Lecture Notes in Civil Engineering

Sheng’an Zheng · Richard M. Taylor ·

Wenhao Wu · Bjorn Nilsen ·
Gensheng Zhao Editors

Hydropower and
Renewable Energies
Synergistic Integration for
Future Energy Systems
Lecture Notes in Civil Engineering 487

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Sheng’an Zheng · Richard M. Taylor ·
Wenhao Wu · Bjorn Nilsen · Gensheng Zhao
Editors

Hydropower and Renewable

Energies
Synergistic Integration for Future Energy
Systems
Editors
Sheng’an Zheng Richard M. Taylor
China Society for Hydropower Engineering RMT Renewables Consulting Ltd.
Beijing, China London, UK

Wenhao Wu Bjorn Nilsen

China Society for Hydropower Engineering Department of Geoscience
Beijing, China NTNU
Trondheim, Norway
Gensheng Zhao
Department of Hydraulic Engineering
Nanjing Hydraulic Research Institute
Nanjing, Jiangsu, China

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 Organization

Editors

Sheng’an Zheng China Society for Hydropower Engineering

Richard M. Taylor RMT Renewables Consulting Ltd.
Wenhao Wu POWERCHINA International Group Limited
Bjorn Nilsen Norwegian University of Science and Technology
Gensheng Zhao Nanjing Hydraulic Research Institute

Editorial Board Members

Hao Xi China Society for Hydropower Engineering

Tiangen Qiu China Huadian Overseas Investment Co., Ltd.
Sheng Li China Renewable Energy Engineering Institute
Guojin Zhu POWERCHINA Beijing Engineering Co., Ltd.
Kecheng Geng China Huadian Overseas Investment Co., Ltd.
Sisheng Li POWERCHINA International Group Limited
Qingke Zhou China Huadian Overseas Investment Co., Ltd.
Xiaohui Yang POWERCHINA Beijing Engineering Co., Ltd.
Hao Jiang China Renewable Energy Engineering Institute
Yuetao Xie China Renewable Energy Engineering Institute
Guang Yang POWERCHINA International Group Limited
Dingyan Lei China Society for Hydropower Engineering
Yang You China Society for Hydropower Engineering
Tian Jin Ghent University
China Society for Hydropower Engineering This work was supported by China
Society for Hydropower Engineering and China Renewable Energy Engineering
Institute.
vi Organization
 Contents

Exploration of the Latest Advancements in Hydropower Technology

Research on Dam Crack Identification Method Based on Multi-source

Information Fusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Cun Xin, Dangfeng Yang, Xiaodong Liu, Yong Huang, and Xueming Qian

Corona Trials on Rotating Machinery with LuminarHd Ultraviolet

Apparatus in Small Hydropower Plants - SHPs Technology and Innovation
Company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Afonso Cesar Tavares, Marcelino Santos, and Bruno Dellabeta

Numerical Analysis Calculations of Ductile Concrete Gravity Dams

Under Seismic Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Wei Fang, Jingjing He, Yang Yu, Rusheng Hao, and Yan Guo

Experimental Study on the Flexural Performance of Hydraulic High

Ductility Concrete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Jingjing He, Wei Fang, Zhi Zhang, Rusheng Hao, and Yan Guo

Economic Analysis of Distributed Photovoltaic Power Generation Projects . . . . 39

Zhang Qian and Pan Yuwei

Current Status and Prospects of Dam Safety Monitoring Technology

for Hydropower Stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Bo Jiang, Jinyong Fan, Fuxue Yang, Jian Chen, and Jun Zhou

Hydraulic Engineering Safety Platform Under Microservice Architecture

- a Case of Shanmei Reservoir Renovation Project . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Yanyan Lin and Wei Ding

Exploring the Digital Twin System in Slope Engineering . . . . . . . . . . . . . . . . . . . . 70

Wu Shu-yu, Zhan Zheng-Gang, Zhu Huan-Chun, Hu Yong-Fu,
Li Peng-Fei, and Deng Yong-Jun

Study on the Impact of Flood Season Operating Water Level on Flood

Control of the Three Gorges Reservoir . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Yan-wei Zhai, Ding-guo Jiang, Guo-liang Ji, and Zhen-yu Lv
viii Contents

Deep Learning-Based Multi-Model Coupled Flood Season Daily Runoff

Prediction Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Xiaoyu Ye, Dong Wang, Chenlu Yu, Zhuo Yang, and Along Zhang

Research and Application of Balanced Rise of Concrete High Arch Dam . . . . . . 115
Zhang Junhong

Research on the Dispatching Decision Method of Cascade Hydropower

Stations Based on the BVWS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Ma Haoyu, Cao Hui, Liu Yaxin, Xu Yang, and Tian Rui

Assimilating FY-4A AGRI Data Based on a WRF-GSI NWP System

and Its Impact on Precipitation Forecasts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
Chen Jian, Yang Dengyu, Wang Jianping, Cao Nianhong,
and Tang Zhaokang

Improving Dam Safety Using Optical Fiber Seismic Sensing . . . . . . . . . . . . . . . . . 155

Cicero Martelli, Xinjian Chen, Jean Carlos Cardozo da Silva,
Uilian José Dreyer, João Paulo Bazzo, Daniel Rodrigues Pipa,
Sidnei Helder Cardoso Teixeira, Gustavo Macioski,
Alessandra de Barros, Silva Bongiolo, Beatriz Brusamarello,
Larissa Wierzynski Kulik, Gilson Antônio Brunetto,
Luis Fernando Pedrozo Melegari, Huiyi Zhang,
Alexandre Frescki de Oliveira, and Marcelo Henrique Bernardy

Research on Real-Time Intelligent Control Technology for Runoff

Cascade Hydropower Station Group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Bian Lijuan, Yi Zhang, and Li Shuming

Application of Tower Type Cyclone Stabilizing Cylinder Concentration

Technology in Wastewater Treatment of Sand and Gravel Processing
System of Batang Hydropower Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
Wei Zhang, Xingyu Li, and Dong Zhang

Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling

System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
Chunli Yan, Jin Tu, Hui Liang, Shengshan Guo, and Deyu Li

Research on the Sediment Flushing Scheme Under the Layout

of “Reservoir Replacing Pool + Bypass Flushing” Based on 2D Flow
and Sediment Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Shuangchao Yang, Jinyang Liu, and Yu Liao
 Contents ix

Research on Load Distribution Method of Cascade Hydropower Station

with Maximum Energy Storage at the End of Dispatching Period . . . . . . . . . . . . . 215
Tianqing Li, Peng Lu, Pengcheng Zhou, Bing Han, Zijun Yang,
and Kaibin Yang

Exploring the Untapped Potential of Existing Hydropower Resources

in the Context of New Energy Development: A Case Study
of the Liyuan-Ahai Hybrid Pumped Storage Power Station . . . . . . . . . . . . . . . . . . 228
Hanmo Chen, Chuting Miao, and Peng Lu

Research on Identification of Deep Leakage Channels in Karst Pumped

Storage Reservoirs Based on Multi Field Data Fusion . . . . . . . . . . . . . . . . . . . . . . . 236
Zheng Kexun, Gan Feifei, Zhao Daiyao, Chen Xiao, Liu Xianggang,
and Zhang Ning

Analysis of Dynamic Response Characteristics of Towering Intake Towers

Under the Action of Main-Aftershock Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . 247
Zhiyu Song, Yafei Zhai, and Guangkun Liu

Research on Deformation Monitoring and Early Warning and Safety

Control of Hydraulic Tunnel in Extremely Fractured Rock Mass . . . . . . . . . . . . . 258
Bin Duan, Haisheng Wang, Deqiang Feng, Shihe Qin, Zhen Li,
and Haoyu Mao

Study on Adaptive Heads for Flip Bucket with Small Slope of Aeration
Facilities in High-Flow and Slow-Bottom-Slope Flood Discharging Tunnel . . . . 272
Chuang Liu, Anzhe Cui, Ming Yin, Luchen Zhang, and Shaoze Luo

Insights into Renewable Energy Breakthroughs and Their Practical

Applications

Main Circuit Parameter Design Research of Offshore Wind Farm DC

Transmission Based on Grid-Forming Wind Turbines and Diode Rectifier
Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
Yingrui Liu, Jian Ning, Taotao Qu, Xiaodong Qiu, and Kexin Wang

Effects of Rotating Stall on Flow Patterns and Pressure Pulsation

in Clearance Flow Channels of Pump-Turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
X. X. Hou, S. F. Teng, C. X. Xiong, and Z. Y. Yang

Technical Challenges and Environmental Governance in the Construction

of Pumped Storage Power Stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
Song Wang and Yongkang Yang
x Contents

Research on Simulation and Prediction of Photovoltaic Power Generation

Based on Radiation Models and Machine Learning Method . . . . . . . . . . . . . . . . . . 317
Jie Gao, Xu Wang, Jianwei Gu, Siwei Tang, Fangliang Zhu, Jingyi Li,
and Yiming Zhu

Strategies for the Integration of Energy Systems, Enhancing Efficiency

and Sustainability

Role of the Hydro-Solar Hybrid Operation Mode in the Novel Power System . . 329
Haibo Du, Hongyong Li, Kai Liu, Ruixian Chen, and Ying Cao

Optimization of Ultra-High Voltage Direct Current Power Transmission

Curve for High Proportion New Energy Bases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343
Bo Yi, Yunhe Liu, and Xiao Wang

Optimal Scheduling of Wind-Thermal-Hydro-Storage Multi-Energy

Complementary System with Pumped Hydro and Battery Storage . . . . . . . . . . . . 354
Zehua Zou, Quan Zhao, Miao Deng, Chong Gao, and Liangsong Zhou

Detailed Analyses of the Ecological Impacts Stemming From

Hydropower Projects

Exploring the Impacts of Large Hydroelectric Projects on Downstream

Wetland Ecosystems: A Case Study of the Impact Zone of the Jingwei
Wetland Reserve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
Weifeng Wan, Feng Zeng, Liqun Sun, and Weidong Zhou

Assessing the Impact of Dongzhuang Water Conservancy Hub

on Vegetation Ecological Distribution Based on Numerical Simulation
and Machine Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380
Mengyan Ge

Examination of the Environmental Footprint Associated with

Renewable Energy Sources

Analysis of Meteorological Situation in Different Regions and Its Impact

on Power Generation of Different Types of Solar Modules . . . . . . . . . . . . . . . . . . . 391
Fengqin He, Qi Yang, Xuelin Ding, and Weniun Lei
 Contents xi

Comprehensive Studies on the Combined Environmental Effects of

Integrated Energy Projects

Construction of a Full Process Evaluation for the SocialIntegration

of Migrants in Water Conservancy and Hydropower Projects . . . . . . . . . . . . . . . . . 401
Sun Zhonggen, Shao Ziting, Zhang Huazhong, Chen Jihua,
Yu Qingnian, and Wang Yifei

Research on Urbanization Resettlement of Reservoir Projects Under

High-Quality Development in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423
Jing Wu, Shaojun Chen, Langxing Xu, and Jinjin Sun

Multiobjective Operation of Cascade Reservoirs Considering Different

Ecological Flows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
Kunhui Hong, Aixing Ma, Yin Hu, Wei Zhang, and Mingxiong Cao

Comparison of Ecological Value Before and After the Construction

of Hydraulic Engineering Projects: A Case Study of Lianhu Reservoir . . . . . . . . 462
Zelong Qu, Jianfeng Li, and Guofu Yang

Evolution Laws and Spatial Differentiation Characteristics of Climate

and Extreme Climate Before and After the Impoundment of the Three
Gorges Reservoir . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476
Ruirui Liu, Xiaomei Kou, Wei Song, and Chuang Dong

Exploration of the Application of Fine Reconstruction of Unmanned

Aerial Vehicles in Landslide Disaster Investigation and Management . . . . . . . . . . 489
Daiyao Zhao, Jingnan Han, Xianggang Liu, Zhouchang Zuo,
and Kexun Zheng

Spotlight on Groundbreaking Sustainable Energy Technologies

Research on the Deflection Deformation of Photovoltaic Modules Caused

by Low-Temperature Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
Lian Chunxing, Wang Shusheng, and Sun Zhenyu

Wide-Area Long Sequence Photovoltaic Power Simulation Based

on ERA5 Reanalysis Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 515
Siwei Tang, Xu Wang, Jie Gao, Fangliang Zhu, and Jianzan Yang
xii Contents

Effective Models for the Integration of Green Energy Systems Within

Existing Infrastructures

Application of Flow Prediction Models to the HPP Castro Alves

for Planning Preventive Actions Against Extreme Events . . . . . . . . . . . . . . . . . . . . 529
Beatriz Sepulveda Pires, Xinjian Chen, and Huiyi Zhang

Research on the Design Method of Ultimate Pressure for Compressed Air

Energy Storage in Hydroelectric Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 537
Yue Han, Yaohui Gao, Hao Cui, Ning Liu, and Pingzhi Chen

Water Level Calculation and Influencing Factors of Single-Step Locks

with Water-Saving Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 552
Duo Xu, Zhonghua Li, and Jianfeng An

Predictive Insights into the Future Landscape of Energy Technologies

A Review of Oscillating Buoy Devices in Wave Energy Power Generation . . . . . 567

Jianchao Zhang, Le Wang, and Haitao Ren

Application of Smart Terminals in the Power Industrial Internet . . . . . . . . . . . . . . 579

Huang Fuqiang, Chen Zhengpu, Xiao Jiangtao, Jin Zhaoan, Chen Jun,
and Yang Hai

Influence of Water Molecules on the Interfacial Structures and Energy

Storage Behavior of Ionic Liquid Electrolytes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
Chenxuan Xu, Xu Qian, Xingxing Gu, and Junjie Yang

Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591

 About the Editors

Sheng’an Zheng elected Executive Vice President and Secretary General of the China
Society for Hydropower Engineering (CSHE) in late 2022, previously held key positions
at POWERCHINA Chengdu Engineering Cooperation Ltd and China Renewable Energy
Engineering Institute (CREEI) from 2001 to 2021. As a distinguished hydropower
expert, he directed major projects like Xiluodu and Pubugou Hydropower Stations and
contributed to the 14th Five-Year Plan on Renewable Energy Development.

Richard M. Taylor renowned in international renewable energy, co-established AMI

and later founded the International Hydropower Association (IHA) in 2001. With lead-
ership roles in various organizations, including IRENA and Climate Bonds Initiative, he
chairs the HSAC industry chamber, advises the World Bank Group, and consults for the
XFLEX HYDRO project. Engaged in UN initiatives, Taylor appraised the Sustainable
Water and Energy Initiative.

Wenhao Wu with 38 years of experience serves as Secretary General of IF-CSHE. As

a hydropower expert, he studied in Norway, managed international projects, and led
river diversion for the Wiquangxi Hydropower project. Awards include the 2nd prize for
national engineering for the river diversion.

Bjørn Nilsen Professor Emeritus at the Norwegian University of Science and Tech-
nology excels in Geological Engineering, contributing to both academia and practical
projects, particularly in rock mechanics and engineering geology. He is an author or
co-author of more than 100 scientific papers and member of Editorial Board and regular
reviewer of two international, peer-reviewed journals.

Gensheng Zhao Senior Engineer and Researcher coordinates international projects as

Managing Director of the Joint Research Center of Water Science and Engineering. As
a reviewer for esteemed journals, he has published five books, showcasing his expertise
in hydraulic engineering.
Exploration of the Latest Advancements
in Hydropower Technology
 Research on Dam Crack Identification Method
Based on Multi-source Information Fusion

Cun Xin1(B) , Dangfeng Yang1 , Xiaodong Liu1 , Yong Huang1 , and Xueming Qian2
1 Power China Northwest Engineering Corporation Limited, Xi’an Key Laboratory of Clean
Energy Digital Technology, Xi’an 710065, China
[email protected]
2 State Engineering Laboratory of Visual Information Processing and Application, Xi’an

Jiaotong University, Xi’an 710049, China

Abstract. Cracks as the main safety concern of dams, high-precision identifica-

tion of dam cracks is of great application value and scientific significance to ensure
the safety of dams. The paper proposes a dam crack identification method based
on multi-source information fusion. Specifically, image gray scale and geometric
features are extracted based on the image information. And then a single crack
identification model based on Support Vector Machine (SVM), Decision Tree
(DT), Random Forest (RF), XGBoost, and BP Neural Network are established
based on the features, respectively. Finally, a multi-classifier fusion algorithm
based on D-S evidence theory is established to identify the presence of cracks by
fusing single identification models. Experiments are carried out to compare the
proposed method with the existing identification methods based on the evaluation
metrics such as accuracy, precision, F1-score, and recall. The results show that
the accuracy of crack identification of the proposed method in this paper reaches
98.9%, and the crack identification results are better than the existing methods.

Keywords: Concrete dam · Crack detection · Machine vision ·

Multi-information fusion · D-S fusion

1 Introduction

As an essential part of water conservancy and hydropower engineering construction,

dams have the functions of flood control, power generation, irrigation, navigation, etc. It
is of great significance to monitor the safety of dams and find abnormal potential dangers
in a timely period [1]. As one of the most common damage of dams, cracks are not easy
to ignore even if they are very small, and crack damage can lead to reservoir leakage and
dam shutdown for maintenance in the case of light damage, or lead to dam collapse in
the case of serious damage, which can lead to the flood disaster in the downstream and
threaten the safety of lives and properties of the people in the downstream [2]. Currently,
dam crack detection mainly relies on traditional manual visual inspection methods,
i.e., hanging baskets on the surface of the dam body for manual visual inspection, or
using binoculars for visual inspection [3]. These methods have the problems of high

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 3–14, 2025.
https://doi.org/10.1007/978-981-97-9184-2_1
4 C. Xin et al.

inspection cost, high risk factor, as well as low measurement efficiency, time-consuming
and laborious, and at the same time, the measurement effects depend on the personal
subjective experience of the engineers, and the measurement effects have a certain degree
of randomness [4].
With the development of machine vision technology, image-based crack identifica-
tion methods have received attention from scholars due to the advantages of speed and
convenience. Generally speaking, image-based crack recognition methods are mainly
divided into two kinds: texture analysis method and machine learning detection method.
In texture analysis methods, it mainly consists of defining various gradient features using
gradient filters, e.g., the gray gradient of each pixel in the image is computed by pixel
edge detection methods such as Sobel and Canny, and then a binary classifier is used
to determine whether an image pixel belongs to a crack region or not [5, 6]. However,
texture-based analysis methods usually assume that the cracked region has a large dif-
ference with the intact region in terms of image texture features, and the identification
accuracy is lower for texture features similar to the cracks, such as rust, scratches, and so
on. At the same time, this type of texture-based method needs to judge the crack region
with the help of binary method, the recognition effect greatly depends on the selection
of binary threshold, the effect is very sensitive to the noise such as light, and the risk of
mistaken judgment is high [7, 8].
As a comparison, machine learning-based crack detection methods with high identi-
fication accuracy and end-to-end detection advantages have gradually become the main-
stream of the current structural crack detection, and this type of method mainly extracts
the features in the image through machine learning algorithms such as Support Vector
Machine (SVM), Random Forests (RF), XGboost, K Nearest Neighbor Classification
(KNN), Convolution Neural Networks (CNN), etc., and then utilizes the extracted fea-
tures to determine the presence of cracks [9–11]. Mao et al. [12] proposed a dam crack
recognition method based on image LBP features and image Gabor features combined
with CNN to recognize multiple types of cracks such as horizontal and vertical. Tang
et al. [13] proposed a multi-task enhanced dam crack image detection method based on
Faster R-CNN, which achieved better identification results in dam crack detection under
different lighting environments. Zou et al. [14] proposed a crack detection method for
concrete dams based on improved Yolov5s to achieve improved crack detection effi-
ciency and precision. Yi et al. [15] proposed a structural surface crack identification
method based on the integration of SVM, which achieved better identification results
in experiments with different lighting conditions and different crack morphology. How-
ever, for different crack features, different machine learning methods have their own
advantages, and a single machine learning method performs differently in different clas-
sification situations, e.g., it is presented in the literature [13] that CNN-based crack
recognition method outperforms YOLOv5, and it is pointed out in the literature [15] that
SVM-based crack recognition method outperforms the BP neural network classifier.
Based on this, this paper proposes a dam crack identification method based on multi-
source information. Specifically, image grayscale and geometric features are extracted
based on the image information. And a one-crack identification model is established
based on the features, such as SVM, DT, RF, and BP neural network, respectively.
Finally, a multi-classifier fusion algorithm based on D-S evidence theory is constructed
 Research on Dam Crack Identification Method 5

to improve the crack recognition accuracy by fusing multiple single recognition models
and reducing the uncertainty of a single model.

2 The Method of Crack Identification

The flowchart of the proposed method is shown in Fig. 1, including feature extraction
and D-S multi-information fusion. Specifically, gray scale feature and shape features
are firstly extracted based on the image information. And then SVM, DT, RF, XGBoost,
and BP Neural Network are established to calculate the classified probability based
on the features, respectively. Finally, the multi-classifier fusion algorithm based on D-
S evidence theory is constructed to identify the cracks by fusing single identification
models. The details of the method are as Fig. 1.

Fig. 1 Flowchart of proposed crack identification

2.1 Feature Extraction

In this paper, the image gray scale features and shape features are measured for
identifying the crack. The details of the method are as follow:

2.1.1 Gray Scale Feature Extraction

Gray scale features are computed by the image covariance matrix, which refers to a
common method of describing texture by studying the spatial correlation properties of
grayscale. As texture is formed by the recurrence of the gray scale distribution at spatial
locations, therefore, there will be a certain grayscale relationship between two pixels
separated by a certain distance in the image space, i.e., spatial correlation properties
6 C. Xin et al.

of the grayscale in the image. A total of 24 eigenvalues by constructing the grayscale

covariance matrices in four directions ( 0°, 45°, 90°, and 135°) in this paper, as shown in
Fig. 2, and calculating six eigenvalues such as angular second moment, entropy, contrast,
inverse different moment, correlation, variance, respectively (Fig. 2).

Fig. 2 Method of calculating different directions of the grayscale covariance matrix

Assume an image f (x, y) defined as L x × L y , horizontal space and vertical space are
described as Lx = {1, 2, ......, Nx} and Ly = {1, 2, ......, Ny}, and the grayscale space is
defined as G = {1, 2, ......, Ng}. That is, each point in L x × L y corresponds to a gray
level belonging to G. The probability that pixel (x, y) of gray scale i, with displacement
d, orientation θ , and pixel (x + x, y + y) of gray scale j appear simultaneously in
the image, denoted as p(i, j, d , θ ), can be expressed as:
  
p(i, j, d , θ ) = (x, y), (x + x, y + y) |f (x, y) = i, f (x + x, y + y) = j (1)

Assuming that the gray level of the image is G, the gray matrix p of the image is a
matrix of G × G squares, i.e.:
⎡ ⎤
p(0, 0) p(0, 1) ... p(0, G − 2) p(0, G − 1)
⎢ p(1, 0) p(1, 1) ... p(1, G − 2) p(1, G − 1) ⎥
⎢ ⎥
⎢ ⎥
p=⎢ ... ... ... ... ... ⎥ (2)
⎢ ⎥
⎣ p(G − 2, 0) p(G − 2, 1) ... p(G − 2, G − 2) p(G − 2, G − 1) ⎦
p(G − 1, 0) p(G − 1, 1) ... p(G − 1, G − 2) p(G − 1, G − 1)

On the basis of the gray scale covariance matrix of the image, the gray scale features
of the image can be calculated as follows:
Feature 1: Angular Second Moment (ASM)

ASM = p(i, j)2 (3)

i j

Feature 2: Entropy (ENT)

ENT = − p(i, j) log(p(i, j)) (4)

i j
 Research on Dam Crack Identification Method 7

Feature 3: Contrast (CON)

CON = (i − j)2 p(i, j) (5)

i j

Feature 4: Inverse different moment (IDM)

p(i, j)
IDM = (6)
i j
1 + (i − j)2

Feature 5: Correlation (COR)

(ij)p(i, j) − ux uy
COR = (7)
σx σy
i j

Feature 6: Variance (VAR)


σ = (i − ux ) j − uy p(i, j) (8)
i j

2.2 Shape Features Extraction

Image shape features play a fundamental and important role in image classification, so
effective and efficient shape descriptors are the key components of image shape feature
extraction and representation. In this paper, two typical shape features, namely Fourier
descriptors and Moment descriptors, are utilized. The Fourier descriptor is a series of
coefficients generated based on the object contour in the target image after the Discrete
Fourier Transform, which can be used to represent the shape features of the target,
assuming that there is a closed region of interesting contour containing N data points.
√
s(k) = x(x) + jy(k), j = −1, k = 0, 1, ..., N − 1 (9)

where s(k) is a sequence of complex numbers representing closed contours for which
the Fourier transform can be described as:
N −1
1
S(w) = s(k)e−j2π wk/N , k, w = 0, 1, ..., N − 1 (10)
N
k=1

In addition, region-based shape feature descriptors, such as moments, which are

more reliable for shapes with complex boundaries, in particular geometric moments,
central moments, and orthogonal invariant moments, have been applied to image shape
description and content-based image retrieval. For a two-dimensional digital grayscale
image f (x, y), the (p + q) order moments are defined as follows:

mpq = xp xq f (x, y) p, q = 0, 1, 2, ... (11)

x y
8 C. Xin et al.

The central moment is calculated by the formula:

μpq = (x − x)p (y − y)q f (x, y) (12)

p q

where x = m10 /m00 , y = m01 /m00 , the normalized central moment can be described as:
 γ
ηpq = μpq μ00 (13)

where γ = (p+q)2 + 1, p + q = 2, 3, ...

In this paper, shape features are extracted using second and third order Hu invariant
central moments, computed as shown below, to construct a seven-dimensional moment
feature vector to represent the target image.
M1 = η02 + η20
M2 = (η02 − η20 )2 + 4η11
2

M3 = (η30 − 3η12 )2 + (3η21 − η03 )2

M4 = (η30 + η12 )2 + (η21 + η03 )2
 
M5 = (η30 − 3η12 )(η30 + η12 ) (η30 + η12 )2 − 3(η21 + η03 )2 +
  (14)
(3η21 − η03 )(η21 + η03 ) 3(η30 + η12 ) − (η21 + η03 )
2 2
 
M6 = (η20 − η02 ) (η30 + η12 )2 − (η21 + η03 )2 + 4η11 (η30 + η12 )(η21 + η03 )
 
M7 = (3η21 − η03 )(η21 + η03 ) (η30 + η12 )2 − 3(η21 + η03 )2 +
 
(3η21 − η03 )(η21 + η03 ) 3(η30 + η12 )2 − (η21 + η03 )2

2.3 D-S Multi-information Fusion

D-S evidence theory is widely used in information synthesis for its superiority in dealing
with uncertain information. The Mass (confidence function) function of multiple bodies
of evidence is fused by the evidence synthesis rule, and the confidence level of the evi-
dence bodies is determined by the obtained new Mass function thus realizing the fusion
of information and reducing the uncertainty of decision-making events. The definition
is as follows:
Definition 1: Let θ be a recognizing frame if the function m : 2θ → [0, 1] satisfies
the following conditions:
1) There is no event with probability 0, i.e.:

m(ϕ) = 0 (15)
2) The probabilities of all elements of the framework add up to a result of 1, i.e.:

m(A) = 1 (16)
A⊂
 Research on Dam Crack Identification Method 9

Then m is said to be the basic probability distribution function on the frame , m(A)
called the basic trustworthiness number of A, and denotes the trust in A.
Definition 2: Set as a recognizing frame if the function Bel: 2θ → [0, 1] conforms:

Bel(A) = m(B) (17)

B⊂A

Definition 3: For, m1 , m2 ,…,mn is a Mass function on the recognition frame , then

its evidence synthesis law is:
1
(m1 ⊕ m2 ⊕ ... ⊕ mn )(A) = m1 (A1 )m2 (A2 )...mn (An ) (18)
1−K
A1 ∩A2 ∩...∩An

where K = m1 (A1 )m2 (A2 )...mn (An )
A1 ∩A2 ∩...∩An =φ

3 Experimental Verification
3.1 Data Processing

In this section, the crack identification method proposed in this paper are validated by
conducting experiments. The crack images used in this paper are derived from the dam
structure, the total number totals 1200, 400 cracked images (shown in Fig. 3) and 800
intact images (shown in Fig. 4).

Fig. 3 The intact crack image of dam

In this paper, the gray scale features, Fourier features, and HU invariant moment
features of the sample set data are extracted and the extraction results are shown in
Table 1.
Based on the calculated features, a single crack identification model based on SVM,
DT, RF, XGBoost, and BP Neural Network is established based on the features, respec-
tively. Finally, a multi-classifier fusion algorithm based on D-S evidence theory is
established to identify the presence of cracks by fusing single identification models.
10 C. Xin et al.

Fig. 4 The crack image of dam

Table 1 The features of samples

Features Image_1 Image_2 Image_3 Image_4 Image_5

ASM (0°) 0.5394 0.4374 1.4506 −0.0273 −0.5431
ENT (0°) −0.1693 −0.0264 1.1453 0.3631 −0.1801
CON (0°) −0.6300 0.4673 1.5976 −0.1395 −0.6321
IDM (0°) −0.5012 0.2847 1.4479 0.0449 −0.5058
COR (0°) −0.6317 1.2936 1.0287 −0.1964 −0.6359
VAR (0°) −0.4783 1.4781 0.6846 −0.1339 −0.4875
M1 −1.5961 −1.6319 −1.6051 −1.5828 −1.5669
M2 −0.7084 −0.6675 −0.7020 −0.7556 −0.7589
M3 −0.3475 −0.3270 −0.3656 −0.2688 −0.3228
M4 −0.3397 −0.3567 −0.3227 −0.3563 −0.3296
M5 1.2871 1.3350 1.3679 1.3195 1.4185
M6 0.3025 0.3162 0.3154 0.2602 0.2663
M7 1.4021 1.3320 1.3122 1.3839 1.2933
S(1) 2.4403 2.4324 2.3707 2.4171 2.4218
S(2) −0.5094 −0.1361 −0.2986 −0.7485 −0.6862
S(3) −0.2301 −0.5258 −0.8949 −0.5019 −0.5628
S(4) −0.5021 −0.4865 −0.3216 −0.2368 −0.3164
S(5) −0.3737 −0.4009 −0.5787 −0.3014 −0.2555
S(6) −0.3998 −0.4199 −0.0590 −0.2916 −0.3216
S(7) −0.4249 −0.4628 −0.2177 −0.3367 −0.2791

3.2 Accuracy Analysis of Crack Identification

The crack images used in this paper are derived from the dam structure and all the
data is divided into training set and test set according to 80% and 20%. Gray scale
features and shape features of the images were computed using Opencv and the extracted
features were normalized and used to train the model. The accuracy of the proposed
 Research on Dam Crack Identification Method 11

crack recognition method is validated by utilizing the metrics such as precision, recall,
accuracy and F1-score.
ntp
precision = (19)
ntp + nfp
ntp
recall = (20)
ntp + nfn
ntp + ntn
accuracy = (21)
ntp + ntn + nfp + nfn
precision · recall
F1 = 2 (22)
precision + recall
where ntp , nfp , nfn , ntn denote the number of true positive, false positive, false negative
and true negative test images, respectively.

(a)The results of precision (b) The results of recall

(c)The results of accuracy (d) The results of F1-score

Fig. 5 The results of different models

The test results of the four index are shown in Fig. 5, it can be seen that compared
with a single classifier, the classification method of multi-information fusion proposed in
this paper is performed better than any other crack detection method from the precision,
12 C. Xin et al.

recall, accuracy and F1-score. The crack detection of the proposed method in this paper
reaches 98.9%, the results demonstrate that the method proposed in this paper is able to
effectively identify the presence or absence of cracks in dam.

3.3 Application of Algorithms to Real Dam Crack Identification

In practical application, special high-resolution cameras or UAVs are used to take images
of the surface of the dam, together with computers of certain computing power, to analyze
the collected images using the proposed algorithms and to provide guidance to the
personnel for on-site surveys. In this paper, the real dam image acquired using camera is
shown in Fig. 6(a), further, and the original image is segmented and processed. In which
the original image is segmented into 5 × 5 total 25 regions as shown in Fig. 6(b), where
the details of the image in region numbered 10 and region 20 are shown in Fig. 6(c).

(a)Origin image (b)Region divided (c)Detail Region

Fig. 6 The real image of dam

On the basis of image partitioning, different regions are classified with the proposed
algorithm, and the results of crack classification are shown in Fig. 7(a), from which it
can be seen that the proposed algorithm in this paper is able to accurately identify the
regions of concrete where cracks exist. Further, using the image binarization algorithm,
the regions with cracks are processed, and the structure of the binarized region is shown
in Fig. 7(b), which indicates that the method proposed in this paper is able to accurately
identify the location of cracks on the surface of the dam structure with high accuracy.

4 Conclusions

The paper proposes a method for dam crack identification and morphology measure-
ment based on machine vision and multi-source information fusion, and validates the
proposed algorithm in terms of classification accuracy, recall, precision, F1-score. The
main advantages are as follows:
 Research on Dam Crack Identification Method 13

(a)The areas with cracks (b)The crack morphology

Fig. 7 The result of crack identification real image of dam

(1) Compared to the existing manual inspection-based approach, the dam crack identi-
fication algorithm proposed in this paper is based on video analysis, which, together
with image acquisition equipment such as UAVs and cameras, has the advantages
of non-contact and high efficiency.
(2) Compared with a single classifier, the proposed method of the multi-information
fusion strategy can reduce the uncertainty of a single model, and the experimen-
tal accuracy of crack recognition is 98.6%, which is significantly better than the
performance of the traditional single model.
Although the method proposed in this paper can realize the crack identification of
dams to a certain extent, the method proposed in this paper has certain disadvantages for
specific practical applications: for example, compared with a single model, the proposed
multi-model fusion strategy increases the computational cost, and on the other hand,
the proposed method can only identify the existence of cracks, and it is difficult to
quantify the degree of cracks, etc. In the future, we will make efforts to improve these
disadvantages to improve the scope of application of the proposed method.

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included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Corona Trials on Rotating Machinery
with LuminarHd Ultraviolet Apparatus in Small
Hydropower Plants - SHPs Technology
and Innovation Company

Afonso Cesar Tavares(B) , Marcelino Santos, and Bruno Dellabeta

CPFL Renováveis, Campinas, Brazil

{afonso.tavares,marcelino.santos,bruno.dallabeta}@cpfl.com.br

Abstract. With the new technologies applied in the Power Electrical System, we
enable the shared use of the Ultraviolet Measurement Apparatus, for Corona Mea-
surement (the corona effect is just one type of partial discharge characterized by its
visibility when propagating in external mediums due to electric field - potential) in
Transmission Lines, into the Assets of Hydropower Plants with rotating machin-
ery from Small Hydropower Plants - SHPs, within Predictive Maintenance. The
gain from this Predictive Maintenance brought evaluation benefits in the reception
after treatment of generators related to Partial Discharge on the surface, particu-
larly the part related to surface corona effect on rotating machinery. Measurements
before and after surface treatment recovery, mainly in coil heads and other parts
of the generating unit, show us the results more through frequency spectrum,
ranges, and events/minutes measures, associated with a scale already worked for
measurement points in Transmission Lines assets, values understood above 5000
events/minutes and mainly the region with the highest concentration of records
signaling points to improve or redo specific treatment. It’s worth mentioning here
that it doesn’t substitute tests by offline and online partial discharge devices in
peak measures (pC) or nano Coulomb (nC), but it brings the focus spectral sam-
pling region that deserves more attention or reinforcement in treatment to mitigate
corona effect, also can be used to evaluate generator cleanliness when intensities
are recorded in predictive maintenance. The SBUV camera, Solar Blind filter, has
higher sensitivity, compatible wavelength, bi-spectral, and a range from 240 nm
to 280 nm (nanometers), which can bring gains in this technological application.
The tool, when customized, provides risk assessment for each generator in trials
and ensures an operational view of the Asset from the perspective of its health in
this regard - Health Index. The new technology is already implemented and has
been successfully used in our plant, in its punctual maintenance plan regarding
measuring, evaluating own or third-party services, and determining the best time
to act in new surface treatments or asset cleaning, mitigating the risk of early
burnout due to this phenomenon. Direct gains in application come from the inte-
gration of Asset Management with Reliability-Centered Maintenance, optimizing
the Maintenance Plan and the concepts of Engineering Applied to the company’s
Assets.

Keywords: Ultraviolet · Technology · Innovation

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 15–24, 2025.
https://doi.org/10.1007/978-981-97-9184-2_2
16 A. C. Tavares et al.

1 Introduction

The technical work demonstrated here brings the gains applied in predictive maintenance,
using Ultraviolet apparatus, corona effect measurement, in rotating machinery of SHPs.
This technique, well applied in the electrical assets of substations and high-voltage trans-
mission lines, is customarily used to enhance predictive maintenance associated with the
shared use of the OFIL Luminar HD UV apparatus. This initiative has brought benefits
on various fronts, such as replacing tests in dark chambers and evaluating the stator
asset in its operational conditions during daylight, avoiding scheduling for execution
during nighttime. The SBUV camera, Solar Blind filter, has higher sensitivity, compat-
ible wavelength, bi-spectral, and a range from 240 nm to 280 nm (nanometers), which
can bring gains in this technological application. The shared use of the tool provides risk
assessment for each generator in trials and ensures an operational view of the Asset from
the perspective of its health in this regard - Health Index. The new technology is already
implemented and has been successfully used in our plant, in its punctual maintenance
plan regarding measuring, evaluating own or third-party services, and determining the
best time to act in new surface treatments or asset cleaning, mitigating the risk of early
burnout due to this phenomenon. Direct gains in application come from the integration of
Asset Management with Reliability-Centered Maintenance, optimizing the Maintenance
Plan and the concepts of Engineering Applied to the company’s Assets.

2 Development
2.1 Data of the Plant/Generators Under UV Measurement - PCH Salto Goes

To illustrate the Ultraviolet trials, Partial Discharge tests were conducted by CEPEL,
and all electrical tests of the generating units were conducted by Nishi, detailing the
aging of the insulating material. Also, measurements were provided by the Supplier
WEG, for commissioning and post-treatment of the generating units, regarding reduc-
tion or mitigation of the corona effect, where the results show a significant reduction
compared to previous values. Identification of the Project Plant/Company: PCH Salto
Góes/CPFL Renováveis SA Municipality: Tangará/SC.Specifications/Generators Quan-
tities 02 (two) units Manufacturer/year: WEG/2012 Type/Model: SH10 1600 Serial
Number: G1:1014439195/G2:1014317863 Power/Un/In/rpm 11.11 MVA/13.8 kV/465
A/327.27 rpm (Fig. 1).

2.2 Principle of UV Inspection Corona Effect

Corona Effect is understood as a partial electrical discharge due to the ionization of the
air surrounding an electrically charged point where there is an electric field gradient that
exceeds a critical value (Ec), therefore, an electric field (by potential) - with the pres-
ence of ultraviolet radiation. The point becomes more accentuated by this phenomenon,
given parts related to the material medium itself, pollution, humidity, electrical spac-
ing, temperature, at points such as coil heads, and sharp parts where the electric field
becomes stronger at sharp and acute edges, making it easier for the material to reach
 Corona Trials on Rotating Machinery 17

IDENTIFICAÇÃO DO EMPREENDIMENTO
Hydro power plant PCH Salto Góes / CPFL Renováveis SA

municipality Tangará / SC

ESPECIFICAÇÃO / GERADORES
Quanes 02 units
Fab. / Year: WEG / 2012
Type/Model: SH10 1600

Number Série: G1:1014439195 / G2:1014317863

Power/ Un/In / rpm 11,11 MVA/ 13,8 kV/ 465 A / 327,27 rpm

Fig. 1. Assets identification

the breakdown voltage. (*) IEEE: About 90% of failures in high voltage installations
are caused by insulation deterioration (relative to Transmission Lines and Substations).
Corona Effect - In Rotating Machinery: • Isolation Problems/Pollution/Air Gap - Free
Space • Defected coils/Cracks – Defects (Fig. 2).

Fig. 2. OFIL Data – Luminar HD

Industry statistics by IEEE indicate that approximately 40% of all machine failures
occur due to failure of the stator winding insulation. (See chart). The apparatus used in
the measurements: OFIL Technology SBUV – Luminar HD - UV Luminar HD - Light
18 A. C. Tavares et al.

Weight| Built-in Flashlight| Large LCD OFIL’s bi-spectral camera has 2 channels that
capture the image of the same object, showing it in 2 different wave spectra: Visible and
Ultraviolet. Channel 1: Ultraviolet type C (UVC) wavelength from 240 nm to 280 nm,
because in this area 2 conditions converge on the one hand, there is no solar radiation
(SBUV - Solar blind zone) and, on the other hand, if there is UVC radiation by Corona.
This allows you to work in broad daylight without being bothered by the sun and to see
Corona. Channel 2: Visible Captures the same image as Channel 1 but is displayed in the
visible spectrum. Finally, the camera mixing both channels allows “the exact location
of the source of origin of the Corona.”
Thus, we have: Solar Spectrum (Figs. 3 and 4).

Fig. 3. Solar Spectrum

Fig. 4. Wave spectrum in nm, per Ofil

Principle of UV Inspection (Ultraviolet) The Ultraviolet spectrum region is consid-

ered in the range of 230 to 405 nm, the equipment used is an Ultraviolet detector model
LuminarHD from manufacturer OFIL, mentioned in the figure above, which works in
this range. A low level of ultraviolet signal generated by pressure, humidity, temperature,
 Corona Trials on Rotating Machinery 19

or electrical losses, is captured by the ultraviolet sensor capable of detecting ultraviolet

signals at great distances. In the case of measurements in generators, it is graduated up to
4 m. The equipment used is highly directional in identifying losses due to corona effect.
It can detect a low-level leakage point up to a distance of 200 m; in the case of rotating
machinery, adjustments are made for work up to 4 m. Criteria adopted by the company
on criticality (Figs. 5 and 6):

Fig. 5. Wave spectrum in nm, per Ofil

Fig. 6. Criticality Range – events/min (adopted in the company)

2.3 Luminar HD/UV Measurements (Before)

Measurement (BEFORE) of intervention for Surface treatment and reduction/mitigation

of corona effect. Anomalies detected are classified following a priority criterion, where
they are recorded through evidence, according to events/min (Fig. 7).
The image below shows the location of points with higher concentrations/activities
of corona effect: Points with higher concentration of events/min. (Ultraviolet radiation).
For example, in the Salto Goes Plant, in 2018, a UV inspection was carried out on
generator UG1, which served as the starting point for this UV apparatus application
(Figs. 8 and 9).
The records in the table indicate in the figure below the locations and points of
events/min. Captured by the Luminar HD Ultraviolet apparatus, with the region of highest
discharges/corona effect highlighted in red (Figs. 10 and 11).
20 A. C. Tavares et al.

Fig. 7. Frontal view of the generator

Fig. 8. Frontal view of the generator – measurement/identification points

Fig. 9. Field Measurement – Criticality: Blue Range

 Corona Trials on Rotating Machinery 21

Fig. 10. Analysis of images/spectrum – equipment, spectrum only, combined image (equipment
spectrum)

Fig. 11. Analysis of images/spectrum – some evidence (whitened/indicated) detected through

UV equipment

2.4 Luminar HD/UV Measurements (After)

Measurement (AFTER) of intervention for Surface treatment and reduction/mitigation

of corona effect.
A UV inspection was conducted on generator UG1 (Figs. 12–15).
22 A. C. Tavares et al.

Fig. 12. Frontal view of the generator – measurement/identification points

Fig. 13. Point 1 – low measurement of 39 events/min. (previously low)

Fig. 14. Point 2 – low measurement of 43 events/min. (previously 2,138)

2.4.1 Important Note

Through the images, it can be verified the minimum events/min. Indices recorded by the
OFIL Luminar HD Ultraviolet camera for the reception of contracted surface treatment
services to mitigate the intrinsic phenomenon, given that by design, the machine will
always be exposed to the constructive phenomenon as it is subject to the electric field
of the voltages at its terminals, however, attention should be paid to other improvement
points in the installations in order to attenuate the Corona Effect phenomenon, either
 Corona Trials on Rotating Machinery 23

Fig. 15. Point 3 – low measurement of 25 events/min. (previously 712)

periodic cleaning of the winding, installation of filters in the cooling air intakes, closing
of moisture entry through the hot air exhaust channel in stopped machinery, but also
evaluating the design of the winding construction concept regarding electrical distances
within the expected design and subjected to terminal voltage. Thus, not neglecting offline
and online tests with partial discharge technique, as here we deal with points related to
the Corona Effect in this particularity of technical validation or as a tool in quality control
management.

2.5 Conclusion
The tests aimed at the generators, such as Partial Discharges tests for measurement
and evaluation of the PCH generators under study, were carried out in the terms of
offline and online tests by the company CEPEL, which guided a Technical Specification
of Corona Recovery/Mitigation Services in Generators, in the field and/or specialized
Workshop, remembering here that the tests for evaluation of the dielectric conditions
of the generators, included measurements of capacitances, tangent delta, and the Partial
Discharges themselves, which are characterized by a process of ionization in a gaseous
environment inside the insulating systems, caused by an intense electric field. Here,
we start to record that the corona points must be monitored and/or corrected, but it is
important to emphasize that it is difficult to correct, in most cases, under analysis, the
central objective would be to delay the degradation process by partial discharges. After
treatment and recovery of the generating units, mentioned by the above ET, a significant
improvement in the results presented was noticed, and specific recommendation points
related to the environment, more precisely local pollution, and other services performed
in this context of mitigating and recovering the operational risks of the assets of the
PCH under study were mentioned. Now, regarding the use of tests by UV - Ultraviolet
apparatus, the central theme of this paper with a tool in use, which does not replace the
tests mentioned above, but advocates an evaluation of the phenomenon in question, the
Corona Effect, this apparatus, intensively used in Transmission Lines, and which for
rotating machinery, we put into practice in the company. In this way, whether replacing
the Dark Chamber method or qualifying receipt of post-treatment deliveries and here we
demonstrate that the measured results met our quality standards. The technique brings
gains, one for the operational risks issue and another for quality, such as measuring
the intensities recorded in events/min by UV as a reference and acceptance, where it
24 A. C. Tavares et al.

offers a new level of quality required and perceived when delivering these services and
releasing them to Operations of the recovered Assets. The experience disseminated here
brings this viable solution, and as shared predictive maintenance between Transmission
Lines and Generators, customizing the investments of test kits, as well as periodically
monitoring its assets in operation.

References
1. Nakatani, F.T.: Nishi Company, test report on the generating units of the PCH under Study, 10
April 2017
2. Amorim Junior, H.d.P.: CEPEL Company, Offline and online tests report of Partial Discharges
in the generators of the Study PCH, 25 September 2017
3. Rataus, Sergio – Ofil Systems – consultation - UV - Ultraviolet apparatus LuminarHd

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Numerical Analysis Calculations of Ductile
Concrete Gravity Dams Under Seismic Action

Wei Fang, Jingjing He(B) , Yang Yu, Rusheng Hao, and Yan Guo

Power China Northwest Engineering Co., Ltd., Xi’an, Shaanxi, China

[email protected]

Abstract. Finite element analysis was conducted on the stress, vertical displace-
ment, and horizontal displacement of ordinary concrete and ductile concrete grav-
ity dams under different working conditions. The results show that: with the
decrease of the height of the dam, the stresses on the two concrete dams grad-
ually increase, and the vertical displacements show a decreasing trend during the
operation period. Under the effect of earthquakes, the maximum stress of the two
kinds of concrete gravity dams appears at the weak point of the dam body. The
maximum stress of the normal water level and the falling water level of the ordinary
concrete dam reach 9.91 MPa and 9.85 MPa respectively. The maximum stress
of two types of concrete dams under seismic conditions is approximately 4 times
that of the operation period. Under different working conditions, the maximum
stress and displacement of the ordinary concrete are always smaller than that of
ductile concrete.

Keywords: earthquake · ductile concrete · ordinary concrete · gravity dam ·

finite element analysis

1 Introduction
Concrete panel gravity dam has become one of the important structures used in water
conservancy projects due to its simple structure, short construction period, strong ter-
rain adaptability and safety. At present, scholars have conducted a lot of research and
calculations on the blast resistance, explosion resistance, cracking characteristics and
stability of concrete gravity dam [1–3]. At the same time, a lot of experience have been
accumulated in structural design.
However, traditional concrete is brittle and easy to crack, resulting in large-scale
cracking occurs in the service process. Under the action of earthquakes, dam body is
prone to compression damage and large area evacuation [4], which seriously affects
the operation of the hydropower station and the service life. Ductile concrete has been
applied in engineering practice because its excellent impact resistance, high ductility,
permeability and crack resistance [5, 6], but the analysis and calculation of ductile
concrete gravity dam is still lacking.
Based on this, this paper adopts ABAQUS software to carry out three-dimensional
finite element modelling analysis. By simulating the operation period and seismic condi-
tions of the gravity dam, as well as the stress maps, vertical displacement and horizontal

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 25–31, 2025.
https://doi.org/10.1007/978-981-97-9184-2_3
26 W. Fang et al.

displacement parameters of two kinds of concrete dams, the stress and deformation laws
of the concrete gravity dam are analyzed. Finally, the ranges of the properties of the con-
crete materials to meet the requirements of the different working conditions are obtained.
The research results can provide a basis for the design and application of ductile concrete
materials, and provide reference for the design of dams in extreme environments.

2 Project Overview and Numerical Calculation Model

Concrete dam is a standard shape, the height of dam is 100 m, the downstream dam
face slope is 0.7 m, the dam top width is 7 m, the foundation height is 102 m and the
downstream dam surface slope is 0.7. The water depth in front of the dam at normal
water level is 95 m, dead water level is 65 m and the falling water level is 30 m.
The combination and selection of working conditions in the numerical calculation
process is an important factor affecting the calculation results. This calculation exam-
ple is based on actual engineering, and the load on the dam body includes self-weight,
temperature load, water pressure, and seismic load. The load combinations under dif-
ferent working conditions are shown in Table 1. The dam model is mainly composed
of four parts: the dam body, upstream foundation, lower foundation, and downstream
foundation.
The material parameters of ordinary concrete and ductile concrete gravity dams are
listed in Table 2. Compared to ordinary concrete, ductile concrete has a lower density
and better ductility.

Table 1. Calculation conditions and load combinations

Calculation of Load/action Self-weight Temperature Water pressure Seismic load

working combinations load
conditions
√ √ √
Operation Normal water /
period level
√ √ √
Falling water /
level
√ √ √ √
Seismic Normal water
conditions level + seismic
√ √ √ √
Falling water
level + seismic

3 Numerical Calculation of the Operation Period

During the operation of the dams, according to the change of water level, it can be
divided into two different water pressure modes: normal storage level and falling water
level. The stress cloud, horizontal displacement and vertical displacement numerical
calculations under different water levels are shown in Figs. 1 and 6, respectively.
 Numerical Analysis Calculations 27

Table 2. Calculation conditions and load combinations

Sample Elastic Poisson’s Density Coefficient of Conductivity

modulus ratio (kg/m3 ) thermal (W/m·K)
(MPa) expansion (°C)
Ductile 3.00 × 104 0.167 2200 1.7 × 105 3.00
concrete
Normal 3.45 × 104 0.140 2400 1.0 × 105 1.28
concrete

As can be seen from the stress cloud diagram in Figs. 1 and 2, with the elevation
of the dam decreases, the stress of the two types of concrete dams gradually increases
under different water levels and water pressure. The maximum stress appears near the
heel and toe of the dam, and the maximum stress of the ordinary concrete dam is smaller
than that of the ductile concrete dam. In addition, the maximum stress of the dam body
under ductile water storage level is greater than the falling water level, because the
water storage capacity at normal water storage level is large, and the water pressure load
applied to the dam body is greater. The maximum stress of ductile concrete dams under
normal water level is 2.73 MPa.
From the horizontal displacement diagram of the dam in Figs. 3 and 4, it can be seen
that the maximum horizontal displacement of the dams under water pressure occurs at
the upstream. The horizontal displacement of ductile concrete dam at the normal water
level is 4.67 mm, and the horizontal displacement at the falling water level is 4.66 mm,
while both values of ordinary concrete dam are 3.32 mm. The displacement deformation
of the ordinary concrete dam is always smaller than that of the ductile concrete dam.
As can be seen from Figs. 5 and 6, with the elevation of the dam decreases, the vertical
displacement of two kinds of concrete dams during operation shows a decreasing trend.
The maximum vertical displacement of the dam body occurs at the top of the dam,
and the dam experiences settlement. The maximum vertical displacement distribution
of the ductile concrete dam at normal water level and falling water level is 5.95 mm and
5.90 mm, and that of the ordinary concrete dam is 4.22 mm and 4.19 mm respectively. It
can be seen that the effect of water level and water pressure on the vertical displacements
during the operation period is small, but the vertical deformations of the ordinary concrete
dams are always smaller than that of the ductile concrete dams.

Fig. 1. Stress cloud at normal water level

28 W. Fang et al.

Fig. 2. Stress maps for falling water level

Fig. 3. Horizontal displacement at normal storage level

Fig. 4. Horizontal displacement for falling water level

Fig. 5. Vertical displacement at normal storage level

4 Numerical Calculation of Seismic Conditions

The seismic dynamic analysis applies the mode decomposition response spectrum
method, and the response spectrum is selected from the standard response spectrum
curve given by SL203-97 “Code for Seismic Design of Hydraulic Buildings”. The max-
imum spectrum value Bmax is set as 2.0, and the damping ratio is set as 0.05. According
 Numerical Analysis Calculations 29

Fig. 6. Vertical displacement for falling water level

to the seismic effects of the calculated vibration modes of each order, the combination
of seismic effects is chosen to be the square root of the square sum of squares (SRSS)
as stipulated in the specification. The seismic dynamic analysis of dams includes ver-
tical and horizontal seismic action, follows the principle of combination of basic static
load and seismic load, and obtains a comprehensive response by combining dynamic
response and static response according to the most unfavorable combination principle.
Figures 7 and 8 are the stress maps of the two kinds of concrete dams under seismic
conditions at the normal water level and falling water level. Unlike the stress distributions
of the dams during the completion period operational period, the maximum stresses of
the two dams under seismic conditions occur at the weak points of the dam body and
at the connection between the dam body and the rock below. The maximum stresses of
ductile concrete dams at normal water level and falling water level is 10.63 MPa and
10.57 MPa, respectively, while those of ordinary concrete are 9.91 MPa and 9.85 MPa.
The maximum stress of the two types of concrete dams under seismic conditions is about
4 times higher than those in operation period. Moreover, the dam principal stress at the
falling water level is always less than that at the ductile water level.

Fig. 7. Stress map of normal water level under seismic conditions

30 W. Fang et al.

Fig. 8. Stress cloud of falling water level under seismic action

5 Conclusion

1. In the and operation period, with the decrease of the dam elevation, the stress of both
types of dams gradually increases, but the vertical displacement decreases.
2. The maximum stress of the dam body under normal water level is greater than falling
water level. Under normal water level, the maximum stress of ordinary concrete grav-
ity is 2.27 MPa, the vertical displacement is 3.32 mm and the horizontal displacement
is 4.22 mm, both of them are smaller than those of ductile concrete gravity dams.
3. Under the action of earthquake, the maximum stress in the two types of concrete
gravity dams occurs at the weak point of the dam. The maximum stress of two
types of concrete dams under seismic conditions is approximately 4 times that of the
operating period. The maximum stress of the ductile concrete dams at normal water
level and at falling water level reaches 10.63 MPa and 10.57 MPa, respectively, which
both slightly higher than ordinary concrete.

References
1. Zhang, S., Wang, G., Yu, X.: Seismic cracking analysis of concrete gravity dams with initial
cracks using the extended finite element method. Eng. Struct. 56, 528–543 (2013)
2. Patra, B.K., Segura, R.L., Bagchi, A.: Modeling variability in seismic analysis of concrete
gravity dams: a parametric analysis of Koyna and Pine Flat Dams. Infrastructures 9(1), 10
(2024)
3. Xu, B., Wang, S.: Sensitivity analysis of factors affecting gravity dam anti-sliding stability
along a foundation surface using Sobol method. Water Sci. Eng. 16(4) (2023)
4. Sarkar, A., Sharad, G., Bagchi, A.: Performance of 2D-spectral finite element method in
dynamic analysis of concrete gravity dams 105770 (2024)
5. Li, V.C.: From micromechanics to structural engineering the design of cementitious composites
for civil engineering applications. Doboku Gakkai Ronbunshu 471, 1–12 (1993)
6. Zhenbo, W., Pen, S., Jianping, Z.: Long-term properties and microstructure change of engi-
neered cementitious composites subjected to high sulfate coal mine water in drying-wetting
cycles. Mater. Des. 203, 109610 (2021)
 Numerical Analysis Calculations 31

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Experimental Study on the Flexural
Performance of Hydraulic High Ductility
Concrete

Jingjing He(B) , Wei Fang, Zhi Zhang, Rusheng Hao, and Yan Guo

Power China Northwest Engineering Co., Ltd., Xi’an, Shaanxi, China

[email protected]

Abstract. In order to solving the problem of tolerance in the mixing of water

workers’ consolidation processes, Hydraulic High Ductile Concrete (HHDC) was
prepared by using lower cost centimeters and TY-PVA fibers. The effects of sand-
binder ratio, fly ash dosage, rubber powder dosage and fibre dosage on the per-
formance of HHDC were investigated. The results show that among the four
influencing factors, the rubber powder dosage and sand-binder ratio have a more
significant impact on the flexural load, with HHDC-1 having the highest flexural
load of 3.49 kN. While the fiber dosage and fly ash dosage have a significant
impact on the ultimate deflection, with HHDC-7 having the maximum ultimate
deflection of 0.60 mm. Each group of HHDC exhibits ductile failure character-
istics during the bending process. The conclusion of the study can provide some
theoretical support for the engineering application and promotion of HHDC.

Keywords: Hydraulic High Ductile Concrete · sand-binder ratio · fly ash · fiber ·
rubber powder

1 Introduction
During the service process, hydraulic concrete inevitably develops cracks that can open
up to a millimeter level due to spalling of the concrete protective layer and steel corrosion,
which significantly impacts the safety and service life of hydraulic structures. Hydraulic
High Ductile Concrete (HHDC) has excellent toughness and durability, and still has the
characteristics of strain hardening and small cracks under miscellaneous loads, and its
ultimate tensile strain can reach 3%, which is a hundred times of that of concrete [1].
Thus, it could be used to solve the problems of brittle cracking and poor durability of
traditional concrete dams.
However, HDC is mainly composed of cement, fly ash, silica fume, slag powder,
water and fibers. Its raw materials have a large impact on its performance. In order to
achieve the effect of HHDC multi-seam cracking, the design of the materials should
not only strictly control the particle size of the sand (particle size less than 150 µm),
but also use the excellent performance of Japan Kuraray company produced polyvinyl
alcohol (PVA) fibers [2, 3]. Among them, fine silica sand and Japanese PVA fibers are

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 32–38, 2025.
https://doi.org/10.1007/978-981-97-9184-2_4
 Experimental Study on the Flexural Performance of Hydraulic High 33

expensive, which makes HDC unable to be widely promoted and applied in hydraulic
construction even if it has excellent mechanical properties.
Based on this, this paper uses low-cost TY-PVA fibers and medium sand to prepare
HHDC. Orthogonal tests were used to investigate the effects of sand-binder ratio, fly ash
dosage, rubber powder dosage and fiber dosage on HHDC compressive performance
and bending performance. Finally, a reasonable matrix mix was determined by com-
prehensive comparison. The results of the study can provide theoretical support for its
application and promotion in water conservancy and hydropower engineering.

2 Raw Materials and Test Methods

The cementitious materials include Tianshan cement and Class I fly ash. The particle
size of rubber powder ranges from 40 to 80 mesh. The fibers are polyvinyl alcohol fibers
(TY-PVA) produced in Changzhou, China, its length is 12 mm, the elastic modulus is
38.3 GPa and the tensile strength is 1680 MPa. In addition, the surface of the fiber is
coated with oil to reduce the bonding force between the fiber and the matrix, and play a
better bridge effect. Sand is simulated a project fine aggregate grading of the second area
of medium sand, fineness modulus of 2.68, stone powder content of 14%. The water is
laboratory tap water. The admixtures include superplasticizer and thickening agent.
In this experiment, sand-binder ratio, fiber dosage, fly ash dosage and rubber powder
dosage are the main influencing factors, and each factor is designed with four levels.
The orthogonal scheme is shown in Table 1.
The molding and curing steps of HHDC specimens are as follows: (1) Mixing matrix:
the cementing materials and powder additives were added to the mixer for dry mixing for
30s, after being mixed evenly, the water was slowly added and the mixing is continued
for 2 min to obtain the uniform flow of the slurry. (2) the fiber was slowly added to
the slurry, and the fiber was fully stirred to ensure the uniform dispersion of the fiber.
(3) Pouring specimens: the HHDC slurry was poured into the moulds for 2–3 times,
and then the surface was smeared and put into the pre-curing room for curing after
vibration. (4) Demoulding and curing: the cast: the cast HHDC was left for 1 day before
demoulding, and the specimen was transferred into the standard curing room for curing
for 28 days. Before testing, the specimens were taken out from the curing room for
related mechanical performance tests.
The flexural specimen is a rectangle of 40 mm × 40 mm × 160 mm, and the bending
loading rate is 0.15 mm/min. In the experiments, an extensometer is placed below the
center of the specimen for real-time recording of specimen deflection values, and the
span is 150 mm.

3 Test Results and Analyses

Figure 1 shows the flexural load-displacement curves of each HHDC. As can be seen from
the figure, the stress-strain curves can be divided into three stages: (1) Linear elasticity
stage: in which the surface of the specimen remains intact and the load increases linearly
with the deflection. (2) Strain-hardening stage, in which the load jitter increases with
the deflection, accompanied by cracking of the specimen. (3) Strain-softening stage:
34 J. He et al.

Table 1. Orthogonal experimental plan

Sample Sand-binder ratio Fiber dosage /% Fly ash dosage /% Rubber powder
dosage /%
HHDC-1 0.40 1.6 20 0
HHDC-2 0.40 1.8 25 5
HHDC-3 0.40 2.0 30 10
HHDC-4 0.40 2.2 35 15
HHDC-5 0.45 1.6 35 10
HHDC-6 0.45 1.8 20 15
HHDC-7 0.45 2.0 35 0
HHDC-8 0.45 2.2 30 5
HHDC-9 0.50 1.6 30 15
HHDC-10 0.50 1.8 35 10
HHDC-11 0.50 2.0 20 5
HHDC-12 0.50 2.2 25 0
HHDC-13 0.55 1.6 35 5
HHDC-14 0.55 1.8 30 0
HHDC-15 0.55 2.0 25 15
HHDC-16 0.55 2.2 20 10

after reaching the peak load, the main crack continues to open, and the load slowly
decreases with the increase of deflection until the specimen fails. In the bending test,
due to the toughening and crack resistance effect of internal PVA fibers [4], HHDC
exhibits excellent toughness and ductile failure characteristics.
The bending load and ultimate deflection of each HHDC were extracted from the
curve and summarized in Table 2. The data in the table are the average values of each
group. It can be seen that HHDC-1 has the maximum bending load of 3.49 kN. The
maximum ultimate deflection of HHDC-7 is 0.60 mm. The following text will conduct
a range analysis of the experimental results.
Table 3 summarizes the results of the extreme variance analysis of flexural loads for
each HHDC. It can be seen that the order of the influence of each factor on the bending
load is as follows: rubber powder dosage, sand-binder ratio, fly ash dosage and fiber
dosage. The rubber powder content has the greatest impact on the flexural load, and as
the rubber powder content increases, the flexural load decreases. Analysis suggests that
rubber powder not only has low strength, but also the rubber particles are inert organic
materials with poor adhesion to the cement matrix. When subjected to loads, cracks are
easily generated at the bonding interface, resulting in a decrease in the bending load of
HHDC.
 Experimental Study on the Flexural Performance of Hydraulic High 35

In addition, the sand-binder ratio also has a greater influence on flexural load. This
is mainly because after the matrix cracks, the fibers between the cracks to play the
fiber bridging stress, and then the load continues to increase until it reaches the flexural
strength. However, the sand used in this paper is medium sand, the large particle size of
the fine sand not only increases the fracture toughness of the matrix, violating the strength
criterion in the principle of the design, but also affects the dispersion of fiber uniformity
[5], which is not conducive to the fibers to play the role of bridging. As a result, with
the dosage of sand increases, the flexural load shows a downward trend. Therefore, if
medium sand is used to prepare HHDC, the sand-binder ratio can be properly reduced,
and it is recommended that the sand-binder ratio is not greater than 0.45.

4.0 4.0
HHDC-1 HHDC-5
3.5 HHDC-2 3.5 HHDC-6
HHDC-3 HHDC-7
3.0 HHDC-4 3.0 HHDC-8
Flexural load/kN
Flexural load/kN

2.5 2.5

2.0 2.0

1.5 1.5

1.0 1.0

0.5 0.5

0.0 0.0
0.0 0.5 1.0 1.5 2.0 2.5 0.0 0.5 1.0 1.5 2.0 2.5
Deflection/mm Deflection/mm
(a)HHDC-1~HHDC-4 (b)HHDC-5~HHDC-8
4.0 4.0
HHDC-9 HHDC-13
3.5 HHDC-10 3.5 HHDC-14
HHDC-11 HHDC-15
3.0 HHDC-12 3.0
HHDC-16
Flexural load/kN

Flexural load/kN

2.5 2.5

2.0 2.0

1.5 1.5

1.0 1.0

0.5 0.5

0.0 0.0
0.0 0.5 1.0 1.5 2.0 2.5 0.0 0.5 1.0 1.5 2.0 2.5
Deflection/mm Deflection/mm
(c)HHDC-9~HHDC-12 (d)HHDC-12~HHDC-16

Fig. 1. Bending load displacement curves of each HHDC

Table 4 shows the results of the extreme variance analysis of the ultimate deflection of
each HHDC. The ultimate deflection represents the ability to resist bending deformation.
The greater the deflection is, the greater the ability of HHDC to resist fracture and
deformation is. From Table 4, it can be seen that fiber dosage and fly ash dosage have
a greater impact on the ultimate deflection. This is because the fly ash can reduce the
bonding of PVA fiber-matrix interface, weaken the damage of the fiber when pulled out,
36 J. He et al.

and is more conducive to the fiber to play its bridging role. At the same time, the larger
the fiber dosage is, the more fibers are distributed at the cross section of the matrix, and
the greater the bridging force of the fiber is. Therefore, with the increase of the content
of fiber and fly ash, the HHDC ultimate deflection shows an increasing trend.

Table 2. HHDC orthogonal experimental results

Sample Bending load/kN Ultimate deflection/mm

HHDC-1 3.49 0.12
HHDC-2 3.22 0.21
HHDC-3 2.89 0.34
HHDC-4 2.35 0.55
HHDC-5 2.09 0.26
HHDC-6 1.97 0.16
HHDC-7 2.80 0.60
HHDC-8 2.31 0.17
HHDC-9 2.32 0.15
HHDC-10 2.52 0.19
HHDC-11 2.34 0.13
HHDC-12 3.01 0.30
HHDC-13 2.33 0.30
HHDC-14 2.80 0.12
HHDC-15 2.08 0.30
HHDC-16 2.56 0.58

Table 3. Analysis results of bending load range

Influence factor Sand-binder ratio Fiber dosage /% Fly ash dosage /% Rubber powder
dosage /%
K1 2.99 2.56 2.59 3.03
K2 2.29 2.63 2.60 2.55
K3 2.55 2.53 2.58 2.51
K4 2.44 2.56 2.50 2.18
R 0.70 0.10 0.10 0.85
 Experimental Study on the Flexural Performance of Hydraulic High 37

Table 4. Analysis results of ultimate deflection range

Influence factor Sand-binder ratio Fiber dosage /% Fly ash dosage /% Rubber powder
dosage /%
K1 0.30 0.21 0.25 0.28
K2 0.30 0.17 0.26 0.20
K3 0.19 0.34 0.19 0.34
K4 0.32 0.40 0.41 0.29
R 0.13 0.23 0.22 0.14

4 Conclusion

(1) Each group of HHDC exhibits ductile failure characteristics in bending failure, and
its load displacement curve can be divided into three stages: linear elasticity, strain
hardening, and strain softening.
(2) The rubber powder dosage and sand-binder ratio have a significant impact on the
flexural load, with HHDC-1 having the highest flexural load, reaching 3.49 kN.
(3) The fiber dosage and fly ash dosage have a significant impact on the ultimate
deflection, with HHDC-7 having the highest ultimate deflection of 0.60 mm.

References
1. Yang, E.H., Li, V.C.: Tailoring engineered cementitious composites for impact resistance. Cem.
Concr. Res. 42(8), 1066–1071 (2012)
2. Li, V.C.: Engineered Cementitious Composites (ECC) Mate-rial, Structural, and Durability
Performance. CRC Press, Rotterdam (2008)
3. Li, V.C.: From micromechanics to structural engineering the design of cementitious composites
for civil engineering applications. Doboku Gakkai Ronbunshu 471, 1–12 (1993)
4. Jin, C.Y., Li, Y.Q., Zhu, J.C., Li, Y.: A finite element analysis on compressive properties of
ECC with PVA fibers. IOP Conf. Ser.: Mater. Sci. Eng. 544(1), 012032 (2019)
5. Paul, S.C., van Zijl, G.P.: Mechanically induced cracking behaviour in fine and coarse sand
strain hardening cement based composites (SHCC) at different load levels. J. Adv. Concr.
Technol. 11(11), 301–311 (2013)
38 J. He et al.

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Economic Analysis of Distributed Photovoltaic
Power Generation Projects

Zhang Qian(B) and Pan Yuwei

Yellow River Engineering Consulting Co., Ltd, Zhengzhou 45003, China

[email protected]

Abstract. With the opportunities brought by China’s promotion of achieving the

“dual carbon” targets, the technology of China’s photovoltaic industry is acceler-
ating improvement, and the scale is steadily expanding. Distributed photovoltaic
projects have the advantages of flexible configuration, nearby utilization, low
investment, and saving land resources, with huge market space and development
potential. Although the photovoltaic industry has enormous growth potential and
good market prospects, it also faces many risks and challenges such as consump-
tion problems and unstable income. Therefore, studying the economic viability of
distributed photovoltaic projects is of great significance for making project invest-
ment decisions and promoting the sustainable development of the industry. This
paper conducts the economic analysis of distributed photovoltaic power genera-
tion projects, calculates profitability analysis indicators such as financial internal
rate of return (IRR) of project investment, financial net present value of project
investment, and payback period of project investment. It also conducts preliminary
sensitivity analysis on uncertain factors such as construction investment, operating
revenue, and operating cost. It conducts in-depth sensitivity analysis on consump-
tion, grid electricity price, and self-use electricity price, and proposes counter-
measures to improve the economic efficiency of distributed photovoltaic power
generation projects. The research results may provide reference and guidance for
similar project investment decisions in more challenging investment environments
in the future.

Keywords: Distributed photovoltaics · Economic analysis · Investment decision

According to data released by the National Energy Administration, as of March 2024,

China’s cumulative installed power generation capacity is about 2.99 billion kilowatts,
an increase of 14.5% year-on-year. The total installed capacity of renewable energy is
1.54 billion kilowatts, surpassing the installed capacity of thermal power and becoming
the mainstay; among them, the installed capacity of solar power generation is about
660 million kilowatts, a year-on-year increase of 55%, becoming the main incremental
entity. Photovoltaic energy, as a clean and renewable energy source, is increasingly
preferred, and the continuous growth of the global demand for renewable energy has
greatly promoted the development of the photovoltaic industry. With the opportunities
brought by China’s promotion of achieving the “dual carbon” goals, the technology
of China’s photovoltaic industry is improving at an accelerated pace and the scale is
steadily expanding. Distributed photovoltaic projects have the advantages of flexible

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 39–46, 2025.
https://doi.org/10.1007/978-981-97-9184-2_5
40 Z. Qian and P. Yuwei

configuration, nearby utilization, low investment, and saving land resources, with huge
market space and development potential.
Over the past decade, the cost of photovoltaic cells and systems has decreased sig-
nificantly, making photovoltaic power generation one of the most cost-effective energy
solutions in many markets. However, in June 2021, the Development and Reform Price
[2021] No. 833 document stipulated that starting from 2021, for newly registered central-
ized photovoltaic power stations and industrial and commercial distributed photovoltaic
projects, the central government will no longer provide subsidies and implement fair grid
access; the grid electricity price for new projects in 2021 will be implemented based on
the local benchmark price for coal-fired power generation. The “Regulations on the
Supervision of Full Guarantee Purchase of Renewable Energy Electricity”, which came
into effect on April 1, 2024, stipulates that renewable energy generation has changed
from full guarantee purchase to guarantee purchase and marketization.
Although the photovoltaic industry has enormous growth potential and good mar-
ket prospects, it also faces many risks and challenges such as consumption problems
and unstable income. Economic analysis is particularly important for investment deci-
sions and sustainable development of photovoltaic projects. This paper takes a rooftop
distributed photovoltaic power generation project in Luoyang, Henan Province as an
example to conduct economic analysis, propose countermeasures and corresponding
measures, and provide reference for investment decisions of similar projects.

1 Economic Analysis Methods

The research methods related to the economic benefits of photovoltaic power generation
projects mainly include levelized cost of electricity (LCOE), net present value, invest-
ment payback period, internal rate of return, etc. The LCOE model is an internationally
recognized method for evaluating the cost of power generation, which is used to estimate
the cost of power generation projects in different regions, scales, investment amounts,
and power generation technologies. However, the LCOE model only measures costs and
cannot determine total benefits. Net present value, internal rate of return, and investment
payback period are commonly used economic methods to evaluate the profitability of a
project.

1.1 Financial Internal Rate of Return (FIRR)

The financial internal rate of return is the discount rate at which the present value of a
project’s net financial cash flows accumulates to zero over the calculation period, which
satisfies the following expression:

n
(CI − CO)t (1 + FIRR)−t = 0 (1)
t=1
where FIRR is financial internal rate of return, CI is cash inflow, CO is cash outflow,
–(CI − CO)t is net cash flow for period t, and n is project calculation period.
When the financial internal rate of return is greater than or equal to the set discrim-
ination benchmark ic (usually referred to as the benchmark internal rate of return), the
project is financially feasible.
 Economic Analysis of Distributed 41

1.2 Financial Net Present Value (FNPV)

The financial net present value is the sum of the present values of the net cash flows
during the project’s calculation period, calculated on the basis of the benchmark rate of
return ic , which can be calculated using the following formula:


n
FNPV = (CI − CO)t (1 + ic )−t (2)
t=1

When FNPV > 0, it indicates that the plan can achieve excess returns in addition
to meeting the benchmark return requirements. When FNPV = 0, it indicates that the
plan can meet the profitability level required by the benchmark return rate, and the
plan is financially feasible. When FNPV < 0, it indicates that the plan cannot meet the
profitability requirements of the benchmark return rate, and the technical plan is not
feasible.

1.3 Project Investment Payback Period (P t )

The payback period of a project investment refers to the time required to recoup the
project investment based on the net income of the project, usually measured in years.
The following formula can be used for the calculation:


Pt
(CI − CO)t = 0 (3)
t=1

where Pt is the number of years until the cumulative net cash flow for each year is
positive or zero for the first time.
A good plan should have a short payback period for investment, a fast payback for
surface project investment, and a strong resistance to risk.

2 Profitability Analysis
2.1 Basic Information
The roof usable area of this project is about 100000 square meters, with an installed
capacity of 14.5 MWp and an average annual power generation of 14.48 million kWh.
It adopts a 10kV connection scheme and adopts a “spontaneous self-use and surplus
power grid connection” mode.
The static investment of the project is about 51.3 million yuan, with a unit static
investment of 3.54 yuan/Wp. The dynamic investment in the project is about 51.6 million
yuan, with a unit dynamic investment of 3.56 yuan/Wp.
According to the relevant national regulations and the actual situation of the industry,
the benchmark rate of return is calculated at 7%. The economic evaluation period is
25 years, and the working capital of this project is 30 yuan/kW. The working capital will
be randomly put into operation and used and will be recovered in a lump sum at the end
of the calculation period.
42 Z. Qian and P. Yuwei

2.2 Calculation of Operating Costs

Operating costs include material costs, wages and benefits, repair costs, insurance costs,
and other expenses.
(1) Material cost: 8 yuan/kW.
(2) Salary and welfare expenses: 150000 yuan
(3) Maintenance cost: within the warranty period, the maintenance rate is calculated as
0.11% of the fixed asset investment of the project, 0.33% for the 6th to 10th year,
0.43% for the 11th to 15th year, 0.53% for the 16th to 20th year, and 0.63% for the
21st to 25th year.
(4) Insurance premium: calculated at 0.25% of the value of fixed assets.
(5) Other expenses: 20 yuan/kW,
(6) Rent and roof repair costs: a one-time payment of 7 million yuan.

2.3 Total Cost Estimation

The total cost includes operating cost, depreciation cost, amortization cost, and interest.
(1) Depreciation expense: According to the straight-line method, the depreciation period
is calculated as 25 years, with a net residual value rate of 5%.
(2) Amortization charge: According to the straight-line method, the amortization period
is calculated on the basis of 10 years, with no residual value.
(3) Interest: The project funds are obtained from 30% capital and 70% bank loans, with
a repayment period of 15 years. The principal and interest repayment method adopts
the equal principal method, and the loan interest rate is LPR 3.95%.

2.4 Calculation of Operating Income

(1) Power generation revenue

The access plan for this project is a “spontaneous self-use, surplus power grid” mode,
with a self-use ratio of 30%. The self-use electricity price will be discounted by about
90% based on the local industrial and commercial electricity price, with a discount of
0.612 yuan/kWh. The online electricity proportion is 70%, and the online electricity
price is the local benchmark coal price of 0.3779 yuan/kWh.
(2) Value added tax: The value-added tax rate is 13%.
(3) Income tax
The corporate income tax rate is 25%. According to relevant national regulations,
distributed photovoltaic power generation projects enjoy “three exemptions and three
half reductions” of income tax starting from the operation period.
(4) Sales tax surcharges
Sales tax and surcharges include education surcharge, local education surcharge,
and urban maintenance and construction tax, which are calculated on the amount of
value-added tax, with tax rates of 3%, 2%, and 7%, respectively.
 Economic Analysis of Distributed 43

2.5 Profitability Analysis

Based on the above data, this paper prepares the cash flow statement of the project
investment and calculates the financial internal rate of return of the project investment
to be 7.85%, the financial net present value of the project investment to be 3.9 million,
and the payback period of the project investment to be 11.5 years.
The financial internal rate of return of the project investment is 7.85%, which is 7%
higher than the benchmark rate of return by 7%, and the financial net present value of
the project investment is greater than zero, indicating that the profitability of the project
exceeds the profitability level required by the benchmark rate of return, and the financial
returns of the project are feasible.

3 Sensitivity Analysis
Since the basic variables used in the economic evaluation of the project are predictions
and assumptions about the future, they have uncertainties. Therefore, by analyzing the
uncertain factors that have a significant impact on the proposed project, calculating the
changes in the basic variables that cause changes in the project’s financial indicators,
and calculating the sensitivity coefficients, it is possible to identify sensitive factors,
estimate the sensitivity of the project’s benefits to them, predict the risks that the project
can bear, and make investment decisions for the project on a relatively stable basis.

3.1 Preliminary Sensitivity Analysis

Based on the characteristics of the project, uncertain factors, such as construction invest-
ment, operating revenue, and operating cost, were selected for sensitivity analysis. The
percentage changes of uncertain factors were ± 5% and ± 10%, and the financial internal
rate of return was selected as the analysis indicator, as shown in Table 1.
The sensitivity coefficient of operating cost is the lowest, the sensitivity coefficient
of construction investment is in the middle, and the sensitivity coefficient of operating
revenue is the highest. Therefore, an in-depth analysis of the uncertain factors that have
a significant impact on operating revenue can be conducted.

3.2 In-Depth Sensitivity Analysis

(1) According to the policy impact of shifting from full purchase to guaranteed pur-
chase and marketization of power generation, the uncertainty factors include the
cancellation of demand and grid electricity prices.
(2) On April 17, 2024, the People’s Government of Henan Province once again publicly
solicited opinions on the “Notice on Adjusting the Time of Use Electricity Price
for Industry and Commerce (Draft for Comments)”, which adjusted the peak and
valley periods to approximately half of the normal and half of the low periods during
distributed photovoltaic power generation. As a result, the user’s own electricity price
will change, and this is also selected as an uncertain factor.
(3) By changing the above two factors at the same time, a multi-factor sensitivity analysis
is conducted.
44 Z. Qian and P. Yuwei

Table 1. Sensitivity analysis table

Uncertain factors Change rate (%) IRR (%) Sensitivity coefficient

Basic plan 0 7.85 0
Construction investment −10 9.06 −1.55
Construction investment −5 8.43 −1.48
Construction investment 5 7.31 −1.37
Construction investment 10 6.81 −1.32
Operating revenue −10 6.23 2.06
Operating revenue −5 7.05 2.03
Operating revenue 5 8.63 1.98
Operating revenue 10 9.39 1.96
Operating cost −10 8.31 −0.58
Operating cost −5 7.62 0.58
Operating cost 5 7.62 −0.58
Operating cost 10 7.39 −0.58

The financial internal rate of return corresponding to these factors has been lower
than the benchmark rate of return, especially when the consumption has decreased by
10% and the grid electricity price has decreased by 10% and the time-of-use electricity
price has been adjusted, the financial internal rate of return is only 4.24%, which is low
and not financially feasible (Table 2).

Table 2. In-depth sensitivity analysis

Number Uncertain factors IRR (%)

1 Reduce consumption by 10% or reduce grid electricity price by 10% 6.91
2 Adjust the time-of-use electricity price 6.19
3 Reduce consumption by 10% and reduce grid electricity price by 10% 6.03
4 Reduce consumption by 10% and reduce grid electricity price by 10% and 4.24
adjust the time-of-use electricity price

4 Conclusion and Suggestions

Through economic analysis of distributed photovoltaic power generation projects, prof-
itability indicators such as financial internal rate of return, financial net present value of
project investment, and project investment payback period are calculated. Preliminary
sensitivity analysis is conducted on uncertain factors such as construction investment,
 Economic Analysis of Distributed 45

operating revenue, and operating cost. In-depth sensitivity analysis is conducted on con-
sumption, grid electricity price, and self-use electricity price. A 10% change in these
factors makes the project financially feasible but not feasible.
Based on the above conclusions, the following countermeasures are proposed to
improve the economic efficiency of distributed photovoltaic power generation projects.
(1) Increase energy storage
By increasing the energy storage capacity, surplus power generation can be stored
first. On the one hand, it can be used for self-consumption by customers during non-
power generation periods, thereby increasing the self-consumption ratio and increasing
self-consumption revenue. On the other hand, it can be connected to the grid during peak
periods, thereby increasing the grid electricity price and increasing the grid electricity
revenue.
(2) Fully market-oriented transactions
Recently, the National Energy Administration proposed a policy that the market-
oriented trading of photovoltaic power generation shall not be subject to price limits and
shall not be included in the peak and valley time of use electricity prices, which will
inject new vitality into the development of the photovoltaic power generation industry.
Through market-oriented transactions, photovoltaic power generation enterprises will
be able to participate in the market more flexibly, improve market competitiveness, and
increase consumption. At the same time, the government also needs to further strengthen
the innovation of market mechanisms, establish and improve green electricity trading
mechanisms, and gradually expand the scale of green electricity trading.
(3) Technological innovation
Technological innovation is conducive to promoting the development of the photo-
voltaic industry, optimizing energy consumption and material utilization in the produc-
tion process, improving battery conversion efficiency, further reducing production costs,
and lowering project investment. The future development potential of the photovoltaic
industry is enormous, providing valuable technical support for achieving sustainable
global energy development.

References
1. National Development and Reform Commission Ministry of Construction: Economic Evalua-
tion Methods and Parameters for Construction Projects, 3rd edn. China Planning Press, Beijing
(2006)
2. National Energy Administration. National Energy Administration releases national electricity
industry statistics for January to March (2024). https://www.nea.gov.cn/2024-04/22/c_1310
772067.htm
3. Wang, F.Y., Quan, C.L., Cong, L.Y., Lu, M.L.: Economic benefits of distributed photovoltaic
power generation under different operating modes in situation of subsidy reduction: a case of
Beijing-Tianjin-Hebei. J. Arid Land Resour. Environ. 38(4), 87–94 (2024)
46 Z. Qian and P. Yuwei

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
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 Current Status and Prospects of Dam Safety
Monitoring Technology for Hydropower Stations

Bo Jiang(B) , Jinyong Fan, Fuxue Yang, Jian Chen, and Jun Zhou

China Yangtze Power Co., Ltd/Baihetan Power Plant, Yunnan, China

[email protected]

Abstract. The development of new technologies has greatly promoted the

progress of dam safety monitoring technology, mainly reflected in the construc-
tion of monitoring norms and standards and technical applications. In terms of
monitoring norms and standards construction, this paper mainly introduces the
achievements made by China in the construction of monitoring norms and stan-
dards for dam safety. In terms of monitoring the application of new technologies,
the improvement of monitoring technology and equipment perception is intro-
duced, as well as the construction of monitoring system platforms. Finally, pro-
viding an outlook on the areas where current monitoring technologies need to be
improved and enhanced.

