1:200
switchyard cross-sections.
5 Tailrace (1) Contour plan 1:200 2m Longitudinal
(2) Longitudinal section and cross- 1:200 section to
Sections. include outfall
area
(connecting to
the canal)
6 Outfall into (1) Contour Plan 1:200 2m Longitudinal
canal (2) Longitudinal section and 2 1:200 section to
cross-sections. include canal
and outlet
area.

1.1.3 For Powerhouse located downstream of an existing Dam/Barrage detailed field

survey will be carried out after initial reconnaissance survey when the alignment of the
water conductor system and the location of the powerhouse, tailrace and switchyard are
identified taking into account topographical constraints. Detailed topographical survey
shall be carried out for the identified alignment and locations. The survey shall cover
sufficient area to enable examination of all possible shifts in alignment and locations to
arrive at an optimum alignment and positioning of structures. Accurate drawings of

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 existing structures which are linked with the planned small hydroelectric scheme should
be obtained and used for necessary co-ordination. The scale and particulars of the survey
are indicated in table 1.1.3 below

TABLE-1.1.3 Topographical Surveys for Powerhouse located downstream

of an existing Dam/Barrage

S.No. Feature Survey Requirement Scale Contour Additional

Interval Requirement

1. General (1) Contour plan. 1:1000 2m Approach

layout (2) Longitudinal section. 1:1000 road routing
to intake and
powerhouse
and
switchyard to
be included.
2. Intake area (1) Contour plan. 1:200 2m -
(2) Longitudinal section and 1:1000
cross-section.
3 Water (1) Contour plan 1:200 2m -
conductor (2) Longitudinal section and 1:200 (2m in flat
cross-section. terrain or
5m in
hilly
terrain)
4 Powerhouse (1) Contour plan. 1:200 2m -
and (2) Longitudinal section and 1:200
switchyard cross-section.
5 Tailrace (1) Contour plan. 1:200 2m -
(2) Longitudinal section and 1:200
cross-section.
6 Outfall (1) Contour plan. 1:200 2m -
from (2) Longitudinal section and 1:200
tailrace cross-section.

2.0 GEOLOGICAL INVESTIGATIONS:

Small hydro electric schemes involve comparatively small size structure as compared to
major hydroelectric schemes. Exploration by trial pits or trenches for various features is
sufficient to meet the requirement, for small dams and tunnels. A judicious & careful
geological assessment with limited geological exploration is essential for electing
appropriate alignment and siting the various structures of the scheme. A reconnaissance
survey of the alignment shall be carried out for obtaining a general idea of the regional &
localized geology to identify the problem areas to firm up the layout. The problem areas
should be studied from geotechnical aspects and layout firmed up with necessary
modifications.

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 2.1 Diversion Structure:
Geological explorations to be conducted with trial pits as close to deepest bed
level as possible & two trial pits on each bank. One of three locations should be at
proposed intake structure. Geological assessment of abutment conditions and the
hill slopes of the abutment with a geological section indicating the dip & strike
direction shall be made. This will be helpful in assessing the stability of the hill
slopes of excavated abutment.
2.2 Water Conductor System:
A few trial pits along the alignment at every 500m, which should include
vulnerable reaches should be taken for the geological assessment of the
foundation strata as also permeability & other subsidence characteristics. Slope
stability of excavated hill slopes for laying water conductor system is very
impartment. For this a geological sections should be developed by surface
observations at 200m. Interval including at vulnerable / critical locations. If water
conductor system comprises of tunnel reach, in addition to a geological section
along the alignment, more detailed information on the nature of & classification
of rock mass, joint patterns encountered along the alignment, the strike & dip
pattern needs to be collected with identification of reaches of shear zone and rock
classification. The inlet & outlet portal of tunnel needs to be investigated for
stability of excavated slope .
2.3 Forebay:
A trial pit at the location of forebay shall be taken to assess the foundation strata.
The hill slope behind & below forebay may be assessed for stability. The
foundation strata shall be assessed for permeability characteristics.
2.4 Penstocks:
Penstock slope shall be investigated for slope stability by developing a geological
section on the basis of reconnaissance survey on the alignment. Foundation strata
at anchor block and saddle locations shall be assessed by trial pits at
representative locations.
2.5 Powerhouse:
Foundations strata at powerhouse shall be assessed by trial pits. Powerhouse
excavation slopes shall be assessed for slope stability by developing geological
sections on the basis of reconnaissance survey by the geologist.
2.5.1 Type 2: Schemes on canal falls.
The stability of excavated slopes for intake channel and tailrace channel/bypass
channel and powerhouse needs to be investigated by developing geological
section and/or study of soil characteristics and ground water conditions. The
foundation strata of the powerhouse, inlet and outlet structures shall be
investigated by trial pits.
2.5.2 Type 3 : Powerhouse located downstream of an existing dam/
barrage.
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 The stability of water conductor system shall be ascertained by geological
sections as in case of type 1. In case water conductor system comprises a tunnel a
geological section along the tunnel alignment is to be developed as suggested for
the tunnel reach of type 1 .The assessment has also to be based on borehole
logging data at the inlet portal, exit portal and reaches of low rock cover.
Powerhouse foundation needs to be investigated by either trial pits or by bore
holes where warranted. Geological assessment for approach channel and tail race
needs to be made.
Requirement of Geological Field Investigations
It is desirable that a geological assessment of the geological features at the various
locations of the scheme is made through a site visit by a well experienced
geologist in consultation with the design engineers regarding technical aspects.
The requirement of geological field investigations are as below.
Table 2.1: Geological Field Investigation (Type-1)