Keywords: dam safety monitoring · monitoring system platform · standardized

construction

In the era of digital economy, various new technologies are flourishing and develop-
ing rapidly, such as 5G technology in the communication industry, Internet of Things
technology in the information field, intelligent AI technology in the computer indus-
try, and Unreal Engine technology in the gaming industry. While promoting continuous
economic development, they are also providing opportunities for the transformation of
the traditional water conservancy industry. Safety monitoring of dams is not only one of
the key contents of daily management of hydropower stations, but also related to social
public safety, which also needs to be upgraded and transformed. On the one hand, the
government needs to continuously improve and refine the construction of dam safety
monitoring standards to adapt to the integration and development of new technologies,
and provide strong institutional guarantees for dam safety monitoring. On the other
hand, hydropower enterprises also need to actively upgrade and transform their moni-
toring systems in accordance with the norms and standards. While further improving the
efficiency and ability of safety monitoring work, they should also ensure the safety of
dams and social electricity consumption. This paper will elaborate on three aspects: the
construction of norms and standards for dam safety monitoring in hydropower stations,
the application of new monitoring technologies and technological prospects.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 47–56, 2025.
https://doi.org/10.1007/978-981-97-9184-2_6
48 B. Jiang et al.

1 Construction of Monitoring Norms and Standards

In order to ensure that the work of dam safety monitoring can be carried out in a regu-
lated and systematic manner, China has actively promoted the construction of relevant
norms and standards for dam safety monitoring and has achieved certain achievements.
According to incomplete statistics, China has issued approximately 84 norms and stan-
dards related to dam safety monitoring for hydropower stations from 2000 to 2024, with
an average of at least 3 norms or standards issued annually. Table 1 lists 34 norms and
standards that are closely related to dam safety monitoring.
From the above listed norms and standards, it can be seen that with the increasing
emphasis on dam safety work, the maturity of dam safety monitoring technology in
the industry and the continuous development of new technologies, the construction of
China’s monitoring regulation system has achieved significant results at present, which
are mainly reflected in the following three aspects: ➀ The subdivision of the formulation
institution. It can be divided into Chinese national standard GB and industry standard
SL/NB/DL from the level of norms, among which GB is a mandatory national standard,
and GB/T is a recommended national standard; and industry standard is a recommended
standard, which NB, SL, and DL industry standards are respectively formulated by the
National Energy Administration, China Water Resources Society, and China Hydro-
electric Power Engineering Society, applicable to energy projects, water conservancy
projects, and hydropower station projects. ➁ The refinement of regulatory content. It
has been carried out from the stages of monitoring design, construction, and mainte-
nance, and detailed specifications have been formulated for six aspects: instrument stan-
dards, design standards, cost standards, construction standards, acceptance standards,
and maintenance standards. ➂ The proposal of new monitoring concepts, such as the
“Technical Standard for Safety Monitoring of Concrete Dams” (GB/T51416-2020), for
the first time proposes the concept of whole process management for the entire life cycle
of concrete dams, and divides monitoring projects into permanent, long-term, and short-
term based on their operating life. Although the relevant norms and standards issued in
China are becoming increasingly refined and involved a wider range of aspects, it is still
necessary to explore and promote mature practical experience and application theories
at home and abroad, and determine them in the form of standards or norms to better
guide and promote the normal and orderly implementation of dam safety monitoring in
hydropower stations.

2 Application of New Monitoring Technologies

On the one hand, the continuous proposal of new concepts in monitoring standards
will promote the in-depth research and application of new monitoring technologies. On
the other hand, the research and application of new technologies will also promote the
continuous improvement and enhancement of subsequent standards.

2.1 Monitoring Technology and Equipment Perception Improvement

Continuously upgrading and improving monitoring equipment and technology can help
expand the monitoring scope of dam safety monitoring in hydropower stations, thereby
 Current Status and Prospects of Dam Safety Monitoring Technology 49

Table 1. Partial norms and standards on dam safety monitoring in China

Category Name Specification Number of

Document
Design Standards Technical specifications for safety DL/T5259-2010
monitoring of earth rock damsn
design standards
Technical specifications for safety DL/T 5178-2016
monitoring of concrete dams
Technical specification for strong DL/T 5416-2009
vibration safety monitoring of
hydraulic structures
Technical Specification for DL/T 5211-2019
Automation of Dam Safety
Monitoring
Communication protocol for dam DL/T 324-2010
safety monitoring automation
system
Table structure and identifier DL/T 1321-2014
standard for dam safety
monitoring database
Technical standard for safety GB/T51416-2020
monitoring of concrete dams
Instrument Standards Dam monitoring instruments - GB/T 3410.1-2008
Joint measuring instruments - Part
1: Differential resistance type joint
measuring instruments
Water conservancy monitoring SL/T 812.1-2021
data transmission protocol Part 1:
General principles
Basic technical requirements for DL/T1735-2017
cables for dam safety monitoring
instruments
Automatic collection device for DL/T 1134-2022
dam safety monitoring
Technical specification for DL/T 1254-2013
identification of differential
resistance monitoring instruments
Series Type Spectrum of Concrete DL/T 948-2005
Dam Monitoring Instruments
(continued)
50 B. Jiang et al.

Table 1. (continued)

Category Name Specification Number of

Document
Series type spectrum of DL/T 947-2005
monitoring instruments for earth
rock dams
Cost Standards Detailed Rules for Special NB/T35031-2014
Investment Preparation of Safety
Monitoring System for
Hydroelectric Engineering
Construction Standards National First and Second Order GB/T 12897-2006
Leveling Standards
National Triangulation GB/T 17942-2000
Specification
Technical specifications for DL/T5839-2021
construction of safety monitoring
system for earth rock dams
Specification for measurement of NB/T 35029-2014
hydropower engineering
Code for construction supervision DL/T 5385-2020
of dam safety monitoring system
Technical specifications for DL/T 5784-2019
construction of concrete dam
safety monitoring system
Installation standard for dam SL531-2012
safety monitoring instruments
Acceptance Criteria Acceptance Specification for Dam GB/T22385-2008
Safety Monitoring System
Practical requirements and DL/T 5272-2012
acceptance regulations for dam
safety monitoring automation
system
Operation and Evaluation regulation for dam DL/T 2155-2020
Maintenance Standards safety monitoring system
Compilation regulations for safety DL/T 5209-2020
monitoring data of concrete dams
Operation and Maintenance DL/T1558-2016
Regulations for Dam Safety
Monitoring System
(continued)
 Current Status and Prospects of Dam Safety Monitoring Technology 51

Table 1. (continued)

Category Name Specification Number of

Document
Operation and Management SL/T782-2019
Specification for Safety
Monitoring System of Water
Conservancy and Hydropower
Engineering standards
Technical specification for SL 766-2018
identification of dam safety
monitoring
Standard for scrapping of dam SL 621-2013
safety monitoring instruments
Inspection and testing regulations SL 530-2012
for dam safety monitoring
instruments
Compilation regulations for safety DL/T 5256-2010
monitoring data of earth rock
dams
Compilation regulations for safety DL/T 5209-2020
monitoring data of concrete dams
Code for analysis of dam safety DL/T 2340-2021
monitoring data

obtaining more relevant monitoring information and helping decision-makers better ana-
lyze and make decisions. The expansion of monitoring scope not only includes the sub-
division of monitoring elements and change of monitoring frequency, but also includes
the extension of monitoring space, full coverage of sky, earth and water in the vertical
direction, and the expansion of the entire basin from a single water area to the entire
river basin in the horizontal direction. The entire monitoring network system is continu-
ously optimized and improved, and the intelligent monitoring and perception ability of
coverage is comprehensively improved.
In the field of space, the mainstream technology currently used to improve the accu-
racy and efficiency of dam deformation monitoring is the use of satellite remote sensing
or Beidou positioning technology. For example, the Global Navigation Satellite Tech-
nology (GNSS) which is used for dam deformation monitoring and the Spaceborne Syn-
thetic Aperture Radar Interferometry (INSAR) technology which is used for geodesy are
combined, and has been deployed in large and medium-sized hydropower stations both
domestically and internationally. However, there is still room for improvement in data
function modeling, calculation accuracy, and quality analysis of such technologies [1].
In the future, AI data processing technology can be used to quickly and accurately screen
and match corresponding function models for collected remote sensing or positioning
data, and model algorithms can be used for high-precision calculation and subsequent
52 B. Jiang et al.

analysis and evaluation, providing accurate and effective high-quality data for dam safety
monitoring systems.
In the sky field, drone technology is widely used. It can replace manual observation
of deformation, landslides, and other contents in key high slopes or dangerous areas
for daily or encrypted observation. While ensuring the personal safety of monitoring
personnel, it can also improve monitoring efficiency and accuracy. It can also carry air-
borne laser or radar for collaborative measurement with unmanned ships [2], which can
to some extent compensate for the low monitoring accuracy of remote sensing monitor-
ing technology in special terrain. In the future, unmanned aerial vehicle (UAV) airborne
laser measurement, UAV hyperspectral image remote sensing and other technologies can
be combined with AI 3D technologies, such as Mesh-GPT, to accurately and quickly
construct high-precision 3D digital reality models that can truly reflect the engineering
status of physical entities.
In the process of on-site monitoring, high-precision 3D laser scanning technology
in the field of surveying and mapping has been successfully applied to dam safety mon-
itoring. By constructing a point cloud data field of the model, it comprehensively and
accurately reflects detailed information about dam deformation, crack development, etc.
[3]; The Internet of Things technology in the information field has helped the Xiluodu
Hydropower Station to develop an automated system for dam safety monitoring based
on the Internet of Things technology framework [4]. In the future, with the continuous
application of 5G and Internet of Things technology in dam safety monitoring, intelli-
gent sensor networks based on wireless communication will become a reality, thereby
helping monitoring instruments and equipment achieve the transformation from local
static perception to large-scale dynamic perception.
In the underwater field, the use of underwater robots can help monitoring personnel
complete inspection work and defect localization in the complex water environments.
Sonar or radar technology is used for physical inspection and defect localization, then
binocular vision or fixed-point camera technology is used to take photos of underwater
defects for evidence, achieving timely detection of underwater building defects. In the
future, AI image processing technology can be utilized to further enhance the current
processing capabilities and effects on radar, sonar images, and underwater photos.

2.2 Construction of Monitoring System Platform

China’s monitoring system platform has transformed from the automated monitoring
stage, which utilizes advanced sensors, collection devices, and data analysis technolo-
gies to the digital stage which is based on modern information technology to convert
information into digital formats. In the future, it will achieve intelligence based on arti-
ficial intelligence, big data analysis, cloud computing and other technologies [5]. The
future intelligent monitoring system platform will have the characteristics of automa-
tion and digitization, presenting features such as functional integration, digitization, and
unified construction.
 Current Status and Prospects of Dam Safety Monitoring Technology 53

2.2.1 Functional Integration

Most of the current dam safety monitoring systems for hydropower stations have imple-
mented online monitoring functions, including online data collection, online inspection
and calculation, and online rapid safety assessment. However, a single online monitoring
function can no longer meet people’s needs for basic monitoring information. At this
time, multiple information sources are needed to assist in decision-making and judgment.
For example, integrating an engineering video real-time monitoring system to achieve
remote video real-time monitoring of important monitoring equipment and facilities in
hydropower stations to ensure their operation safety. When a safety accident occurs, the
system’s video backtracking function can also provide important technical support for
subsequent accident cause analysis. The integrated intelligent inspection system com-
pensates for the limitations of blind spots in monitoring instruments by comparing and
combining the inspection results uploaded by artificial or intelligent robots with the
results of automated monitoring. The two complement and confirm each other, ensuring
the authenticity, reliability, and effectiveness of monitoring results.

2.2.2 Information Digitization

The continuous development of the digital economy has given rise to a series of dig-
ital technologies such as big data, cloud computing, cloud platforms, and AI, helping
traditional and emerging industries achieve digital transformation. In the water conser-
vancy industry, the water conservancy digital twin platform is an innovative product
of the integration of digital technology and traditional water conservancy engineering
technology. This platform mainly consists of three parts: a data base, a model platform,
and a knowledge platform [6]. Among them, the data base actively or passively collects
various types of data from monitoring and control networks and river basin information
networks, then constructs corresponding basic databases and provides services such as
data cleaning, data mining, and data transmission. Its main function is to provide real
and effective “data”. On the basis of the output results of the data baseboard, the model
platform builds a digital virtual model based on the dam or hydropower station entity
[7], and conducts systematic training, scientific management, and real-time sharing to
dynamically simulate and predict its current and future operating status. Its main role
is to provide efficient and accurate “algorithms”. The knowledge platform fully utilizes
the massive data output from the data base, the simulation and prediction results calcu-
lated by the model platform to form a structured water conservancy knowledge base that
adapts and learns independently [8], better serving the business and decision-making
layers, providing real-time information feedback and optimization suggestions for the
current state. Its main function is to provide powerful “examples”.

2.2.3 Building Unification

In order to achieve the “Two Hundred Goals” of dam safety monitoring, which is the
100- year data of 100 dams, it is required that the dam safety monitoring systems of each
hydropower stations can achieve data sharing. However, due to the different monitoring
system architectures designed and constructed by different design institutes for different
54 B. Jiang et al.

dam projects, there are problems such as non- universality of basic databases and dif-
ficulties in converting various platform interfaces, which has become a major obstacle
to the unified development of safety monitoring platforms. The dam safety monitoring
and analysis system of China Three Gorges Construction provides a solution for unified
construction. The monitoring system follows the three unified construction principles
of “unification of data base, unification of technical routes, and unification of platform
portals”, and includes four large hydropower stations of different types, boundary condi-
tions, and scales in the upper reaches of the Jinsha River basin into the management scope
at the same time, achieving the sharing of monitoring information resources related to
each power station.
It can be seen that the overall development trend of China’s hydropower stations
or dam safety monitoring system is shown in Fig. 1: the upgrading and innovation of
monitoring equipment and technology have made it possible to integrate monitoring
information platforms, and technologies such as digital twins have empowered monitor-
ing systems to transform from automation to digitization, then the integration and digi-
tization of monitoring information also promote the unified development of monitoring
information platforms, and are moving towards intelligence.

Fig. 1. Overall development of dam safety monitoring system for hydroelectric power stations in
China

3 Technical Outlook
The current level of digital transformation of dam safety monitoring systems still falls
short of achieving the “Four Predictions” functions required by the Ministry of Water
Resources for forecasting, early warning, rehearsal, and contingency plans [9]. The
application of artificial intelligence may become an effective way to improve the “Four
Predictions” capabilities of dam safety monitoring systems. It is recommended to deeply
integrate dam safety monitoring systems with artificial intelligence in the future.
The fusion application of artificial intelligence can be promoted from the following
two aspects. ➀ Promote the collaboration between generative artificial intelligence and
model platform applications in twin platforms. Firstly, it is necessary to utilize tech-
nologies such as deep learning, transfer learning, and machine learning of generative
 Current Status and Prospects of Dam Safety Monitoring Technology 55

artificial intelligence to construct a non-linear relationship function for multiple dam

monitoring quantities and environmental factors through in-deep analysis of monitoring
data, and form an intelligent matching platform that can discover regular features of
monitoring data, automatically recognize functions, and match algorithms. Then, the
model program is automatically written using the algorithm recognized by the intelli-
gent matching platform, and boundary conditions are automatically processed through
data filtering and analysis. Finally, the model is intelligently generated in the model plat-
form application of the twin platform to improve modeling accuracy and practicality and
reduce manual workload. Taking the Jinping arch dam as an example, machine learning
technology was successfully used to improve models such as index and time through
support vector machine algorithm. This not only improved the accuracy and practicality
of the model, but also enhanced its prediction accuracy [10]. ➁ Accelerate the integration
of large-scale language models and knowledge platform applications in twin platforms.
Firstly, analyze the intrinsic relationship between the effective data of the data base and
the output results of the model platform. After being processed by the water conser-
vancy knowledge engine, a structured water conservancy monitoring knowledge graph
is formed in the knowledge platform [10]. At the same time, a large language model
needs to perform semantic analysis and deconstruction, internal rule cognition, and log-
ical relationship inference on each monitoring element. Then, it is combined with the
structured water conservancy monitoring knowledge graph to construct a preliminary
intelligent knowledge platform. Finally, continuously train the monitoring knowledge
of the intelligent knowledge platform at the basic and expert levels, accelerate its self-
learning process, and upgrade it to an efficient intelligent knowledge platform. When
answering complex water conservancy problems, it can greatly improve accuracy and
relevance, and provide corresponding case support and solutions.
At present, the application of artificial intelligence technology in the improvement
and combination of algorithms and models is increasing, such as: Jinping I arch dam and
Fengman hydropower station have improved the prediction model and BP neural network
algorithm through machine learning and deep learning respectively. Meanwhile, domes-
tic large language models, such as Baidu’s Wenxinyanyi, Tsinghua’s Zhipuqingyan
and Alibaba’s Tongyiqianwen are also continuously improving, but the construction
of knowledge mapping for water conservancy monitoring is still in further exploration,
and the construction of relevant wisdom platform also needs to be improved.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Hydraulic Engineering Safety Platform Under
Microservice Architecture - a Case of Shanmei
Reservoir Renovation Project

Yanyan Lin(B) and Wei Ding

Nanjing Research Institute of Hydrology and Water Conservation Automation, Ministry of

Water Resources, Nanjing, China
[email protected]

Abstract. The traditional centralized or monolithic application architecture can

no longer meet the needs of modern hydraulic engineering safety supervision,
especially when dealing with business expansion and system upgrades, it is easy
to encounter bottlenecks. This paper designs a hydraulic engineering safety super-
vision platform based on microservice architecture. Firstly, the service partitioning
was carried out by researching microservice partitioning methods and integrating
them with the specific characteristics followed by a detailed introduction of the
platform’s implementation process. By applying microservice selection in Shan-
mei renovation project, it has been verified that the platform can significantly
improve the efficiency and accuracy of safety monitoring, and provide flexible
and scalable solutions for other hydraulic projects.

Keywords: Microservices · Reservoir Safety Monitoring · Hydraulic

engineering

1 Introduction
The hydraulic engineering safety supervision platform is responsible for collecting and
analyzing operational data of hydraulic projects, ensuring the safe and stable operation
of hydraulic facilities, and preventing and reducing disaster risks. With the expansion of
hydraulic engineering scale and the improvement of regulatory requirements, traditional
centralized or individual application architectures no longer able to meet the needs of
modern Hydraulic engineering safety supervision. In this context, microservices archi-
tecture has emerged, which can provide more flexible system design, support fast itera-
tion and continuous integration, and help improve system stability and maintainability.
This article aims to design a highly reusable hydraulic engineering safety supervision
platform based on microservices architecture, apply the platform to the Shanmei reser-
voir renovation project, and explain how to select and re-develop microservices based
on this platform.
The safety monitoring system of Shanmei includes deformation monitoring, seepage
monitoring, and environmental quantity monitoring. As a typical case of hydraulic engi-
neering, Shanmei has certain representativeness and research value. Firstly, it has a large

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 57–69, 2025.
https://doi.org/10.1007/978-981-97-9184-2_7
58 Y. Lin and W. Ding

scale and involves diverse regulatory content and technical challenges, making it suit-
able as a research object for microservice architecture applications. Secondly, the climate
and hydrological conditions in the area where Shanmei reservoir is located are complex,
which puts higher requirements on the safety supervision of hydraulic projects, prompt-
ing us to explore more efficient and reliable regulatory methods. Through the case study
of Shanmei reservoir, it can provide experience and reference for other similar hydraulic
projects, and promote the widespread application of microservice architecture in the
field of hydraulic engineering safety supervision.

2 Platform Design and Implementation

2.1 Microservice Division Theory

The microservice partitioning theory refers to the method and principles of dividing
microservices into independent services. By following these principles and methods
[1, 2], microservice systems can have higher maintainability, scalability, availability,
and fault tolerance, thereby better meeting business needs. The following table shows
common principles for microservice partitioning (Table 1).

2.2 Platform Microservice Division

According to the requirements of hydraulic engineering safety supervision and combined

with the theory of microservice division, the platform can be divided into gateway ser-
vice, data collection service, basic information service, hydrological monitoring service,
safety monitoring service, analysis service, video service, operation and maintenance
service, and system permission service. These microservices together constitute the core
service system of the hydraulic engineering safety supervision platform. Each microser-
vice has different functions and roles, covering all aspects of the hydraulic engineering
safety supervision platform from data collection, processing, analysis, as well as user
permission control. Microservices collaborate with each other to jointly complete the
supervision and management of hydraulic projects, improving the platform’s scalability,
maintainability, and reusability.
Gateway service: gateway service is the entrance to the hydraulic engineering safety
supervision platform, responsible for receiving and forwarding all external requests, as
well as routing and load balancing. It can also provide basic functions such as security
authentication, authorization, flow limiting, and logging.
Data collection service: The data collection service is responsible for collecting and
summarizing various data from the hydraulic engineering safety supervision platform,
including hydrological monitoring data, safety monitoring data, video image data, etc.
It can save this data to databases or send it to other microservices for further processing.
Basic information service: this service is responsible for managing the basic informa-
tion of hydraulic projects, such as basic attributes, location, status, and other information
of various facilities such as reservoirs, gates, pumping stations, and hydrological stations.
Provide basic information management functions such as querying, adding, deleting, and
modifying.
 Hydraulic Engineering Safety Platform Under Microservice 59

Table 1 Principles of microservice division

Principle Name Explain

Single responsibility Each microservice should have a single responsibility
and function, and should not assume too much
responsibility. This helps improve the maintainability
and testability of services, and reduces the coupling
between services
High cohesion and low coupling Each microservice should have a high degree of cohesion
internally, meaning that the various functional modules
within the service should be highly correlated, while the
services should have low coupling, meaning that the
dependency relationships between services should be as
simple and loose as possible
Domain driven design Divide microservices by business domain, so that the
responsibilities and functions of each microservice
match each other and are consistent with the actual needs
of the business domain
Scalability Microservices should have good scalability, which
means they can be quickly expanded and reduced
according to business needs without affecting the
performance and stability of the entire system
High availability and fault tolerance Microservices should have high availability and fault
tolerance, that is, when a single service fails or goes
down, it will not affect the operation and stability of the
entire system

Hydrological monitoring service: the monitoring service is responsible for collecting,

processing, and analyzing hydrological monitoring data, including indicators such as
water level, flow rate, and water quality. Implement real-time monitoring, historical data
queries, abnormal data alarms, and other functions.
Security monitoring service: security monitoring service is responsible for collecting,
processing, and analyzing safety monitoring data of hydraulic engineering, including
structural deformation, seepage pressure, vibration and other indicators. Implement real-
time monitoring, historical data queries, abnormal data alarms, and other functions.
Analysis service: Analysis service is responsible for analyzing and warning hydro-
logical monitoring and safety monitoring data, timely discovering potential prob-
lems in Hydraulic projects, and providing corresponding handling suggestions. They
automatically trigger relevant emergency plans based on different warning levels.
Video service: The video service is responsible for collecting, processing, and ana-
lyzing video, including real-time images captured by cameras, recordings, and photos.
Implement real-time monitoring, historical data queries, abnormal data alarms, and other
functions.
60 Y. Lin and W. Ding

Operation and maintenance service: operation and maintenance service can achieve
the operation and maintenance of hydraulic projects, including equipment mainte-
nance and inspection management. Provide functions such as equipment management,
maintenance records, inspection plans, and maintenance reports.
System permission service: this service isresponsible for managing user permissions
and roles, including user management, menu management, role assignment, permission
verification, and other functions.

2.3 Service Registration and Service Discovery

The platform utilizes Nacos to achieve service registration and unified configuration
management. When service calls are made, each microservice will automatically pull
the service list on Nacos. Simply add the @FeignClient annotation on the interface class
to implement the definition of the Feign interface, which exposes the public methods of
a single service to form a universal interface that can be called by other services. The
Feign interface of the platform is mainly divided into two categories:
Business microservice interfaces: some common methods in the interfaces of each
business service that can be exposed for other services to call. By defining business inter-
face classes, the interface of a single service is exposed.The platform adopts the form of
one microservice corresponding to one interface class,as shown in Fig. 1, IWaterService
interface classes for hydrological monitoring microservices, exposing site’s time period
monitoring data, time period daily data, and other general service interfaces.

Fig. 1 Code snippet for hydrological monitoring microservice interface

Third party service interface: as shown in Fig. 2, this type of interface needs to be
called after unified authentication. Such as meteorological warning interfaces accessed
through third-party meteorological platforms.
 Hydraulic Engineering Safety Platform Under Microservice 61

Fig. 2 Code snippet for meteorological warning service interface

2.4 Service Gateway Implementation

The platform can use the relevant functions provided by the gateway components. This
platform mainly uses the following three functions:
(1) API authentication and token renewal: the process of platform authentication and
token renewal is shown in Fig. 3, the login interface is in whitelist interface, and the
platform directly forwards it to the system permission microservice. The result is
returned to the user. At the same time, token and other permission information are
stored in Redis, and the token validity period is set. Except for the whitelist, all user
requests must carry a token. After passing through the gateway filter, the request
retrieves permission information from Redis through the token. At the same time,
the token time is extended for interfaces with successful authentication.

Fig. 3 Gateway authentication and token renewal business

(2) Service forwarding: the platform use spring cloud gateway routes attribute to config-
ure routing rules. Each routing rule consists of attributes such as is, uri, and optional
predictions, filters, etc. The is is the unique identifier of the routing rule, and the uri
specifies the address of the target service.
(3) Permission parameter injection:the code segment of permission parameter injection
is shown in Fig. 4. Implement Gateway filter interface to intercept service interfaces
that require parameter injection, automatically parse tokens, and obtain user permis-
sion information from Redis. Through this method, permission parameters can be
automatically injected into service interfaces.
62 Y. Lin and W. Ding

Fig. 4 Gateway parameter injection key code snippet

2.5 Business Microservice Development

A single microservice is developed using Springboot, utilizing the databaseId attribute
of the persistence layer framework mybatis to implement a platform’s support for multi
vendor databases. Based on ShardingSphere, multiple data partitioning strategies are
implemented according to project requirements to meet the efficiency of querying large
amounts of data. In terms of interface development, fully utilize reflection, database table
storage of JSON fields, universal SQL statements, and other methods to implement a
universal service interface.

2.6 Platform Automation Deployment

The operation of hydraulic engineering software often accompanies changes in require-
ments during the implementation of the project. In order to quickly respond to require-
ments, the platform adopts a continuous integration and delivery approach to achieve
automated software construction and deployment. Combining technologies such as ver-
sion control tools (SVN/GIT), project building tools (such as Jenkins), and deployment
tools (such as Docker) to automate the process of building, testing, and deploying soft-
ware. Automated deployment has improved deployment efficiency and saved labor costs,
providing strong support for project implementation.

3 Requirements Analysis for Shanmei Renovation Project

3.1 Project Overview
Shanmei reservoir is located in the middle reaches of Dongxi, a tributary of Jinjiang River
in Nan’an County, Fujian Province. It is approximately 50 km south of Quanzhou City
and 41 km south of Nan’an County. It is a hydraulic hub project that comprehensively
 Hydraulic Engineering Safety Platform Under Microservice 63

utilizes irrigation, flood control, water supply, power generation, ecological regulation,
and aquaculture. The total storage capacity of the reservoir is 655 million cubic meters,
with a drainage area of 1023km2 above the dam site. The reservoir is mainly composed
of the main dam, auxiliary dam, spillway, diversion tunnel, underground power plant,
and power station behind the dam. The project scale is large type II reservoir, and the
engineering grade is Class II.
The safety monitoring system software for Shanmei consists of data acquisition
software,data integration, analysis software. The acquisition unit has been running for
nearly 17 years. Due to the technical conditions at that time, this model of product had
low excitation voltage, long single point measurement time, few signal output methods
and acquisition signal types, and lacked a universal interface, resulting in limited func-
tionality, poor lightning protection and anti-interference capabilities, and can no longer
meet the needs of the current development of smart hydraulic. According to regulatory
requirements, the maximum service life of the reading instrument or data automatic
collection equipment is 9–12 years. Currently, the collection unit has far exceeded its
service life and needs to be updated and renovated.
The interface of the operation function of the data integration software is aging,
and the software functions cannot meet the needs of reservoir information construction.
Due to the large amount of automated monitoring data and the heavy workload of
manual export, data input errors are prone to occur, which affects the reliability of
the automated monitoring system and has poor compatibility with other application
systems; The analysis of monitoring data is relatively simple, and there is an urgent need
for upgrading and replacement.
In summary, the main modules of the Shanmei renovation project include:
Data migration: moving old database data and other related safety monitoring data
to new data, and push monitoring results to the national large-scale reservoir dam safety
monitoring and supervision platform.
Compilation and analysis: there is an automatic generation of charts related to
dam safety analysis, such as process lines, correlations, infiltration lines, monthly
reports, annual reports, annual data compilation framework, etc.; Functions such as seep-
age analysis, deformation analysis, on-site inspection information, and comprehensive
analysis.
Information management: include data warehousing, monitoring data management,
engineering information management, instrument measurement point management, and
monitoring information.

3.2 Data Collection and Reporting

The safety monitoring points and data sources for the Shanmei project are shown in
Table 2: deformation observation includes 25 surface deformation manual observation
points, 13 GNSS measurement points, and 2 opening and closing degree measurement
points. Among them, 25 surface deformation observations include vertical displacement
observation and horizontal displacement observation. Seven rows are arranged along the
dam axis to monitor the vertical and horizontal displacement changes of the dam. The
Beidou automatic monitoring system was put into operation in August 2018, with a total
of 15 GNSS stations built. The system is based on GNSS navigation satellite positioning
64 Y. Lin and W. Ding

technology and can monitor the displacement and settlement of the dam in real time.
In addition, to monitor cracks in the wave wall, 11 crack gauges were installed at the
crack location of the dam crest wave wall. The crack monitoring instrument for the wave
wall is currently damaged and unable to measure normally. It is necessary to add one
crack gauge for automatic monitoring on each of the two vertical upward and down-
ward through joints on the right bank. The seepage monitoring adopts a combination
of manual monitoring and automated monitoring. Manual monitoring mainly involves
pressure tube observation every two weeks, while automated monitoring involves bury-
ing pore water pressure gauges in the dam, and the system measures all monitoring
points once a day during the set time period. The two measurement methods have the
characteristics of mutual verification of monitoring data, simultaneous analysis of moni-
toring results, and thorough and complete safety evaluation. The environmental quantity
includes four measuring points: upstream and downstream water level, air pressure, and
rainfall. The monitoring data of upstream water level and rainfall are collected from the
old hydrological system, and the downstream water level and air pressure gauges need
to be replaced.

Table 2 Data sources for the Shanmei Reservoir

Monitoring Observation Replace /New Instrument Points data sources

items method type number
deformation artificial 25 historical
database
automation new GNSS 13
automation new seam gauge 2
seepage automation replace pressure 26 security
measuring monitoring
automation replace pressure 28 history
measuring library+
new
automation replace pressure 1 collection
measuring
environment automation upstream 1 historical
water database
automation rain gauge 1
automation replace barometer 1 history
automation replace downstream 1 library+
water new
collection
 Hydraulic Engineering Safety Platform Under Microservice 65

3.3 Monitoring Data Continuity Assurance

In this project, the existing data collection system will be abolished and new moni-
toring equipment will be introduced to build a brand new data collection system. The
new system will seamlessly integrate historical monitoring data accumulated from old
instruments, ensuring data integrity and traceability. To achieve this goal, we will take a
series of professional measures.
Firstly, it is necessary to compare the measurement range, accuracy, resolution, and
other factors of the new and old equipment to determine their corresponding relation-
ships. Then, based on these relationships, convert the monitoring data of the old equip-
ment into the format of the new equipment and perform necessary calibration to ensure
data comparability.
Before dismantling old instruments, thoroughly backup their data to ensure the safety
and integrity of historical monitoring data. Secondly, the selection of new devices will
fully consider compatibility with old devices, in order to achieve smooth data connection
during the process of switching between new and old systems. In addition, we will
establish a dedicated data migration process to ensure that the new system can accurately
and efficiently import monitoring data from the old system.
After the completion of the new system construction, we will strictly calibrate and
test the new equipment to ensure the accuracy and reliability of its monitoring data. At
the same time, based on the characteristics and functions of the new system, we will
organize relevant personnel to receive professional training to improve their operational
skills and maintenance level.

4 Shanmei Reservoir Renovation System

4.1 Microservice Selection

In the practice of implementing platform level microservice architecture, selecting and

integrating microservice modules is a crucial step. This process requires a deep under-
standing of the specific requirements of the project, in order to select the most suitable
service for the current project from the numerous available microservices. This is not
just a simple selection process, but also a comprehensive consideration of various factors
such as service functionality, performance, stability, and compatibility with existing sys-
tems. Based on the main module requirements of the Shanmei project, we have selected
and customized the microservice architecture of the hydraulic engineering safety super-
vision platform to meet the specific needs of the project and improve the level of safety
monitoring.
As shown in the table, the following choices can be made based on the microservice
architecture of the hydraulic engineering safety supervision platform:
The data migration push module selects the data collection microservice, which
is responsible for data collection and integration. It can be directly used to migrate
old database data to customized development needs of new databases. However, due
to the need to push data to the national large-scale reservoir dam safety monitoring
and supervision platform, the functions of the data collection microservice need to be
66 Y. Lin and W. Ding

expanded, and data exchange and synchronization mechanisms with external platforms
need to be added.
The integration analysis module selects the analysis and warning microservice, which
is responsible for data analysis and warning. It already includes the function of generating
various charts and can be directly used to generate analysis charts such as process lines,
correlation lines, and infiltration lines. In addition, it may be necessary to customize
the generation of specific types of reports (such as monthly reports, annual reports) and
reorganization frameworks based on the specific needs of Shanmei.
The information management module selects basic information microservices and
information management microservices, which provide basic functions such as data
maintenance, monitoring data management, and engineering information management,
meeting the requirements of the information management module (Table 3).

Table 3 Microservice selection

Module Name Microservice selection Customized development

Data migration push module Data Collection It is necessary to push the data
Microservices to the national large-scale
reservoir dam safety monitoring
and supervision platform, and
increase the data exchange and
synchronization mechanism
with external platforms
Reorganization and analysis Analysis and early warning It may be necessary to
module microservices customize the generation of
specific formats and types of
reports based on the specific
needs of Shanmei Reservoir
Information management Basic information
module microservices, Information
Management microservices

4.2 Visual Display

The system updates the monitoring data overview and sensor equipment status of Shan-
mei in real time, and uses multiple charts to visually display the seepage, deformation,
environmental quantity and other data of Shanmei Reservoir in combination with the
monitoring data, analyzing their changing trends. Use contour lines to display real-time
collection of key monitoring data such as potential, seepage pressure, temperature, etc.,
and convert them into raster data format. Subsequently, the contour line algorithm is
used to process these data and generate corresponding contour line layers. The appli-
cation of potential contour lines on the platform can visually display the distribution
of gravity potential energy in the reservoir and its surrounding areas, as shown in the
 Hydraulic Engineering Safety Platform Under Microservice 67

following figure. These lines reflect the continuous changes in terrain height and provide
an intuitive view for the assessment of reservoir storage capacity and downstream water
flow impact. The generation of seepage pressure contour lines reveals the distribution of
seepage pressure in the internal and surrounding soil of the dam structure, which helps
to identify potential seepage channels and evaluate the impact of seepage on the stability
of the dam (Fig. 5).

Fig. 5 Isogram function

When monitoring the artificial displacement measurement points of Shanmei, a com-

prehensive analysis method is adopted to accurately determine the dynamic change trend
of the displacement measurement points by drawing a process line graph and integrating
deformation analysis and trend analysis techniques. The process line graph is the curve of
displacement over time, which can intuitively reflect the historical behavior and current
situation of displacement at measurement points. Deformation analysis focuses on inter-
preting the spatial distribution characteristics of displacement data, while trend analysis
focuses on identifying the time series characteristics of displacement data and predict-
ing possible future displacement trends. By combining these two analytical methods, the
stability of artificial displacement measurement points in reservoirs can be scientifically
evaluated, providing decision-making support for reservoir safety management (Fig. 6).
68 Y. Lin and W. Ding

Fig. 6 Trend analysis

5 Conclusion
This article designs a highly reusable microservice architecture for hydraulic engineering
safety supervision platform and applies it to the Shanmei renovation project, demon-
strating how to select and apply microservices based on specific needs. Through this
architecture, not only can the efficiency and accuracy of safety monitoring be improved,
but also flexible and scalable solutions can be provided for similar hydraulic projects.
Looking ahead to the future, the field of hydraulic engineering safety supervision will
develop towards intelligence, automation, and integration. Artificial intelligence, Inter-
net of Things, cloud computing and edge computing, as well as cross sectoral and cross
domain data sharing and collaboration will become important trends in future devel-
opment. The integration and application of these technologies will further improve the
efficiency and accuracy of hydraulic engineering safety supervision, and jointly address
potential safety challenges.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
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 Exploring the Digital Twin System in Slope
Engineering

Wu Shu-yu1(B) , Zhan Zheng-Gang1 , Zhu Huan-Chun2 , Hu Yong-Fu3 , Li Peng-Fei1 ,

and Deng Yong-Jun3
1 PowerChina Guiyang Engineering Corporation Limited(修改部位), Guiyang 550081, China
[email protected]
2 CAN-CN Geo-Digitization Technology Company Limited, Wuhan 430223, China
3 Lancang River Clean Energy Safe Green Intelligent Construction Technology Innovation

Center, Tibet Autonomous Region, Chengdu 854525, China

Abstract. Failure to meet specific standards for slope stability conditions may
result in the potential collapse of the slope, either partially or completely. The
article focuses on slope engineering and examines the structure and components
of a comprehensive digital twin system. It also explores the digital technologies
used in this system and assesses its unique features and innovative applications
in slope construction. The architecture of the digital twin system for rock slopes
must cater to the requirements of multiple professionals, comprehensive process
coverage, and data-centricity. It should ensure the separation of software and per-
sonnel, with key technologies such as 3D geological modeling and rapid updates,
GIM+BIM coupling modeling, and challenging techniques like cutting and seal-
ing. Independent innovation is crucial to address these key technologies. During
the slope construction period, the digital twin system of rock slope is utilized to
intelligently screen unstable blocks. This innovative approach has been success-
fully implemented and verified in numerous large-scale rock mass projects, with
favorable implementation conditions.

Keywords: slope engineering · Digital twin · GIM+BIM coupling · Digital

hydropower

1 Introduction
Over the past two decades, certain sectors within China’s infrastructure construction
industry have made significant progress in achieving 3D digital delivery of specialized
outcomes. The most notable advancements have been made in the development of BIM
models for building structures, which serve as prime examples of this technological
innovation [1–4]. Additionally, survey professionals have also made strides in creating
3D geological GIM models [5–7] of survey professionals. Its common feature is that
the professional objects with special professional characteristics in the project are often
completed by the corresponding professionals (such as structural design) using pro-
fessional software (such as various types of BIM software), which rarely involves the
cross-professional collaboration required in the actual workflow, and does not involve
process management.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 70–87, 2025.
https://doi.org/10.1007/978-981-97-9184-2_8
 Exploring the Digital Twin System in Slope Engineering 71

The practice of slope engineering, exemplified by the artificial slope, is a specialized

structure that is created by transforming natural geological formations. It is a complex
entity that combines geological elements with structural components. The digitaliza-
tion of slope engineering relies on the integration and application of geological GIM
and structural BIM technology, which is different from the previous characteristics of
the division of labor by profession and single type of technology. Based on GIM and
BIM technology, Zhong Heng et al. [8] integrated the geological and supporting struc-
ture model of Tuozi landslide in the Three Gorges Reservoir Area Teachers College.
They then conducted a thorough safety evaluation using three-dimensional finite ele-
ment analysis. By the integration of GIS+BIM, Chen Kelen et al. [9] gave full play to
their respective strengths and carried out 3D visual design for wind power projects. Li
Dechao et al. [10] discussed the future development direction of the integration of BIM
and GIS in the field of 3D modeling by analyzing the differences between the data and
applications in the two fields. T. Prak et al. [11] developed a system based on BIM+GIS to
estimate the construction cost, land acquisition cost and operation and maintenance cost
respectively in the feasibility stage of road construction. Amirebrahimi [12] presented a
comprehensive framework that utilizes BIM-GIS to construct a detailed building model
for damage assessment and conduct visual simulations of the flood process.
The digital twin system of slope engineering is a software system that focuses on
the process of slope survey, design, and construction. It establishes a “mirror” rela-
tionship and enables data sharing and collaboration among multiple professionals. The
construction of this system not only needs to realize the digitalization of all subdivision
professional work of slope engineering, but also needs to integrate all these professional
data and even methods into one system. Xu Hang [13] developed a the slope information
management subsystem that enables intelligent slope management. This system utilizes
a BIM engine and 3DGIS engine to create a digital twin model of the slope and facil-
itate the management of slope information. Fan Qixiang et al. [14] took the cascade
hydropower project in the river basin as the main object, recorded and digitally recon-
structed the whole elements of the river basin, and built the cascade hydropower project
management system based on the digital watershed.
The digital twin system of slope engineering is achieved throughthe integration
of “new infrastructure+business digital technology”. The new infrastructure primarily
includes the Internet, cloud, and other widely used digital technologies. Business digital
technology is an essential tool used by professionals in various fields to collect, analyze,
and apply data. One of its key components is computer graphics technology, which is
relied upon by engineers in tasks such as investigation, design, and calculation. This
technology enables engineers to visualize the entire process of slope engineering in
three dimensions. Beihang research team from the physical entity, virtual entity, service,
twin data and connection and other five levels elaborated the digital twin model structure
and application criteria [15, 16]. In a study by Zheng Weihao [17] a modeling scheme
was proposed using the digital twin and a sign coding scheme based on the highway
traffic facility model. Similarly, Fan Huabing [18] utilized digital twin technology to
efficiently plan and design Leishenshan Hospital, ensuring its rapid construction and
safe utilization.
72 W. Shu-yu et al.

This paper focuses on the study of a multi-professional integrated digital twin system
for rock slopes. It examines the composition and architecture of the system, along with
the key digital technologies involved [19–21]. The characteristics of the slope engineer-
ing digital twin system and its innovative use during the slope construction period are
analyzed and evaluated, based on previous professional digital technology research and
application results.

2 System Composition and Implementation Approach

2.1 Requirements and Objectives

The actual slope can either be a standalone project or a separate component within a
larger project. Therefore, the digitalization of slope engineering is the epitome of the
digitalization of the industry in the field of infrastructure construction. The construction
results not only fully embody the improved professional working methods related to slope
engineering, but more importantly, the application process showcases the characteristics
of the digital industry and digital economy: For example, there are significant changes
being made to the job division, profit model, and other market characteristics. In general,
the digital twin system of slope engineering needs to meet the following characteristics
and requirements:
1) Considering the engineering application from a multi-specialty perspective to ensure
comprehensive process coverage: Multi-specialty refers to the comprehensive pro-
cess of slope engineering design, which encompasses investigation, design (includ-
ing calculation), construction and monitoring and early warning. The entire process
encompasses the initial stage of the project, the construction and operation period,
which is interdependent on various specialties. The initial phase focuses on research
and design, while the construction and monitoring experts primarily support the
construction and operation phase.
2) From a digital technology standpoint, data is the focal point and is distinct from
software and personnel. The engineering application process highlights the impor-
tance of mining data value as the core, and plays a crucial role in driving the digital
transformation of theindustry.

2.2 System Composition

The digital twin system framework of rock slope, depicted in Fig. 1, has been developed
using advanced “new infrastructure+computer graphics” technology. It is a compre-
hensive solution that addresses the challenges faced by the industry, utilizing multiple
software components. The system design takes data as the center, and realizes multi-
level project and technical management based on professional data according to the
smooth flow of various professional data within and between professional workflows
and between various stages of engineering construction.
The data center is composed of professional database and public database. The
database organizes the various types of data related to slope engineering, such as sur-
veys, designs, construction, monitoring, and early warning. This data is divided into
 Exploring the Digital Twin System in Slope Engineering 73

basic data and achievement data, allowing for the integration and application of multiple
professional data. The public database realizes the management of professional docu-
ments, general documents, engineering and terminology, personnel and authority and
other public data.
The system’s front-end utilizes WEB technology to achieve data browsing and visual
display. It integrates multi-professional data, enhances application and data mining
capabilities, and enables digital management.

Fig. 1. Composition of slope engineering digital twin system

2.3 Implementation Approach

The digital twin system of slope engineering is built using multiple professional digital
subsystems that seamlessly integrate together, following a “plug and play” approach for
effective interaction. The plug and play means that each professional subsystem can not
only run independently, but also meet the needs of the whole process of the professional
work; But also through a simple way (such as API data interface) to achieve integration
and interaction between each other, to ensure the data flow between subsystems, to meet
the requirements of comprehensive applications.
Figure 2 illustrates the central link of the implementation approach, where all pro-
fessional subsystems are condensed into four links: data acquisition, data storage, data
74 W. Shu-yu et al.

processing and data application. Data collection is the process of gathering the neces-
sary data that professionals rely on for their work. This includes the outcome data from
previous projects, which is one way to foster collaboration among professionals. To this
end, the data collected by each major is divided into two categories, the basic data and
the outcome data are stored separately. This particular design approach is significant in
two ways:
1) The main task of each specialty involved in 3D modeling is to transform raw data
into final output data. This allows authorized individuals to use third-party software
to meet specific requirements, ultimately achieving the design objective of prioritiz-
ing data and reducing reliance on software and human intervention. This approach
enhances social collaboration and facilitates the optimization of work distribution.
2) Data application is a broad concept, essentially involving the process of data mining.
Efficient research, effective collaboration, meticulous quality control, and perfor-
mance management are all integral to the data mining applications. These applications
play a crucial role in expanding data utilization and driving business growth.

Fig. 2. Realization way of slope engineering digital twin system

3 Key Technologies
3.1 3D Geological Modeling and Rapid Updating Technology
When it comes to 3D geological modeling technology, it’s important to take into account
the irregularity of geological bodies, the limited amount of available data, and the cru-
cial role of professional analysis and speculation in the geological work process. 3D
geological modeling technology needs to realize the conjecture of geologists effectively
and construct a highly irregular geological body model [22–25] based on a few known
data. Among them, rapid update is the basic requirement, which not only ADAPTS to
the realistic needs of repeated speculation but also the basic requirement of updating the
preliminary model with construction and excavation information, realizing the coverage
of the whole engineering process and creating digital twin geological bodies.
 Exploring the Digital Twin System in Slope Engineering 75

Three-dimensional geological modeling is a practical use of digital technology to

analyze natural geological formations. The process involves using mathematical fitting
techniques to incorporate geological constraints. The irregularity of geological body
determines that continuous mathematical function cannot be used for fitting, and inter-
polation method based on discrete mathematics is needed. The realization process relies
on the interplay of topology, computer graphics, and relevant computer software tech-
nology. Typically, the core consists of three main aspects: modeling algorithm, grid
technology, and topological data structure.
Figure 3 presents a modeling algorithm that effectively combines constraints and
discrete smooth interpolation. Constraints and smooth fitting are two mathematical con-
cepts that are often used in technical writing. The constraints correspond to the known
information of geological objects obtained from investigation, such as the position,
occurrence and test data, and the modeling should be 100% consistent with the known
results as far as possible. Smooth fitting is a way of delineating the connections between
known points, which is equivalent to “trends” in geological work.
Figure 3 also demonstrates and describes constraints and smooth fitting using a
section line as an example. It is assumed that there are no boreholes arranged in a
certain area due to conditions, and the formation morphology of this part is inferred
by the positions revealed by the boreholes at both ends. When making predictions, the
positions revealed by the boreholes are taken into account as constraints. The goal of
the prediction method is to ensure that the trend remains reasonable (Fig. 3 left).
If a hole is arranged in the blank area later, and the revealed position of the stratum
is very different from the inferred result, then the position of the stratum revealed by the
new borehole is used as the constraint point of the original model (in Fig. 3), and the
original model is modified. Although the original borehole’s stratum position remains
unchanged, the new borehole’s position will inevitably alter the shape between the two
boreholes. The morphology after smooth fitting, as depicted on the right in Fig. 3,
adheres to the principle of “reasonable trend” in geology, rather than relying on any
predetermined formula for fitting.
The algorithm for constrained and smooth fitting is specifically designed to work with
discrete data structures. Its importance in the geological modeling process is outlined
below:
1) To realize the “forward modeling” of any complex geological body, the so-called
forward modeling only relies on the known data (survey data), does not rely on the
intermediate results (auxiliary section), let alone the copy after the known results
(inverted mold);
2) Ensure that the modeling accuracy of exploration points is 100% and that there are
reasonable trends among them;
3) Modifying the model based on updated data is crucial for using construction data to
adapt the early-stage model and meet the information requirements of the entire life
cycle of the professional engineering investigation.
Here is an example of variable grid technology, as shown in Fig. 4. The concept
of a “variable” allows for the flexibility to adjust the size and spatial position of the
value grid as needed. This is important in order to accommodate the uneven distribution
76 W. Shu-yu et al.

of exploration data and the continuous updating of modeling data throughout the engi-
neering stage. The upper left of Fig. 4 shows the ground layer grid fitted according to
the stratigraphic interface exposed by 4 boreholes; The lower left of Fig. 4 shows the
newly revealed stratigraphic interface, at which time the in-situ stratigraphic grid needs
to be adjusted to adapt to the new exploration data. Given the decrease in exploration
spacing due to the encryption of exploration work, it is possible to locally encrypt the
accuracy of the grid while making adjustments. This allows for the adjustment of the
three-dimensional shape of the grid, resulting in the updated grid as depicted in the lower
right of Fig. 4.

Fig. 3. Conceptual diagram of constraint and discrete smooth interpolation algorithm

Taking lens modeling as an example, Fig. 5 shows the integrated application of

DSI algorithm and variable grid technology to realize lens modeling and model updat-
ing. It shows the adaptability of core modeling and grid technology to the modeling
requirements of any complex geological object.

Fig. 4. Example of variable grid technology

 Exploring the Digital Twin System in Slope Engineering 77

Fig. 5. Model update is realized by using DSI algorithm and variable grid technology

Effective utilization of topological data structures is crucial for programming and

implementing core algorithms using grid technology. One of the primary focuses is accu-
rately describing and recording irregular spatial surfaces. By flexibly adjusting the shape
of the grid, it becomes possible to achieve high-precision fitting and model updating.
The typical characteristics of data structure can be summarized as two points: based on
the spatial scatter position and its attribute value (detection or test value), the connection
(topology) relationship between the points is recorded.
Figure 6 provides a visual representation of discretization and topology schemati-
cally. The geological body contour is divided into spatial points (discretization) and the
connection relationship between these points (topology) is recorded at the same time,
which determines the object contour. Specifically, these two elements are separate from
each other, meaning that one can be modified without impacting the other. Additionally,
altering one of these elements has the potential to alter the shape of the object.
Figure 6, left, shows the most basic unit of a discrete, topological data structure, a
single point. Each point describes its spatial position with (X, Y, Z) values; Each point
can carry a custom index, and is equivalent to the coordinates (X, Y, Z); Multiple points
are allowed to form an aggregate.
Have custom index values that function similarly to coordinate values. They serve as
the foundation for attribute modeling, professional analysis, and pure discrete point cloud
no connection relationship is established between points. Attribute modeling includes
tasks like geological interpretation and modeling of geophysical data, while professional
analysis involves tasks such as determining resource reserves and mechanical index
distribution. When one of the elements is changed, the shape will change. Similarly, a
spatial surface is also determined by point coordinates and connection relations, only in
this case the connecting unit is a triangular grid instead of a spatial line segment.

3.2 Coupling Technology of GIM and BIM

The adoption of BIM technology in the infrastructure construction industry in our coun-
try is heavily influenced by international information technology of manufacturing and
construction industry. For over a decade, there has been a proposal to extend the use
of BIM software, commonly used in the construction industry, to other professionals
involved in infrastructure construction, including surveyors, mappers, and project man-
agers. It is evident that there is a significant technical challenge in implementing this
78 W. Shu-yu et al.

Fig. 6. Conceptual diagram of discrete and topological data structures

approach. The current commercial platforms are unable to cater to the specific require-
ments of slope, cave, and other design work. This limitation arises from the fact that these
platforms are designed for specific types of objects, such as irregular natural geological
bodies, large-scale surfaces, and mass information, or artificial construction of regular
components. It adopts the corresponding computerized technology (computer graphics
algorithm, data structure, functional mode), which can not meet the two different types
of objects at the same time.
Rock slope engineering must address the simultaneous presence of two types of
objects: the geological body involved in excavation and the regular components for the
design of supporting structures. The only feasible way to solve the problem is “integra-
tion”: Develop a dual-engine software, wherein the dual-engine refers to the coupling
modeling [26, 27] of GIM and BIM for irregular geological bodies (GIM) and regular
components (BIM) at the same time. Figure 7 shows the modeling technology of exca-
vation slope with the coupling of regular and irregular objects. The starting line of the
excavation slope consists of a broken line segment connected by individual points and
the circular arc segment described by the mathematical formula. Each slope segment of
the excavation slope created is a regular object, but the whole can be an irregular object,
so the coupling modeling of the rule and irregular object can be realized.
One way to practically implement this is by integrating the “engine” of another plat-
form into one of the existing platforms. This involves expanding the core technology
and functionality to work seamlessly with the standard objects on the geological plat-
form, or modifying the structural platform to be compatible with the irregular geological
body. The feasibility of the former is much higher than that of the latter in terms of the
technical difficulty and the degree of risk in the implementation process. One of the
practical reasons is the “standardization” and “openness” of the structural platform, the
“non-standardization” and “privatization” of the geological platform. Combining the
underlying technology of the geological and structural platform forms a geotechnical
foundation platform, which is a practical method for expanding the underlying geolog-
ical platform. Through the core technology embedded in the structural platform (based
on the mathematical algorithm of continuous function and the technology involved in
parametric realization) to achieve compatibility of the two types of objects, to meet the
 Exploring the Digital Twin System in Slope Engineering 79

requirements of geotechnical engineering professional information work. The crucial

factor lies in the adoption of the underlying technology of the geological platform. Due
to its scarcity and exclusivity, only a handful of institutions worldwide have acquired
the necessary expertise. On the other hand, the structural platform is well-established
and offers accessible resources.

3.3 Cutting and Sealing Technique

When utilizing 3D computer technology to simulate geological phenomena like pinch-

out and fault cutting, it requires the cross-cutting of surface to surface, the situation can
be categorized into three types, as illustrated in Fig. 8:
1) Completely closed (Air-tight) means that the air-tight co-node is closed, that is, the
two intersecting surfaces are completely co-nodal on the intersection line;
2) Generally closed (Water-tight), refers to the water-tight coplanar closure, does not
guarantee that the two surfaces of the intersecting node, but ensure that the intersection
point falls on the intersection line;
3) Unable to be closed, there is an ongoing issue with an opening.
According to research on 3D technology in the manufacturing and construction
industry, the creation of fully enclosed space surfaces has significant practical appli-
cations [28]. These closed surfaces define the space unit and enable the following: 1)
Filling to create a solid model; 2) The type of geological unit can be identified auto-
matically after arbitrary cutting, and the corresponding cartographic elements like color
and pattern can be assigned. 3) It can be Converted into a three-dimensional numerical
calculation model grid.
On the contrary, if a completely closed space surface can not be effectively generated,
it is difficult to meet the above practical needs in a real sense. The 3D structure plat-
form generally adopts deterministic function to simulate the contour of the object, and
can obtain the intersection position of the face-to-surface intersection through accurate
calculation, so as to achieve the completely closed intersecting effect. The geological
interface is simulated by interpolation method, and the face-to-surface cutting is actu-
ally obtained by the intersection operation between discrete grids. Achieving complete
closure in the application process of 3D geological models has become a significant
challenge, especially for complex or artificially simplified processing. This issue has
emerged as a global concern.
When employing 3D computer technology to replicate geological phenomena like
pinch-out and fault cutting, it requires the intersection of one surface with another. When
creating a 3D geological model, the surface-surface intersection operation can be used to
ensure that the geological relationship is correct and meet the requirements of submitting
2D survey results. While implementing the 3D model in practical scenarios, like using
numerical simulation to forecast unstable rock slopes, it is necessary for the geological
surface to be completely closed after cutting to ensure accurate results.
80 W. Shu-yu et al.

Fig. 7. Modeling technology of excavation slope with coupling of regular and irregular objects

Fig. 8. Closed situation after intersection of space surface (complete closure, general closure)

4 Intelligent Screening of Unstable Blocks

The results of the early stage contained in the slope engineering digital twin system
can enable groundbreaking engineering applications by utilizing continuously updated
data throughout the construction period. Two notable aspects include the intelligent
screening of common rock slope mass failure disaster risk and the implementation of
hidden engineering quality control [29–31]. This section solely focuses on introducing
the former topic.

4.1 Principle and Process

The concept of achieving “intelligent screening of unstable blocks” in rock slope
construction is derived from the impact of digital technology in two key areas: the
 Exploring the Digital Twin System in Slope Engineering 81

transformation of randomness into certainty, and the enhancement of technological

efficiency:
(1) Random variable certainty means that every structural plane collected from the exca-
vation face is taken as the input data for the analysis of surrounding rock deformation
and block stability, to solve the uncertainty problem caused by the “speculation”
caused by the sparse exploration results in the early stage. In simple terms, each
joint included in the analysis is no longer based on guesswork. Instead, its location
and occurrence are precisely determined, transforming it from a random element to
a definite one.
(2) Using modern digital technology can greatly improve efficiency in data collection,
transmission, processing, and management. This reduces the time it takes to complete
the analysis and judgment process. With this technology, prediction results can be
obtained within a few hours after recording geological data from excavation and
allows for rapid response in field production.
Figure 9 illustrates the principle and process of intelligently screening unstable blocks
of rock slope. This process can be divided into three main aspects: 1) Using new infras-
tructure technology to quickly complete geological data acquisition and transmission
of excavation face; 2) Storage and sharing of field data by using cloud data warehouse;
3) Using the deterministic joints revealed by the excavation face to replace the random
joints speculated and calculated in the previous exploration, updating the geological
model of the structural plane and cutting to generate a deterministic block calculation
model, to carry out block stability analysis and quickly identify the potentially unstable
blocks in the surrounding rock along the excavation face.

Fig. 9. Principle and flow chart of intelligent screening of unstable blocks in rock slope
82 W. Shu-yu et al.

The implementation process relies on the 3D digital results of the survey in the
initial stage of the project. It continuously enhances and adds to the 3D geological
model by utilizing geological catalog data throughout the construction period, ensuring
the preservation of the survey data. It is the specific application of digital twin technology
in the survey major in the early stage of the project and the construction period, that is,
the above process is based on digital twin technology.
Additionally, the potential for deformation of the surrounding rock and instability
of the blocks is strongly influenced by the shape of the slope. Therefore, it is necessary
to combine the geological and slope structure models in a three-dimensional format.
This integration should be further connected with CAE technology, and it often requires
the interaction of multiple professionals and the comprehensive analysis of construction
and monitoring results. Ultimately, this approach is based on the utilization of 3D digital
investigation findings. All these professional objects and information together constitute
the “digital twin of rock slope”, therefore, the most fundamental principle of geological
risk control can be summarized as “the application of digital twin technology in the
construction process of rock slope engineering”.

4.2 Key Technologies and Application Cases

As shown in Fig. 9, the key technologies involved in the intelligent screening process
of rock slope unstable blocks encompasses three main aspects: The theory and method
of analyzing block stability, converting geological models into 3D calculation models,
and integrating digital results from multiple professionals and visualizing the data.
Among them, the technical reliability of the intelligent screening results depends on
the reliability of the block stability analysis results. Up to this point, various technical
methods have been extensively utilized in engineering practice, particularly in the initial
design demonstration. These methods, such as the efficient key block theory and the
discontinuous discrete element method, have reached a high level of maturity. Figure 10
shows the application of block stability analysis based on field recorded data in an engi-
neering test hall (Fig. 10a) and an underground building of a pumped storage power
station (Fig. 10b). Both engineering examples successfully anticipated and addressed
unstable blocks ahead of time, ensuring safe excavation by effectively mitigating geo-
logical hazards. Our top priority is to guarantee the project’s safety and efficiency, while
also minimizing construction time and costs.
The promotion and application process during the construction period of rock slope
relies heavily on the latest advancements in transforming geological 3D models. The
following has significantly reduced the time required to create and update calculation
models. As a result, evaluation and prediction can now be completed within a few hours
after geological recording. Which allows for better application to construction safety
management and enables intelligent screening of unstable blocks during the construction
period. Figure 11 shows the mature application of geological model rapid transformation
of 3D calculation model technology in a large hydropower project, representing the latest
technical achievements.
Furthermore, the detection of slope instability blocks is dependent on the 3D digital
findings from the initial phase of the project. Throughout the construction period, the
 Exploring the Digital Twin System in Slope Engineering 83

Fig. 10. (a) Example of block stability analysis based on field catalogued data -- a project. (b)
Example of block stability analysis based on field catalogued data -- underground powerhouse of
a pumped storage power station

geological catalog data is consistently utilized to enhance and expand upon the 3D geo-
logical model, ensuring the preservation of survey data. It is the specific application of
digital twin technology in the investigation major in the early stage of the project and
the construction period, that is, the above process is based on digital twin technology.
We must address the crucial aspects of integrating multi-professional digital results and
visualizing data. Figure 12 shows the multi-professional integration and data visualiza-
tion technology realized in the construction of digital twin system and its engineering
application verification in a large hydropower station. Currently, the successful integra-
tion and visualization of various digital advancements in fields like geology, structure,
monitoring, and calculation have established a strong groundwork for the development
of a digital twin system for rock slopes.
Overall, the technologies used for intelligent screening of unstable blocks in the
digital twin system have been well accumulated, and have been extensively developed
and successfully implemented in numerous large-scale rock mass projects. As a result, it
is both practical and achievable. Objectively, the intelligent screening of unstable blocks
based on digital twin system of rock slope has a good condition for implementation.
84 W. Shu-yu et al.

Fig. 11. Key technologies and engineering application verification of geological model to 3D
calculation model

Fig. 12. Verification of key technologies and engineering applications of multi-specialty integra-
tion and data visualization

5 Conclusion

Drawing from extensive research and practical application in the field of digital technol-
ogy, this paper focuses on rock slopes. It examines the structure and components of a
comprehensive digital twin system that integrates multiple professions. Additionally, it
analyzes and assesses the unique features of the digital twin system for slope engineering
and its innovative application during the construction phase. The following conclusions
have been obtained:
 Exploring the Digital Twin System in Slope Engineering 85

(1) The architecture of the digital twin system of rock slope needs to meet the require-
ments of multi-specialty, full process coverage, data center, and separation from
software and personnel. The system consists of several professional digital subsys-
tems that follow a “plug and play” approach. These professional subsystems are
categorized into four links: Acquiring, storing, processing, and applying data.
(2) The digital twin system of rock slope incorporates several advanced technologies,
such as 3D geological modeling and rapid updates, GIM+BIM coupling modeling,
and cutting and sealing. These technologies are considered challenging and require
independent innovation to be effectively solved.
(3) During the slope construction period, the digital twin system of rock slope is uti-
lized to intelligently screen unstable blocks, showcasing an innovative approach. At
present, the key technologies involved have been well accumulated, and have been
fully applied and verified in a number of large-scale rock mass projects, and have
good implementation conditions.

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 Exploring the Digital Twin System in Slope Engineering 87

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 Study on the Impact of Flood Season Operating
Water Level on Flood Control of the Three
Gorges Reservoir

Yan-wei Zhai(B) , Ding-guo Jiang, Guo-liang Ji, and Zhen-yu Lv

China Three Gorges Corporation, Wuhan 430010, PR China

[email protected]

Abstract. Climate change has resulted in an increase in extreme weather events,

with a sharp rise in droughts and floods. To establish a long-term mechanism for
ensuring the safe operation of the Three Gorges Project, it is imperative to utilize
hydrodynamic methods to analyze the water level operation mode during the
flood season. This is crucial to enhancing the flood control safety and maximizing
the overall benefits of this project. Therefore, this study obtained four different
frequency design flood processes for each year by utilizing data from typical
years. And the influence of different starting water level and discharge flows on
the high water level and excess flood volume of flood regulation were revealed
under the existing scheduling protocols and a one-dimensional hydrodynamic
model. The results indicated that the water level operation modes of floods from
different typical years were significantly different under the same scheduling rules,
and when faced with the extreme flood conditions, discharge flow is a primary
determinant of reservoir safety. Furthermore, the current scheduling scheme for
the Three Gorges Reservoir has an extra safety margin. As a result, even without
forecasting inflows, elevating the operating water level to 155 m during the flood
season effectively mitigates risks from floods with a return period of 100 years
or less, while maintaining risk control over floods with 1,000-year or 10,000-year
return periods.

Keywords: three Gorges Reservoir · operating water level during flood season ·
Flood control risk · design flood · reservoir regulation

1 Introduction

The Three Gorges Project serves as a pivotal initiative for managing and protecting
the Yangtze River, offering multiple benefits including flood control, power generation,
navigation, and water resource utilization. It has achieved a high level in both construction
and operational management. The initial design flood for the Three Gorges Reservoir is
determined using the natural annual maximum flood series to calculate the characteristic
value of design flood, the flood control storage capacity and regulation storage capacity
of reservoir with their characteristic water level, and ensure the safety of both the dam and

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 88–104, 2025.
https://doi.org/10.1007/978-981-97-9184-2_9
 Study on the Impact of Flood Season Operating Water Level 89

downstream flood defenses (Guo et al. 2018). These design values termed “construction-
phase design floods”, are chosen from the most severe scenarios, with outsourced values
derived from a safety standpoint, and are guided by limiting water level during flood
season to manage the operations (Guo et al. 2016).
With the cascade reservoirs in the upper reaches of the Yangtze River, particularly
the four massive dams at Wudongde, Baihetan, Xiluodu, and Xiangjiaba, now oper-
ated, the hydrological conditions of the Three Gorges Reservoir and its downstream
areas have undergone significant changes from those in the preliminary design phase.
These changes are attributed to the joint management by these upstream cascade reser-
voirs, improved inflow and rainfall forecasting capabilities, and other alterations in the
hydraulic conditions (Guo and Bao 2016; Dai et al. 2017; Zhang et al. 2019; Wei 2017;
Cai 2012; Wang and Guo 2020; Chu et al. 2023; Li et al. 2022). Continuing to use results
from the initial design flood to guide the operation of the Three Gorges Reservoir has
led to issues such as the lower operating water level during flood season and the need for
improved comprehensive utilization efficiency (Guo et al. 2016). In 2022, there was a
situation where “discharged flow during dry season, retained water with empty reservoir
during flood season, while had no water left for storage after floods” severely limiting
the comprehensive utilization of water resources in the Three Gorges Reservoir.
At the same time, current climate change has led to frequent extreme weather events
with a sharp increase in droughts and floods. And the changing demand for comprehen-
sive utilization of water resources has raised additional requirements for the operation
and scheduling of the Three Gorges Reservoir. Therefore, in order to build a long-term
mechanism for the safe operation and maximize the comprehensive benefits of the Three
Gorges Project, it is necessary to analyze the water level operation mode during the flood
season while ensuring the safety of flood control in the basin.

2 Method
The methods for calculating inflow flood and flood regulation can be categorized into
two main approaches: hydraulic method and hydrological method. The hydraulic method
is mainly based on the Saint Venant equations, adopting discrete method, and using
numerical calculation techniques to calculate the numerical solutions of the equations.
Hydrological methods, on the other hand, substitute the continuity and momentum equa-
tions of the Saint-Venant equations with water balance equations and reservoir storage
equations. By simultaneously solving the reservoir storage equations and water balance
equations, these methods compute the outflow process at downstream sections. But for
reservoirs with long river reaches, such as the Three Gorges Reservoir (about 757 km
from Zhutuo to the Three Gorges Dam), hydrological methods tend to generalize with
fewer considerations, making it difficult to accurately analyze complex river segments.
Moreover, they fail to clearly depict the spatiotemporal distribution of water levels and
flow rates, and the computational accuracy is not superior to that of hydraulic methods.
The one-dimensional hydrodynamic numerical simulation software Telemac-
Mascaret, developed by Electricite De France (EDF), is based on the Saint-Venant
equations and is applicable for simulating rivers and floodplains. The proposed method
established a one-dimensional hydrodynamic model suitable for channel-type reser-
voirs like the Three Gorges Reservoir based on Mascaret and made the following four
90 Y.-W. Zhai et al.

improvements to the model. (a) constructed a main and branch river network model to
incorporate the topographic influences of the Jialing River and Wu River, the two major
tributaries; (b) made the calculated storage capacity consistent with the actual storage
capacity of each river section by adjusting the storage capacity by segmenting it along
the streamway; (c) proposed a method for determining unsteady flow channel roughness,
enabling dynamic adjustment of roughness along the river; and (d) presented a method
for calculating flow rates in non-control sections. The one-dimensional hydrodynamic
model of the Three Gorges Reservoir was applied to compute several groups of typical
flood processes. The improved model calculation accuracy can meet the study needs
including flow rate, water level process, flood peak occurrence time and peak value, etc.
(as shown in Fig. 1).

Fig. 1. Comparison between the calculated and measured water levels of typical cross-sections.

3 Typical Flood Process and Scheduling Principles

The core of studying the design floods and flood season operating water levels of the
Three Gorges Reservoir lies in determining the flood composition and flood routing of
different typical floods above the Three Gorges dam site. The characteristics of major
flood years in Yichang are summarized in Table 1.
It can be observed that the major flood years in Yichang are mainly characterized
by floods resulting from various factors such as (a) the large inflow of water in the
main stream combined with encounters with tributaries; (b) the large inflow of water
in tributaries combined with encounters with the main stream; (c) the large inflow of
water in specific intervals; (d) the dominant inflow of water in the main stream, and
 Study on the Impact of Flood Season Operating Water Level 91

Table 1. List of typical annual characteristics of Yichang Station.

Type Year Flood The source of flood Peak type

encounter
Main In main In In specific Sharp Fat type
stream or stream tributaries intervals thin The The
tributaries type main main
peak is peak is
ahead behind
The main 2012 * * *
stream
flood
encounters
the general
flood of
Wujiang
River
The main 1954 * * * *
stream 1998 * * * *
water
encounters
the
Wujiang
River water
The large 1981 * *
inflow of 1966 * *
water in
the main
stream
The large 1982 * *
inflow of
water in
specific
intervals

occurrences of encounters with the large inflow of water in both the main stream and
tributaries, resulting in floods generally classified as “fat-type” floods.
Using the same frequency amplification method, the design flood processes for dif-
ferent frequencies such as 5%, 1%, 0.1%, and 0.01% were computed. To investigate the
impact of different initial reservoir water levels and discharge flow rates on flood control
capacity without considering the adverse effects of pre-release, three scheduling control
rules were devised:
1. Rule for moderate floods at 171 m: For design floods with frequencies of 5% and 1%,
when the water level ranges from 145 to 155 m, the controlled discharge flow rate is
92 Y.-W. Zhai et al.

fixed at 3.0*104 m3 /s. When the water level is between 155 and 171 m, the controlled
discharge flow rate is fixed between 5.0*104 m3 /s and 5.5*104 m3 /s, with intervals
of 0.1*104 m3 /s. When the water level is between 171 and 175 m, the controlled
discharge flow rate equals the inflow rate but does not exceed 7.8*104 m3 /s.
2. Rule for moderate floods at 175 m: For design floods with frequencies of 5% and 1%,
when the water level ranges from 145 to 155 m, the controlled discharge flow rate is
fixed at 3.0*104 m3 /s. When the water level ranges from 155 to 175 m, the controlled
discharge flow rate is fixed between 5.0*104 m3 /s and 5.5*104 m3 /s, with intervals
of 0.1*104 m3 /s. When the water level exceeds 175 m, the controlled discharge flow
rate equals the inflow rate but does not exceed 7.8*104 m3 /s.
3. Rule for severe floods at 175 m: For design floods with frequencies of 1%, 0.1%,
and 0.01%, when the water level ranges from 145 to 155 m, the controlled discharge
flow rate is fixed at 3.0*104 m3 /s. When the water level ranges from 155 to 175 m,
the controlled discharge flow rate is fixed between 5.0*104 m3 /s and 5.5*104 m3 /s,
with intervals of 0.1*104 m3 /s. When the water level exceeds 175 m, the controlled
discharge flow rate equals the inflow rate but does not exceed 7.8*104 m3 /s.
The discharge flow rates for each control rule are within the range required by the
current regulations. By varying the initial reservoir water level, namely from 145 to
155 m with intervals of 2 m, the high water levels for flood routing and the cumulative
excess flood volume exceeding 5.5*104 m3 /s are analyzed using a model.

4 Discussions

4.1 Initial Reservoir Water Level

To investigate the influence of initial reservoir water levels on flood routing high water
levels and excess flood volume, the analysis focuses on the results of flood routing
calculations with a discharge flow rate of 5.5*104 m3 /s for control rules 1 and 2, and
7.8*104 m3 /s for control rule 3.

4.1.1 The Impact of the Initial Reservoir Water Level on the High Water Level
for Flood Routing
Under different control rules, the flood routing high water levels corresponding to initial
reservoir water levels of 145 m and 155 m in typical years with a 5% frequency are
illustrated in Fig. 2. It is observed that the initial reservoir water levels have varying
degrees of influence on flood routing high water levels across different typical years.
Notably, in the year 1998, the disparity is the largest, approximately 1.10 m. Conversely,
in 1981, the flood routing high water levels remain identical, unaffected by the initial
reservoir water levels.
In the results illustrated in Fig. 3, the corresponding maximum flood routing levels in
different typical years with 1% frequency are depicted for initial reservoir water levels
with 145 m and 155 m. Figure 3a corresponds to control rules 1 and 3, while panel
Fig. 3b corresponds to control rule 2. It is observed from the figures that under control
rules 1 and 3, the flood routing high water levels do not exceed 171 m, with the maximum
 Study on the Impact of Flood Season Operating Water Level 93

Fig. 2. Corresponding flood routing level for different typical years with a 5% frequency of 145 m
and 155 m starting water levels.

disparity occurring in 1982, approximately 1.50 m. However, in 1966, 1981, and 1998,
the flood routing high water levels remain identical, indicating no influence from the
initial reservoir water level.
Under control rule 2, the flood routing high water levels are all below 175 m, with the
largest disparity occurring in 1982, approximately 1.50 m, followed by 1998, approxi-
mately 1.43 m. Notably, in 1966 and 1998, flood routing levels are slightly higher than
171 m under control rule 2, while in other typical years, they are below 171 m. Fur-
thermore, under this rule, the maximum discharge is 5.5*104 m3 /s, which is less than
the prescribed 5.67*104 m3 /s. This validates that the current regulations can withstand
a 100-year flood with the reservoir water level not exceeding 171 m and suggests that
an initial reservoir water level of 155 m is also effective against such an event.

Fig. 3. Corresponding flood routing high water level for different typical years with 1% frequency
of 145 m and 155 m initial reservoir water levels: (a) Control rules 1 and 3 and (b) Control rule 2.
94 Y.-W. Zhai et al.

The maximum flood routing high water levels corresponding to initial reservoir water
levels of 145 m and 155 m for different typical years at 0.1% and 0.01% frequencies
under control rule 3 are depicted in Fig. 4. Figure 4a represents the 0.1% frequency,
while Fig. 4b corresponds to the 0.01% frequency. It is evident from the figures that
for the 0.1% frequency, the flood routing high water levels for each typical year do
not exceed 175 m. Among these, the largest disparity in flood routing levels occurs in
1982, approximately 1.13 m. However, the flood routing high water levels in 1981 and
1998 are not influenced by the initial reservoir water level. For the 0.01% frequency, the
flood routing level in 1981 is 174.53 m, while for other typical years, it reaches 175 m.
Moreover, the flood routing high water levels for each typical year are unaffected by the
initial reservoir water level.

4.1.2 The Impact of Initial Reservoir Water Level Regulation on Excess Flood
Volume
5% of the frequency does not have any excess floods in any of the rules (discharge flow
greater than 5.5*104 m3 /s), and 1% of the control rule 2 does not have any excess floods
in typical years. Under various rules, the results of excess flood corresponding to the
starting water levels of 145 m and 155 m for different frequencies and typical years are
shown in Fig. 5.
Figure 5a representing the 1% frequency, typical years such as 1954, 1981, 1982,
and 2012 exhibited minimal occurrences of excess flood volume, largely unaffected
by the initial reservoir water level. However, in the typical years of 1966 and 1998,
the excess flood volume increased by approximately 800 million m3 and 900 million
m3 , respectively, in response to changes in the initial reservoir water level. Figure 5b
representing the 0.1% frequency, except for the typical year 1981, where excess flood
volume remained unaffected by the initial reservoir water level, in other typical years,
the excess flood volume at an initial elevation of 155 m increased by an average of
approximately 11% and 1 billion m3 compared to an initial elevation of 145 m. Similarly,
Fig. 5c representing the 0.01% frequency, except for the typical year 1981, where excess
flood volume remained unaffected by the initial reservoir water level, in other typical
years, the excess flood volume at an initial elevation of 155 m increased by an average
of approximately 10% and 1.7 billion m3 compared to an initial elevation of 145 m.

4.2 Discharge Flow

To investigate the influence of discharge flow on the flood routing high water levels
and excessive flood events, calculations were performed for initial reservoir water levels
of 145 m and 155 m under control regulations 1 and 2, with discharge flow ranging
from 5.0*104 m3 /s to 5.5*104 m3 /s, and under control regulation 3, with discharge flow
ranging from 7.2*104 m3 /s to 7.8*104 m3 /s.

4.2.1 The Impact of Discharge Flow on the High Water Level for Flood Control
Under different control regulations, the flood routing high water levels corresponding
to different maximum discharge flow in various typical years for initial reservoir water
levels of 145 m and 155 m are presented in Table 2.
Fig. 4. Different typical years with frequencies of 0.1%, 0.01%, and initial reservoir water levels of 145 m and 155 m corresponding to flood routing high
water levels: (a) typical years with frequencies of 0.1% and (b) typical years with frequencies of 0.01%.
Study on the Impact of Flood Season Operating Water Level
95
96 Y.-W. Zhai et al.

Fig. 5. The excess flood corresponding to the initial reservoir water levels of 145 m and 155 m
in different frequencies and typical years: (a) 1% frequency under control rules 1 and 3, (b) 0.1%
frequency under control rule 3 and (c) 0.01% frequency under control rule 3.

From Table 2, it is evident that under Control Regulation 1 and a 5% frequency,

the process of decreasing flood routing levels corresponding to both initial reservoir
water levels as the maximum discharge flow increases is consistent for the typical year
1981. In the typical year 1998, flood routing levels corresponding to both initial reservoir
water levels reached 171 m at a maximum discharge flow of 5.0*104 m3 /s, after which
flood routing levels for the initial reservoir water level of 145 m decreased uniformly
with increasing maximum discharge flow, while those for the initial elevation of 155 m
initially decreased slowly, then rapidly, and approached but remained higher than the
flood routing levels corresponding to the 145 m elevation at a maximum discharge flow
of 5.5*104 m3 /s. For other typical years, flood routing levels corresponding to the initial
reservoir water level of 145 m uniformly decreased with increasing maximum discharge
flow, while those corresponding to the initial elevation of 155 m were slightly higher
at lower maximum discharge flow, then rapidly decreased with increasing maximum
discharge flow, gradually approaching the flood routing levels corresponding to the
145 m elevation.
Table 2. Different maximum discharge capacities correspond to the corresponding flood routing high water levels at the starting water levels of 145 m
and 155 m in typical years.

Floods Frequency m Typical year 1954 Typical year 1966 Typical year 1981 Typical year 198 Typical year 1998 Typical year 2012
m3 /s 145 155 145 155 145 155 145 155 145 155 145 155
Control Rule 1 with 5% frequency 50,000 167.27 169.04 167.41 168.79 168.00 168.00 166.65 168.48 170.99 171.00 167.94 169.63
51,000 165.73 167.26 166.53 167.78 167.50 167.50 165.87 167.46 168.95 170.86 166.85 168.34
52,000 164.30 165.53 165.66 166.77 166.99 166.99 165.22 166.47 166.95 168.70 165.92 167.16
53,000 162.98 163.86 164.79 165.79 166.49 166.49 164.59 165.53 165.01 166.58 165.10 166.08
54,000 161.73 162.27 163.92 164.83 165.99 165.99 164.00 164.69 163.14 164.52 164.33 165.08
55,000 160.58 160.81 163.06 163.88 165.49 165.49 163.43 163.91 161.47 162.58 163.62 164.15
Control Rule 1 with 50,000 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00
1% frequency 51,000 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00
52,000 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00
53,000 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00 171.00
54,000 171.00 171.00 171.00 171.00 170.86 170.86 170.34 171.00 171.00 171.00 171.00 171.00
55,000 170.39 171.00 171.00 171.00 170.36 170.36 169.34 170.83 171.00 171.00 169.71 171.00
Control Rule 2 with 50,000 175.00 175.00 175.00 175.00 172.91 172.91 175.00 175.00 175.00 175.00 175.00 175.00
1% frequency 51,000 175.00 175.00 174.96 175.00 172.39 172.39 173.88 175.00 175.00 175.00 175.00 175.00
52,000 174.78 175.00 174.01 175.00 171.88 171.88 172.66 174.46 175.00 175.00 174.51 175.00
53,000 173.29 174.54 173.09 174.52 171.36 171.36 171.47 173.19 175.00 175.00 172.77 174.28
54,000 171.85 172.82 172.18 173.51 170.86 170.86 170.34 171.96 174.03 175.00 171.02 172.42
55,000 170.39 171.08 171.28 172.49 170.36 170.36 169.34 170.83 171.90 173.34 169.71 171.00
Control Rule 3 with 72,000 173.21 173.64 173.58 174.57 171.95 171.95 174.78 175.00 173.94 173.95 174.29 175.00
0.1% frequency
73,000 172.77 173.15 173.19 174.12 171.73 171.73 174.48 175.00 173.47 173.47 173.99 175.00
Study on the Impact of Flood Season Operating Water Level

74,000 172.38 172.72 172.82 173.67 171.52 171.52 174.18 175.00 173.03 173.03 173.70 174.88
(continued)
97
 98
Table 2. (continued)

Floods Frequency m Typical year 1954 Typical year 1966 Typical year 1981 Typical year 198 Typical year 1998 Typical year 2012
m3 /s 145 155 145 155 145 155 145 155 145 155 145 155
75,000 172.05 172.34 172.47 173.24 171.33 171.33 173.88 175.00 172.63 172.63 173.41 174.58
76,000 171.75 172.01 172.14 172.82 171.15 171.15 173.59 174.77 172.28 172.28 173.13 174.27
77,000 171.48 171.71 171.83 172.42 171.01 171.01 173.31 174.46 171.99 171.99 172.86 173.97
78,000 171.25 171.44 171.54 172.05 171.00 171.00 173.03 174.15 171.72 171.72 172.59 173.67
Y.-W. Zhai et al.
 Study on the Impact of Flood Season Operating Water Level 99

Under Control Rule 1 and a 1% frequency, only the flood routing levels corresponding
to a maximum discharge flow of 5.5*104 m3 /s exhibited slight differences, while flood
routing levels for other maximum discharge flow reached or approached 171 m.
Under Control Rule 2 and a 1% frequency, the process of decreasing flood routing
levels corresponding to both initial reservoir water levels as the maximum discharge flow
increases is consistent for the typical year 1981. For other typical years, flood routing
levels corresponding to both initial reservoir water levels were 175 m at a maximum
discharge flow of 5.0*104 m3 /s, with flood routing levels decreasing first for the initial
elevation of 145 m, followed by gradual decreases for the initial elevation of 155 m as
the maximum discharge flow increased.
Under Control Rule 3 and a 0.1% frequency, the process of decreasing flood routing
levels corresponding to both initial reservoir water levels as the maximum discharge flow
increases is consistent for the typical years 1981 and 1998. In the typical year 1981, flood
routing levels stabilized at 171 m when the maximum discharge flow reached 7.7*104
m3 /s or higher, while in the typical year 1998, flood routing levels gradually decreased
with increasing maximum discharge flow, showing a trend towards stabilization. For
the typical years 1954 and 1966, flood routing levels corresponding to the initial reser-
voir water level of 145 m decreased with increasing maximum discharge flow, while
those corresponding to the initial elevation of 155 m were slightly higher at lower max-
imum discharge flow, then rapidly decreased with increasing maximum discharge flow,
gradually approaching the flood routing levels corresponding to the 145 m elevation.
For the typical years 1982 and 2012, flood routing levels corresponding to the initial
reservoir water level of 145 m uniformly decreased with increasing maximum discharge
flow, while those corresponding to the initial elevation of 155 m remained relatively
unchanged at lower maximum discharge flow, then decreased with further increases in
maximum discharge flow.

4.2.2 The Impact of Discharge Flow on Excess Flood Volume

Under different rules, the results of excess flood corresponding to the starting water
levels of 145 m and 155 m for different maximum discharge flows in typical years are
shown in Table 3.
From Table 3, it is evident that under Control Rule 1 and a 1% frequency, the overall
trend of excess flood volume corresponding to the two initial reservoir water levels
decreases as the maximum discharge flow increases. And it is consistently with the
trend in the typical year 1981, and the trend is gradually decelerating in other typical
years. Specifically, in the typical year 1954, at a maximum discharge flow of 5.5*104
m3 /s, the excess flood volume corresponding to both initial reservoir water levels are
nearly zero. The same circumstance occurred in the typical year 1982, at a maximum
discharge flow of 5.3*104 m3 /s with the initial elevation of 145 m, while for the elevation
of 155 m, it reaches zero at a maximum discharge flow of 5.5*104 m3 /s. In the typical
year 2012, at a maximum discharge flow of 5.4*104 m3 /s, the excess flood volume
corresponding to the initial elevation of 145 m is zero, while for the elevation of 155 m,
it reaches zero at a maximum discharge flow of 5.5*104 m3 /s.
 100
Table 3. Different maximum discharge capacities correspond to excess flood volume at the starting water levels of 145 m and 155 m in typical years.

Floods Frequency m Typical year 1954 Typical year 1966 Typical year 1981 Typical year 198 Typical year 1998 Typical year 2012
m3 /s 145 155 145 155 145 155 145 155 145 155 145 155
Control Rule 1 with 5% frequency 50,000 32.3 44.6 19.1 30.9 3.7 3.7 17.1 31.2 55.7 60.3 29.0 44.2
51,000 25.2 36.9 15.8 27.1 2.5 2.5 10.8 23.6 47.1 56.3 20.4 34.1
52,000 17.8 28.3 12.3 22.9 1.2 1.2 5.1 16.4 36.8 50.4 12.2 24.4
53,000 10.3 19.1 8.7 18.4 0.1 0.1 0.5 9.7 28.5 38.8 4.8 15.2
Y.-W. Zhai et al.

54,000 3.2 9.4 4.9 13.7 0.0 0.0 0.0 3.6 16.4 27.7 0.0 6.8
55,000 0.0 0.3 1.2 8.7 0.0 0.0 0.0 0.0 4.0 13.3 0.0 0.0
Control Rule 1 with1% frequency 50,000 8.2 20.0 0.0 7.0 0.0 0.0 0.0 6.1 32.2 46.1 3.1 15.4
51,000 2.0 11.2 0.0 3.1 0.0 0.0 0.0 0.5 27.7 35.1 0.1 6.2
52,000 0.0 3.1 0.0 0.0 0.0 0.0 0.0 0.0 15.8 28.0 0.0 0.1
53,000 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 3.7 14.5 0.0 0.0
54,000 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 1.7 0.0 0.0
55,000 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0
Control Rule 2 with1% frequency 50,000 85.5 93.5 77.8 87.1 35.0 35.0 50.6 57.0 111.8 126.1 74.4 80.1
51,000 88.7 97.0 80.4 90.4 36.0 36.0 52.8 59.0 114.9 129.3 76.7 82.7
52,000 91.5 100.3 82.8 93.4 36.9 36.9 54.9 61.0 117.7 132.1 78.8 85.2
53,000 94.1 103.3 84.9 96.3 37.6 37.6 57.0 63.2 120.1 134.6 80.7 87.5
54,000 96.3 105.8 86.8 98.9 38.1 38.1 58.9 65.4 122.1 136.5 82.6 89.8
55,000 98.0 107.8 88.4 101.3 38.4 38.4 60.8 67.7 123.4 137.8 84.3 91.9
Control Rule 3 with0.1% frequency 72,000 99.2 109.4 89.8 103.5 38.4 38.4 62.6 69.8 124.6 139.0 85.9 93.9
73,000 170.6 186.0 158.2 181.1 61.4 61.4 219.8 236.9 145.6 161.6 170.6 187.2
(continued)
 Table 3. (continued)

Floods Frequency m Typical year 1954 Typical year 1966 Typical year 1981 Typical year 198 Typical year 1998 Typical year 2012
m3 /s 145 155 145 155 145 155 145 155 145 155 145 155
74,000 170.6 186.0 158.2 181.1 63.6 63.6 220.1 237.0 145.6 161.6 170.6 187.2
75,000 170.7 186.0 158.2 181.1 65.9 65.9 220.3 237.4 145.6 161.7 170.6 187.2
76,000 170.7 186.0 158.2 181.1 68.1 68.1 220.6 237.7 145.7 161.7 170.6 187.2
77,000 170.7 186.0 158.2 181.1 70.2 70.2 221.0 238.1 145.7 161.7 170.6 187.2
78,000 170.7 186.0 158.2 181.1 72.4 72.4 223.9 241.0 145.7 161.7 170.6 187.2
Study on the Impact of Flood Season Operating Water Level
101
102 Y.-W. Zhai et al.

Under Control Rule 2 and a 1% frequency, the overall trend of excess flood volume
decreases with increasing maximum discharge flow, albeit significantly lower in mag-
nitude compared to Control Rule 1. In the typical year 1981, the excess flood volume
corresponding to both initial reservoir water levels are zero. The same circumstance
occurred in the typical year 1954, at a maximum discharge flow of 5.2*104 m3 /s with
the initial elevation of 145 m, and at a maximum discharge flow of 5.3*104 m3 /s with the
initial elevation of 155 m. In the typical years 1966 and 1982, the excess flood volume
for the initial elevation of 145 m is zero, while for the elevation of 155 m, it corresponds
to zero at a maximum discharge flow of 5.2*104 m3 /s. In the typical year 1998, at a max-
imum discharge flow of 5.4*104 m3 /s, the excess flood volume for the initial elevation
of 145 m is zero, while for the elevation of 155 m, it corresponds to zero at a maximum
discharge flow of 5.5*104 m3 /s. In the typical year 2012, at a maximum discharge flow
of 5.1*104 m3 /s, the excess flood volume for the initial elevation of 145 m is nearly
zero, while for the elevation of 155 m, it is almost zero at a maximum discharge flow of
5.2*104 m3 /s.
Under Control Regulation 3 and a 0.1% frequency, the overall trend of excess flood
volume corresponding to the two initial reservoir water levels increases with increasing
maximum discharge flow. In the typical year 1981, the process of excess flood volume
corresponding to both initial reservoir water levels increasing with increasing maximum
discharge flow is consistent. For the typical years 1954, 1966, and 1998, the trend of
excess flood volume corresponding to both initial reservoir water levels increasing with
increasing maximum discharge flow gradually slows down. In the typical years 1982
and 2012, the excess flood volume corresponding to both increasing initial reservoir
water levels nearly linearly with increasing maximum discharge flow. The net difference
in excess flood volume corresponding to the two initial reservoir water levels remains
relatively stable across typical years, with minimal influence from variations in maximum
discharge flow.
Under Control Rule 3 and a 0.01% frequency, the pattern of excess flood volume
change can be categorized into two scenarios: overall increase with increasing maximum
discharge flow and no change with variations in maximum discharge flow. In the typical
year 1981, the excess flood volume under both initial reservoir water levels increases lin-
early with increasing maximum discharge flow, while the magnitudes remain essentially
identical. In the typical year 1982, the excess flood volume under both initial reservoir
water levels initially increases linearly with increasing maximum discharge flow, then
accelerates when the maximum discharge flow exceeds 7.6*104 m3 /s. In the typical years
1954, 1966, 1998, and 2012, the excess flood volume remains unchanged with variations
in maximum discharge flow, with a net difference of approximately 1.6 billion m3 for
the excess flood volume corresponding to the initial elevations of 145 m and 155 m.

5 Conclusions

Based on observed flood processes from six different typical years, this study employed
the same frequency amplification method to calculate four types of design flood processes
with frequencies of 5%, 1%, 0.1%, and 0.01%, respectively. Building upon the existing
scheduling regulations, three scheduling control rules were designed to investigate the
 Study on the Impact of Flood Season Operating Water Level 103

impacts of different initial reservoir water levels and discharge flow rates on flood control
capacity, without considering the adverse scenarios of pre-release. The findings are as
follows:
1. The influence of different initial reservoir water levels on flood routing levels varies
with different frequencies of design flood processes. For typical floods occurring
once every twenty years, both initial elevations of 145 m and 155 m ensure safe flood
discharge, with flood routing levels not exceeding 165.5 m and without increasing
downstream flood control pressure. For floods occurring once every hundred years,
both initial elevations of 145 m and 155 m ensure safe flood discharge, with flood
routing levels not exceeding 171 m; the excess flood volume corresponding to the
elevation of 155 m increases by approximately 930 million m3 at most. If controlled
to ensure that the water level in front of the dam does not exceed 175 m, the flood
routing level corresponding to the elevation of 155 m does not exceed 173.3 m, with
no excess flood volume and no increase in downstream flood control pressure. For
floods occurring once every thousand years, both initial elevations of 145 m and 155 m
ensure that the flood routing level does not exceed 174.1 m; the excess flood volume
corresponding to the elevation of 155 m increases by approximately 0–15%, up to
about 1.37 billion m3 at most. For floods occurring once every ten thousand years,
both initial elevations of 145 m and 155 m ensure that the flood routing level does
not exceed 175 m; the excess flood volume corresponding to the elevation of 155 m
increases by approximately 0–14%, up to about 2.28 billion m3 at most.
2. The maximum discharge flow has a significant impact on flood routing levels, with
higher maximum discharge flow resulting in lower flood routing levels. At the same
maximum discharge flow, compared to the initial elevation of 145 m, the elevation
of 155 m raises the flood routing level by at most 1.9 m, and the difference in flood
routing levels corresponding to the two initial elevations gradually decreases with
increasing maximum discharge flow.
3. The influence of maximum discharge flow on excess flood volume varies with differ-
ent frequencies of design flood processes. For floods occurring once every hundred
years, a higher maximum discharge flow leads to a lower excess flood volume. Con-
versely, for floods occurring once every thousand years, a higher maximum discharge
flow leads to a higher excess flood volume. For floods occurring once every ten thou-
sand years, a higher maximum discharge flow results in more excess flood volume
for the typical years 1981 and 1982, while the excess flood volume for other typical
years remains unaffected by variations in maximum discharge flow.
The current scheduling regulations for the Three Gorges Reservoir have a consider-
able safety margin. Under the condition of not considering forecasted inflows, elevating
the operating water level to 155 m during the flood season can effectively cope with
floods occurring once every hundred years or less, while also ensuring that the risks
associated with floods occurring once every thousand years or ten thousand years are
manageable.

Acknowledgements. This work was supported by the National Key Research and Development
Program of China (2022YFC3203900).
104 Y.-W. Zhai et al.

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 Deep Learning-Based Multi-Model Coupled
Flood Season Daily Runoff Prediction Model

Xiaoyu Ye, Dong Wang(B) , Chenlu Yu, Zhuo Yang, and Along Zhang

School of Earth Science and Engineering, Nanjing University, 163 Xianlin Avenue, Qixia
District, Nanjing 210023, China
[email protected], [email protected]

Abstract. Accurate runoff forecasting is of great significance for flood control,

drought prevention, reservoir scheduling, and ecological protection. To explore
the applicability of deep learning networks combined with signal processing tech-
niques in runoff forecasting, an ICEEMDAN-VMD-CNN-LSTM daily runoff
forecasting model for the flood season was developed. First, the original runoff
series was decomposed using the Improved Complete Ensemble Empirical Mode
Decomposition with Adaptive Noise (ICEEMDAN). Then, the complex series was
further decomposed using Variational Mode Decomposition (VMD) to reduce
data complexity. Next, each mode component was input into a Convolutional
Neural Network (CNN) - Long Short-Term Memory (LSTM) combined model
to extract local features of the data and capture long-term dependencies of the
time series. Finally, the predicted values were reconstructed to obtain the final
prediction results. Using the measured daily runoff data from the Hekou station
in the Diaojiang basin as an example, the results showed that the ICEEMDAN-
VMD-CNN-LSTM achieved testing MAE and NSE of 5.232 m3 /s and 0.977,
respectively, demonstrating excellent forecasting accuracy.

Keywords: Runoff Forecasting · ICEEMDAN · VMD · CNN · LSTM ·

Diaojiang Basin

1 Introduction

Accurate runoff forecasting is essential for water resource planning and management,
reservoir optimization, and environmental protection (Lei et al., 2018). Surface runoff is
typically influenced by various factors such as precipitation, evaporation, solar radiation,
vegetation cover, and human activities (Zheng et al., 2023). These factors contribute to
significant nonlinearity and high uncertainty in runoff patterns, posing a major challenge
for accurate forecasting (Deb et al., 2019).
Over the past few decades, numerous forecasting models have been proposed. These
models can be broadly classified into two categories: process-driven models and data-
driven models. Process-driven models, based on hydrological concepts and physical
processes, simulate the temporal and spatial variations of runoff, enabling accurate fore-
casting (Aqil et al., 2007). Data-driven models are a black-box approach, primarily

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 105–114, 2025.
https://doi.org/10.1007/978-981-97-9184-2_10
106 X. Ye et al.

focusing on considering state variables as the model’s input and output, to establish
the optimal mathematical relationships describing their correlation, with relatively less
consideration for physical processes (Feng et al., 2020). Compared to process-driven
models, data-driven models do not require extensive and hard-to-obtain hydrometeoro-
logical data as inputs. They also do not need to account for the differences in physical
processes under various conditions, demonstrating strong adaptability and generaliza-
tion capabilities (Yaseen et al., 2016). Therefore, in time series forecasting, data-driven
models possess unique advantages. With the advancement of artificial intelligence tech-
nology, the enhancement of computational power, and the reduction in difficulty of
acquiring hydrological data, deep learning is gradually gaining widespread attention
and application in the field of hydrology and water resources (Shen, 2018).
Due to environmental influences, the surface runoff process exhibits strong random-
ness and uncertainty, making it difficult for a single forecasting model to achieve satisfac-
tory prediction results. Signal processing techniques can effectively remove noise from
complex signals, decomposing the original series into a set of more stable components.
Combining signal processing techniques with deep learning models can significantly
reduce prediction difficulty and improve forecasting accuracy (Li et al., 2021). Currently,
common signal processing techniques include Empirical Mode Decomposition (EMD),
Ensemble Empirical Mode Decomposition (EEMD), Complementary Ensemble Empir-
ical Mode Decomposition (CEEMD), and Complete Ensemble Empirical Mode Decom-
position with Adaptive Noise (CEEMDAN) (Yeh et al., 2010; Wang et al., 2014; Lu and
Ma, 2020). Scholars in various fields have attempted this combination and achieved
promising results. For instance, Ni et al. combined Wavelet Decomposition (WD) with
Convolutional Neural Networks (CNN) and LSTM, constructing two prediction models:
WD-LSTM and CNN-LSTM. Their research demonstrated the applicability of combin-
ing WD, CNN, and LSTM in the context of forecasting (Ni et al., 2020). Previous studies
have indicated that the Improved Complete Ensemble Empirical Mode Decomposition
with Adaptive Noise (ICEEMDAN), compared to other signal processing techniques,
effectively reduces residual noise and spurious components, further enhancing model
performance (Colominas et al., 2014).
To explore the applicability of deep learning combined with signal processing tech-
niques in runoff forecasting, we establish a flood season daily runoff prediction model
named ICEEMDAN-VMD-CNN-LSTM, based on ICEEMDAN and VMD signal pro-
cessing techniques as well as CNN and LSTM deep learning technologies. Firstly,
ICEEMDAN is applied to decompose the original runoff time series, reducing data
complexity. Subsequently, VMD is used to further decompose the highest-frequency
and most complex component, lowering complexity and extracting hidden informa-
tion. Finally, CNN-LSTM is employed to model and predict the components, effectively
extracting local features of the data and capturing long-term dependencies in the compo-
nents. Validation and analysis were conducted using measured daily runoff data from the
Hekou station in the Diaojiang basin, confirming the model’s excellent performance in
flow prediction, especially in predicting peak flow values. This validates the applicability
of deep learning combined with signal processing techniques in runoff forecasting.
 Deep Learning-Based Multi-Model Coupled Flood Season 107

2 Methodologies

2.1 Improved Complete Ensemble Empirical Mode Decomposition for Adaptive

Noise (ICEEMDAN)

ICEEMDAN is an improvement upon the CEEMDAN algorithm, where white noise is

added to each component based on the components obtained after EMD decomposition.
In each iteration, the new IMF is obtained by calculating the difference between the
residual from the previous step and the white noise signal calculated in the current step, as
well as the difference from the average of the residuals from the previous step (Colominas
et al., 2014). The combination of these two improvement methods effectively addresses
the issues of spurious components and residual noise in CEEMDAN decomposition. For
detailed calculation steps, please refer to the literature (Colominas et al., 2014).

2.2 Variational Mode Decomposition (VMD)

Unlike EMD, VMD can determine the number of decompositions of a time series based
on actual conditions. It divides the original signal into k components (referred to as VMF),
each with a limited bandwidth and centered frequency. Additionally, it minimizes the
sum of the estimated bandwidths of each component. The calculation process of VMD
is quite complex, and the specific calculation methods can be found in (Dragomiretskiy
and Zosso, 2014).

2.3 Long Short-Term Memory (LSTM) Neural Networks

LSTM is a special type of recurrent neural network designed to tackle the problems of
gradient explosion and vanishing gradients that often arise during the training of long
time series (Hu et al., 2020).
The structure of an LSTM unit mainly consists of the input gate it , the forgetting
gate ft , the output gate Ot , the cell state Ct and the hidden state ht . The formula can be
updated as follows:

ft = σ (Wf · ht−1 + Wf · xt + bf ) (1)

it = σ (Wi · ht−1 + Wi · xt + bi ) (2)

Ot = σ (Wo · xt + Wo · ht−1 + bo ) (3)

where W is the weight matrix of different cell gates, b is the corresponding bias vector,
ht−1 is the hidden state at moment t−1, xt is the current input, σ (.) represents the logistic
sigmoid function.
108 X. Ye et al.

2.4 Convolutional Neural Network (CNN)

CNN is a type of neural network that can extract data features, mainly composed of
convolutional layers, pooling layers, and fully connected layers. The convolutional layer
is the core component of CNN, which performs convolution operations with input data
using convolutional kernels to extract data features. The pooling layer comes after the
convolutional layer and is used to reduce the output of the convolutional layer while
preserving important features, thereby performing secondary feature extraction. The
fully connected layer is located after the pooling layer, where the pooled data is flattened
into one-dimensional form for subsequent classification or regression tasks. These layers
of CNN can be stacked in the network to more effectively learn and extract features from
input data.

2.5 ICEEMDAN-VMD-CNN-LSTM Model Construction

This paper presents the ICEEMDAN-VMD-CNN-LSTM (I-V-C-L) flood season daily

runoff prediction model that integrates ICEEMDAN and VMD signal processing
techniques with CNN and LSTM neural networks. The detailed steps are as follows:
1. Apply ICEEMDAN to decompose the processed runoff data into several IMFs.
2. Apply VMD to decompose the most complex IMF, resulting in several VMFs and a
residual sequence (Res).
3. Perform data normalization on each component.
4. Split the dataset into training and testing sets. Train the CNN-LSTM model based on
the training set and make predictions on the testing set.
5. Aggregate the predictions of all components obtained in step (4) and obtain the
predicted results of the original runoff time series.

2.6 Accuracy Verification

Evaluate the model performance using the Nash-Sutcliffe efficiency coefficient (NSE)
and mean absolute error (MAE). The calculation formula for each indicator is as follows.:
n
(yobs − ypred )2
NSE = 1 − i=1 n (4)
i=1 (yobs − yobs )
2

1 n  
MAE = ypred − yobs  (5)
n i=1

where yobs represents the observed value, ypred represents the predicted value, yobs
denotes the average of observed value, n is the number of observations.

3 Results and Discussion

The daily runoff time series from the Hekou station for the flood seasons from 2006 to
2017 was selected for the experiment. Located in Jiuxu Town, Hechi City, Guangxi, the
Hekou Station has a catchment area of 1044 km2 . It is a representative station in the
 Deep Learning-Based Multi-Model Coupled Flood Season 109

Diaojiang basin and a national principal hydrometric station, playing an important role
in flood forecasting and warning. Due to the relatively small and less volatile daily runoff
during the non-flood seasons (January-May and October-December), and the larger and
more volatile daily runoff during the flood season (June-September), which is a critical
period for flood management, the predictions focus solely on the runoff from June to
September.

3.1 Runoff Time Series Decomposition

Apply ICEEMDAN to decompose the original runoff time series, with the decomposition
results shown in Fig. 1. As observed in Fig. 1, the complexity and volatility of the time
series from IMF1 to IMF9 gradually decrease, while the Res is very small and can be
ignored. It is evident that IMF1 is the component with the highest complexity. Therefore,
VMD is used to further decompose IMF1 in order to reduce its complexity.

3.2 IMF1 Decomposition

Among various VMD parameters, the number of decomposition level k is crucial.

Extracting too few VMFs can lead to poor signal component extraction from the origi-
nal time series, while extracting too many VMFs can cause duplicate information to be
included among signal components. After multiple experiments, it was found that when
k = 8 with other parameters set to default values, the decomposition effect is better.
VMD is applied to decompose IMF1 into 8 VMFs and 1 Res, as shown in Fig. 2.

3.3 Model Testing Results and Comparison

Through experiments, it was determined that the CNN-LSTM model consists of 1 input
layer, 2 convolutional-pooling layers, 2 LSTM layers, and 2 fully connected layers. The
time step is set to 12, and the number of training iterations depends on the specific
characteristics of the components. The dataset is divided into a training set comprising
the first 80% of the data and a testing set comprising the remaining 20%.
In the same experimental setup, this study also includes five comparative models:
LSTM, CNN-LSTM (C-L), VMD-CNN-LSTM (V-C-L), ICEEMDAN-CNN-LSTM (I-
C-L) and VMD-ICEEMDAN-CNN-LSTM (V-I-C-L). LSTM and C-L do not decom-
pose the original time series; V-C-L decomposes the original time series using VMD;
I-C-L decomposes the original time series using ICEEMDAN; V-I-C-L decomposes the
original time series using VMD and further decomposes the residual of VMD using
ICEEMDAN. The testing set predictions for each model are shown in Fig. 3 (Obs rep-
resents the original runoff time series), and the performance evaluation indicators can
be found in Table 1.
Table 1 demonstrates that compared to other models, I-V-C-L exhibits superior met-
rics on the testing set, indicating the strongest overall performance among the models.
Compared to LSTM and C-L, I-V-C-L shows an increase in NSE of 59.24% to 66.14%
and a decrease in MAE of 60.18% to 64.67%. Compared to I-C-L and V-C-L, I-V-C-L
demonstrates an increase in NSE of 8.28% to 13.55% and a decrease in MAE of 37.41%
110 X. Ye et al.

Fig. 1. Results of ICEEMDAN decomposition

to 66.27%. In comparison to the second-order decomposition model V-I-C-L, I-V-C-L

shows an increase in NSE of 1.13% and a decrease in MAE of 29.25%.
A comprehensive comparison of the prediction results among the models reveals the
following insights:
 Deep Learning-Based Multi-Model Coupled Flood Season 111

Fig. 2. Results of VMD decomposition

1. LSTM outperforms C-L in prediction performance. This may be due to the fact
that when the time series is not sufficiently decomposed, C-L is influenced by the
complexity of the time series, unable to fully learn the fluctuation interval information
of the time series, leading to lower prediction accuracy compared to LSTM.
112 X. Ye et al.

2. I-C-L exhibits better prediction performance than V-C-L. V-C-L notably overesti-
mates in the low-flow region and shows significant volatility. This is attributed to the
high complexity of Res obtained from VMD decomposition, where C-L fails to fully
exploit the hidden information in the time series, resulting in prediction biases.
3. I-V-C-L demonstrates superior prediction performance over V-I-C-L. Both models
accurately predict peak flow values, but in the low-flow region, the predictions of
I-V-C-L model are closer to the observed values, while V-I-C-L model slightly over-
estimates in this interval. Therefore, the performance of I-V-C-L model is better than
that of V-I-C-L model.

Fig. 3. Prediction results of each model

4 Conclusions
This study investigates the applicability of deep learning networks integrated with signal
processing techniques in runoff forecasting. To this end, we propose the ICEEMDAN-
VMD-CNN-LSTM hybrid model for daily runoff prediction during the flood season. The
model is validated using daily runoff data from the estuary station during the flood season,
with MAE and NSE selected as the evaluation metrics. Additionally, five comparative
models, such as LSTM, are constructed for performance evaluation. The results indicate
 Deep Learning-Based Multi-Model Coupled Flood Season 113

Table 1. Performance evaluation indicators for each model

Models Training set Testing set

MAE(m3 /s) NSE MAE(m3 /s) NSE
LSTM 10.058 0.551 13.136 0.613
CNN-LSTM 7.447 0.749 14.808 0.588
VMD-CNN-LSTM 9.314 0.921 15.512 0.860
ICEEMDAN-CNN-LSTM 8.110 0.888 8.358 0.902
VMD-ICEEMDAN-CNN-LSTM 9.008 0.926 7.395 0.966
ICEEMDAN-VMD-CNN-LSTM 3.118 0.991 5.232 0.977

that the ICEEMDAN-VMD-CNN-LSTM model performs well in runoff forecasting,

with a testing MAE of 5.232 m3 /s and an NSE of 0.977. The main conclusions are as
follows:
1. The introduction of two signal processing techniques effectively extracts hidden infor-
mation from the runoff time series, reduces time series complexity, and significantly
improves prediction accuracy. Compared to other models, the ICEEMDAN-VMD-
CNN-LSTM shows markedly enhanced prediction accuracy for both low and peak
flow values, and the prediction curve is more stable.
2. The prediction accuracy of the ICEEMDAN-VMD-CNN-LSTM is superior to that
of the VMD-ICEEMDAN-CNN-LSTM. This is because the complexity of the Res
from VMD decomposition is too high for ICEEMDAN to effectively reduce. This
indicates that the order of decomposition methods applied to the time series is also
crucial, significantly impacting the model’s performance.
The ICEEMDAN-VMD-CNN-LSTM model demonstrates the applicability of deep
learning integrated with signal processing techniques in runoff forecasting, showcasing
excellent prediction accuracy. However, this model pays less attention to the parameters
of VMD decomposition, and as a result, the decomposition effectiveness may not reach
its optimal state. Therefore, the next step in our work plan is to introduce optimization
algorithms to optimize the parameters of VMD decomposition and the hyperparameters
of the CNN-LSTM model, aiming to further enhance the model’s predictive capabilities.

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 Research and Application of Balanced Rise
of Concrete High Arch Dam

Zhang Junhong(B)

Sinohydro Engineering Bureau 4 Co., Ltd, Kunming City, Yunnan Province, China
[email protected]

Abstract. In the construction of domestic concrete high arch dams, there have
been varying degrees of situations where the height difference between adjacent
dam sections and the entire dam exceeds the design indicators. Due to the complex
structure, large scale, high temperature control requirements for the dam body
concrete, strict control requirements for the height difference between adjacent
dam sections and the entire dam body, and complex boundary conditions, the
rising speed of the bank slope dam section, non-orifice dam section, and orifice
dam section is not consistent during the construction process, resulting in uneven
rise of the dam concrete construction. In response to this situation, the resources
need to be fully considered according to the simulated schedule of dam concrete
construction. In this research, the finite element, PKPM and other software were
used to study technical measures for rapid rise of the bank slope dam section
and orifice dam section, and achieved the goal of balanced rise of the Baihetan
concrete arch dam.

Keywords: Concrete high arch dam · Synchronous rise · Research application

1 Introduction
Due to the complex structure, complex construction boundary conditions, high temper-
ature control requirements for dam concrete, strict control requirements for adjacent
dam sections and the entire dam height difference, various factors combined make it
difficult to organize on-site construction production and increase construction costs. It
required the owner to study forward-looking technical measures before pouring the dam
concrete, and required the constructor to use mature technical means to study practical
and feasible technical measures before and during construction.

2 Overview
2.1 Project Overview
The total concrete volume of the concrete double curvature arch dam of Baihetan
Hydropower Station is about 8.1 million cubic meters, with a dam crest elevation of
834.00m and a maximum dam height of 289.0m. The dam body is equipped with 6 spill-
way surface holes, 7 spillway deep holes, and 6 spillway bottom holes. The arc length

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 115–136, 2025.
https://doi.org/10.1007/978-981-97-9184-2_11
116 Z. Junhong

of the dam crest axis is 709m, with a total of 30 transverse joints divided into 31 dam
sections. The spacing between the transverse joints along the upstream dam surface arc
length is 20.0–24.2m, with a maximum of 24.2m.

2.2 Domestic Research Level

The bottom hole is mainly used for high-quality pouring of the channel bottom plate
to ensure the flatness requirements of the bottom plate; The side walls are constructed
quickly using large formwork, while the top plate of the flow channel is constructed using
cross disc fasteners, scaffolding pipes, embedded positioning cones, and truss structures.
The brackets are constructed usingmethods such as internal pulling and external bracing
+ combined steel formwork. Quick installation of deep hole steel lining, etc. The sur-
face hole gate pier adopts standardized steel formwork for rapid preparation and pouring,
the overflow surface concrete adopts sliding mode for rapid and high-quality construc-
tion, and the surface hole support beam adopts pre-embedded positioning cone + truss,
support column + truss, pre-embedded positioning cone/steel section + bailey frame
support structure for rapid formation. The bank slope dam section adopts the method
of low rise layer(3m) + internal tension and internal support, which results in a large
workload and difficulty in clearing the foundation surface, small segment area, and slow
preparation speed.

3 Practical Basis for Research

Using a schedule simulation plan to analyze the construction progress of the dam con-
crete, analyze the construction time and difficulties faced by each part of the segment,
mainly the slow rise of the bank slope dam section and the orifice dam section, and
the fast rise of the other non-orifice dam sections, resulting in uneven rise of the dam
concrete.
Using finite element, PKPM and other software to design high lift formwork support,
deep hole support beams, inverted “T” beams for surface holes, truss prefabricated
formwork, hydraulic self-climbing formwork, steel substrate support system, gate slot
high lifting truck, etc. For the slope dam section, a comprehensive and detailed analysis
of each construction link of bottom holes, deep holes, and surface holes is carried out,
refining each process, resource, and implementation situation, providing theoretical,
technical, and management support for the balanced rise of concrete high arch dams.

4 Research Content
4.1 Research on Rapid Construction Technology of Diversion Bottom Hole
1) Formwork
The upstream bracket adopts a truss style prefabricated formwork, which is easy to
install and does not require dismantling.
The downstream brackets are cast in situ, making it difficult to install and remove
the formwork. The basic steps for installing the formwork are as follows:
 Research and Application of Balanced Rise of Concrete 117

1. Pre-embedded on the segment surface #16 channel steel columns and anchor bars,
welded channel steel columns and anchor bars with a diameter of 20mm pull rod;
2. Loosen the bolts at the positioning cone of the formwork, and use a segment mounted
truck crane to lift the formwork to the installation elevation with a special “C” - shaped
beam;
3. Adjust the position of the template bottom with a 5t chain block, connect the formwork
back frame to the lower formwork back frame, and use the rotating kit on the back
frame to adjust the angle of the formwork, so that the slope of the formwork surface
is approximately the same as that of the inclined surface of the suspended body;
4. Install the formwork steel pipe purlin, weld the tension rod between the formwork and
the channel steel reinforcement column, and adjust the tension rod to meet the installa-
tion accuracy requirements of the formwork before embedding the panel positioning
cone.
2) Concrete pouring
The allowable interval time for the concrete covering of the upper and lower layers
should be controlled within4 hours. When unloading from the cable crane material tank,
the free fall height of concrete shall not exceed 1.5m, and when there is a horizontal steel
mesh, it shall not exceed 1.0m. A safe distance of 3m shall be maintained between the
cable crane material tank and the formwork, and the distance between the edge of the
material pile and the formwork shall not be less than50cm. The unloading of materials
on both sides of corridors, openings, and other areas should be synchronized and evenly
raised. Special parts such as formworks, waterproofing (slurry) sheets, thermometers,
corners, and densely reinforced areas shall be manually fed. It is strictly prohibited to
directly feed at the waterproofing, cooling upper pipes, thermometers, or the boundary
between vibrated and non-vibrated areas. Please refer to Fig. 1 for details.
Due to the fact that the anti-abrasion concrete around the bottom hole channel is
only 60cm thick, when pouring each layer, the ordinary concrete on both sides is first
cut and leveled, and then the anti-abrasion concrete is cut to a position 3m away from
the formwork, and the leveling machine is pushed to the anti-abrasion concrete area.

Fig. 1. Pouring Method of Anti-abrasion Concrete on Both Sides of Bottom Hole Flow Channel
118 Z. Junhong

4.2 Research on Rapid Construction Technology for Deep Discharge Holes

of High Arch Dams
#1–7 flood discharge deep holes are—the upward curved (or downward curved) type
with pressure discharge holes. The inlet is trumpet shaped, with elliptical curves on the
top and sides, circular curves on the bottom, and symmetrical bottom sills. The inlet is
equipped with emergency gate slots and maintenance gate slots, and both inlet and outlet
are inverted cow leg structures. The deep hole body has a rectangular cross-section with
dimensions of 4.8 × 12.0m (upstream section) and 5.5 × 12.0m (downstream section).
The entire cross-section of the hole body is protected by steel lining, and the size of the
deep hole opening is 5.5 × 8.0m. The elevation of the outlet bottom sill is724.00m, and
the outlet is equipped with a working arc gate slot and arc gate support hinge beam. At
present, the construction effect of similar projects in China is relatively poor, and the
controllability of construction progress and quality is poor. By relying on the Baihetan
Dam to conduct rapid construction technology research on high arch dam flood discharge
deep holes, the node goal of “passing through deep holes in 100 days” has been achieved.
1) Segment pouring preparation design
The main content of segment pouring design includes: (1) Segment features, seg-
ment elevation, materials and corresponding quantities of each part, and configuration
of segment surface diagram; (2) Features of quantity. Fill in the Quantity Form based on
the specific segment with respective quantity involved; (3) Segment preparation process.
Based on the process, combined with work efficiency, work constraints, and intermittent
requirements, prepare a segment preparation work plan, including: logical relationship
of operations, start and end time, work team and number of people, equipment, etc. (4)
Material entry and exit segment plan, including material types, lifting and stacking loca-
tions, entry and exit quantities, methods, time, etc. (5) The main concerns forsegment
pouring preparation includes technology, quality, production, acceptance, and protec-
tion. (6) The key points of quality control for segment preparation include templates,
steel bars, and embedded parts. (7) Safety, environmental protection, and occupational
health. (8) Evaluation on segment preparation. Comparing the design and implemen-
tation of the segment, dynamically evaluating the segment preparation progress, ana-
lyzing the preparation efficiency, evaluating the entire preparation process, and giving
corresponding rewards and punishments (Figs. 2 and 3).
2) Construction of the first segment of deep hole with steel plate lining bottom
The construction content of the first segment of the deep hole bottom plate includes:
embedding of support frame parts, installation of steel lining, installation of grouting
pipelines, installation of steel bars, installation of embedded parts, and formwork lifting.
(1) Deep hole steel lining construction
The steel lining plate is made of stainless steel composite steel plate, and the
cladding material (concrete flowing surface) is austenitic ferritic duplex stainless steel
022Cr23Ni5Mo3N (S22053) with a thickness of 4mm. The base material is hot-rolled
low-alloy high-strength structural steel Q345C with a thickness of 20mm; The outer
rib plate of the steel lining and ventilation hole is Q345C, with a plate thickness of
 Research and Application of Balanced Rise of Concrete 119

Fig. 2. Pre-shift Segment Design Disclosure

Fig. 3. Post-shift Progress Briefing Meeting

20mm; The external anchor bars of the steel lining are C36mm steel bars with a length
of 1500mm.
1. Steel lining stack section planning
According to the steel lining design blueprint and the lifting requirements of two
cable cranes, two stacked sections will be completed in the factory. If the lifting and
transportation requirements are not met, single section lifting will be adopted. The steel
lining stacked sections are shown in Fig. 4.
120 Z. Junhong

Fig. 4. Steel lining stack section

2. Installation of steel lining

A. Overall planning of installation sequence for steel lining
a. According to the simulation plan for the installation of deep hole steel lining in the
dam, the installation of 3# deep hole steel lining will begin first, and finally the
installation of 2# deep hole steel lining will be completed.
b. According to the structural form and characteristics of the steel lining for deep holes
1# to 7# of Baihetan Hydropower Station, the installation of deep holes 1 #, 2#, and
3# will be completed in one time;
c. The steel lining of the upstream overhanging section of the 4 # deep hole is installed
in two stages due to its maximum overhanging height of 6m. The horizontal section
is installed during the interval between the first layer of concrete pouring, and the
overhanging section is installed after the first layer of concrete pouring.
d. The downstream section of the 5# steel lining hole has a relatively high upward
protrusion, resulting in a significant height difference during one-time installation. It
will be installed in two stages; The 6# and 7# steel lining hole sections are basically
horizontally constructed and can be installed in one time.
B. Installation process of steel lining

When the main concrete of the dam section where the steel lining is located is poured
to a distance of about 2 m from the steel lining, embedded steel lining support rails and
reinforcement required embedded parts such as steel bars and iron stools are embedded;
After the concrete pouring stopped, install the steel lining support track and set up
relevant control point lines in a timely manner, and use a double machine lifting method
to lift the steel lining into place; Finally, the reinforcement, joint pressing, welding, and
anti-corrosion repair of the steel lining are completed. After the steel lining is accepted
 Research and Application of Balanced Rise of Concrete 121

as qualified, the main concrete pouring is carried out in a timely manner. The steel lining
supports the track as shown in Fig. 5.
a. Support track for steel lining installation
When installing the steel lining, use a single cable crane or two cable cranes to
lift and transport it to the installation hole position on the I-beam track. Based on the
support steel frame and track, the steel lining is accurately positioned using jacks and
chain hoists. Follow the sequence of adjusting the gap between track sections (mileage
adjustment) → adjusting in the left and right directions (relative to the direction of water
flow) → adjusting elevation → comprehensive adjustment.

Fig. 5. Installation of supporting track

b. Measurement and layout of benchmark control points and lines for installation
Set control sample points at the projection point position of the lower center point
of each pipe end to control the installation position of the steel lining, and establish
elevation control points to control the elevation of the steel lining.
c. Installation of initial section
The initial installation section of the hole body is located in the middle, and it extends
from the initial section to the upstream and downstream ends for section by section, as
shown in Fig. 6.
During installation, adjust the center first, use a jack to adjust the steel lining, and
monitor it using a plumb bob method to align the projection point of the lower center
point of the steel lining with the embedded control point, and adjust the steel lining to the
required elevation. After passing the inspection, wedge iron shall be inserted between
the steel lining support legs and the track gap, and the center, elevation, and mileage
shall be rechecked and adjusted. After reinforcement, conduct another inspection of the
center, elevation, and mileage.
122 Z. Junhong

Fig. 6. Adjustment of the initial installation section in place

d. Installation of steel lining on the side of the door slot

During the installation of the embedded parts of accident maintenance door slot of
the deep hole, the steel lining on the side of the door slot is installed. The steel lining on
both sides is lifted separately, and the steel lining on one side is lifted in two layers. The
internal support is provided by a high lifting truck, and the external support is constructed
according to the reinforcement form of the inlet section.
1) Construction of gate piers and hinged beams at the exit section
The structure around the flood discharge deep hole is complex, with dense steel rein-
forcement, multiple embedded parts, multiple construction processes, narrow segment
surface, high quality requirements, and a maximum overhanging cantilever of 48m for
the gate pier. It is equipped with a circular pre-stressed anchor cable, and the installation
of metal structures is large and intersecting with concrete pouring. At the same time,
during the stage of passing through the orifice, the number of lifting hooks by the cable
crane increases, and the storage period is extended, which affects the overall lifting speed
of the dam.
The traditional support system construction process is complex and occupies the
straight-line construction period of the segment, resulting in slow construction progress.
In order to quickly construct the dam section passing through the orifice, the construction
technology of synchronously pouring and lifting the hinged main beam and the dam body
is adopted, relying on the combination of embedded steel trusses and steel lining at the
bottom of the main beam as the bottom formwork for the construction of the main beam,
making the concrete construction progress controllable.
2) Operation points
1. Simultaneous pouring and layering
The layering of the hinged main beam should be kept as consistent as possible with
the overall layering elevation of the dam body, while taking into account the strength
 Research and Application of Balanced Rise of Concrete 123

deformation and overall stability of the steel truss embedded in the main beam, the
bottom steel lining, and the support frame of the two sides of the gate pier to meet the
requirements of the specifications.
2. Support frame and truss system
The steel lined bottom plate of the hinged beam and the upstream side plate are
assembled as a whole outside the site. The steel lining embedded truss, steel lining,
anchor cable sleeve, and steel reinforcement are welded as a whole outside the segment,
and lifted into place by a cable crane double machine, as shown in Fig. 7.

Fig. 7. Overall assembly of steel lining and embedded truss

3) Formwork construction
1. The bottom and upstream side of the first phase concrete of the hinged beam are
lined with steel and serve as formwork. The second phase concrete section is made
of standardized wooden trusses and formwork, as shown in Fig. 8.
2. The formwork is lifted by a cable crane to the working area, and then lifted and
installed on the segment surface.
3. The strength of the top layer of concrete in the bracket area should be ≥ 20MPa.
After pouring to the upper layer, there should be an interval of 3days, and the internal
and external support formwork can be removed.

4) Steel lining construction

According to the reserved concrete embedded parts, a steel rack is erected for the
installation of the bottom steel lining, which is used to connect and reinforce the steel
lining. During the pouring of concrete corresponding to the bottom steel lining, embed-
ded parts are buried for the installation and reinforcement of the previous layer of steel
lining.
124 Z. Junhong

Fig. 8. Installation of bottom formwork for supporting beams

4.3 Research on Direct Burial Construction Technology for Gate Slot Phase I

1) Technical principles

The concept of “using high lifting vehicles to achieve direct burial construction of
gate slots in the first phase of deep hole inclined gate slots for high arch dams” connects
the embedded parts into a whole through trusses in narrow spaces, relying on a joint force
system to solve the problems of supporting and fixing the embedded parts. At the same
time, through specialized lifting design, suspension construction and self climbing are
achieved, releasing the space under the trolley. Simplify the construction process, accel-
erate the construction progress, improve the accuracy of gate slot installation, enhance
safety, and improve the construction quality of deep hole inclined gate slots for high
arch dams.
2) Operation points
(1) Installation and pouring of bottom sill
Before pouring concrete, pre-embed channel steel within the range of the bottom
sill, weld the support bracket of the bottom sill with channel steel and angle steel, and
then lift the bottom sill onto the bracket. Adjust it with a jack and flower basket bolt,
with the main control points being the deviation of the centerline of the door slot and
the centerline of the hole opening, the elevation and flatness of the bottom sill. Before
installing the bottom sill, set up an independent sample rack and adjust the bottom sill
based on the centerline of the layout.
(2) Main and reverse track installation measurement control
The installation of the main and reverse tracks is mainly controlled by the flatness
and distortion of the working surface of the main track. The first section of the main
and reverse rails is based on the permanent hole centerline and gate groove centerline
 Research and Application of Balanced Rise of Concrete 125

set on the bottom sill, and the installation lines of the main and reverse rails on the left
and right sides are drawn as the bottom installation reference. Then, the top installation
position is determined by using a line cone and oil drum (deviating from a specific size).
At the same time, independent sample racks are set up at the corresponding positions of
each layer’s main and reverse tracks, completely separated from the high lifting vehicle
for door slot. The absolute coordinates set by measurement and layout are used as the
size composite of the top installation reference.
(3) Door lintel installation measurement control
The installation of the lintel is mainly controlled by controlling the flatness of the
water-stop surface and the misalignment between the lintel and the main rail water-stop
surface. Based on the installed main rail water seal seat surface, adjust the water-stop
surface of the door lintel, and set up an independent sample frame at the door lintel
position. The sample frame should be completely separated from the high lifting vehicle
for door slot, and the installation coordinates set by measurement and layout should be
used as the composite size of the door lintel installation.
(4) Gate slot high lifting vehicle climbing
1. Before climbing the gate slot high lifting truck, the connecting components between
the high lifting truck and the track need to be cut off. After removing the climbing
obstacles, lift the high lifting truck as a whole by 100mm, stay for 20-30min, check
or adjust locally, eliminate safety hazards, and then continue to lift.
2. After the high lifting truck climbs into place, it is welded and fixed to the poured
door slot with channel steel. After the high lifting truck lifting is completed, use the
top wall support and guide wheels to fasten the door slot high lifting truck, so as to
safely fix the door slot high lifting truck in the already poured door slot.
3. The gate slot high lifting truck climbs and cycles until the installation of the gate
slot embedded parts is completed. The gate slot high lifting truck is removed and the
overall inspection and acceptance of the gate slot embedded parts are carried out.

4.4 Research on the Application of Hydraulic Self Climbing Formwork

and Inverted Prefabricated Concrete Formwork for High Arch Dam
Concrete Pouring

According to statistical analysis, the shortest impact time of strong winds above level 7
in winter on the Baihetan Hydropower Station from 2015 to 2016 was 23.6 days, and
the longest was 44.9 days. In order to reduce the impact of strong winds on the concrete
construction period of the dam, hydraulic self lifting formwork is used for the river bed
dam section and cantilever formwork is used for the bank slope dam section.
126 Z. Junhong

4.4.1 Hydraulic Self Climbing Formwork

1) Ordinary single-sided cantilever formwork

The dam concrete adopts ordinary single-sided cantilever formwork, and internal
tension rods need to be installed to resist the lateral pressure of the concrete. Its main
disadvantages are as follows: firstly, due to the structural limitations of the formwork
itself, a single formwork should not be too large, and there are many concrete joints,
making it difficult to control the quality of the joints; Secondly, there are many safety
hazards during the installation and dismantling process, and the de-moulding and lifting
process is easily affected by strong winds. The swinging of the formwork can easily
collide with concrete or equipment; Thirdly, it is necessary to set up internal pull rods
and occupy lifting equipment, which increases the investment in labor, materials, and
equipment costs; Fourthly, the construction process is easily constrained by the engi-
neering structure, and complex structural shapes cannot be used; The fifth issue is that
the dismantling process takes a long time and the construction efficiency is low.
2) Composition of single-sided hydraulic self climbing formwork
The single-sided self climbing cantilever formwork combines the advantages of
single-sided cantilever formwork and hydraulic self-climbing formwork in other engi-
neering fields (civil engineering, bridges), solving the problems of lifting and safety of
single-sided cantilever formwork, greatly improving construction efficiency and safety
construction guarantee coefficient.
The concrete pouring upstream and downstream of Baihetan Dam mainly uses can-
tilever formwork, and the transverse joints mainly use spherical keyway formwork. The
upstream and downstream cantilever formworks are 3.0 × 3.5m (width × height) and
made of δ = 6mmsteel plate; The transverse seam formwork is 3.0 × 3.3m (width ×
height), and the panel is made of δ = 6mm steel plate. The spherical keyway formwork
is assembled from a cantilever formwork and a spherical keyway. The keyway is pressed
from a 3mm thick steel plate and has a hemispherical surface with a spherical diameter
of 80cm and a depth of 20cm. The hydraulic climbing platform includes embedded parts,
supports, guide rails, load-bearing frame, platform and enclosure, and lifting mechanism
assembly, which can be assembled into hydraulic self lifting cantilever formwork and
hydraulic self lifting spherical keyway formwork, as shown in Figs. 9 and 10.

3) Application of hydraulic self climbing formwork

The climbing platform can be made to carry multiple sets of cantilever formworks,
achieving simultaneous climbing of multiple sets. The single or multiple sets of templates
are shown in Fig. 11.
 Research and Application of Balanced Rise of Concrete 127

Fig. 9. Downstream hydraulic climbing formwork

Fig. 10. Effect diagram of single-sidedhydraulic self climbing formwork

The self climbing formwork lifting mechanism alternately lifts the guide rail and
climbing frame through hydraulic cylinders. It only takes 2-3people and 1–2 h to
complete the climb for a 3m level.
1) Concrete prefabricated truss formwork
Large cantilever bracket structures are arranged upstream and downstream of the
surface holes, deep holes, and diversion bottom holes of the dam body. Due to the high
construction safety risks and difficulty in quality control of the formwork, steel bars, and
128 Z. Junhong

Fig. 11. Schematic diagram of single or multiple sets climbing simultaneously

concrete pouring in the inverted part of the dam, it is difficult to ensure the construction
progress. The pre-cast concrete truss formwork support adopts an embedded structure,
which avoids personnel from being exposed to high edges for long-term formwork
installation and removal operations. At the same time, due to the modular and mechanized
installation of the formwork, the construction efficiency is improved.
1) Composition and construction process of inverted precast concrete formwork
Prefabricated formwork consists of prefabricated reinforced concrete panels, inter-
nal support trusses, pre embedded anchoring components, and connectors, as detailed in
Fig. 12. The prefabricated reinforced concrete panel is operated parallel to the internal
support truss, and is welded to the internal support truss through embedded steel (I25a
I-beam) in the prefabricated reinforced concrete panel; The embedded parts shall be
embedded in the pre cast concrete according to the control precision. After the prefabri-
cated parts reach the lifting strength, the formwork shall be hoisted in place as a whole,
and then the formwork error shall be adjusted, and then the truss shall be welded with the
support plate. To ensure a tight bond between the precast concrete panel and the concrete
interface, it is necessary to use high-pressure water guns to roughen the interface at the
prefabrication site.

2) Construction technology of inverted precast concrete formwork

(1) Formwork assembly verification

Prefabricated concrete formwork adopts fixed molds, and the mold design is an
adjustable structure in the length direction. The side panels are opened in a translational
manner; One end of the end plate is fixed, and the other end is hinged; One end can move
in three sizes, positioned by holes on the side plate, and fixed by a reinforced positioning
plate above to prevent loosening during concrete pouring.
 Research and Application of Balanced Rise of Concrete 129

Fig. 12. Internal steel truss prefabricated formwork

After the formwork enters the site, trial assembly is carried out to ensure that the
dimensions of each part of the formwork used for precast concrete components are
accurate, the edges are straight, and the surface has good smoothness. Please refer to
Figs. 13 and 14 for details. The manufacturing accuracy requirements for steel molds
are shown in Table 1.

Table 1. Manufacturing accuracy requirements for steel molds

Steel mold width ± 5mm

Steel mold length ± 5mm
Height (thickness) of steel mold cavity 0~ + 2mm
Diagonal length difference of steel mold <5mm

(2) Reinforcement installation

Before installing the steel bars and embedded parts, draw lines on the erection bars
according to the spacing requirements, and manually bind or weld the processed steel
bars and embedded partsaccording to the marked positions.After binding the steel bars
and embedded parts, check the specifications, quantity, spacing, size, elevation, bind-
ing method, installation position, and protective layer thickness of the steel bars and
embedded parts to ensure compliance with the design requirements, as shown in Fig. 15.
(3) Concrete pouring
1. Preparation before pouring
130 Z. Junhong

Fig. 13. Formwork assembly verification

Fig. 14. Formwork flatness verification

Fig. 15. Reinforcement in mold verification

Before pouring, a detailed safety technical briefing should be given to all operators,
and a comprehensive inspection should be conducted on the stability of the formwork,
 Research and Application of Balanced Rise of Concrete 131

steel bars, and embedded parts, as well as the machinery and equipment required for
concrete mixing, transportation, and pouring.
After all the steel bars andembedded parts have been tied, installed accurately, and the
formwork has been firmly installed, the team first conducts self inspection and then the
quality inspection personnel conduct final inspection, fill out the steel bar and formwork
quality inspection evaluation form, and report to the supervisor for acceptance; After
obtaining approval from the supervisor and issuing the segment opening certificate.
2. Finish surface
After the concrete is collected, it is manually carried out with an iron trowel to finish
the surface. The trowel should be smooth and even, without cracks or hollowing, and the
surface of the concrete should be free of honeycombs, pockmarks, and other defects.
3. Demoulding, maintenance and protection
Requirements for demoulding: When dismantling the side formwork, remove each
small formwork one by one, symmetrically on both sides, to avoid damage to the edges
and corners of the prefabricated parts; When demolding prefabricated components, the
concrete strength should reach at least 20Mpa. After demolding, the prefabricated com-
ponents should be manually lifted to the curing area with the help of a crane for curing,
and placed on square wooden pads.
After the concrete pouring is completed, watering and curing should be carried out
in a timely manner. After the initial setting of the precast concrete components, rotary
spraying curing should be carried out, and geotextile should be covered on the surface of
the precast components to assist in moisture retention curing. The curing time is 28 days.
Concrete should be maintained and protected before final acceptance to prevent
damage. Strengthen the protection of the edges and protruding parts of the pouring block.
When the temperature drops sharply, the concrete is protected by surface insulation using
5cm thick polyethylene rolls as insulation material. Delay the demoulding time during
low temperature seasons and periods of sudden temperature drops.
4. Internal support truss processing
The precision requirements for the production and installation of precast concrete
formwork are high, and the size of precast concrete formwork is large, making on-site
adjustment difficult. It is proposed to reinforce the inner side of the precast concrete
formwork panel with a truss support structure, and only make minor adjustments during
on-site precast formwork installation.
After the precast concrete panel is cured, the precast formwork support truss is
welded and installed in the curing area.
5. On-site hoisting
Firstly, clean the upper openingof the prefabricated formwork, and then use a tower
crane (cable crane) or 25t crane to lift the prefabricated concrete formwork to a height of
about 5m above the installation position of the inverted bracket. Then, slowly lower it to
the designated position, and the operator pulls the traction ropes pre-fixed on both sides
of the prefabricated truss to position the prefabricated component. The on-site instal-
lation of prefabricated bracket formwork is shown in Fig. 16. After the prefabricated
132 Z. Junhong

concrete formwork is initially in place, a 10t manual hoist is used to finely adjust the
installation position of the prefabricated concrete formwork according to the measure-
ment requirements. Afteradjustment, the node plate and support plate are welded and
fixed.

Fig. 16. Installation of pre-fabricated bracket formwork on site

(3) Construction of T-shaped precast concrete formwork.

The damsurface hole beam adopts a gate pier joint, with a beam elevation of 820.0 ~
834.0m, a length along the river of 15.291 ~ 18.133m, and a rectangular beam structure
with a span across the river of 17.258 ~ 18.341m.
The surfaceholesupport hingebeam of Baihetan Damadopts an inverted “T"- shaped
precast concrete beam as the bottom formwork, replacing the traditional load-bearing
bottom formwork + support system. The installation and construction of precast beams
are shown in Fig. 17, which can reduce the installation and production of cantilever
support structures. Through off-site prefabrication and cable crane hoisting, it can greatly
shorten the storage time and improve the safety of construction.
 Research and Application of Balanced Rise of Concrete 133

Fig. 17. Installation and construction of inverted “T” - shaped concrete prefabricated beam with
table hole support and articulation

4.5 Research on Rapid Construction Technology ForBank Slope Dam Sections

1) Cause analysis

The shoulder groove of the high arch dam is steep, and the amount of excavation
on the bedrock surface is large. The layout of construction equipment is difficult, and
the area of the segment surface is small according to the 3m lifting layer, resulting in
a small amount of work. As a result, the bank slope dam section cannot rise quickly,
which affects the overall balanced rise of the dam. The concrete layering diagram of the
left bank slope dam section is shown in Fig. 18.

2) Technical principles

When the distance between the bottom of the upstream dam surface and the upstream
bedrock surface is less than3m, PKPM structural software is used to establish a model
and conduct structural stress analysis. High rise construction is achieved by using internal
and external support. Multiple segments are poured at once to reduce resource waste
and time consumption caused by multiple segments.
3) Key points of construction technology
The bottom shape of the archdamprecursoris in the formofabroken line, and the
formwork support below the broken line is supported by internal tension and internal
support. The #12.6 I-beam diagonal support inside the segment ensures the stability
of the formwork support below the broken line before pouring, and the #12.6 I-beam
diagonal support outside the segment ensures the compressive stability of the concrete
134 Z. Junhong

Fig. 18. Concrete layering diagram of left bank slope dam section

pouring stagesupport above the broken line. The vertical edges of the formwork are
made of #16 channel steel, and the supports are welded together to achieve a height of
9.55m for the first segment and up to 11.5m for subsequent construction, achieving the
goal of rapid rise of the bank slope dam section. The formwork facade support is shown
in Fig. 19, and the formwork configuration is shown in Fig. 20.

5 Effects

Through the research on the construction of the concrete high archdam bank slope
and orifice dam section of Baihetan Hydropower Station, the first segment of the bank
slopedam section adopts high lift construction, the brackets adopt truss style prefab-
ricated formwork, the riverbed dam section adopts hydraulic climbing formwork, the
gate groove adoptsone-stage direct burial technology, the deep hole steel lining adopts
pre-embedded steel lining installation track, the deep hole support hinge beam adopts
the form of embedded steel truss + steel lining, and the surface hole support beam
adopts inverted “T” beam and other processes, achieving the goal of balanced rise of the
concrete high arch dam.
 Research and Application of Balanced Rise of Concrete 135

Fig. 19. Elevation view of concrete high rise construction support for bank slope dam section

Fig. 20. Front view of formwork configuration for high rise concrete construction of the bank
slope dam section
136 Z. Junhong

6 Conclusion

Based on the research on the balanced rise of the concrete high arch dam of Baihetan
Hydropower Station, a set of technical, theoretical, and management support for the rapid
and balanced rise of concrete high arch dams has been developed using new technologies
and concepts, providing technical references for similar construction projects in the
future.

References
1. Jing, Y., Xule, P.: Key technologies for high arch dam construction of Baihetan Hydropower
Station. Hunan Water Resour. Hydropower 06, 8–14 (2022). https://doi.org/10.16052/j.cnki.
Hnslsd.2022.06.030
2. Jianxin, W., Huawei, J.: Discussion on the Direct Burial Technology of Gate Slot Phase I.
Haihe Water Resour. 08, 106–109 (2023)
3. Wenzhuan, Z.: Direct burial construction technology for the first phase of the intake gate of the
right bank powerhouse of the Datongxia Water Conservancy Hub Project. Value Eng. 42(22),
87–89 (2023)
4. Peng, Z.: Analysis and study on deformation of connection between gate slot and steel lining
of Baihetan Dam. Yunnan Hydroelectr. Power 39(12), 349–352 (2023)
5. Zhiyong, H., Shunhe, Z., Chaoxiu, L.: Rapid construction technology for deep hole sup-
port beam of Baihetan Hydropower Station arch dam flood discharge. Hunan Water Resour.
Hydropower 6, 49–52 (2022). https://doi.org/10.16052/j.cnki.Hnslsd.2022.06.006

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Research on the Dispatching Decision Method
of Cascade Hydropower Stations Based
on the BVWS

Ma Haoyu1,2(B) , Cao Hui1,2 , Liu Yaxin1,2 , Xu Yang1,2 , and Tian Rui1,2

1 China Yangtze Power Co., Ltd, Yichang 443002, China
[email protected]
2 Hubei Key Laboratory of Intelligent Yangtze and Hydroelectric Science, Yichang 443002,

China

Abstract. Compared with the operation of a single hydropower station, the dif-
ficulty of operation and management for cascade hydropower stations increases
exponentially. Especially during the critical periods such as concentrated draw-
down before flood season and concentrated storage during late flood season, the
dispatching strategies of cascade stations are crucial for successfully realizing
operation objectives and enhancing power generation benefits of the cascade sys-
tem. Scientific methods should be used to formulate long-, medium-, and short-
term operation strategies, and the sequence of drawdown or storage for cascade
reservoirs should be arranged reasonably to maximize the system benefits. Current
research typically utilizes reservoir dispatching diagrams or optimal dispatching
models to develop scheduling plans. Reservoir dispatching diagrams can be used
to quickly access the operation schemes for reservoirs, but it cannot guarantee
the optimal power generation benefits within a given dispatching period. Optimal
models typically utilize algorithms such as dynamic programming to solve and
obtain corresponding scheduling solutions, achieving the maximization of reser-
voir dispatching objectives. However, the problem of dimension disaster often
easily occurs. To balance the optimization of system benefits and the efficiency
of formulating operation plan, this paper proposes a benefit evaluation index,
namely Benefit Variation from Water Storage (BVWS), which simultaneously
couples water head benefits and backwater jacking influence of hydropower sta-
tions.Based on this, the graphs of BVWS for cascade stations are drawn, which
can assist decision-makers in quickly formulating dispatching strategies for dif-
ferent time scales. Taking a cascade system composed of four hydropower sta-
tions in the upper reaches of the Yangtze River as the research object, this paper
compares the calculation results and efficiency of the proposed method with the
progressive optimality algorithm (POA). The results indicate that the proposed
method can remarkably reduce the time required to develop optimal operation
schemes, enabling a rational allocation of water resources among the cascade
stations, therefore proving the scientific rationality of this method.

Keywords: Hydropower optimization · Cascade hydropower stations · Head

benefits · Backwater jacking · Benefit variation from water storage

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 137–145, 2025.
https://doi.org/10.1007/978-981-97-9184-2_12
138 M. Haoyu et al.

1 Introduction

The upper reaches of the Yangtze River have a large head drop and abundant hydropower
resources. The water conservancy planning and water resources development are usually
carried out in stages, using the form of cascade hydropower stations to achieve efficient
utilization of water resources. Cascade hydropower stations usually take on multiple
tasks such as flood control, power generation, navigation, ecology, etc. Compared to the
operation of a single hydropower station, the difficulty of managing cascade hydropower
stations increases exponentially. Especially, the dispatching strategies during critical
transition periods such as the drawdown period and the storage period are crucial for
enhancing the annual power generation of the cascade system [1, 2] . It is essential to
arrange the drawdown and storage sequences of cascade reservoirs rationally, and orderly
connect the drawdown with flood control and flood control with water storage, in order
to maximize the power generation benefits of the cascade system.
In recent years, many scholars have conducted extensive research on the dispatching
and control strategies of cascade hydropower stations. Gong [3] proposed different draw-
down methods for cascade reservoirs of lower Jinsha River and the Three Gorges Reser-
voir. Based on comprehensive benefits, they suggested the optimal drawdown sequence
and schemes for cascade reservoirs. Yang [4] optimized the operation rules of Han-
jiang cascade reservoirs based on the PA-DDS algorithm, and compared the calculation
results with NSGA-II. Cheng [5] proposed the real-time optimization scheduling strate-
gies based on “forecast optimization operation”, focusing on the flood control operation
of Wan’an Reservoir in the middle reaches of Ganjiang River. Using the forecast informa-
tion of different magnitudes of floods as the discrimination criteria, Ma [6] constructed
a self-identifying discharge control model to optimize the flood control of Longtan
Reservoir.
The main task of cascade hydropower stations is to maximize the utilization of water
resources for power generation. Therefore, this paper formulates dispatching strategies
for key periods such as the drawdown period and the storage period with the goal of
maximizing the power generation benefits. There are usually water level connections
between the upstream and downstream reservoir. The downstream reservoir retains water
to raise the water level, which can improve its own power generation efficiency. However,
it may cause backwater jacking on the upstream reservoir, affecting the power generation
efficiency of the upstream station, resulting in conflicts of interest between the upstream
and downstream stations. To address this, this paper defines the index of Benefit Variation
from Water Storage (BVWS), taking into account both the increased power generation
from storage and the power generation loss caused by backwater jacking in each reservoir.
The curves of BVWS for cascade stations are drawn, and based on this, we can formulate
the operation strategies for cascade stations under different operating conditions.

2 Power Generation Increased from Water Storage

This paper first defines the index of Power Generation Increased from Water Storage
(PGIWS), which is calculated as follows: Calculate the daily power generation of a
hydropower station at the given flow rate and water level. Then, the reservoir is required
 Research on the Dispatching 139

to impound an additional unit volumn of water, and calculate the daily power generation
under the same discharge. The difference in power generation before and after the water
level rises is the PGIWS under the specified operating condition. The calculation formula
is as follow.
PGIWS i = Ei,2 − Ei,1 = ( Ni,2 − Ni,1 )t = ( Ki,2 Hi,2 − Ki,1 Hi,1 ) Ri t
Ki,1 = fi,HK ( Hi,1 )
Ki,2 = fi,HK ( Hi,2 ) (1)
Hi,1 = Zi − Zidown − Hi,loss
Hi,2 = Zi − Zidown − Hi,loss = fi,VZ [ fi,ZV ( Zi ) + 1] − Zidown − Hi,loss
where, PGIWS i is the increased power generation of ith station due to water storage
under the specified discharge Qi and water level Z i . E i,1 and E i,2 are the daily electricity
generation of ith station before and after the storage. N i,1 and N i,2 are the output of ith
station before and after the storage. t is the length of daily time period. K i,1 and K i,2
are the output coefficients of ith station before and after the storage. Ri is the power
generation flow of ith station. H i,1 and H i,2 are the water head of ith station before and
after the storage. f i,HK (·) is the function relating the water head to output coefficient for
ith station. Z i and Z i ’ are the upstream water level of ith station before and after the
storage. Zdown i is the downstream water level of ith station. H i,loss is the head loss of
ith station. f i,ZV (·) and f i,VZ (·) are the functions describing the relationship between the
water level and reservoir capacity for ith station.
Taking the cascade system composed of four stations on the upper reaches of
the Yangtze River as the research object, we further elaborates the indicators and
decision-making methods proposed in this paper. The four hydropower stations are
series reservoirs, which are station A, station B, station C and station D from upstream
to downstream, all of which have strong regulation abilities.
Calculate the additional electricity generated at each reservoir due to an increase in
the water head caused by impounding a unit volume of water (100 million m3 ) under
different discharge and water level. This is the PGIWS of each station, as shown in Fig. 1,
where the legend represents different outflow (2000–8000 m3 /s). It can be seen that: (1)
For each hydropower station, under the same outflow, the higher the current operating
water level, the smaller the PGIWS due to storage. (2) When the outflow has reached
full-load flow of the station under current water level, the PGIWS at and above such
water level is 0. For example, when the outflow is 8000m3 /s, if the water level of station
C is above 575m, the PGIWS of station C is 0. (3) The average PGIWS for four stations
is 970 MWh, 520 MWh, 930 MWh and 790 MWh respectively.

3 Power Generation Loss from Water Storage

When the distance between the upstream and downstream dam sites is close, there are
often complicated hydraulic connections between the adjacent upstream and downstream
reservoirs. When water level of the downstream reservoir is high, it will generate back-
water. If the tail water of the upstream reservoir is in the backwater region, the original
stable relationship between the tail water level and outflow of the upstream reservoir will
140 M. Haoyu et al.

(a) PGIWS of station A (b) PGIWS of station B

(c) PGIWS of station C (d) PGIWS of station D

Fig. 1. PGIWS under different outflow and water level

be destroyed. The above phenomenon is called backwater jacking, which will reduce
the power generation head and conversion efficiency of hydro-electric energy of the
upstream station. Based on this, the paper defines the index of Power Generation Loss
from Water Storage (PGLWS), which is calculated as follows: Calculate the daily power
generation of the adjacent upstream hydropower station under the given outflow and
water level. Then let the downstream reservoir retain an additional unit of water, and
calculate daily power generation of the upstream station under the same outflow. The dif-
ference in electricity of the upstream station before and after the storage of downstream
reservoir is the PGLWS under the specified outflow and water level.

PGLWS i = Ei−1,1 − Ei−1,2 = ( Ni−1,1 − Ni−1,2 )t = ( Ki−1,1 Hi−1,1 − Ki−1,2 Hi−1,2 ) Ri−1 t
Ki−1,1 = fi−1,HK ( Hi−1,1 )
Ki−1,2 = fi−1,HK ( Hi−1,2 )
Hi−1,1 = Zi−1 − Zi−1,1
down
− Hi−1,loss = Zi−1 − fi−1,zdown ( Qi−1 , Zi ) − Hi−1,loss
Hi−1,2 = Zi−1 − Zi−1,2
down
− Hi−1,loss = Zi−1 − fi−1,zdown ( Qi−1 , Zi ) − Hi−1,loss
Qi−1 = Ri−1 + qi−1 = Qi = Ri + qi
(2)

where, PGLWS i is the electricity loss due to water storage of ith station under the
specified outflow Qi and water level Z i . E i-1,1 and E i-1,2 are the daily power generation
of the upstream (i-1)th station before and after water storage of ith station; K i-1,1 and
K i-1,2 are the output coefficients of (i-1)th station before and after the impoundment. Ri-1
is the power generation flow of (i-1)th station. H i-1,1 and H i-1,2 are the power generation
head of (i-1)th station before and after the impoundment. f i-1,HK (·) is the function relating
water head to output coefficient of (i-1)th station; Zdown i-1,1 and Zdown i-1,2 are the
 Research on the Dispatching 141

downstream water level of (i-1)th station before and after the storage; f i-1,zdown (·) is the
function for tail water level of (i-1)th station; Qi-1 and Qi are the outflow of (i-1)th station
and ith station; qi-1 and qi are the abandoned flow of (i-1)th station and ith station.
Analyzing the electricity loss due to backwater by retaining a unit volume of water
(100 million m3 ) under different discharge and water level in three downstream stations,
i.e. the the PGLWS of each station. Figure 2 shows the PGLWS of three downstream
stations under different operating conditions, where the legend indicates different dis-
charge flow. From Fig. 2, it can be seen that: (1) Under the same outflow, the higher
the operating water level of hydropower station, the greater the PGLWS due to stor-
age. (2) The average PGLWS for three stations is 100 MWh, 240 MWh and 470 MWh,
respectively. Overall, station B has the lowest PGLWS, while station D has the highest.

(a) PGLWS of station B (b) PGLWS of station C

(c) PGLWS of station D

Fig. 2. PGLWS under different outflow and water level

4 Benefit Variation from Water Storage

4.1 Index Definition

Based on the two indicators defined above, this paper constructs a benefit evaluation
index for cascade hydropower stations - BVWS. It is defined as follows: Calculate the
PGIWS and PGLWS for the hydropower station under the given outflow and water
level. The difference between the two indicators is the change in power generation of
142 M. Haoyu et al.

the cascade system due to water storage of this station, that is, the BVWS under the
specified discharge and water level.

BVWS i = PGIWS i − PGLWS i (3)

where, BVWS i is the benefit variation due to water storage of ith station under the
specified outflow Qi and water level Z i .
Normalize the water level of each hydropower station of the cascade system, plot
the BVWS of each station under the same outflow on the graph, and finally obtain the
graphs of BVWS for cascade stations under different outflow. The curves of BVWS can
guide the dispatching of cascade stations to maximize the power generation benefits.
Figure 3 shows the BVWS of cascade stations at different water level under various
outflow, where the legend represents different hydropower stations, and the horizontal
axis represents the normalized value of water level.
When the discharge of hydropower station is given, we can find the corresponding
figure of BVWS for this station. Then, given the operating water level, we can get the
value of BVWS for this station from the graph. The operation modes of reservoirs can
be divided into three types: water storage, balance of inflow and outflow and drawdown.
When storing water, the hydropower stations with higher BVWS will prioritize in retain-
ing the water volume. When drawing down, the stations with lower BVWS will release
water first. This strategy can be beneficial for improving the overall power generation
of the cascade system.

4.2 Case Study

Based on the actual scheduling process of cascade hydropower stations, this paper sets up
two cases under the scenarios of water storage and drawdown, and then uses the curves of
BVWS and POA respectively to develop optimal operation plans. The calculation results
and time consumption of two methods are compared to verify the scientific rationality
of the method proposed in this paper.
For Case 1, the current water levels of the four stations are 950m, 785m, 555m
and 373m, respectively. Based on the daily time scale, compile a scheduling plan for the
cascade stations with a total storage capacity of 1.5 billion m3 over 10 days. Table 1 shows
the comparison of the calculation results between the method presented in this paper
and the widely used POA. From Table 1, it can be seen that the scheduling strategy
developed based on the BVWS graphs is basically consistent with POA. Station A
and C respectively retain 0.9 billion m3 and 0.6 billion m3 of water. Additionally, the
calculation time of the method proposed in this paper is significantly less, reducing by
95.5% compared to POA. The BVWS graphs can also be used to explain the calculation
results of optimization algorithms. Under the given operating conditions in Case 1, the
BVWS of station A and C is relatively high, both exceeding 1200 MWh. The BVWS of
station B and D is relatively small, below 1200 MWh. Therefore, it is recommended to
arrange station A and C for storage, which is more conducive to improving the overall
power generation capacity of the cascade system.
For Case 2, the current water levels of the four stations are 965m, 820m, 590m
and 378m, respectively. Using ten days as the calculation scale, develop an operation
 Research on the Dispatching 143

(a) BVWS of each station at different water level

under the discharge of 2000 m3/s

(b) BVWS of each station at different water level

under the discharge of 4000 m3/s

(c) BVWS of each station at different water level

under the discharge of 6000 m3/s

(d) BVWS of each station at different water level

under the discharge of 8000 m3/s

Fig. 3. BVWS under different outflow and water level

144 M. Haoyu et al.

plan for the cascade stations that releases 8 billion m3 of water over twelve ten-day
periods. Table 2 shows the comparison of the calculation results between two methods.
From Table 2, it can be seen that the scheduling strategy developed based on the BVWS
graphs is basically consistent with POA. The drawdown is mainly carried out by station B,
releasing 6 billion m3 of water. Station D lowers the water level to around 370m, releasing
0.7 billion m3 of water. Additionally, the calculation time of the method proposed in this
paper is significantly less, reducing by 94.5% compared to POA. The BVWS graphs
can also explain the results of the optimization algorithm. Under the given operating
conditions, the BVWS of station B and D is relatively small when the water level is
high, below 200 MWh. Therefore, it is recommended to arrange station B and D for
drawdown, which will improve the overall benefits of the cascade system.

Table 1. Comparison of the results obtained by BVWS graphs and POA on Case 1

Indicator Method Station A Station B Station C Station D Total

Water storage (billion m3 ) POA 0.953 0 0.547 0 1.5
BVWS 0.9 0 0.6 0 1.5
Calculation time (s) POA – – – – 112
BVWS – – – – 5

Table 2. Comparison of the results obtained by BVWS graphs and POA on Case 2

Indicator Method Station A Station B Station C Station D Total

Water storage POA 0.868 6.265 0.187 0.681 8
(billion m3 ) BVWS 0.6 6 0.7 0.7 8
Calculation time (s) POA – – – – 128
BVWS – – – – 7

5 Conclusion
This paper defines two indicators: Power Generation Increased from Water Storage
(PGIWS), which characterizes the water head benefits of cascade hydropower stations,
and Power Generation Loss from Water Storage (PGLWS), which characterizes the
impact of backwater jacking between cascade stations. Based on this, an evaluation
index for the power generation benefits of cascade stations, namely Benefit Variation
from Water Storage (BVWS), is constructed. This indicator can intuitively display the
impact of a unit water volume retained by each station on the power generation efficiency
of the cascade system.
The study then focuses on the cascade hydropower stations in the upper reaches
of the Yangtze River. The curves of the BVWS for the cascade stations are drawn,
 Research on the Dispatching 145

which can clearly show the BVWS of each station under different conditions and the
relative magnitude of the indicators among the stations in a simple and clear manner.
Compared with an existing scheduling decision-making method in two scenarios, it
is proven that this method can quickly and efficiently obtain the dispatching schemes
for cascade stations at different time scales. It maximizes the power generation of the
cascade system during the operation period while avoiding the complex solving process
of optimization algorithms.

Acknowledgements. This study was financially supported by National Key Research and Devel-
opment Program of China (Grant No. 2022YFC3202805). The authors are grateful to the reviewers
for their comments and valuable suggestions.

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trajectory approach. Water Resour. Res. 43, W05420 (2007)
2. Zhou, Y., Guo, S., CHANG, F.J., et al.: Methodology that improves water utilization and
hydropower generation without increasing flood risk in mega cascade reservoirs. Energy 143,
785–796 (2018)
3. Gong, W.T., Li, S., Hu, T. et al.: Research on drawdown sequence for cascade reservoirs of
downstream Jinsha River and Three Gorges Reservoirs. Yangtze River 53(09), 187–194 (2022)
4. Yang, G., Guo, S.L., Liu, P. et al.: Multiobjective cascade reservoir operation rules and uncer-
tainty analysis based on PA-DDS algorithm. J. Water Resour. Plan. Manag. 143( 7), 04017025
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6. Ma, Z. P., WANG, S., Li, S. Z. et al.: Research on the classified flood control rules of Longtan
Reservoir. China Rural Water and Hydropower, 116–120 (2018)

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Assimilating FY-4A AGRI Data Based
on a WRF-GSI NWP System and Its Impact
on Precipitation Forecasts

Chen Jian, Yang Dengyu(B) , Wang Jianping, Cao Nianhong, and Tang Zhaokang

NARI Water Resources and Hydropower Technology Company Limited, Jiangsu 210003, China
[email protected]

Abstract. Hydropower and renewable energy prediction require accurate precip-

itation forecast as fundamental, which is computed from Numerical Weather Fore-
cast (NWP) models. Assimilating satellite data has become an important method
to improve NWP model results, especially geostationary meteorological satellites
(GMS) that can provide continuous observation information of weather systems.
The Advanced Geostationary Radiance Imager (AGRI) onboard China’s new gen-
eration GMS, FY-4A, can provide observations of temperature and water vapor
covering the land and surrounding sea areas. Using a newly established WRF-GSI
NWP system, this paper analyzes the impact of AGRI data assimilation on sev-
eral precipitation case forecasts in China. First, channel selection of AGRI data,
along with data thinning and observation error adjustment are performed. Then,
four experiments of precipitation case forecasts are conducted and compared with
each other. The results show that the influence of assimilating conventional data
is mainly located in the inland area of China, while AGRI data can provide more
observation information in the offshore ocean area. AGRI data assimilation can
significantly improve the accuracy of atmospheric temperature and water vapor
at a height of 500 hPa in the coastal area of the model, which further enhanced
precipitation forecasts. The improvement of ETS score for heavy precipitation
is most obvious, the biggest improvement can be up to 60% in the 15 July 2021
case, indicating the addition of AGRI data can ensure the improvement of the ETS
scores of heavy precipitation that larger than 50 mm. The results prove that the
AGRI data has added value to precipitation forecasts in the WRF-GSI NWP sys-
tem, the improved forecast accuracy has great potential on hydrological forecasts,
supporting the development of related hydropower applications.

Keywords: Data assimilation · Geostationary satellite · Rainfall · Numerical

weather prediction

1 Introduction
Hydropower and renewable energy prediction depend on accurate weather forecasts,
which typically relies on the numerical weather forecast (NWP) models. The initial con-
dition of NWP models is the most crucial part, and the data assimilation (DA) technique
is developed to produce better initial conditions.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 146–154, 2025.
https://doi.org/10.1007/978-981-97-9184-2_13
 Assimilating FY-4A AGRI Data Based on a WRF-GSI NWP System 147

Abundant observation information is a prerequisite for DA methods to improve the

initial field of NWP model. Because of the limitations of the spatial and temporal distri-
bution of conventional observations, remote sensing data from satellite platforms have
become the most important source of observations. At present, satellite radiance data
that can be effectively assimilated into NWP can be divided into two categories, the
one is from polar-orbiting satellites and the other one is from geostationary meteoro-
logical satellites (GMS). GMS have a fixed observation position that allows which to
continuously observe weather systems over a large area, providing adequate observation
information for data assimilation. Especially, with the development of new generations
of GMS (e.g., the U.S. GOES-R series (Schmit et al., 2017), China’s FY-4 satellites
(Yang et al., 2017), and Japan’s Himawari-8 satellites (Bessho et al., 2016), etc.), the
high temporal and spatial resolution of GMS data have greatly improved the capacity of
monitoring the Earth’s environment and forecasting of various catastrophic weather.
The research on direct assimilation of GMS data have been developed for years.
The imager data of the U.S. GOES-R satellite and the Japanese Himawari-8 satellite
have been released earlier, and many researchers have been devoted to analysing and
evaluating the impact of assimilation of data from these satellites (Zou and Zhuge, 2016;
Ma et al., 2017; Qin et al., 2017; Honda et al., 2018; Wang et al., 2018; Xu et al., 2023).
China’s FY-4A satellite also carries a new generation of GMS imager named AGRI
(Advanced Geosynchronous Radiation Imager). The number of channels of this new
imager has been increased from the original 5 channels to 14 channels, with higher
spatial and temporal resolution, and capacity of finer temperature and high-level water
vapor detection. However, there are relatively few studies on the assimilation of AGRI
data, especially for operational circumstances.
This paper studies on the assimilation of AGRI data on a newly built WRF-GSI NWP
system, the system, data and methodology are described in order, and the added value
of assimilating AGRI data is evaluated and analysed. The research results can provide
reference for the operational and scientific applications of AGRI data assimilation.

2 Description of NWP System and AGRI Data

2.1 The WRF-GSI NWP System
The WRF-GSI NWP system is a preliminary operational forecasting system built by the
author’s group, which mainly includes three parts: data preprocessing module, assimila-
tion module, and regional forecasting module. The regional forecasting module adopts
the WRF-ARW model. The model has a triple nested forecast area of 9km-3km-1km,
which are shown in Fig. 1. The model provides gradually refined forecast results from
the whole country to the southwest region, and then to Chongqing city, covering key
river basins of concern to the water conservancy and hydropower industry. In terms
of parameterization, the Kain Fritsch cumulus scheme was applied to the outermost
domain, the Thompson microphysical scheme was applied to the nested domain. Other
parameterization schemes include the Yonsei PBL scheme and so on.
The data assimilation module is based on the Gridpoint Statistical Interpolation (GSI)
system. The GSI system is a three-dimensional variational data assimilation system (Shao
et al., 2016) developed by the National Centers for Environmental Prediction (NCEP)
148 C. Jian et al.

of the U.S. National Oceanic and Atmospheric Administration (NOAA). GSI is capable
of assimilating most of satellite, radar, and conventional observations worldwide, and
can run on different hardware platforms. It has good expansion ability in terms of new
observations, new quality control methods, new assimilation control variables etc.
The observation data source of the WRF-GSI NWP system are mainly the sounding
observation data and the AGRI infrared imager data, and the assimilation is carried out
in the outermost domain with 9km grid resolution.

2.2 The AGRI Infrared Imager Data

The AGRI data is a new generation of infrared imager data carried by China’s FY-4A
GMS. The specific parameter information of the AGRI data is given in Table 1 (Yang
et al, 2017), which shows major wavelengths, observation errors and spatial resolution
information of the seven channels. The AGRI data includes visible, near-infrared, and
infrared wavelength bands, but at present, it is mainly the infrared wavelength bands,
i.e., channels 8–14, that can be used for assimilation.

Fig. 1. The nested domain configuration of WRF-GSI operational NWP system

2.3 Configurations of Assimilating AGRI Data

The study directly utilized the corresponding cloud product data that matches the AGRI
data for cloud detection during the assimilation process. Currently, only clear-sky obser-
vations are assimilated in the assimilation system while the cloudy-area observations
are not.
Through the comparison of preliminary tests, all the channels are assimilated in
the oceanic region, but in the terrestrial region, considering the lack of accuracy of the
numerical model in the simulation of the land surface temperature, as well as the variable
surface emissivity which is difficult to be determined accurately, the channels 8, 11–14 in
 Assimilating FY-4A AGRI Data Based on a WRF-GSI NWP System 149

Table 1. Parameters of AGRI instrument

Channel No Central wavelength (µm) Observation error (K) Spatial resolution (km)
8 3.75 0.2 4
9 6.25 0.3 4
10 7.1 0.3 4
11 8.5 0.2 4
12 10.8 0.2 4
13 12.0 0.2 4
14 13.5 0.5 4

the terrestrial region are excluded and only the data of channels 9 and 10 are assimilated.
The assimilation of data from other channels on land requires further study.
To eliminate the correlation of observation errors as much as possible, through analy-
sis and comparison, the original data is thinned to 60km, that is, to select one observation
every 60 km from the 4 km resolution observations, and the selected one is closest to
the model grid point.
Although the observation errors of each channel are given in the parameters of
the AGRI instrument, these errors are only the characteristics of the instrument itself.
Considering the simulation errors of the radiative transfer modes and the forecast errors
of the numerical modes, the observation errors for channels 8–14 are adjusted to 0.8, 0.8,
0.8, 1.2, 1.3, 1.2, and 1.3 K respectively, according to the results of preliminary tests.
The bias correction of the observations is carried out in two steps: firstly, the static
bias-revision, and then the application of the air mass bias-correction method to further
eliminate the systematic bias of the observations. For each channel, four bias correction
operators are used in the air mass bias-correction. The first operator p1,i is equal to 1.0;
the second operator p2,i is calculated as ( cos(α)
1
− 1)2 , where α is the zenith angle of the
satellite; the third operator p3,i and the fourth operator p4,i are related to the attenuation
rate of the transmittance:

lev−1
τiτ = (τik+1 − τik ) × (T k−1 − T k+1 ) (1)
k=2

where lev is the number of mode layers; T k is the Kelvin temperature on the mode layer;
on the lowest layer, the temperature on the layer is replaced by the ground temperature;
and the fourth operator p4,i , is (τiτ − τ τi )2 , which stands for mean transmittance.

3 Experiments and Results

3.1 Experiment Design
In order to evaluate the effect of AGRI data assimilation on the 24-h model forecasts, four
experiments are designed in the study: the first one is the control experiment (CTRL),
which directly uses the FNL data as the initial field for the 24-h forecast; the second
150 C. Jian et al.

one is the CONV experiment, which assimilates only the conventional data; the third
one is the SAT experiment, which assimilates only the AGRI data; the fourth one is the
BOTH experiment, where both of conventional and the AGRI data is assimilated. The
FNL reanalysis data are used as the initial field, after a 6-h forecast for initialization,
the obtained forecast results are used as the assimilation background field. Considering
the computational wall-time requirements in operational scenarios, data assimilation is
performed only once, following a 24-h numerical forecast at present.