S.No. Structure No. of trial Location of trial Depth of Additional

pits/borehole pits trial pits requirement
1 Diversion structure
(i) conventional Trial pits 3 One trial pit at 1.5 -2 m Geological assessment
weir/trench nos. middle and two of stability of rock
weir trial pits, one slope on either
each on either abutment
(ii) Low dam abutment end.
Borehole 3 One borehole at Up to ----
nos. middle and one foundation
borehole at intake level of
location. dam
2 Water Conductor
(i) Surface Trial pits 3-5 Trial pits at every 1.5-2 m Geological assessment
nos. 500m. c/c and at of stability of rock
critical locations. slopes along the
alignment reach-wise.
(1) Delineation of
Intake portal – 1 shear zone
(ii) Tunnel Borehole 3 no. Up to (2) Geological
nos. Outlet portal – 1 tunnel assessment along
no. grade alignment
Low cover reach (3) Geophysical
– 1 no. assessment
3 Forebay Trial pits 2 One trial pit in 1.5 – 2 m Geological assessment
nos. forebay area and of rock slope on hill
another trial pit at side of forebay.
penstock intake
location.
4 Penstock Trial pits 2 Along the 1.5 – 2 m Geological assessment
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 nos. alignment of of penstock slope.
penstock
preferably at
another block
locations.
5 Powerhouse Trial pits 1 Powerhouse area 1.5 – 2 m Geological assessment
no. of excavation slope.
6 Tailrace Trial pits 1 Along the 1.5 – 2 m Geological assessment
no. alignment of excavation slope.

Table 2.2 : Geological Field Investigation (Type-2)

S.No. Structure No. of Location of trial pits Depth Additional

trial pits of trial requirement
pits
1 Water 4 (1) At inlet – 1 no. 1.5 -2 m Geological assessment
Conductor (2) Upstream of of stability of
powerhouse - 1 no. excavation slopes.
(3) Downstream of
powerhouse – 1 no.
(4) At outlet – 1 no.
2 Powerhouse 1 Powerhouse area. 1.5-2 m Geological assessment
of excavation slopes
and powerhouse
foundation grade.

Table 2.3: Geological field investigation (Type-3)

S.No. Structure No. of trial Location of trial pits Depth of trial Additional
pits pits requirement
1 Intake Borehole- Intake area Upto Geological
1no. foundation assessment of
level of stability of
structure excavation slopes.
2 Approach 1no. Approach channel 1.5m to 2m Geological
channel location. assessment of the
area.
3 Water
conductor
(a) Open Trial Pits-2- Along alignment 1.5m to 2m Geological
3no. assessment of
stability of
excavation slopes
(b) Tunnel Borehole- (1) Intake portal-1no. Delineation of Geological
3no. (2) Outlet portal-1no. shear zones assessment along

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 (3) Low cover reach- upto tunnel alignment.
1no. grade
4 Power Trial Pit- Powerhouse area 1.5 to 2m Geological
house 1no. assessment of
stability of
excavation slopes
and powerhouse
foundation grade.
5 Tailrace
(a) Open Trial Pit- Along alignment 1.5 to 2m Geological
1.3no. assessment of
excavation slopes.
(b) Tunnel Borehole- At portal, along Upto tunnel (1) Geological
3no. alignment and at low grade assessment
cover reach. along
alignment.
(2) Delineation of
shear zones.