3.2 Results of Analysis Increments

The study utilizes a precipitation forecast case experiment on July 15, 2021 to analyze the
improvement of the assimilation system on the results of numerical forecasting. Figure 2
presents the spatial distribution of conventional observations (Fig. 2a) and AGRI satellite
data (Fig. 2b) utilized by the assimilation system on July 15, 2021 at 0000 UTC. The
assimilated conventional observations are mainly sounding data, and the stations are
evenly distributed in the eastern part of China. Satellite data, on the other hand, are able
to cover the whole model area, but only observations of clear-sky area are assimilated
in the system at present because it is difficult to effectively estimate the influence of
clouds on satellite data. The small black dots in the figure below represent the satellite
observations rejected by cloud detection and quality control, while the colors of the other
dots represent the AGRI data that passed the quality control.

Fig. 2. Spatial distributions of assimilated (a) conventional observation and (b) AGRI satellite
data at 0000UTC on 15 July 2021

The spatial distribution of 500 hPa specific humidity (contours in g/kg) and tempera-
ture (contours in °C) and their corresponding analysis increments (shaded) at 0000 UTC
on July 15, 2021 are given in Fig. 3. Firstly, all available observations are assimilated
(the BOTH experiment) and the results are shown in Fig. 3a and Fig. 3b. It can be seen
that through data assimilation, the water vapor in central China has been significantly
reduced, while the temperature has been significantly increased. From the subsequent
precipitation results, it can be seen that these changes not only favors the concentration
of the central precipitation area, but also more conducive to the enhancement of the
precipitation in the eastern part of the country. Then, in order to clarify the impact of
 Assimilating FY-4A AGRI Data Based on a WRF-GSI NWP System 151

the assimilation of AGRI data, the study further analyzes the improvement effect of the
assimilation of AGRI data through sensitivity tests, and the results of specific humidity
for CONV and SAT experiment are shown in Fig. 3c and Fig. 3d respectively. Compar-
ing these two analysis increment maps with BOTH experiment, it can be seen that the
land area is dominated by the analysis increment of the conventional data, especially in
the central part of China, the water vapor is significantly reduced, but the coastal area is
dominated by the analysis increment of the AGRI data, and by assimilating the AGRI
data, it can significantly increase the water vapor in the coastal area of east China. In
addition, for Beijing and Fujian, the assimilation of AGRI data can also significantly
reduce the specific humidity of these two regions.

a b

g/kg

c d

g/kg g/kg

Fig. 3. Spatial distributions of 500hPa specific humidity (a,c,d contours, unit: g/kg) and temper-
ature (b, contours, unit: °C) with corresponding analysis increments (shaded) at 0000UTC on 15
July 2021. Figure 3a and Fig. 3b are for BOTH experiment while Fig. 3c and Fig. 3d are for CONV
experiment and SAT experiment respectively

4 Results of Precipitation Forecast

The study focuses on the impact of data assimilation on precipitation forecasting. Figure 4
shows the spatial distribution of the observed and forecast 24-h cumulative precipitation
(in mm) during 0000 UTC July 15, 2021 to 0000 UTC July 16, 2021. Figure 4a is for the
152 C. Jian et al.

observation provided by the China Meteorological Administration (CMA) (Shen et al,

2014) and Fig. 4b-e are for CTRL, BOTH, CONV and SAT experiment respectively.

a b c

d e

mm

Fig. 4. Spatial distributions of 24h accumulated precipitation (shaded, unit: mm) within 0000-
2400UTC and 500hPa geopotential height (contours, unit: gpm) at 0000UTC on 15 July 2021.
Figure 4a is for observed precipitation, and Fig. 4b-e are for forecasts of CTRL, BOTH, CONV
and SAT experiment, respectively

The observed precipitation, as shown in Fig. 4a, is mainly located in the northern
part of Anhui and Jiangsu, and there is also a large precipitation center in the central
part of China. The result of CTRL experiment (Fig. 4b) is mainly a southwest-northeast
oriented rain band, which distribution is obviously different from observed precipitation.
The precipitation forecast of BOTH experiment is closer to observed data, with two large
precipitation centers, and the precipitation in the central part of the country is obviously
more concentrated. The benefit of assimilation at eastern area is more obvious, the
precipitation forecast of CTRL is mainly located in Shandong, and the rain band have
an obvious southward shift after assimilation, basically located in the northern part of
Anhui and Jiangsu.
Figure 4d and Fig. 4e are the results of CONV and SAT experiments respectively,
these two sensitivity experiments can also overcome the northward bias of rain bands
that yield in the CTRL. In comparison, the assimilation of conventional data improves
the precipitation in the inland areas of China obviously, but the satellite data mainly
improves the precipitation forecast in the eastern part of China, especially the eastern
coastal areas. The conventional data have a better effect on the calibration of the erroneous
precipitation located in Shandong, which is consistent with the fact that the conventional
data assimilation can significantly reduce the specific humidity in the northern part of
 Assimilating FY-4A AGRI Data Based on a WRF-GSI NWP System 153

China. The precipitation forecast in Fujian region is significantly stronger by the model,
as the assimilation of AGRI data can better reduce the specific humidity in this region,
it has a better effect on overcoming the overestimate phenomenon.
In order to quantify the impact of AGRI data assimilation, the ETS scores of 24-h
cumulative precipitation for different threshold scenarios are given in Fig. 5a. The black
line is the CTRL experiment that use FNL data as initial field, the red line is the result of
CONV experiment, and the blue line is the result of BOTH experiment. It can be seen that
the addition of AGRI data further improved the model’s prediction of 24-h cumulative
precipitation, with the most obvious improvement for precipitation more than 30 mm. In
addition, both assimilation experiments can improve the precipitation forecasts by about
20%. While the assimilation of AGRI data slightly improves the forecasts for 10 mm
precipitation, the biggest improvement is in the area of rainstorms where precipitation
larger than 50 mm. The addition of AGRI data can ensure the improvement of the ETS
scores of heavy precipitation, and it can be seen in Fig. 5b that the biggest percentage
of improvement can be up to 60%.

a b
ETS score improvement percentage
ETS score

precipitation threshold (mm) precipitation threshold (mm)

Fig. 5. ETS scores of 24h accumulated precipitation under different thresholds (a) and percentages
of ETS score improvement of 24h accumulated precipitation under different thresholds (b)

5 Conclusions
This study focuses on the assimilation of conventional sounding data and the AGRI data
of China’s FY-4A satellite in a newly built WRF-GSI NWP system. Based on the case
of precipitation on July 15, 2021, the results showed that the assimilation of AGRI data
can improve the accuracy of the NWP system, especially for the prediction of heavy
precipitation, and the AGRI data can provide a wide range of observation information of
China’s offshore, which complements the conventional observation data that basically
located on the land. The sensitivity test also proves that the assimilation of the AGRI
data can improve the skills of precipitation prediction for China’s eastern coastal area.
The improved precipitation forecast has great potential on hydrological forecasts
and renewable energy predictions, the accurate NWP results can further support the
development of related hydropower applications. As a newly built NWP system, it is
necessary to refine the research on the key technologies of AGRI data assimilation in
154 C. Jian et al.

the future. Meanwhile, the introduction of more satellite data is also the next step in the
development of this NWP system.

Acknowledgements. This article is funded by the NARI Group Corporation (State Grid Electric
Power Research Institude) project: Research and System Development of Key Technologies for
New Energy Power Prediction Based on High Precision Numerical Meteorological Forecasting
(5246C5220027).

References
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generation geostationary meteorological satellites. J. Meteorol. Soc. Jpn. 94(2), 151–183
(2016)
Honda, T., Miyoshi, T., Lien, G.Y., et al.: Assimilating all-sky Himawari-8 infrared radiances: A
case of Typhoon Soudelor. Mon. Weather Rev. 146(1), 213–229 (2018)
Ma, Z., Maddy, E.S., Zhang, B., et al.: Impact Assessment of Himawari-8 AHI Data Assimilation
in NCEP GDAS/GFS with GSI. J Atmos Ocean Tech 34(4), 797–815 (2017)
Qin, Z., Zou, X., Weng, F.: Impacts of assimilating all or GOES-like AHI infrared channels
radiances on QPFs over Eastern China. Tellus A 69(1), 1345265 (2017)
Schmit, T.J., Griffith, P., Gunshor, M.M., et al.: A closer look at the ABI on the GOES-R series.
Bull. Am. Meteorol. Soc. 98(4), 681–698 (2017)
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plans of community GSI. Bull. Am. Meteorol. Soc. 97(8), 1427–1440 (2016)
Shen, Y., Zhao, P., Pan, Y., et al.: A high spatiotemporal gauge-satellite merged precipitation
analysis over China. J Geophys Res: Atmos 119(6), 3063–3075 (2014)
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radiances on analyses and forecasts for “7.19” severe storm over north China. J Geophys
Res-Atmos 123(7): 3374–3394 (2018)
Xu, L., Cheng, W., Deng, Z.R., et al.: Assimilation of the FY-4A AGRI Clear-Sky Radiance Data
in a Regional Numerical Model and Its Impact on the Forecast of the “21·7” Henan Extremely
Persistent Heavy Rainfall. Adv. Atmos. Sci. 40(5), 920–936 (2023)
Yang, J., Zhang, Z., Wei, C., et al.: Introducing the new generation of Chinese geostationary
weather satellites, Fengyun-4. Bull. Am. Meteorol. Soc. 98(8), 1637–1658 (2017)
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from NWP background simulations using CRTM and RTTOV. J Atmos Ocean Tech 33(12),
2553–2567 (2016)

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
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The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Improving Dam Safety Using Optical Fiber
Seismic Sensing

Cicero Martelli1(B) , Xinjian Chen3 , Jean Carlos Cardozo da Silva1 ,

Uilian José Dreyer1 , João Paulo Bazzo1 , Daniel Rodrigues Pipa1 ,
Sidnei Helder Cardoso Teixeira2 , Gustavo Macioski1 , Alessandra de Barros2 ,
Silva Bongiolo2 , Beatriz Brusamarello1 , Larissa Wierzynski Kulik1 ,
Gilson Antônio Brunetto3 , Luis Fernando Pedrozo Melegari3 , Huiyi Zhang3 ,
Alexandre Frescki de Oliveira4 , and Marcelo Henrique Bernardy5
1 Federal University of Technology – Paraná, Curitiba, Brazil
[email protected]
2 Federal University of Paraná (LPGA/UFPR), Curitiba, Brazil
3 CPFL Energia, Campinas, Brazil
4 Baesa Energetica, Florianópolis, Brazil
5 CSC Energia, Florianópolis, Brazil

Abstract. This paper presents seismic measurements at a large hydroelectric

power plant dam in the south of Brazil. The seismic measurements were realized
using optical fibre distributed sensor system technology and aim at diagnosing
possible structural problems inside of the dam. Studies carried out at a laboratory
scale dam using geophones as well as optical fiber sensors are also presented.
Results are very promising and indicate the potential of the technology using both
active and passive seismic techniques to solve major monitoring problems that
cannot be addressed by today’s technology.

Keywords: Dam safety · Optical fibre sensing · Seismic sensing

1 Introduction

There are thousands of dams around the world for various purposes across distinct
industries such as mining, electricity generation, residue processing and storing, water
storage among many others. Dams are normally very large infrastructures with hundreds
of meters in length and height composed of enormous volumes of materials. They can
have very simple designs and structures, but they can also be complex in their structure
using several layers of materials of different sizes and densities. There is, however,
one common issue to all dams in the world today, the current structural monitoring
techniques are not just good enough. They lack spatial coverage and resolution, and they
cannot detect what is happening inside of the whole body of the dam. The technique
proposed here based on optical fibre sensing for dynamic seismic reconstruction of the
dam structure has the potential to solve all this issues at once.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 155–164, 2025.
https://doi.org/10.1007/978-981-97-9184-2_14
156 C. Martelli et al.

Seismic monitoring techniques applied to dam monitoring is not something new.

There have been several reports of such technique used in dams with interesting results
(Goldswain and Wesseloo 2020).
Similarly optical fiber sensors have also been used to monitor dams as deformation
and temperature point sensors as well as distributed sensor systems to detect leakage
through the dam walls (Woschitz et al. 2015; Johansson and Sjödahl 2004).
The motivations for the work presented here are:
• There are thousands of dams in Brazil and many of them have structural problems.
• Dams are very large structures and are in remote places and they are subjected to
extremely high loads of water that can generate defects and wearing.
• The standard monitoring technologies are very poor in spatial resolution, sensitivity
and connectivity.
Optical fiber seismic sensing has unique advantages over any other solution and
can allow high resolution and real time information of full body of the dam, increasing
to unprecedent levels the safety of the dam. The seismic technique used in this work
is called MASW (multichannel analysis of surface waves) and it is application with
geophones is also demonstrated as a reference tool.

1.1 Distributed Seismic Optical Fiber Sensing

The sensor technology employed in this work consists of the Distributed Acoustic Sensor
System (DAS). This technique has found several applications in the oil and gas industry
and in the security sector. It is based on the capacity of reconstructing dynamic defor-
mations along the entire length of an optical fibre by detecting the Rayleigh scattering
that happens everytime light is transmitted by the optical fibre. The optical phase of the
scattered light brings valuable information of vibration which can be used to generate
seismic data, for instance. The sensing fibre can be as long as hundreds of kilometres and
the spatial resolution of the measurements as small as 1m with the current technology.
The system used in the work presented here was developed by the authors and oper-
ates under the phase detection mode. The majority of the measurements specifications
this system are just as good as any commercially available equipment.

2 Seismic Signal Reconstruction - MASW

The multichannel analysis of surface waves (MASW) method uses the dispersive proper-
ties of surface waves, commonly Rayleigh waves, propagating through a heterogeneous
medium. The shear wave velocity profile is subsequently obtained by back calculation of
the dispersion data by assuming a layered soil model (Olafsdottir et al. 2018). Compared
to other available methods, surface wave analysis methods are low cost, as well as being
non-invasive and environmentally friendly since they neither require heavy machinery
nor leave lasting marks on the surface of the test site. These characteristics are favorable
for application in already built dams, for example. Other advantages are that the method
is compatible with various types of locations, very fine and coarse grained, granular
gravel, soft rock, and others with limited penetration, and the combination of multiple
dispersion curves (Multichannel) improves resolution and reliability (Yust et al. 2022).
 Improving Dam Safety Using Optical Fiber 157

An application of MASW includes three steps: field measurements, dispersion anal-

ysis and inversion analysis. Surface waves are generated by an active or passive seismic
source and the wave propagation is recorded by multiple sensor points that are evenly
spaced along the survey line.
Techniques with active source present greater precision for nearby layers, but are
limited to depths of up to 30 m. Passive source techniques use environmental vibrations,
such as street traffic or vibrations caused by equipment installations, as in the case of
hydroelectric generators. Passive techniques can reach depths of up to 500 m, and can
even be combined with active techniques to increase the precision of the layers (Park
et al. 2007).
Each multichannel surface wave record is transformed into a dispersion image and
the corresponding fundamental mode dispersion curve is identified. The elementary
dispersion curves are subsequently combined into a single experimental curve and the
uncertainty associated with the combined mean curve evaluated. Finally, the shear wave
velocity profile is obtained by inversion of the combined mean dispersion curve by
assuming a plane-layered elastic earth model. The parameters required to describe the
properties of each layer are shear wave velocity (V S ), compressional wave velocity (V P ),
mass density (ρ) and layer thickness (h).
In the work presented here we merge such powerful technique with the measurement
capabilities of the DAS systems to promote the seismic monitoring of dams.

3 Laboratory Scale Dam

A prototype dam was developed for the study of the optical fiber sensing application
in dams. Figure 1 show images of the dam and fiber cables that are placed at different
locations inside the dam structure. This is the first and an unique laboratory dam in Brazil
and has the potential to allow the development of several monitoring techniques.
There are over 1200 m of optical fibers, including fiber Bragg grating sensors,
installed and six different cable designs to grant a comprehensive study of optical fiber
sensing in dams. The dam has 12m in length, 5.5m in its base and 2m in height.

4 Seismic Analysis and Reconstruction – Field Trials

and Preliminary Results
In the following sessions, the application of the MASW technique with geophones and
the DAS system is presented. The results correspond to measurements that were carried
out on a flat field in the university campus, and they have the objective of demonstrating
some of the potential of the DAS as a tool for seismic analysis. The results with the
DAS system are still preliminary as some numerical corrections are currently being
investigated but they are enough to show that the DAS system has the capacity to measure
just as good as the geophones.
158 C. Martelli et al.

Fig. 1 Laboratory dam built to emulate the real dam where over 1200 m of optical fibers, including
fiber Bragg grating sensors, were installed and six different cable designs to allow a comprehensive
study of optical fiber sensing in dams. The dam has 12m in length, 5.5m in its base and 2m in
height.

4.1 Geophones Measurements

For the survey with geophones, the technique based on refraction seismic was used
(D18 COMMITTEE 2023). The equipment used for seismic acquisition comprised the
following items:
• Geometrics GEODE seismographs;
• Geometrics 13–105-017D vertical coil geophones, with a fundamental frequency of
14Hz;
• Sercel SC3243 horizontal coil geophones, with a fundamental frequency of 14 Hz;
• 5 kg sledgehammer with impact trigger attached;
• 6 cm thick aluminum plate;
• Acquisition software 1 Seismodule Controller Software (SCS), developed by the
equipment manufacturer.
The data was processed with the following programs:
• Visualization of files in the field: Geo2view2;
• Refraction Seismic: Refrapy, with inversion by the seismic tomography method.
The experimental arrangement used is represented in Fig. 2, where 24 geophones
were placed with a spacing of 4 m, along a 100 m length in the field. In each point of
execution, three hammer blows were made, which were accumulated (stacked) on the
seismographs before being transferred to the computer. For the refraction test, excitations
were carried out at relative positions of -18 m, 14 m, 44 m, 74 m, 106 m, with an
acquisition rate of 0.125 ms during 2.048 s.
The result generated by software analysis after processing the files generated in the
test is shown in Fig. 3.
 Improving Dam Safety Using Optical Fiber 159

Fig. 2 Experimental setup used in the geophone tests for seismic tomography reconstruction. 24
geophones spaced at every 4 m along 100 m of length of the field were employed as detailed in
the image by the yellow marks. The red stars consist of the place where the seismic waves were
generated by the impact of a 5kg sledgehammer to the ground.

Table 1 summarizes the results of each layer identified through the refraction tomog-
raphy technique considering S-waves. These results are used as a reference for the
experiment using the DAS system, in the same 100 m region of the field.

Fig. 3 Seismic MASW tomography result using geophones. The image shows a 3D reconstruction
of the velocity profile for the S-waves as a result the experiment carried described in this figure.
In the color map it is possible to observe distinct regions which are accounted for the different
materials of different densities that lead to different acoustic wave propagation velocities.

4.2 Optical Fiber Sensors Measurements

For comparison with the results already obtained in soil assessment with geophones the
MASW method with a “roll-along” type data set and fixed array, proposed by Park 2005
was used (Park 2005). The overview of the test is presented in Fig. 4.
In the test, a single-mode optical fiber, telecommunication standard model Furukawa
OpticLAN, was used, buried 10 cm underneath the ground, with a length of 100 m along
the field, in the same position as the geophones shown in Fig. 2.
The DAS interrogator equipment was configured with an acquisition rate of 1 kHz,
pulse width of 50 ns, gauge length of 1.5 m, and acquisition time of 5 s for each test. The
160 C. Martelli et al.

Fig. 4 Experimental setup for the distributed seismic optical fiber sensing system measurement.
One hundred meters of fiber was used as informed in the image, the spatial resolution of the
measurements was of 1.5 m and the cable was buried 10cm deep into the ground. 50 exciting
shocks were used to generate the acoustic waves as presented by the red stars.

samples were considered for each meter of fiber, resulting in 100 sensor points, spaced
every 1 m (dx = 1 m).
Based on the MASW method, an 8 kg sledgehammer was used as the active source,
starting the shots at the −25 m position (before the buried fiber), advancing every 1 m
until the position 25 m from the fiber.
This test resulted in 51 shots, also generating 51 acquisition files to be processed in
order to obtain the dispersion curve and inversion of each shot, where you can observe
the 3 basic steps for the MASW method, acquisition, dispersion curve and inversion,
as discussed at the beginning of this section. As an example, Fig. 5 presents the results
obtained in shots at −25 m. This procedure was carried out for 51 files shots, from −25
to 25 m.

Fig. 5 Seismic signal resulting from the measurement of a shot at the −25 m position. (a) Wiggle
plot of the response of the 101 measurement points in DataStrain/Time (ms). (b) Calculated dis-
persion curve - phase velocity (m/s) /frequency (Hz). (c) Inversion obtained through the dispersion
curve and soil model, with depth (m) / velocity (m/s).
 Improving Dam Safety Using Optical Fiber 161

The results of each 51 files are interpolated to generate a 2D of velocities, where it is

possible to check the variations of the layers along the entire length of the sensor, 100 m,
as shown in the result in Fig. 6. As can be seen in the map obtained, 5 layers limited to
30 m depth were identified. The average characteristics of each layer are summarized in
Table 1. This result, although preliminary, demonstrates the application capacity of the
DAS system, being compatible with traditional geophone techniques, with advantages
such as ease of installation, real-time monitoring, greater number of sensor points and
greater monitoring distance with a single installation.

Fig. 6 Velocity map obtained with the MASW technique using the optical fiber seismic sensing
system. The map is generated through the interpolation of the 51 files acquired in the test.

Table 1. Average velocities of each layer identified through MASW technique using the optical
fiber seismic sensing system. It is possible to compare with Table 1 and see that the optical fiber
system was able to reconstruct the exact same ground profile as the geophones and the average
velocities of each layer identified through seismic tomography using geophones. Five different
layers are found and they can be directly correlated to geology knowledge of the area.

Layer (m) Type Vs (m/s)

Geophone Optical fiber Type Geophone Optical fiber
0–2 0–2 Vegetable Soil 100 96
2–5 2–5 Sandy Soil 160 165
5–10 5–10 Altered Mudstone 300 323
10–20 10–20 Compact Mudstone 460 440
25–35 20–30 Compact Mudstone 650 620

4.3 Seismic Signals at BAESA Hydroelectric Power Plant

A first field trial was carried out at the BAESA hydroelectric power plant with the
objective of identify natural vibration signals originated from the high power electric
162 C. Martelli et al.

generators as well as to define parameters of a installation with focus on the seismic

analysis and the MASW method. Figure 7 shows a satellite photograph image of the
BAESA dam. The yellow line represents the two optical fiber cables that are connected
in series placed on top of the dam as indicated in the other detailed photograph image
at right hand side. The bottom graph shows the seismic signal measured by the cable
as a car goes over the dam. It is possible to see the two inclined lines indicating the
displacement of the vehicle over time.

Fig. 7 The top image shows a satellite photograph image of the BAESA dam. The yellow line
represents the two optical fiber cables that are connected in series placed on top of the dam as
indicated in the other detailed photograph image at right hand side. The bottom graph shows the
seismic signal measured by the cableas a car goes over the dam. It is possible to see the two
inclined lines indicating the displacement of the vehicle over time.

Figure 8 shows the natural vibration signals at two locations, first nearby the electric
generators, that are the sources of such vibration at approximately 16Hz, and secondly
at the top of the dam showing that the vibration signal propagates the entire dam and
can, consequently, be use as a seismic source for passive seismic.

Fig. 8 Power plant natural vibration signals at two locations, first nearby the electric generators,
that are the sources of such vibration at approximately 16Hz, and secondly at the top of the dam.
 Improving Dam Safety Using Optical Fiber 163

Considering the possible adjustments to identify forced variations in the soil, such as
the region of wells, infiltration and small and medium-sized drillings, it is also intended
to apply the same MASW method to the crest of the Barra Grande dam, for prelimi-
nary calibration using an active source technique, as already demonstrated in controlled
environment laboratory tests. And after this calibration, there will be the application of
passive MASW (Park et al. 2007), where the source of excitation will be the vibration
of the generators, enabling online monitoring and allowing assessment with depth up to
180 m, the approximate height of the dam.

5 Conclusions and Future Work

In conclusion, method for seismic analysis of dams was proposed and partially validated
and the first results are very promising. The prototype dam, unique in Brazil, was built for
studies of optical fiber instrumentation and sensing and will bring a lot of opportunities
on the development of novel sensing techniques as well as methods for processing the
generated signals. First results for both controlled environment and the real dam (Barra
Grande) demonstrate the huge potential of this technique that can be applied to virtually
any dam in. Moreover, finally, is our expectation that by the end the project we will have
demonstrated and developed the full solution that will allow the detection of possible
defects inside the dam structure. There is also the potential of combining the seismic
technique with machine learning methods to measure the flow of liquids inside the dams.
The authors would like to thank CPFL, Baesa, Enercan, and Ceran for technical and
financial support through the Research and Development project PD-03936-2201/2022 –
“Sistema de Monitoramento Sísmico de Alta Resolução de Barragens” with resources
from ANEEL’s R&D program. We also especially thank the financial support provided
by CNPq, CAPES, and FINEP. The laboratory LPGA/UFPR is thanked for the supply
the geophones.

References
1. D18 COMMITTEE: Guide for using the seismic refraction method for subsurface investigation.
[s.l.] ASTM International, 2018. https://doi.org/10.1520/D5777-18. Available in: http://www.
astm.org/cgibin/resolver.cgi?D5777-18. Access 6 dez. 2023 (2023)
2. Olafsdottira, E.A., et al.: Combination of dispersion curves from MASW measurements. Soil
Dyn. Earthq. Eng. (2018). https://doi.org/10.1016/j.soildyn.2018.05.025
3. Park, C.B.: MASW — Horizontal Resolution in 2D Shear-Velocity (Vs) Mapping. KGS Open-
File Report 2005–4, February 17, 2005 (2005)
4. Yust, M.B., et al.: DAS for 2D MASW imaging: a case study on the benefits of flexible sub-array
processing (2022). https://doi.org/10.48550/arXiv.2210.14261
5. Park, C.B., et al.: Multichannel analysis of surface waves (MASW)—active and passive meth-
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doi.org/10.1190/1.2431832
6. Johansson, S., Sjödahl, P.: Downstream seepage detection using temperature measurements
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7. Woschitz, H., Klug, F., Lienhart, W.: Design and calibration of a fiber-optic monitoring system
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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
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Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Research on Real-Time Intelligent Control
Technology for Runoff Cascade Hydropower
Station Group

Bian Lijuan(B) , Yi Zhang, and Li Shuming

Guodian Nanjing Automation Co., Ltd, No. 8 Xinghuo Road, Pukou High Tech Development
Zone, Nanjing, Jiangsu, China
[email protected]

Abstract. An in-depth research was conducted on the real-time scheduling issues

involved in the joint operation of runoff cascade hydropower station under high-
intensity peak-load regulation and frequency regulation requirements, and pro-
posed an intelligent control method for real-time load regulation of runoff cascade
hydropower stations. Based on the characteristics of real-time power generation
scheduling of cascade hydropower stations, ensuring the effectiveness and flex-
ibility of scheduling strategies, taking into account the constraints of reservoir
operation, grid safety, unit operation, and the impact of different water heads on
unit power generation efficiency, aiming to achieve stable water level control of
runoff type hydropower stations and rapid response of cascade total load control.
Real time load Control is divided into two categories: dispatching mode and non
dispatching mode. In the dispatching mode, constructed water power determina-
tion, stable water level, less load regulation, load balance economic dispatching
models, to predict in advance whether the day ahead load planning curve needs
to be adjusted and automatically track the planning curve. In non dispatch mode,
automatically match the abnormal water level control model based on PID reg-
ulation and the stable water level model that meets the requirements of efficient
power generation. At the same time, proposed a water level control solution method
based on successive approximation and multi-objective dynamic programming, as
well as a mixed integer programming model for reducing the difficulty of solving
real-time hydropower scheduling for load allocation. The application of the pro-
posed model in the cascade hydropower stations in the Shaxi River Basin shows
that it can achieve high-precision automatic load adjustment, effectively reduce
the number of regulation times by 6%, and only retain one dispatcher per shift,
greatly reducing the work intensity of operators on duty. This research effectively
improves the centralized control capability and economic operation level of the
watershed, and has rich theoretical and practical significance for promoting the
intelligent and intelligent construction of real-time load scheduling for cascade
power stations.

Keywords: Cascade hydropower stations · Optimize scheduling · Real time

load · Intelligent regulation

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 165–175, 2025.
https://doi.org/10.1007/978-981-97-9184-2_15
166 B. Lijuan et al.

1 Introduction

The Shaxi River Basin is located in the central western part of Fujian Province and
is one of the important tributaries of the Minjiang River. The basin covers an area of
11793 square kilometers and has a slightly feather shaped shape, with abundant hydraulic
resources. The total storage capacity of Longtou Ansha Hydropower Station is 740 mil-
lion m3 , with an installed capacity of 115000 kW. The reservoir has incomplete seasonal
regulation performance, and its scheduling situation has a significant impact on down-
stream hydropower stations at all levels. The Shaxi Water Diversion Center is responsible
for the economic optimization and flood control coordination of Ansha Reservoir, as well
as six power stations including Fenghai, Ximen, Gongchuan, Shaxian Chengguan, and
Gaosha. Except for Ansha Power Station, all other power stations are daily regulating
runoff type, and the water level is greatly affected by the hydrological characteristics of
the upstream and basin. The load and water level safety control of the power station are
very sensitive to water level information. Water level fluctuations exceeding 10cm may
lead to overtopping and dam accidents. Moreover, for every two personnel on duty in
the centralized water control and regulation system, the load adjustment of the runoff
power plant is very frequent and the workload is large, which seriously affects other
flood prevention and dispatch work. It is urgent to achieve automation, digitization, and
intelligence in load adjustment.
This paper mainly studies the joint operation problem of reservoirs in the Shaxi River
Basin, except for the Ansha Hydropower Station. It grasps the operation characteristics
of each cascade power station, research on water level control of runoff type daily regu-
lation power stations, realizes load optimization distribution, ensures safe operation of
power stations, improves the water energy utilization rate and comprehensive benefits of
cascade power stations in the basin, and has important practical significance in reducing
flood control pressure, reducing flood losses, reducing labor costs, and improving water
energy utilization rate.

2 Current Situation and Technical Difficulties

Cascade hydropower stations are usually composed of multiple hydropower stations,
each of which has complex water flow, energy conversion, and water level correlation
relationships. The real-time scheduling of cascade hydropower stations needs to consider
the changing water conditions and coordinated operation between various hydropower
stations. Some hydropower stations are limited by reservoir capacity and real-time
changes in water level on the dam [1]. Real time scheduling of cascade hydropower
stations requires consideration of multiple functions such as power generation, water
supply, and flood control, and requires balancing and balancing different objectives.
At the same time, real-time scheduling of cascade hydropower stations needs to fully
consider the safe and stable operation of hydropower equipment, to avoid equipment
damage or accidents caused by frequent operations.
In terms of real-time automatic scheduling control, existing joint optimization
scheduling technologies mostly achieve scheduling optimization through optimizing
the preparation of power generation plans. However, due to the deviation between the
 Research on Real-Time Intelligent 167

actual load of the power system and the planned load, the method of simply optimizing
power generation plans cannot meet the frequency stability requirements of the power
system. The Gongchuan, Chengguan, and Gaosha power stations in the Shaxi River
Basin allow for the modification of the scheduling plan curve 15 min before the set
time to meet the scheduling needs of the central control center and respond more timely
to changing electricity demand and water conditions. Therefore, it is necessary to cal-
culate a scheduling control scheme with an appropriate length of time. The intelligent
scheduling model of hydropower stations is generally nonlinear and multi constrained,
and the solution of the hydropower scheduling model is very important for timeliness.
The successive approximation dynamic programming method [2] is generally applied to
solve the short-term scheduling model of cascade reservoirs. Many experts and scholars
have conducted research in this area and achieved certain results [3].

3 Overall Technical Framework

3.1 Overall Strategy
The operation personnel of Shaxi Water Diversion Center issue real-time power genera-
tion load instructions to the cascade hydropower station group based on the system load
demand or frequency changes. Real time load regulation of cascade power stations in
the Shaxi River Basin can be divided into two categories: non dispatching mode and dis-
patching mode. The Fenghai and Ximen power stations adopt a non dispatching mode of
water to electricity regulation, while the Gongchuan power station, Shaxian Chengguan
power station, and Gaosha power station adopt a dispatching mode of market dispatch.
These five power station reservoirs have very small storage capacity and basically do
not have any regulating ability. The water level of the reservoirs is prone to steep rise
and fall under the influence of the load of the higher-level power station.
In order to effectively control the changes in reservoir water level and avoid unneces-
sary water abandonment or reservoir depletion, fine monitoring and control of reservoir
water level can be carried out by dividing the water level operation zone into high water
level operation zone, normal operation zone, and dead water level operation zone. Set
a water level control range ZS,down ∼ ZS,up between the dead water level ZS,dead and
the normal storage level ZS,store . If the real-time water level ZS,t on the dam meets the
requirements ZS,up ≤ ZS,t ≤ ZS,store , it is considered to have entered the high water
level operation zone. If the real-time water level ZS,t on the dam meets the requirements
ZS,dead ≤ ZS,t ≤ ZS,down , it is considered to have entered the dead water level operation
zone; If the real-time water level ZS,t meets ZS,down ≤ ZS,t ≤ ZS,up , it is considered to
be in the normal water level operating zone.
In non dispatch mode, take Ximen Power Station as an example, when the water level
enters the operating range of high or dead water level and there is no trend of returning
to the operational zone, the abnormal water level model is automatically matched to
redistribute the power station load, so that the abnormal water level can return to its
operational zone as soon as possible. When the water level is within the operational range,
real-time parameters such as upstream flow rate and current water level are integrated
to match the water level stationary model and maintain the water level in a stable state
(Fig. 1).
168 B. Lijuan et al.

Fig. 1. Composition of real time load distribution model

The short-term power generation optimization scheduling of the Shaxi cascade

hydropower station group generally takes 15 min as a scheduling period, and one or
several days as the scheduling period. In the actual scheduling process, the total load
of the hydropower station group needs to be adjusted in real-time according to the load
indicators issued by the scheduling center, and it needs to meet the scheduling require-
ments while meeting the assessment requirements. In the dispatch mode, it is necessary
to calculate the load for the next period 15 min in advance, and the system will automati-
cally match load balancing model, stabile water level model, less load adjustment model,
and water to electricity model of the economic operation strategy Model composition.

3.1.1 Constraints
1. Water balance constraint
af
Vn,t+1 = Vn,t + (Qn,t
in
− Qn,t
out
)t + Vn,t (1)

where,
Vn,t final storage capacities of the hydropower station during the time period [m3 ].
Vn,t+1 initial storage capacities of the hydropower station during the time period
[m3 ].
Qn,tin average inflow of the hydropower station during the time period [m3 ].

Qn,tout average outflow of the hydropower station during the time period [m3 ].
 Research on Real-Time Intelligent 169

af
Vn,t changes in storage capacity caused by other factors of the hydropower station
during the time period can be ignored [m3 ].
2. Hydraulic connection between steps
in
Qn,t = Qn−1,t−τ
out
+ Qn,t
mid
,n ≥ 2 (2)
where,
in average inflow of the power station during the time period [m3 /s].
Qn,t
out
Qn−1,t−τ average outbound flow rate of the previous power station during the time
period [m3 /s].
τ the time required for the outflow flow from the previous power station to reach the
hydropower station [h].
out
Qn−1,t−τ the interval flow between the previous power station and the hydropower
station during the time period [m3 /s].
3. Reservoir water level constraint

Znmin ≤ Zn,t ≤ Znmax (3)

where,
Zn,t Real time water level on the dam for the power station during the time period
[m].
Znmin The dead water level of the power station during the time period [m].
Znmax The storage level of the power station during the time period [m].
4. Power plant output range limitations
min
Pn,t ≤ Pn,t ≤ Pn,t
max
(4)
wheres,
min represents the minimum output of the power station during the time period
Pn,t
[MW].
max represents the maximum output of the power station during the time period
Pn,t
[MW].
5. Water level and storage capacity relationship

Zn,t = fnZV (Vn,t ) (5)

Zn,t the real-time water level on the dam of the power station at the beginning of the
time period [m].
fnZV the water level storage capacity relationship function of a hydropower station.
6. Tail water level outflow flow relationship
ZQ
d
Zn,t = fn (Qn,t
out
) (6)
wheres,
d the tail water level of the power station during the time period [m].
Zn,t
ZQ
fn the tail water of the hydropower station is a function of the outflow flow rate.
170 B. Lijuan et al.

Power plant dynamic characteristics - NHQ curve function

phq
Pn,t = fn (hi,t Qn,t
P
) (7)

wheres,
phq
fn the dynamic characteristic function of the hydropower station.

3.1.2 Mathematical Models

1. Water to electricity model

On the premise of meeting the water level control requirements of various water conser-
vancy comprehensive utilization departments and cascade power stations, calculate the
discharge volume of each level of power station, and strive to generate electricity with
the highest efficiency and increase power generation, enhancing the safety, stability, and
economic operation of the hydropower system. Objective function:


N 
T
E = max ki Qi,t Hi,t (8)
i=1 i=1

where,
E Generate electricity for cascade power stations;
ki the power plant output coefficient;
Qi,t the power generation flow rate of the power station during the specified time
period [m3 /s].
Hi,t The average net head of power generation for the power station during the first
period [m].
T the number of hours in the time period.
N the total number of cascade power stations.
2. Stable water level model

When the water level of the reservoir is within the control range or in the high water level
operating area, but the inflow flow is less than the outflow flow, or when the water level
is in the dead water level operating area, but the inflow flow is greater than the outflow
flow, under the premise of meeting various safety constraints, with the minimum change
in water level on the dam as the control objective, the inter plant load distribution is
carried out according to flow balance, so as to achieve the matching of load and flow,
and achieve the goal of stabilizing the water level of the reservoir on the dam as much
as possible. Objective function:


N 
T
H = min Hi,j (9)
i=1 j=1

H the amount of water level change during the time period [m].
Hi,j the change in water level of the power station during the time period [m].
 Research on Real-Time Intelligent 171

3. Water level anomaly model

For power plants with small storage capacity and poor regulation capacity, the water
level is greatly affected by upstream water. When the reservoir water level enters the
high water level operating area or the dead water level operating area and there is no
trend of returning to the operational area, the water level on the dam of the power plant
is redistributed by the power plant load to be as close as possible to the middle value of
its operational area after a certain period of execution according to the allocation results,
achieving the goal of returning to the operational area.
PID controller has proportional, integral, differential and other links, and has become
one of the main technologies in industrial control due to its simple structure, good
stability, reliable operation, and convenient adjustment. By taking the outflow flow in
front of the dam, the water level on the dam, and the difference between the calculated
and actual load values as inputs, the real-time operating load can be flexibly increased
or decreased to enhance the robustness of the water level control effect in front of the
dam.
Set the input deviation e(t) to and control the output to u(t); When using PID control,
there are:
 t
de(t)
u(t) = Kp e(t) + Ki e(t)dt+Kd (10)
o dt
wheres,
Kp proportional coefficient
Ki integral coefficient
Kd differential coefficient
Due to the different water level differences that deviate from the operational bench-
mark water level when the water level is abnormal, the adjustment of the unit load will
also have different sizes of adjustment processes. Using the same set of PID adjustment
parameters in the abnormal water level range is difficult to meet the adjustment require-
ments of different dam water levels, which may lead to slow adjustment speed, large
overshoot, and multiple oscillations. Determine the corresponding relationship between
water level difference and load based on the NHQ curve, determine the benchmark coef-
ficient of the PID model, and take into account the amplitude of the current outflow flow
rate change of the superior power station, and make a correction to this coefficient. It
can be represented by the following equation.
K = K × Kb (11)
wheres,
K the adjusted PID coefficient
K Model benchmark coefficient
Kb adjustment coefficient
4. Less load adjustment model

In actual operation, it is necessary to minimize the load fluctuations of certain power

plants to ensure that the load allocated to the power plant has the smallest change relative
172 B. Lijuan et al.

to the current actual output. This requires inter plant load allocation to achieve the
goal of some power plants adjusting their load more and some power plants adjusting
their load less. On the basis of inter station economic operation scheduling, for specific
regulation objects, it is necessary to calculate the number and magnitude of load changes,
and introduce penalty factors separately. The ultimate optimization goal is to minimize
the comprehensive penalty amount, thereby achieving the optimal regulation effect.
Objective function:


N  T
  N
 
max F = max (  
ki Ni,t × li hi,t ) (12)
i=1 t=1 i=1

wheres,
ki penalty coefficient for power plant load adjustment.
li penalty coefficient for power plant load adjustment frequency.
Ni,t real time load during power station period [MW].

3.2 Solving Algorithm

The water level changes of power plants are influenced by various factors, such as
upstream outflow flow, weather changes, sensor measurement noise, etc. Therefore,
water level changes are nonlinear, multi constrained, and time delayed. By adjusting
the load to cause changes in the water level on the dam, the water level on the dam
is self adjusted based on feedback and differential error states, making it closer to the
operational water level range. By gradually approaching the optimal water level operating
range through finite steps, the influence of time delay and nonlinear links on the control
process can be overcome. The regulating system has adaptive ability and can cope with
the characteristic changes between the water level on the dam and the load.
For runoff hydropower stations, water level control is divided into two processes.
Firstly, it is necessary to control the real-time change of water level on the dam towards
the benchmark water level. Then, when the actual water level reaches the target water
level, the water level is kept stable, which is actually a multi-objective scheduling prob-
lem. In response to the “curse of dimensionality” problem in multi-objective dynamic
programming, Xiwei Li proposed an iterative algorithm for multi-objective dynamic
programming in reference [4], which can effectively obtain the non inferior solution
set of multi-objective problems and has achieved good application results. Shushan Li,
Shushan Li, and others proposed a cascade hydropower peak shaving method based on
complex constraint normalization processing strategy in reference [5], and constructed a
mixed integer programming peak shaving model based on MILP. The algorithm process
is shown in Fig. 2.

3.3 Results and Analysis

The controlled water level range and vibration zone information in the Shaxi River Basin
are shown in Table 1.
Fenghai and Ximen power stations do not need to operate according to the superior
dispatch curve. Taking the flow rate change of Ansha Power Station exceeding 100 m3 /s
 Research on Real-Time Intelligent 173

Fig. 2. Real time load distribution solution process

as an example, when the real-time water level on the dam in Fenghai and Ximen is within
the benchmark operating range, the water level stable operation model is preferred, and
the inter plant load distribution is based on flow balance. If it is not within the benchmark
174 B. Lijuan et al.

Table 1. Power station parameters

station High water level Benchmark Dead water level Single machine
operating zone operating zone operating zone vibration zone
(m) (m) (m) (MW)
Fenghai 157.48 157.4–157.45 157.35 4–15
Ximen 166 165.9–165.95 165.87 3–15
Gongchuan 157.5 157.4–157.45 157.35 3–21.5
Chengguan 114.55 114.45–114.5 114.4 5–16
Gaosha 103.1 103–103.05 102.95 7–12.5

operating range, the water level change caused by upstream flow change is considered
on the basis of the water level anomaly model. The Gongchuan, Chengguan, and Gaosha
power stations adopt a water to electricity model, which is later transformed into models
such as stable water level and low load regulation to ensure that each power station
can achieve the goals of low load regulation and stable water level. The target load
adjustment for each station is shown in the table for different changes in outbound
flow of Ansha. From this Table 2, it can be seen that when the change in the flow rate
of Ansha is small, all levels of power stations can achieve less or no load adjustment
through reasonable allocation; When the change is significant, the load of each level of
power station can respond and adjust in the shortest time possible. At the same time,
through secondary load distribution, it ensures that each level of power station operates
in a more economical and reasonable load range, reducing the load adjustment of power
stations while achieving maximum economic efficiency.

Table 2. Load distribution adjustment results

Ansha flow changes Initial load 10 50 150

(m3 /s) (MW) Adjusting load Adjusting load Adjusting load
(MW) (MW) (MW)
Fenghai 8 0 5.6 14.6
Ximen 10 0 3.6 10.9
Gongchuan 12 0 4.3 13
Chengguan 14 0 4 11.8
Gaosha 12 0 5 13.5
 Research on Real-Time Intelligent 175

4 Conclusion

In the cascade power station group in the Shaxi River Basin, the runoff type power
station aims to achieve water level safety control and rapid response to the total load
regulation of the cascade. It constructs economic dispatch models such as water fixed
electricity, abnormal water level, stable water level, less load regulation, and load balance,
and establishes model clusters for both regulation and non regulation modes to achieve
intelligent load regulation of high-intensity peak shaving and frequency regulation needs
in the power system. Taking 2023 as an example, the proposed model can achieve high-
precision automatic load adjustment, effectively reducing the number of adjustments
by 6%, and retaining only one dispatcher per shift. This study effectively enhances the
centralized control capability and economic operation level of the watershed, and has
rich theoretical and practical significance for promoting the intelligent construction of
real-time load scheduling for cascade power stations.

References
1. Jiekang, W., Jianquan, Z.: A new strategy for short-term scheduling optimization of cascade
hydro plants based on chance-constrained programming. Proc. CSEE. 28(1), 41–46 (2008)
2. Gao, H.: Run-of-river hydropower plant power generation optimize and short-term load
capacity forecast. School of Electrical and Electronic Engineering (2017)
3. Wang, B., Li, H.-G., Ai, X.-R.: Optimal operation of cascade reservoirs based on dynamic
feasible region (2022). https://doi.org/10.20040/j.cnki,1000-7709.2022.20212599
4. Li, J.: Research on multi-objective optimal operation and decision methods for cascaded
reserviors. School of Economics and Management (2014)
5. Shushan, L., Li, C., Wu, H.: Peak shaving method of cascade hydropower stations based
on normalization processing strategy with complex constraints. Power Syst. Technol. 47(9),
3576–3585 (2023)

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
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The images or other third party material in this chapter are included in the chapter’s Creative
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statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Application of Tower Type Cyclone Stabilizing
Cylinder Concentration Technology
in Wastewater Treatment of Sand and Gravel
Processing System of Batang Hydropower
Station

Wei Zhang1,2(B) , Xingyu Li3 , and Dong Zhang4

1 Zhejiang Huadong Engineering Consulting Co., Ltd., Hangzhou, China
[email protected]
2 Huadong Engineering Corporation Limited, Hangzhou, China
3 Sichuan Duowei Filtration Equipment Co., Ltd., Deyang, China
[email protected]
4 Guiyang Engineering Corporation Limited, Guiyang, China

[email protected]

Abstract. The artificial sand and stone processing plant has always been a major
pollutant discharge household in hydropower station construction, and the prob-
lems of dust and waste water are more prominent. In order to solve the problem
of waste water, the artificial sand and stone processing system often uses the wet
production process, combined with the sewage treatment facilities to treat the
waste water produced by the system, and the pollution particles are precipitated
and dehydrated again. The proper measures can realize the zero discharge of waste
water. The treatment method of flocculation sedimentation and mechanical dehy-
dration is often used in domestic sand and stone processing system wastewater.
The key of the treatment process is flocculation sedimentation, and the control of
sludge floc formation speed and separation effect. This paper introduces a new
flocculation and sedimentation technology “tower type cyclone stabilizing cylin-
der concentration technology”. This technology absorbs the advantages of tower
type sedimentation technology and cyclone type sedimentation tank technology.
By setting up mixed flow tank, stabilizing cylinder and other structures, and com-
bining with field flocculation test and technical fine-tuning, the optimal dosage of
flocculant is determined, so as to control the formation speed and separation effect
of sludge flocs in a relatively ideal range Status. The process has been successfully
applied in the no wastewater treatment of the sand and gravel processing system of
Batang hydropower station, and good results have been achieved, which is worthy
of reference.

Keywords: artificial sand and stone processing plant · flocculation

sedimentation · tower sedimentation · cyclone sedimentation · sludge
thickening · chamber filter press

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 176–185, 2025.
https://doi.org/10.1007/978-981-97-9184-2_16
 Application of Tower Type Cyclone Stabilizing Cylinder 177

1 Preface

With the development of China’s economy and society, the problem of environmen-
tal pollution has become increasingly prominent, people’s awareness of environmental
protection has gradually increased, and green, efficient and sustainable development
has become the trend of current social development. A large amount of sand and gravel
aggregates are required in the construction process of hydropower projects, and artificial
sand and gravel processing systems are often set up in the work area in order to solve
the aggregate supply. The artificial sand and gravel processing system has always been
a major polluter in the construction of hydropower stations, and the problems of dust
and wastewater are more prominent. The processing technology of artificial sand and
gravel processing system is divided into two types: dry and wet, and the wet produc-
tion process is often used in engineering construction, with the wastewater generated
by the sewage treatment facility treatment system, and the pollution particles are pre-
cipitated and dehydrated, and the measures are appropriate to achieve zero discharge of
wastewater.
The wastewater of domestic sand and gravel processing system often adopts the
treatment method of flocculation sedimentation + mechanical dehydration, the floc-
culation and sedimentation methods mainly include advection sedimentation, radiation
precipitation and cyclone precipitation, and the mechanical dehydration methods mainly
include belt filter press, disc vacuum filter and chamber filter press [1–3]. At present,
the commonly used mechanical dehydration method is the chamber filter press, which
has the characteristics of good filtration effect, low equipment cost, low operating cost,
good equipment stability, easy maintenance and overhaul, etc., and has a wide range of
applications in sand and gravel processing systems. The selection of flocculation and
sedimentation mode is generally determined according to the production intensity of
the sand and gravel processing system and the content of waste cement sand. Several
wastewater flocculation and sedimentation treatment methods have the characteristics of
large footprint, limited sludge collection volume and large operation workload, and the
sludge cannot be removed and transported in time, and often cause the sludge discharge
facilities to be easily blocked and damaged [4]. In this paper, a new flocculation and
sedimentation technology “tower cyclone stabilizer cylinder concentration technology”
is introduced, which has been successfully applied in the wastewater treatment of the
sand and gravel processing system of Batang Hydropower Station, and has achieved
good results, which is worthy of reference.

2 Project Overview

Batang Hydropower Station is located on the main stream of the Jinsha River at the
junction of Sichuan and Tibet, surrounded by lofty mountains and mountains, the right
bank of the dam site is Mangkang County, Qamdo, Tibet, and the left bank is Batang
County, Ganzi, Sichuan, and the dam site is 9 km south of Batang County. The power
station adopts the hub layout pattern of asphalt concrete core wall dam rockfill dam, left
bank spillway, open pipe water diversion and ground plant, mainly for power generation,
and is the 9th power station among the 13 cascade power stations in the approved
178 W. Zhang et al.

hydropower plan in the upper reaches of the Jinsha River, with a total installed capacity
of 750 MW.
The sand and gravel processing system of Batang Hydropower Station needs to
undertake the production and supply of sand and gravel aggregates of 1,309,200 m3
of concrete (including about 1,270,100 m3 of normal concrete and about 39,100 m3 of
sprayed concrete), 214,800 m3 of dam transition material and 61,900 m3 of dam filter
material of Batang Power Station, and the production capacity of finished aggregate
is not less than 700 t/h and the wool processing capacity is not less than 850 t/h. The
water equipment in the system is the second screening workshop, large stone, medium
stone, small stone washing screen, rod mill, coarse crushing, medium and fine crushing
workshop spray dust removal, stone powder washing and other equipment, as well as
road washing. Combined with the process design of the sand and gravel processing
system, the water consumption of the system is calculated to be 512.14 m3 /h, and the
wastewater is generated to be 451.2 m3 /h, and the process design and configuration of
the wastewater treatment system is carried out according to 500 m3 /h in order to ensure
the normal and stable production and operation of the wastewater treatment system.

Fig. 1. Geology of the source of concrete wool mining

The raw material of the sand and gravel processing system is weakly weathered and
slightly weathered material on the left bank slope, and the main component is biotite
quartz schist. The geological structure of the wool reclaiming area is relatively complex,
mostly strong weathering, fault joints are relatively developed, and a large amount of
mud is mixed in the fractures, which is poor in overall quality as wool and has a large
concentration of pollutants in the production of waste cement slurry. See Figs. 1 and 2
for details. On the basis of a comprehensive comparison of the layout area and sewage
treatment capacity of different sewage treatment process systems, the technical staff
selected the tower swirl stabilizer wastewater concentration and purification process.
The process has the characteristics of simple structure, flexible size, low cost, small
footprint, good sludge concentration effect, high treatment efficiency, high circulating
 Application of Tower Type Cyclone Stabilizing Cylinder 179

Fig. 2. Wastewater from sand and gravel processing system

water quality, low failure rate and easy operation, which can achieve all sewage recycling
and realize "zero" discharge of production sewage.

3 Tower Cyclone Stabilized Cylinder Sewage Wastewater

Concentration and Purification Process

3.1 Process Principle

The core of the wastewater concentration and purification process of the tower cyclone
stabilized cylinder lies in the sludge thickening technology. First of all, an appropriate
amount of flocculant is added to the wastewater for mixing reaction, and then the sludge
floc and clarified water with a higher concentration are separated from the wastewater
through the tower cyclone stabilizer thickening tank (hereinafter referred to as the high-
level concentration tank) dedicated to this process. The clarified water overflows directly
into the clear water pool, and the sludge floc with higher concentration is transported to
the box filter press through the sludge pump and sludge pipeline, and is dewatered and
separated into sludge cake and clean water [4–8].

3.2 Process Flow Diagram

See Fig. 3.

3.3 Schematic Diagram of the Overall Sewage Treatment Process

See Fig. 4.
180 W. Zhang et al.

Fig. 3. Sewage treatment process flow diagram

Fig. 4. Schematic diagram of sewage treatment process

3.4 Wastewater Collection

The wastewater generated in the process of sand and gravel aggregate processing and
site flushing wastewater are introduced into the wastewater collection tank through the
wastewater diversion tank, and the wastewater is transported to the mixed flow tank of
the high-level concentration tank through the slurry pump and conveying pipe set up.

3.5 High-Level Concentrator Tank

The high-level concentration tank is a solid-liquid separation equipment specially

designed based on the principle of gravity sedimentation, which is composed of wastew-
ater feed pipeline, mixed flow tank, steady flow cylinder, concentration tank body,
overflow tank, mud transportation pipeline and other components.
 Application of Tower Type Cyclone Stabilizing Cylinder 181

Flocculation Wastewater af- Clarified Concentrated

Wastewater
agents ter flocculation water slurry

The mixed flow tank is a mixing device of waste water and flocculant, the wastewater
in the collection tank is transported to the top of the mixed flow tank through the slurry
pump, the flocculation device injects the flocculant into the sewage, and the wastewater
and the flocculant are mixed evenly in the mixed flow tank under the action of gravity,
and are injected into the steady flow barrel through the guide tank.
The steady flow barrel is vertically arranged in the center of the tank, and the evenly
mixed sewage is injected into the high-level concentration tank through the steady flow
barrel, and the component mainly plays the role of stabilizing the water flow of the tank.
The upper part of the thickening tank is cylindrical, and the lower part is conical,
which is the reaction vessel of wastewater and flocculant. Wastewater and flocculant are
mixed and reacted in the mixed flow tank and then flow into the steady flow cylinder of the
high-level concentration tank, and the flocculation reaction occurs in the concentration
tank body, and the flocculation reaction occurs in the concentration tank body, and the
flocculent matter with large specific gravity is separated from the water and deposited
downward to the bottom of the high-level concentration tank, and the clarified water after
separation gradually rises and flows into the clear water pool from the tank overflow tank.
The bottom of the lower conical tank is provided with a slurry outlet, which is
connected with the chamber filter press through the pipeline, and a slurry pump is
arranged on the pipeline to transport the high-concentration mud at the bottom of the
tank to the filter press. The sludge deposited at the bottom of the tank enters the filter
press through the sludge output pipeline and the filter press feed pump for solid-liquid
separation.
The practice shows that the precipitation effect of wastewater staying in the high-
level concentration tank for more than 40 min is better. Therefore, the structure design
of the high-level tank steady flow cylinder should ensure that the effective volume of the
tank is not less than 40 min sewage production, and generally take 1–1.5 times of the
182 W. Zhang et al.

hourly wastewater treatment volume as the volume value of the high-level concentration
tank.

3.6 Accident Pool

There is an accident pool below the sludge thickening tank, which is a temporary wastew-
ater storage tank set up to prevent the failure of each operating component in the wastew-
ater treatment process and affect the wastewater treatment. When the slurry pump fails
and needs to be replaced, there is a possibility that the wastewater will overflow from the
cone-bottom wastewater collection tank to the outside of the pool, and the tank overflow
wastewater will be discharged to the accident pool for temporary storage.

3.7 Flocculant Test

The dosage of flocculant is one of the core keys of the control of this process method, and
the appropriate amount of flocculant can accelerate the precipitation of sludge particles in
sewage, and at the same time can prevent the separation of sludge and water too quickly,
resulting in the blockage of the sludge pipeline. The amount of flocculant should ensure
that most of the suspended flocculent particles in the wastewater can be separated and
precipitated to the lower part of the tank within 15–30 min under the action of gravity.
The dosage of flocculant needs to be determined in the indoor flocculant precipitation
test before formal production, and the method steps are as follows:
1. Take 3 1000 mL graduated cylinders and fill each with 1000 mL of wastewater.
2. Different doses of flocculant were mixed into three graduated cylinders, the sedi-
mentation of particulate matter in the water was observed, and the position of the
sedimentation interface was recorded every 1 min.
3. Draw the settlement curve based on the recorded data.
4. After standing for 10 min, the supernatant was precipitated and tested, and the SS
should be less than 100 mg/L.
Considering that the water in the high-level concentrated tank is constantly stirring
during the actual production, the sedimentation time of the wastewater should be con-
trolled at 10–15 min in the indoor flocculation and sedimentation test. According to
the flocculation and precipitation test, the amount of flocculant with a sedimentation
completion time of 10–15 min was selected as the production control dosage. If the
precipitation time of the three groups of tests cannot meet the requirements, the amount
of flocculant will be adjusted and then another round of tests will be carried out until the
flocculant output that meets the requirements is selected.

3.8 Flocculation Dosing Control Device

The flocculation dosing control device is arranged at the top of the high-level concen-
tration tank, and is composed of a drug filling device, a stirring tank device and a drug
storage box. The main function is to dissolve the flocculant and control the measurement
of the flocculant added to the wastewater. The step is to first dilute the flocculant in the
 Application of Tower Type Cyclone Stabilizing Cylinder 183

agent storage box, then further dilute the diluted agent in the stirring tank device, and
finally adjust the flow control valve on the screw push rod of the drug addition device
and fill it into the wastewater of the mixed flow tank.
The mixed flow tank is a circular shape, and the flow direction of the wastewater
and the flocculant is constantly changing while flowing in the mixed flow tank, and the
hydraulic turbulence of the wastewater flow makes the flocculant and the wastewater
fully mixed and stirred, and the wastewater and the flocculant react with the flocculant.
Observe the alum flower produced after the reaction between the wastewater and the
flocculant in the mixed flow tank, and appropriately adjust the flow control valve on
the automatic agent filling device to ensure that the wastewater and the flocculant react
quickly to form large flocculents to achieve the purpose of sludge thickening.

3.9 Filter Press

The chamber filter press is a kind of intermittent pressure filtration equipment, and its
main function is the dewatering of sludge, so that the mud cake with low moisture content
formed after the filter press is convenient for transportation [7].
The main structure of the chamber filter press is that the filter plates are arranged
to form a filter chamber, the two sides of the filter plate are recessed, and every two
filter plates are combined to form a compartment-shaped filter chamber, and the filter
cloth is embedded. There are through holes in the center and corners of the filter plate,
which after assembly form a complete channel, which can pass through the suspension,
wash water, and lead out the filtrate. There are handles on both sides of the filter plate to
support the cross beam, and the filter plate is pressed by the pressing device. The filter
cloth between the filter plates acts as a seal.
In wastewater treatment, under the pressure of the conveying pump, the wastewater
that needs to be filtered is sent to each filter chamber, and the solid and liquid are separated
through the filter cloth. Filter residue is formed on the filter cloth until it fills the filter
chamber to form a filter cake. The filtrate passes through the filter cloth and flows along
the filter plate groove to the lower outlet hole channel for centralized discharge. After
filtration, open the chamber filter press to remove the filter cake.
In order to ensure that the sewage treatment work of the filter press does not stagnate
when the filter cake is discharged, one unit is generally added as a backup on the basis
of the theoretical configuration number.
By means of a chamber filter press, most of the free water in the large floc sludge
deposited at the bottom of the high-level thickening tank can be separated from the
sludge.

3.10 Clear Water Pool

The clear water tank is used to collect the overflow clarified supernatant of the high-
level concentration tank and the clarified filtrate filtered by the chamber filter press, and
the clean water in the clear water tank is used for the production water of the artificial
aggregate production site to achieve zero discharge of wastewater. The clear water pool
is made of concrete and arranged around the perimeter of the high-level concentration
tank.
184 W. Zhang et al.

3.11 Sludge Drying Tank

The sludge drying tank is mainly used to store the sludge cake mixed with the filter press
for drying and dewatering. When the sludge in the sludge drying tank reaches a certain
amount, it is cleaned and transported to the slag yard by dump truck for storage.

4 Running Effects
The wastewater treatment system of the sand and gravel processing system of Batang
Hydropower Station was officially put into operation in May 2020, and it was controlled
in strict accordance with the “zero discharge” of production wastewater. According to
statistics: as of January 10, 2021, sand and gravel processing has produced a total of
765,173 tons of various aggregates and 1,007,300 tons of production wastewater, all of
which have been recycled by the concentration technology of the lap cyclone stabilizer
cylinder, with a wastewater recovery rate of 100% and about 100,000 tons of waste
residue.
After testing, the SS of solid suspended solids in sewage produced before treatment
was about 10000 mg/L; After being treated by the tower cyclone stabilizer cylinder
concentration technology, the SS of the sewage solid suspended solids is not higher than
100 mg/L, and the removal rate of the main pollutants reaches more than 99.5%, which
meets the requirements of production water, realizes the “zero” discharge of sewage,
effectively protects the water quality of local rivers, and achieves good environmental
protection effects.

5 Summary
The key to the sand and gravel processing wastewater treatment process is flocculation
and sedimentation, and the key to the flocculation and sedimentation treatment process
is the speed of sludge floc generation and separation effect. The formation of sludge floc
is slow, and the solid-liquid separation effect is poor, which will lead to poor removal
rate of contaminants from the overflow supernatant, and the system has to increase the
secondary sedimentation facility, which increases the treatment cost [5]. The formation
of sludge floc is too fast, the solid-liquid separation effect is good, it is easy to cause the
blockage of the sludge pipeline, and the system failure maintenance rate is high [8, 10].
The new flocculation and sedimentation technology “tower cyclone stabilizer cylin-
der concentration technology” introduced in this paper can better solve the problems of
sludge floc generation speed and separation effect. This technology draws on the advan-
tages of tower sedimentation technology and cyclone sedimentation tank technology
[4, 5, 10]. By setting up the mixed flow tank, stabilizer cylinder and other structures,
and combining the on-site flocculation test and technical fine-tuning to determine the
optimal dosage of flocculant, the formation rate and separation effect of sludge floc are
controlled in a relatively ideal state.
Although the construction investment and operating cost are relatively high, the
sewage treatment effect is good, and the large water resources can be saved, and it has
a wide range of popularization and use value in areas where environmental protection
requirements are relatively high, the terrain is narrow or water resources are scarce.
 Application of Tower Type Cyclone Stabilizing Cylinder 185

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
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The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Seismic Safety Evaluation of a High Arch
Dam-Foundation Coupling System

Chunli Yan, Jin Tu(B) , Hui Liang, Shengshan Guo, and Deyu Li

China Institute of Water Resources and Hydropower Research, Beijing 100038, China
[email protected]

Abstract. The seismic safety evaluation of the dam is performed based on either
dam strength failure or dam abutment instability failure according to the traditional
deterministic methods and concepts in the current code. However, these two failure
modes are interactive and inseparable, considering only one failure mode under a
strong earthquake fails to fully reflect the actual seismic performance of high arch
dams. To develop a more realistic seismic safety evaluation framework for high
arch dams, this paper constructs a finite element analysis model that considers the
coupling of dam strength failure and dam abutment instability failure. The nonlin-
ear dynamic response analysis of the high arch dam-foundation coupling system
is conducted using the seismic overload analysis method. Different performance
evaluation indexes, such as damage depth-thickness ratio, sliding area ratio, and
the residual displacement of the dam crest relative to the dam bottom in the stream
direction, are proposed. The performance evaluation criteria and ultimate seis-
mic capacity are defined and quantitatively assessed. The results indicate that 2.0
times the horizontal PGA can be considered the ultimate seismic capacity of the
high arch dam-foundation coupling system, providing a reliable scientific basis
for seismic safety evaluation of high arch dams.

Keywords: high arch dam · strength failure · instability failure · seismic safety
evaluation

1 Introduction

Seismic response and failure mechanisms of concrete dams are highly complex under
strong earthquakes. Overstressing, joint opening and sliding, and other failure modes
may simultaneously occur under strong earthquakes, according to the existing cases of
concrete high dams suffering from strong earthquakes [2, 3, 6]. These different failure
modes are key concerns in the seismic design and safety evaluation of high dams.
Fruitful research on dam strength failure and dam abutment instability failure has
been achieved. Omidi et al. [16, 17] employ a plastic-damage model to simulate the
stiffness degradation and permanent deformation of dam concrete. Alembagheri et al.
[1] conduct damage assessment of arch dams by nonlinear incremental dynamic analysis
and investigate the damage propagation through the dam body. Guo et al. [8] investigate
seismic damage distribution and maximum joint opening of arch dams under different

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 186–196, 2025.
https://doi.org/10.1007/978-981-97-9184-2_17
 Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling System 187

water levels, taking into account contraction joints and concrete damage cracking. Zenz
et al. [19] suggest that while the rigid body method may be conservative for analyzing
abutment stability under strong earthquakes, the finite element method is highly suitable
for such analysis. Liang et al. [12] establish a 3D finite element model of an arch dam-
block-foundation system considering contraction joints, dam-foundation interface, and
potential sliding blocks of dam abutment. The influence of uplift pressure on the stability
of dam abutment is studied [15]. However, all of these existing studies only consider
dam strength failure or sliding instability failure of dam abutment, making it difficult
to truly reflect the seismic failure process and mechanism of high arch dam-foundation
systems. At present, there is no relevant research on seismic analysis of high arch dam
foundation systems considering the coupling of two failure modes.
Moreover, seismic analysis and safety evaluation of high arch dams are quite com-
plicated problems that are affected by many complex factors. Plenty of researchers
have been devoted to finding appropriate evaluation indexes and evaluation criteria.
Hariri-Ardebili et al. [9, 10] use demand-capacity ratio, cumulative inelastic duration,
and extension of overstressed areas on upstream and downstream faces as performance
indexes to emphasize the necessity of nonlinear analysis. Liang et al. [13] select sliding
displacement and sliding area ratio as an index for seismic sliding stability evaluation
of high dams. While there are no universal performance indexes and safety evaluation
criteria for concrete dams, a single evaluation standard can no longer meet the require-
ments [20]. Therefore, it is necessary to perform seismic safety evaluation of high arch
dams from various perspectives, using a comprehensive finite element model that truly
reflects the seismic response of high arch dam-foundation systems.
Hence, a high arch dam-foundation coupling model is established, considering the
material nonlinearity of dam concrete and contact nonlinearities of the dam-foundation
interface, contraction joints, and sliding surfaces of potential dam abutment blocks.
Nonlinear seismic response analyses are performed under different overload coeffi-
cients. Then, the seismic failure process and mechanism are investigated using evaluation
indexes such as the damage depth-thickness ratio, sliding area ratio, and residual dis-
placement of the dam crest relative to the dam bottom in the stream direction. Moreover,
the ultimate seismic capacity is comprehensively evaluated, which provides a reliable
scientific basis for the seismic safety evaluation of high dams.

2 Computational Model and Condition

2.1 Finite Element Model

Taking an arch dam as an example, a three-dimensional finite element model of a high

arch dam-foundation coupling system is first constructed, incorporating the dam, poten-
tial sliding blocks at the left and right dam abutments, and the foundation, as shown in
Fig. 1. The finite element model of the dam body is depicted in Fig. 2. Figure 3 shows
potential sliding blocks at left and right dam abutments. The large-scale finite element
model comprises 3548298 nodes and 3329118 elements, resulting in a total of 10.64
million degrees of freedom. The dam is separated into 31 adjacent monoliths by 30
vertical contraction joints according to the actual situation.
188 C. Yan et al.

Fig. 1. The finite element model of high arch dam-foundation coupling system

Fig. 2. The finite element model of the dam

Fig. 3. The left and right sliding blocks and its supporting surfaces

2.2 Computational Condition

Material nonlinearity of the dam and contact nonlinearity of contraction joints, dam-
foundation interface, and potential sliding blocks at the dam abutment are comprehen-
sively considered. The material nonlinearity of the dam concrete is simulated using
the concrete damage model, as described in references [4, 5, 11]. The damage evo-
lution curve of dam concrete is shown in Fig. 4. The contact nonlinearity of various
joints is simulated using the dynamic contact model, detailed in reference [7]. The shear
parameters of different joint interfaces are shown in Table 1.
The static and dynamic load: the self-gravity of the dam, water pressure, sediment
pressure, uplift pressure, and seismic load. The upstream normal water level is 600 m.
Upstream sediment elevation is 490 m. The bulk density of sediment is 5 kN/m3 and
the internal friction angle is 0°. Dynamic interaction between the dam and reservoir
is modeled using Westergaard’s added mass model [18]. The horizontal peak ground
 Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling System 189

acceleration (PGA) is 0.432 g, and the vertical PGA is 2/3 of it. The time histories of
three components of artificial earthquakes are shown in Fig. 5.

Fig. 4. The curve of dynamic damage evolution of dam concrete

Table 1. Shear parameters of different joint interfaces

Joint interface Friction coefficient Cohesion (MPa)

Contraction joints 0.8 0.0
Dam-foundation interface 1.1 1.1
Left side sliding surface 1.2 1.8
Left bottom sliding surface 0.435 0.09
Left cracking surface 0.0 0.0
Right side sliding surface 1.2 1.8
Right bottom sliding surface 0.5 0.17
Right cracking surface 0.0 0.0

Fig. 5. Artificial earthquake

3 Results and Discussions

The nonlinear dynamic response analysis of the high arch dam-foundation coupling sys-
tem is performed using the seismic overload analysis method. Different seismic overload
coefficients of 0.2, 0.4, 0.6, 0.8, 1.0, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8, 2.0, 2.2, and 2.4 are
190 C. Yan et al.

employed. Different indexes are proposed to qualitatively and quantitatively evaluate the
seismic performance of dams, including the ratio of maximum damage cracking depth
Ldc to dam thickness T at the same elevation (maximum damage depth-thickness ratio,
αLT = Ldc /T), the ratio of effective sliding area Ars to total area A of the bottom sliding
surface (sliding area ratio, βrs = Ars /A), and the residual displacement of the dam crest
relative to the dam bottom in the stream direction. Additionally, performance criteria are
defined.

3.1 Strength Failure Mode-Based

Figure 6 shows damage distributions of the dam cantilever section corresponding to the
maximum damage depth-thickness ratio under different seismic overload coefficients.
Figure 7 shows the maximum damage depth-thickness ratio under different seismic
overload coefficients. From Fig. 6 and Fig. 7, slight damage occurred at the dam heel,
and no macroscopic cracking (generally corresponding to a damage factor greater than
0.8) occurred at the dam head when earthquake overload coefficient ranges from 0.0 to
0.6. Slight damage occurred at the upstream and downstream surfaces, with the max-
imum damage depth-thickness ratio ranging from 2.5% to 49% when the earthquake
overload coefficient ranges from 0.8 to 1.6. As the overload coefficient continues to
increase, damage cracking rapidly increases and gradually extends to the interior of the
dam. Moreover, severe damage occurs at upstream and downstream surfaces. When the
overload coefficient is 1.8, the maximum damage depth-thickness ratio reaches 100%,
indicating the occurrence of a penetrating crack.
Thus, if the occurrence of a penetrating crack is taken as the failure criterion, the
ultimate seismic capacity of the dam based on the damage indexes is 1.7 times the
horizontal PGA, i.e. 0.7344 g.

3.2 Instability Failure Mode-Based

Figure 8 shows the residual sliding displacement contours of left and right bottom sliding
surfaces under different overload coefficients. Figure 9 shows the sliding area ratio
of left and right bottom sliding surfaces under different overload coefficients. From
Fig. 8 and Fig. 9 can be observed that the residual sliding displacement and sliding
area ratio gradually increase with the increase of overload coefficient, and the overall
variation trend of the corresponding curves on the bottom surface of left and right dam
abutment blocks are similar. When the overload coefficient is 0.2, the bottom sliding
surfaces have slid, but the sliding area is relatively small and the arch dam remains
stable. Then, the sliding area expands rapidly with the increase of seismic overload
coefficients. When the overload coefficient is 1.5, the left sliding area ratio reaches
100%, indicating that the left bottom sliding surface has overall sliding, while the right
sliding area ratio is 80%. Subsequently, the right sliding area ratio reaches 100% when
the seismic overload coefficient is 2.4, indicating the occurrence of overall instability of
the high arch dam-foundation system.
 Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling System 191

Fig. 6. Damage distribution of the dam cantilever section corresponding to the maximum damage
depth-thickness ratio under different seismic overload coefficients

Fig. 7. The maximum damage depth-thickness ratio under different seismic overload coefficients

Thus, if the overall sliding of the left or right bottom sliding surface is taken as
a failure criterion, the ultimate seismic capacity of the dam is 1.4 times the horizontal
PGA, i.e. 0.6048 g. Compared with the strength failure mode-based index, the instability
failure mode-based index is used to evaluate the ultimate seismic capacity of a high arch
dam is safer.
192 C. Yan et al.

(a) Left (0.2) (b) Right (0.2) (c) Left (0.8) (d) Right (0.8)

(e) Left (1.0) (f) Right (1.0) (g) Left (1.4) (h) Right (1.4)

(i) Left (1.5) (j) Right (1.5) (k) Left (1.8) (l) Right (1.8)

(m) Left (2.2) (n) Right (2.2) (o) Left (2.4) (p) Right (2.4)

Fig. 8. Residual sliding displacement contours of left and right bottom sliding surfaces under
different overload coefficients
 Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling System 193

Fig. 9. Sliding area ratio of left and right bottom sliding surfaces under different overload
coefficients

3.3 Coupling of Strength Failure and Instability Failure Modes

Based on the above results, the maximum damage depth-thickness ratio, representing
the dam strength failure, and the sliding area ratio, representing dam abutment blocks
instability failure, are taken as evaluation indexes. However, these indexes are specific
to individual failure modes and do not fully characterize the coupling of the two failure
modes. Therefore, the residual displacement of the dam crest relative to the dam bottom
in the stream direction is proposed as a comprehensive performance evaluation index,
capable of representing the coupling of these two failure modes.
Figure 10 shows the residual displacement of the dam crest relative to the dam bottom
in the stream direction under different overload coefficients. From Fig. 10, the residual
displacement gradually increases with the change of the overload coefficient. A slight
change occurs when the overload coefficient is 1.0, which may be caused by the sudden
development of the dam damage cracking (Fig. 7). When the overload coefficient is 2.0,
there is a sudden change and rapid growth of the residual displacement curve.
Thus, if a sudden change and rapid growth of the residual displacement curve is
taken as a failure criterion, the ultimate seismic capacity of the dam is 2.0 times the
horizontal PGA, i.e. 0.864 g.
It should be noted that the quantitative evaluation indexes of the ultimate seismic
capacity are very complex and are still in the exploratory stage. The current standard [14]
recommends using the turning point on curves of deformation at typical locations on
the dam body, which vary with the increase in input acceleration, to evaluate the safety
of the dam-foundation system. This approach is based on the principle that the change
in the working performance of the dam-foundation system will increase the risk of dam
failure. The occurrence of penetrating cracks or overall sliding of sliding surfaces does
not imply immediate loss of bearing capacity and failure of the dam-foundation system
due to the reciprocal nature of the seismic load. Therefore, it is suggested that 2.0 times
the horizontal PGA can be taken as the ultimate seismic capacity of the dam.
194 C. Yan et al.

Fig. 10. Residual displacement of the dam crest relative to the dam bottom in stream direction
under different overload coefficients

4 Conclusion

A high arch dam-foundation coupling system is established, which for the first time
considers the material nonlinearity of dam concrete and contact nonlinearities of the
contact surfaces with a total degree of freedom of 10.64 million. The seismic failure
mode and process of the proposed model are discussed using different indexes including
damage depth-thickness ratio, sliding area ratio, and the residual displacement of the
dam crest relative to the dam bottom in the stream direction. Meanwhile, evaluation
criteria and ultimate seismic capacity are defined and quantitatively assessed. Based on
the present numerical analyses, the following conclusions can be obtained:
(1) If the occurrence of a penetrating crack is taken as the failure criterion, the ultimate
seismic capacity of the dam based on the damage indexes is 1.7 times the horizontal
PGA, i.e. 0.7344 g.
(2) If the overall sliding of the left or right bottom sliding surface is taken as a failure
criterion, the ultimate seismic capacity of the dam is 1.4 times the horizontal PGA,
i.e. 0.6048 g. Compared with the strength failure mode-based index, the instability
failure mode-based index is used to evaluate the ultimate seismic capacity of a high
arch dam is safer.
(3) If a sudden change and rapid growth of the residual displacement curve is taken as a
failure criterion, the ultimate seismic capacity of the dam is 2.0 times the horizontal
PGA, i.e. 0.864 g.
(4) The occurrence of penetrating cracks or overall sliding of sliding surfaces does not
imply immediate loss of bearing capacity and failure of the dam-foundation system
due to the reciprocal nature of the seismic load. Therefore, it is suggested that 2.0
times the horizontal PGA can be taken as the ultimate seismic capacity of the dam.

Acknowledgments. This study is supported by China Huaneng Group Co., Ltd. (Grant No.
HNKJ22-H108) and Power Construction Corporation of China (Grant No. DJ-ZDXM-2021-03).
All authors are grateful for this support.
 Seismic Safety Evaluation of a High Arch Dam-Foundation Coupling System 195

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 Research on the Sediment Flushing Scheme
Under the Layout of “Reservoir Replacing Pool
+ Bypass Flushing” Based on 2D Flow
and Sediment Model

Shuangchao Yang(B) , Jinyang Liu, and Yu Liao

Guangdong Zhurong Architecture and Engineering Design Co., Ltd, Guangzhou 510610,
Guangdong, China
[email protected]

Abstract. A two-dimensional flow and sediment model was used to study the
sedimentation problem of a high head and high sand content hydroelectric power
station in Nepal. Under the layout scheme of “reservoir replacing pool + bypass
flushing”, a total of 12 sediment discharge operation schemes were proposed for
the reservoir area under the combination of 3 flow limits and 4 sand discharge
water levels. The results show that: After 5 years of operation of the project, there
is a difference in the elevation of the sedimentation surface in front of the water
intake. Different sand flushing operation methods have a significant impact on
the elevation of the sedimentation surface in front of the water intake during the
period of 7–17 years. Under various schemes, the trend of the elevation change of
the sedimentation surface in front of the water intake after 17 years of operation
of the head hub is basically consistent, and the difference is not significant. The
elevation of the sedimentation surface in front of the water intake can be controlled
at around 2505 m under each scheme; When operating at a sand discharge water
level of 2520 m, the elevation of the sedimentation surface in front of the sand
discharge tunnel can be controlled at around 2510 m, and the probability of sed-
imentation in the bypass sand discharge tunnel is not high; The project operates
for about 10–15 years and is basically in a balanced state; Under the condition of
2520 m sediment discharge water level, the remaining effective storage capacity
of the hub is larger after 20 years of operation under each scheme; This project
follows the 2520 m sediment discharge water level scheme. When operating at a
sediment discharge flow limit of 120 m3 /s, the effective storage capacity of the
reservoir meets the requirements of the designed daily regulating storage capacity.
Therefore, it is recommended that this project operate according to the 2520 m
sediment discharge water level scheme.

Keywords: Hydropower stations · Sedimentation · Reservoir replacing pool ·

Sediment flushing scheme

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 197–214, 2025.
https://doi.org/10.1007/978-981-97-9184-2_18
198 S. Yang et al.

1 Introduction
The sedimentation and sediment discharge of reservoirs are the key factors affecting
the normal operation of hydropower stations. Excessive sediment content and particle
size can cause severe wear and tear of water turbines, even leading to their cessation of
operation.
Many domestic and foreign scholars have conducted extensive research on the prob-
lem of sediment interception and discharge at hydropower stations on sediment-laden
river. Zheng Hexin et al. [1] focused on the high sediment concentration problem at the
Kohala Hydropower Station in Pakistan. By analyzing the water and sediment character-
istics and combining them with mathematical simulation calculations, a reservoir instead
of a pool scheme was adopted to solve the sediment problem; Wang Xiaofeng et al. [2]
used a mathematical model to calculate the sand settling effect of a hydropower station
in Pakistan, simulated the efficiency of the sand settling tank, and studied the replace-
ment of traditional sand settling tanks with a reservoir instead of a tank scheme; Wang
Xinhong et al. [3] used numerical simulation methods to study the sediment erosion and
sedimentation process and water sediment regulation process of Wangyao Reservoir
on high sediment content rivers, and determined the operation mode of regular open
discharge and sediment discharge during flood season; Xiao Jun et al. [4] studied the
sediment discharge operation plan of the Karabe Reservoir in Xinjiang through physical
model experiments on a moving bed; Gao Donghong et al. [5] used numerical simulation
methods to study the sedimentation and flushing effects of the Nasuwakari Hydropower
Station in Nepal; Dong Dian [6] established a physical model to conduct experimental
research on the sedimentation and flushing effects of the sedimentation facilities at the
Shangma Xiangdi A hydropower station in Nepal; Zhou H et al. [7] studied the measures
for preventing and reducing sedimentation of old hydropower stations built on high sed-
iment content rivers through experiments; Richter et al. [8] studied the sedimentation
and sediment discharge effects of a newly designed sedimentation device for high sed-
iment content river hydropower stations through physical model experiments and CFD
simulations.
The above research mainly adopts the sedimentation tank method and the “reservoir
replacing tank” method for flushing and sand discharge. The sedimentation tank scheme
is adopted, and the operating water level during the flood season determines the elevation
of the water intake. If the operating water level is too low, the distance between the water
intake and the riverbed elevation is low, the power generation efficiency is small, and the
sediment content entering the sedimentation tank is high. The sedimentation tank has a
large scale and requires a large investment; If the operating water level is high, it is easy to
cause sedimentation in the reservoir, and the sediment discharge effect is not significant.
The “reservoir replacing pool” plan often encounters two situations that fail to achieve
the expected design results: firstly, during the flood season, the operating water level is
high, and sediment accumulates at the end of the reservoir prematurely, causing a sharp
decrease in storage capacity. Under the condition of open discharge and flushing, the
reservoir cannot be washed away, resulting in premature loss of benefits. Or, in order to
maintain the regulation of storage capacity and the effectiveness of reservoir sediment
discharge, a longer period of open discharge and flushing of the reservoir is required,
which affects the power generation efficiency; Secondly, the operating water level during
 Research on the Sediment Flushing Scheme 199

the flood season is relatively low, and the sedimentation effect of the reservoir is limited.
The reduction of sediment concentration through the turbine is relatively small, and the
particle size or content of sediment passing through the turbine cannot meet the design
requirements.
This study focuses on the problem of “high head and high sediment concentration”
faced by a hydroelectric power station project in Nepal. Based on the “reservoir replacing
pool” scheme, a bypass sand discharge tunnel and a sand blocking dam are set up in
the upstream reservoir, dividing the reservoir into upper and lower storage areas. During
the flood season, most of the sediment is stored in the upper reservoir area using a
sand dam, and then directly discharged downstream through a bypass sand discharge
tunnel to reduce the incoming sediment in the lower reservoir area. The lower reservoir
area forms a natural sedimentation tank, ensuring that the sediment content and particle
size entering the water intake meet the requirements of the water turbine. This article
establishes a two-dimensional mathematical model of water and sediment, studies the
characteristics of reservoir sedimentation changes under different sediment discharge
operation schemes under the “reservoir replacing pool + bypass sediment discharge”
mode, and comprehensively considers the engineering effect and economic benefits,
proposing a reasonable sediment discharge operation mode.

2 Overview and Engineering Layout of Reservoir

A hydropower station is located on a river in central northern Nepal. Its main task is to
generate electricity, with a normal water level of 2530 m and a corresponding storage
capacity of about 30.2 million cubic meters. The lowest water level is 2511 m, and the
engineering regulation storage capacity is 26.2 million cubic meters. The installed capac-
ity is 163 MW, and it is a runoff type power station. According to domestic regulations,
this project is classified as a Class III medium-sized project.
The river where the power station is located is a major tributary of the Shapta Gandaki
River system, with a catchment area of 3474 km2 at the dam site and an average annual
flow rate of 42.45 m3 /s. The incoming water is mainly snowy mountain meltwater. The
median particle size of riverbed bed load sand is D50 = 3.3 cm, with a maximum of about
20 cm of pebbles. The average annual bed load sediment transport is 5.37 million tons.
The median particle size D50 of suspended sediment in the river is about 0.035 mm, with
an average annual suspended sediment transport of 10.73 million tons and an average
sediment concentration of over 5 kg/m3 . The reservoir capacity to sediment ratio of this
hydropower station is less than 5, making it a hydropower station with serious sediment
problems. The design head of the reservoir reaches 602 m, which is a typical “high
head and high sediment concentration” hydropower station. Without effective sediment
discharge measures, the reservoir can be filled with sediment within 3–5 years.
The head hub water retaining dam consists of the left bank earth-rock dam section,
overflow dam, flushing bottom hole, and right bank gravity dam section from left to
right. The water inlet of the hydropower station is located 35 m in front of the right bank
dam, with a bottom elevation of 2505.5 m; In order to solve the problem of sediment
accumulation, a sediment blocking dam is set up 1.3 km upstream of the head hub dam
site, from left to right, which are earth-rock dams, spillway gates, and side channels in
200 S. Yang et al.

sequence; The bypass sand discharge tunnel is located on the right bank of the sand
dam, with a total length of 1980 m, an inlet elevation of 2507 m, an outlet elevation of
2486.45 m, and a longitudinal slope of 1.0%. This arrangement of sand blocking dams
distinguishes the reservoir into upper and lower storage areas. The sand blocking dam
intercepts sediment in the upper storage area and discharges it into the river downstream
of the retaining dam through the sand discharge hole located upstream of the discharge
gate, greatly reducing the amount of sediment entering the lower storage area (Fig. 1).

Fig. 1. Engineering layout diagram

3 Two-Dimensional Flow-Sediment Mathematical Model

3.1 Basic Equations
The two-dimensional flow-sediment mathematical model employed in this study is pri-
marily based on the two-dimensional turbid water continuity equation and turbid water
motion equation for natural open channel water flow, which are derived from the laws
of conservation of mass and momentum.
(1) Flow Control Equations
∂H ∂HUj
=− , j = 1, 2 (1)
∂t ∂xj

gn2U U 2
∂HUi ∂HUj ∂ζ i j ∂ 2 HUi
+ + gH + − = 0, i, j = 1, 2 (2)
∂t ∂xj ∂xi H 1/3 ∂xj2
 
∂HS ∂HSUj ∂z b ∂ ∂HS
+ + ρ − Ds = 0, i, j = 1, 2 (3)
∂t ∂xj ∂t ∂xj ∂xj
 Research on the Sediment Flushing Scheme 201

where H is the water depth, ζ is the water level, U j is the vertical average velocity, S is
the vertical average sediment concentration, and Ds is the sediment turbulent diffusion
coefficient.
(2) Suspended Sediment Convection-Diffusion Equation
The sediment continuity equation is integrated horizontally to obtain a two-
dimensional continuity equation along the water depth, which is also the suspended
sediment convection-diffusion equation:

∂(hS) ∂(huS) ∂(hvS)

+ +
∂t ∂x ∂y
     
∂ ∂(hS) ∂ ∂(hS)
= νsx + νsy + QL SL − FS (4)
∂x ∂x ∂y ∂y

where S is the vertical average sediment concentration, νsx , νsy are the turbulent diffu-
sion coefficients, FS is the erosion and deposition term, QL , SL is the horizontal unit
area source quantity and source sediment concentration, and other symbols are defined
similarly as in the hydrodynamic model.
(3) River Bed Deformation Equation
The flux of suspended sediment on the water surface is generally 0, while the unit
flux of suspended sediment on the riverbed bottom is equal to the deformation of the
suspended sediment riverbed. The erosion and deposition term can be represented by ero-
sion and sedimentation functions, which are represented by sediment carrying capacity
and bed shear stress.
(1) Erosion-Deposition Function Based on Sediment Carrying Capacity
Introducing the relationship coefficients between the vertical average sediment con-
centration, the vertical average sediment carrying capacity, the bed sediment concentra-
tion, and the sediment carrying capacity, the bed deformation equation for suspended
sediment can be expressed as:

∂b
Fs = ρs = α3 ω(α1 S − α2 S∗ ) (5)
∂t
where α 1 and α 2 are the coefficients of sediment concentration and saturation recovery
of sediment carrying capacity, respectively, α 3 is the probability of sediment settling, ω
is the sediment settling velocity; S * is the sediment concentration under the saturated
state (i.e. the sediment carrying capacity), ρ s is the sediment density (2650 kg/m3 ).
(2) Erosion-Deposition Function Represented by Bed Shear Stress
The erosion and deposition function represented by the bed surface shear stress is:
⎧
⎨ SD , τb ≤ τcd
⎪
Fs = 0, τce > τb > τcd (6)
⎪
⎩
−S E , τb > τce
202 S. Yang et al.

where SD is the sedimentation rate of sediment, SE is the rate of sediment erosion, τb

is the bed shear stress(N/m2 ), τcd is the critical bed shear stress during sedimentation
(N/m2 ), τce is the critical bed shear force during erosion or resuspension (N/m2 ).
(3) Bedload Equation
Currently, there are two types of bedload transport and the resulting bed deforma-
tion: one type derives the bedload transport imbalance equation from the conservation
principle, and the other directly uses the bedload transport rate formula to represent the
bedload transport equation.
For bedload, the mass conservation resulting from bed elevation changes due to
bedload inflow and outflow is also considered. Thus, the bed deformation equation
caused by bedload is:
 
∂T ∂b ∂gbx ∂gby
= −Fs = −ρs =− + (7)
∂t ∂t ∂x ∂y

where T is the displacement mass per unit area (kg/m2 ), gbx and gby represent the bed
load sediment flux in the x—and y—directions, respectively.
Using explicit format to process the total deformation equation of the riverbed:

bt+
i
t
= bti
⎧ n
⎫
t⎨ ⎬
N 4
1 by y
+ ( (gi,k
bx x
ni,k + gi,k ni,k )li,k + α3 ω(α1 S − α2 S∗ )) (8)
ρs i⎩ n=1 k=1
⎭
i

where b is the bottom elevation of the unit center, N is the number of sediment size classes,
n is the index of the sediment size class.

3.2 Model Establishment

The upstream boundary of the two-dimensional model is located approximately 11 km

upstream of the reservoir dam site, and the downstream boundary is at the hydropower
station dam site. The total number of grid cells in the model is 38,974, with grid sizes
ranging from 5 to 60 m. Larger grid scales are used in areas with higher or flatter terrain,
while denser grids are applied in key areas such as river channels, dam sites, and sediment
control dams. The grid scale around important hydraulic structures is refined to about
5 m. The reservoir topography and model computational grid are shown in Fig. 2 and
Fig. 3.

3.3 Model Validation

Due to the lack of measured erosion and deposition data of the reservoir, according to
relevant specifications, the model validation in this calculation is carried out by using
the 7-year riverbed longitudinal profile erosion and deposition measurement data of the
natural river channel in the section where this project is located.
 Research on the Sediment Flushing Scheme 203

Fig. 2. Topography of the reservoir area

Fig. 3 2D model calculation grid

The validation river section is the interval from about 1.2 km upstream of the
hydropower station dam site to the dam site. The validation period series is from 2001
to 2007, a total of 7 years. The calculation period is divided into daily intervals dur-
ing the flood season (June to October) and ten-day intervals during the non-flood sea-
son (November to May). If the erosion and deposition amount in a particular period
204 S. Yang et al.

is excessively large, the model can subdivide this period into multiple intervals for
calculation.
(1) Boundary Conditions
The upstream inlet water and sediment data is a long series of daily water and
sediment processes combined with the measured daily flow rate and the water sediment
relationship at the dam site from 2001 to 2007. The downstream outlet control water
level is calculated based on the natural river water level flow relationship curve at the
dam site.
(2) Validation Results and Analysis
The 7-year longitudinal profile sedimentation changes in the natural river chan-
nel over 7 years are shown in Fig. 4. Under the long-term series conditions of the
designed typical year flow-sediment combination, the model calculates that the natural
river channel is in a deposition state, with bed elevation changes ranging from −0.02 m
to 1.10 m. The above measured data concluded that the river channel is an accumulative
depositional sand-gravel river, and the model calculation results closely match this actual
pattern. Analysis of the measured topographic data indicates that the average annual sed-
imentation volume in the reservoir area is approximately 700,000 m3 , translating to a
sedimentation intensity of about 0.29 m/a. The calculated average sedimentation inten-
sity in the reservoir area under natural river conditions is about 0.38 m/a, which is close
to the measured data.
In summary, the mathematical model can generally reflect the sedimentation patterns
of this river section.

Fig. 4. Longitudinal profile sedimentation changes in the natural river channel over 7 years
 Research on the Sediment Flushing Scheme 205

4 Simulation Calculation and Analysis of Long-Term Sediment

Discharge Operation in Hub
4.1 Sediment Discharge Scheme Formulation

Since the inflow water and sediment are concentrated during the flood season, charac-
terized by the typical “large water inflow and large sediment inflow” pattern, the focus
of sediment management is on the flood season.
Based on the statistical analysis of the number of days with various flow rates in
long-term series, and considering the contradiction between reservoir erosion and power
generation efficiency of the hydropower station, the preliminary selected inflow flow rate
thresholds are 200 m3 /s, 150 m3 /s, and 120 m3 /s. The elevation of the sand barrier in
front of the water intake is 2505 m, and the bottom elevation of the sediment discharge
tunnel at the dam front is 2499 m, thus determining the sediment control elevation at
2498.5 m. In the upper reservoir area, the bottom elevation control for bypass sediment
discharge to discharge bedload is set at 2508 m. The proposed flood season sediment
discharge operation control water levels are 2518 m, 2520 m, 2522 m, and 2525 m.
Combining the development objectives of this hydropower station, different sediment
discharge operation schemes under various flow thresholds and control water levels in
the reservoir area are proposed, as shown in Table 1.

4.2 Calculation Boundary Conditions

(1) Upstream Water and Sediment Boundary Conditions

According to the sediment design requirements and available data, a representative

series of water and sediment is selected for this design. The annual mean values of the
runoff series from 2001 to 2007 at the dam site show little difference, but since the
series is less than 30 years, it lacks representativeness. The representative series needs
to choose the natural continuous water and sediment series. Therefore, the runoff series
from 2001 to 2007 is used as a basic series unit and recycled four times to form a 28-
year long series. The corresponding sediment series is derived using the most adverse
water-sediment relationship.
(2) Downstream Boundary Conditions
The downstream boundary condition is the operating water level in front of the dam
in the first hub reservoir area of the hydropower station. During the non-flood season,
when the hub is in normal storage operation, the water level at the front of the retaining
dam is controlled at 2530 m. During flood season, when the hub is operated according
to the flood limit water level, the water level in front of the retaining dam is controlled
at 2520 m. During the flood and sediment discharge period of the dam, the water level
in front of the hub dam during a certain period is calculated from the inflow flow and
discharge curve of that period. During the flushing period of the bypass sand discharge
tunnel in the upper reservoir area, the water level in front of the upstream sand dam
during a certain period is calculated from the inflow flow rate and discharge curve of
that period.
206 S. Yang et al.

Table 1. Explanation of various calculation schemes

Scheme Number Reservoir Operation Mode

Flood season (June–October) November to May of the following
year
Scheme 1-1 Flow rate greater than 200 m3 /s for Normal water storage level 2530 m
open discharge and sand discharge,
with a water level of 2518 m for sand
discharge
Scheme 1-2 Flow rate greater than 200 m3 /s for
open discharge and sand discharge,
with a water level of 2520 m for sand
discharge
Scheme 1-3 Flow rate greater than 200 m3 /s for
open discharge and sand discharge,
with a water level of 2522 m for sand
discharge
Scheme 1-4 Flow rate greater than 200 m3 /s for
open discharge and sand discharge,
with a water level of 2525 m for sand
discharge
Scheme 2-1 Flow rate greater than 150 m3 /s for
open discharge and sand discharge,
with a water level of 2518 m for sand
discharge
Scheme 2-2 Flow rate greater than 150 m3 /s for
open discharge and sand discharge,
with a water level of 2520 m for sand
discharge
Scheme 2-3 Flow rate greater than 150 m3 /s for
open discharge and sand discharge,
with a water level of 2522 m for sand
discharge
Scheme 2-4 Flow rate greater than 150 m3 /s for
open discharge and sand discharge,
with a water level of 2525 m for sand
discharge
Scheme 3-1 Flow rate greater than 120 m3 /s for
open discharge and sand discharge,
with a water level of 2518 m for sand
discharge
(continued)
 Research on the Sediment Flushing Scheme 207

Table 1. (continued)

Scheme Number Reservoir Operation Mode

Flood season (June–October) November to May of the following
year
Scheme 3-2 Flow rate greater than 120 m3 /s for
open discharge and sand discharge,
with a water level of 2520 m for sand
discharge
Scheme 3-3 Flow rate greater than 120 m3 /s for
open discharge and sand discharge,
with a water level of 2522 m for sand
discharge
Scheme 3-4 Flow rate greater than 120 m3 /s for
open discharge and sand discharge,
with a water level of 2525 m for sand
discharge

4.3 Calculation Results and Analysis

(1) The Elevation Change of the Sedimentation Surface in front of the Water Intake of
The Hydropower Station

Using the validated numerical model of water and sand to calculate different working
conditions, the change of the siltation surface elevation in front of the hydropower station
intake with different operating years is shown in Fig. 5. It can be seen that the change
of the siltation surface elevation in front of the intake is basically the same in the first
5 years of operation of the first hub under various schemes. After 5 years of operation of
the hub, there is a difference in the elevation of the sedimentation surface in front of the
water intake. Different sand flushing operation methods have a significant impact on the
elevation in front of the water intake between 7 and 17 years. The reason for this is that
although the inflow process is consistent, but due to the differences of flow limits and
sediment discharge water level, the time and magnitude of sand flushing in each scheme
for the open discharge of the low valley show differences. After 17 years of operation
under various schemes, the trend of changes in the elevation of the sedimentation surface
in front of the water intake of the first hub is basically consistent, and the difference is
not significant, indicating that the flushing operation mode in the later stage of hub
operation has little impact on the elevation in front of the water intake. The siltation
surface elevation in front of the intake can be controlled at about 2505 m under each
scheme.
Under the same flow limit, the higher the water level for sediment discharge, the
higher the elevation of the upper reservoir sediment dam, the higher the efficiency of
sediment interception, the longer it takes for the siltation surface in front of the intake
to reach the elevation of 2505 m. Under the same sediment discharge water level and
208 S. Yang et al.

different flow limits, the larger the flow limit, the longer it takes for the sedimentation
surface in front of the water intake to reach an elevation of 2505 m.

Fig. 5. Changes in the elevation of the siltation surface in front of the water intake with different
operating years

(2) Changes in the Elevation of the Siltation Surface in front of The Bypass Sand
Discharge Tunnel

From Fig. 6, it can be seen that the elevation changes of the sedimentation surface in
front of the bypass sand discharge tunnel are consistent for the first 5 years of operation
of the head hub under different schemes. Although the inflow process of each operation
scheme is consistent, there may be differences in the bypass flushing time and flushing
amplitude due to the difference in the water level for sediment discharge. After 5 years
of operation of the hub, there is a difference in the elevation of the sedimentation surface
in front of the bypass sand discharge hole.
The elevation of the siltation surface in front of the sand-discharge hole in four sand
discharge water level schemes is the lowest with a sand discharge water level of 2518 m,
which can be controlled around 2508 m. In the sand discharge water level of 2520 m
and 2512 schemes, the elevation of the sedimentation surface in front of the bypass
sand discharge tunnel can be controlled around 2510 m and 2512 m, respectively. In
the scheme of a sand discharge water level of 2525 m, the elevation of siltation surface
in front of sand discharge hole can be controlled to 2514 m, and the risk of siltation in
sand discharge hole will be increased greatly due to the elevation of the top of the hole
is 2515 m.
At the same water level for sediment discharge, under different flow limit schemes,
the elevation of the sedimentation surface in front of the bypass sediment discharge tunnel
is not sensitive to the flow limit. At high sand discharge water levels, the elevation of the
sedimentation surface in front of the bypass sand discharge tunnel under each flow limit
eventually tends to be consistent. At low sand discharge level, the elevation of siltation
 Research on the Sediment Flushing Scheme 209

surface in front of bypass sand discharge holes under each flow limit is slightly different,
among which, the smaller the flow limit, the lower the elevation of siltation surface in
front of bypass sand discharge holes.
From the perspective of the elevation change process of the sedimentation surface in
front of the bypass sand discharge hole, the higher the water level of the sand discharge,
the higher the elevation of the sedimentation surface in front of the bypass sand discharge
hole, the higher the probability of siltation, and the higher the risk of pushing the quality
of the dam. When operating at the recommended sand discharge water level of 2520 m
according to the pre feasibility study, the elevation of the sedimentation surface in front
of the bypass sand discharge hole can be controlled around 2510 m. The depth of siltation
surface in front of the hole is 3 m, and the hole height is 8 m, which accounts for only
42.5% of the hole height, therefore, the siltation probability of the bypass sand discharge
hole is not large.

Fig. 6. Changes in the elevation of the sedimentation surface in front of the bypass sand discharge
tunnel with different operating years

(3) Longitudinal Profile Erosion and Sedimentation Morphology

Figure 7 and Fig. 8 show the longitudinal profiles of sediment deposition in the
reservoir area after 10 and 15 years of operation under different schemes. Under the
same sediment discharge water level and different flushing flow limits, the longitudinal
section of the reservoir area is the lowest under the 120 m3 /s flow limit scheme.
Under the same limit of sand flushing flow rate and different sand discharge water
levels, the longitudinal section of the reservoir area is the lowest under the 2508 m sand
discharge water level scheme.
(4) Changes in Storage Capacity Curve
From Table 2, it can be seen that under the same sediment discharge water level
and different sediment discharge flow limits, the effective storage capacity remaining in
210 S. Yang et al.

Fig. 7. Longitudinal section of sedimentation in the reservoir area after 10 years of operation of
each plan

Fig. 8. Longitudinal section of sedimentation in the reservoir area after 15 years of operation of
each plan

the reservoir area is the highest under the 120 m3 /s flow limit scheme. Under the same
limit of sand flushing flow rate and different sand discharge water levels, the effective
storage capacity of the mud storage area in the reservoir area is the highest under the
2508 m sand discharge water level scheme. With the increase of operation years, the
effective storage capacity decreases, but the magnitude is not significant, indicating that
the reservoir area has basically reached a balance of erosion and sedimentation after
15 years of operation.
From this, it can be concluded that under 2520 m sediment discharge water level, the
remaining effective storage capacity of the hub is larger after 20 years of operation under
each scheme; When the flow limit is 120 m3 /s, the effective storage capacity is maximum.
 Research on the Sediment Flushing Scheme 211

At a sediment discharge water level of 2520 m, the remaining effective storage capacity
of the hub storage area after 10 years of operation under different flow limit schemes 1-2,
2-2, 3-2 is 11.36 million cubic meters, 12.75 million cubic meters, and 14.7 million cubic
meters (corresponding to a normal storage capacity of 2530 m). On the basis of previous
sedimentation, with the operation of open discharge and sand flushing, the effective
storage capacity has been restored to a certain extent. After 20 years of operation in the
three schemes, the remaining effective storage capacity in the hub storage area is 12.61
million meters, 13.44 million meters, and 15.13 million meters, respectively, in the 1-2,
2-2, and 3-2 schemes.

(5) Recommended Operating Mode

The main task of this project is to generate electricity, so the long-term operation
of the hub needs to meet the designed daily regulating storage capacity. The regulating
capacity, the water intake before the sedimentation surface elevation, bypass sand dis-
charge hole before the sedimentation surface elevation and other related control factors
for comparison and analysis, to determine the reasonable operation of the project reser-
voir for the flood season to limit the reservoir level and control the flow rate level to
limit the reservoir level of sand discharge application, a reasonable sediment discharge
period is from June to September, and when the reservoir water level is controlled at
2520 m during the flood season and the flow limit is 120 m3 /s, open discharge and sand
flushing are carried out, which is Scheme 3-2. At a sediment discharge water level of
2520 m, the remaining effective storage capacity of the hub is larger after 20 years of
operation under various scheme conditions, and the maximum effective storage capacity
is achieved when the flow limit is 120 m3 /s.

5 Conclusion

A two-dimensional water and sediment model was used to study the sediment deposition
problem of a high head and high sand content hydroelectric power station in Nepal. Under
the layout plan of “reservoir replacing pool + bypass sediment discharge”, a total of 12
sediment discharge operation schemes for the reservoir area were combined with 3 flow
limits and 4 sediment discharge water levels. The study concludes that:
(1) After 5 years of operation of the hub, there is a difference in the elevation of the
sedimentation surface in front of the water intake. Different sand flushing operation
methods have a significant impact on the elevation in front of the water intake
between 7 and 17 years. After 17 years of operation under various schemes, the trend
of the elevation change of the sedimentation surface in front of the water intake is
basically consistent, and the difference is not significant. Under each scheme, the
elevation of the sedimentation surface in front of the water intake can be controlled
at around 2505 m.
(2) When operating at a sand discharge water level of 2520 m, the elevation of the
sedimentation surface in front of the sand discharge hole can be controlled at around
2510 m, and the probability of sedimentation in the bypass sand discharge hole is
not high.
212 S. Yang et al.

Table 2. Storage capacity curves for different operation years of each scheme

Elevation Storage capacity curve for different operation years (10000 m3 )

(m) Original 5a 10a 15a 20a 25a 28a
Scheme 1-1 2511 380 199.8 8 11.7 14.6 10.3 52.4
2520 1200 591.1 207.9 297.7 323.9 326.6 356.4
2530 3000 1883.7 1350.9 1401 1371.5 1334.3 1323.1
Scheme 1-2 2511 380 276.2 11.9 12.4 15.4 11.5 17.7
2520 1200 761.4 173 291.8 346.9 320.6 346.9
2530 3000 1992 1148 1271.4 1276.3 1200.1 1192.6
Scheme 1-3 2511 380 291.9 106.7 20.6 17.6 12.3 92.6
2520 1200 800.5 367.7 402.9 382.4 350.6 419.2
2530 3000 1927.5 1221.1 1340.8 1256.9 1154.6 1151.3
Scheme 1-4 2511 380 323.7 227.9 4.9 15 12.4 59.3
2520 1200 946.1 677.9 180.2 347.8 325.8 362.1
2530 3000 2088.7 1417.8 717 859.1 770.5 774
Scheme 2-1 2511 380 199.1 7.8 12.9 14.7 10.7 50.1
2520 1200 594.3 290.1 342 379.7 350.1 381.7
2530 3000 1888.7 1437.6 1457.2 1435.5 1372.4 1380.4
Scheme 2-2 2511 380 276.3 8.6 12 14.6 11.7 13
2520 1200 761.8 289.1 354.3 382.6 383.3 389
2530 3000 1992.5 1284 1382.9 1358.7 1309.6 1274.8
Scheme 2-3 2511 380 287.9 52.4 19.7 53.7 13.6 65.1
2520 1200 791 331.8 352.8 388 352.9 382.9
2530 3000 1906 1188.5 1300.2 1294.4 1174 1151.1
Scheme 2-4 2511 380 323.8 226.4 5.1 57.9 54.3 15.7
2520 1200 941.6 680.6 283.1 320.6 318.2 315
2530 3000 2067.2 1426.6 867.9 842.6 868.8 829
Scheme 3-1 2511 380 174.2 5.1 16.6 12.6 11.2 14.2
2520 1200 590.5 349.5 411.2 451.5 423.6 413.6
2530 3000 1883.9 1475.3 1558.7 1544.8 1480.6 1462.8
Scheme 3-2 2511 380 277.7 14.4 15.4 14.9 11.8 55
2520 1200 765.8 385.4 444.4 469.3 455.6 474.8
2530 3000 2102 1484.9 1562 1527.9 1469.6 1458.2
(continued)
 Research on the Sediment Flushing Scheme 213

Table 2. (continued)

Elevation Storage capacity curve for different operation years (10000 m3 )

Scheme 3-3 2511 380 291 12.5 16.1 13.1 10.9 49.8
2520 1200 800.4 422.1 451.7 461.8 455.2 484.8
2530 3000 1927.1 1287.5 1368.5 1328.8 1258.2 1243.2
Scheme 3-4 2511 380 324.4 227.4 5 44 14.3 52.1
2520 1200 946.3 684.2 377.7 482.5 435.8 444.3
2530 3000 2083.8 1416.4 1020.3 1127.7 1060.2 1046

(3) The hub operates for about 10–15 years and is basically in a state of balance between
erosion and sedimentation; At a sediment discharge water level of 2520 m, the
remaining effective storage capacity of the hub is larger after 20 years of operation
under various scheme conditions.
(4) This hydropower station operates with a sediment discharge water level of 2520 m
and a sediment discharge flow limit of 120 m3 /s, the effective storage capacity
of the reservoir meets the requirements of the designed daily regulating storage
capacity. Therefore, it is recommended that the hydropower station operate according
to Scheme 3-2.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
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Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Research on Load Distribution Method
of Cascade Hydropower Station with Maximum
Energy Storage at the End of Dispatching Period

Tianqing Li(B) , Peng Lu, Pengcheng Zhou, Bing Han, Zijun Yang, and Kaibin Yang

Kunming Engineering Corporation Limited, Renmin East Road. 115, Kunming, China
[email protected]

Abstract. The paper focuses on how to rationally distribute the load of cascade
hydropower station in the short term economic operation to meet the grid require-
ments and improve the water energy efficiency of cascade hydropower stations.
In this paper, a calculation method of energy storage for cascade hydropower sta-
tion is presented, the change of cascade storage caused by power generation of
different hydropower stations is studied, and the influence of reservoir capacity
characteristics on load distribution of cascade hydropower stations is analyzed.
According to the short term economic operation and dispatching requirements of
cascade hydropower station, the load distribution model of cascade hydropower
station based on the maximum storage capacity at the end of the term is con-
structed. Taking the short-term load distribution of cascade hydropower stations
in the Nam Ou River Basin of Laos as an example, four scheduling schemes with
different boundary conditions are calculated. The results show that the load distri-
bution results of cascade hydropower stations in the Nam Ou River based on the
maximum energy storage the end of the period are as follows: Nam Ou4 and Nam
Ou1 in the downstream with larger changes in water level per unit storage capac-
ity are preferentially stored, Nam Ou7, Nam Ou6 and Nam Ou2 in the upstream
with larger storage capacity are preferentially supplied and generating power. The
research results can provide guidance for the short-term economic operation and
dispatch of cascade hydropower stations, and help to improve the water energy
utilization efficiency of cascade hydropower stations.

Keywords: Cascade hydropower stations · energy storage · load distribution ·

Reservoir capacity characteristics

1 Introduction

Under the influence of climate change, electricity energy is transforming from depen-
dence on fossil energy to dependence on renewable energy. To construct a new power
system with renewable energy as the main body is the development trend of power
energy system [1–3]. Hydropower is an important energy component in the new power
system, the reason is that hydropower station is not only a renewable clean energy, but
also has the ability to adjust the wind and wind power generation fluctuations, improve

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 215–227, 2025.
https://doi.org/10.1007/978-981-97-9184-2_19
216 T. Li et al.

the stability of the power system [4–6]. In short-term operation scheduling, the main
goal of cascade hydropower stations operation scheduling is not to pursue the maximum
of its own power generation, but to make full use of its regulating capacity and cooperate
with the stable load output process of the power grid. In this case, reducing the energy
consumption of cascade hydropower station and realizing the economic operation of
cascade hydropower station is the goal of short-term operation and dispatching of cas-
cade hydropower station [7, 8]. Many scholars have carried out a lot of research in this
field.
From the Angle of water utilization, some scholars take average water consumption
rate or total water consumption as the target to optimize the load distribution of cascade
hydropower stations [9–13]. This method equates water consumption with energy con-
sumption, which is correct when there is only one hydropower station, the more water
there is, the more water energy there is, and the more electricity the station can produce.
However, when there are multiple cascaded hydropower stations, the amount of water
and energy in cascaded reservoirs cannot be completely equivalent. The amount of elec-
tricity that can be generated by cascade hydropower station is related not only to the
total water storage capacity of cascade hydropower station, but also to the distribution
of these water storage capacity among hydropower stations.
Therefore, some scholars also try to study from the perspective of energy. Kai Zheng
developed a load distribution model for the daily planned cascade hydropower stations
with the objective of minimizing the potential water level [14]. Qian Cheng proposed
a load distribution method aimed at minimizing the cumulative energy consumption of
cascade hydropower stations during their operational period [15]. Bai T proposed the
objective function of maximizing the efficiency of cascade hydropower stations [16].
The energy storage of cascade hydropower station is related to the relationship
between upstream and downstream of hydropower station and the characteristics of
hydropower station. It is an extremely complex concept, which can not be directly
expressed in terms of the total water volume of a cascade hydropower station or the
gravitational potential energy of the total water volume. The existing calculation meth-
ods do not deeply study the energy storage of cascade hydropower stations, and rarely
analyze the key factors affecting the energy storage. In this paper, an energy storage
calculation method of cascade hydropower station is proposed, the influencing factors
related to the storage of cascade hydropower station are analyzed, and the load distribu-
tion method of cascade hydropower station based on the maximum storage capacity at
the end of the term is constructed. The method has been applied and verified in cascade
hydropower stations in the Nam Ou River.

2 Definition and Calculation of Energy Storage of Cascade

Hydropower Stations

The energy storage of cascade hydropower stations is defined as: Without considering the
future local inflow, based on the current water level, each hydropower station successively
reduces the reservoir water level to the dead water level from upstream to downstream,
and the total electricity capacity of all hydropower stations.The total storage energy of
cascade hydropower stations is equal to the sum of the storage energy of each hydropower
 Research on Load Distribution Method of Cascade Hydropower 217

station. The storage energy of each hydropower station includes self-storage energy and
the storage capacity provided by the water level of the downstream hydropower stations.
For convenience of writing, self-storage energy is called storage energy A, and the
storage energy provided by the water level of the downstream hydropower stations is
called storage energy B. Energy storage is calculated as follows.
• Total energy storage:
N
EN = EN i (1.1)
i=1

where EN is the total energy storage of cascade hydropower stations. N is the number
of hydropower station. EN i is the energy storage of ith station.
• The energy storage of ith station:

EN i = EN i,0 + EN i,j (1.2)
j∈θi

where ENi,0 is The energy storage A of ith station. EN i,j is the storage capacity of ith
station provided by the water level of the downstream jth station. θi is the collection of
stations those are located downstream of ith station.
• The energy storage A of ith station:
 
EN i,0 = ki · V i Z i − ZTailwater,i (Qi ) − HLoss,i (Qi ) (1.3)

where ki is output coefficient of ith station. V i is available water supply of ith station.
Z i is the water level corresponding to the storage capacity that is average value of current
storage capacity and dead storage capacity. Qi is full discharge of the unit. ZTailwater,i is
the relation function between tailwater level and discharge. HLoss,i is the relation function
between head loss and generating flow.
• The energy storage B of ith station:
 
EN ij = kj · V i Zj − ZTailwater,j (Qi ) − HLoss,j (Qi ) (1.4)

where Zj is the current water level of the reservoir of ith station.

According to the calculation method of energy storage, for one station, the greater
the amount of water stored, the greater the energy storage. For the cascade stations, the
size of the total energy storage is related to the distribution of water among each station.
The head effect of the downstream hydropower station can be utilized by the upstream
hydropower station, and the head effect of the most downstream hydropower station
can be utilized by all the upstream hydropower stations. The higher the water level of
the downstream hydropower station, the larger the energy storage B of the upstream
hydropower station. When the water storage capacity of upstream reservoir is large, the
head effect of downstream hydropower station is more obvious. Therefore, generally
speaking, raising the water level of the downstream power station is conducive to the
increase of total energy storage of the cascade hydropower stations, but it needs to be
analyzed in detail.
218 T. Li et al.

The task of load distribution of cascade hydropower station is to determine which

power stations give priority to water supply and generate more power, and which power
stations give priority to water storage and generate less power. According to the different
inflow conditions, the load distribution between plants can be divided into two working
conditions. he first scenario is the water supply condition, where the available power
from the current range of the river is less than the load requirement of the power grid,
and to meet the load requirement of the power grid, the cascade power station needs to
provide water; the second scenario is the water storage condition, where the available
power from the current range of the river is greater than the load requirement of the power
grid, and in order to meet the load requirement of the power grid, the cascade power
station needs to store the remaining water in the reservoir. The differences between the
water supply and water storage of the upstream station or the downstream station are
analyzed below.

Fig. 1. Cascade hydropower station releases water. (a) Power Station j, located at the bottom of
the cascade, supplies water; (b) Power Station i, located in the middle of the cascade, supplies
water. Z j or Z i is the water level corresponding to the water consumed by the power station
to meet the load requirements of the grid.

In Fig. 1(a), the energy storage of jth station decreases due to the decrease of water
level. At the same time, because the water level of jth station is reduced, the energy
storage B of all stations located upstream of jth station is reduced, so the total energy
storage of the cascade power stations is reduced.
In Fig. 1(b), ith station supplies water and jth station stores water. In this scenario,
the energy storage A of ith station decreases, and the change of energy storage B depends
on the influence between the reduction of water quantity of ith station and the elevation
of water level of jth station. Energy storage A and B of jth station are both increased.
Energy storage A and B of the power station located downstream of jth station remain
unchanged. The energy storage A of the power station located upstream of ith station is
unchanged, and the energy storage B is changed, because the water level of ith station
and jth station is changed. The specific changes are as follows.
• If Z i < Z j , the energy storage B of the station located upstream of ith station
increases;
• If Z i = Z j , the energy storage B of the station located upstream of ith station
unchanged;
 Research on Load Distribution Method of Cascade Hydropower 219

• If Z i > Z j , the energy storage B of the station located upstream of ith station
decreases.
Due to the short time scale of short-term dispatching, which is generally only 24 h,
the change of energy storage A has little impact, and the change of energy storage B
will change greatly due to the change of water level of downstream hydropower station.
The variation of energy storage B of the station located upstream of the ith station
is determined by the relationship between the sizes of Z i and Z j . The value of Z
depends on the capacity characteristics of the reservoir. Reservoir capacity characteristic
is the variation of water level per unit storage capacity. As shown in Fig. 3, if the variation
of water level per unit storage capacity of ith station is smaller than the variation of
water level per unit storage capacity of jth station, it exists Z i < Z j . Therefore, the
energy storage B of the power station upstream of ith station increases, and the total
energy storage of the cascade hydropower station may increase. On the contrary, the
total energy storage of cascade hydropower stations may be reduced (Fig. 2).

Fig. 2. The relationship between the variation of reservoir water level and the variation of reservoir
capacity

In the following, this paper establishes the load distribution model of cascade
hydropower station based on the maximum energy storage at the end of the term, and
analyzes it with specific cases.

2.1 Load Distribution Model of Cascade Hydropower Station

The objective function of the model is the maximum cascade energy storage at the end
of the scheduling period, and the expression is as follows.
N
max EN = EN i (1.5)
i=1

The constraints of the model are as follows.

• Load balance constraint
220 T. Li et al.

N
Pt = Pi,t (1.6)
n=1

where Pt is the tth load of the grid. Pi,t is the tth output of ith station.
• Water balance constraint

Vi,t+1 = Vi,t + Ii,t · t − Oi,t · t (1.7)

min
Vi,t ≤ Vi,t ≤ Vi,t
max
(1.8)

min
Oi,t ≤ Oi,t ≤ Oi,t
max
(1.9)

where Vi,t is the tth reservoir capacity of ith station, Ii,t is the tth inflow flow of ith
min is the tth minimum allowable
station. Oi,t is the tth outflow flow of ith station. Vi,t
max
storage capacity of ith station. Vi,t is the tth maximum allowable storage capacity of
min is the tth minimum allowable outflow flow of ith station. O max is the
ith station. Oi,t i,t
tth maximum allowable outflow flow of ith station.
• Outflow constraint

Oi,t = Qi,t + Ri,t (1.10)

where Qi,t is the tth power generation flow of ith station. Ri,t is the tth flood discharge
of ith station.
• Head constraint

Zi,t + Zt+1    
Hi,t = − ZTailwater Oi,t − Hloss Qi,t (1.11)
2

Himin ≤ Hi,t ≤ Himax (1.12)

where Hi,t is the tth water purification head of ith station. Zi,t is the tth reservoir level of
ith station. Himin is the tth minimum head of ith station. Himax is the tth maximum head
of ith station.
• Output constraint
 
Pi,t = P Qi,t , Hi,t (1.13)

where Pi,t is the tth output of ith station under Qi,t and Hi,t .
• Steady output constraint
   
up up
Pi,t ∈ Pi,1
low
, Pi,1 ∪ Pi,2
low
, Pi,2 ∪ (. . . ) (1.14)
 Research on Load Distribution Method of Cascade Hydropower 221

3 Model Application

3.1 Basin Introduction

Nam Ou river the largest tributary of the Mekong River on the left bank of Laos. It orig-
inates in the border mountains between Jiangcheng County, Yunnan Province, China
and Phongsari Province, Laos. The river flows from north to south, with a basin area
of 256,34km2 and a river length of 475km.There are seven cascaded hydropower sta-
tions on the Nam Ou rive, from upstream to downstream, respectively, Nam Ou7, Nam
Ou6, Nam Ou5, Nam Ou4, Nam Ou3, Nam Ou2 and Nam Ou1.Nam Ou7 station is the
leading reservoir of hydropower development planning, which has the annual regula-
tion capacity; The regulatory capacity of Nam Ou6 and Nam Ou5 stations is seasonal.
The regulatory capacity of other stations is daily regulatory capacity. The characteristic
parameters of cascade hydropower station are shown in Table 1.

Table 1. Table of characteristic parameters of station

Station name Normal storage Dead water Regulating Installed

level/m level/m storage/10^8m3 capacity/MW
Nam Ou7 635 590 12.45 210
Nam Ou6 510 490 2.46 180
Nam Ou5 441 430 1.42 240
Nam Ou4 386 384 0.98 132
Nam Ou3 360 358 0.24 210
Nam Ou2 325 323 0.25 120
Nam Ou1 307 305 0.22 180

The reservoir capacity characteristic curve is as follows.

The regulated storage capacity of Nam Ou7, Nam Ou6 and Nam Ou5 hydropower
stations accounts for 91% of the total regulated storage capacity, of which Nam Ou7
hydropower stations account for 69%..Therefore, the water storage capacity of Nam Ou7,
Nam Ou6 and Nam Ou5 hydropower stations has a great influence on the total energy
storage of the cascade hydropower stations. Nam Ou4, Nam Ou3, Nam Ou2 and Nam
Ou1 hydropower stations mainly provide head effect for cascade energy storage, raising
the water level of this four hydropower stations downstream, the energy storage B of Nam
Ou7, Nam Ou6 and Nam Ou5 will increase significantly, and the total energy storage of
cascade will also increase significantly. In terms of the characteristics of reservoir water
level, the variation of water level of the same amount of water in Nam Ou4 is greater
than that in Nam Ou1, the Nam Ou3 and the Nam Ou2.For the four downstream cascade
hydropower stations, Nam Ou4 and Nam Ou2 give priority to water storage, which is
more beneficial to increase cascade energy storage.
222 T. Li et al.

Fig. 3. The relationship between the variation of reservoir water level and the variation of reservoir
capacity. (a) is the curve of three hydropower stations located upstream. (b) is the curve of four
hydropower stations located downstream

3.2 Case Result Analysis

Take intraday hourly short-term economic scheduling as an example. It is assumed that

the 24-h hourly load of the grid is 600MW.Two local inflow conditions are considered:
one is that there is more local inflow in the power station section, and the generating
capacity of local inflow in the section is greater than the given load of the power grid; the
other is that there is no local inflow in the section, which depends on the power station
water supply to meet the load demand of the power grid. Three initial water level states
of Nam Ou7, Nam Ou6 and Nam Ou5 are considered. The first is that the water level
of the three power stations is lower and the water volume of the reservoirs is less. The
second is that the water level of the three power station reservoirs is in the middle, and
the water volume of the reservoirs is in the middle. The third is that the water level of
the three power stations is higher and the water volume of the reservoirs is more. Four
scheduling schemes are set according to different local inflow and initial water levels.
The scheme information is shown in Table 2.

Table 2. Table of Scheme information

Scheme Initial water level/m Inflow

number Nam Nam Nam Nam Nam Nam Nam condition
Ou7 Ou6 Ou5 Ou4 Ou3 Ou2 Ou1
1 612 500 435 385 359 324 306 Meet load
requirements
2 595 495 432 385 359 324 306 =0
3 612 500 435 385 359 324 306
4 634 509 440 385 359 324 306
 Research on Load Distribution Method of Cascade Hydropower 223

The statistical table of cascade energy storage of the four schemes is shown in Table 3.
The total cascade energy storage is increased in Scheme 1, and reduced in scheme 2,
Scheme 3 and Scheme 4. The load distribution and reservoir water level changes of the
specific four schemes are shown in Figs. 4, 5, 6, 7 (Table 4).

Table 3. Table of Scheme information

Scheme number Energy storage before Energy storage after variation/10^8kWh

dispatch/10^8kWh dispatch/10^8kWh
1 3.877 4.062 0.185
2 0.871 0.741 −0.130
3 3.877 3.771 −0.106
4 10.530 10.461 −0.068

Table 4. Table of average load distribution. The unit is MW.

Scheme Nam Ou7 Nam Ou6 Nam Ou5 Nam Ou4 Nam Ou3 Nam Ou2 Nam Ou1
number
1 16.77 13.64 9.96 5.01 8.18 3.26 3.17
2 13.83 14.26 12.75 4.90 9.33 3.35 1.59
3 19.12 16.15 13.34 4.67 4.75 1.98 0.00
4 18.17 13.75 17.32 5.33 3.46 1.96 0.00

Fig. 4. The scheduling result diagram of scheme 1. (a) is bar chart of load distribution. (b) is the
chart of water level change compared to initial condition.

In Scheme 1, all stations are impounded because there is more local inflow. The
reservoir water level of Nam Ou4, Nam Ou3, Nam Ou2 and Nam Ou1 hydropower
stations reaches the normal storage level at the end of operation period. The reservoir
224 T. Li et al.

water level of Nam Ou7, Nam Ou6, Nam Ou5 is raised by 0.03 m, 0.07 m and 1.045 m
respectively. The loads allocated to Nam Ou7, Nam Ou6 and Nam Ou5 accounted for
27.9%, 22.7% and 16.6% of the total load respectively. Nam Ou7 hydropower station
generates more power, the water level of Nam Ou6 and Nam Ou5 rises, the energy
storage B of Nam Ou7 and Nam Ou6 increases, and then the total energy storage of the
cascade increases. Nam Ou5 generate less power than Nam Ou6, the reason is that the
reservoir water level of Nam Ou4, Nam Ou3, Nam Ou2 and Nam Ou1 has reached the
normal storage level, reducing Nam Ou5 power generation, can reduce the waste water
of the downstream power plant.

Fig. 5. The scheduling result diagram of scheme 2. (a) is bar chart of load distribution. (b) is the
chart of water level change compared to initial condition.

In Scheme 2, the hydropower stations need to use the water stored in the reservoir
to generate electricity. Nam Ou7, Nam Ou6, Nam Ou5 and Nam Ou3 consume water
to generate electricity, and the reservoir water level is reduced by 0.94 m, 0.97 m,
0.19 m, and 1.0 m, respectively. The load distribution of Nam Ou7, Nam Ou6, Nam Ou5
accounts for 68% of the total load of the cascade stations. According to the characteristics
of reservoir water level, it is reasonable for the load proportion of Nam Ou7, Nam Ou6
and Nam Ou5 to be large. However, Nam Ou3 also provide water and electricity. The
reason is as follows: the reservoir water level of Nam Ou7, Nam Ou6 and Nam Ou5
is low, so their output is limited. In order to meet the load requirements of the power
grid, downstream hydropower stations are required to bear part of the load. While the
reservoir water level of Nam Ou1 reaches the normal storage level, if the generation of
Nam Ou2 increased, the discharge flow of Nam Ou1 will increase, which will lead to
the reduction of the total energy storage of the cascade. Therefore, it is reasonable for
Nam Ou3 to bear more load.
In Scheme 3, the hydropower station also needs to use the water stored in the reservoir
to generate electricity. The load distribution of Nam Ou7, Nam Ou6, Nam Ou5 accounts
for 81% of the total load of the cascade stations, and the reservoir water level is reduced
by 0.67 m, 0.73 m, and 0.04m, respectively. The reservoir water level of Nam Ou4,
Nam Ou3, Nam Ou2 and Nam Ou1 is raised by 1.00 m, 0.14 m, 0.38 m, and 0.99m,
respectively. In Scheme 3, the same as in Scheme 2, the output of Nam Ou7, Nam Ou6
 Research on Load Distribution Method of Cascade Hydropower 225

Fig. 6. The scheduling result diagram of scheme 3. (a) is bar chart of load distribution. (b) is the
chart of water level change compared to initial condition.

and Nam Ou5 is also limited. Therefore, in this condition, it is reasonable for Nam Ou3
to bear more load.

Fig. 7. The scheduling result diagram of scheme 4. (a) is bar chart of load distribution. (b) is the
chart of water level change compared to initial condition.

In Scheme 4, the hydropower station also needs to use the water stored in the reservoir
to generate electricity. The load distribution of Nam Ou7, Nam Ou6, Nam Ou5 accounts
for 82% of the total load of the cascade stations, and the reservoir water level is reduced
by 0.35 m, 0.35 m, and 0.89m, respectively. The reservoir water level of Nam Ou4,
Nam Ou3, Nam Ou2 and Nam Ou1 is raised by 1.00 m, 0.96 m, 0.00 m, and 1.00m,
respectively. The reservoir water level of Nam Ou4, Nam Ou3 and Nam Ou1 is the
normal water level. The result accords with the reservoir capacity characteristics.
Based on the above analysis, the load distribution scheme of Nam Ou river
hydropower stations is obtained, which is based on the maximum energy storage at
the end of dispatching period. The order of cascade hydropower stations using reservoir
water to generate power is as follows: the first priority is Nam Ou7, Nam Ou6, Nam Ou5
hydropower stations, the second priority is Nam Ou3 and Nam Ou2 hydropower stations,
and the last is Nam Ou4 and Nam Ou1 hydropower station. In the actual load distribution,
226 T. Li et al.

it is necessary to consider not only the characteristics of reservoir water level, but also
the characteristics of load, the situation of incoming water and the operation restrictions
of power station.

4 Summary
In this paper, an energy storage calculation method of cascade hydropower station is
presented. The influence of reservoir capacity characteristics on load distribution of
cascade hydropower stations is analyzed. This paper establishes a load optimization
distribution model of cascade hydropower stations based on the maximum energy storage
at the end of the term, and verifies the effectiveness of the model in the Nam Ou river. The
results show that the optimal load distribution mode of cascade hydropower station based
on the maximum energy storage at the end of the term is as follows: the hydropower
station located in the lower reaches of the basin and the hydropower station with large
variation of unit storage water level gives priority to water storage and raising water
level, and the hydropower station located in the upper reaches of the basin gives priority
to water supply.

Acknowledgement. This work is supported by the National Natural Science Foundation of China
(No. U2243232) and the Technology Project of Power Construction Corporation of China, Ltd
(DJ-ZDXM-2022-10, DJ-HXGG-2022-01, DJ-HXGG-2021-04). The authors also appreciate the
insightful comments and suggestions from anonymous reviewers.

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 Exploring the Untapped Potential of Existing
Hydropower Resources in the Context of New
Energy Development: A Case Study
of the Liyuan-Ahai Hybrid Pumped Storage
Power Station

Hanmo Chen(B) , Chuting Miao, and Peng Lu

PowerChina Kunming Engineering Corporation Limited, Kunmign, China

[email protected]

Abstract. In recent years, countries and regions worldwide have set goals to
increase the proportion of new energy source in their energy transition plans.
However, the intermittent nature of new energy sources, represented by wind
power and solar photovoltaics, necessitates the support of flexible resources like
pumped storage and hydropower. This study takes the established Liyuan and Ahai
Hydropower Stations along the Jinsha River as typical cases, thoroughly exploring
the potential benefits of utilizing the reservoirs of these two stations to construct a
Liyuan-Ahai hybrid pumped-storage power station. Through comprehensive anal-
ysis, we propose an installed capacity scheme that aims to maximize the benefits
of the three power stations. This scheme not only provides a feasible reference
method for the design of similar engineering projects, but also holds significant
importance in promoting the efficient utilization and sustainable development of
hydroelectric energy. We hope that through this research, we can provide valu-
able reference and inspiration for experts and scholars in the field of hydropower
engineering.

Keywords: Hybrid Pumped Storage Power Station · New Energy · Installed

Capacity · Existing Hydropower Station

1 Research Background
In recent years, countries and regions worldwide have set goals to increase the proportion
of new energy source in their energy transition plans. China is also focused on developing
new energy and constructing a new power system. However, the intermittent nature of
new energy sources, represented by wind power and solar photovoltaics, necessitates
the support of flexible resources like pumped storage and hydropower.
Yunnan Province stands as a prominent hydroelectric powerhouse in China, with a
preliminary assessment indicating a potential economic hydropower capacity of around
130,000 MW across the province. However, most of the remaining resources are sit-
uated in ecologically sensitive areas, rendering the development conditions relatively
immature.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 228–235, 2025.
https://doi.org/10.1007/978-981-97-9184-2_20
 Exploring the Untapped Potential of Existing Hydropower 229

Considering the potential, constraints, and implementation timeline for wind and
solar energy development in Yunnan Province, the provincial power grid has devised
plans for the addition of new energy sources during the “14th Five-Year Plan,” “15th Five-
Year Plan,” and “16th Five-Year Plan” periods. These strategic plans entail the targeted
addition of approximately 50,000 MW, 30,000 MW, and 20,000 MW of new energy
capacity respectively. By 2035, it is projected that the share of new energy installed
capacity will surpass 50% of the total power capacity.
Hybrid pumped storage hydropower plants combine the functions of pumped storage
and traditional hydropower plants, offering peak load shifting, backup power supply, and
other benefits. They also have the advantages of relatively short construction cycles and
the ability to increase power generation during flood seasons.
In the case of existing hydropower plants in Yunnan Province that have insufficient
installed capacity or reservoir capacity exceeding the demand for regulation, the addition
of reversible units can be considered. By integrating these reversible units with the
operation of new energy sources, these plants can be developed into hybrid pumped
storage hydropower plants. This approach not only complements the operation of new
energy sources but also enhances the overall efficiency of the power plants.

2 Research Object
Due to the absence of the Longpan Reservoir, a crucial control reservoir on the main-
stream of the middle reaches of the Jinsha River, downstream hydropower stations face
significant water discharge during the flood season. As the first-level power station built
in the middle section of the Jinsha River, the Liyuan Hydropower Station operates with
a normal storage level of 1618 m, a dead storage level of 1605 m, a regulated storage
capacity of 173 million m3 , and an installed capacity of 2400 MW. Downstream, the
Ahai Hydropower Station operates a normal storage level of 1504 m, a dead storage
level of 1492 m, and a regulated storage capacity of 238 million m3 .
Both the Liyuan and Ahai Hydropower Stations possess significant untapped storage
capacity for regulating water flow, with daily required storage capacities for regulation
at a mere 30 million m3 and 40 million m3 respectively, well below their regulated
storage capacities. This advantageous situation allows for the construction of hybrid
pumped storage hydropower plants, capitalizing on the existing infrastructure without
compromising their primary regulatory functions.
In this study, a comprehensive analysis of the power system demand and market
potential in Yunnan Province was conducted. The research focused on evaluating the
regulation capabilities of the Liyuan and Ahai hydropower stations, and delved into the
assessment of the overall benefits of the Liyuan-Ahai hybrid pumped storage hydropower
plant. Based on these findings, an appropriate installed capacity for the Liyuan-Ahai
hybrid pumped storage hydropower plant was determined, ensuring optimal utilization
of the available resources.
230 C. Hanmo et al.

3 Research Method
Liyuan-Ahai hybrid pumped storage hydropower plant demonstrates a strong correla-
tion between its comprehensive benefits, installed capacity, and project investment. The
installed capacity serves as a crucial indicator influencing the power generation effi-
ciency, peak load regulation benefits, and its impact on the power generation of both
the Liyuan and Ahai hydropower stations. Key factors affecting the installed capacity
of the Liyuan-Ahai hybrid pumped storage hydropower plant include determining the
appropriate unit capacity, available reservoir capacity, and considering the engineering
construction conditions.
To determine the suitable unit capacity, data from existing and under-design pumped
storage hydropower plants with similar head conditions were collected and analyzed. The
stability of both slope sides, along with Yunnan Province’s comprehensive load curve
incorporating the influence of large-scale hydropower sources and eastward electricity
transmission, was considered when calculating the available reservoir capacity for the
Liyuan-Ahai hybrid pumped storage hydropower plant. Furthermore, the engineering
layout was examined to analyze the number of units that can be accommodated.
By conducting a comprehensive analysis of the Liyuan-Ahai hybrid pumped storage
hydropower plant, the Liyuan Hydropower Station, and the Ahai Hydropower Station, the
study determined the appropriate installed capacity for the Liyuan-Ahai hybrid pumped
storage hydropower plant, optimizing its overall efficiency and benefits.

4 Main Achievements
4.1 Appropriate Unit Capacity
The Liyuan-Ahai hybrid pumped storage hydropower plant operates within a head range
of 90 m to 130 m. Currently, the unit capacity of pumped storage hydropower plants
designed and operated within this head range is typically between 50 and 200 MW. Unit
capacities below 100 MW are only found in the Panjiakou and Shahe pumped storage
hydropower plants, while unit capacities exceeding 150 MW are seen in the Zagorsk and
Kanelovsk pumped storage hydropower plants. Pumped storage hydropower plants with
a unit capacity of 150 MW have been constructed, such as the Baishan and Langyashan
plants, while projects are underway for the construction of the Weijiachong, Pankou, and
Wuxi River pumped storage hydropower plants. There are no completed pumped storage
hydropower plants with unit capacities between 100 and 150 MW, but the Zhongxiang
pumped storage hydropower plant is currently under construction. Considering the man-
ufacturing aspect of the units, the appropriate unit capacity for the Liyuan-Ahai hybrid
pumped storage hydropower plant falls within the range of 100 MW to 150 MW.

4.2 Available Reservoir Capacity

4.2.1 Scheduling and Operational Mode
Before the low electricity demand during nighttime and the peak generation from solar
power during midday, the Liyuan Hydropower Station operates by appropriately reduc-
ing the water level in the reservoir and then operating at a high water level after pumping
 Exploring the Untapped Potential of Existing Hydropower 231

is completed. On the other hand, the Ahai Hydropower Station maintains a high water
level in the reservoir and operates at a low water level after pumping is completed.
During the evening peak hours, the Liyuan Hydropower Station, the Ahai Hydropower
Station, and the Liyuan-Ahai hybrid pumped storage hydropower plant increase their
output according to system requirements for peak load regulation. When the Liyuan
Hydropower Station has excess water during the flood season, the Liyuan-Ahai hybrid
pumped storage hydropower plant directly utilizes the excess water for additional power
generation without pumping. The typical daily operational process can be seen in Figs. 1
and 2.

Fig. 1 The Typical Daily Operational Process (Dry Season)

Fig. 2 The Typical Daily Operational Process (Flood Season)

4.2.2 Maximum Available Capacity

The Liyuan Hydropower Station reservoir’s bank area is prone to the accumulation of
Nianshengken deposits, Xiazari deposits, as well as the risk of Longmen steep slope,
Xingpeidang and Caokedu landslide. According to the assessment and analysis of bank
stability, it is concluded that only the overall instability of the Caokedu landslide in
the Liyuan Hydropower Station reservoir bank may result in secondary hazards caused
by surging waves. By analyzing the seepage and slope stability under different rates of
reservoir water level decline, the correlation between landslide stability and reservoir
water level decline rate under natural and heavy rainfall conditions is established as
shown in Table 1.
In general, the stability state K of landslide bodies should be greater than 1. However,
considering a certain safety margin, this study recommends controlling the daily water
232 C. Hanmo et al.

level decline of Liyuan Reservoir at 5.5 m/day. For Ahai Reservoir, considering the daily
operational data, the recommended control is a water level variation of 3.5 m/day. The
daily available reservoir capacity for Liyuan Hydropower Station ranges from 62.1 mil-
lion m3 to 67.98 million m3 . For Ahai Hydropower Station, the daily available reservoir
capacity ranges from 57.06 million m3 to 68.62 million m3 .

Table 1 Relationship between critical reservoir water level decline rate of landslides and stability
state K-value

K natural conditions (m/d) Heavy rainfall conditions(m/d)

1.05 10.38 3.93
1.025 13.50 5.71
1.00 16.63 7.50
0.975 19.75 9.29

4.2.3 Available Capacity of Liyuan-Ahai Hybrid Pumped Storage Power Station

The usable capacity for the Liyuan-Ahai hybrid plant is determined by subtracting the
daily regulated storage capacity of Liyuan and Ahai reservoirs from their respective
daily available storage capacities.
The daily regulated storage capacity of Liyuan and Ahai reservoirs will be analyzed
based on independent load regulation for Liyuan hydropower station and synchronized
load regulation for Ahai hydropower station. When determining the operational posi-
tions of the two power stations, the load will be based on the comprehensive load curve
of Yunnan Province for the years 2030 and 2035, considering the addition of power
transmission from the western to the eastern region. The influence of other large-scale
power sources in the province, including Longpan Reservoir in the middle reaches of the
Jinsha River and Xiaowan, Manwan, Dachaoshan, and Nuozhadu hydropower stations
in the lower reaches of the Lancang River, will also be considered. As the downstream
Xiaowan, Manwan, Dachaoshan, and Nuozhadu hydropower stations have strong reg-
ulation capabilities, this study will analyze the residual load curve after deducting the
output of hydro, thermal, and new energy sources within the system, prioritizing load
regulation by existing large-scale hydropower stations.
The calculated results indicate that, before the operation of the Longpan hydropower
station, the maximum daily regulated storage capacity for the Liyuan hydropower sta-
tion is 29.96 million m3 , and for the Ahai hydropower station, it is 5.86 million m3 .
After the operation of the Longpan hydropower station, the maximum daily regulated
storage capacity for the Liyuan hydropower station is 39.28 million m3 , and for the
Ahai hydropower station, it is 14.95 million m3 . Therefore, the available capacity for
the Liyuan-Ahai hybrid pumped storage plant is primarily influenced by the capacity of
the Liyuan reservoir after the operation of the Longpan hydropower station. The usable
capacity for the Liyuan-Ahai hybrid plant is 24.03 million m3 . Considering the predom-
inance of solar energy in Yunnan Province, with a typical continuous pumping and full
 Exploring the Untapped Potential of Existing Hydropower 233

discharge duration of 6 h, the maximum installed capacity of the Liyuan-Ahai hybrid

pumped storage plant is 976 MW.

4.3 Engineering Construction Conditions

Due to the presence of the Nianshengken at the inlet/outlet of the upper reservoir and the
utilization of the existing Liyuan reservoir discharge tunnel for the outlet of the lower
reservoir, if the number of units for the Liyuan-Ahai hybrid pumped storage power
station exceeds 6, it could have adverse effects on slope stability and the stability of
newly excavated chambers. Therefore, this study suggests that the number of units for
the Liyuan-Ahai hybrid pumped storage power station should not exceed 6.

4.4 Engineering Benefit Comparison

Based on the above study, under the premise of a feasible engineering plan, the following
analysis will be conducted for the Liyuan-Ahai hybrid pumped storage power station
with different installed capacities: 600 MW (4 × 150 MW), 750 MW (5 × 150 MW),
and 900 MW (6 × 150 MW).

4.4.1 Impact on the Liyuan Hydropower Station

According to the calculations, before the operation of the Longpan hydropower station,
different installed capacity scenarios for this project result in a net increase in the Liyuan
hydropower station’s average annual electricity generation by approximately 535 million
kWh to 679 million kWh. Among these, the expansion of capacity leads to an additional
electricity generation during the flood season of about 563 million kWh to 719 million
kWh, while the decrease in the average water level of the power station results in a
reduction in the electricity generation of the original conventional units at the Liyuan
hydropower station by about 28 million kWh to 40 million kWh.
After the operation of the Longpan hydropower station, different installed capacity
scenarios for this project result in a net increase in the Liyuan hydropower station’s
average annual electricity generation by approximately 51 million kWh to 67 million
kWh. Among these, the expansion of capacity leads to an additional electricity generation
during the flood season of about 121 million kWh to 157 million kWh, while the decrease
in the average water level of the power station results in a reduction in the electricity
generation of the original conventional units at the Liyuan hydropower station by about
69 million kWh to 90 million kWh.

4.4.2 Impact on the Ahai Hydropower Station

According to the calculations, before the operation of the Longpan hydropower sta-
tion, different installed capacity scenarios for this project have an impact on the Ahai
hydropower station’s average annual electricity generation of approximately 9 million
kWh to 20 million kWh.
After the operation of the Longpan hydropower station, different installed capacity
scenarios for this project have an impact on the Ahai hydropower station’s average annual
electricity generation of approximately 10 million kWh to 18 million kWh.
234 C. Hanmo et al.

4.4.3 Economic Comparison

The different installed capacity scenarios for the Liyuan-Ahai hybrid pumped storage
power station are evaluated based on the system-designed level of annual electricity
generation, aiming to meet the system’s electricity demand to an equal extent. The
capacity and energy benefits of each scenario are calculated, and the total present value
of costs for each scenario is determined to evaluate the economic feasibility of the
comparative options.
According to the calculations, the present value of costs for the different installed
capacity scenarios of the Liyuan-Ahai hybrid pumped storage power station are 6,562.34
million yuan, 5,675.51 million yuan, and 4,835.54 million yuan, respectively. It is
observed that the higher installed capacity scenarios have lower present value of costs.

5 Conclusion

When utilizing an existing reservoir for the construction of a pumped storage power
station, it is necessary to analyze the surrounding renewable energy resources and devel-
opment potential. The operational mode of the project should be determined, taking into
account factors such as topography, geological conditions, and existing infrastructure. It
is important to assess whether the site is suitable for operating as a conventional power
station. The benefits of the newly constructed pumped storage power station and its
adverse impacts on the existing reservoir should be calculated. After considering vari-
ous factors, the installed capacity should be determined to maximize the benefits of both
the newly constructed and existing power stations.

Acknowledgements. The National Natural Science Foundation China (U2243232), Science and
Technology projects of POWERCHINA (DJ-ZDXM-2022-10, DJ-HXGG-2022 -01) funded this
research.

References
1. Luo, B., Chen, Y., Miao, S., Liu, Z., Liu, X.: A joint short-term operation model for wind
power and hybrid pumped-storage hydropower plant. J. Hydraulic Eng. (2023)
2. Guo, A., Chang, J., Wang, Y., Wang, X., Sun, X.: Research on capacity computation of cascade
on-stream integral pumped storage hydropower plants II: multi-scale nesting model for capacity
computation and specific example. J. Hydraulic Eng. (2024)
 Exploring the Untapped Potential of Existing Hydropower 235

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 Research on Identification of Deep Leakage
Channels in Karst Pumped Storage Reservoirs
Based on Multi Field Data Fusion

Zheng Kexun1,2 , Gan Feifei1,2(B) , Zhao Daiyao1,2 , Chen Xiao1,2 , Liu Xianggang1,2 ,
and Zhang Ning1,2
1 Powerchina Guiyang Engineering Corporation Limited, Guiyang 550081, Guizhou, China
[email protected]
2 Geotechnical Engineering Corporation Limited, Sinohydro Guiyang Survey and Design

Corporation Limited, Guiyang 550081, Guizhou, China

Abstract. The most prominent engineering geological problem of pumped stor-

age power station reservoirs in karst areas is karst leakage, the development of karst
leakage channels has a significant impact on the selection of reservoir locations,
layout of engineering buildings, design of anti-seepage measures, and engineering
costs. Therefore, the survey and evaluation of reservoir leakage channels are the
foundation for the construction of pumped storage power station reservoirs in karst
areas. The field analysis method plays an important role in karst leakage survey.
Traditional karst groundwater field analysis methods, based on the representa-
tive indicators of each field measured and determined by experience, fail to fully
reflect the temporal and spatial change information of each field indicator, and the
data cannot be fully utilized and compared for verification. The multi field data
fusion analysis method for karst groundwater proposed in this article comprehen-
sively considers the relationship between measured field indicators and leakage
sources, natural conditions, adjacent spaces, and different time field indicators，
and obtains the characteristic values of the tracer index, background index, gra-
dient index, and time series index of each field, and overlay calculation of single
field comprehensive eigenvalues and multi field composite eigenvalues, which can
realize the fusion of multiple fields and multiple indicators, amplify the abnormal
location signal of seepage, and delineate the location of centralized seepage, so as
to quantitatively determine the location information of the seepage channel of karst
groundwater. This method is applied to the survey of karst leakage in the lower
reservoir of a pumped storage power station in Guizhou Province, field data fusion
analysis shows that there is an abnormal seepage field in the anti-seepage curtain
line of the site, and there is good evidence for the temperature and conductivity
field data. There is a deep karst leakage channel in the reservoir; The burial depth
of the channel is more than 170 m below the normal water level. The research
results can provide support for subsequent anti-seepage methods and engineering
treatments, as well as relevant engineering experience for other projects.

Keywords: groundwater field analysis · normalized treatment · tracer

indicators · background indicators · gradient indicators · timing indicators · the
eigenvalue

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 236–246, 2025.
https://doi.org/10.1007/978-981-97-9184-2_21
 Research on Identification of Deep Leakage Channels 237

1 Preface

China has abundant karst groundwater resources, and the karst aquifer system exhibits
strong heterogeneity due to the uneven distribution and development of pipelines and
cracks, which seriously restricts the exploration and evaluation of karst water resources
[1]. The multi index field data of karst groundwater system can not only be used to analyze
the spatiotemporal changes in groundwater quality, but also provide information on
groundwater occurrence conditions, seepage pathways, circulation depth, prevention and
remediation of groundwater pollution, and water resource development and utilization
[2, 3]. The multi index field analysis method has become a commonly used research
method in exploring engineering and environmental research such as reservoir leakage,
groundwater pollution, and underground cave water inrush investigation and treatment
[4–6].
Field refers to the distribution of objects in space and is a special form of mate-
rial existence characterized by spatial position functions [7]. The variable information
related to groundwater undergoes a certain period of special geological processes in the
geological medium space, and the characteristic parameters and changes of groundwater
seepage, temperature, conductivity, chemical composition, and isotopes reflect certain
characteristics and laws objectively existing in the groundwater system [8, 9]. The main
methods for analyzing karst groundwater systems include four field analysis methods:
groundwater seepage, hydrochemical field, water temperature field, and isotope field
[10]. The general application of field analysis method is to measure the representative
indicators of each field, and then draw the corresponding indicator hole depth distribu-
tion curve [11], indicator profile line (axis) distribution curve [12] or cloud map [13].
Then, based on the shape of the curve and the shape of the cloud map, the abnormal areas
of the indicators in space are delineated based on experience, and combined with the
characteristics of buildings and geology, the existence of seepage channels is determined
[14–20]. This process of data processing, analysis, and judgment fails to fully reflect
the temporal and spatial changes of a single indicator, resulting in the omission of a
significant amount of information and insufficient utilization of the data; The judgment
of seepage information is still mainly qualitative, and the influence of experience is
significant; The numerical differences between different field indicators are significant,
and comparative verification between indicators has not been achieved.
This article normalizes and standardizes the indicators of temperature field and
conductivity field according to some factors, including the relationship between field
indicators and water sources, the relationship with natural field background values of
geological media, variation of indicators in adjacent spaces, and changes in indicators at
different times. After processing, the characteristic values of the field indicator’s tracer
indicator, background indicator, gradient indicator, and temporal indicator are obtained.
Each characteristic value can be stacked with different weights based on the reliability
of the data and the correlation with the water source to obtain a unified field compre-
hensive indicator characteristic value. Overlay calculation of single field comprehensive
eigenvalues and multi field composite eigenvalues to achieve multi field and multi index
fusion, amplify the signal of abnormal seepage location, and delineate the concentrated
seepage location. By quantifying and systematizing the field analysis method for karst
238 Z. Kexun et al.

groundwater systems, this method can effectively process field analysis data and more
significantly analyze possible groundwater seepage location information.

2 Data Normalization Preprocessing Session

Firstly, the water level, temperature, hydrochemistry, conductivity, and isotope field data
of the water source in the research area are measured, and the measured values of each
field of drilling holes, caverns, or groundwater dew points are obtained. Based on the
variation law of water source indicators, multiple repeated measurements can be carried
out at different times. The space of the field can be divided into one-dimensional lines
(drilling or profile lines), two-dimensional surfaces (profiles), and three-dimensional
geological spaces. Perform necessary data interpolation on one-dimensional data such
as boreholes or profile lines based on measured values, so that the field data is uniformly
distributed in elevation or horizontal space, and obtain one-dimensional distribution
data of the field; Obtain two-dimensional distribution data of the field through plane
interpolation based on a certain field data of groundwater seepage points from different
boreholes and underground caverns; Interpolate a certain field data from different profiles
to obtain the three-dimensional distribution data of the field.

3 Normalization Processing of Two Data Sets

3.1 Calculation of Characteristic Values of Field Indicators

Normalize the field data with adjacent spatial field data, leakage water source field data,
different time field data, and natural field data to obtain the gradient index characteris-
tic values, tracer index characteristic values, temporal index characteristic values, and
background index characteristic values of the field.
The one-dimensional, two-dimensional, and three-dimensional distribution data of
the field only reflect the spatial differences of the field, and the calculation of indica-
tor characteristic values is similar. Represent the one-dimensional, two-dimensional,
or three-dimensional distribution data V obtained from actual measurements and
interpolation as a matrix:
 
V = vij m×n (1)

In the formula, i represents a certain field, which can be defined as 1, 2, 3, 4, etc.

for temperature field, seepage field, chemical field, isotope field, etc.; j represents the
position corresponding to the measured points in the research area, one-dimensional data
can represent the drilling elevation, and two-dimensional data can represent the profile
position; m represents the total number of measured fields; n represents the total number
of measured data points in each field; vij is the representative value of the measured point
data.
 Research on Identification of Deep Leakage Channels 239

3.1.1 Gradient Index

The gradient index reflects the degree of spatial variation between the measured rep-
resentative value of a certain field at a certain location and the measured value of the
corresponding field index at nearby locations. The expression is:
|vij − vi(j−1) |
v1 ij = (2)
max |vij − vi(j−1) |
1≤j≤n

In the formula, v3 ij is the characteristic value of the gradient index corresponding

to a certain field in the study area, and the calculated result is 0–1, dimensionless. 0
represents that the measured field indicators of the borehole have no changes near the
elevation, indicating no anomalies and a low possibility of seepage; 1 represents the
maximum variation in the measured field indicators of the borehole near the elevation,
with anomalies and a high possibility of seepage.

3.1.2 Tracer Indicators

The tracer index reflects the degree of closeness between the measured representative
value of a certain field at a certain location and the corresponding representative value
of the water source field, expressed as:
|vij − R|
v2 ij = 1 − (3)
max |vij − R|
1≤j≤n

In the formula: v1 ij is the characteristic value of the tracer indicator corresponding to a

certain field in the study area, and the calculated result is 0–1, dimensionless; 0 represents
the maximum difference between the measured field indicators of the borehole and the
water source, and the possibility of seepage is small; 1 represents that the measured field
indicators of the borehole are the same as the water source, indicating a high possibility
of seepage; R is the representative value of a certain field indicator of the water source,
measured at the water source.

3.1.3 Time Series Indicators

The time series indicator reflects the degree of temporal variation between the measured
representative value of a certain field at a certain location and the measured values of
corresponding field indicators at other time periods, expressed as
|vij − tij |
v3 ij = (4)
max |vij − tij |
1≤j≤n

In the formula, v4 ij is the characteristic value of the temporal index corresponding

to a certain field in the study area, and the calculated result is 0–1, dimensionless. 0
represents that the measured field indicators of the borehole have not changed compared
to a certain period in the past, that is, there is no abnormality, and the possibility of
240 Z. Kexun et al.

seepage is small; 1 represents the maximum variation in the measured field indicators
of the borehole compared to a certain period in the past, with anomalies and a high
possibility of seepage; t ij is the representative value of a certain field corresponding to
a certain time period and location in the research area; The selection of time periods
generally considers the time when the indicators of the water source field have undergone
significant changes.

3.1.4 Background Indicators

The background indicator reflects the degree of anomaly between the measured repre-
sentative value of a certain field and the background value of the corresponding field
indicator under general conditions, expressed as:
|vij − bij |
v4 ij = (5)
max |vij − bij |
1≤j≤n

In the formula, v2 ij is the characteristic value of the background indicator correspond-

ing to a certain field in the study area, and the calculated result is 0–1, dimensionless. 0
represents that the measured field indicators of the borehole are the same as the back-
ground values under normal conditions, indicating no abnormalities and a low possibility
of seepage; 1 represents the maximum difference between the measured field indicators
of the borehole and the background values, indicating anomalies and a high possibility
of seepage; bij is the background value corresponding to a certain field in the research
area, which can be obtained through theoretical analysis or empirical values.

3.2 Superposition of the Characteristic Values of the Field Indicators

3.2.1 The Characteristic Value of the Comprehensive Index of Each Field
According to the reliability of the data and the correlation between the data and the
seepage, different weights are superimposed to obtain the unified comprehensive index
eigenvalues of a certain field. The calculation expression is:

fij = αi1 v1 ij + αi2 v2 ij + αi3 v3 ij + αi4 v4 ij (6)

αi1 + αi2 + αi3 + αi4 = 1 (7)

where: fij is the characteristic value of the comprehensive index corresponding to a field
somewhere in the study area, and the calculated result is 0–1, dimensionless. 0 means
that there is no abnormality in the field index of the borehole, and the possibility of
seepage is small; 1. It means that the field index of the borehole is abnormal, and the
possibility of seepage is high; α i1 , α i2 , α i3 andα i4 are the weights of the eigenvalues of a
field tracer index, the eigenvalue of the background index, the eigenvalue of the gradient
index and the eigenvalue of the time series index, respectively, according to the reliability
of the data and the correlation with the seepage, they are selected between 0–1, and if
the correlation between the eigenvalues of each index and the seepage is comparable,
0.25 can be taken on the whole.
 Research on Identification of Deep Leakage Channels 241

3.2.2 Eigenvalues of Multi-Field Composite Indicators

According to the reliability of the data of each field, different weights are selected to
superimpose the calculated eigenvalues of each field composite index to obtain the
eigenvalues of multiple field composite indicators. The calculation expression is as
follows:

Fj = β1 f1j + β2 f2j + β3 f3j + · · · + βn fnj (8)

β1 + β2 + β3 + · · · + βn = 1 (9)

In the formula, Fj is the characteristic value of the multi-field composite index in

the study area, and the calculated result is 0–1, indicating that the seepage possibility is
from small to large. β 1 –βn is the weight of each field, which is selected between 0–1
according to the reliability and correlation of the field, and if the characteristic value of
the comprehensive index of each field is equivalent to the correlation of seepage, it can
be the same.

3.3 Analysis of Eigenvalues of Field Indicators

For one-dimensional distribution data, for example, for a single borehole data, the rela-
tionship curve between the multi-field composite eigenvalue f ij and the elevation at
different elevations in the borehole is plotted, and the seepage may be divided into large,
medium and small hole segments according to the size of the multi-field composite
eigenvalue.
For two-dimensional distribution data, for example, for profile data, the multi-field
composite eigenvalues f ij and profile positions at different positions of the profile are
plotted, and the seepage may be large, medium and small areas are quantitatively divided
according to the size of the multi-field composite eigenvalues.
For the three-dimensional distribution data, the relationship between the multi-field
composite eigenvalues f ij and the location of the geological body at different locations
was plotted, and the seepage may be large, medium and small seepage according to the
magnitude of the multi-field composite eigenvalues.

4 Engineering Case Analysis

Taking the lower reservoir of a pumped storage power station in Guizhou Province as
an example, the karst leakage problem of the anti-seepage curtain line is analyzed by
multi-field data fusion. Drill holes were arranged at the anti-seepage curtain line, and
the temperature field and conductivity field data of each borehole were measured in
April, and the actual measurements were carried out according to the 2m spacing. The
elevation of the orifice of the hole of the ZK8 borehole is 958.8m, the elevation of the
groundwater level is 858.8m, and the field data of the borehole elevation of 748.8–858.8m
are measured.
For the gradient index, the difference between the boreholes and the measured points
was calculated sequentially with a distance of 2m, and the maximum difference between
242 Z. Kexun et al.

the temperature field was 0.3 °C and the conductivity field was 0.0068. The charac-
teristic values of the gradient index v1 1j and v1 2j of the borehole temperature field and
conductivity field can be calculated according to Eq. (2).
For the tracer index, the temperature and conductivity of the leakage source were
taken as the average value of the temperature and conductivity of the water outlet point
of the reservoir measured on the same day, that is, R was 20.2 °C and 0.4286. The charac-
teristic values v2 1j and v2 2j of the tracer index of the temperature field and conductivity
field of the borehole can be calculated according to Eq. (3).
For the time series index, the temperature field and conductivity field data of the ZK8
borehole were measured one month apart, and the maximum temperature difference
between the two corresponding elevations was 0.79 °C, and the maximum conductivity
difference was 0.0487. The characteristic values v3 1j and v3 2j of the time series index of
the temperature field and conductivity field of the borehole can be calculated according
to Eq. (4).
For the background index, the lowest temperature in all boreholes is located at the
elevation of 756 m and the temperature is 19.59 m in hole ZK3, which can be regarded
as the natural groundwater temperature not affected by leakage, and the geothermal
gradient from the elevation of 756 m to the bottom of each borehole is calculated, with
a minimum of 2.06 ºC /100 m, which is used as the natural geothermal gradient of the
survey area, so that the natural temperature field without the influence of leakage can
be restored, and the background value of natural groundwater temperature at different
elevations b1j can be obtained. The lowest conductivity in all boreholes is located at
the elevation of 805.3 m and the conductivity is 0.519m in ZK2 hole, which can be
regarded as the natural groundwater conductivity that is not affected by seepage, and
the geothermal gradient from the elevation of 805.3 m to the bottom of each borehole is
calculated, with a minimum of 0.1429/100 m, which is used as the natural geothermal
gradient of the survey area, so that the natural conductivity without the influence of
leakage can be restored, and the background value of natural groundwater conductivity
at different elevations b2j is obtained. The characteristic values v4 1j andv4 2j of the
background index of the temperature field and conductivity field of the borehole can be
calculated according to Eq. (5).
Due to the short interval between borehole measurements, the difference is small,
which can interfere with the analysis and judgment. Therefore, the weights corresponding
to the eigenvalues of the time series index are 0.1, and the weights of the other three
indexes are 0.3, respectively, and the comprehensive index eigenvalues f 1j and f 2j of
the borehole temperature field and conductivity are calculated according to Eq. (6).
The relationship curves between the characteristic values of each index of temperature
field and conductivity field and the characteristic values of comprehensive indexes and
elevation were made (see Figs. 1, 2, 3, and 4).
The correlation between temperature field and conductivity field is equivalent, with
weights of 0.5. According to Eq. (8), the composite index characteristic values of the
two fields are calculated, as shown in Fig. 5, F 1j ≥ 0.4 is the area with a high possibility
of leakage, in the elevation range of 780–854 m, and karst leakage treatment is required,
F 1j < 0.4 is a small area with a possibility of leakage, at an elevation of 748–780 m.
The rock mass is intact and does not require leakage investigation and treatment.
 Research on Identification of Deep Leakage Channels 243

Fig. 1. Curve of the relationship between characteristic values of various indicators in ZK8
temperature field and elevation

Fig. 2. Curve of the relationship between the characteristic values of ZK8 temperature field
comprehensive indicators and elevations

5 Conclusion

The multi field data normalization analysis method studied in this article can be applied
in engineering and environmental research such as reservoir leakage, groundwater pol-
lution, and underground cave water inrush investigation and treatment, making the
multi index field analysis method of karst groundwater quantitative and systematic. This
method can effectively process the field analysis data, and more significantly analyze
the possible location information of groundwater seepage. Taking the leakage study of
a pumped storage power station in Guizhou as an example, the elevation of the leakage
interval of the anti-seepage curtain line is analyzed, providing a theoretical basis for later
engineering measures.
244 Z. Kexun et al.

Fig. 3. Curve of the relationship between characteristic values and elevations of ZK8 conductivity
indicators

Fig. 4. Characteristic values and elevation relationship curve of ZK8 conductivity comprehensive
index
 Research on Identification of Deep Leakage Channels 245

Fig. 5. Curve of the relationship between characteristic values and elevations of ZK8 field fusion
indicators

References
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 Analysis of Dynamic Response Characteristics
of Towering Intake Towers Under the Action
of Main-Aftershock Sequences

Zhiyu Song1,2 , Yafei Zhai1,2(B) , and Guangkun Liu1,2

1 Yellow River Engineering Consulting Co., Ltd, Zhengzhou 450003, China
[email protected]
2 Key Laboratory of Water Management and Water Security for Yellow River Basin of Ministry

of Water Resources, Zhengzhou 450003, China

Abstract. After a strong earthquake occurs, it can cause a certain degree of dam-
age to the structure, and the strong aftershock effect can cause secondary damage
to the already damaged structure. In this study, taking a actual project of intake
tower in the district of western strong earthquake as an example, the acoustic unit
is used to simulate the dynamic effect of reservoir water on the tower body, and
the overall nonlinear model of the water-intake tower-foundation is established.
Combined with the site and seismic motion characteristics of the engineering area,
the seismic motion sequence of the main-aftershocks was constructed based on
the statistical relationship between the main shocks and strong aftershocks, as
well as the NGA seismic motion attenuation model. The effects of main shock,
aftershock, and main-aftershock on the structural damage evolution of intake tow-
ers in strong earthquake zones were investigated separately. The results show that
after considering the aftershock effect, the damage and failure of the intake tower
structure intensify, and its dissipation energy and residual displacement increase
by about 20%~25%. Compared with the main shock, the aftershock alone causes
less damage to the tower structure. However, for the intake tower structure that is
damaged after the main shock, the aftershock can cause larger secondary residual
deformation of the tower.

Keywords: Intake tower · Main aftershock sequence · Structural safety · NGA

model · Damage evolution

1 Introduction
Seismic statistical data show that a large number of aftershocks typically occur after
a main earthquake. Due to the short interval between the main shock and its subse-
quent aftershocks, structures damaged by the main shock often do not receive timely
repairs and are further subjected to strong aftershocks (Yabe and Ide 2018; Du et al.
2023). This cumulative damage effect undoubtedly weakens the seismic resistance of
structures, implying that designs considering only the impact of a single main shock
may not meet the demands imposed by both the main shock and the aftershocks (Xu

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 247–257, 2025.
https://doi.org/10.1007/978-981-97-9184-2_22
248 Z. Song et al.

et al. 2022; Yu et al. 2022). As a crucial component of hydroelectric power projects,

the seismic safety of intake towers under earthquake conditions is of great significance
to the entire project. Current seismic research and design codes, both domestically and
internationally, generally consider only the effects of the main shock, overlooking the
secondary damage caused to intake tower structures by strong aftershocks following the
main shock. This oversight may result in inadequate seismic resistance of the structures
under the combined effects of the main shock and subsequent aftershocks.
Regarding the seismic safety of intake towers, some scholars have conducted relevant
research and made significant progress. Liu et al. (2015) used time-history analysis to
simulate seismic damage to the tower body and upper frame of the Shapai Hydropower
Station intake tower. The simulation results showed good agreement with experimental
data. Liu et al. (2016) studied the seismic response of tall intake towers using a viscoelas-
tic artificial boundary. The results indicated that, compared to a massless foundation,
considering the far-field radiation damping effect of the foundation led to a reduction in
the stress and displacement of the tower body. Zhang et al. (2018) investigated the impact
of backfill height behind the tower on the seismic performance of towering intake towers.
The results showed that a reasonable backfill height could effectively reduce the dynamic
response of the tower body. Zhao et al. (2019b) investigated the seismic performance
of intake towers using the endurance time-history method. The results indicated the
effectiveness of this method in analyzing the seismic response of structures. Yang et al.
(2019) investigated the impact of different concrete pouring methods on the dynamic
response of intake towers. The results indicate that employing the method of casting
the tower body and backfilling concrete together can effectively reduce the structural
dynamic response of intake towers. Currently, in the study of the dynamic response of
intake towers, the focus has largely been on the effects of individual main seismic events,
while the nonlinear dynamic response of intake towers under the combined action of
main and aftershocks remains to be investigated.
The attenuation pattern of seismic parameters is a crucial aspect of earthquake pre-
diction, as it broadly reflects the influence of factors such as seismic sources, propagation
pathways, and site conditions on seismic characteristics (Wang et al. 2019; Shi 2022).
In studying the impact of main and aftershocks on the damage to concrete structures,
it’s essential to consider the characteristics of the structure site and seismic activity to
determine corresponding main and aftershock seismic parameters. When existing seis-
mic data is insufficient, selecting appropriate seismic attenuation relationships becomes
necessary to address this issue (Zhao et al. 2019a; Zhai et al. 2020). Considering the sim-
ilarities in tectonics, crustal composition, and seismic activity characteristics between
mainland China and North America, this study opts for the “Next Generation Attenuation
(NGA) relationships” developed in the United States to determine seismic parameters
associated with site-specific seismic geological conditions.
To investigate the effects of main and aftershock sequences on the nonlinear dynamic
response of intake towers, this study employs an actual engineering project of intake tow-
ers located in a strong seismic zone in the western region as an example. It employs acous-
tic unit simulation to model the hydrodynamic water pressure, establishes a comprehen-
sive nonlinear model of water-tower body-foundation system, and combines statistical
 Analysis of Dynamic Response Characteristics of Towering 249

relationships between main shocks and strong aftershocks with NGA seismic attenua-
tion models to construct main and aftershock seismic sequences. Under the influence of
individual main shocks, aftershocks, and the combined effect of main and aftershocks,
comparative studies are conducted on the tower’s damage areas, displacement responses,
and energy dissipation characteristics. The aim is to quantify the cumulative damage
effects of aftershocks on intake towers, in order to reveal the evolution of damage in
towering intake towers under the action of main and aftershock sequences.