Subsurface Explorations are also required if tunneling is involved. Generally for

major and medium hydroelectric projects this aspect is important but for small
hydro the need is rare. For small hydro projects drilling and drifting gives a fare
idea of subsurface geology.
3.0 HYDROLOGICAL INVESTIGATIONS:
Acquiring a set of reliable hydrological data for a reasonable length of time for
assessing the pattern of stream flow at different times in representative years,
good as well bad ,is the most essential requirement for a dependable formulation
of a hydroelectric project, be a big or small. Besides the pattern of stream flows,
other Hydrologic inputs required for the design of project components are design
flood, water quality and sediment transportation. The hydrological data cannot be
acquired by just visiting the site for carrying out discharge measurements for a
short while. It is necessary to acquire the long duration data.
It is necessary first to collect the minimum essential hydrological data and
secondly, make analysis to establish a reliable flow quantity and other
hydrological inputs.
3.1 DATA REQUIREMENT
The following data are required for a project.
(a) Rainfall and snowfall
(b) Climatological parameters like temperature, humidity, wind and
cloudiness.
(c) River gauges and discharges.
(d) Past flood discharges.

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 (e) Sediment load.
(f) Water quality.
The rainfall, snowfall and other climatological data are available with the India
Meteorological Department (IMD). Most of the major rivers and their tributaries
are being continuously gauged by the state governments and central water
commission. Such gauging includes water levels, discharges, flood discharges and
sediment samples. However such data is normally not available in respect of
small hydro projects located on small streams.
The streams across which small hydroelectric schemes are proposed, lack in most
cases any measured stream flow data. The entire catchment may not have even a
single rain gauge station. In such situation, there is need for establishing a
gauging station near about the proposed project site. The discharge measurements
should preferably cover a minimum period of two lean seasons and one flood
season. A period of two years is too short for assessing a long term flow series
but, the small hydro electric schemes are meant to be taken up for quickly
deriving benefits without waiting for long period and without investing much
capital so as to prove most economical project in limited capital.
Discharge Measuring Techniques: For discharge measurement the
following techniques are employed. Bureau of Indian Standards (BIS) are
available for detailed guidance.
(i) Notches, weirs and flumes. BIS no. 1193-1959
(ii) Velocity area method. BIS no. 1192-1959
(iii) Slope area method. BIS NO. 2912-1964
(iv) Stream gauging CWPRS manual for stream gauging.
Discharge measuring instruments : The measuring instruments comprises
of rectangular or a v- notch, flumes, gauges, floats, current meters, stop watches
etc. While using current meters, care should be taken that the current meter is
properly calibrated from a reliable institution. Current meters are calibrated by
CWPRS Pune, IRI Roorkee and in some Engineering institutions. The accuracy
of measurement is totally based on the calibration chart of a particular current
meter. Simultaneous with river gauging, the rain gauge (s) should be installed, if
there is no rain gauge in the project catchment. Along with river discharges, the
samples of silt in river during monsoon flows should be collected.
3.2 Water Availability
The water availability is the basic hydrological input for assessing power potential
and energy generation. A great care is needed to assess river flows as accurately
as possible. Depending on the type and length of data, technique of water
assessment would be applied to get best possible and most dependable water
availability.
The spillway of diversion structure is designed to pass safely a predetermined
flood discharge