2 Attenuation Relation of Ground Motion in NGA-WEST2-BSSA13

Model

The Pacific Earthquake Engineering Research Center Lifeline Program (PEER-LL), the
U.S. Geological Survey Institute (USGS), and the Southern California Research Center
(SCEC) jointly launched the NGA Program (Next Generation of Ground Motion Atten-
uation) in 2003 Models), five independent and collaborative working groups obtained
five different sets of ground motion attenuation relationships by using the ground motion
record database developed by the NGA program. The BSSA13 attenuation model
selected in this study is the research achievement made by Boore et al. (2013), one
of the five teams. Compared with other models, this model is simple in form, clear in
physical meaning, and has a relatively wide range of adaptation.
The main parameters of the BSSA13 model include moment magnitude M, Joyner-
Boore fault distance RJB , and average shear wave velocity V S30 , 30 m below the ground.
Secondary parameters include fault fracture depth Z or and basin depth Z 1 . In addition,
the model takes into account the influence of fault type, which can be distinguished by
strike-slip fault, normal fault, reverse fault or uncertain fault type. The basic equation of
ground motion attenuation relation of BSSA13 model is expressed as follows:

ln Y = FE (M , mesh) + FP,B (M , mesh) + FS,B (VS30 , RJB , M )

+ δn ψ(M , VS30 , RJB ) (1)

where, Y is the ground motion parameter to be predicted; F E , F P,B , F S,B are earthquake
magnitude terms, path terms and site conditions terms respectively. mesh is the seismic
fault type. ψ is the population standard deviation of the model. δ n is the lnY standard
deviation ratio of the forecast average. For example, when δ n = 0, it means that no
accidental uncertainty is considered, that is, the predicted ground motion parameter is
the average value.
The population standard deviation σ consists of the internal term φ(M, V S30 , RJB )
and the mutual term τ (M), which can be expressed as:

ψ(M , VS30 , RJB ) = ϕ 2 (M , VS30 , RJB ) + τ 2 (M ) (2)

where, φ is a polynomial function related to M, V S30 , and RJB ; τ is a linear function

related to M; The specific parameters in the formula are shown in reference.
250 Z. Song et al.

3 Finite Element Model

The intake tower of the hydropower station in western China is chosen as the focus of
this study. According to engineering data, the top width of the intake tower measures
17 m, while the bottom width is 14.0 m. The tower stands at a height of 86.0 m, with
the reservoir water reaching a depth of 78.0 m. Based on the ABAQUS finite element
software, a finite element model was established. The tower body and foundation were
meshed using reduced integration elements C3D8R. Considering the compressibility of
reservoir water, the acoustic element AC3D8 is used to simulate the dynamic interaction
between the reservoir water and the tower. An absorption boundary is set at the cutoff
boundary of the reservoir water to simulate the radiation damping effect. The coupling
between the acoustic medium and the structure is simulated using a tie constraint on the
contact surfaces between the intake tower and water. The finite element model of the
water-intake tower-foundation system is shown in Fig. 1. The model consists of a total
of 151,432 elements, of which 39,731 are water acoustic elements.
According to engineering data, the tower concrete is divided into C30 and C25
materials (Fig. 1). The concrete plastic damage model is used to simulate the nonlinear
properties of the tower concrete materials. The elastic modulus of C30 concrete is 30.0
GPa, Poisson’s ratio is 0.15, and the density is 2500 kg/m3 . The elastic modulus of
C25 concrete is 28.0 GPa, Poisson’s ratio is 0.2, and the density is 2450 kg/m3 . In the
calculation, the dynamic elastic modulus of concrete is 1.5 times of its static elastic
modulus according to the Seismic Design Standard for Hydraulic Buildings (2019). The
bedrock is simulated by elastic materials, the elastic modulus is 14.0 GPa, Poisson’s
ratio is 0.167, and the density is 2850 kg/m3 . The density of water is 1000 kg/m3 , and
the volume modulus is 2.0 GPa.

C25

Fig. 1 Finite element model of reservoir water-intake tower-foundation system

 Analysis of Dynamic Response Characteristics of Towering 251

4 Synthesis of Main and Aftershock Sequences

Taking the above intake tower project as an example, the project site is selected to
represent a strong main earthquake magnitude of 7.2, and the synthesis of the main
aftershock sequence seismic structure is performed. It is assumed that a strong aftershock
occurs after the main earthquake, with an aftershock magnitude of 6.0 according to Bath’s
law (1965). Based on the characteristic parameters of the bedrock at the project site, the
average shear wave velocity (V S30 ) at a depth of 30 m below the surface is 1100 m/s.
Using the ground motion attenuation relationship of the BSSA13 model, the accidental
uncertainty option is not considered (δ n value is 0), and the fault distance is selected as
10 km, 15 km, 20 km, 30 km, and 50 km, respectively. The corresponding acceleration
response spectrum (PSA) calculated is depicted in Fig. 2. It is evident from the figure that
the peak acceleration of the earthquake is inversely proportional to the fault distance.

0.6 0.6

RJB= 10 km RJB= 10 km
Acceleration spectrum /g

0.5
Acceleration spectrum /g

0.5
RJB= 15 km RJB= 15 km
RJB= 20 km RJB= 20 km
0.4 0.4
RJB= 30 km RJB= 30 km
RJB= 50 km RJB= 50 km
0.3 0.3

0.2 0.2

0.1 0.1

0.0 0.0
0.0 0.1 1.0 10.0 0.0 0.1 1.0 10.0
Period /s Period /s
(a)Main shock (b) Aftershock

Fig. 2 Response spectra of BSSA13 for different RJB

To ensure safety redundancy, this study adopts a fault distance of 10 km. Both the
main shock and aftershock are considered as homologous earthquakes, with peak ground
accelerations (PGA) of 0.20 g and 0.14 g, respectively. In determining the duration of
ground motion, this study follows the research findings of Huo (1991). Based on the
seismic source parameters (magnitude M and epicenter distance R), the duration of the
main shock ground motion is determined to be 23 s, while the aftershock ground motion
is set to 17 s. According to the obtained acceleration response spectrum curve (Fig. 2),
artificial seismic waves are separately fitted for the main shock and aftershock. Each
seismic wave is treated independently, with a 10 s interval between the main shock
and the aftershock. The seismic waves are then combined to obtain the main-aftershock
sequence ground motion. Figure 3 presents the constructed acceleration time history
curves for the main and aftershock sequences, with the peak acceleration for vertical
ground motion taken as 2/3 of the horizontal ground motion.
252 Z. Song et al.

0.3 0.3
0.2 0.2

Acceleration /g
Acceleration /g

0.1 0.1
0.0 0.0
-0.1 -0.1
-0.2 -0.2
Main shock Aftershock Main shock Aftershock
-0.3 -0.3
0 10 20 30 40 50 0 10 20 30 40 50
Time /s Time /s
(a)Horizontal 1 (b)Horizontal 2
0.3
0.2
Acceleration /g

0.1
0.0
-0.1
-0.2
Main shock Aftershock
-0.3
0 10 20 30 40 50
Time /s
(c)Vertical

Fig. 3 Acceleration time history curves for the main-aftershock sequence

5 Nonlinear Dynamic Response Analysis of Intake Tower Under

Main-Aftershock Sequence
In finite element analysis, the load calculation considers both static and dynamic loads.
The dynamic interaction between reservoir water and the tower body is simulated using
acoustic elements, while a viscoelastic artificial boundary is employed to simulate the
dissipation effect of seismic energy propagating to the far field (Zhai et al. 2022). The
synthesized main and aftershock ground motions are used as seismic inputs. The non-
linear dynamic responses of the intake tower under the single main shock, aftershock,
and combined main-aftershock actions are analyzed separately.

5.1 Structural Damage Distribution

Figure 4 illustrates the damage distribution of the intake tower body under various operat-
ing conditions. It can be observed that the damage distribution of the tower body remains
consistent across different operating conditions, primarily concentrated at the connec-
tion between the lower part of the tower body and the tower shaft. Under the sole action
of aftershocks, the damage area of the tower structure is limited. However, under the
single action of the main shock, the damage area of the tower body significantly expands.
Due to the unique characteristics of the intake tower structure, seismic actions tend to
concentrate damage within the tower body. When subjected to aftershocks following
the main shock, the increase in the damaged area is not significant. However, this does
not imply that the influence of aftershocks can be ignored. Therefore, further analysis
 Analysis of Dynamic Response Characteristics of Towering 253

is necessary from the perspectives of structural energy dissipation characteristics and

dynamic response.

Fig. 4 Damage zone of tower under different seismic sequences

5.2 Analysis of Energy Dissipation Characteristics

Under seismic action, the damage and failure of concrete structures in the intake tower
accumulate in the form of energy dissipation (Zhai et al. 2022). This study analyzes the
damage energy dissipation and plastic energy dissipation as two indicators. The energy
dissipation of the intake tower structural system under different conditions is depicted in
Fig. 5. It can be observed that following the main shock, the curves of damage dissipation
energy and plastic dissipation energy for the tower body’s concrete structure exhibit a
secondary growth process under the influence of aftershocks. After the single action of the
main shock ends, the structural damage dissipation energy and plastic dissipation energy
are 14.0 kN·m and 63.3 kN·m, respectively. Under the combined action of the main shock
and aftershocks, the final structural damage dissipation energy and plastic dissipation
energy are 17.0 kN·m and 75.5 kN·m, respectively. Compared to the sole action of the
main shock, the structural damage dissipation energy and plastic dissipation energy of
the system under the combined action of the main shock and aftershocks increase by
21.4% and 19.3%, respectively.
Under the single action of aftershocks, the structural damage and plastic dissipation
energy of the tower body are 1.8 kN·m and 6.8 kN·m, respectively. However, under the
combined action of the main shock and aftershocks, the structural damage and plastic
dissipation energy induced by aftershocks are 3.0 kN·m and 12.2 kN·m, respectively.
A comparison between the two reveals a significant increase in structural damage and
plastic dissipation energy caused by aftershocks following the main shock, with increases
of 67.7% and 79.4%, respectively. This indicates that aftershocks can cause greater
structural damage and failure for the already damaged intake tower structure.

5.3 Structural Displacement Responses

Under the combined action of the main shock and aftershocks, the time history curves
of relative horizontal displacement at the tower’s top point are shown in Figs. 6 and 7.
254 Z. Song et al.

Fig. 5 Curve of structural energy dissipation process

From the tower’s top displacement response caused by aftershocks, it can be observed
that, compared to the sole action of aftershocks, the time history curves of relative
displacement of the tower body induced by the combined action of the main shock
and aftershocks exhibit similar patterns. Under the Single action of aftershocks, when
the dam body damage is minimal, the relative displacement curve at the tower’s top
point exhibits repetitive motion, and no significant residual displacement occurs after
the seismic action ends. However, under the combined action of the main shock and
aftershocks, aftershocks continue to develop on the basis of residual deformation caused
by the main shock, resulting in a noticeable increase in residual deformation compared
to the single action of the main shock.

20 20
Displacement / mm

10 10
Displacement / mm

0 0

-10 -10

Main shock Aftershock

-20 -20
0 5 10 15 20 0 10 20 30 40 50
Time /s Time /s
(a)Single aftershock (b)Main-aftershock

Fig. 6 The time history curves of relative horizontal X displacement

Table 1 presents the residual displacement values at the tower’s top point under
different conditions. It can be observed that, compared to the action of a single main
shock, the horizontal residual displacement at the tower top increases by 15.9% and
24.6% under the combined action of the main shock and aftershocks. Under the sole
action of aftershocks, the residual displacements at the tower top are 0.83 mm and
0.64 mm, respectively. However, the residual displacement increments at the tower top
due to aftershocks following the main shock are 1.51 mm and 1.97 mm, respectively. This
 Analysis of Dynamic Response Characteristics of Towering 255

20 20

10

Displacement / mm
10
Displacement / mm

0
0
-10

-10
-20
Main shock Aftershock
-20 -30
0 5 10 15 20 0 10 20 30 40 50
Time /s Time /s
(a)Single aftershock (b)Main-aftershock

Fig. 7 The time history curves of relative horizontal Y displacement

indicates that although the residual displacement caused by aftershocks alone might be
small, for a tower body already damaged by the main shock, aftershocks can still result
in significant secondary residual displacements.

Table 1 the residual displacement at the tower’s top point

Direction Residual displacements /mm Increase due to aftershocks /%

Main shock Aftershock Main-aftershock
Horizontal X 4.73 0.83 5.48 15.9
Horizontal Y 7.01 0.64 8.73 24.6

6 Conclusions

Combining the NGA seismic attenuation model with considerations of magnitude, main-
aftershock parameter relationships, and site characteristics, this study proposes a method
for constructing main-aftershock ground motions when seismic parameters are insuffi-
cient. Using an actual intake tower project in a seismically active western region as a
case study, acoustic elements were used to simulate the dynamic interaction between
reservoir water and the tower. A nonlinear model of the reservoir water-tower-foundation
system was established to investigate the damage response of the intake tower under sin-
gle main shocks, single aftershocks, and main-aftershock sequences. The study yielded
the following insights:
After the main shock, the subsequent aftershocks have a significant cumulative effect
on the damage and plastic energy dissipation of the tower structure. When aftershocks
are considered, the damage to the intake tower intensifies, with energy dissipation and
residual displacement increasing by approximately 20%~25%. Compared to the effects
of aftershocks alone, the aftershocks following a main shock result in a 67.7% increase
in structural damage and a 79.4% increase in plastic energy dissipation. This indicates
256 Z. Song et al.

that for an already damaged intake tower structure, aftershocks can cause significantly
greater structural damage. Although aftershocks alone cause relatively minor residual
displacements at key points of the intake tower, for intake tower structures already
damaged by a main shock, aftershocks can induce significantly larger secondary residual
displacements. The impact of aftershocks on intake tower structures post-main shock
is crucial and cannot be overlooked, as it may be a critical factor leading to structural
failure or even collapse. Therefore, in seismic safety analyses of intake towers in strong
seismic zones, it is essential to consider the cumulative damage and deformation effects
induced by aftershocks.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Research on Deformation Monitoring and Early
Warning and Safety Control of Hydraulic
Tunnel in Extremely Fractured Rock Mass

Bin Duan1(B) , Haisheng Wang1 , Deqiang Feng1 , Shihe Qin1 , Zhen Li2 ,
and Haoyu Mao3
1 CHN Energy Dadu River Jinchuan Hydropower Project Construction Co., Ltd, Aba
Sichuan 624100, China
[email protected]
2 China Anneng Group First Engineering Bureau Co., Ltd., Nanning 530028, Guangxi, China
3 National Key Laboratory of Mountain River Protection and Management, Sichuan University,

Chengdu 610065, Sichuan, China

Abstract. Taking the underground cavern group of Dadu River Jinchuan

Hydropower Station as the research object, the key technology of deformation
monitoring, early warning and safety control of hydraulic tunnels in extremely
fractured rock mass is systematically studied by theoretical research, on-site mon-
itoring and numerical computation, the characteristics of the surrounding rock of
hydraulic tunnels and stability of the import and export slopes are investigated, and
the safety coefficient of the side slopes and danger of slope rockfall are evaluated
under multiple conditions, and the stress-strain characteristics of the surrounding
rock during excavation of the tunnels and the sides of the side slopes under the
condition of extremely fractured rock mass are simulated; On this basis, a moni-
toring system for hydraulic tunnels and slopes in extremely fractured rock mass
is constructed, and an index system for judging the risk of surrounding rock sta-
bility is established; finally, an intelligent control system for underground cavern
group construction based on BIM is constructed, and a platform for the safety and
intelligent control of hydraulic tunnels is set up. The results show that the sys-
tem improves the accuracy of construction risk identification of hydraulic tunnels
in extremely fractured rock mass, realizes comprehensive and efficient real-time
monitoring of project status, and provides a scientific basis for safety control of
tunnels and slopes.

Keywords: extremely fractured rock mass · hydraulic tunnel · deformation

monitoring · early warning · safety control

1 Introduction
As China’s socio-economic development continues to drive the escalating demand for
clean energy, a vast array of large-scale hydropower projects have been constructed, are
under construction, or are in planning stages in the southwestern region 12 (Chen 2024;

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 258–271, 2025.
https://doi.org/10.1007/978-981-97-9184-2_23
 Research on Deformation Monitoring and Early Warning 259

Xu 2017). Situated amidst the mountainous canyons on the eastern edge of the Qinghai-
Tibet Plateau, these projects often adopt subterranean powerhouse structures to meet
the exigencies of hub layout and construction in deep valley conditions, thereby giving
rise to numerous subterranean hydraulic tunnel structures (Mao 2020). Hydraulic tunnels
play a pivotal role in hydropower engineering, undertaking crucial functions such as reg-
ulating water flow and facilitating hydroelectric power generation. Nevertheless, owing
to the complex and mutable geological conditions, a plethora of challenges typically
confront these hydraulic tunnels during their construction phase, including deformation
of surrounding rock (Hou 2023; Liu 2016) and instability of inlet/outlet slopes (Zhang
1983; Zhu 2006). Notably, at the Jinchuan Hydropower Station, the inlet/outlet slopes
of hydraulic tunnels are characterized by steep gradients and intense unloading, with the
surrounding rock comprising metamorphic fine sandstone interlaced with carbonaceous
shale, thus exhibiting poor stability. These challenges are particularly pronounced. Con-
sequently, elucidating the deformation mechanisms of surrounding rock and inlet/outlet
slopes in hydraulic tunnels within extremely fractured rock masses, and establishing a
comprehensive suite of technologies for deformation control from preliminary design
to post-construction, represents a pressing and substantial engineering conundrum and
technical challenge.
In recent years, leveraging the cavernous structures of spillway discharge tunnels
and diversion tunnels at the Dadu River Jinchuan Hydropower Station, a comprehensive
approach integrating theoretical research, on-site monitoring, and numerical computa-
tion has been adopted (Duan 2022a). Through continuous innovation in research and
engineering applications, a series of original achievements have been made in the moni-
toring, early warning, and safety control of deformation and failure in hydraulic tunnels
under extremely fractured rock mass conditions. These accomplishments play a crucial
role in vigorously advancing research related to the monitoring, early warning, and safety
control of deformation in hydraulic tunnels within extremely fractured rock masses.

2 Project Overview

The Jinchuan Hydropower Station, the sixth cascade station in the mainstream regulation
plan of the Dadu River, is located within the administrative boundaries of Jinchuan
County and Barkam City in Aba Prefecture, Sichuan Province. Classified as a Grade
II large (2) project, its primary function is power generation, with a designed installed
capacity of 860 MW and an annual average power generation of 34.857 billion kWh.
The key components of the Jinchuan Hydropower Station’s hub project include a
concrete-faced rockfill dam, a left bank water diversion power generation system, a right
bank spillway, ecological spillway, and a discharge tunnel. The dam, serving as the main
water-retaining structure, stands at an elevation of 2258 m with a width of 10 m and a
maximum height of 112 m. Its toe is placed on a covering layer approximately 65 m
thick. The spillway structures consist of a two-bay open-sided overflow channel on the
right bank and a pressured discharge tunnel. The overflow channel, open on the bank
side and adjoining the concrete-faced rockfill dam, comprises intake channel section,
weir gate section, spillway section, and jet flow nose section, with a total length of about
425 m and a maximum discharge capacity of 6589 m3 /s. The discharge tunnel is located
260 B. Duan et al.

on the right side of the overflow channel, primarily used for flood discharge during
permanent operation, with a total length of 938.5 m and a maximum discharge capacity
of 1612 m3 /s. The pressured section of the discharge tunnel consists of inlet transition
section, circular pressured section, and outlet transition section, transitioning from a
rectangular section of 7m × 12m to a circular hole with a diameter of 10 m at the inlet,
and from a circular section of 10 m to a rectangular section of 8m × 7m at the outlet. The
unpressurized tunnel section has a total length of 456.0 m, with a cross-section of 8m ×
14m in the shape of a circular arch straight wall. The water diversion power generation
system is situated within the left bank mountain, employing shore-tower intake, single-
machine single-tunnel water diversion, and underground powerhouse housing four units,
with a tailrace tunnel arranged in a “two units one tunnel” configuration. The diversion
method involves the use of a cofferdam for a one-time shutdown of the entire tunnel for
year-round diversion. The diversion tunnel is located on the right side of the discharge
tunnel, with a diameter of 12.5m × 14.5m. The overall layout of the underground cavern
complex of the Jinchuan Hydropower Station is illustrated in Fig. 1.

Fig. 1. The layout of the underground cavern complex at Jinchuan Hydropower Station

3 Topographical and Geological Conditions

The dam site area is situated in a “V”-shaped valley, presenting an inverse “S” shape
in plan view, with predominantly exposed bedrock on both banks forming lateral val-
leys. The valley slopes are steep, with a substantial mountain mass on the left bank.
Downstream on the right bank, a major tributary, Xinza Gully, has been incised by the
Dadu River, resulting in the formation of a relatively thin ridge. Numerous small gullies
are distributed on both sides of the dam site area, with Xinza Gully forming a fan-
shaped distribution of first-order alluvial terraces at its mouth. The exposed geological
formations in the dam site area consist of the Upper Triassic Zhaga Nao Group (T3z2),
 Research on Deformation Monitoring and Early Warning 261

characterized by thin to thick layers of metamorphic fine sandstone interbedded with

carbonaceous shale. Based on lithology, bed thickness, and composition characteristics,
a total of eight engineering geological lithological units have been delineated, arranged
from old to young. The structural framework of the dam site area and its periphery is
relatively simple, primarily comprising a series of roughly parallel NW-trending lin-
ear tight anticlines of varying scales. In summary, the geological conditions in the hub
project area of the Jinchuan Hydropower Station exhibit the following characteristics:
1. Uncommonly complex geological conditions at the dam site area: The steep and
heavily loaded rock masses on both banks are characterized by weathering and frag-
mentation, predominantly consisting of metamorphic fine sandstone interbedded with
carbonaceous shale, containing three sets of tilted deformations and multiple sets of
faults and fractures.
2. Complex topography intertwined with geological hazards: The reservoir area features
high mountain canyon landforms, with steep mountain slopes conducive to the devel-
opment of slope-related geological hazards. The narrow and deeply incised valleys
with steep slopes contribute to the dense development of geological hazards (Qin
2023).

4 Research Work and Technological Innovation

4.1 Characteristics of Surrounding Rock and Stability of Inlet/Outlet Slopes

of Hydraulic Tunnels

1. The inlet and outlet slopes of the Jinchuan Hydropower Station’s hydraulic tunnels are
steep and heavily loaded, with the surrounding rock consisting of metamorphic fine
sandstone interbedded with carbonaceous shale, exhibiting poor stability. In response
to these extremely fractured rock conditions, a geological exploration borehole posi-
tioning device has been proposed to enhance the accuracy of geological exploration
in fractured rock masses. By precisely analyzing geological and geophysical data,
combined with on-site reconnaissance, an in-depth investigation into the characteris-
tics of surrounding rock and the stability of inlet/outlet slopes of hydraulic tunnels has
been conducted. A database of tunnel and slope fractures has been established, and a
probability analysis method has been employed to calculate the stability of structural
plane combinations under different conditions (natural conditions, heavy rainfall,
seismic loads), resulting in the determination of stability coefficients for favorable
orientations of rigid structural plane combinations. Geological and geophysical data
analysis for diversion tunnels and spillway discharge tunnels is illustrated in Fig. 2.

2. The stability and deformation control of steep slopes during excavation unloading and
throughout the operation of the hydropower station are particularly critical. Address-
ing the full-cycle stability issues of steep slopes in hydraulic tunnel construction and
operation, based on limit equilibrium theory and finite element method, a compre-
hensive assessment has been conducted on the safety factors and deformation stress
characteristics of slopes under more than ten different conditions, including natu-
ral conditions, excavation unloading, reinforcement, heavy rainfall, reservoir filling,
262 B. Duan et al.

Fig. 2. Geological data and geophysical data analysis

reservoir filling during heavy rainfall, design earthquake during reservoir filling, seis-
mic check during reservoir filling during heavy rainfall, and sudden water level drop,
ensuring slope stability. The three-dimensional finite element slope calculation results
for slope excavation are shown in Fig. 3. A shear strength parameter inversion analysis
method based on equivalent soil pressure has been proposed to eliminate the influence
of internal sliding failure of slopes in the covering layer, making the inverted param-
eters of slope shear strength more accurate and reasonable. A hydraulic landslide
model experimental device has been developed to provide guidance for risk preven-
tion and emergency response measures. During slope construction, rockfall is also a
major challenge affecting construction safety and support design. Through dynamic
and statistical simulations of slope rockfall, the trajectories and motion characteris-
tic parameters of rockfall on inlet and outlet slopes have been analyzed, providing
efficient and accurate support for engineering design and construction optimization.
 Research on Deformation Monitoring and Early Warning 263

Fig. 3. 3D finite element calculation results of slope excavation

3. At the Jinchuan Hydropower Station, the surrounding rock is characterized by simul-

taneous fragmentation and the development of weak structural planes. Blasting exca-
vation unloading increases the disturbance to the surrounding rock of hydraulic tun-
nels, which is detrimental to the stability of the surrounding rock. The unclear defor-
mation characteristics and mechanisms of surrounding rock during excavation pose
challenges. Utilizing finite difference software, high-precision numerical models of
the spillway discharge tunnel and diversion tunnel have been established to simulate
and reproduce the stress-strain characteristics of surrounding rock during excavation
in extremely fractured rock mass conditions. This approach delves into the defor-
mation mechanisms of surrounding rock and proposes a two-dimensional numerical
calculation method suitable for underground cavern excavation, providing a scien-
tific and systematic theoretical basis for the safe construction of tunnel projects. The
evolution of surrounding rock deformation during excavation unloading is depicted
in Fig. 4.

4.2 Safety Monitoring of Hydraulic Tunnels and Slopes in Extremely Fractured

Rock Masses

1. Conventional safety monitoring of hydraulic tunnels primarily adopts a “poin-tline”

monitoring approach, which cannot provide robust safety support for the entire tunnel
section. Addressing the spatial limitations of conventional monitoring methods, a mul-
tidimensional monitoring system incorporating three-dimensional laser scanning and
microseismic monitoring has been introduced. This system constructs a multidimen-
sional monitoring framework encompassing “points, lines, surfaces, and volumes” for
264 B. Duan et al.

Fig. 4. Deformation evolution characteristics of surrounding rock during excavation unloading

process

extremely fractured rock mass hydraulic tunnels. It monitors the stress, strain, internal
defects, acoustic wave velocity changes, apparent deformation of surrounding rock,
and microfracture fields of the surrounding rock, enabling comprehensive real-time
monitoring of the engineering status and providing solid technical support for tunnel
safety and stability. Additionally, to address the issue of background noise affecting
the accuracy of microseismic monitoring localization, a denoising method based on
CEEMD-CS-ST (Complementary Ensemble Empirical Mode Decomposition - Com-
pressed Sensing - Soft Thresholding) is proposed. Compared with denoising methods
such as empirical mode decomposition and wavelet transform, the CEEMD-CS-ST
method exhibits a signal-to-noise ratio improvement of 28.121 dB, minimal signal
standard deviation, and maximum correlation coefficient, fully preserving the tran-
sient non-stationary characteristics of microseismic signals. The CEEMD-CS-ST
denoising method is depicted in Fig. 5.

2. To address the limitations of monitoring scope imposed by terrain, high equipment

installation and maintenance costs, and the potential for overlooking monitoring
points in the complex surface deformation monitoring of large-scale hydropower
engineering slopes, a comprehensive slope monitoring system has been developed.
This system integrates various monitoring methods such as Ground-Based Synthetic
Aperture Radar (GB-InSAR) interferometric measurement technology and anchor
stress gauges (Duan 2022b). It enables real-time and accurate assessment of slope
stability, enhancing the effectiveness and specificity of engineering safety precau-
tions. For areas with significant deformation, optimization of the layout of GB-InSAR
 Research on Deformation Monitoring and Early Warning 265

Fig. 5. CEEMD-CS-ST denoising method

and stress gauge measurement points has been conducted to improve the utilization
value of data and provide precise guidance for on-site construction. An improved
radar data denoising model based on three-dimensional laser scanning technology
has been constructed, allowing for intelligent judgment and screening of abnormal
on-site data, thereby enhancing the visibility, effectiveness, and reliability of moni-
toring data. Slope ground-based synthetic aperture radar monitoring is illustrated in
Fig. 6.

Fig. 6. GB-InSAR monitoring of slope foundation

3. The inherent relationship between surrounding rock deformation and failure, numer-
ical simulation, and multidimensional monitoring information has been thoroughly
analyzed. The mechanism and evolution characteristics of rock mass deformation
266 B. Duan et al.

in extremely fractured rock mass hydraulic tunnels have been revealed through the
ratio of microseismic shear and compressional wave energies. Microseismic events
influenced by strong excavation unloading typically exhibit a shear-to-compression
wave ratio (ES/EP) almost entirely less than 10, indicating that the primary mech-
anism of rupture for microseismic events induced by strong excavation unloading
is tensile failure. In contrast, the proportion of microseismic events controlled by
adverse structural planes with ES/EP less than 3 is minimal. Therefore, their primary
rupture type is shear failure accompanied by less tensile failure, as numerous shear
failures occur due to fractures developing along the direction of fault planes. This
understanding of rupture mechanisms provides a theoretical basis for deformation
early warning and control during tunnel construction. Numerical simulation reveals
the on-site failure conditions as depicted in Fig. 7, while microseismic monitoring
unveils the rock mass deformation mechanism as illustrated in Fig. 8.

Fig. 7. Numerical simulation revealing on-site damage

4.3 Intelligent Management and Control of Surrounding Rock Stability Risks

1. To address the issue of unclear precursor information regarding surrounding rock

deformation, a multidimensional monitoring information risk discrimination index
system has been established. Through the organization and analysis of multiple
parameters during the excavation unloading process of hydraulic tunnels, the varia-
tion patterns of monitoring data during tunnel construction have been revealed. This
approach reduces the risk of surrounding rock deformation and failure in hydraulic
tunnels caused by complex geological conditions, thereby enhancing the accuracy and
practicality of engineering risk identification. The risk discrimination index based on
multidimensional monitoring information is illustrated in Fig. 9.
 Research on Deformation Monitoring and Early Warning 267

Fig. 8. Microseismic monitoring revealing rock mass deformation mechanism

2. To achieve integration, intelligence, visualization, and refinement of safety manage-

ment business information, and to enhance the level of intelligent safety control, a
smart management platform for construction safety of hydraulic tunnels in extremely
fractured rock masses has been constructed. This platform is based on multidimen-
sional monitoring information and Ultra-Wideband (UWB) positioning technology.
It integrates multi-parameter information during the process of rock mass instabil-
ity and failure, enabling data collection, risk assessment, intelligent warning, and
corrective action throughout the construction process. This approach facilitates the
scientific and standardized construction of hydraulic tunnels, improves the level of
engineering safety management, and provides a new intelligent and smart mode for
safety management in hydropower engineering construction (Wang 2021). The smart
control platform is illustrated in Fig. 10.

3. Addressing the challenges of control arising from surrounding rock fragmentation

in hydraulic tunnels, a construction safety management system based on Building
Information Modeling (BIM) technology has been developed. This system intro-
duces multi-source data management techniques and integrates numerical simulation
with multidimensional safety monitoring methods. It achieves integration of het-
erogeneous data from multiple sources based on BIM technology and establishes
a digital twin engineering system, ensuring the security, reliability, and efficiency
of data throughout the entire process of engineering construction and management.
Intelligent geological forecasting is illustrated in Fig. 11, while the integration of
multi-source data is depicted in Fig. 12.
268 B. Duan et al.

warning
early-warning in- red alert orange yellow alert
normal index classifi-
dex level 1 alert level 2 level 3
cation
warning level

basically
steady state instability substable stable /
stable

microseismic in- at least

dex W three simulta- two ex- an ex- all main con-
(microseismic neous excep- ceptions ception normal trol index 1
monitoring) tions
longitudinal wave
velocity change rate η
main con-
(%) >15 10~15 5~10 <5
trol index 2
(monitoring of
rock loose circle)
deformation rate
secondary
v(mm/d)
>0.8 0.5~0.8 0.3~0.5 <0.3 control index
(multi-point dis-
1
placement meter)
particle vibration
secondary
rate v(cm/s)
>15 10~15 5~10 <5 control index
(blasting vibration
2
monitoring)
stress change rate
of anchor validation
>1 0.2~1 0.1~0.2 <0.1
(Mpa/d) (anchor index 1
stress meter)
three-dimensional
laser scanning
validation
first judgment sur- Ⅳ̚Ⅴ Ⅲ̚Ⅳ Ⅱ̚Ⅲ Ⅰ̚Ⅱ
index 2
rounding rock catego-
ry

Microseismic index includes: microseismic event activity frequency, moment magnitude, microseismic b val-
ue, microseismic energy release, microseismic signal frequency.

Fig. 9. Risk discrimination index based on multivariate monitoring information

4.4 Application of Novel Construction Methods

Combining on-site geological conditions with multidimensional monitoring informa-
tion, novel construction methods for hydraulic tunnel sections with adverse geological
conditions have been proposed. These include the use of nano-concrete for shotcrete
anchorage support and the preservation of core soil-layered excavation in the upper
 Research on Deformation Monitoring and Early Warning 269

Fig. 10. Intelligent control platform

Fig. 11. Intelligent geological forecast

half-tunnel. Innovative support methods such as the combination grouting anchor head
have been introduced, overcoming the limitations of traditional construction deforma-
tion control techniques under complex conditions. This breakthrough has bridged the
gap between economical construction and safety coordination, enabling macroscopic
control of multiple risk levels during construction. It provides significant insights for
integrated disaster prevention and control in hydraulic tunnels under fractured rock mass
conditions.
270 B. Duan et al.

Fig. 12. Multi-Source data fusion

5 Conclusion
1. The characteristics of surrounding rock in hydraulic tunnels and the stability of inlet
and outlet slopes were investigated. A comprehensive evaluation of slope safety
coefficients and rockfall risk under multiple conditions was conducted. The stress-
strain characteristics of surrounding rock during tunnel and slope excavation under
extremely fractured rock mass conditions were accurately simulated. The mechanism
of surrounding rock deformation was explored, providing a scientific basis for safety
control during tunnel excavation.
2. A multi-level and multi-scale monitoring system for hydraulic tunnels and slopes in
extremely fractured rock masses was constructed. This system enables comprehensive
and efficient real-time monitoring of engineering status, providing strong technical
support and effective prevention for the safety and stability of tunnels and slopes.
3. A risk discrimination index system for surrounding rock stability was established. A
BIM-based intelligent management system for underground cavern construction was
developed, along with a smart control platform for hydraulic tunnel safety. This has
improved the accuracy of risk identification and facilitated innovation in macroscopic
control and deformation control techniques.

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 Study on Adaptive Heads for Flip Bucket
with Small Slope of Aeration Facilities
in High-Flow and Slow-Bottom-Slope Flood
Discharging Tunnel

Chuang Liu1 , Anzhe Cui2 , Ming Yin3,4 , Luchen Zhang1(B) , and Shaoze Luo1
1 Nanjing Hydraulic Research Institute, Nanjing, China
[email protected]
2 China Gezhouba Group Co., Ltd, Wuhan, Hubei, China
3 Design and Research Co, Changjiang Survey, PlanningWuhan, Hubei, China
4 National Dam Safety Research Center, Nanjing, China

Abstract. The use of flip bucket with small slope in aeration facilities along
high-velocity flood discharging tunnels can effectively improve the flow condi-
tions within tunnels, but it is difficult to guarantee the aeration effect under large
variations of head. Based on the Kashi Hydropower Station, this paper adopts a
hydraulic model test to study the hydraulic characteristics of the aeration facilities
in flood discharging tunnel under various heads, and analyzes the adaptability of
the flip bucket with small slope configuration. The study shows that when the head
is 70m or above, the cavity of the flip bucket with small slope without backwater,
and has good aeration effect; when the water head is between 25m and 70m, there
is varying degrees of backwater in the air cavity, and the aeration effect slightly
decreases with the decrease of head. The average reduction of effective air cav-
ity length, ventilation hole airflow, and aeration concentration are 20.4%, 13.4%,
and 12.1% respectively, indicating that the aeration facilities with flip bucket with
small slope have a wide range of water head adaptability; when the head is below
25m, the aeration effect is significantly reduced, and even the entire cavity is filled
with backwater, without aeration mitigation cavitation effect.

Keywords: High-speed flow · Aeration mitigation cavitation · Flip bucket with

small slope · Large variation of head · Hydraulic model test

1 Introduction
With the continuous development of water conservancy technology, dams under con-
struction or planned are becoming taller, and their operating heads for flood discharging
tunnels have generally exceeded the medium-to-high head of 80m. This change has led
to increasingly prominent issues of cavitation damage under high flow velocities, posing
significant threats to the safe operation of water release structures. Cavitation damage
not only reduces water discharge efficiency but also harms the structural integrity of
buildings and significantly increases maintenance costs.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 272–281, 2025.
https://doi.org/10.1007/978-981-97-9184-2_24
 Study on Adaptive Heads for Flip Bucket with Small Slope 273

To address this issue, aeration technology is widely used in engineering practice as

an effective means to prevent cavitation damage on the flow wall. By properly arrang-
ing aeration facilities, air can be forcibly mixed into the water flow, thereby avoiding
cavitation damage.
The main types of aeration facilities include spillway, drop, and aeration troughs,
as well as combinations of these basic forms. Among them, the spillway is widely
used due to its simple structure, ease of layout, and ability to easily form a stable cavity.
However, due to differences in the adaptability of the spillway design to various projects,
unfavorable flow phenomena such as unstable flow patterns, severe backwater in the
cavity, and unsatisfactory aeration effects often occur in practical applications.
In response to these issues, many experts have adopted various design solutions in
different projects to improve hydraulic conditions. Nonetheless, there are still certain
limitations in the applicability of different shaped water release structures, especially
regarding the adaptability of flip bucket with small slope aeration facilities under large
water head variations. Therefore, it is necessary to further explore the aeration effect
of flip bucket with small slopes under large water head variations to improve relevant
engineering design theories and ensure the safe and stable operation of water conservancy
projects.

2 Project Overview and Model Design

The Yulongkashi Hydro Project is a critical water control project in the mountainous
section of the Yulongkashi River. The flood discharging tunnel, located on the right
dam abutment, adopts a combined pressurized and non-pressurized discharge method. It
mainly consists of an approach channel section, a pressurized tunnel section, a gate well
section, a non-pressurized tunnel section, a chute section, a flip bucket section, and an
apron section. The bottom slope of the tunnel section is i = 0.08, and the bottom slope
of the chute section is i = 0.4 (Fig. 1).
The experiment adopts a normal hydraulic model designed according to the similarity
criteria of gravity and water flow movement. The physical model’s pressurized inlet
section, gate chamber section, and non-pressurized flood discharging tunnel section are
all scaled down, with a model scale of 1:50. This model experiment mainly observes the
cavity development and aeration behind the aeration ridge. To facilitate observing the
water flow pattern, all water release structures are made of transparent plexiglass. The
shape of the aeration ridge is shown in Fig. 2. Five aeration ridges are arranged along the
non-pressurized tunnel section, located at stake numbers 0 + 115.000m, 0 + 215.000m,
0 + 315.000m, 0 + 415.000m, and 0 + 505.000m. All adopt a small flip bucket type,
with a length of 10m, a height of 0.5m, and a vent size of 1m × 1m. The range of test
head variation is from 25m to 70m, and there are a total of five operating conditions
classified according to the outlet head, with the gate fully open, as shown in Table 1.
In this experiment, 11 measurement points and sections are arranged along the flood
discharging tunnel, as shown in Fig. 2. B2 ~ B12 are the measurement sections for
aeration concentration. The aeration concentration is measured using a resistive aeration
concentration meter. Each section has three measurement points located at the bottom
plate, the middle, and the water surface, respectively.
274 C. Liu et al.

Underground
powerhouse
Dam

Flood discharging
tunnel

Fig. 1. The Yulongkashi Hydro Project

Fig. 2. Layout of flip bucket and measurement points along the route
 Study on Adaptive Heads for Flip Bucket with Small Slope 275

Table 1. Working condition design

Working condition Reservoir water Outlet head(m) Flow rate(m3 /s) Fr

level(m)
1 2170.00 75.00 1007.42 4.61
2 2160.00 65.00 933.23 4.29
3 2145.00 50.00 821.96 3.72
4 2130.00 35.00 710.68 3.24
5 2120.00 25.00 636.50 2.94

3 Analysis of Aeration Effects

3.1 Analysis of Water Flow Patterns
Figure 3 illustrates typical water flow patterns after the water passes through the aeration
ridge under various working conditions. The red line in the figure represents the water
surface line, and the area below the black line indicates the aerated cavity. When the
discharge flows over the aeration ridge, the water tongue separates from the bottom
of the discharge chute, forming an aeration cavity beneath it, which incorporates air
through turbulent breaking. At a water head of 75m, there is a stable cavity without any
backwater, indicating good aeration effects. At water heads ranging from 65m to 35m,
backwater appears at the end of the cavity, and the lower the water head, the longer the
range of the backwater. At water heads of 25m and below, the backwater has already
reached the vent, causing intermittent or even complete submergence of the vent. The
main reason for the backwater is that as the water head decreases and the jet velocity
reduces, the jet impact angle exceeds the critical value for generating retrograde flow,
becoming the primary source of water accumulation at the water tongue’s landing point.

3.2 Aeration Cavity Length

The length of the aeration cavity is an important parameter to consider during the design
of aeration facilities, as it affects both the ventilation volume and effective protection
length of the aeration device. Generally speaking, the longer the cavity, the greater the
ventilation volume, the more sufficient the water aeration, and the further the aeration
protection distance [7]. Table 2 shows the length of the water tongue projection and the
net cavity length under various working conditions. Analysis of cavity lengths under
different conditions reveals that the higher the water head, the greater the outlet velocity,
the further the landing point of the jet water tongue, and the greater the length of the
aeration cavity formed. Additionally, the degree of water aeration increases. The length
of the water tongue projection varies between 3.75m and 12.5m under different working
conditions. When the water head is in the range of 25m to 70m, for every 10m decrease
in water head, the net cavity length decreases by approximately 20.4% on average. When
the water head is below 25m, a 10m decrease in water head results in an approximate
84.3% decrease in net cavity length, which is a significant reduction.
276 C. Liu et al.

Q=1007.42m3/s
Fr=4.61
Secon B5
Secon B9

Working Condition 1

Q=933.23m3/s
Fr=4.29
Secon B5
Secon B9

Working Condition 2

Q=821.96m3/s
Fr=3.72

Secon B9 Secon B5

Working Condition 3

Q=710.68m3/s
Fr=3.24
Secon B5
Secon B9

Working Condition 4

Q=636.50m3/s
Fr=2.94
Secon B5
Secon B9

Working Condition 5

Fig. 3. Typical flow patterns after water passes through the aeration ridge under various working
conditions
 Table 2. Aeration cavity lengths

Aeration ridge number Water tongue projection distance Net cavity length
Condition 1 Condition 2 Condition 3 Condition 4 Condition 5 Condition 1 Condition 2 Condition 3 Condition 4 Condition 5
1# 9.00 6.75 5.50 4.50 4.00 9.50 6.50 4.00 3.25 —
2# 9.15 7.00 5.75 4.75 4.25 9.15 6.00 4.25 3.50 —
3# 9.35 7.50 6.25 5.00 4.50 9.35 6.50 4.50 3.75 0.25
4# 9.40 8.25 7.00 6.25 5.00 9.40 7.00 5.50 4.00 0.50
5# 9.50 8.50 7.50 6.50 5.50 9.50 7.50 5.75 4.50 1.25
Study on Adaptive Heads for Flip Bucket with Small Slope
277
278 C. Liu et al.

3.3 Ventilation Hole Wind Speed and Aeration Concentration

The ventilation volume of the aeration facility and the aeration concentration in the
downstream water body are important criteria for judging the effectiveness of aeration
for erosion reduction. The ventilation volume of the aeration facility is the sum of the
air supply from the two ventilation holes. The measured wind speeds at the ventilation
holes for various working conditions are shown in Table 3. The table data indicates
that higher water heads generally result in higher wind speeds at the ventilation holes,
leading to better aeration effects. When the water head is low, the ventilation hole wind
speed decreases due to the blockage of air intake by backwater, resulting in a weakened
aeration effect. The ventilation volume decreases as the water head decreases. When
the water head is in the range of 25m to 70m, the ventilation volume decreases by
approximately 13.4% on average for every 10m decrease in water head. When the water
head is below 25m, a 10m decrease in water head results in an approximate 46.1%
decrease in ventilation volume, which is a significant reduction.

Table 3. Ventilation Hole Wind Speeds

Aeration ridge number Condition 1 Condition 2 Condition 3 Condition 4 Condition 5

1# 4.03 3.59 2.88 2.03 —
2# 4.18 3.75 3.06 2.37 —
3# 4.38 3.85 3.17 2.50 1.36
4# 4.79 4.00 3.32 2.62 1.41
5# 5.10 4.38 3.75 2.86 1.53

The aeration concentration is defined as the ratio of gas volume to the total volume of
the water-gas mixture in aerated water flow, and it can be used to measure the degree of
aeration in the water flow. It is generally believed that when the aeration concentration of
the water body is between 1.5% and 2.5%, the cavitation erosion damage to solid walls is
greatly reduced. When the concentration reaches 3% to 5%, cavitation erosion damage
can be avoided. In engineering design, it is considered that an aeration concentration
of 2% to 3% can achieve the protective effect of aeration to reduce erosion [8]. The
near-wall aeration concentration under various working conditions is shown in Fig. 4.
The distribution of aeration concentration along the downstream water body of each
aeration ridge follows certain patterns: the highest aeration concentration is observed
near the impact zone of the water tongue, where the water tongue collides with the bottom
plate, causing intense water turbulence. The rolling water body sucks in air, which can
be regarded as the aeration zone. The further away from the aeration ridge, the lower
the aeration concentration becomes, as air continuously escapes from the water surface
during the downstream movement with the water flow.
It can be seen that under a water head of 70 m or more, there is no backwater
phenomenon in the cavity. The aeration concentration on the bottom plate behind the
1# aeration ridge exceeds 10%, then gradually decreases along the way, dropping to
 Study on Adaptive Heads for Flip Bucket with Small Slope 279

Fig. 4. Near-wall aeration concentration under various working conditions

about 3.3% before the 2# aeration ridge. After passing through the 2# aeration ridge,
the aeration concentration rises to 9% and then gradually decreases again, remaining
at 3.2% before the 3# aeration ridge. Under this condition, the aeration concentration
before the outlet ridge is greater than 3%, and the lowest near-wall aeration concentration
at each measurement point is 3.2%, showing a good aeration effect. The aeration effect
is significant under high water head conditions because the high water head can provide
sufficient motive force, and the water particles have enough turbulent energy to overcome
the surface tension, allowing the water flow to carry a large amount of air and achieve
the desired aeration effect.
When the water head is between 25 m and 70 m, there will be varying degrees
of backwater phenomenon in the cavity. Despite this, the effect of aeration to reduce
erosion still exists. Under such water head conditions, backwater hinders air from being
mixed into the water. For example, the near-wall aeration concentrations downstream
of the cavity behind the 1# and 2# aeration ridges in Working Condition 2 are 2.9%
and 3.1%, respectively, but the erosion-reducing effect of aeration is not completely
eliminated. The near-wall aeration concentration at each measurement point is above
2.6%. When the water head is less than 25 m, the flow velocity decreases significantly,
and the backwater phenomenon in the cavity becomes severe, causing the entire cavity
to be filled with backwater. The ventilation slot is blocked, making it difficult to mix air.
The near-wall aeration concentration at each measurement point is low, and the near-wall
aeration concentration downstream of the cavity of the 1# to 5# aeration ridges is less than
280 C. Liu et al.

1%. Some measurement points even have undetectable aeration concentrations, failing
to achieve the expected erosion-reducing effect. The near-wall aeration concentration
shows a clear downward trend as the water head decreases. When the water head is
between 25 m and 70 m, the near-wall aeration concentration decreases by about 12.1%
for every 10-m drop in water head. When the water head is below 25 m, the near-wall
aeration concentration decreases by about 69.0% for every 10-m drop in water head.

4 Conclusion

Small aeration ridges can effectively improve the flow pattern of discharge, but it is
difficult to ensure the aeration effect when the water level varies greatly. Based on the
Yulongkashi Hydropower Station, this paper studies the hydraulic characteristics of the
flood discharging tunnel aeration facilities under various water heads through a 1:50
model test, and analyzes the adaptability of small aeration ridges under different water
heads. The results show that:
1) The optimal water head for small aeration ridges is 70 m or more. There is no back-
water in the cavity, and the water body has a high aeration concentration, resulting
in a good aeration effect.
2) When the water head is between 25 m and 70 m, there is backwater in the cavity
to varying degrees. For every 10-m decrease in water head, the average reduction
in effective cavity length, ventilation volume, and aeration concentration is 20.4%,
13.4%, and 12.1%, respectively. The aeration effect generally decreases slightly with
decreasing water head, indicating that small aeration ridges have a wide range of
water head applicability.
3) When the water head is less than 25 m, due to the low flow velocity, the backwater
intermittently floods the vents or even completely blocks them, significantly reducing
the aeration effect and failing to achieve the expected erosion-reducing effect.

References
1. Liuyan, L., Liping, W.: Statistical analysis of large dams and reservoirs in China. Water Conserv.
Constr. Manag. 36(9), 12–16+32 (2016)
2. Weiwei, W., Jianhua, W., Shiping, R.: Research on the shape of aeration facilities in flat-
bottomed spillways. J. Hydrodyn., Ser. A, (4), 397–402 (2007)
3. Shaobin, L., Cuiling, H., Juan, J.: Research on aeration and erosion reduction facilities on
relatively gentle slopes. Water Conserv. Sci. Technol. Econ. 18(10), 26–28 (2012)
4. Yongqin, L., Dongsheng, C., Bingxing, Z., et al.: Shape optimization and operational practice
of aeration weir in high head and small slope spillway. Hydropower Gener. 48(12), 98–102
(2022)
5. Shuangke, S., Jiawei, Y., Haitao, L.: Research on the shape of aeration and erosion reduction
facilities under gentle slope conditions. Water Resour. Hydropower Eng. 11, 26–29 (2004)
6. Chuan, W., Xudong, M., Lu, P.: Experimental study on the layout of aeration facilities in the
spillway and emptying tunnel of Shuangjiangkou through hydraulic model tests. Water Resour.
Power 40(8), 136–138+207 (2022)
 Study on Adaptive Heads for Flip Bucket with Small Slope 281

7. Chunfeng, Q.: Deep research on the aeration and ventilation characteristics of aeration facilities
and supply systems in water release structures. Tianjin University (2019)
8. Nan Hailong, X., Yimin, Y.M., et al.: Experimental study on the distribution of water aeration
concentration and aeration protection length behind the aeration weir. Water Resources and
Power 33(1), 173–176 (2015)

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the copyright holder.
 Insights into Renewable Energy
Breakthroughs and Their Practical
Applications
 Main Circuit Parameter Design Research
of Offshore Wind Farm DC Transmission Based
on Grid-Forming Wind Turbines and Diode
Rectifier Unit

Yingrui Liu1 , Jian Ning2(B) , Taotao Qu2 , Xiaodong Qiu2 , and Kexin Wang3
1 School of Automation, Central South University, Changsha 410083, China
[email protected]
2 Zhongnan Engineering Corporation Limited, Changsha 410014, China
[email protected]
3 School of Energy, Power and Mechanical Engineering, North China Electric Power

University, Beijing 102206, China

Abstract. The offshore wind power gradually develops towards the direction of
far-reaching sea and large capacity, and the offshore wind power DC transmission
system based on diode rectifier unit has a great development prospect, and its main
circuit parameter design is an important part of the HVDC engineering design.
Combined with the basic principle of wind power system and converter station, the
working characteristics of offshore wind power DC transmission system based on
diode rectifier unit are analyzed. For the important equipment, such as converter
transformer, smoothing reactor and AC filter, the calculation formulas of main cir-
cuit parameters are derived, and the complete design idea and calculation process
of main circuit parameters are given. Lastly, the parameters designed are verified
by PSCAD/EMTDC simulation which can provide reference for the future design
of offshore wind power DC transmission system based on diode rectifier unit.

Keywords: Offshore wind power · Diode rectifier unit · Direct current power
transmission · Main circuit parameter design

1 Introduction
As clean energy improves by leaps and bounds, China has put forward a series of
strategies and policies to promote the development of offshore wind power industry.
In order to solve the problem of poor economy of flexible DC transmission, offshore
wind power transmission scheme based on diode rectifier unit (DRU) can be used, that
is, diode rectifier replaces modular multilevel converter (MMC) in offshore converter
station. Compared with MMC converters, diode rectifiers show great advantages in
device, system design, transportation, installation and commissioning, operation and
maintenance.But at present, the design and research of the main circuit parameters of
the offshore wind power delivery system based on the grid-forming wind turbines and
the diode rectifier unit is almost blank.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 285–293, 2025.
https://doi.org/10.1007/978-981-97-9184-2_25
286 Y. Liu et al.

In view of the above problems, this paper first analyzes the topology structure of the
offshore wind power DC transmission system based on diode rectifier unit, selects the
appropriate topology structure for research, and then analyzes the basic principle and
operation characteristics of the system, and designs the parameters of each electrical
equipment in the main circuit on the basis of the analysis. Including converter trans-
former parameters, smoothing reactor parameters and AC filter parameters. Finally, the
calculation principle of main circuit parameters is obtained through theoretical deriva-
tion and verified by PSCAD/EMTDC simulation which provides a design idea for the
research of main circuit parameters of offshore wind power DC transmission system
based on diode rectifier unit.

2 Topology of Offshore Wind Power Delivery System

The offshore wind power transmission system mainly includes four parts: offshore wind
farm, offshore diode rectifier station, DC transmission line and onshore MMC inverter
station. After the boost, the offshore wind turbine is connected to the collector line in
groups, the main transformer is boosted again to the offshore diode rectifier station, and
the power is transmitted to the MMC inverter station on land through the DC transmission
line, and the MMC inverter station will transmit the power to the grid. The topology of
the system is shown in Fig. 1.

Fig. 1. Topology of the system

3 Design of Main Circuit Parameters of the Offshore Wind Power

Delivery System
The important equipment in the main circuit of the system is DRU. Firstly, the operating
characteristics of DRU are analyzed.
Equivalent circuit diagram of diode rectifier can be obtained by equivalent wind
power system as AC power supply, and 6-pulse rectifier is taken as the analysis object,
as shown in Fig. 2. ea 、eb 、ec are the equivalent three-phase potential of wind power
generation system respectively. L γ is the equivalent inductance of each phase of the wind
power system (from the power supply calculation to the AC end of the bridge); L d is a
DC smoothing reactor.
 Main Circuit Parameter Design Research 287

Ld Id

V1 V3 V5
ea Lγ ia Connect
eb Lγ ib to the
O Vd inverter
ec Lγ ic
via the
line
V4 V6 V2

Fig. 2. Equivalent circuit diagram of diode rectifier

By analyzing the commutation waveform, the commutation current of the diode

rectifier can be obtained:
√
2Uv0
iγ = (1 − cos ωt) (1)
2Xr
In the formula, U v0 is the effective value of the side line voltage of the no-load
valve, and X r is the equivalent reactance of each phase between the power supply and
the bridge, also known as commutation reactance.
After a certain Angle γ , the commutation ends, γ is called the commutation Angle,
γ expression is as follows:
2Xr Id
γ = arccos(1 − √ ) (2)
2Uv0

When the converter is unloaded, the ideal no-load DC voltage can be obtained by
calculating the curve area:
√
2Uv0
Udi0 = π ≈ 1.35Uv0 (3)
3

When the converter is not idle, the DC voltage obtained by calculating the curve area
is:
√
3 3 2 3
Vd = Udi0 − Xγ Id = Uv0 − Xγ Id (4)
π π π
The DC voltage of the 12-pulse converter can then be obtained:
√
6 2 6
Ud = Uv0 − Xγ Id (5)
π π
12 Pulse converter DC power:
√
2 π 2
Pd = Ud Id = Uvo Ud − U (6)
Xγ 6Xγ d
288 Y. Liu et al.

6-pulse converter rated relative inductive pressure drop d xN in engineering calcula-

tion:

dxN ≈ uk /2 (7)

The rated ideal no-load DC voltage is usually calculated using the DC voltage, the
formula is as follows:
UdN
+ UT
Udi0N = n
(8)
1 − (dxN + drN )
where, n is the series number of six-pulse converter Bridges in a single pole, which is
taken as 1 in this paper; U T is the forward pressure drop of the converter valve, usually
0.2kV; d xN is uk /2; d rN is 0.3%.
The no-load DC voltage in the non-rated state is:
Id
Udi0 = Ud + UT + (dx + dr ) · · Udi0N (9)
IdN

3.1 Converter Transformer Parameter Calculation

The main parameters of converter transformer are rated capacity and short-circuit
impedance.

3.1.1 Rated Capacity

Three-phase capacity of a double-winding converter transformer connected to a 6-pulse
converter:

√ √ π3 2 π
SN = 3UvN · IvN = 3 √ Udi0N · IdN = Udi0N IdN (10)
2 3 3

In the formula, U vN is the rated voltage of the converter transformer valve side;
U di0N is rated ideal no-load DC voltage; Subscript N indicates the rated status.

3.1.2 Short-Circuit Impedance

In engineering, the maximum DC short-circuit current value can be considered as
follows:
2IdN
Ik_ max = SN
(11)
uk + SSC_ max

where, uk is the short-circuit impedance of the converter transformer; S SC_max indicates

the maximum short-circuit capacity of the AC system.
 Main Circuit Parameter Design Research 289

3.2 Parameter Calculation of Smoothing Reactor

The smoothing reactor is used to suppress DC current ripple to limit the harmonics of
DC current. For 12-pulse rectifier, the smoothing reactor is mainly aimed at the lowest
12th characteristic harmonic, so that its per unit value relative to the rated DC current is
no more than 0.01. The calculation formula is as follows:
Ud(n)
L1 = Id(n)
(12)
nωId × Id

where U d(n) is the RMS value of the lowest subcharacteristic harmonic voltage on the
DC side; I d : rated DC current; I d(n) / I d is the relative value of the lowest characteristic
harmonic current on the DC side. n is the lowest characteristic harmonic, where 12 is
chosen; ω is the fundamental angular frequency.

3.3 AC Filter Parameter Calculation

The reactive power of the diode rectifier station can be obtained from the following
formula:
⎧
⎨ Qd = Pd tan ϕ
2(π/180)μ − sin 2μ (13)
⎩ tan ϕ =
(1 − cos 2μ)
Common filters are single-tuned filters, double-tuned filters and triple-tuned filters.
The 12-pulse rectifier station mainly has 11, 13, 23 and 25 characteristic harmonics. A
double-tuned filter is selected and the tuning point is set at 12 and 24 times to simplify
the number of filters (Fig. 3).

C1
Ca Cb
L1
La Lb
C2
R2 L2 Ra Rb

Fig. 3. Double tuned filter structure

In the calculation of component parameters, the double-tuned filter can be equivalent

to two single-tuned filters, and the single-tuned filter calculation formula is as follows:
⎧
⎨ Cx = Q1 (Nx2 −1)
ωN12 U12 (14)
⎩ Lx = 2 12
ω Nx Cx
290 Y. Liu et al.

In the formula, x = a and b represent single-tuned filters that filter out the 12th
harmonics and the 24th harmonics respectively; Q1 is the reactive power output of the
single-tuned filter; N x is the number of harmonics suppressed by the filter, N a = 12, N b
= 24; U 1 is the fundamental voltage of the bus.
Then the parameters of the double-tuned filter can be obtained:
⎧
⎪
⎪ C1 = Ca + Cb
⎪
⎪
⎨ L1 = LLaa+L Lb
b
Ca Ca (Ca +Cb )(La +Lb )2 (15)
⎪
⎪ C2 = (Ca La −Ca Lb )2
⎪
⎪
⎩ L = (Ca La −Cb Lb )2
2 (C +C )2 (L +L )
a b a b

4 Simulation Results
A simulation model was built in PSCAD/EMTDC to verify the rationality and effec-
tiveness of the parameter calculation method proposed in this paper. Combined with
the default system parameters, and the system parameters were calculated according to
Sect. 3, as shown in Table 1.

Table 1. Parameters of the system

Categories Values
Rated capacity 2000 MVA
Fundamental frequency 50Hz
DC-side rated voltage 500 kV
Capacity of the transformer 1142.49 MVA
Short-circuit impedance of the transformer 16%
Smoothing reactor 0.386 H
AC filter Q1 = 45MVar、C 1 = 32.741 uF、C 2 =
91.232uF、L 1 = 8.5828e-4 H、L 2 = 4.8278e-4
H、R = 1500

The waveforms of no-load DC voltage U di0 and valve side voltage U v0 of the system
in steady state are shown in Fig. 4. The DC voltage has harmonics and fluctuates up and
down at 500kV, while the valve side voltage is 370kV, satisfying the Eq. (4).
To verify the parameter design of the smoothing reactor, two conditions with or
without smoothing reactor are simulated. After the smoothing reactor is added, the DC
current harmonics are significantly reduced and the waveform is smoother, as shown in
Fig. 5.
Figure 6 shows the waveforms before and after adding the filter, which can reflect
the reactive power compensation and filtering effects of the filter. The filter device is
put into operation at 3s, and the reactive power curve shows that the reactive power
 Main Circuit Parameter Design Research 291

Fig. 4. No-load DC voltage U di0 and valve side voltage U v0 waveform

Fig. 5. DC current waveform

demand of DRU is compensated, and the compensation capacity is 45MVar, as shown

in Fig. 6(a). The reactive power calculated by Equation (24) is 775MVar. Compared
with the simulation result, there is a margin of error of 0.01%, which can reflect the
actual system. The characteristic harmonic amplitudes of 11th, 13th, 23rd and 25th were
obtained, as shown in Fig. 6(b), which verified the effectiveness of the AC filter parameter
design.

5 Conclusions
1. For the offshore wind power DC transmission system based on grid-forming wind tur-
bines and diode rectifier unit, the complete design idea of the main circuit parameters
of the system is proposed, including the calculation process and method.
2. Based on the theoretical analysis of the principle of the offshore wind power DC
transmission system of the diode rectifier unit, the feasibility of the system was
verified, and the power characteristics of the diode rectifier circuit were analyzed.
3. A design method is proposed for the main equipment of the main circuit, such as
converter transformer, smoothing reactor and AC filter. The analytical results are
verified by PSCAD/EMT simulation.
292 Y. Liu et al.

(a) DRU reactive power waveform

(b) 11th, 13th, 23rd and 25th characteristic harmonic amplitudes

Fig. 6. Waveforms before and after adding the AC filter

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adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
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 Effects of Rotating Stall on Flow Patterns
and Pressure Pulsation in Clearance Flow
Channels of Pump-Turbines

X. X. Hou1 , S. F. Teng1 , C. X. Xiong2 , and Z. Y. Yang3(B)

1 Department of Hydraulics, Changjiang River Scientific Research Institute, Wuhan 430010,
China
[email protected]
2 Chang Jiang Survey, Planning, Design and Research Co., Ltd, Wuhan 430010, China
3 Shanghai Investigation, Design and Research Institute Co., Ltd, Shanghai 200434, China

[email protected]

Abstract. The clearance flow channel (CFC) of pump-turbine is a thin cavity

composed of a runner and head cover or bottom ring, but excessive pressure
pulsation in a flat CFC is easy to cause the head cover excitation. At present,
there are insufficient studies on the flow patterns, and pressure pulsations in CFC.
In this paper, the 3D CFD numerical simulation method was used to reveal the
flow patterns, and pressure pulsations in the CFC of a low specific speed pump-
turbine under rotational stall condition. The results showed that the stall vortexes
rotated in the vaneless region of the main flow channel (MFC) when the rotating
stall occurred in the pump mode; while that rotated in the runner flow channels,
causing circumferentially imbalanced pressure at the runner inlet, as well as a
low-frequency and high-amplitude pulsation in MFC. In CFC, uneven pressure
distribution in the external cavity was formed when the clearance inlet pressure was
unbalanced in the circumferential direction in turbine braking mode. The pulsation
generated by the rotating stall in the MFC could be transmitted to the CFC, but the
pulsation amplitude dropped sharply at the clearance inlet position, then increased
first and ultimately decreased inward along the clearance flow channel. This study
provides a reference for the study of hydraulic excitation of the head cover.

Keywords: Pump-turbine · Clearance flow channel · Rotating stall · Flow

patterns · Pressure pulsatio · Propagation laws

1 Introduction

Against the backdrop of the “double carbon” target, the new power system with renew-
able energy as the mainstay requires more clean energy sources such as wind and pho-
tovoltaic power. However, wind and photovoltaic power generation are characterized
by randomness, intermittency, and fluctuation. Pumped storage units, with their short
start-up time and fast adjustment rate, can respond quickly to power demand, under-
taking tasks such as peak shaving, valley filling, energy storage, and voltage regulation

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 294–307, 2025.
https://doi.org/10.1007/978-981-97-9184-2_26
 Effects of Rotating Stall on Flow Patterns 295

for regional power grids. They play a crucial role as “regulators” and “stabilizers” in
ensuring power security and enhancing power system performance, making them one
of the most efficient and economical energy storage methods currently available. Due
to the special tasks undertaken by pumped storage power stations, pump turbines often
operate under off-design loads with a wide range of operating conditions [1, 2]. These
operating conditions can easily induce hydraulic instability issues in the units. In recent
years, numerous high-head units have experienced abnormal vibrations in their head
covers when operating off-design loads [3]. Most of these issues stem from hydraulic
excitation in the runner flow channel, which can induce hydraulic excitation in the unit’s
head cover, shafting, and powerhouse, affecting the safe, stable, efficient, and flexible
operation of the power station [4].
The CFC of a pump-turbine is a thin cavity composed of the runner, head cover, and
bottom ring. In addition, the lower the specific speed, the flatter the CFC. Although the
CFC is small and complex in shape, the pressure pulsations within the CFC are in direct
contact with the head cover, making it susceptible to structural vibrations. Therefore,
this work reveals the sources of pressure pulsations in both the MFC and the CFC, as
well as the propagation patterns of these pulsations, which is fundamental to addressing
the issue of hydraulic excitation of units (Fig. 1).

Fig. 1. Cross-sectional diagram of the pump-turbine

Rotating stall is a common source of pulsation in pump turbines, which mainly arises
from the uneven pressure distribution in the flow channel when the unit operates at a
condition that deviates from the design load. Due to the existence of pressure gradients,
stall vortices rotate in the circumferential direction [5, 6]. The stall rotation is mostly the
same as the rotation direction of the runner at a slower speed. Current research on rotating
stalls mainly focuses on pump operating conditions. Braun observed that a rotating stall
appeared in the guide vane domain under medium flow pump operating conditions
(40%-80% rated flow) [5, 7]. The pulsation generated by rotating stalls is low-frequency
and high-amplitude pulsation. Under turbine braking mode, the pulsation frequency
is approximately 0.5–0.7 times the rotational frequency [8], while is approximately
0.1–0.3 times the rotational frequency under small flow pump operating conditions
296 X. X. Hou et al.

[9]. The frequency of rotating stall pulsation varies with flow rate [10]. Under pump
operating conditions, when the flow rate is below 0.3Q, the pulsation frequency band
becomes wider, and the pulsation spectrum is more complex [9]. Additionally, some
studies suggest that rotating stall under pump conditions is the main cause of pump
hump characteristics [11, 12]. Due to the small size and complex geometry of the CFC,
model test scaling is limited, and prototype observation is difficult. Current research
on pressure pulsations from rotating stalls mainly focuses on the runner in MFC. Hu
et al. found low-frequency pressure pulsations in the CFC of high-specific-speed pump
turbines, which originate from the uneven pressure distribution [3]. When the rotating
stall occurs in the MFC, how the flow pattern and pressure pulsations evolve in the CFC,
and how the pressure pulsations generated by the rotating stall propagate within the
CFC, all remain to be further investigated.
This work utilizes 3D CFD numerical simulation methods to reveal the phenomenon
of rotational stall in a low-specific-speed pump-turbine under both low-flow pump mode
and turbine braking mode. The simulated result indicates that stall primarily occurs in
the guide vane channel during pump operation, while it occurs in the runner channel
during turbine braking. Subsequently, the study analyzes the flow patterns and pressure
pulsations in CFC when rotational stall occurs in the MFC, as well as the propagation
patterns of the pulsations generated by rotational stall throughout the entire flow channel.
The study may provide a potential reference value on the excitation of the head cover
caused by pressure pulsations in the CFC.

2 Numerical Simulation Method and Verification

2.1 Calculation Model and Mesh Generation
This work takes a low specific speed (ns is 90.2) prototype pump-turbine as the research
object. The rated head H r of the pump-turbine is 655 m, the rated output Pr is 357 MW,
and the rated flow Qr is 62.43 m3 /s. The 3D model of the pump-turbine is shown in Fig. 2.
The calculation domain includes the MFC and the CFC. The MFC calculation domain
involves the spiral casing, stay and guide vanes, runner, and draft tube. The CFC is a thin
cavity composed of the runner and the head cover or bottom ring, and can be divided
into the upper clearance flow channel (CHC) and the lower clearance (CSB). The CHC
is a thin layer flow channel between the upper surface of the runner (rotating surface)
and the lower surface of the head cover (stationary surface). The CSB is a thin layer
flow channel between the lower surface of the runner (rotating surface) and the upper
surface of the bottom ring (stationary surface). The CHC includes the clearance inlet,
external cavity, sealing ring, internal cavity, outlet, and pressure balance pipe (PEP), and
the leaked water body flows to the draft tube through the PEP. The CSB includes the
lower ring clearance external cavity and sealing ring, and the leaked water enters the
draft tube directly through the sealing ring.

2.2 Grid Independence Verification

The model was divided into regional grids using the ANSYS ICEM software. All regions
used hexahedral grids except the guide vane area which adopted wedge grids. The key
 Effects of Rotating Stall on Flow Patterns 297

CHC

Spiral casing Inlet of CSB

CSB
PEP
External cavity of CSB
Stay and guide vanes

Draft tube

Labyrinth seal

Runner Flowing to draft tube

(a) 3D model (b) Cross-section of CSB

Flowing to draft tube

PEP

Labyrinth seal

Head cover lower surface (stationary surface)

Outlet
External cavity of CHC of CHC
Hub upper surface (rotating surface)
Inlet of CHC Internal cavity of CHC

(c) Cross-section of CHC

Fig. 2. Model of the pump-turbine

computational domain grid detail is shown in Fig. 3. Due to the complex flow conditions
within the runner at the rotating stall condition, a finer grid was required. The calculation
result showed that, at the turbine runaway condition, when the number of runner grids
was greater than 2 million and the total grid number was greater than 10 million, the
torque variation was within 0.2%. Therefore, a fine grid number of 12.52 million was
adopted, and the distribution of grids in each computational region is shown in Table 1.

(a) Runner (b) CHC (c) CSB

Fig. 3. Grid diagram of calculation domain

298 X. X. Hou et al.

Table 1. Number of grid elements (million)

Grids Spiral casing Vanes Transition Runner Draft-Tube CHC CSB PEP
12.52 1.30 3.80 0.158 2.33 1.50 1.50 1.60 0.336

2.3 Numerical Simulation Method

The computational domain was calculated by using the finite volume method with com-
mercial software ANSYS Fluent. The turbulence model adopts the SAS-SST model,
and the SIMPLEC pressure-velocity coupling algorithm is used for the iterative solu-
tion. Both spatial and temporal discretization adopt the second-order difference format,
and the time step is set to 0.001 s. Boundary condition settings are shown as follows,
due to the close relationship between CFC patterns and pressure pulsation with runner
speed [13], to eliminate the influence of speed, a constant speed calculation method is
adopted in this calculation, which maintains the rated speed (500 rpm) unchanged [14].
The inlet of the spiral casing is set as a flow inlet and outlet boundary condition, and the
draft tube outlet is set as a fixed pressure outlet boundary condition with a water head
of 100 m. Much research found that the compressibility of water cannot be ignored in
numerical calculations [15, 16], so the influence of water compressibility is included
in this calculation. To universally describe pressure, the pressure pulsation amplitudes
obtained in this paper are dimensionless processed using formula (1), which represents
the ratio of the calculated pressure pulsation amplitude to the water pressure under the
operating water head:
A
A∗ = (1)
ρgH

where A and A* represent the pulsation amplitudes before and after dimensionless
processing, respectively; and H is the water head under the corresponding operating
conditions.

2.4 Pressure Monitoring Points

To monitor the pressure pulsation and its propagation characteristics in the whole flow
channel, monitoring points are set up in the MFC, CFC, and CSB, as shown in Fig. 4.
Additionally, pressure monitoring points in the runner are set to rotate with the runner.

2.5 Operating Conditions and Verification of Calculation

The operating condition involves the turbine braking mode (Q is 10 m3 /s) and the pump
mode with small-medium flow (Q is 20 m3 /s). To verify the accuracy of the numerical
simulation, a comparison was made between the calculated values and the model test
for the micro parameters, as shown in Fig. 5 The results of the numerical simulation and
model test are relatively well matched.
 Effects of Rotating Stall on Flow Patterns 299

S2

V2 D1
D2 D3
V3
S01 S3
V1
V4
D4

S4

(a) Pressure monitoring points in MFC

UC1 UC2 UC-5

DC1
UC3 DC2
UC4 UC-6

DC3

DC4

DC5

(b) Pressure monitoring points in CFC

Fig. 4. Layout of pressure monitoring points for whole flow channels

3000
800

2000
400
1000
M11(N·m)
Q11 (l/s)

0
0

-400
-1000
Model test
Simulation Model test
-800 -2000 Simulation

-1200 -3000
-60 -40 -20 0 20 40 60 -60 -40 -20 0 20 40 60
n11 (r/min) n11 (r/min)

(a) n11᧩Q11 curves (b) n11᧩M11 curves

Fig. 5. Macro parameters validation for numerical simulation and model test
300 X. X. Hou et al.

3 Pump Mode of Small and Medium Flow Rate (Q is 20m3 /s)

3.1 Flow Patterns Distribution
3.1.1 Flow Patterns in MFC
As shown in Fig. 6, under the pump mode (Q is 20 m3/s), three stall vortexes evenly
distributed in the circumferential direction appear in the stay and guide vane flow chan-
nels. The flow velocity decreases at the position where the vortexes pass through, and
the channel between the stay and guide vanes is blocked and generates high pressure,
forcing the water to flow between the stay guide vanes and the guide vane until it flows
out of the non-stall channel. The flow velocity of the non-stall channel increases, and
the pressure decreases. The existence of the circumferential pressure gradient causes the
stall vortexes to rotate in the direction of the runner rotation. The rotating stall occurs
in the stay guide vane channels under the pump mode. The circumferential pressure
distribution in the stay and guide vane area is unbalanced, as well as the circumferential
pressure distribution in the vaneless region and the runner inlet.

Rotating stall

(a) Stall vortex distribution (b) Pressure distribution

Non-stall channels
Stall channels

(c) Streamline distribution

Fig. 6. Flow patterns of rotating stall in MFC under a pump mode of small and medium flow rate
 Effects of Rotating Stall on Flow Patterns 301

3.1.2 Flow Pattern Distribution in CFC

Due to the CFC being directly connected to the runner inlet of the MFC, the pressure
distribution inside the CFC is determined by the pressure at the runner inlet. In the case of
pump mode, rotating stalls occur in the stay and guide vane channels, and the pressure in
MFC at the runner inlet is evenly distributed in the circumferential direction. Therefore,
after entering the CFC, the pressure distribution in the circumferential direction of the
CFC is uniform, as shown in Fig. 7. A small range of fragmented vortex structures
appear at the inlet of the CFC, while the vortices outside are evenly distributed in the
circumferential direction. Vortex structures in CSB only appear at the clearance inlet.

(a) Pressure distribution in CHC (b) Vortex structure in CHC (c) Vortex structure in CSB
Fig. 7. Flow patterns in CFC under a pump mode of small and medium flow rate (stall in MFC)

3.2 Pressure Pulsations in Whole Flow Channels

3.2.1 Pressure Pulsation Laws in MFC
As shown in Fig. 8, under the condition of a small flow rate in the pump, there is a
rotational stall pressure pulsation of 0.11 times f n in the guide vanes flow channel, which
belongs to a low-frequency and high-amplitude pulsation. Along the MFC towards the
volute and draft tube, the pulsation amplitude decreases, so the rotational stall pulsation
is the main frequency of pulsation in the guide vane region, but not the main frequency
of pulsation in the spring casing and draft tube.

3.2.2 Pressure Pulsation Laws in CFC

As shown in Fig. 9, the MFC experiences a rotating stall and generates low-frequency
high-amplitude pulsation in pump mode, but the rotating stall pulsation is not found
in the CHC and CSB. The main reason is that the circumferentially uniform pressure
distribution and no circumferential unbalanced vortex structure are formed in the CFC.
However, a pulsation of 0.9 times f n appears in both the CHC and CSB.

3.3 Propagation Laws of Rotating Stall Pulsation in CFC

Under the pump mode, the pressure pulsation of stall vortexes in the stay and guide
vane flow channels can propagate upstream and downstream along the MFC, and the
302 X. X. Hou et al.

1.5 6
0.9 fn 0.11 fn V2
D1
1.2 2.17 fn
2.17 f n

4
0.9 2
0.6
6
S1
A* (%)

0.3

A* (%)
4
0.90 fn
2.0
2.17 fn D4 2
1.6
6
1.2 0.9 fn S2
4
0.8 0.90 fn
0.4 2

0.0 0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
f / fn f / fn

Fig. 8. Spectral characteristics of pressure pulsations in MFC under a pump mode

6 6
UC1 DC1
4 0.9 fn 4
0.9 fn
2 2

6 6
UC3 DC3
A* (%)

A* (%)

4 4

2 2

6 6
UC6 DC5
4 4

2 2

0 0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
f / fn f / fn
(a) In CHC (b) In CSB

Fig. 9. Spectral characteristics of pressure pulsations in CFC under a pump mode

pulsation amplitude gradually decreases. However, the rotating stall pulsation does not
significantly propagate into the CFC.

4 Turbine Braking Mode (Q is 10m3 /s)

4.1 Flow Patterns Distribution

4.1.1 Flow Patterns in MFC

As shown in Fig. 10, under the turbine braking mode (Q is 10 m3/s), six blade channels
in the runner suffer stall with various degrees, while three channels can enter the flow
normally. For the stall runner channels, the water flows annularly between the stay and
guide vanes until it flows into the non-stall channels. The stall flow channels rotate with
the runner, with a rotational speed of 0.85 times the runner’s rotational frequency. Due to
the reduced flow velocity in the stall flow channels and the increased pressure, while the
flow velocity in the non-stall channels increases and the pressure decreases, the pressure
distribution from the inlet to the outlet of the runner is circumferentially uneven.
 Effects of Rotating Stall on Flow Patterns 303

(a) Streamline distribution (b) Pressure distribution

Fig. 10. Rotational stall distribution in runner channels under a turbine braking mode

4.1.2 Flow Pattern Distribution in CFC

As shown in Fig. 11, due to the stall in the runner channels, the circumferential pressure
distribution at the runner inlet is uneven. Since the CFC is directly connected to the
runner inlet, the uneven circumferential pressure at the runner inlet leads to uneven
inlet pressure in CHC and CSB, resulting in uneven pressure distribution in the CFC.
The uneven circumferential pressure distribution leads to asymmetric vortexes along the
circumferential direction in the external cavity in CHC and CSB, which rotates with the
runner at a speed of 0.85 times f n .

(a) Pressure distribution in CHC (b) Vortex structure in CHC (c) Vortex structure in CSB
Fig. 11. Flow patterns in CFC under a turbine braking mode

4.2 Pressure Pulsations in Whole Flow Channels

4.2.1 Pressure Pulsation Laws in MFC

The pressure pulsation spectrum characteristics of the measuring points in MFC are
shown in Fig. 12. There is a high-amplitude pressure pulsation of 0.85 times f n in both
304 X. X. Hou et al.

the bladeless region and the draft tube, which is caused by the rotating stall vortex in
the runner blade channel. However, as the rotation stall pulse propagates upstream and
downstream along the MFC, the amplitude gradually decreases.

15 3.0
0.85 fn V2
12 2.5 0.85 fn D1
9
2.0
6
3 1.5
15 1.0
S1

A* (%)
12
A* (%)

0.5
9
3.0
6
3 2.5 D4
15 2.0
12 S2
1.5
9
1.0
6
3 0.5
0 0.0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
f / fn f / fn

Fig. 12. Spectral characteristics of pressure pulsations in MFC under a turbine braking mode

4.2.2 Pressure Pulsation Laws in CFC

As shown in Fig. 13, under the turbine braking mode, low-frequency and high-amplitude
pressure pulsations of 0.85 f n appear in both CHC and CSB. The stall pulsation in
the runner channel can be transmitted to the clearance flow channels. In addition, the
unbalanced rotating vortex in the outer cavity of the clearance also generates pressure
pulsations at the same frequency. The pulsation amplitude gradually decreases inward
along the CFC.

6 6
0.85 fn UC1 0.85 fn DC1
4 4

2 2

6 6
UC3 DC3
A* (%)

A* (%)

4 4

2 2

6 6
UC6 DC5
4 4

2 2

0 0
0 5 10 15 20 25 30 0 5 10 15 20 25 30
f / fn f / fn
(a) In CHC (b) In CSB

Fig. 13. Spectral characteristics of pressure pulsations in CFC under a turbine braking mode
 Effects of Rotating Stall on Flow Patterns 305

4.3 Propagation Law of Rotating Stall Pulsation in CFC

As shown in Fig. 14, during the turbine raking mode, partial blade channels stall, resulting
in a maximum pulsation amplitude in the bladeless region. This pulsation propagates
upstream and downstream along the MFC with a gradually decreasing amplitude. In the
CFC, the amplitude of the rotational stall pulsation amplitude dropped sharply at the
clearance inlet position, then increased first and ultimately decreased inward along the
clearance flow channel because of the unbalanced rotating vortex structure in external
cavity.

8 CHC (High pressure → low preesure)

Spiral casing Vanes External cavity Labyrinth Internal Draft tube
7
seal cavity
6
A* (%)

5
CHC
4
CSB
3
2
Spiral casing Vanes External cavity Labyrinth seal Draft tube
1
CSB (High pressure → low preesure)

Fig. 14. Propagation law of rotating stall pressure pulsation in whole flow channels under a turbine
braking mode

5 Conclusion
This work reveals the flow patterns and pressure pulsation characteristics in the MFC
and CFC when a low specific-speed pump-turbine experiences a rotating stall under
pump mode and turbine braking mode through 3D CFD numerical simulation method.
It was found that stall mainly occurs in the stay and guide vane flow channel in pump
mode, while that occurs in the runner blade channels under turbine braking mode. The
specific conclusions are listed as follows:
(1) Under the small and medium flow conditions in pump mode, three stall vortexes
appear in the stay and guide vane flow channel. Due to the uneven pressure distri-
bution in the circumferential direction, the stall vortex rotates in the circumferential
direction and generates low-frequency and high-amplitude pressure pulsations. The
pressure imbalance caused by the rotating stall does not propagate significantly to
the runner inlet and CFC, so there is no pulsation at the frequency of the rotating
stall in the CFC.
(2) Under turbine braking mode, most of the runner blade channels stall, and the stall
flow channel rotates with the runner, generating low-frequency and high-amplitude
pulsations in the runner flow channels. Due to the runner stall, the pressure distribu-
tion at the runner inlet is uneven in the circumferential direction, resulting in uneven
pressure distribution in the CFC. Asymmetric vortex structures appear in the clear-
ance outer cavity of CFC in the circumferential direction, resulting in pulsations
with the same frequency as the stall in MFC.
306 X. X. Hou et al.

(3) The rotating stall pulsations generated in the MFC propagate upstream and down-
stream along the MFC, and the amplitude of the pulsations gradually decreases.
Under turbine braking mode, the pulsations amplitude of the rotating stall drops
sharply at the clearance inlet position, then increases first and ultimately decreases
inward along the clearance flow channel. This study can provide a potential reference
for the head cover excitation caused by pressure pulsations.

Acknowledgments. This work was sponsored by Shanghai Sailing Program [grant number
23YF1426300].

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 Technical Challenges and Environmental
Governance in the Construction of Pumped
Storage Power Stations

Song Wang(B) and Yongkang Yang

SINOHYDRO BUREAU 11CO.,LTD, Henan Province, China

[email protected]

Abstract. With the continuous deepening of China’s reform and opening-up,

the coordinated development of environmental protection and economic develop-
ment has become the focus of social attention. As a key new energy technology,
pumped storage power stations have functions such as peak power regulation and
energy storage, and play an important role in new energy construction. However,
its application in China is still in its infancy and lags behind the international
advanced level. This paper uses the methods of literature review and practical
experience induction to conduct a detailed analysis of the technical issues in the
construction of pumped storage power stations. Through an in-depth discussion
of the development status of China’s pumped storage power stations, as well as
technical problems and governance measures that may arise during their construc-
tion, we will provide support for promoting ecological environmental protection,
responding to the demand for new energy construction, and creating a green-
friendly construction environment. This paper focuses on the technical difficulties
encountered during the construction process and proposes corresponding man-
agement measures. At the same time, an in-depth analysis of the challenges faced
by pumped hydro storage technology and construction was conducted. Through
research, it is found that the development of pumped storage power stations in
China has made some progress, but there are still some necessary technical chal-
lenges. In response to these problems, a series of effective governance measures are
proposed, and future development prospects are forecast. Comprehensive research
results show that pumped storage power stations occupy an important position and
have great potential in China’s new energy construction. Through scientific plan-
ning and effective management, problems that may arise during their construction
and operation can be overcome, and their wider application in China can be pro-
moted, making positive contributions to ecological environmental protection and
sustainable development.

Keywords: Pumped storage power stations · Water conservancy and

hydropower · Technological challenges · Environmental protection

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 308–316, 2025.
https://doi.org/10.1007/978-981-97-9184-2_27
 Technical Challenges and Environmental Governance 309

1 Introduction
The development of pumped storage power technology in China has undergone five
stages: the initial stage, stagnation stage, breakthrough stage, scale formation stage, and
rapid development stage. Compared with developed countries, China started the devel-
opment of pumped storage power stations later, with the construction of the small mixed
pumped storage power stations Gangnan and Miyun in 1968 and 1973, respectively. In
the late 1980s and early 1990s, the successive construction of the Shisanling, Guangzhou,
and Tianhuangping pumped storage power stations marked significant breakthroughs in
China’s pumped storage technology. Research shows that pumped storage power stations
currently have the highest energy storage conversion efficiency, with a storage cycle effi-
ciency of 75% to 80% [1]. As a critical component of energy transition, the construction
of pumped storage power stations is not only a technology-intensive project but also a
profound consideration and significant challenge for ecological sustainability. During
project implementation, the technical challenges encountered are complex and variable.
However, it is even more crucial to carefully assess and effectively address the potential
impacts on the surrounding environment, particularly the stability of ecosystems and
environmental quality.
This paper focuses on the reservoir dam in a specific region. The upper reservoir
is located on the Paofanggou section of the Matie River, a left-bank tributary of the
Huangya River, while the lower reservoir is situated on the Luotuotou section of the
Sangua Temple Village, part of the main upper reaches of the Huangya River, a major
tributary of the Bai River, itself a tributary of the Han River (Yangtze River system). The
upper reservoir has a concrete-faced rockfill dam with a crest elevation of 1068.40 m
and a maximum dam height of 118.40 m. Its normal storage level is 1063.000 m, with a
corresponding storage capacity of 14.05 million cubic meters. The lower reservoir also
has a concrete-faced rockfill dam with a crest elevation of 540.60 m and a maximum dam
height of 100.60 m. Its normal storage level is 537.500 m, with a corresponding storage
capacity of 16.34 million cubic meters. This first-class (I) project includes the upper
reservoir, water conveyance system, underground powerhouse system, lower reservoir,
and surface switch station.
Based on extensive practical engineering experience and cutting-edge research
results accumulated in the industry, this paper aims to analyze some key technical issues
faced in the construction of pumped storage power stations and propose a series of prac-
tical solutions. These solutions are intended to provide scientific and practical guidance
and recommendations for the sustainable development of the pumped storage power
stations, thus promoting the healthy, stable, and green development of this sector.

2 Major Technical Issues in the Construction of Pumped Storage

Power Stations
2.1 Multiple Construction Projects and Broad Professional Scope
Pumped storage power stations involve various disciplines, including civil engineering,
hydraulic engineering, electrical engineering, mechanical engineering, and automation
control. Each discipline has its unique technical standards and specifications. The con-
struction process requires a large number of highly skilled technical personnel, and all
310 S. Wang and Y. Yang

participants on-site need to have a solid theoretical foundation and extensive practical
experience to deal with the various technical issues that may arise during construction.

2.2 Numerous and Complex Temporary Construction Roads

Pumped storage power stations are typically built in suburban areas outside of urban
centers, with a significant elevation difference between the upper and lower reservoirs.
This requires the construction of numerous temporary roads. The complex terrain and
variable climate increase the difficulty of designing and constructing these temporary
roads. The design of temporary roads must consider factors such as road gradient, load-
bearing capacity, and other elements to ensure that the roads can withstand the required
excavation and filling strength. Concrete surfaces used for these roads should be at least
30 cm thick, and the concrete should have a flexural strength of at least R5.0 [2].

2.3 High Quality Requirements for Rockfill Dam Embankments

The quality of rockfill dam embankment determines the safety and stability of the project.
First, the material used for embankment directly affects the compaction effect and sta-
bility of the dam body, so the raw materials for rockfill dam embankments must meet
the design specifications, including particle size, gradation, and physical and mechan-
ical properties. Second, the embankment must be layered according to the design
requirements, with different materials requiring specific layer thicknesses, spreading
thicknesses, and compaction degrees. Finally, professional machinery and equipment
such as vibratory rollers and bulldozers are required for embankment construction and
compaction, followed by compaction degree and layer thickness testing.

2.4 Long Peak Construction Time and Complex Construction Environment

The construction of pumped storage power stations involves multiple projects, often
located in complex mountainous or aquatic environments. Geological conditions and
climatic changes significantly impact construction, posing higher demands on material
supply and storage. Construction schedules must consider rainy seasons, winter con-
ditions, and flood control, leading to tight timelines. Peak construction periods require
large numbers of workers, and prolonged high-intensity work can lead to worker fatigue,
increasing the risk of accidents. Extended peak construction also places heavy demands
on equipment, raising the risk of failure and damage.

2.5 Poor Air Circulation and Air Quality in the Construction Environment
Pumped storage power station construction often takes place in relatively closed envi-
ronments, and construction workers are exposed to significant occupational health risks.
Construction dust is a major contributor to various diseases. Poor air circulation can
cause discomfort and lead to respiratory diseases such as pneumoconiosis and asthma.
The mortality rate from dust-related diseases among construction workers is as high as
63%, with cerebrovascular and cardiovascular diseases accounting for 17% [3]. In addi-
tion, dust and airborne contaminants can enter machinery and affect its normal operation
and life.
 Technical Challenges and Environmental Governance 311

2.6 Large Reservoir Capacity and High Requirements for Seepage Prevention
Reservoir seepage is somewhat concealed, with various types, states, and complex
causes. Due to the large storage capacity and complex geological conditions of reservoirs,
the dam body and reservoir area are subjected to enormous water pressure. Reservoir
seepage not only reduces storage capacity but may also affect the surrounding environ-
ment. Nationwide, about 20% to 30% of reservoir dams have varying degrees of seepage
problems [4]. For example, the Shenkeng Reservoir in Daishan County, Zhejiang, expe-
rienced seepage before a dam failure on August 19, 2012, resulting in 10 deaths and 27
injuries. Similarly, the Lianteng Reservoir in Urumqi experienced a dam failure due to
piping on February 2, 2013, causing 1 death and 18 injuries [5].

2.7 Severe Water Environment Pollution

During the construction of pumped storage power stations, wastewater mainly originates
from tunnel wastewater, foundation pit wastewater, and domestic sewage [6, 7], as shown
in Table 1. Tunnel wastewater primarily consists of construction process water, with
suspended solids (SS) as the main pollutant. Foundation pit wastewater mostly includes
groundwater seepage and concrete curing wastewater, with primary pollutants being
suspended solids, biochemical oxygen demand (BOD), and chemical oxygen demand
(COD). The main pollutants in domestic sewage are total phosphorus and ammonia
nitrogen.
Pollutants in water can disrupt aquatic ecosystems, resulting in the death of fish
and other aquatic organisms. When polluted water is used for irrigation, farmland can be
adversely affected to varying degrees. When reservoirs or surrounding water bodies serve
as local drinking water sources, water pollution directly affects the safety of drinking
water for local residents. Pollutants entering the human body through drinking water can
cause various health problems, such as digestive system diseases and skin conditions.

2.8 Flood Control Plan for Pumped Storage Power Stations

The construction period of the power station is long and spans multiple flood seasons.
During these periods, heavy rainfall, floods, and extreme weather conditions may occur,
posing threats to the power station dam and reservoir area. If the flood control plan is not
comprehensive, flooding could result in equipment malfunctions that, at best, disrupt the
construction process, or, at worst, have serious consequences such as dam damage and
reservoir overtopping. In addition, torrential rains can trigger mudslides and landslides,
threatening the safety of the power station and construction personnel on site.

3 Countermeasures for Major Technical Issues in the Construction

of Pumped Storage Power Stations
3.1 Countermeasures for Numerous and Diverse Construction Projects
Introducing advanced project management tools: To address the numerous and
diverse construction projects involved in the construction of pumped storage power
stations, advanced project management tools can be introduced. The use of building
312 S. Wang and Y. Yang

Table 1. Characteristics of wastewater from pumped storage power station construction [7]

No Power plant name Source of wastewater Maximum Main pollutants

wastewater
quantity/(m3 /h)
1 Xiangjiaba Power Sand and gravel 450.0 SS
Station processing and
mixing wastewater
2 Jurong Pumped Sand and gravel 334.0 SS/BOD/COD
Storage Power processing and
Station mixing wastewater
3 Yimeng Pumped Sand and gravel 480.0 SS
Storage Power processing and
Station mixing wastewater
4 Liyang Pumped Domestic sewage 20.8 BOD/COD
Storage Power sand and gravel 200.0 SS
Station processing
wastewater
5 Fujian Xianyou Domestic sewage 13.2 SS/BOD/COD
Pumped Storage Sand and gravel 300.0 SS
Power Station processing and
mixing wastewater
6 Shisanling Tunnel wastewater 83.3 Petroleum/TNT/SS
Pumped Storage
Power Station
7 Meizhou Pumped Sand and gravel 200.0 SS
Storage Power processing and
Station mixing wastewater

information modeling technology and project management software for comprehensive

management enables real-time tracking of project progress and coordination, ensuring
an orderly construction process.
Build a professional team and conduct regular training: The formation of a
comprehensive technical team consisting of civil, hydraulic, electrical and mechanical
engineers is crucial. Prior to construction, a detailed construction organization design
should be conducted, clearly defining the construction processes and procedures for each
specialty and project. Scientific construction plans and schedules should be developed.
Regular technical training and briefings should be conducted to promptly address techni-
cal and coordination issues that arise during construction to ensure construction quality.
Dedicated coordination management positions should be established to facilitate com-
munication and coordination among different specialties to ensure the orderly progress
of all work on the site.
 Technical Challenges and Environmental Governance 313

3.2 Countermeasures for Complex and Numerous Temporary Construction

Roads
Optimize temporary road design scheme: Based on the terrain conditions and con-
struction requirements, the design plan for temporary roads should be optimized.
Detailed road planning should be carried out before construction using modern sur-
veying technology and geographic information systems to improve the scientific and
rational aspects of planning. An efficient traffic organization and management mecha-
nism should be established, with reasonable arrangements for the travel routes and times
of transportation vehicles to avoid traffic congestion and confusion. Traffic signs and
safety warning signs should be set up, and maintenance plans and contingency plans for
temporary construction roads should be formulated. Regular inspection and maintenance
of roads should be conducted to repair damaged sections promptly to ensure smooth and
safe roads.

3.3 Measures for Quality Control of Rockfill Dam Embankments

Prevention and in-process control: There are two main methods for dam quality con-
trol: pre-emptive prevention and in-process control. Pre-emptive control involves ana-
lyzing and judging potential quality issues in advance and taking preventive measures
against possible quality problems. During the embankment construction of the Tianchi
Pumped Storage Power Station, GPS satellite positioning systems were used for in-
process quality control [8]. All quality indicators during the embankment process are
monitored and detected in real time, so that quality problems can be identified and solved
promptly, thus ensuring the quality of the embankment.

3.4 Countermeasures for Long Peak Construction Period and Complex

Construction Environment
Shift System and Safety Awareness: Reasonable work schedules should be formulated
to avoid prolonged continuous work by construction personnel, thereby reducing fatigue
and ensuring their health. A shift system should be established to ensure that construc-
tion workers have sufficient rest periods. Regular safety training should be conducted to
improve the safety awareness and skills of construction personnel. On-site safety man-
agement should be strengthened, and safety protection measures should be implemented
to reduce the occurrence of safety accidents.

3.5 Countermeasures for Poor Ventilation and Air Quality in Construction

Environment
Set different control measures based on construction air quality: An air quality mon-
itoring system should be established to regularly check the air quality in the construction
area. Based on the monitoring results, the air quality should be classified accordingly.
Worker rest areas should be set up around trees, as studies have shown that high levels
of greenery in rest areas significantly control dust levels [9]. In areas of poor air quality
around the reservoir, a fresh air system should be installed. High-pressure, long-range
314 S. Wang and Y. Yang

spray nozzles should be used for dust control in areas where dust may be generated
during construction [10].
Equip personal protective equipment upon entering the construction site: Con-
struction workers should be provided with necessary personal protective equipment and
must wear protective gear when entering areas with poor air quality. Protective aware-
ness training should be enhanced to raise awareness of the importance of air quality and
personal protection among workers. Regular health checks should be conducted for con-
struction workers, focusing on their health status. Health records should be established
to identify and address health problems promptly. For workers exposed to high levels of
dust and harmful gases for long periods, job rotation and rest periods should be arranged
to avoid long-term exposure to harmful environments.

3.6 Seepage Control Measures for Large Reservoirs

Establish a monitoring system that combines prevention and control: A compre-

hensive monitoring system should be established to monitor key parameters such as dam
deformation, seepage volume, and water pressure in real time. In the reservoir seepage
control design, a multi-layered seepage control system should be adopted to improve
seepage prevention effectiveness. This typically includes a primary seepage control layer,
a secondary seepage control layer, and a drainage layer. A multi-layered seepage control
design can minimize the risk of seepage. Environmental protection measures should be
taken to mitigate the impact of seepage control on the surrounding environment, such
as the provision of drainage systems downstream of the dam to reduce the impact of
seepage water on downstream soils and groundwater.

3.7 Measures for Water Environment Pollution Treatment

Establish wastewater treatment measures: Conduct wastewater inspections using

drones, unmanned boats, intelligent robots, and other means to identify all water-related
discharge outlets and wastewater discharge characteristics during construction. Wastew-
ater treatment facilities should be established to treat construction wastewater before dis-
charge to ensure that the wastewater meets discharge standards. Construction-generated
slurry should be recovered and treated to prevent direct discharge into water bodies. Oil
pollution collection and treatment devices should be installed for waste oil generated by
mechanical equipment during construction and operation, and any leaked oil should be
handled promptly to prevent it from entering water bodies.
Real-time water quality monitoring and regular testing and evaluation: Water
quality monitoring points should be set up in the reservoir and surrounding water bodies,
and a real-time water quality monitoring system should be established to monitor key
pollutant indicators. Any abnormal water quality should be promptly addressed with
appropriate measures. Regular water quality testing should be conducted in the reservoir
and surrounding water bodies to assess water environment quality. Pollution control
measures should be adjusted based on test results to ensure continuous improvement of
water quality.
 Technical Challenges and Environmental Governance 315

3.8 Flood Control Measures

Establish a comprehensive meteorological and hydrological monitoring system:

Real-time monitoring of key parameters such as rainfall, flow rate, and water level,
establishment of information exchange mechanisms with meteorological and hydrolog-
ical departments, and development of scientifically sound reservoir scheduling plans.
During the flood season, reservoir inflow and outflow should be dynamically adjusted
based on real-time monitoring data to ensure sufficient reservoir capacity to reduce the
pressure on the dam during high-flow floods.
Timely detection and reinforcement before training: Potential vulnerabilities
should be repaired to ensure the safety and stability of the dam and embankments.
Necessary flood control facilities, such as spillways and drainage ditches, should be
built around the power station to ensure rapid drainage during floods and to reduce pres-
sure on power station facilities. Detailed contingency plans for flood control should be
developed, specifying the responsibilities and response actions of various departments.
Contingency plans should be promptly activated and effective measures taken in the
event of sudden floods or extreme weather conditions. Regular flood control emergency
drills should be conducted to enhance the emergency response capabilities of power
station staff. These drills help test the effectiveness and operability of contingency plans
and identify and improve any issues. Effective communication and cooperation mech-
anisms should be established with local governments, flood control departments, and
communities to promptly share flood control information, cooperate in flood control
efforts, and jointly address potential flood risks during the flood season.

4 Conclusion

China is rich in wind and photovoltaic resources, with great potential for new energy
development. Through continuous efforts and accumulation, China has achieved global
leadership in many new energy technologies and equipment manufacturing levels, and
establish the world’s largest clean power supply system. With technological progress,
renewable energy construction will gradually increase in the coming decades. However,
due to the volatility of renewable energy, it cannot maintain or regulate continuous power
supply, which requires a significant increase in energy storage to balance the variability
of solar and wind power.
The construction and operation of pumped storage power stations face many techni-
cal challenges, including those mentioned above, as well as issues related to construction
diversion, directional blasting, equipment assembly, structural seismic resistance, and
earthworks. The key to effectively solving these problems lies in scientific planning, the
application of advanced technologies, strict quality control, the enhancement of environ-
mental protection measures, and the formulation of contingency plans. This will ensure
that the project proceeds with high quality, safety, and environmental protection. In the
future, with the development of intelligent and green construction technologies, pumped
storage power station construction will become more efficient and sustainable, making
important contributions to the optimization of the energy structure and the protection of
the ecological environment.
316 S. Wang and Y. Yang

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 Research on Simulation and Prediction
of Photovoltaic Power Generation Based
on Radiation Models and Machine Learning
Method

Jie Gao1(B) , Xu Wang1 , Jianwei Gu1 , Siwei Tang2 , Fangliang Zhu1 , Jingyi Li3 ,
and Yiming Zhu4
1 China Renewable Energy Engineering Institute, Beijing, China
[email protected]
2 Power China Guiyang Engineering Corporation Limited, Guizhou, China
3 Power China Northwest Engineering Corporation Limited, Xi’an, China
4 Power China Beijing Engineering Corporation Limited, Beijing, China

Abstract. Focus on the Carbon Peaking and Carbon Neutrality Goals, new energy
such as solar and wind power generation developed rapidly. In 2023, the instal-
lation of solar energy in China exceeded 0.6 Terawatt, accounting for over 20%
of the total installed electricity capacity, surpassing hydropower for the first time,
becoming the second largest power supply in China. Annual photovoltaic (PV)
power generation achieved nearly 583.3 TWh, gradually towards the main power
supply. An accurate simulation and prediction of PV power generation is of great
significance for the safe and economical operation of the new power systems.
In this paper, on 15-min measured irradiance and power generation data of PV
plants within one year and the reanalysis meteorological hourly data of ERA5
derived from ECMWF (European Centre for Medium-Range Weather Forecasts),
Firstly, we discover the characteristics of PV power generation by analyzing the
daily insolation hours and hourly mean power output. Then physical mechanism
method is used through radiation model, inclined plane radiation correction model
and photoelectric conversion model. PV power output is simulated based on grid-
type reanalysis meteorological data. Finally, according to the deviation sequence
of simulated and measured power output, a machine learning method extreme gra-
dient boosting (XGBoost) is introduced. After dividing the deviation time series
into training set and test set, the training set is applied to learn the patterns to cor-
rect the test set. And the test set is fed back to modify the prediction. The results
show that by using machine learning method, the determination coefficient (R-
squared) of hourly PV power output of a certain station for medium and long-term
could reach 0.9, which contribute to improve the accuracy of PV power output
generation prediction effectively.

Keywords: photovoltaic power generation · machine learning · XGBoost

This work was supported by the National Natural Science Foundation of China (Grant No.
U2243232) and Power Construction Corporation of China, Ltd Technology Project (DJ-HXGG-
2022-01, DJ-ZDXM-2022-10, DJ-ZDXM-2021-26).

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 317–326, 2025.
https://doi.org/10.1007/978-981-97-9184-2_28
318 G. Jie et al.

1 Introduction
China is committed to achieving the dual carbon goal (Wang et al. 2023), to realize carbon
neutrality by 2030 and carbon peak by 2060. As the dominant clean and low-carbon
energy, solar and wind resources are important elements to build the new power system
and achieve carbon reduction. By the end of 2023, the installed capacity of new energy
has exceeded 1TW (Terawatt) in China, accounting for 35% of the total installed power
capacity. New energy generation is 1470TWh (Tera watt hour), accounting for more than
15% of the total power generation in China, achieving a high penetration rate of new
energy in the power system. Among them, the installed capacity of photovoltaic (PV)
power generation exceeds 0.6TW, and the annual power generation is 583TWh, which
is vital to the development of new energy. PV power generation has the characteristics
of randomness, volatility and intermittences, which pose a serious challenge on the safe
and stable operation of the electric power system, and causes the “duck curve”, which
directly affects the price of PV power generation in electricity market. Therefore, the
research on PV power simulation and prediction is of great practical significance.
PV power simulation and prediction in the time scale includes ultra-short-term pre-
diction (0~4 h), short-term prediction (4 h~72 h), medium and long-term prediction
(week-month-year), from the spatial scale involves point prediction and regional predic-
tion. It can be calculated by physical mechanism method and statistical method which
involves time method, machine learning method and etc. Moreover, the accuracy is eval-
uated by means of average absolute error, average absolute error percentage, root-mean-
square error, root-mean-square error, correlation coefficient, determination coefficient
(R-squared) and other indicators (Lai et al. 2019).
In this paper, from the physical mechanism of PV power generation, irradiance is con-
verted to power through radiation model, inclined plane radiation correction model, and
photoelectric conversion model, using grid-type reanalysis meteorological data input. In
order to improve prediction performance, deviation sequence between the simulated and
measured power output is divided into training set and test set. The machine learning
method extreme gradient boosting (XGBoost) is used in the training set to correct the
deviation for the test set which helps to improve the prediction accuracy. The hourly
predicted PV power generation of a certain station for a medium-long term can reach
R-squared of 0.9. The effect performs well.

2 Models
In our study, annual hourly PV power output is simulated by physical mechanism models,
and then the hourly PV power output in the test set is corrected by machine learning
model.

2.1 Physical Mechanism Method

2.1.1 Radiation Model
The energy of PV power generation originally comes from solar radiation outside the
atmosphere, which reflects the solar constant vary with hours, days and seasons. PV
 Research on Simulation and Prediction 319

power generation is closely related to radiation directly from the sun to the earth, involv-
ing the calculation of solar declination angle and solar hour angle (Eq. (1)). The solar
hour angle also needs to be adjusted considering time difference (Li et al. 2019).

I0 = γ Esc (sinϕsinδ + cosδcosϕcosω) (1)

where,

I0 solar radiation at the top of the atmosphere [W/m2 ]

E sc the solar constant, equals 1367 W/m2
γ correction coefficient of Earth-Sun distance, γ = 1 + 0.033cos[(360 × (284
+ n)/365]
n number of the day in the year
t hour of the day
ϕ latitude [rad]
λ longitude [°]
ω solar hour angle [rad]
where, ω = [(λ-120)/15 + (0.258cosθ – 7.416sinθ – 3.648 cos(2θ) – 9.228 sin(2θ)) +
(t – 12)] × (π /180)
θ day angle [rad]
where, θ = 2π (n-1)/365.242
δ solar declination angle [rad]
where, δ = 23.45sin[(360 × (284 + n)/365 × (π /180)] × (π /180)

2.1.2 Inclined Plane Radiation Correction Model

The key factor of PV power generation is radiation, which is not only depended on the
total radiation on the horizontal plane, but also directly related to the radiation on PV
panels which is sloping (Li et al. 2022). The total radiation of inclined plane includes
direct radiation received by the inclined plane, scattered radiation and reflected radiation
(Eq. (2)~Eq. (5)).

IT = IT ,b + IT ,d + IT ,g (2)

IT ,b = Ib Rb (3)

IT ,d = Id Rd (4)

IT ,g = I ρ[(1 − cosβ)/2)] (5)

where,
320 G. Jie et al.

IT total radiation of the inclined plane [W/m2 ]

I T,b direct radiation [W/m2 ]
Ib direct radiation received by horizontal plane [W/m2 ]
Rb correction factor of direct radiation from horizontal plane to
inclined plane
where, Rb = (sinδ sinϕ cosβ – sinδ cosϕ sinβ cosγ + cosδ cosϕ cosβ cosω + cosδ
sinϕ sinβ cosγ cosω + cosδ sinβ sinγ sinω)/(sinϕ sinδ + cosϕ cosδ cosω)
γ PV panel azimuth, south is 0
β inclined angle of PV panel, can using best installation angle of PV
panel [rad]
I T,d scattered radiation [W/m2 ]
Id scattered radiation received by horizontal plane [W/m2 ]
Rd correction factor of scattered radiation from horizontal plane to
inclined plane
I total radiation received by horizontal plane [W/m2 ]
A sky anisotropy index
where, A = I b /I 0
I T,g reflected radiation from the ground [W/m2 ]
where, I T,g = Iρ[(1-cosβ)/2)]
ρ surface albedo, preferably 0.2~0.25

2.1.3 Photoelectric Conversion Model

Photo-electric conversion calculates the power generation (Eq. (6)~Eq. (7)) from total
irradiance received on the inclined PV panel by considering the influence of inverter
efficiency, photoelectric conversion efficiency and other factors (Sarah et al. 2020).

P = IT × ηs × [1 − α(Tc − 25)] × S × K1 × K2 × K3 × K4 /1000 (6)

Tc = Ta + [(NOCT − 20)/800] × IT (7)

where,

P power output [kW]

ηs photoelectric conversion efficiency under standard test conditions, crystal
silicon cells take 12%~18%
α temperature coefficient, crystalline silicon material takes
0.003–0.005°C−1
Tc PV array panel temperature [°C]
(continued)
 Research on Simulation and Prediction 321

(continued)
Ta air temperature [°C]
NOCT rated solar cell operating temperature, crystalline silicon cell [47°C]
S effective area of PV panels [m2 ]
K1 aging loss coefficient of PV array
where, K 1 = 1 - k × ya
k number of years that grid-connected PV station went into operation
ya annual decay rate of solar module, crystalline silicon cells take 1%
K2 loss coefficient of PV array mismatch, take 0.95~0.98
K3 loss coefficient of dust hidden, 0.9~0.95
K4 line loss coefficient of DC circuit, 0.95~0.98

2.2 Machine Learning Method

Extreme gradient boosting (XGBoost), an integrated learning algorithm based on deci-
sion tree, is widely used in supervised machine learning methods (Zhang et al. 2023).
By iterating the CART decision tree several times (Eq. (8)), XGBoost fits and trains the
deviation between the simulated and the actual values, in order to build a classifier with
better classification performance for prediction in the test set.


K
yi, = fk (xi ), fk ∈ F (8)
i=1

where,
f k the kth decision tree
K total number of decision trees
x i eigenvector of the sample i
yi , prediction result of sample i
F set of all decision trees
XGBoost iterates decision tree by minimizing the objective function built from the
residual loss function and model complexity (Eq. (9)).


m
  K
Obj = l yi , yi, + (fk ) (9)
i=1 k=1

where,

l(yi , yi ,) loss function of residual between predicted result yi , and the actual value yi
m number of samples
Ω regular term, which indicates the complexity of the model
322 G. Jie et al.

3 Data and Schedule

3.1 Data Introduction

• A PV power station in Hebei Province, China is selected for study, of which the
installed capacity is 14 MW, and the measured PV power generation per 15 min
(unit: W/m2 ) are collected for the whole year of 2021.
• On reanalysis meteorological data, hour-step PV power output simulation is carried
out through the radiation model, inclined plane radiation correction model and photo-
electric conversion model. Meteorological input mainly uses ERA5 reanalysis data.
ERA5 is a multi-factor meteorological data product published by ECMWF (Euro-
pean Centre for Medium-Range Weather Forecasts). The data is an update version of
ERA-Interim, with a horizontal resolution of 31 km and time steps accurate to hour,
covering historical data from 1950 to the present. Currently, ERA5 data products are
available for sharing and open access.

3.2 Data Spatiotemporal Matching and Processing

• Space matching: hourly skin temperature, surface solar radiation downwards and total
sky direct solar radiation at surface (unit: J/m2 ) of reanalysis dataset are downloaded
in the grid corresponding to the position of PV power plant during the year of 2021.
• Temporal matching: according to the reanalysis data with an interval of hour, the
measured PV power output per 15-minute is calculated hourly of the whole year.
• Delete total 24 h data of the missing day.

3.3 PV Power Output Simulation

Using the total surface solar radiation (ssrd: I) and direct surface solar radiation (fdir:
I b ) of the reanalysis dataset as input, hourly PV power output are computed by radiation
model, inclined plane radiation correction model and photoelectric conversion model.

3.4 PV Power Output Prediction

Taking the deviation time series between the simulated and measured PV power output
as input, considering the seasonal features of PV power generation, the training set
and test set are divided following the proportion of 1:1 approximately, abstracting from
summer, spring/autumn, and winter respectively. Conducting XGBoost in the training
set and predicting for the test set, the feasibility of the method above for medium even
long term prediction is analyzed.

4 Results

• There are 21 days with miss data, and all the data in those 21 days are deleted.
 Research on Simulation and Prediction 323

Fig. 1. The statistics of insolation hours and hourly mean power output for 12 months

• For the remaining 8256 data throughout the year, the mean daily insolation hours and
hourly power output of the 12 months are calculated and sorted (Fig. 1). It reveals
that the insolation hours and hourly power output in summer (May to August) are at
a higher level throughout the year, followed by spring (March to April), and in winter
(November-December) they are at a lower level. Later, we shall divide the training
set and test set on this basis.

• The remaining 8256 data are divided into the training set and the test set according to
a proportion of about 1:1. Concerned with the seasonal characteristics, nearly 50%
of the data in summer (May-August), spring and autumn (March-April, September-
October), and winter (January-February, November-December) are located in the
training set and the test set, respectively.
• The annual reanalysis meteorological data, radiation and correction, photoelectric
conversion models are used to calculate the PV power generation hour by hour (Fig. 2)
for the training set of 4296 data. Some parameters should be paid attention to keep
within a certain range. For example, Rb should be controlled between 0 and 2.
• In order to improve the prediction effect of the test set, the deviation sequence between
simulation and measurement of the training set is calculated to train the XGBoost
model (Fig. 3).

• For the test set of 3960 data, after using radiation correction and photoelectric
conversion models, the simulation is as follows with the R-squared equals 0.8338
(Fig. 4).

• Based on machine learning on the deviation of the training set, the results of the test
set are analyzed as follows.

– After machine learning the deviation of the training set with 4296 hours the deviation
of the test set of 3960 hours is predicted with season, date and hour as the main
variables, then the original simulation based on physical models is corrected. The
fitting effect is significantly improved, with the R-squared increasing from 0.8338 to
0.8823 (Fig. 5(a)).
324 G. Jie et al.

Fig. 2. Comparisons between PV power output simulated and measured

Fig. 3. Deviation of PV power output between simulation and measurement

Fig. 4. Power simulation before XGBoost of the test set

– Insight into the results in different seasons, the correspondence between sunshine
duration and power generation in summer and winter is obvious, and the regularity
for machine learning is also relatively significant, and the R-squared is close to 0.9
(Fig. 5(b), 5(d)), with a good effect. However, due to the influence of more factors
 Research on Simulation and Prediction 325

in spring and autumn (Fig. 5(c)), further more is needed to improve the forecasting
result.

Fig. 5. Power prediction by XGBoost of the test set

5 Conclusions
• Through physical mechanism method, a PV power simulation method with solar
radiation, inclined plane radiation correction, and photo-electric conversion models
based on reanalysis meteorological data is established.
The results show that, with the input of radiation data derived from ERA5 grid,
modified by inclination correction of PV panel, converted considering temperature of
reanalysis data and power generation loss, a long-term simulation of PV power generation
can be basically realized hour by hour.
A PV power station (10~20 MW) perhaps covering an area of 0.1~0.2 km2 , espe-
cially for that with complex terrain and variable local climate, relying on the radiation
and temperature data of a reanalysis grid with an area of 900 km2 , is very difficult to
guarantee the accuracy. Therefore, the R-squared of annual hour-step statistics is only
about 0.7~0.8.
326 G. Jie et al.

• Based on the machine learning of deviation sequence between simulation and

measurement, a long-term PV power generation prediction model is constructed.
In order to improve the results, the XGBoost method of supervised machine learning
is adopted in this study. Based on the learning of simulation deviation in the training
set, the test set is used to predict. For the medium and long-term of nearly 3 months, the
R-squared could reach 0.85 level. However, machine learning strongly depend on data
accumulation, is affected by series length, data conditions and etc. With the continuous
accumulation of reanalysis data, contemporaneous local observation, and the improve-
ment of machine learning model simulation and prediction of PV power generation can
achieve a higher accuracy.

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1. Lai, C.W., Li, J.H., Chen, B., et al.: Review of Photovoltaic Power Output Prediction
Technology. Trans. China Electrotech. Soc. 34(6), 1201-1217 (2019)
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the earth. J. Univ. Chin. Aca. Sci. 36(3), 363-375 (2019)
3. Li, Y., Li, Z.R., Wang, X.Y., et al.: Research on optimum tilt angle for pv array based on
combination models of calculating solar radiation on inclined surface. Acta Energ. Solar. Sin.
43(5), 127–136 (2022)
4. Sarah, F., Raúl, R.C., Alessandro, D., et al.: Climate change extremes and photovoltaic power
output. Nat. Sustain. (2020). https://doi.org/10.1038/s41893-020-00643-w
5. Wang, J.X., Chen, L.D., Tan, Z.F., et al.: Inherent spatiotemporal uncertainty of renewable
power in China. Nat. Commun. 14(5379), 1–11 (2023)
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Bayesian algorithm to optimize XGBoost. Sci. Survey. Map. 48(6):140–150 (2023)

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Strategies for the Integration of Energy
Systems, Enhancing Efficiency
and Sustainability
 Role of the Hydro-Solar Hybrid Operation
Mode in the Novel Power System

Haibo Du(B) , Hongyong Li, Kai Liu, Ruixian Chen, and Ying Cao

Manwan Hydropower Plant of Huaneng Lancang River Hydropower INC., Lincang 675800,
People’s Republic of China
[email protected]

Abstract. Currently, photovoltaic technology is rapidly advancing, and compe-

tition in the industry is becoming increasingly intense. The decreasing prices
of silicon wafers and modules have led to a growing demand for photovoltaic
installations. The installed capacity and installed share of photovoltaics in power
systems are increasing, promoting the transformation of traditional power sys-
tems to novel power systems; this maximizes the consumption of new energy as
the main task and is supported by source-network-load-storage interactions and
multi-energy complementation. Using the Manwan hydro-solar hybrid base as a
model, the role of hydro-solar hybrids in source-network-load-storage interactions
and multi-energy complementation in novel power systems are discussed.

Keywords: Hydro-solar hybrid power · Reservoir energy storage · Manwan

hydropower plant · Photovoltaic

1 Photovoltaic Industry Ushered in the Third Major Technological

Change

In 1955, Siemens AG successfully developed the technology of using H2 to reduce high-

purity SiHCl3 and applied it to industrial production in 1957, that is, the original Siemens
method. The hydrogenation method used was the thermochemical hydrogen production
method, which has a low conversion rate, high comprehensive power consumption, high
production costs, and serious byproduct emission pollution.
In 2004, the patent protection restrictions of the cold hydrogenation method expired,
and the development of the cold hydrogenation process was rapid, significantly reduc-
ing the electrical energy loss in the hydrogenation process and saving more than 70% of
energy consumption. At the same time, European countries such as Germany and Spain
took the lead in implementing electricity price subsidies to stimulate demand for pho-
tovoltaic installations, ushering in the first technological revolution in the photovoltaic
industry.
In 2015, the promotion of the PERC process significantly improved the conversion
efficiency of monocrystalline silicon, driving a significant decrease in silicon wafer
costs. Coupled with the release of domestic photovoltaic installation demand through

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 329–342, 2025.
https://doi.org/10.1007/978-981-97-9184-2_29
330 D. Haibo et al.

the introduction of electricity price subsidies in China in 2013, the photovoltaic industry
ushered in a second technological transformation.
After 2019, with the end of policy intervention, the photovoltaic industry entered an
era of parity and gradually evolved into a growth industry, with demand growth triggered
by decreasing costs and increasing benefits. The efficiency of the current PERC process
is close to the limit, while the efficiency of TOPCon, HJT, IBC, calcium titanium ore
and other photovoltaic cell technologies is increasing, thus causing a third technological
change in the photovoltaic industry.

2 Technological Advances Spurred Growth in Demand

for Photovoltaic Installation
In the absence of national policies and electricity price subsidies, the development of the
photovoltaic industry is pursuing a continuous reduction in the levelized cost of energy,
which is influenced by two key factors: the construction cost and power generation of
photovoltaic power plants. Technological progress can, on the one hand, drive the prices
of photovoltaic modules by reducing production costs and, on the other hand, increase
power generation by improving the conversion efficiency of photovoltaic modules.
The price of photovoltaic modules continues to fall due to decreasing costs and
increasing benefits caused by the third technological change in the photovoltaic industry.
According to the recent execution of the photovoltaic module framework agreement by
the China Huaneng Group Co., Ltd., the price of the P-type module was reduced to 0.83
yuan/W, and the price of the N-type double-sided module was reduced to 0.85 yuan/W.
In addition, according to industry estimates, by the end of 2024, silicon production
capacity will exceed 4.2 million tons, which will trigger a decrease in polysilicon prices;
this will create a further decrease in the price of photovoltaic modules. According to
the proportion of 3.5 GW modules corresponding to 10,000 tons of silicon material,
the photovoltaic module production capacity will exceed 1400 GW by the end of 2024.
Globally, the number of new photovoltaic installations is expected to reach 460 GW by
2024. According to the ratio of installed capacity to rated capacity of 1.25, the demand for
photovoltaic modules is approximately 575 GW; thus, there will be severe overcapacity
of the modules. With respect to the overcapacity and falling prices in the industrial
chain, the price war of photovoltaic enterprises will enter a white-hot state, and the price
of photovoltaic modules will decrease further, promoting the growth of downstream
photovoltaic installed demand.

3 Changes in China’s Electric Energy Structure

According to the national power industry statistics published by China’s National Energy
Administration, China’s cumulative installed power generation capacity at the end of
2023 was approximately 29.1965 million kilowatts, representing a year-on-year growth
rate of 13.9%. The installed capacity, share and year-on-year growth rate of each type
of power source are provided in Table 1.
From the statistics in 2023, for the first time, the proportion of clean energy installed
capacity, such as hydropower, wind power and photovoltaic power, exceeded the thermal
 Role of the Hydro-Solar Hybrid Operation Mode 331

Table 1 China’s installed capacity, share, and growth rate in 2023 by energy source type (as of
2023)

Type of energy source Capacity/Million kilowatts Share Growth rate in 2023

Thermal Power 139032 47.62% 4.1%
Hydro Power 42154 14.44% 1.8%
Wind Power 44134 14.12% 20.7%
Photovoltaic Power 60949 20.87% 55.2%
Nuclear Power 5691 1.95% 2.4%

1.95%

Thermal Power
20.87% Hydro Power
47.62%
Wind Power
14.12%
Photovoltaic Power

14.44% Nuclear Power

Fig. 1. Share of China’s installed capacity in 2023 by energy source type

1600 60.00%
installed capacity [GW]

1400 50.00%
1200
1000 40.00%
800 30.00%
600 20.00%
400
200 10.00%
0 0.00%
Thermal Power Hydro Power Wind Power Photovoltaic Power Nuclear Power

installed capacity㸦as of 2022㸧 increased capacity in 2023

year-on-year growth rate in 2023

Fig. 2. Installed capacity and growth rate of China in 2023 by energy source type

power installed capacity, and the installed capacity of the new energy showed a rapid
growth trend; in particular, the growth rate of photovoltaic installed capacity reached
55.2%. With the rapid growth of new energy installations, the characteristics of large
installed capacity, small power generation, and power generation is greatly affected by
332 D. Haibo et al.

external factors, and this aspect has become increasingly apparent. As shown in Figs. 1
and 3, the installed photovoltaic capacity in 2023 is 20.87%, and its power generation
accounts for only 8.4%. Moreover, the thermal power capacity accounts for 47.62%, and
its share of power generation is 63.2%, which shows that thermal power still carries a
large amount of the base load (Fig. 2).

4.50%
8.40%

Thermal Power
Hydro Power
10.10%
Wind Power
13.90%
63.20% Photovoltaic Power
Nuclear Power

Fig. 3. Share of China’s electricity generation in 2023 by energy source type

The installed capacity of the power system is constantly increasing, and the propor-
tion of new energy installed is also increasing, which causes higher requirements for the
transmission and regulation capacity of the power grid. In terms of improving the trans-
mission capacity, the utilization rate of the transmission channel should be improved
while increasing the transmission channel of the grid. In terms of improving the regu-
lation capacity, the role of energy storage will be further reflected, and its demand will
further increase. Due to the large fluctuation of photovoltaic power generation with the
intensity of sunlight and to turn the fluctuating photovoltaic output into a stable and
high-quality power supply delivered to the grid, the demand for energy storage will
increase further.

4 Role of the Hydro-Solar Hybrid System

In the absence of significant breakthroughs in lithium iron phosphate battery technol-
ogy, which is mainly reliant on electrochemical energy storage, the new power system
requires other forms of energy storage. Some enterprises have built pumped storage
power stations to convert new energy power into reservoir storage. Some enterprises,
such as the Longyangxia and Laxiwa hydropower plants in Qinghai, the Dongqing and
Guangzhao hydropower plants in Guizhou, and the Manwan hydropower plant in Yun-
nan, have adopted the hydro-solar hybrid operating mode; in this hybrid mode, the new
energy plant is connected to the hydropower plant, and then this system is connected
to the power grid through the transmission channel of the hydropower plant. With the
help of the storage capacity of hydropower station reservoirs and the rapid adjustment
capacity of hydropower units, this mode combines photovoltaic and hydroelectric power
 Role of the Hydro-Solar Hybrid Operation Mode 333

generation by bundling them together to improve the utilization of transmission chan-

nels. This section uses the Manwan hydro-solar hybrid base as a model to discuss the
role of hydro-solar hybrids in novel power systems.

4.1 Basic Information of the Manwan Hydro-Solar Hybrid Base

The Manwan Hydropower Plant has seven hydropower units (No. #1, #2, #3, #4, #5,
#6, and #8) with a total installed capacity of 1,670 MW and has two 500 kV and three
220 kV power transmission channels; these are responsible for the base-load, frequency
modulation, peak load regulation and accidental backup tasks in the system. Since 2023,
the Paling photovoltaic power station has been connected to the 35 kV side of the Manwan
#7 contact transformer (750 MW), and the Azhutian photovoltaic booster station has
been connected to the 220 kV side of the Manwan #7 contact transformer. The power
they generate is boosted and fed into the main 500 kV Yunnan power grid through the
#7 contact transformer. As of December 31, 2023, a total of 503 MW of photovoltaic
installed capacity has been connected, and the wiring diagram is shown in Fig. 4.

Fig. 4. Wiring diagram of the Manwan hydro-solar hybrid base

4.2 Model of the Manwan Hydro-Solar Hybrid Base

4.2.1 Symbol Specification in the Model

The symbol specifications in the model are shown in Table 2.
334 D. Haibo et al.

Table 2. Symbol specifications

Symbol Specification Unit

P Real-time power transmitted from Manwan hydro-solar hybrid base MW
(500 kV side)
Pa Real-time power of Azhutian photovoltaic booster station MW
PP Real-time power of Paling photovoltaic power station MW
Pf Real-time power of 1F and 3F-6F MW
P2 Real-time power of 2F MW
P8 Real-time power of 8F MW
P7 Power penetration of 7B MW
Pm Sum of real-time power of three 220 kV transmission channels MW
a Power generation water consumption rate of 2F m3 /MW
b Power generation water consumption rate of 8F m3 /MW
H Total water consumption of 2F and 8F m3

4.2.2 Basic Mathematical Model

The total installed capacity of the Manwan Hydropower Plant is 1670 MW; the trans-
mission capacities of 500 kV Man-Kun lines I and II are both 1670 MW; the rated
power of 2F is 250 MW; the rated power of 8F is 120 MW; the rated power of 7B is
750 MW; the rated power of the Paling photovoltaic power station is 78 MW; and the
rated output power of the Azhutian Booster Station is 425 MW. Based on the above data
and the wiring situation in Fig. 4, the active power calculation formula can be obtained
as follows:
⎧
⎪
⎪ P = Pf + P2 + P8 + Pm + Pa + Pd
⎪
⎪
⎪
⎪ 0 ≤ P ≤ 1670
⎪
⎨
0 ≤ Pa ≤ 425
(1)
⎪
⎪ 0 ≤ Pp ≤ 78
⎪
⎪
⎪
⎪ 0 ≤ P2 ≤ 250
⎪
⎩
0 ≤ P8 ≤ 120
According to the actual situation of the Manwan Hydropower Plant, due to the
system’s breakpoint operation mode needs, the 220 kV Man-Ding line I, the Man-Xia
line I and the opposite side form a mutually hot standby state. Coupled with the fact that
the 220 kV Man-Xin line I is in a state of tidal inflow during the peak period of new
energy generation, 7B becomes the key juncture for the Manwan hydro-solar hybrid
base, as follows:
P7 = P2 + P8 + Pm + Pa + Pb
(2)
0 ≤ P7 ≤ 750
With the objective of increasing the reservoir storage efficiency and reducing the
water consumption rate for power generation, the following objective function can be
 Role of the Hydro-Solar Hybrid Operation Mode 335

obtained:
min H = aP2 + bP8 (3)
The above mathematical model is based on the relationship between the active power
as a constraint, with the goal of reducing water consumption for power generation; in
reality, the constraints are more complex, and a variety of goals need to be achieved. For
example, P is the real-time load issued by the grid dispatch, and the hydropower unit
also has a minimum forced output, a vibration zone, no-load operation regulation, etc.
Mathematical modeling can also be carried out with other constraints and objectives. The
actual operating conditions of the hydro-solar hybrid base are the result of balancing after
the superposition of a variety of models; thus the role of the hydro-solar hybrid system
also needs to be summarized from the actual operating conditions of the accumulated
operational data.

4.3 Role of the Hydro-Solar Hybrid Base in Actual Operation

4.3.1 Staggered Generation Boosts Peak Power Capacity
At the hydro-solar hybrid base, during the daytime, the photovoltaic output increases, the
hydropower output decreases (under normal conditions), and the reservoir stores water;
in the morning and evening peak hours, the hydropower output increases, creating a
reasonable interleaving of photovoltaic output and hydropower output in the system
demand.
The daily load curves are compared for April 4, 2022 (before photovoltaic access)
and December 21, 2023 (after photovoltaic access), which have similar daily generation
capacities, and the results are shown in Fig. 5.
In 2023, the total annual power generation of photovoltaics was 276 million kWh;
thus, photovoltaic access will increase the average daily energy storage for hydropower
by 3,637,200 m3 (calculated by the average annual water consumption rate of the Man-
wan hydropower unit in 2023 of 4.81 m3 /kWh). The hydro-solar hybrid system improves
the peak capacity of the hydropower units in the morning and evening peak hours through
staggered power generation and accordingly increases the peak power of hydropower;
this process improves the gain of peak regulation and achieves reasonable transformation
of the two kinds of energy in the form of reservoir storage.
Under the hydro-solar hybrid operation mode, 2F runs no-load for a long time to
regulate the 220 kV system, and 8F is shut down to stand by for the peak; this process
transfers the power generation from 2F and 8F to the 500 kV system of the hydropower
units such as 1F, 3-6F, and at the same time gives way to transmission channels for the
photovoltaic power generation to ensure that it is able to send close to 750 MW of new
energy power through 7B.
After the operation of the hydro-solar hybrid system, the annual power generation
and power generation shares of 2F and 8F are reduced. The annual generation capacity
of 2F decreases from 1.494 billion kWh (2022) to 1.277 billion kWh (2023), and the
annual generation capacity of 8F decreases from 266 million kWh (2022) to 151 million
kWh (2023). In the case of the limited margin of the original hydropower transmission
channel, the hydro-solar hybrid system utilizes the property that water can be stored in
actual operation to attain staggered power generation of the two energy sources.
 336
D. Haibo et al.

Fig. 5. Comparison between the original daily load curve and the current daily load curve
 Role of the Hydro-Solar Hybrid Operation Mode 337

4.3.2 Effectively Optimizing the Energy Structure of the Power Grid by Utilizing
the Changes in Water Inflow Throughout the Year
Hydroelectric power generation is affected by the flood season and dry season. During
the flood season, a large amount of water inflow comes from upstream areas, and to
avoid water abandonment, a certain amount of hydropower output needs to be ensured.
During the dry season, the upstream water inflow is low. While ensuring the minimum
forced output of hydropower, the transmission channel can be transferred to photovoltaic
power generation to the greatest extent, and the reservoir can be used for storage. Using
the maximum photovoltaic output day during the flood season, the maximum annual
photovoltaic power generation day, and the maximum photovoltaic output day during
the dry season of the Manwan hydro-solar hybrid base as examples, the daily output
processes are analysed (Figs. 6, 7).

1600
100.00
1400 90.00
1200 80.00
Output [MW]

70.00
1000
60.00 63.82%
800 50.00
600 40.00
400 30.00
20.00
200
10.00
0 0.00
1 11 21 31 41 51 61 71 81 91 1 11 21 31 41 51 61 71 81 91
Hydropower output Photovoltaic output Share of photovoltaic output Share of hydropower output
(b) Proportion of maximum photovoltaic output day
(a) Output curve of the maximum photovoltaic in the flood season (August 10, 2023)
output day in the flood season (August 10, 2023)

Fig. 6 (a) Output curve of the maximum photovoltaic output day in the flood season (August 10,
2023). (b) Proportion of maximum photovoltaic output day in the flood season (August 10, 2023)

During the flood season, when the sunlight intensity is sufficient and the capacity of
the channel is limited, the hydropower unit reduces the output and provides short-term
water storage, prioritizing photovoltaic power generation. The hydropower unit adjusts
the output according to the system needs, and the hydropower output is shown to track
the photovoltaic output during the day. When the sunlight intensity is insufficient, the
hydropower output increases according to the water inflow and system demand, and the
storage capacity is fully absorbed (Fig. 8).
During the dry season, the transmission channel is transferred to photovoltaic output,
which is not limited. The hydroelectric units have the characteristics of flexible starts and
stops, providing peak shaving and frequency regulation capacity for the system and new
energy. Hydropower units utilize their flexible start-up and shutdown characteristics to
provide peak shaving and frequency regulation capacity for the system and new energy.
338 D. Haibo et al.

1800
100.00
1600
90.00
1400 80.00
1200 70.00 76.90%
Output [MW]

1000 60.00
800 50.00
600 40.00
30.00
400
20.00
200
10.00
0 0.00
1 11 21 31 41 51 61 71 81 91 1 11 21 31 41 51 61 71 81 91
Hydropower output Photovoltaic output Share of photovoltaic output Share of hydropower output
(a) Output curve of the maximum photovoltaic (b) Output proportion of the maximum photovoltaic
output day throughout the year (September 22, 2023) output day throughout the year (September 22, 2023)

Fig. 7 (a) Output curve of the maximum photovoltaic output day throughout the year (September
22, 2023) (b) Output proportion of the maximum photovoltaic output day throughout the year
(September 22, 2023)

1200
1100
1000 100.00
900 90.00
80.00
Output [MW]

800
700 70.00
600 60.00
500 50.00
400 40.00
300
30.00
200
20.00
100
0 10.00 5.96%
1 11 21 31 41 51 61 71 81 91 0.00
1 11 21 31 41 51 61 71 81 91
Hydropower output Photovoltaic output Share of photovoltaic output Share of hydropower output

(a) (b)

Fig. 8 (a) Output curve of the maximum number of photovoltaic output days in the dry season
(December 20, 2023). (b) Proportion of maximum photovoltaic output days in the dry season
(December 20, 2023)

4.3.3 Active Power Regulation Capability of Hydroelectric Units Can Stabilize

New Energy Load Fluctuations During the Day
As shown in Figs. 1 and 3, photovoltaic power generation is characterized by a large
installed capacity and low power output, and it is easily affected by weather, tempera-
ture, solar radiation intensity and other factors. The hydropower regulation capacity in
hydro-solar hybrid systems can be fully utilized to stabilize intraday photovoltaic output
fluctuations.
As shown in Fig. 9, the output curves of the Azhutian and Paling photovoltaic plants
are smooth and have relatively constant peak occurrence times on sunny days, while they
have significant fluctuations and irregular peak occurrence times on cloudy and rainy
days.
 Role of the Hydro-Solar Hybrid Operation Mode 339

400 400 400 400

300 300 300 300

Output [MW]

Output [MW]

Output [MW]
Output [MW]

200 200 200 200

100 100 100 100

0 0 0
0
1 11 1 21113121413151416151716181719181 91 1 11 21 31 41 51 61 71 81 91
1 11 21 31 41 51 61 71 81 91
Azhutian Output Paling Output Azhutian OutputOutput
Azhutian PalingPaling
OutputOutput Azhutian Output Paling Output

sunny days (January 13, 2024)

(a) (b) (c)

Fig. 9 (a) Photovoltaic output curves of Azhutian and Paling on sunny days (January 13, 2024)
(b) Photovoltaic output curves of Azhutian and Paling on cloudy days (January 17, 2024)
(c) Photovoltaic output curves of Azhutian and Paling on rainy days (January 16, 2024)

As shown in Fig. 10, the active regulation capability of the Manwan hydropower
units can stabilize the intraday output fluctuation of the accessing photovoltaic system.
According to the AGC performance test data of the Manwan hydropower units, the
active regulation rate is 12.5 MW/s under all AGC inputs; thus, these can fully manage
extreme situations, such as an instantaneous decrease in photovoltaic output caused by
extreme weather and a portion of the photovoltaic matrix going off-grid due to collector
line failure caused by the fast and flexible response capability of the hydropower unit.

4.3.4 Regulating Characteristics of Hydropower Units Strongly Support New

Energy Consumption
Different from the traditional power source-to-grid mode, the hydro-solar hybrid oper-
ation mode of Manwan is from a photovoltaic power source to a hydroelectric power
source. In this mode, hydropower units, as large power sources, rapidly adjust and can
provide effective frequency modulation technology support for the operation of the
surrounding photovoltaic power generation. At the same time, by rotating the hydro-
electric unit as a backup, the response of the synchronous generator increases, providing
a regional inertia response capability. Accelerating the construction of a multi-energy
hybrid integrated energy base can fully exploit the reservoir storage effect of the exist-
ing hydropower stations, increase the efficiency of the stock of regulating resources, and
provide a “base effect demonstration” of the use of traditional energy to regulate the
consumption of new energy.
340 D. Haibo et al.

1400
1200
1000
Output [MW]

800
600
400
200
0
1 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81 86 91 96
Hydropower output Photovoltaic output

(a) Output curves of the hydropower and photovoltaics on sunny days (January 13, 2024)

1200

1000
Output [MW]

800

600

400

200

0
1 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81 86 91 96
Hydropower output Photovoltaic output
(b) Output curves of the hydropower and photovoltaics on cloudy days (January 17, 2024)

1200

1000
Output [MW]

800

600

400

200

0
1 6 11 16 21 26 31 36 41 46 51 56 61 66 71 76 81 86 91 96
Hydropower output Photovoltaic output
(c) Output curves of the hydropower and photovoltaics on rainy days (January 16, 2024)

Fig. 10 (a) Output curves of the hydropower and photovoltaics on sunny days (January 13,
2024) (b) Output curves of the hydropower and photovoltaics on cloudy days (January 17, 2024).
(c) Output curves of the hydropower and photovoltaics on rainy days (January 16, 2024)
 Role of the Hydro-Solar Hybrid Operation Mode 341

5 Conclusion

With respect to the advances in the photovoltaic technology and intensified industry
competition, the prices of photovoltaic modules continue to decline, leading to a sus-
tained increase in demand for photovoltaic installation. The power supply structure in our
country is also undergoing significant changes. Photovoltaic power plants have the char-
acteristics of “large installed capacity, small power generation,” and their access to the
power grid also causes greater requirements on the transmission capacity and regulation
capacity of the power grid. The hydro-solar hybrid system combines photovoltaic and
hydroelectric power generation by bundling them together to improve the utilization of
transmission channels. It also makes full use of the seasonal characteristics of the reser-
voir water inflow to store water to increase the reservoir capacity during the dry season
and reasonably consumes the reservoir capacity during the flood season. This system
also utilizes the rapidity and flexibility of the hydropower units to stabilize new energy
load fluctuations within the day, achieving stable control of active power and on-site
balance of reactive power, effectively sharing the regulation pressure of the power grid.
At the same time, based on the regulation performance of the hydropower units and the
power-to-power features of the hydro-solar hybrid system, the system technically meets
the requirements of the power grid for photovoltaic “inertia response” and “primary fre-
quency regulation,” thereby exerting the effect of reservoir energy storage and effectively
supporting the consumption of new energy around the hydropower system. However, the
application of hydro-solar hybrid systems is still constrained by the geographic condi-
tions because hydroelectric power stations are mostly located in deep mountain valleys,
and the photovoltaic plots are dispersed in the surrounding mountainous areas, with the
long route construction paths and high investment.

References
1. Guo, X.-Y., Cui, Q.-R., Wang, W.-B., et al.: Key technologies and research prospects for
hydro-photovoltaic hybrid system. Hydropower Pumped Storage 5(45), 48–53 (2022)
2. Jia, Y.-F., Lin, M.-R., Dong, Z.-C.: Research on optimal operation of hydro photovoltaic
complementarity in Longyangxia hydropower station. Water Resour. Power 10(38), 207–209
(2020)
3. Ma, X., Hu, X.-L., Wang, Q.-Y., et al.: Analysis of daily changes in operation mode of
hydropower with large-scale photovoltaic connection. Northwest Hydropower 3, 1–6 (2019)
4. Ming, B., Guo, X.-R., Cheng, L., et al.: Grid integration priority of large-scale photovoltaic
power and hydropower within a hybrid generation system. J. Hydraul. Eng. 11(54), 1287–1296
(2023)
5. Pang, X.-L., Zhang, W.: Research and application of large-scale hydro-solar hybrid coordinated
operation technology. Qinghai Sci. Technol. 2, 24–28 (2017)
342 D. Haibo et al.

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included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Optimization of Ultra-High Voltage Direct
Current Power Transmission Curve for High
Proportion New Energy Bases

Bo Yi1,2 , Yunhe Liu1 , and Xiao Wang2(B)

1 State Key Laboratory of Eco-Hydraulics in Northwest Arid Region of China, Xi’an University
of Technology, Xi’an 710048, China
[email protected], [email protected]
2 Power China Northwest Engineering Corporation Limited, Xi’an 710065, China

[email protected]

Abstract. With the increase in demand for the construction of high proportion
new energy base, the power transmission scale of Ultra-High Voltage Direct Cur-
rent(UHVDC) is growing rapidly, and the characteristics of inter-provincial and
inter-regional power transmission are affected by multiple factors, such as the
randomness and volatility of new energy in the sending province, the peaks and
valleys of the loads, the process of power shortages, and the new time-of use
electricity pricing policy in the receiving province. Uncertainty issues are more
prominent, and it has changed significantly compared with the traditional UHVDC
power transmission methods. It is urgent to study the UHVDC transmission curve
planning method in new period. Taking a new energy base in Northwest China as
a typical example, a UHVDC power transmission system optimization model is
constructed. A UHVDC power transmission curve optimization method that takes
into account the power shortages process and the time-of use electricity pricing
is proposed, and the Cplex12.6 Solver is used to carry out the 8760 h time series
power production simulation. The results show that the obtained 12 curves by the
new method can cope with the price-based response demand. Compared with the
traditional method, the total cost present value is reduced by RMB 6.10 billion, the
power shortage rate is reduced to 0.56%, and the proportion of new energy power
is increased to 88.58%. Especially, the power output of pumped storage can track
the transmission curve well, and alleviate the requirements for peak regulation
flexibility of thermal power units. The power configuration scheme is technically
feasible and economical, which verifies the effectiveness of the proposed method.
It is suitable for the planning of large-scale UHVDC power transmission schemes.
In the meantime, it plays an important role in promoting the level of new energy
consumption and helping the low-carbon energy transformation.

Keywords: Power shortages process · Time-of use price · UHVDC power

transmission · curve 8760 h time series production simulation · Pumped storage

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 343–353, 2025.
https://doi.org/10.1007/978-981-97-9184-2_30
344 B. Yi et al.

1 Introduction
Accelerating the construction of new energy supply and consumption system is an impor-
tant measure to promote the high-quality development of new energy, build a new power
system and achieve the double carbon target (Luo M, 2023; Li H, 2022). The way is
to focus on Gobi and desert areas, based on large-scale wind and solar power bases,
supported by clean, efficient, advanced and energy-saving thermal power, and based on
stable, safe and reliable UHVDC transmission and transformation lines. New energy
resources are abundant in Gobi and desert areas in China. A large-scale new energy base
is built, and the clean power of the sending provinces is sent to the receiving provinces
with power shortage through the UHVDC project. It plays an important role in optimiz-
ing the allocation of regional resources, promoting the level of new energy consumption,
reducing the proportion of non-fossil energy consumption.
In recent years, the scale of power transmission in new energy bases has grown
rapidly (Li M, 2024; Liu Y, 2024; Xiao L, 2023; Liu Z, 2023; Cavazzini G, 2021; Gao R,
2022). The characteristics of inter-provincial and inter-regional power transmission are
affected by multiple factors, the great changes have been undergone compared with the
traditional UHVDC method. The formulation of transmission curve considering multiple
factors is the basis of transmission channel planning of new energy base, and it is also
of great significance to improve the transmission capacity, economy and reliability of
the channel (Li H, 2024).
At present, for the optimization of the power transmission curve, Chen et al. (2013)
analysed the characteristics of the incoming water in Sichuan power grid, optimized
the power transmission curve, and evaluated the benefits of reducing the amount of
abandoned hydropower in the wet season. Based on the thermal power capacity, Sun
et al. (2023) analysed the output curves of different supporting thermal power capacity
considering the new energy output and energy storage at the sending province. About
the load at the receiving end and the peak-shaving pressure, Gao et al. (2017) proposed
four transmission curves, and used the interconnected consumption capacity analysis
model to compare the utilization hours and new energy curtailment corresponding to
different curves.
In 2023, the new time-of-use electricity pricing policies in Shandong, Fujian, Yun-
nan, Guizhou, northern Hebei, Guangxi and other places will be implemented one after
another, and will be fully implemented on January 1, 2024. The traditional transmission
curve formulation is generally based on the output characteristics of new energy and
regulating power sources, while partially taking into account the load characteristics of
the provinces that may be affected, ignoring the time series fluctuation of new energy
output and the actual power shortage process of the receiving province, and lacking the
comprehensive consideration of price-based demand response under the new policies
(Huang J, 2024). It is difficult to apply to the planning of new energy base delivery
schemes that mainly serve wind, photovoltaic and other energy transmission needs that
affect the intraday peak-valley structure.
In this paper, the new energy base A and the receiving province B are taken as
typical cases, the optimization model of UHVDC transmission system is constructed,
and the method of UHVDC transmission curve considering time-of-use electricity price
is proposed. The 8760 h sequential production simulation is carried out to obtain the
 Optimization of Ultra-High Voltage Direct Current Power 345

optimal configuration scheme of power capacity. It can promote the coordination of the
transmission curve with the receiving province as much as possible, provide technical
support for the planning of the new energy base.

2 Optimization Model of UHVDC Transmission System

2.1 Drafting Principle of UHVDC Power Transmission Curve

The following principles are considered in the formulation of UHVDC transmission

curve:
• Referring to the load characteristics of the receiving province, the DC power adjust-
ment is not more than 6 times a day according to the requirements of the dispatching
operation department.
• Referring to the new energy output in the sending province, it is ensured that the
sum of the various power sources output can meet the requirements of the UHVDC
transmission curve, the annual utilization hours and utilization rate of new energy is
reasonable.
• Referring to the power shortage and time-of use electricity price in the receiving
province, it is ensured that the transmission curve matches the changes of price and
the of typical daily load trend.
• It is ensured that the curve optimization strategy is in line with reality and has
significant benefits.
• It is ensured that the curve optimization strategy is simple and easy to implement.

2.2 Objective Function

The objective function of the model: (1) minimize the new energy curtailment and
thermal power fuel cost; (2) Maximize the amount of electricity transmitted to meet the
power shortage in the receiving province; (3) Maximize the matching degree between
the UHVDC power transmission curve and the time-of use electricity pricing and load
change of the power grid in the receiving province. The above objectives are given a
certain weight respectively, so that the multi-objective problem is transformed into a
single-objective problem (Jiang M, 2024).

  f
   pv pv 
min k f Pit + k re (P̃kt
w
− Pkt
w
) + k re P̃mt − Pmt
t i k m (1)
   
 DC d
+αPt + β Pt − Pt  + γ Pt − Pt−1
c dc dc

f
Pit is the output of thermal power station i in t period; k f is the unit fuel cost and
carbon emission reduction cost of thermal power; k re is the cost of unit new energy
w is the grid-connected output of wind farm k in t time period; P pv is
curtailment loss; Pkt mt
the grid-connected output of photovoltaic power station m in t period; P̃kt w is the power
pv
generation output of wind farm k in t period; P̃mt is the power output of photovoltaic
c
power station m in t period; Pt is the power shortage that the system fails to meet the
346 B. Yi et al.

transmission curve in t period, α is weight parameters; Ptdc is the transmission power of t

period, Ptd is the lack of power in the receiving power grid; β is the weight to measure the
matching degree between the transmission curve and the power shortage of the receiving
end power grid; γ is the weight to measure the matching degree of the transmission curve
with the price of the receiving province and the typical daily load change trend. In this
paper, under the premise of unified dimension, the weight parameters are determined by
equal weight.

2.3 Constraint Condition

2.3.1 Power Output Model

1. System constraint
 f   pv  sp
Pit + w
Pkt + Pmt + (Pnt
sh
− Pnt ) + Ptc = Ptdc (2)
i k m n

sp
There, ∀t ∈ T , Pnt
sh , P are the power generation and pumping output of pumped
nt
storage power station n in t period; Ptc is the power shortage in the system t period.
2. Thermal power station
f f f
0 ≤ Pi,t ≤ Ni,t vi (3)

f f
−di t ≤ Pi,t+1 − Pi,t ≤ ui t (4)

f f
0 ≤ Ni ≤ N i (5)
f
ui , di are the output ramp rate and load shedding rate of thermal power station i; Ni,t
f f
is the units number; vi is the unit capacity; N i is the number of installed units.
3. Wind and photovoltaic power plants

0 ≤ Pkt
w
≤ P̃kt
w
(6)

pv pv
0 ≤ Pmt ≤ P̃mt (7)

4. Pumped storage station

sp
u
Vl,t+1 = Vltu + (Qlt − Qltsh )t, ∀l, t (8)

sp
d
Vl,t+1 = Vltd + (Qltsh − Qlt )t, ∀l, t (9)

sp sp p
Qlt = ηlp Plt t/Hlt , ∀l ∈ L, t ∈ T (10)

Qltsh = Pltsh t/ηlh Hlth , ∀l ∈ L, t ∈ T (11)

 Optimization of Ultra-High Voltage Direct Current Power 347

sp sp
Plt − MXlt ≤ 0 (12)

Pltsh − MXltsh ≤ 0 (13)

sp
Xlt + Xltsh ≤ 1 (14)
sp sp
There, Xlt and Xltsh are 0,1 variables. When Xlt = 1, which represents that the
pumping output of pumped storage station l in t period, When Xltsh = 1, which represents
that the power generation output of pumped storage station l in t period. ηlp and ηlh
sp sp
are pumping and power generation efficiency respectively. Qlt , Qltsh , Plt , Pltsh are the
pumping flow, power generation flow, pumping output and power generation output of
pumped storage station l in t period respectively. Vltu , Vltd are the upper and lower reservoir
p
storage capacity of pumped storage power station l in t period respectively; Hlt , Hlth are
the pumping head and power generation head of pumped storage power station l in t
period.

2.3.2 UHVDC Transmission

 Operation Model
t+σ
zr ≤ 1, ∀t < T − σ (15)
r=t

−zt vdc ≤ Ptdc − Pt−1

dc
≤ zt udc , ∀t ∈ T (16)

Ptdc ≤ P dc,max , ∀t ∈ T (17)


Ptdc ≥ hmin P dc,max (18)
t
 pv

(Pkt
w
+ Pkt ) ≥ γ pen (Ptdc − Ptc ) (19)
t t
 
Ptc ≤ θ Ptdc (20)
t t
There, zr is 0,1 variables. When zt = 1, the UHVDC transmission power is adjusted
in t period. σ is the minimum constant operation time of UHVDC transmission power,
udc , vdc are the maximum upward and downward ramping rates of UHVDC transmission
power, respectively. Ptdc,max is the channel capacity. hmin is the minimum utilization hours
of the channel, γ pen is the proportion of new energy, θ is the maximum allowable power
shortage rate.

3 Case Study
Taking a large-scale new energy base A in Northwest China as an example, the UHVDC
channel transmission capacity is 8000 MW. Power types include wind power, photo-
voltaic, thermal power, pumped storage. A multi-energy complementary power gener-
ation system is constructed to transmit power to the receiving area B. It can meet the
power demand of the receiving province, and support the safe and stable operation of
the transmission channel.
348 B. Yi et al.

According to the local power construction conditions and cost level (Geng X, 2023),
the basic parameters, investment cost, construction and operation cycle are given in
Table 1. The social discount rate is 8%. Since the construction and operation period of
wind and thermal power is 20 years, the reconstruction is included in the construction cost
in the 21st year. On the whole, the system is apportioned proportionally over a 40-year
cycle. The standard coal consumption is 300 g/kWh, and the coal price is 1000 RMB/ton.
The carbon dioxide emission coefficient of thermal power coal is 0.741 kg/kWh, and the
carbon emission cost is calculated according to the above. The system power shortage
is solved by purchasing electricity, and the cost of purchasing electricity is converted
according to the equivalent thermal power on-grid price. The maximum allowable power
abandonment rate of the system is 12%.

Table 1. Analysis of each power supply capacity parameter

Power Maximum Investment per Construction Cost of operation

capacity (10 kilowatt (RMB) running time (%)
MW) (year)
Wind 800 4100 20 2.5
Photovoltaic 1600 3500 20 2.0
Thermal power 264 3800 20 4.5
Pumped storage 360 6100 40 2.5

Combined with the historical electricity consumption of the receiving province B and
the judgment of the future economic development trend, it is estimated that the electricity
consumption of the whole society is 1130 billion kilowatt hours, the maximum load is
225 million kilowatts in 2030.
The maximum load of the power grid in summer occurs in July and August, and the
maximum load in winter occurs in November. The maximum load occurs alternately
in summer and winter. The daily load change rule usually has two kinds of winter and
summer. The typical daily load in summer has three peaks, generally at 10:00 ~ 11:00,
14:00 ~ 17:00 and 20:00 ~ 21:00. The maximum daily load appeared in the noon peak,
that is, 14:00 ~ 17:00. The typical daily load in winter also presents three peaks, generally
at 0:00 ~ 11:00, 15:00 ~ 18:00 and 19:00 ~ 21:00. The daily maximum load appears at
about 10:00 ~ 11:00 (Fig. 1).
The time-of-use electricity price map of the receiving province B is shown in Fig. 2.
The peak of July-August appears at 11:00–12:00 and 15:00–17:00, and there is no peak
and deep valley in other months.
The daily adjustment times of UHVDC transmission curve are not more than 6 times,
and is drawn up according to five steps. The utilization hours are not less than 4500 h, the
proportion of new energy power is not less than 75%, and the power shortage rate is not
more than 5%. The model is solved by using the scheduling optimization method with
monthly cycle in the year and hourly cycle in the month. The 8760 h hourly production
simulation is realized, and the transmission curve is drawn up according to the quarter.
The optimization model is solved by Cplex12.6 Solver.
 Optimization of Ultra-High Voltage Direct Current Power 349
1.1
1
0.9
0.8

Load per unit value

0.7
0.6
0.5
0.4
0.3
Summer
0.2
Winter
0.1
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

Time/h

Fig. 1. Typical daily load curves

2
July and August
shark peak
Other months
1.6
peak
Time of use price/RMB·kWh-1

1.2

flat
0.8

valley load
0.4

0
0 2 4 6 8 10 12 14 16 18 20 22 24
Time/h

Fig. 2. Time-of-use price map of B power grid

4 Results and Discussion

The optimization results of 12 power transmission curves are shown in Fig. 3 after
solving the model.

January February March April May June

900 July August september october november Decemeber

800

700

600

500

400

300

200

100

0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Time/h

Fig. 3. Power transmission curve results

At the same time, the power generation system of a large new energy base A needs
to support the construction of wind power 6000 MW, photovoltaic 1400 MW, thermal
power 1320 MW and pumped storage 3600 MW, channel capacity 8000 MW. The
350 B. Yi et al.

installed capacity, annual power generation and annual utilization hours of different
types of power supply are shown in Table 2.

Table 2. The results of installed capacity and annual power generation

Power Capacity /10 MW Proportion /% Annual power Proportion /%

generation
/(108 kWh)
Wind 600 24.1 117.5 28.65
Photovoltaic 1400 56.2 245.8 59.93
Thermal power 132 5.3 64.12 15.63
Pumped storage 360 14.4 51.84 12.64

The total installed capacity is 24920 MW. The installed capacity of new energy
accounts for 80.3%, and the annual power generation accounts for 89%. The annual
utilization hours of thermal power are 4857 h. The permeability of new energy is 89.92%,
and the total cost is 16.42 million yuan, which is the best result.
The typical days of continuous large and small generation periods of new energy
are selected respectively, and the adaptability of transmission curve and various power
supply operation are analyzed, as shown in Fig. 4.

thermal power wind

thermal power wind
photovoltaic pumped storage pumping
pumped storage generator wind curtailment photovoltaic pumped storage pumping
1,600 800 pumped storage generator wind curtailment
photovoltaic curtailment power transmission curve
1,400 photovoltaic curtailment power transmission curve

1,200 600
Power output/10MW
Power output/10MW

1,000
400
800
600 200
400
200 0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 -200
-200
Time/h Time/h
-400 -400

(a) large power generation scenarios (b) small power generation scenarios
Fig.4. Output of the renewable energy power base and UHVDC transmission curve under
large/small new energy power generation scenarios

The typical day in March is selected to reflect the operation status in the continuous
large generation period of new energy. At 1:00–5:00, the system load curve is gentle, and
the wind power basically meets the system load demand. Once insufficient, it is satisfied
by thermal power peak shaving and pumped storage power generation, and the excess
wind is stored by pumped storage. At 20:00–24:00, the photovoltaic output is basically
0. The combined output of wind power, pumped storage and thermal power units meets
the system load demand. In this scenario, there are more new energy power, and more
energy can be stored in pumped storage power stations, and there may be a situation that
pumped storage is full and can no longer store power.
 Optimization of Ultra-High Voltage Direct Current Power 351

The typical day in May is selected to reflect the operation status in the continuous
small generation period of new energy. On this day, wind power fluctuates greatly, and
there is no wind at 10:00 and 16:00. In addition, at 6:00, 14:00 and 19:00, the output
of pumped storage power station can better track the load curve, which can effectively
alleviate the frequent start-stop and fluctuation of thermal power units. At 1–2:00, 15:00
and 24:00, the pumped storage power station can store the excess wind and solar energy,
release energy in the period of wind and solar anti-peak regulation characteristics, and
alleviate the requirements for the peak regulation flexibility of thermal power units.
In this scenario, there is less energy available for pumped storage. Compared with the
large output of new energy, the matching power supply has a relatively poor degree of
satisfaction with load demand. More extreme, there may be a situation where the pumped
storage power station has no storage capacity and cannot support the channel.
The results of the traditional method and the proposed method in this paper are
compared, as shown in Table 3. According to the traditional method, the total cost is
170.327 billion RMB, the utilization hours are 5155 h, the annual power generation
is 41.241 billion kWh, the proportion of new energy power is 86.51%, and the power
shortage is 307 million kWh. Compared with the method in this paper, the annual power
generation and channel utilization hours are higher.

Table 3. Comparison of results of different methods

Indicators Proposed method Traditional method

Cost/108 RMB 1642.24 1703.27
Annual power produced /(108 kWh) 410.14 412.41
New energy abandon ratio /% 10.08 10.14
The proportion of new energy power /% 88.58 86.51
Power shortage rate /% 0.56 0.73
Channel utilization hours /h 5127 5155

The traditional method ignores the 8760 h time series fluctuation of new energy
output, and does not analyze the process of power shortage in the receiving provinces,
so the peaking pressure of power system is low. Therefore, the higher hours of UHVDC
channel is obtained and the result is relatively optimistic.
The proposed method in this paper can better simulate the delivery of new energy
base and the access of receiving power grid, and also take into account the time-of-use
electricity price, which further verifies the effectiveness of the method.

5 Conclusions

Taking the new energy base as a typical case, the optimization of UHVDC transmission
curve is studied. Considering the factors such as power output, load characteristics,
and the new policy of time-of-use electricity price, the optimization model of UHVDC
352 B. Yi et al.

transmission system is constructed. The 8760 h time series production simulation is

carried out, and the UHVDC transmission curve and the optimal configuration scheme
of power capacity are obtained. The proposed method is suitable for the UHVDC channel
delivery planning of new energy bases of different scales. It can be used as the basis for
the optimal configuration of power supply capacity in new energy base, and provide an
effective analysis tool for the formulation of power transmission curve and economic
evaluation of power supply configuration in UHVDC project.
The model constructed in this paper considers factors such as power output, load char-
acteristics, and new time-of-use electricity price policies. In fact, the influence weight
of each factor is inconsistent. It is necessary to further study the factors and improve the
feasibility of the UHVDC delivery planning scheme for new energy bases.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
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The images or other third party material in this chapter are included in the chapter’s Creative
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the copyright holder.
 Optimal Scheduling
of Wind-Thermal-Hydro-Storage Multi-Energy
Complementary System with Pumped Hydro
and Battery Storage

Zehua Zou(B) , Quan Zhao, Miao Deng, Chong Gao, and Liangsong Zhou

Three Gorges Cascade Dispatch and Communication Center, Chengdu 610095, China
[email protected]

Abstract. With increasing scale of renewable energy integrated into the power
system, the power system needs more flexible regulating resources. At present,
besides traditional thermal and hydro power plants, pumped hydro storage and
battery storage are the most commonly used resources, and they form a wind-
thermal-hydro-storage multi-energy complementary system. This paper proposes
an optimal scheduling strategy to dispatch the resources in the multi-energy com-
plementary system. First, models of diverse types of resources. i.e., hydro power,
pumped hydro storage, and battery storage, are established. Then, a day-ahead
optimization scheduling model is proposed for the multi-energy complementary
system. Finally, case study is conducted on a revised IEEE 30 node system. Sim-
ulation results demonstrate that the proposed method can fully utilize the charac-
teristics of different kinds of power resources to consume renewable energy and
enhance the safety and economy of the multi-energy complementary system.

Keywords: Hydro power · Renewable energy · Energy storage · Multi-energy

complementary system · Day-ahead schedule

1 Introduction
On the way of pursuing the goal of “achieving carbon dioxide emissions peak by 2030,
carbon neutrality by 2060”, the power system is experiencing a profound change [1].
The transformation pace towards low-carbon, cleaning, and green of the power system
is accelerating to build a New Power System [2]. In the New Power System, the capacity
of renewable energy, such as wind and photovoltaic power, will be in a dominating
position on the power supply side. However, the power of renewable energy has great
randomness, intermittency, and volatility, which threatens the safety of the power system
[3]. To consume renewable energy power and ensure reliable power supply, the demand
for flexible regulation resources is increasingly crucial [4].
At present, thermal power, hydro power, and energy storage are the most used regu-
lating resources in the power system. Thermal and hydro power are traditional resources
and have a great proportion in the current power system. Energy storage has fast response

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 354–363, 2025.
https://doi.org/10.1007/978-981-97-9184-2_31
 Optimal Scheduling of Wind 355

speed and flexible energy shaving ability, and its capacity in the power system is increas-
ing at a high speed in recent years. Pumped hydro storage and electric battery storage are
the most used energy storage. The renewable energy resources and different types of reg-
ulating resources form a multi-energy complementary system, which helps to consume
renewable energy by a coordinated control to fully utilize the individual characteristics
of different types of power resources and meet the demand of the power system [5, 6].
Some research has covered the topic of the operation of the multi-energy comple-
mentary system. Peng et al. [7] establishes a RO-AUB dispatch model for reliability
and economy on a large-scale wind-photovoltaic-hydro-thermal power system. Yan-
meng et al. [8] proposes a bi-level optimal scheduling of wind-PV-hydro-thermal-storage
multi-energy complementary systems, which optimizes hydro power in the upper level,
and optimizes thermal power in the bottom level. Zhengshuo et al. [9] builds a compre-
hensive energy generation model for wind-solar-hydrothermal power system dispatching
and uses an extended crisscross optimization algorithm to solve the model. Wenting and
Hua [10] focuses on the optimal operation of power systems with hydro, thermal, wind,
photovoltaic, and nuclear power, and proposes a data-driven robust day-ahead unit com-
mitment framework based on RKDE. Yuge et al. [11] proposes a two-stage stochastic
optimization scheduling model for virtual power plants combining wind power, photo-
voltaic, small hydropower, battery, and flexible load. Uncertainties of renewable energy
in a wind-PV-battery storage-pumped storage combining system are considered in [12],
which uses GAN and DPC algorithm to generate day-ahead scenarios and proposes a
multi-time scale joint optimal scheduling method. The effect of multi-energy comple-
mentary system on reducing carbon emission is considered in [4, 13], which uses carbon
emission as an optimization objective. Other problems of multi-energy complementary
system are also considered, such as network planning [1, 14], power plant allocating
[11, 15–17], and evaluation index design [18]. Among all the research above, there’s no
research considering the scheduling problem of a multi-energy complementary system
containing hydro power, pumped hydro storage, and battery storage, which is the topic
of this paper.
This paper proposes an optimization scheduling model of a wind-thermal-hydro-
storage multi-energy complementary system. Two types of storage, i.e., pumped hydro
storage and electric battery storage, are considered in the model with their detailed cost
and operation model. First, models of the power resources in the system are introduced.
Then, the scheduling optimization model is proposed, which considers all the operating
constraints of power resources and minimizes the total cost. Finally, the method is tested
on an improved IEEE 30 node system.

2 Power Resource Models

2.1 Hydro Power

The operating cost of hydro power units is comparatively small and usually can be
neglected [19], so only operating constraints are considered.
(1) Power constraints
356 Z. Zou et al.

PH ,min ≤ PH ,t ≤ PH ,max (1)

where PH ,max , PH ,min denote the maximum and minimum power of the hydro power
unit, respectively; PH ,t is the output power at time t.
(2) Water constraints

QH ,min ≤ QH ,t ≤ QH ,max (2)
t

where QH ,max , QH ,min denote the maximum and minimum volume of consumed
water within the optimization period; QH ,t denotes the consumed water at time t.

2.2 Pumped Hydro Storage

(1) Cost Model
The operational maintenance cost of a hydro pump storage CPS is expressed as:
   
CPS = fPS,f PPSP,max + PPSG,max + fPS,v · PPSP,t + PPSG,t (3)
t

where fPS,f , fPS,v denote the unit fixed and variable operational maintenance cost;
PPSP,t , PPSG,t , PPSP,max , PPSG,max denote the pump and generator power at time t and
their maximum value, respectively.
(2) Operation Constraints
1) Power constraints

PPSP,min uPSP,t ≤ PPSP,t ≤ PPSP,max uPSP,t (4)

PPSG,min uPSG,t ≤ PPSG,t ≤ PPSG,max uPSG,t (5)

where PPSP,min , PPSG,min denote the minimum power of the pump and generator,
respectively; uPSP,t , uPSG,t are the operation status denoting the pumped storage is in
pump or generator mode.
2) Reservoir constraints

WPSU ,min ≤ WPSU ,t ≤ WPSU ,max
(6)
WPSD,min ≤ WPSD,t ≤ WPSD,max
 
WPSU ,t − WPSU ,t  ≤ WPSU ,max (7)
0 e

where t 0 , t e are the beginning and end time instant of the optimization period; WPSU ,max ,
WPSD,max , WPSU ,min , WPSD,min denote the maximum and minimum capacity of the upper
and lower reservoir, respectively; WPSU ,max denotes the maximum limit of capacity
variation within the optimization period; WPSU ,t , WPSD,t denote the capacity of the upper
and lower reservoir at time t, respectively.
 Optimal Scheduling of Wind 357

3) Operation status constraints

The pumped hydro storage can only operate in up to one mode:

uPSP,t + uPSG,t ≤ 1 (8)

2.3 Battery Storage

(1) Cost Model

The operational maintenance cost of battery storage CBS is expressed as:

 
CBS = fBS,f PBSG,max + fBS,v · PBSC,t + PBSG,t (9)
t

where fBS,f , fBS,v denote the unit fixed and variable operational maintenance cost; PBSC,t ,
PBSG,t denote the charging and discharging power at time t, respectively.
(2) Operation Constraints
1) Power constraints

PBSC,min uBSC,t ≤ PBSC,t ≤ PBSC,max uBSC,t (10)

PBSG,min uBSG,t ≤ PBSG,t ≤ PBSG,max uBSG,t (11)

where PBSC,max , PBSC,min , PBSG,max , PBSG,min denote the maximum and minimum
power in charging and discharging mode, respectively; uBSC,t , uBSG,t are the operation
status denoting the battery mode.
2) State of charge (SOC) constraints

SOCmin ≤ SOCt ≤ SOCmax (12)

 
SOCt − SOCt  ≤ SOCmax (13)
0 e

where SOCmax , SOCmin denote the maximum and minimum SOC limit, respectively;
SOCmax denotes the maximum limit of SOC variation within the optimization period;
SOCt denote the SOC at time t.
3) Operation status constraints
The battery cannot be working in both charging and discharging mode:

uBSC,t + uBSG,t ≤ 1 (14)

The thermal power model can be found in [20] and is omitted in this paper due to
space limitations.
358 Z. Zou et al.