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 3.3 Design Flood Level
Design flood level are computed for the intake and power house site for providing
necessary protection works if necessary.
3.4 Sedimentation
The generation unit may suffer heavily due to damage of underwater components
on account of highly erosive action of silt water. Besides damaging runners and
guide vanes, the erosive action of silt causes operation and maintenance problems.
The small diversion structure without storage, divert silt laden water into the
water conductor. Some of the silt would get removed through trash racks and
desilting arrangement provided before the fore bay. A desilting chamber is
generally constructed to minimize the silt load
4.0 CONSTRUCTION MATERIAL SURVEY:
Availability of required quantity & quality construction material like aggregate,
boulders, sand for construction works and its location shall be surveyed in project
area or nearby area. Material testing laboratory shall be required for testing the
quality of material which may have to be established or samples may be sent for
testing to some nearby reliable laboratory.
5.0 SURVEY FOR EVACUATING POWER:
The following survey shall be carried out:
(iv) Present position of power supply in the region, system loads, load
factor, unit generated per kw installed capacity.
(v) Detailes of major loads to be served, energy demand etc.
(vi) A plan showing the proposal for evacuation of power.
(vii) Study of near by grid substation where power is likely to be fed.
6.0 ENVIRONMENTAL CONSIDERATION:
A careful evaluation of impact of proposed scheme on the environment shall be
carried out and necessary measures to be planned well in advance to mitigate the
adverse effect. Major hydroelectric projects are being considered as potential
threat to the environment. Tehri, Sardar Sarover and other so many projects are
the glaring example. Projects are being throttled either by delaying environmental
clearance or by imposing unreasonable conditions in terms of environmental cost.
Environment specialists however seem somewhat inclined towards small hydro
perhaps with a feeling that impacts of small hydro projects are going to be smaller
which can be mitigated easily. Small hydro is favorable due to the following.
(i) Lesser submergence.
(ii) Lesser requirement of land including forest land.
(iii) Least impact on flora and fauna (both aquatic and terrestrial)
(iv) Less possibility of community displacement.

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 (v) No environment pollution.
Following surveys would be required.
(i) Area to be used for project construction, staff colony and resettlement of local
population.
(ii) Area of submergence.
(iii) Details of families likely to be displaced, numbers. of SC/ST families, their
trade and scheme of their rehabilitation.
(iv) Social/ cultural/religious compensation.
(v) If any important mineral resources to be lost, if so it’s magnitude and
estimated loss.
(vi) If any monument/site of cultural, historical, religious or archaeological
importance fall in project area if so, plan of relocation.
(vii) Any rare endangered species of flora and fauna in the project area and
measures to salvage/rehabilitate them.
(viii) Wild life if affected.
(ix) Potential loss to aquatic life such as fish, impact to their migratory behavior.
(x) Expected loss to trees and to make up the loss, identification of land for
plantation.
(xi) Arrangement to meet fuel requirement of labour force during construction
and afterwards.
(xii) Arrangement for restoration of land in construction area.
7.0 SOCIO-ECONOMIC SURVEY
The following information will be collected.
(i) Area of land required for physical components of project.
(ii) ype of land i.e. agricultural, residential, details of crop, vegetation etc.
(iii) Ownership of land i.e. government, private, traditional population,
encumbrances details etc.
(iv) Current land use in proposed area and surroundings.
(v) Possible land use change expected after project implimentation.
(vi) Possible strategy for procurement of land i.e. government lease, direct
purchase, negotiated settlement or compulsory acquisition etc., Detailed
description of area falling under each category
(vii) Name of the people and families affected( details as necessary)
(a) Including those loosing home and livelihood.
(b) Those deriving benefits (employment, electricity etc) from the
project.

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 (c) Those adversely affected by imposition of an external population
on local cultures (i.e. women, tribals)
(viii) Assessment of positive and negative impact.
(ix) Assessment of cultural impact on population due to land acquisition for
project.
(x) Assessment of need for rehabilitation and resettlement implementation.
(xi) Study of national and state legal frame work existing, the relevant
provisions and applicability for the specific case as identified above.
(xii) Entitlement calculations for payment of compensation for various losses
or replacement values.
(xiii) Existing and proposed mechanisms/ efforts for public consultations and
disclosures of information/ statutory requirement, if any for above.
(ix) Expected public participation during the project implementation.
(xv) Grievances redressal mechanism legally available as well as socially
acceptable.
(xvi) Remedies available through Lok Adalats, Village Pachayats,NGO’s etc.
(xvii) Manpower locally available.
8.0 ACCESS TO THE DIFFERENT COMPONENT OF SCHEME
On the topographic plan, layout of existing roads shall be marked. The requirement of the
new approach roads, bridges, culverts, shall be assessed for smooth construction work &
later on maintenance of works.

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