3 Optimal Scheduling Model of the Wind-Thermal-Hydro-Storage

Multi-Energy Complementary System
3.1 Optimization Objective
The objective the proposed model is to minimize the overall system operating cost:
min CT + CBS + CPS + CRE (15)
where CT denote the cost of thermal power, CRE denote the punishment for wind power
curtailment, which can be expressed as:
  
CRE = fRE PREE,t − PREO,t (16)
t
where fRE denote the unit punishment for wind power curtailment; PREE,t , PREO,t are
the estimated and output wind power at time t, respectively.

3.2 Optimization Constraints

Besides power resource constraints introduced in Sect. 1.2, the optimization constrains
include:
1) Wind power constraints
0 ≤ PREO,t ≤ PREE,t (17)
2) System power balance constraints
  
PT ,t + PH ,t + PPSG,t +
  
PBSG,t + PREO,t = PPSP,t + PBSC,t + PL,t (18)
where PT ,t , PL,t denote the thermal power and the estimated system load at time t,
respectively. In this paper, the network constraints and losses are not considered.

4 Case Study
4.1 Case Parameters and Scenario Design
The case study is conducted on an improved IEEE-30 bus system. Wind, thermal, hydro,
and storage (pumped hydro & battery) power units all integrate into the system. The max-
imum pump power of the pumped hydro storage is 330MW/320MW, and the generating
capacity is 300MW/180MW; The capability of the battery storage is 100MW/200MWh.
Parameters of the 4 thermal power units (G1-G4) and a hydro power unit (H1) are shown
in Table 1. The volume limit of consumed water is 172000m3 /20000m3 . The unit pun-
ishment for wind power curtailment is 2000 $/MW. Other parameters can be found in
[20].
In the simulation, 4 typical days are used to represent 4 seasons, respectively. The
typical days are constructed based on the actual data of one city located in Southwest
China. Figures 1 and 2 show the wind power and load of the typical days.
In the economy analysis, 5 scenarios are constructed based on different resource
compositions of the multi-energy complementary system, as shown in Table 2.
 Optimal Scheduling of Wind 359

Table 1 Parameters of the thermal and hydro power units

G1 G2 G3 G4 H1
G /MW
Pmax 1000 1000 600 300 800
G /MW
Pmin 400 400 300 180 0

Fig. 1. Wind power of the 4 seasons

Fig. 2 Load of the 4 seasons

Table 2 Resource composition of the 5 scenarios

Wind Thermal Hydro Pumped Hydro Battery

√ √ √ √ √
Scenario 1
√ √ √ √
Scenario 2
√ √ √ √
Scenario 3
√ √ √
Scenario 4
√ √
Scenario 5
360 Z. Zou et al.

4.2 Simulation Results

The optimal schedule strategies for the Scenario 1 in 4 seasons are shown in Fig. 3. The
optimization period is 24h, and the time step is 1h.

Fig. 1.3 Optimal scheduling strategies of Scenario 1 in 4 seasons

It can be seen from Fig. 3 that different types of power resources can coordinate with
each other to satisfy the system demand as well as consume renewable energy. Pumped
hydro storage and battery storage are usually in pump/charge mode at 3–6, when the
load is low, and the wind power is relatively high. When the load becomes higher, such
as at 10–11 and 19–20, the storages are usually in discharge/generator mode to supply
the load. Hydro power is usually allocated at 8–21 for similar reasons. Since the thermal
power serves as the base load, its output power is higher in summer, and lower in other
seasons. The usage of storage is also less frequency in summer due to a less severe
renewable energy consumption problem.
To make further analysis on the scheduling strategy, the scheduling strategy for
autumn (Fig. 3(c)) is detailed in Fig. 4. It can be seen that in the early morning, only 2
thermal units (G1, G4) are operating. The storages are operating in pump/charge mode
within this period. As the load increases at 8, the hydro unit (H1) and the storages begin
to generate power to supply the load. At 18, the wind experiences a sudden increase,
and the output power of H1 and G4 decreases for renewable energy consumption. The
battery also charges at that time.
Figure 5 shows the overall cost of the scenarios with different resource compositions.
It can be seen that Scenario 1, i.e., with the most kinds of regulating resources, has the
lowest cost, while Scenario 5, i.e., with the least kinds of regulating resources, has the
highest cost. The cost of other scenarios is in the middle. The results demonstrate that
 Optimal Scheduling of Wind 361

Fig. 4 Detailed optimal scheduling strategies for Scenario 1 in autumn

Fig. 5 Overall cost of scenarios with different power resource composition

the proposed schedule strategy can make good arrangement of diverse kinds of power
resources to achieve an overall economy optimization. With more regulating resources,
the scheduling strategy can use them to decrease the system cost for better economy
efficiency.

5 Conclusion

Facing the increasing integration capacities of renewable energy, this paper pro-
poses an optimal scheduling method for wind-thermal-hydro-storage multi-energy
complementary system.
362 Z. Zou et al.

(1) Two kinds of storage, i.e., pumped hydro storage and battery storage, are considered.
Their detailed cost and operation model are established.
(2) An optimization model is built to obtain the optimal day-ahead schedule strategy.
The model minimizes the cost of the complementary system while ensuring power
balance and operation constraints of each power unit.
(3) Case study verifies that the proposed method can fully utilize the characteristics of
various kinds of power resources to consume renewable energy and enhances the
safety and economy of the multi-energy complementary system.

Acknowledgments. This work is supported by Science and Technology Project of

China Yangtze Power Co., Ltd. (NO.4323020009).

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Detailed Analyses of the Ecological
Impacts Stemming From Hydropower
Projects
 Exploring the Impacts of Large Hydroelectric
Projects on Downstream Wetland Ecosystems:
A Case Study of the Impact Zone of the Jingwei
Wetland Reserve

Weifeng Wan1,2 , Feng Zeng1,2 , Liqun Sun1,2(B) , and Weidong Zhou1,2

1 Yellow River Engineering Consulting Co., Ltd. (YREC), Zhengzhou 450003, China
[email protected]
2 Key Laboratory of Water Management and Water Security for Yellow River Basin, Ministry of

Water Resources (Under Construction), Zhengzhou 450003, China

Abstract. The construction of a hydroelectric project will impact the interaction

between surface water and groundwater downstream, potentially disrupting the
ecological balance of the downstream wetland water bodies. This study focuses
on the effects of the Dongzhuang Reservoir construction on the downstream Jing-
wei Wetland and conducts numerical modeling calculations of unstable three-
dimensional groundwater flow under various operating conditions. It simulates
and predicts the variations in water level burial depth at different sections of the
wetland protection area and at different distances from the riverbank. The study
determines the area of water level changes with and without hydraulic engineering
under various conditions, and analyzes the impact of groundwater level changes
on vegetation area under different adverse scenarios. The research reveals that the
construction of the Dongzhuang Reservoir will have a certain impact on ground-
water levels in the Jingwei Wetland. Under the most unfavorable conditions of
five consecutive years of drought, the maximum water level drop can reach up to
0.54 m. The range of groundwater burial depth variations under different condi-
tions is between 0.249 km2 to 0.432 km2 , with the impact on the vegetation area
of the protection area relatively small (all less than 2%). The most extreme adverse
effects only occur in individual months, and overall, the operation of the project
has a minimal impact on the protection area. This study provides important the-
oretical support for the harmonious and healthy development of the Dongzhuang
hydropower project and the ecological balance of the Jingwei Wetland.

Keywords: Hydroelectric engineering · Ecological environment · Vegetation

impact · Groundwater

1 Introduction
The ecological impacts of constructing large-scale hydraulic projects in the context
of extensive hydropower development cannot be overlooked (Wohl, 2012; Zarfl et al.,
2015). Construction of hydraulic projects on natural river channels directly alters river

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 367–379, 2025.
https://doi.org/10.1007/978-981-97-9184-2_32
368 W. Wan et al.

flow, affecting the ecological environment evolved over long periods in rivers. The uti-
lization of water flow for power generation changes the local morphology and discontinu-
ity of river segments, leading to homogenization and discontinuity, consequently altering
the diversity of riverine ecosystems and further impacting the interaction between down-
stream surface water and groundwater (Elcin and Emre, 2013; Wood, 2006), disrupting
the balance of wetland aquatic ecosystems (Uehlinger et al., 2011; Yi et al., 2012; Matt
et al., 2012; Liu et al., 2013; Deng, 2016).
The construction of hydroelectric projects significantly impacts groundwater levels in
downstream wetlands. These projects alter the annual flow variations and pulsed hydro-
logical cycles of natural rivers, reducing groundwater recharge and indirectly affecting
the groundwater flow system’s replenishment and discharge relationships (Dong et al.,
2009; Pan et al., 2003; Zhang et al., 2011). The level of threat to different categories of
ecological vegetation in wetlands varies due to this impact. Therefore, it is essential to
study fluctuations in groundwater levels and analyze vegetation categories in wetlands as
a prerequisite for investigating the extent of hydroelectric projects’ impact on wetlands
(Mallik et al., 2009; May et al., 2014; Vesipa et al., 2017).
Based on the flow data from five sections and water level monitoring data from 28
sections of the Wei River, Ba River, and Jing River within the Jingwei Wetland Reserve,
this study statistically analyzed and predicted the water level variations during the sed-
iment trapping period, normal operation period, and low-flow period before and after
the construction of the Dongzhuang Reservoir. Groundwater level numerical simula-
tions were conducted focusing on three adverse water level conditions in wetlands. By
estimating the capillary rise heights of different categories of plants (aquatic plants, mes-
ophytes, xerophytes) based on statistics, the study explored the impact range on wetlands
of different categories within the protection zone under varying water level conditions.
Understanding the response mechanism of groundwater and wetland systems to future
changes is a crucial prerequisite for achieving sustainable utilization of downstream
water resources in the harmonious ecological coordination of large-scale hydroelectric
project construction and operation with wetland ecosystems.

2 Study Area
2.1 Location and Wetland Formation Conditions
The Dongzhuang Hydraulic Hub Project is located on the main stream of the Jing River in
Dongzhuang Township, Liquan County, Shanxi Province, China. The project is designed
with a dam height of 230 m and a reservoir capacity of 3 billion cubic meters, making
it the largest hydraulic hub project in the Guanzhong region of China. The project
serves multiple functions including flood control, sediment retention, irrigation, and
power generation. The Xi’an Jingwei Wetland Nature Reserve is situated approximately
84 km downstream from the dam site, serving as a riverine wetland-type natural reserve
primarily focused on conserving the wetland ecosystem. The location is shown in Fig. 1.
The total area of the nature reserve is 30.30 km2 , with the Jing River subarea covering
2.77 km2 , accounting for 9.14% of the reserve area. The remaining portions (Wei River
and Ba River subareas) cover 27.53 km2 , representing 90.86% of the reserve area, as
illustrated in Fig. 2. Formed over geological epochs through erosion and deposition
 Exploring the Impacts of Large Hydroelectric Projects 369

Fig. 1. Position map of the Dongzhuang hydraulic hub project relative to the Yellow River Basin

processes of the Wei River, Jing River, and Ba River, the reserve primarily consists of the
floodplains and river mouth areas of the Jing River and Wei River, characterized by subtle
pitted microtopography. Periodic or random flood pulses hold significant importance for
rivers and floodplain wetlands. They not only establish lateral connections between rivers
and floodplains but also govern the spatial patterns and layouts of riparian floodplain
wetlands.

Fig. 2. Map of the Jingwei Wetland Nature Reserve Area and the location of flow monitoring
sections

2.2 Hydrogeological Conditions

The wetland groundwater and river water exhibit complex interactions. Three sources
contribute to groundwater recharge in the Jingwei Wetland Nature Reserve: atmospheric
370 W. Wan et al.

precipitation, pulsed groundwater recharge from floods during flood periods, and lateral
groundwater inflow. At different time periods and locations, these three sources exhibit
varying dominant roles and interactive effects.
During normal flow or low-flow periods (without flooding), along the north bank of
the Wei River and the banks of the Jing River upstream of the Wei River confluence,
groundwater levels are slightly higher than river water levels. Groundwater discharges
into the river, with the river serving as a drainage channel, providing essential support
for and sustaining the wetlands. When flooding occurs during high-flow periods, the
water levels in the river channels on the north bank of the Wei River and the banks of the
Jing River upstream of the Wei River confluence rise above the groundwater levels in
the adjacent wetlands. Consequently, the river channels replenish the adjacent wetlands.
The rate of groundwater exchange between river channels and adjacent wetlands, the
fluctuation in water levels in the wetlands, and the extent of flood impact are influenced
by factors such as the topography, geology, vegetation, and river flood processes within
the wetland area. Along the south bank of the Wei River, at the confluence of the Ba
River with the Wei River, at the junction of the Jing River and Wei River, and on the
downstream banks of the Wei River, groundwater levels are generally lower than river
water levels during normal flow, low-flow, and high-flow periods. The Wei River and Ba
River contribute to groundwater recharge.

3 Materials and Methods

3.1 Groundwater Level Simulation and Prediction

3.1.1 Prediction and Evaluation Scope

At the confluence of the Jing River with the Wei River and along the banks of the Wei
River, river water replenishes groundwater. After the completion of the Dongzhuang
Reservoir, due to a reduction in river flow in most years, the river’s role in replenish-
ing groundwater is slightly diminished, potentially affecting ecological vegetation. The
most significantly affected areas are those where surface water replenishes groundwater,
specifically the core and some buffer zones of the Jingwei Wetland upstream and down-
stream of the Jing River confluence with the Wei River, as well as at the confluence of
the Ba River with the Wei River. The wetland evaluation area determined for analysis is
depicted in Fig. 3, with a total area of 13.96 km2 .

3.1.2 Simulation Condition

By collecting relevant actual engineering data, the stratigraphic structure and various
hydrological parameters of the study area were obtained. A three-dimensional hydroge-
ological model of the study area was established to predict the changes in river water
levels before and after the construction of Dongzhuang under different operating condi-
tions. In order to more accurately simulate the range of groundwater level changes caused
by surface water variations, this study employed a non-steady flow model for calculation
and prediction. Based on the comparison of water quantities before and after the con-
struction project, during the sediment interception period, normal operation period, and
 Exploring the Impacts of Large Hydroelectric Projects 371

Fig. 3. Schematic diagram of prediction and evaluation scope of the Jingwei Wetland Nature
Reserve

five consecutive years of dry season segment, distinct reduction quantities in specific
years and the continuous dry season segment were selected as the most unfavorable sce-
narios for calculation and evaluation. These scenarios include the abundant water year
during the sediment interception period, the average water year during normal operation,
and the historical period of five consecutive years of dry season (utilizing river flow data
from July 1993 to June 1997).

3.1.3 Simulation Methods and Parameters

Simulation Methods This study utilized the Visual Modflow numerical simulation soft-
ware to create a computer model that visually represents the groundwater characteristics
of the Jingwei Wetland, enabling the prediction of water levels. The model was stratified
into three layers vertically based on the actual geological and hydrogeological features
of the research area. The top of the model receives atmospheric precipitation as recharge,
while the bottom is composed of silt clay and considered an impermeable aquiclude.
The western boundary of the model is generalized as a lateral inflow boundary, while
the northern and southern boundaries are treated as streamline boundaries. The eastern
boundary is generalized as a lateral outflow boundary, with initial water levels at each
boundary determined by the initial flow field of the aquifers.
For each scenario in typical years and during a 5-year consecutive drought period,
input the surface water levels of typical cross-sections for each month of the year into the
model, obtain the differences in surface water levels between the sections, and calculate
the changes in groundwater levels under conditions with and without the Dongzhuang
Reservoir. One month serves as a stress period for non-steady-state groundwater flow
simulation. In the model, for the selected typical profiles, a groundwater observation
well point is placed along the riverbank to output dynamic curves of groundwater level
changes. Based on the groundwater level change curves, identify the most adverse month,
output the groundwater flow field map for that month, and create depth-to-groundwater
maps under conditions with and without the Dongzhuang Reservoir (Fig. 4).
372 W. Wan et al.

Fig. 4. Boundary conditions of the model, locations of typical profiles, and distribution map of
observation wells

Hydrogeological Parameters (1) River Seepage Recharge Coefficient

The inter-annual variations of river seepage coefficients in the evaluation area are
significant. Based on data on river seepage recharge in the northern plain area, a com-
prehensive analysis suggests that the annual average river seepage recharge coefficients
under three conditions (sand trapping period during high-flow years, normal opera-
tion period during average flow years, and a consecutive 5-year drought period) can be
approximately 0.16, 0.22, and 0.30, respectively.
In the simulation process, the surface water levels of various typical cross-sections
predicted by hydrological conditions are input into the model to calculate the groundwa-
ter level changes between sections under conditions with and without the Dongzhuang
Reservoir.
(2) Permeability Coefficient and Specific Yield
The initial permeability coefficient used in this calculation fully considers factors
such as topography, lithology of formations, and the attenuation effects of fill materials
and aquifers on permeability coefficients. It is a comprehensive assessment based on
actual experimental values and empirical data. The values for regional parameters are
shown in Fig. 5 and Table 1.

3.2 Investigation of Vegetation Types and Hydrotropic Characteristics

3.2.1 Survey of Vegetation Types in the Reserve
The ecosystems in the Jingwei Wetland Nature Reserve include terrestrial and aquatic
environments. Based on plant adaptation to water availability, terrestrial plants are
further categorized into hydrophilic plants, mesophytic plants, xerophytes, and other
types.Hydrophilic plants are mainly found in riverbanks, ditches, embankments, marshes
with water depths below 0.5 m or shallow groundwater levels, such as reeds, false reed,
and knotweed. Their root system depth is generally less than 0.3 m.Mesophytic plants and
 Exploring the Impacts of Large Hydroelectric Projects 373

Fig. 5. Zoning map of parameters for the first and second aquifer layers

Table 1. Overview table of main hydrogeological parameters zoning for aquifer layers

Layers Number Main Aquifer Lithology Permeability Coefficient Specific Yield

(m/d)
1 I-➀ Fine Sand Mixed with 30 0.2
Gravel
I-➁ Medium Fine Sand 25 0.15
I-➂ Fine Sand Mixed with 15 0.13
Medium Sand
I-➃ Silty Sand 1.5 0.1
I-➄ Loess 0.3 0.08
2 II-➀ Sand and Gravel 75 0.3
II-➁ Pebbles 90 0.32
II-➂ Fine Sand 13 0.12
3 III Silty Clay 0.05 0.06

meso-xerophytes exhibit morphological structures and adaptability between hydrophilic

plants and xerophytes. They cannot endure severe droughts or prolonged waterlogging
and usually thrive in moderately moist environments. Common mesophytic plants in
the reserve include dogtail grass, foxtail grass, wild taro, datura, mandrake, and desert
willow, while typical meso-xerophytic species comprise Artemisia sacrorum, Tribulus
374 W. Wan et al.

terrestris, and Adlumia fungosa. Their root system depth typically ranges from 0.3 to
1.0 m. Xerophytes and xero-mesophytes are well adapted to grow in arid environments
and can withstand prolonged or severe drought conditions. Various xerophytes and xero-
mesophytes are found on steep slopes, sandy loess, and sandy wastelands on the north
bank of the Wei River and Jing River in the reserve. Common species include Artemisia
lactiflora, Cucurbita foetidissima„ and Lagotis brachystachya. Along the Jing River,
there are extensive poplar forests on the first-level terraces with a significant variation in
root system depth from 0.4m to 2.2 m, and the roots of some trees extend beyond 4 m.

3.2.2 Investigation of Vegetation Capillary Rise Height and Maximum Burial

Depth
Based on the investigation of capillary water rise height, the geological formations within
the wetland area of the conservation zone consist of sand, gravel, and loam. There is a
significant variation in capillary rise heights, and according to field surveys, the capillary
water rise height in the wetland area generally ranges from 1.0 to 1.5 m.
The maximum burial depth of the water table for hydrophilic plants is 1.3 to 1.8 m;
mesophytic and meso-xerophytic plants have a maximum burial depth of 1.3m to 2.5 m;
xerophytes and xero-mesophytes have a maximum burial depth of up to 3.7 m. For some
woody vegetation in the conservation area, such as poplar and ginkgo trees, the root
system can extend to depths of 4 to 6m, with a maximum burial depth typically ranging
from 6 to 7 m.

4 Results and Discussion

4.1 Results of Unsteady Flow Calculations Under Various Adverse Operating
Conditions
For the three aforementioned adverse operating conditions, the groundwater level vari-
ations at model observation wells located at distances of 75 m, 225 m, 475 m, and
725m from the riverbank were statistically analyzed for the selected four typical cross-
sections (refer to Fig. 4 for the locations of the cross-sections and observation wells).
Based on the variations in the observation wells, the most unfavorable month was iden-
tified, and the groundwater level difference at the Dongzhuang observation well in the
most unfavorable month was output for evaluation.

4.1.1 Sand Trapping Period in a Flood Year

The groundwater level variations at model observation wells located at distances of 75 m,
225 m, 475 m, and 725m from the riverbank under the conditions of presence and absence
of Dongzhuang during the sand trapping period in a flood year (adverse typical year) are
shown in Fig. 6. It can be observed that the time periods with substantial groundwater
level fluctuations before and after the presence of Dongzhuang are May and September
to November. A comparison between the presence and absence of Dongzhuang reveals
the largest difference in November at the JH9 cross-section of the Jing River (with a
groundwater level change value of -0.41m). However, overall, the water level fluctuations
 Exploring the Impacts of Large Hydroelectric Projects 375

in September are generally significant. In September, the groundwater level variations

at different distance observation wells for the JH9 cross-section of the Jing River range
from -0.39 m to 0.0 m, while for the JH7 cross-section, it ranges from -0.31 m to -
0.13 m. The differences in the groundwater levels at various distance observation wells
for the downstream Wei River’s WH5 and WH2 cross-sections in September are -0.26 m
to 0.0 m and -0.28 m to 0.0 m, respectively. The groundwater level variations at each
cross-section in September are depicted in Fig. 7.

Fig. 6. Groundwater level variation curves for each cross-section under the conditions of presence
and absence of Dongzhuang in the flood year with sand trapping period

4.1.2 Normal Operation Period in a Normal Water Year

The groundwater level variations under the conditions of presence and absence of
Dongzhuang during the normal operation period in a normal water year were analyzed
using the same research method. The largest difference still occurred in September, with
groundwater level variations at different distance observation wells for the JH9 cross-
section of the Jing River ranging from -0.27 m to 0.0 m. For the JH7 cross-section,
the variations ranged from -0.14 m to 0.0 m. The differences in groundwater levels
at various distance observation wells for the downstream Wei River’s WH5 and WH2
cross-sections were -0.17 m to 0.0 m and -0.13 m to 0.0 m, respectively.

4.1.3 Consecutive 5-Year Dry Period (July 1993 to June 1996)

Over a Consecutive 5-Year Dry Period, comparing the presence and absence of
Dongzhuang, the most unfavorable month was September 1995. The corresponding
groundwater level variations at different distance observation wells for the JH9 cross-
section of the Jing River ranged from -0.54m to -0.08 m. For the JH7 cross-section,
the variations ranged from -0.47 m to -0.20 m. The differences in groundwater levels
at various distance observation wells for the downstream Wei River’s WH5 and WH2
cross-sections were -0.23 m to -0.12 m and -0.29 m to -0.11 m, respectively. It can be
376 W. Wan et al.

Fig. 7. Schematic representation of groundwater level variations at different distance observation

wells for various cross-sections of the Jing River in a flood year with sand trapping period

observed that hydraulic engineering constructions can have a certain impact on wetland
water levels, especially during a consecutive 5-year dry period, where the maximum
impact at the JH9 cross-section can reach up to 0.54 m.

4.2 Statistical Analysis of Water Level Changes for Various Operating Conditions
Based on the groundwater level change prediction results, under the most unfavorable
conditions, the decrease in the Jing River water level results in a certain extent of decline
in the groundwater level on both banks of the Jing and Wei Rivers. The ranges of
groundwater burial depth variations under three different scenarios - sand trapping period
in a high water year in September, normal operation period in a normal water year in
September, and the consecutive dry period in September 1995 - are 0.318 km2 , 0.249 km2 ,
and 0.432 km2 , respectively. The impact areas are mainly concentrated in the core and
buffer zones, as shown in Figs. 8a to 8c.

4.3 Analysis of the Impact of Groundwater Changes on Vegetation

Based on the maximum burial depth of vegetation in the protection area, overlay the
simulated groundwater results with the distribution of vegetation in the protection area
using GIS to calculate the area of impact of groundwater burial depth changes on different
vegetation types before and after dam construction.

4.3.1 Sand Trapping Period in a High Water year in September

After the operation of the project, the total area of vegetation affected by the decrease
in groundwater burial depth in September of the sand trapping period in a high water
 Exploring the Impacts of Large Hydroelectric Projects 377

year amounts to 0.318 km2 , representing 1.05% of the protection area. Among them,
wetland vegetation (reeds, bulrush) is affected over an area of 0.09 km2 , accounting for
0.30% of the protection area; mesophytic vegetation (sedge, dogtail grass) is affected
over an area of 0.072 km2 , representing 0.24%; xeromesophytic vegetation (goldenrod)
is affected over an area of 0.041 km2 , accounting for 0.109%; and tree forest (artificial
poplar) is affected over an area of 0.047 km2 , accounting for 0.15% (Fig. 8d-8f).

4.3.2 Normal Period in a Moderate Water Year in September

The total area of vegetation affected by the decrease in groundwater burial depth in
September of the normal operation period in a moderate water year amount to 0.249 km2 ,
representing 0.28% of the protection area. Among them, wetland vegetation (reeds,
bulrush) is affected over an area of 0.085 km2 , accounting for 0.48% of the protection
area; mesophytic vegetation (sedge, dogtail grass) is affected over an area of 0.057 km2 ,
representing 0.19%; xeromesophytic vegetation (goldenrod) is affected over an area of
0.073 km2 , accounting for 0.24%; and tree forest (artificial poplar) is affected over an
area of 0.034 km2 , accounting for 0.11%.

4.3.3 Third year in September of the Dry Season Segment Over Five Consecutive
Years
After the operation of the project, the total area of vegetation affected by the decrease in
groundwater burial depth in September of the third year of the dry season segment over
five consecutive years amounts to 0.432 km2 , representing 1.43% of the protection area.
Among them, wetland vegetation (reeds, bulrush) is affected over an area of 0.111 km2 ,
accounting for 0.37% of the protection area; mesophytic vegetation (sedge, dogtail grass)
is affected over an area of 0.118 km2 , representing 0.39%; xeromesophytic vegetation
(goldenrod) is affected over an area of 0.151 km2 , accounting for 0.50%; and tree forest
(artificial poplar) is affected over an area of 0.052 km2 , accounting for 0.17%.
Overall, after the operation of the project, the most extreme adverse effects on the
protection area only occurred in individual months, and the impact on the vegetation
area of the protection area is relatively small (all less than 2%), therefore the overall
impact of the project operation on the protection area is minimal.

5 Conclusions
In conclusion, the Dongzhuang hydraulic engineering projects have a discernible influ-
ence on groundwater levels in wetlands, particularly during consecutive 5-year low-flow
periods, with the most significant impact observed up to 0.54 m at the JH9 section. The
changes in groundwater burial depth under adverse conditions varied during the sediment
trapping period in the wet year of September, normal operation period in the average
year of September, and consecutive low-flow period in September 1995, amounting to
0.318 km2 , 0.249 km2 , and 0.432 km2 , respectively. The impacts were predominantly
concentrated in the core and buffer zones. Post-engineering operation, the most extreme
adverse effects on the conservation area only occur in isolated months, with the affected
vegetation area relatively limited (less than 2% in all cases), indicating minimal overall
378 W. Wan et al.

Fig. 8. (a), (b), (c): Groundwater level changes in various functional zones within the protection
area under different working conditions. (d), (e), (f): Map of the area where the groundwater burial
depth is less than 1.8m, 2.5m, and 7m in September of the sand trapping period in a high water
year

impact on the conservation area. The operation of the reservoir has brought adverse
effects on the Jing River region of the Jingwei Wetland Nature Reserve, while its impact
on the overall protection area is limited. After implementing measures such as ecological
flow guarantee and wetland inundation flow, the adverse effects can be mitigated to a
certain extent.

Acknowledgements. This study was supported by Major Science and Technology Projects of the
Ministry of Water Resources of China (No. SKS-2022062) and Postdoctoral Research Funding
Project in Henan Province.
 Exploring the Impacts of Large Hydroelectric Projects 379

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 Assessing the Impact of Dongzhuang Water
Conservancy Hub on Vegetation Ecological
Distribution Based on Numerical Simulation
and Machine Learning

Mengyan Ge(B)

Yellow River Engineering Consulting Co., Ltd., Zhengzhou 450003, Henan, China
[email protected]

Abstract. The current assessment of the ecological benefit of reservoirs com-

monly lacks quantitative calculation of actual ecological distribution. The spa-
tial distribution prediction of vegetation growth generally requires the concurrent
application of multiple numerical models, which are complicated and involve
numerous parameters. This research comprehensively utilized a surface hydrody-
namics numerical model and machine learning method to construct a flow-based
vegetation growth prediction model. The ecological impact during the storage
period and regulation period after the completion of the Dongzhuang Water Con-
servancy Hub was calculated and analyzed. The results indicate that the regula-
tion period after the construction of the reservoir has a minor impact on vegeta-
tion growth in comparison to pre-construction flow conditions in the normal flow
years. The limited extent and magnitude of regional NDVI decline induced by
the reservoir storage period will gradually recover after the beginning of reservoir
regulation. The formulated vegetation growth prediction model can reflect the rel-
evant influence processes on NDVI to a certain extent and alleviate the complexity
of prediction.

Keywords: Remote sensing · Machine learning · NDVI · Large scale water

conservancy · Yellow River Basin

1 Introduction
Reservoir construction is an important method to achieve optimal allocation of water
resources. Reservoir construction generally aims at one or more of the engineering
construction objectives, including flood control, water supply, ecology, power genera-
tion, sediment reduction, and navigation [1]. Upon completion, the reservoir will play a
significant role in economic, social, and ecological benefits.
Ecological impact is one of the important aspects that is required to be considered in
reservoir construction, and contemporary research on reservoir construction and opera-
tion also regards ecological goals as important objectives. The current ecological impact

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 380–388, 2025.
https://doi.org/10.1007/978-981-97-9184-2_33
 Assessing the Impact of Dongzhuang Water Conservancy 381

assessment and scheduling research of reservoirs principally focuses on the satisfac-

tion of ecological flow and the calculation of water level effects, lacking quantitative
prediction and analysis of actual ecological distribution.
Generally, numerical modeling methods such as surface water models, groundwater
flow models, and ecological hydrological models are required to be comprehensively
utilized to attain precise spatial distribution prediction of vegetation ecology [2, 3]. The
construction and operation of numerical models are complicated, involving numerous
parameters [4, 5], and the simulation process is lengthy and cumbersome.
Machine learning methods can substitute complex processes to a certain extent, and
feature selection is crucial. Identifying key processes and influencing factors can enhance
the reliability and fitting degree of machine learning methods. This research focuses on
the Dongzhuang Water Conservancy Hub Project. Based on the identification of key
influencing processes and factors, machine learning methods were utilized to construct
a prediction model for the spatial distribution of vegetation growth based on river flow,
providing a reference for relevant research.

2 Field Site
The Jing River is the largest tributary of the Wei River, a tributary of the Yellow River
in China, with a total length of about 455km. The Jing River originates from Ningxia
Autonomous Region and flows into the Wei River in Xi’an City, Shaanxi Province in
China. The Dongzhuang Water Conservancy Hub is located in the lower reaches of the
Jing River in Liquan County, Shaanxi Province, China, and is one of the major water con-
servancy projects of the Yellow River basin. The Dongzhuang Water Conservancy Hub
has a dam height of 230 m and a storage capacity of 3 billion cubic meters. Dongzhuang
Reservoir undertakes important tasks, including flood control, reduction of sediment
deposition, improvement of water environment and ecology, as well as power genera-
tion. The Dongzhuang Reservoir is still under construction and will enter the storage
period and subsequent normal regulation period after completion.
The section of the Jing River extending from the head of Jinghui Canal to its inter-
section with the Wei River was selected as the research area as shown in Fig. 1. Jinghui
Canal is a large-scale irrigation project on the Jing River. The canal head of Jinghui
Canal is located 20km downstream of Dongzhuang Water Conservancy Hub. Important
wetlands are distributed along the Jing River, commencing from the head of the Jinghui
Canal, serving as significant ecological protection objectives.

3 Methods
3.1 Remote Sensing Interpretation
The Normalized Vegetation Index (NDVI) has been widely used to reflect regional
vegetation growth. Based on Landsat 8 remote sensing images with red and near-infrared
bands, the NDVI distribution in the study area from 2021 to 2023 was interpreted, The
NDVI calculation formula is as below.
ρNIR − ρR
NDVI = (1)
ρNIR + ρR
382 M. Ge

Fig. 1. The locations of the study area and river cross-sections

where ρNIR is NIR surface reflectance, and ρR is the R surface reflectance.

3.2 Surface Hydrodynamic Model Simulation

A surface hydrodynamic model was used to simulate the distribution of river water level
and flow velocity in the study area under different flow rates at the Jinghui Canal section.
For the x and y directions, there are two-dimensional shallow water flow equations as
below.
∂h ∂hu ∂hv
+ + = hS (2)
∂t ∂x ∂y
∂hu ∂hu2 ∂huv ∂η gh2 ∂ρ τax τbx
+ + =fvh − gh − + −
∂t ∂x ∂y ∂x 2ρ0 ∂x ρ0 ρ0
∂ ∂  
+ (hTxx ) + hTxy + hus S (3)
∂x ∂y
∂hv ∂hv2 ∂huv ∂η gh2 ∂ρ τay
+ + = − fuh − gh − +
∂t ∂y ∂x ∂y 2ρ0 ∂y ρ0
τby ∂   ∂  
− + hTyy + hTxy + hvs S (4)
ρ0 ∂y ∂x
where h is the still water depth, t is time, u and v are the velocity components along the x
and y directions, s is the source and sink term, g is the gravitational acceleration, f is the
Coriolis force parameter, η is the water level, ρ is the fluid density, ρ0 is the reference
water density, us and vs are the flow velocities of the source and sink terms, Tij is the
stress term, τij is the component of the shear stress of the water flow at the boundary
between the water surface and the riverbed in the x and y directions.

3.3 The Random Forest Regression

The Random Forest Regression algorithm is a parallel ensemble learning algorithm

developed by Breiman based on regression trees [6]. It uses the Bootstrap method and
constructs a strong model composed of numerous independent and weak regression trees.
 Assessing the Impact of Dongzhuang Water Conservancy 383

Compared to other machine learning regression methods, the random forest algorithm
is less prone to overfitting and has the advantages of fast speed and a good tolerance for
outliers and noise.
In this study, the random forest regression method and surface hydrodynamic model
were utilized to construct a vegetation growth prediction model. RMSE and Bias were
used to evaluate the error between predicted and measured results.


n
 
Bias = Sp,i − Sa,i /n (5)
i=1

 n
 2
RMSE =  Sp,i − Sa,i /(n − 1) (6)
i=1

where Sp,i is the predicted result, Sa,i is the actual result, and n is the sample size.

4 Results and Discussion

4.1 Current Status of Regional Vegetation Distribution

According to Fig. 2, the overall NDVI ranges from 0 to 0.8. The NDVI distribution does
not reveal a significant correlation with the distance from the river channel. The NDVI
of the area adjacent to the river channel is lower than the NDVI in some areas far away
from the river channel. Apart from spatial differences, the overall NDVI in the region is
the smallest in 2022 and the highest in the summer of 2021.

Fig. 2. The spatial distribution of NDVI in July of each year from 2021 to 2023

According to Fig. 3, the overall NDVI of the cross-section exhibits an increasing trend
from the river center to both sides. For areas close to river channels, the groundwater
depth and the NDVI were both small. Herbal plants with shallow groundwater depth can
achieve an NDVI of 0.8 or above under suitable conditions, indicating that the growth
384 M. Ge

of plants in this area has been suppressed, and it is speculated that it was affected by the
suppression effect of river water immersion during the summer flood season.
The surface elevation of the high NDVI area exceeds the river water level by more
than 5m, which signifies that the appropriate groundwater depth for the vegetation is
generally above 5m, and the corresponding main vegetation type should be woody plants.
The NDVI in this area is influenced by various factors, including river water level,
surface elevation, vegetation type, previous vegetation growth status, etc. Consequently,
the study area presents a complex spatiotemporal distribution of NDVI.

Fig. 3. The distribution of surface elevation and NDVI of the river cross-sections

4.2 The Impact of Reservoir Construction on Water Level Distribution

After the completion of the construction of Dongzhuang Reservoir, the reservoir will
enter the water storage period and discharge according to the ecological base flow rate.
After the reservoir storage period, Dongzhuang Reservoir will enter the normal regula-
tion period and the discharge will be regulated based on the reservoir scheduling plan.
The changes in river flow during the two periods may have an undeniable impact on the
vegetation ecology in the downstream wetland of Jinghui Canal.
This study constructs three scenarios, including the scenario of a normal flow year
before reservoir construction(scenario 1), the scenario of reservoir storage period after
reservoir construction(scenario 2), and the scenario of reservoir regulation in a normal
flow year(scenario 3). For each scenario, 3 periods were mainly considered, including
early April 1st to June 15th, June 16th to August 31st, and September 1st to March 31st.
For the three scenarios, a two-dimensional hydrodynamic model of the river channel
was constructed and the water level and flow velocity changes along the river channel
were simulated. According to Fig. 4, compared to scenario 1, the overall decrease in
river water level of scenario 2 is within 1m, and the decrease in river water level from
mid-June to the end of August is relatively greater. Compared to scenario 1, the river
water level during the summer period of scenario 3 can rise by nearly 1 m. In other
periods, the river water level displays a downward trend compared to scenario 1. The
aforementioned difference in average water level of each period caused by changes in
the discharge flow of the reservoir is much smaller than the surface elevation difference
between high and low NDVI areas.
The variation values in the upstream and downstream sections of the studied river
section are relatively higher than those in the middle sections, which indicates that the
 Assessing the Impact of Dongzhuang Water Conservancy 385

differences in river section morphology along the river are also one of the unignoring
influencing factors on NDVI distribution in the study area.

Fig. 4. The difference between the simulated river water levels from 3 scenarios along the river
channel

4.3 Prediction of the Impact of Reservoir Construction on Regional Vegetation

Growth

4.3.1 Model Feature Selection

The discharge flow of reservoirs varies over time, controlling the water level and flow
distribution of the river. The interaction between surface water and groundwater affects
the spatiotemporal distribution of groundwater depth. Surface water and groundwater,
alongside other factors, collectively influence vegetation growth. The related process
involves numerous parameters.
Based on the influencing factors of NDVI distribution in the area, in conjunction with
the parameters of surface water flow models, groundwater flow models, and vegetation
prediction models [3, 7], the characteristic feature of this prediction model needs to
encompass information including river flow, river section morphology, groundwater
depth, and past vegetation growth status.
In this study, the river cross-section morphology was derived by simulating the water
level of the river with different discharge flows utilizing the constructed surface water
model. The characteristic parameters are determined as the distance from the river, the
elevation difference with the riverbed, the distribution of water level along the river
under different discharge flows of Jinghui Canal (based on surface water numerical
simulation), the maximum NDVI of the previous year, the mean discharge flow from
April to June, and the mean discharge flow from June to August. These parameters can
reflect the relevant mechanism processes to a certain extent.
386 M. Ge

4.3.2 Prediction Model Construction

Collected data including remote sensing interpretation data and cross-sectional flow
monitoring data from 2021 to 2023 were used as samples to construct the NDVI predic-
tion model for the study area. Randomly, 60% of the original dataset was set as training
samples, while the remaining 40% was set as validation samples. The grid search method
was employed to identify the optimal parameter configuration. The optimal number of
trees was set as 200, and the max depth was set as 5 (Fig. 5).

Fig. 5. Comparison between the calculation results of the model and the remote sensing
interpretation results

RMSE and Bias were used to evaluate the model results. Specifically, RMSE is 0.15,
and Bias is 0.24. The model calculation results have a good fit with the validation samples,
indicating that the constructed model can reflect the comprehensive effects of various
regional factors on NDVI. To a certain extent, this model can serve as a substitute for
the intermediary process between the surface flow model, the groundwater flow model
and the vegetation model.

4.3.3 Scenario Prediction

Based on the constructed NDVI spatial distribution prediction model, utilizing the NDVI
spatial distribution in 2023 as the initial value, corresponding parameters for 3 scenarios
were employed for continuous calculation for 5 years, and the spatiotemporal distribution
of NDVI was obtained.

Fig. 6. The distribution of the calculated NDVI in the 3 scenarios

The Figs. 6 and 7 separately illustrate the distribution and histogram of NDVI pre-
diction results for each scenario. In each scenario, the distribution characteristics of
 Assessing the Impact of Dongzhuang Water Conservancy 387

regional NDVI are generally similar. Scenario 2 exhibits the smallest NDVI overall,
with some areas undergoing a decrease in NDVI. However, there is no significant differ-
ence in the overall distribution and the degree of reduction, indicating that the ecological
base flow during the reservoir storage period can sustain regional vegetation growth to
a considerable extent and prevent significant degradation in vegetation.
Compared to scenario 1, the overall difference in NDVI distribution of scenario 3
is relatively small, indicating that the impact of regulation of Dongzhuang Reservoir in
normal flow year on vegetation growth is similar to the water flow process before the
construction of the reservoir. Moreover, the adverse effects of the water storage period
on vegetation growth will gradually recover after the end of the water storage period and
the start of reservoir regulation.
After the completion of Dongzhuang Reservoir’s construction, in addition to the
benefits of flood control and power generation, the impact on vegetation growth is rela-
tively slight and the construction of Dongzhuang reservoir has comprehensive positive
significance.

Fig. 7 Histogram of calculated NDVI of the entire study area in the 3 scenarios

5 Conclusion

This study comprehensively considered the influencing process and factors of regional
vegetation growth and constructed the prediction model of spatial vegetation distribution.
The constructed model can reflect the relevant process to a certain extent, mitigate the
intricacies of forecasting endeavors, and ensure a certain degree of fitting. It has reference
significance for other related studies. The influence of Dongzhuang Reservoir has a
limited impact on vegetation growth compared to the scenario before the construction of
the reservoir. The construction of Dongzhuang Reservoir has comprehensive beneficial
implications.
388 M. Ge

References
1. Hongrui, L.: Cascade Reservoirs Optimization in the Middle Yellow River Based on Multi-
Objective Evolutionary Algorithm. Master, North China University of Water Resources and
Electric Power (2022)
2. Mengyan, G.E.: The Coupling Mechanism Between Groundwater and Vegetation Ecosystem
of Terminal Lake Area of Inland River in Arid Area. Doctor, China University of Geosciences
(Wuhan) (2022)
3. Han, M., Zhao, C., Feng, G., et al.: An eco-hydrological approach to predicting regional vegeta-
tion and groundwater response to ecological water conveyance in dryland riparian ecosystems.
Quatern. Int. 380–381, 224–236 (2015)
4. van der Tol, C., Dolman, A.J., Waterloo, M.J., et al.: Optimum vegetation characteristics,
assimilation, and transpiration during a dry season: 2. Model evaluation. Water Resour. Res.
44(3) (2008)
5. Sivapalan, M., Schymanski, S.J., Roderick, M.L.: Transpiration as the leak in a carbon factory:
a model of self-optimising vegetation. In: AGU Fall Meeting Abstracts (2001)
6. Breiman, L.: Random forests. Mach. Learn. 45(1), 5–32 (2001)
7. Muneepeerakul, C.P., Miralles Wilhelm, F., Tamea, S. et al.: Coupled hydrologic and vegetation
dynamics in wetland ecosystems. Water Resour. Res. 44(7) (2008)

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Examination of the Environmental
Footprint Associated with Renewable
Energy Sources
 Analysis of Meteorological Situation in Different
Regions and Its Impact on Power Generation
of Different Types of Solar Modules

Fengqin He1,2,3(B) , Qi Yang1,2,3 , Xuelin Ding1,2,3 , and Weniun Lei1,2,3

1 Qinghai Hydroelectric Engineering Society, Xining, China
[email protected]
2 Huanghe Hydropower Development Company Ltd, Xining Shi, China
3 SPIC PV Industrial Innovation Center, Xi’an, China

Abstract. This paper starts from the key factors affecting photovoltaic power
generation and first studies the lighting characteristics of different regions. It then
conducts an analysis of the characteristics of the massive spectral data collected,
determines the extraction method of spectral data, and calculates the difference in
short-circuit current of photovoltaic modules due to spectral differences for spe-
cific regions. This has guiding significance for further research on the differences
in the operation of novel and efficient photovoltaic modules in different regions.

Keywords: meteorological situation · spectrum · latitude division · temperature

change · humidity change

1 Introduction

With the progress of photovoltaic technology, photovoltaic cell and module technology
has also continued to develop, new photovoltaic cells and modules occupy more and more
important market share, at the same time due to the differences in battery structure and
working mechanism, the laboratory efficiency of each high-efficiency battery module
and the actual operation of the power station there is a large difference. To solve this
problem, starting from the key factors affecting photovoltaic power generation, this
paper first studies the lighting characteristics of 13 different regions, such as Xi’an,
Daqing, Garze, Gong He, Dali, Hangzhou, Ordos, Yinchuan and Emin, and analyzes
the characteristics of the collected massive spectral data. The solar spectrum changes
in different periods of a day, different days in January and different months in a year
were studied to establish the solar spectrum analysis and value method for photovoltaic
power generation. Meanwhile, the characteristics of temperature and humidity changes
in different latitudes in China were analyzed and summarized, and the short-circuit
current differences of photovoltaic modules due to spectral differences were calculated.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 391–398, 2025.
https://doi.org/10.1007/978-981-97-9184-2_34
392 F. He et al.

2 Experiment and Result

The short-circuit current of a photovoltaic cell module is calculated using formulas 1
and 2, where the quantum efficiency is defined as the number of particles undergoing
photoelectric reaction within a fixed wavelength range divided by the number of incident
particles, and the short-circuit current is the sum of the currents generated by the particles
undergoing quantum effect within the same fixed wavelength range.

QEλ = ĨQE,λ ĨLight,λ (1)

JSC = QEλ · Gλ d λ (2)

2.1 Analysis of Meteorological Data in Different Regions

Figure 1 presents variation of ambient temperature, average daily global solar radi-
ation and annual average air humidity in the 13 different locations, including Xi’an,
Shaanxi, Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qinghai, Shannan, Tibet,
Hotan, Xinjiang, Dali, Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang, Ordos, Inner Mon-
golia, Yinchuan, Ningxia, Emin, Xinjiang, and Shenzhen, Guangzhou. From Fig. 1, it
can be seen that the lowest ambient temperature is ~ − 30 °C, which exists in Daqing,
Heilongjiang and Emin, Xinjiang, while the highest ambient temperature is ~ − 45
°C, which exists in Xi’an, Shaanxi, Ordos, Inner Mongolia, Yinchuan, Ningxia, and
Emin, Xinjiang. Therefore, variation of ambient temperature of Emin, Xinjiang is the
most severe. For annual average ambient temperature, it is the highest for Shenzhen,
Guangzhou, Hangzhou, Zhejiang, Dali, Yunnan, Xi’an, Shaanxi, and Bijie, Guizhou,
followed by Ordos, Inner Mongolia, Emin, Xinjiang, and Yinchuan, Ningxia, it is the
lowest for Hotan, Xinjiang, Daqing, Heilongjiang, Shannan, Tibet, Ganzi, Sichuan, and
Gonghe, Qinghai. For average daily global solar radiation, the highest is ~ 5.0 kWh/m2 ,
which exists in Ganzi, Sichuan, Shannan, Tibet, Gonghe, Qinghai, Yinchuan, Ningxia,
and Ordos, Inner Mongolia. The lowest daily radiation is ~ 3.5 kWh/m2 , existing in
Bijie, Guizhou, and Hangzhou, Zhejiang. For annual average air humidity, the highest
is ~ 80%, existing in Shenzhen, Guangzhou, Bijie, Guizhou, Hangzhou, Zhejiang, and
Ganzi, Sichuan, while the lowest is ~ 39%, existing in Hotan, Xinjiang.
Figure 2 shows the monthly average global solar radiation in the 13 different loca-
tions, including Xi’an, Shaanxi, Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qing-
hai, Shannan, Tibet, Hotan, Xinjiang, Dali, Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang,
Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin, Xinjiang, and Shenzhen, Guangzhou.
From Fig. 2, it can be seen that the highest monthly global radiation exists in May to
July for these 13 locations. The lowest monthly global radiation exists in January and
December. Additionally, the variation of solar radiation in the whole year is smaller for
Ganzi, Sichuan, Dali, Yunnan, Shannan, Tibet, compared with the other 10 locations,
which can be attributed to the difference in latitude.
Figure 3 presents the annual average global solar radiation in the 13 different loca-
tions, including Xi’an, Shaanxi, Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qing-
hai, Shannan, Tibet, Hotan, Xinjiang, Dali, Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang,
 Analysis of Meteorological Situation 393

Fig. 1. Ambient temperature variation, average daily global solar radiation and annual average
air humidity in 13 different locations, including Xi’an, Shaanxi, Daqing, Heilongjiang, Ganzi,
Sichuan, Gonghe, Qinghai, Shannan, Tibet, Hotan, Xinjiang, Dali, Yunnan, Bijie, Guizhou,
Hangzhou, Zhejiang, Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin, Xinjiang, and Shenzhen,
Guangzhou.

Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin, Xinjiang, and Shenzhen, Guangzhou.
From Fig. 3, it can be found that the variation of the annual average global solar radiation
is generally stable for each location among different years. Furthermore, the radiation is
the highest for Shannan, Tibet, Ganzi, Sichuan, Gonghe, Qinghai, Yinchuan, Ningxia,
Ordos, Inner Mongolia, Dali, Yunnan, and Hotan, Xinjiang, followed by Emin, Xinjiang,
Daqing, Heilongjiang, and Shenzhen, Guangzhou, it is the lowest for Xi’an, Shaanxi,
Hangzhou, Zhejiang, and Bijie, Guizhou.
Figure 4 shows solar altitude angle variation as a function of time in the 13 different
locations, including Xi’an, Shaanxi, Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe,
Qinghai, Shannan, Tibet, Hotan, Xinjiang, Dali, Yunnan, Bijie, Guizhou, Hangzhou,
Zhejiang, Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin, Xinjiang, and Shenzhen,
Guangzhou. From Fig. 4, it can be found that the solar altitude angle increases from
morning to noon, then decreases from noon to afternoon. Furthermore, the solar altitude
angle is the largest for Shenzhen, Guangzhou, is the smallest for Emin, Xinjiang, and
Daqing, Heilongjiang. This is directly caused by the difference in latitude (Shenzhen,
Guangzhou (22.5° N), Emin, Xinjiang (46.5° N), Daqing, Heilongjiang (46.32° N)). In
addition, it can be found that, for the same location, the solar altitude angle is the largest
in summer solstice, followed by spring equinox and autumn equinox, it is the smallest
in winter solstice. The variation among the different seasons is attributed to the periodic
movement of the sun in the whole year.
394 F. He et al.

Fig. 2. Monthly average global solar radiation in 13 different locations, including Xi’an, Shaanxi,
Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qinghai, Shannan, Tibet, Hotan, Xinjiang, Dali,
Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang, Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin,
Xinjiang, and Shenzhen, Guangzhou.

2.2 Analysis of Meteorological Data in Different Regions

Next, we selected approximately 52560 spectra from the Daqing area in China to study
methods for extracting spectral data. Figure 5 Analyzing the spectral differences of
Daqing every day at different hours, one set of data was taken every 1 h, a total of 12
sets of data were taken every day, and 3 days were selected every month, resulting in a
total of 396 sets of spectral data analysis for the whole year. The analysis results show
that the spectrum is unstable in the early morning and evening, while it maintains good
convergence at other times. The representative data of the spectrum can be selected
from any time other than the early morning and evening. The daily data shows the same
change pattern.
Figure 6 Analyzing the spectral differences between different days of each month
in Daqing, one day of data is selected every 10 days, with a total of three sets of data
per month and 33 sets of spectral data analyzed annually. The spectra of each day in a
month show good convergence, and a typical weather spectrum can be selected as the
representative data for that month.
Figure 7 Analyzing the spectral differences of Daqing every month, one day of data
is selected for each month and 12 sets of data are selected for the entire year for analysis.
In general, in the summer in Daqing, blue light dominates and red light proportion
decreases, while the opposite is true in the winter.
 Analysis of Meteorological Situation 395

Fig. 3. Annual average global solar radiation in 13 different locations, including Xi’an, Shaanxi,
Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qinghai, Shannan, Tibet, Hotan, Xinjiang, Dali,
Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang, Ordos, Inner Mongolia, Yinchuan, Ningxia, Emin,
Xinjiang, and Shenzhen, Guangzhou.

2.3 Analysis of the Impact of Different Spectral Distributions on Short-Circuit

Current of Different Components

Figure 8 Quantum efficiency curves for P-type crystalline silicon PERC cells and N-
type crystalline silicon heterojunction cells. The short-circuit current differences between
PERC cells and HJT cells under laboratory test conditions (AM1.5) and Daqing actual
spectrum were calculated using formula 2-1 and 2-1. The calculation results show that
the short-circuit current of the HJT cell under the AM1.5 spectrum is 40.36 mA/cm2,
and the short-circuit current under the Daqing actual spectrum is 36.11 mA/cm2, with
a current difference of 11.7%. The short-circuit current of the PERC cell under the
AM1.5 spectrum is 39.01 mA/cm2, and the short-circuit current under the Daqing actual
spectrum is 34.79 mA/cm2, with a current difference of 12.3%.

2.4 Conlusion

A comprehensive analysis of the climate differences in different regions was conducted,

and a spectral data extraction method was established based on the analysis. Taking into
account the characteristic that the spectral distribution of different regions has differ-
ences, the differences in short-circuit current brought by the PERC and HJT cells in
the Daqing area and the laboratory test spectrum were calculated. This study provides
guidance for further research on the differences in the performance of new and efficient
photovoltaic components in different regions.
396 F. He et al.

Fig. 4. Solar altitude angle variation as a function of time in 13 different locations, including
Xi’an, Shaanxi, Daqing, Heilongjiang, Ganzi, Sichuan, Gonghe, Qinghai, Shannan, Tibet, Hotan,
Xinjiang, Dali, Yunnan, Bijie, Guizhou, Hangzhou, Zhejiang, Ordos, Inner Mongolia, Yinchuan,
Ningxia, Emin, Xinjiang, and Shenzhen, Guangzhou. (a) Spring equinox, (b) summer solstice, (c)
autumn equinox, (d) winter solstice.

Fig. 5. Spectral data at different times of the day in Daqing

 Analysis of Meteorological Situation 397

Fig. 6. The spectral signatures of different days in a certain month in Daqing

Fig. 7. The spectral signatures of different months in Daqing

Fig. 8. Quantum efficiency of Perc cell and HJT cell

398 F. He et al.

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2. Theologitis, I.T., Jaeckel, B.: SolarPower Europe: O&M Best Practices Guidelines (2016)
3. Greenpeace, Europe S.P.: GWEC. Energy [r]evolution - A Sustainable World Energy Outlook:
100% Renewable Energy for All (2015)
4. Hegedus, S.: Thin film solar modules: the low cost, high throughput and versatile alternative
to Si wafers. Prog. Photovoltaics Res. Appl. 14(5), 393–411 (2010)
5. Chapin, D.M., Fuller, C.S., Pearson, G.L.: A new silicon p-n junction photocell for converting
solar radiation into electrical power. J. Appl. Phys. 25, 676–677 (1954)
6. Bothe, K., Hezel, R., Schmidt, J.: Recombination-enhanced formation of the metastable boron–
oxygen complex in crystalline silicon. Appl. Phys. Lett. 83, 1125–1127 (2003)
7. Schutz-Kuchly, T., Dubois, S., Veirman, J., et al.: Light-induced degradation in compensated
n-type Czochralski silicon solar cells. Physica Status Solidi A, 208(3), 572–575 (2011)
8. Singha, B., Solanki, C.S.: N-type solar cells: advantages, issues, and current scenarios. Sol.
Energy Mater. Sol. Cell. 4, 072001 (2017)

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Comprehensive Studies
on the Combined Environmental Effects
of Integrated Energy Projects
 Construction of a Full Process Evaluation
for the SocialIntegration of Migrants in Water
Conservancy and Hydropower Projects

Sun Zhonggen1 , Shao Ziting1(B) , Zhang Huazhong2 , Chen Jihua1 , Yu Qingnian1 ,

and Wang Yifei1
1 National Research Center for Resettlement, Hohai University, Nanjing 21009, Jiangsu, China
[email protected]
2 Changjiang Water Resources and Hydropower Development Group, Wuhan 430014, Hubei,

China

Abstract. China’s water conservancy and hydropower enterprises continue to

face the challenge of lagging hydropower standards despite being a major player
in the construction of water conservancy and hydropower projects. This paper
presents a theory for evaluating the social integration process of immigrants in
water conservancy and hydropower projects. The theory aims to promote China’s
‘Belt and Road’ strategy, enhance China’s modernization, and establish China’s
right to speak. The paper explains the overall framework, process evaluation, and
result evaluation of the theory. The evaluation process can be divided into three
periods: planning, placement, and later support. The result evaluation is divided
into three aspects: environmental adaptation, population development, and cultural
integration. Using the Three Gorges Project as an example, this text preliminarily
tests the science, rationality, and feasibility of the entire assessment theory. In the
future, research on engineering immigration should expand the application scope
of the whole process assessment. Sufficient attention should be paid to the problem
of social restructuring, and efforts should be made to build an assessment system
with Chinese characteristics.

Keywords: Engineering immigration · Social integration · Full process

evaluation

1 Introduction
The construction of water conservancy and hydropower projects can result in the disin-
tegration and fragmentation of migrant communities, with the original social structure
of migrants being broken up and the platform of social organisation and interpersonal
relationships being destroyed. Attention to the resettlement and subsequent development
of reservoir migrants is related to the overall situation of social stability and develop-
ment. With the development of economy and society, the resettlement and integration of
migrants have received particular attention from the academic community [1]. Generally
speaking, the construction of water conservancy and hydropower projects takes a long

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 401–422, 2025.
https://doi.org/10.1007/978-981-97-9184-2_35
402 S. Zhonggen et al.

time, and in the face of such a huge project, there is an urgent need to review the whole
process of assessment of the three stages of planning, resettlement and post-assistance,
and overcome the limitations of stage-by-stage assessment, in order to promote the social
integration of immigrants, and then complete the restoration and reconstruction of the
immigrant social system, to realise the harmonious coexistence of immigrants and the
hydraulic project, to bring the benefits of the project into full play, and ultimately to
achieve the goal of common prosperity in the new era.
Internationally, under General Secretary Xi Jinping’s “One Belt, One Road” initia-
tive, China’s water conservancy and hydropower engineering-related enterprises have
begun to go out and explore overseas business. Social integration is a core component of
the work of water conservancy and hydropower project migrants, and is also an impor-
tant element to consider in evaluating the success or failure of water conservancy and
hydropower project migrants, and even the entire project. In the process of social inte-
gration of water conservancy and hydropower project immigrants, the assessment of the
integration status is particularly critical. Internationally, regarding the assessment of the
social integration status of water conservancy and hydropower project immigrants, the
International Hydropower Association (IHA), the International Association for Impact
Assessment (IAIA), the International Association of Dams (WCD) and other Western-
led international organisations have put forward the Sustainability Assessment Protocol
(SAP) and other technical systems, which include social integration [2]. However, the
corresponding technical system in China is still in a blank stage. As General Secretary Xi
Jinping pointed out, “standards boost innovation and development, and standards lead
the progress of the times. In the international market, who mastered the standard, who
means the first to get the ticket to enter the international market, seize the high ground
of the international market [3]. Based on the strategic overall situation of the great reju-
venation of the Chinese nation and the world’s great changes that have not occurred in a
hundred years, to help China’s hydropower “go out”, there is an urgent need for China’s
technical standards of condensation, construction and promotion of the use of China’s
technical standards, and to enhance China’s right to speak in the international arena.
Accordingly, this paper aims to construct a social integration system for engi-
neering migrants with Chinese characteristics, analysing the Three Gorges Project, a
mega project with great Chinese characteristics, as an example, and introducing the
Full Process Evaluation for Social Integration, referred to as FPESI, which conducts a
whole-process evaluation of the planning period, the resettlement and implementation
period and the post-support period), and combines an all-around evaluation with the
process evaluation by the experts and the final effect by the migrant households. Over-
all, this study aims to promote the social integration of engineering migrants and ulti-
mately achieve common prosperity, innovate the social integration system of engineer-
ing migrants with Chinese characteristics through the introduction of the whole-process
assessment method, and prove the feasibility and applicability of the theory with the help
of the Three Gorges Project as a case study, so as to help China’s hydropower engineer-
ing standards “go out” and establish the right to speak in Chinese hydropower project
development. The project is expected to help China’s hydropower project standards “go
out” and establish China’s discourse power in hydropower project development.
 Construction of a Full Process Evaluation for the SocialIntegration 403

2 Literature Review
Shi and Chen took the lead in pointing out that the destruction of primary social net-
works over blood and geography would cause adaptation difficulties for immigrants,
and called for the strengthening of sociological research in engineering immigration [4].
Around the twenty-first century, the Three Gorges Project attracted world attention, and
academics have paid extra attention to the measurement of immigrants’ social integra-
tion brought about by this project. Feng Xiaotian’s study divided the social adaptation
of immigrants into three dimensions: economic adaptation, psychological adaptation
and cultural adaptation [5]. According to Li and Jiang, the main factors affecting the
social integration of immigrants in the Three Gorges Project are political, economic
and cultural, and the main signs of immigrants’ social integration are political equal-
ity, economic synchronisation and cultural integration [6]. Wang also adopted the same
classification for the influencing factors and integration signs of social integration [7].
Gao and Xu explored the integration and adaptation problems of “landless resettlement”
migrants in Beiyuan resettlement community from four dimensions: residential space,
livelihood space, social space and cultural and psychological space [8].
From the experience of social integration of engineering migrants abroad, the World
Bank, in the engineering migrant projects it finances, places special emphasis on the fact
that development projects should minimise the number of migrants, attaches importance
to the use of sociological research results in resettlement, and focuses on the planning
of migrant resettlement and the social development of its reservoir areas [9]. The World
Bank’s view is that the mark of success of any resettlement is whether the standard of
living of the migrants and the resettlement area is maintained or improved. The process
is that migrants through contact, interaction, communication, penetration and mutual
acceptance with the society in the place of relocation, and finally achieve economic
integration, cultural adaptation, social integration and identity [10]. Cernea [11] believes
that rural migrants who leave their land and homes due to engineering construction
often enter the city because of the disintegration of the original social structure and the
destruction of social order caused by the impact of the urban and rural living environment,
culture, customs, differences in production and living styles, breaking the balance of
humanities and ecology, which makes the migrants face the dilemmas and maladjustment
of production and life.
Domestic assessment of engineering migrants can be divided into two categories,
one is for the assessment of planning, resettlement or back-up [12–14] and other stages
of work; the other is for different research themes such as the risk of social stability
of migrants, protection of migrants’ rights and interests [15, 16] and so on. In addition,
research methods such as fuzzy comprehensive evaluation, hierarchical analysis method,
participatory assessment [17–20] and so on are also widely used in the field of social
assessment of engineering migrants. Guideline OD4.30 “Involuntary Migration” of the
World Development Bank and Chapter 50 “Involuntary Migration” of the Operations
Manual of the Asian Development Bank are common references for scholars at home and
abroad. The International Hydropower Institute (IHE) has proposed the Sustainability
Assessment Programme (SAP), which assesses the different stages of the project cycle
in terms of criteria in four parts: strategic assessment of projects providing energy and
water services; hydropower project preparation (i.e., the various studies and plans carried
404 S. Zhonggen et al.

out prior to the awarding of the construction contract); hydropower project implementa-
tion; and hydropower project operation. However, the linkage of this system with other
assessment frameworks, the scope and adequacy of the themes, and the importance of
strategic planning are subject to further debate [2].
The success of a project is a natural result after the whole process of pre, middle
and post sequentially takes effect [21]. The existing whole-process evaluation follows
the classification of the three major blocks of the project before, during and after, and is
refined in the division of the specific procedures according to the disciplines of investment
science, environmental science and administrative science to which it belongs [22–25].
From abroad, Rossi et al. [26] put forward an implementation assessment model for
policy assessment, pointing out that in the process of governance, policy assessment
must pay attention to the development of the situation in the process of governance. The
implementation assessment model consists of two types: process assessment and out-
come assessment, with process assessment referring to the assessment of the governance
process, focusing on the way in which the policy provides services and on some internal
factors affecting the implementation of the policy to fulfil the set objectives; outcome
assessment refers to the assessment of the results of the governance, with assessment
indicators usually set beforehand, and the use of policy assessment standards to measure
the results of the governance or the operation of the project.
In view of the involuntary, long-cycle and whole-household relocation characteris-
tics of engineering migrants, this paper’s assessment of their social integration status is
summarised in three dimensions. First, environmental adaptation is the foundation of
social integration. Social adaptation of the living environment and basic public service
facilities can guarantee that migrants can “move out”. Secondly, demographic devel-
opment is a further requirement for the social integration of migrants. Following the
law that “human beings are the most active elements in a social system”, the political
and economic factors that have been studied should be grouped into the dimension of
demographic development, and specific indicators should be used to measure the liveli-
hoods of migrants’ families, their social interactions and social equity, so as to ensure
that migrants can “hold on to their homes”. Lastly, cultural integration reflects spiritual
integration; only when customs and habits and other cultural aspects are adapted can
migrants truly achieve social integration.

3 Theoretical Analysis of Social Integration of Migrants in Water

Conservancy and Hydropower Projects
3.1 Concept of Social Integration of Migrants in Water Conservancy
and Hydropower Projects

Social integration is the gradual acceptance and adaptation to the social culture of the
place of relocation by the migrant population, and the construction of benign interaction,
and ultimately the formation of mutual recognition, mutual “penetration, intermingling,
reciprocity and complementarity” [27]. The social integration of water conservancy
and hydropower project immigrants refers to a social state in which immigrants are
relocated and, on the basis of guaranteed living environment and public service facilities,
 Construction of a Full Process Evaluation for the SocialIntegration 405

gradually adapting to the environment, pursuing demographic development and cultural

integration, and finally integrating into the resettlement place. Environmental adaptation,
demographic development and cultural integration constitute a unified whole for the
social integration of migrants.

3.2 Content of Social Integration of Migrants in Water Resources

and Hydropower Projects

Based on the whole-process assessment framework, the whole-process assessment of

social integration of migrants in water conservancy and hydropower projects will be car-
ried out in the three major aspects of environmental adaptation, demographic develop-
ment, and cultural integration in the three different phases of planning, implementation,
and post-support, respectively. The content of the assessment is shown in Table 1.

Table 1 Content of social integration of migrants in water resources and hydropower projects

Primary index Secondary index Implication

Environmental adaptation Living environment Safe living environment, housing area,
housing quality
Basic public service Residential water supply, power supply,
road traffic, commercial retail, medical and
health care, leisure and entertainment, basic
education service supply
Population development Family livelihood Allocation of land quantity and quality,
allocation of land ownership,
non-agricultural employment opportunities,
employment discrimination, existing
livelihood skills, productive skills training,
immigrant income, etc.
Social interaction Close contact with relatives and friends, and
social integration with indigenous people
Social equity Gender equality and vulnerable groups
Cultural fusion Religion Freedom of religious belief, places for
religious activities, etc.
Customs and habits Differences in customs and habits between
the original residence and the resettlement
place, original customs and habits of
immigrants, etc.
Minority nationality Ethnic minority festival activities have been
effectively carried out

The evaluation of social integration is mainly carried out from three subsystems:
environmental adaptation, population development and cultural integration. Specifically,
406 S. Zhonggen et al.

environmental adaptation refers to whether the living environment is safe and adaptive,
and whether the social service function is complete after the relocation. Population devel-
opment refers to population quality, family livelihood and social interaction. Cultural
integration refers to the reasonable and orderly integration of basic religions, customs
and national systems contained in social activities. Environmental adaptation, popula-
tion development and cultural integration constitute a unified whole of immigrant social
integration. The three subsystems constantly exchange material, energy and information,
interact and restrict each other, and move towards the common goal.

3.3 Basic Process of Social Integration of Water Conservancy and Hydropower

Engineering

In the process of social integration of water conservancy and hydropower immigrants,

the main work of the planning stage is centered on the “relocation” of immigrants, and
the final results of the planning stage are reflected in the adequate preparation for the
implementation of resettlement, and the social integration of immigrants is a crucial part
of it. Social integration in the planning stage is reflected in the environmental adaptation
of immigrants, which is reflected in the adaptation of the environmental capacity of
the planning area to the actual situation of immigrants [28], and the protection of the
living environment and basic public services. In terms of population development, based
on the policy of development migration and the resettlement method combining early
compensation and subsidies with late support, the planning stage takes the family as a
unit to comprehensively consider the livelihood, social communication and social equity
of immigrants. In terms of cultural integration, due to the people-oriented engineering
concept, cultural factors such as religion, customs and ethnic minorities are considered.
“Stability” is the focus of work in the implementation stage of resettlement, and
the environmental adaptation, population development and cultural integration of immi-
grants are preliminarily tested in the implementation stage. The technical work flow of
this stage includes the preparation of the implementation plan of migrant resettlement,
the preparation of the periodic report of the implementation plan of migrant resettle-
ment, the implementation organization, the design change, the acceptance of migrant
resettlement, and the adjustment of the budget estimate. The social integration work of
immigrants in the implementation stage is based on the regulations and norms formulated
in the planning stage. If there are no special circumstances, it will be implemented. For
those that do not meet the requirements of social integration, corresponding adjustments
will be made according to the process.
After the implementation is completed, the follow-up work of immigrants enters the
later stage of support, which focuses on “gradually getting rich”. In a period of time
after the completion of resettlement, the production and living of the immigrants shall
be continuously supported, so that the production and living standards of the immigrants
can reach or exceed the original level, and create conditions for their sustainable develop-
ment and synchronous development with the regional economy and society. In the later
stage of support, the social integration of immigrants pays more attention to development
[29]. In terms of environmental adaptation, the focus on basic public services increases
the indicators of the provision of health services. In terms of population development,
 Construction of a Full Process Evaluation for the SocialIntegration 407

indicators such as income and consumption of immigrants and their contacts with rel-
atives and friends have been taken into account. In terms of cultural integration, more
emphasis is placed on the integration of immigrants and regional cultural backgrounds.

4 Evaluation Framework for the Full Process of Social Integration

of Migrants in Water Conservancy and Hydropower Projects
4.1 Overall Framework of the Full Process Evaluation

4.1.1 General Ideas

MichaelM.Cernea once pointed out that immigration research needs the participation
of two aspects of social science, one is the academic research on the basic process of
immigration, and the other is the evaluation research on the actual operation results of
immigration. Only the cross-application of these two aspects of social science can con-
struct the framework of social action and guide the smooth progress of work. In July
2006, The State Council promulgated the Regulations on Land Compensation and Reset-
tlement of Migrants for the construction of Large and medium-sized Water Conservancy
and hydropower Projects (Decree No. 471 of The State Council), which put forward the
general requirements for the supervision and evaluation of the whole process of reset-
tlement, which clarified the purpose, nature and objective content of the supervision and
evaluation of resettlement, and ensured that the resettlement activities were carried out as
planned. So as to achieve the goal of resettlement and ensure the smooth construction of
water conservancy and hydropower projects. Shao Kan’s evaluation of engineering reset-
tlement projects is also divided into post-evaluation of early work, post-implementation,
post-implementation effect, post-impact and post-sustainability. Therefore, the whole
process assessment of the social integration status of water conservancy and hydropower
migrants includes before, during and after the project, conducting academic research on
the basic work in the planning stage, implementation stage and later support stage, and
constructing an “environmental adaption-population development-cultural integration”
system in order to evaluate the results of the immigration work. At the same time, it
also defines the evaluation subject, evaluation index, evaluation standard and evaluation
method. The overall frame diagram is as follows (Fig. 1).

Fig. 1 General framework diagram

408 S. Zhonggen et al.

4.1.2 Process Evaluation Ideas

The process evaluation is carried out from three aspects: planning period, placement
period and later support period, and the evaluation method is to invite relevant person-
nel to score. The same index system was adopted in the assessment of environmental
adaptation, population development and cultural integration in the planning period and
the resettlement period, and the index of the later support period increased slightly with
the economic and social development.

4.1.3 Results Evaluation Ideas

The result evaluation is the evaluation of the overall completion of the resettlement
after implementation. Using the information obtained from literature collection, data
review, colloquiums and questionnaires conducted by households, the “goal-result”
comparison method was adopted to evaluate the specific situation of the three dimen-
sions of environmental adaptation, population development and cultural integration of
immigrants.

4.2 Process Evaluation

4.2.1 Assessment Subject
1. Implementation subject – independent third-party evaluation agency
In the evaluation of water conservancy and hydropower projects, the project owner
is often the main body of responsibility. In order to avoid “self-evaluation”, the project
owner entrusted social intermediary organizations as independent third parties to carry
out evaluation work in accordance with relevant regulations. In the evaluation of the
social integration status of engineering immigrants, an independent third party, as an
evaluation agency, designs a special questionnaire according to the actual situation of
the evaluated project in the planning period, resettlement period and later support period,
and invites relevant social organizations, professional institutions, experts and scholars,
as well as representatives of the masses involved in the project to evaluate.
2. Participants - all kinds of experts
The participants in the three stages of planning, placement and post-support are gen-
erally similar, but they are slightly different according to the actual work progress. In
the whole process of evaluation, according to the needs of the work, the project will also
consult academicians and experts with attainments in relevant fields, including appropri-
ate reference to young experts and old experts who have participated in the early work,
to participate in the evaluation and consultation work. The major involves immigra-
tion management, sociology, economics, engineering management, water conservancy
engineering and other disciplines.
The evaluation subjects in the planning period are experts in planning preparation,
experts in immigration argumentation, experts in immigration discussion and govern-
ment officials. The main body of the evaluation during the implementation period is
experts in planning, immigration argumentation, immigration discussion, local govern-
ment officials, implementation supervision and evaluation experts. The main body of
 Construction of a Full Process Evaluation for the SocialIntegration 409

integration evaluation in the late support period is planning experts, immigration argu-
mentation experts, immigration thematic discussion experts, local government officials,
supervision and evaluation experts in the later support and follow-up work planning.

4.2.2 Evaluation Indicators

According to the theoretical framework of the whole process evaluation, the whole
process evaluation of the social integration of immigrants in water conservancy and
hydropower projects will be carried out from three aspects: environmental adaptation,
population development and cultural integration in three different stages: planning,
implementation and later support. With the development of economy and society, some
indicators of the later stage of support should be updated accordingly. According to
the evaluation content, the corresponding index system is constructed in the following
Table 2.

Table 2 Whole process evaluation index system of social integration

Evaluation content Index system

Environmental adaptation Population development Cultural fusion<
Integration process
Planning stage (1) Living envionment (1) Family livelihood (1) Religion
1. Safe living environment 1. Allocation of land 1. Freedom of religious
2. Housing area quantity and quality belief
3. Housing quality 2. Allocation of land 2. Places for religious
(2) Basic public services ownership activities
4. Residential water service 3. Non-farm employment (2) Customs and habits
5. Residential power supply 4. Employment 3. Differences in customs
service discrimination and habits between the
6. Residential road traffic 5. Existing livelihood skills original residence and the
services 6. Training of production place of resettlement
7. Residential commercial skills 4. Original customs and
retail services habits of immigrants
(2) Social exchanges
8. Health services in the (3) Ethnic minorities
7. How close friends and
place of residence 5.The festival activities of ethnic
relatives are to each other
9. Residence leisure and
8. Social integration with minority immigrants were
entertainment services
indigenous peoples effectively carried out
10. Supply of basic
education services (3) Social equity
9. Gender equality
10. Vulnerable groups
Implementation phase Same as planning stage indicators Same as planning stage indicators Same as planning stage
indicators
(continued)
410 S. Zhonggen et al.

Table 2 (continued)

Evaluation content Index system

Environmental adaptation Population development Cultural fusion<
Integration process
Late support stage Increase the supply of health Changes on the basis of indicators Changes on the basis of
services on the basis of indicators in the planning and indicators in the planning and
in the planning and implementation stages (1) family implementation stages (1)
implementation stages livelihood Religion
1. Education level of 1. Conflicts between immigrants
immigrants and indigenous peoples of
2. Life expectancy of migrants different faiths
3. The spiritual life of 2. Religious activities
immigrants (2) Customs and habits
4. Allocation of quantity and 3. Language acceptance
quality of land 4. Familiarity with customs
5. Stable tenure of alloted land (3) Ethnic minorities
6. Non-farm employment 5. Ethnic minority immigrants
7. Employment discrimination carry out festivals
8. Existing livelihood skills 6. Customs of minority
9. Production skills Training 1 immigrants
(Training or not) 7. Conflicts between immigrant
10. Production Skills Training 2 and indigenous peoples
(Training effect)
11. Income of migrants
12. Immigrant consumption
(2) Social exchanges
13. How close friends and
relatives are to each other
14. Support from friends and
family
15. Relations between migrants
and indigenous peoples of
resettlement
16. Intermarriage between
migrants and indigenous
peoples in settlements
(3). Social equity
17. Gender equality
18. Vulnerable groups

4.2.3 Evaluation Criteria

According to the concept of whole-process assessment, we set different evaluation cri-
teria for the three indicators of environmental adaptation, population development and
cultural integration in the three different stages of planning, implementation and later
support, so as to evaluate the migration work of hydropower projects at different stages.
For example, in terms of the living environment safety index of environmental adapta-
tion in the planning stage, the planning fully considered the living environment safety of
immigrants in the resettlement place was rated 5 points; In the planning, more require-
ments for the safety of the living environment of immigrants in the resettlement place
were rated 4 points; The planning put forward certain requirements for the safety of the
living environment of the immigrants in the resettlement place and was rated 3 points;
The requirements for the safety of the living environment in the resettlement place in the
planning were less rated 2 points; The planning did not consider the safety of the living
 Construction of a Full Process Evaluation for the SocialIntegration 411

environment of the migrants in the resettlement place at all, and was rated 1. Overall,
the criteria are divided into five levels, with 5 representing optimal performance, 4 rep-
resenting sub-optimal performance, 3 representing basically satisfactory performance,
2 representing slightly inferior performance, and 1 representing the worst performance.

4.2.4 Evaluation Method

With reference to Shao Kan’s research on immigration policy evaluation [30], the Del-
phi Method is used in the process evaluation. An independent third party of the eval-
uation implementer designs a three-stage expert questionnaire to consult the opinions
of provincial experts in related fields and government leaders at all levels in the form
of a questionnaire, improve the index system and evaluation content, construct the final
social integration index system and explain the scoring criteria. Finally, the participants
in the evaluation, namely various experts, are invited to score the planning, resettlement
and post-support stages.

4.3 Result Evaluation

4.3.1 Evaluation Subject
The implementation subject of the result evaluation is similar to that of the process
evaluation, both of which are commissioned by an independent third party or conducted
by a qualified and competent social consultation and evaluation intermediary unit through
bidding. The difference is that in terms of participants, immigrant groups are included.

4.3.2 Evaluation Indicators

For the consistency of evaluation, process evaluation and outcome evaluation adopt
the same index system, which are the evaluation of three subsystems: environmental
adaptation, population development and cultural integration.

4.3.3 Evaluation Process

Through literature research, seminars, field observations, household interviews and ques-
tionnaire surveys, an independent third party collects information on the sub-systems
of environmental adaptation, population development and cultural integration, and uses
the evaluation idea of “goal-result” comparison to conduct targeted evaluation based on
goals and results.
The assessment of environmental adaptation is generally divided into two aspects:
living environment and basic public services. The goal of living environment is not only
to ensure the geological safety and the quality of houses, but also to ensure that the per
capita area of resettlement houses is not lower than that of surrounding residents. In
terms of basic public services, the supply of water, electricity, roads, commercial retail,
education, medical care, leisure and health services should meet the basic needs of
immigrants. In the analysis of the implementation results, the living environment should
be evaluated by integrating the monitoring and evaluation reports of the project over the
years. For example, the migration planning and design of the Three Gorges Project of the
412 S. Zhonggen et al.

Yangtze River pointed out that considering the moderate development of immigrants,
the urban planning and construction land area should be calculated according to 70m2 /
person, which is higher than the current 30–50m2 / person [31]. This indicator will be
verified during the outcome evaluation process. The evaluation of basic public services
is measured by the primary data obtained from questionnaires.
The goals of population development include three aspects: family livelihood, social
interaction and social equity. Family livelihood is related to the education level of
migrants, the life expectancy of the population, the state of spiritual life, the quantity and
quality of land, the stability of land tenure, non-agricultural employment opportunities,
and employment discrimination. Social interaction is related to the degree of close con-
tact with relatives and friends and support, the relationship between immigrants and the
indigenous people in the resettlement place, and intermarriage. Social equity is related
to gender equality and vulnerable groups. In the analysis of implementation results, the
official data and questionnaire survey data are also combined to evaluate.
The goal of cultural integration is from three aspects: religion, customs and minor-
ity nationalities. In the religious context, the goal is that there is no conflict between
immigrant and indigenous peoples of different faiths and that religious activities are
carried out normally. The goal of custom is a certain degree of familiarity with language
and custom. For ethnic minorities, the festival activities of ethnic minorities immigrants
are carried out normally, customs and habits are respected, and there is no conflict
between immigrants and indigenous people. In the analysis of implementation results,
the evaluation method of combining official data and questionnaire survey is adopted.

4.3.4 Source of Data

Evaluation data sources are divided into two parts, one is to carry out discussions and
collect statistical yearbooks and statistical communiques, monitoring and evaluation
reports, acceptance reports and other materials as units involved in the project; the other
is to carry out questionnaires on immigrant households as units of villages.

5 Case Analysis of the Full Process Evaluation of Social Integration

of Migrants in Water Conservancy and Hydropower Projects

5.1 Three Gorges Project and Three Gorges Migration

According to the “Yangtze River Three Gorges Project reservoir inundation treatment
and resettlement planning Report”, the Three Gorges Project reservoir area planned to
relocate a total population of about 1.245,500 people, in the subsequent development
and implementation, the total number of migrants has expanded to 1.27 million. There
are many challenges and difficulties in the reorganization of reservoir productivity, the
adjustment of economic structure, the social integration of immigrants and the man-
agement of immigration work. Migration is the key to the success of the Three Gorges
Project. Based on this, this paper takes the rural migrants in the Three Gorges reservoir
area of Hubei as a case study, and uses the whole-process assessment method to evaluate
their social integration status.
 Construction of a Full Process Evaluation for the SocialIntegration 413

5.2 Evaluation Process

The whole process evaluation is divided into process evaluation and result evaluation.
The process evaluation sets the target of each index as 3 grades, and the index system,
standard, subject and method refer to the evaluation system of the whole process of
social integration of water conservancy and hydropower project immigrants. Based on
the questionnaire designed for the evaluation of the whole process of social integration of
migrants in water conservancy and hydropower projects, 30 migration experts, officials
and scholars who are familiar with the planning, resettlement and post-support processes
of the Three Gorges Project are selected for the evaluation. They are from Yangtze
River Survey, Planning and Design Research Institute of Yangtze River Water Resources
Commission, Yangtze River Three Gorges Group Co., LTD., Yangtze River Project
Supervision and Consulting Company; Yichang City, Yiling District, Zigui County,
Xingshan County, Badong County; Hohai University, Nanjing University, Three Gorges
University and other units, and finally recovered 28 effective expert questionnaires.
Results The overall objective of the evaluation is to balance the benefits of the project and
the benefits of the immigrants. Considering that the data comes from both primary and
secondary data, the structural evaluation method combining quantitative and qualitative
is adopted. In the evaluation of specific indicators, the primary data is the main, the
evaluation goal is to set the satisfaction of immigrants at 85% or above, and some
indicators are based on the requirements of official documents such as the “Report on
reservoir inundated treatment and resettlement planning of the Three Gorges Project on
the Yangtze River” (1998) and the “Regulations on the construction of the Three Gorges
Project on the Yangtze River” (2001).

5.3 Evaluation Results and Conclusions

5.3.1 Evaluation Results

(1) Process evaluation

Comparing the statistics of the experts’ scores with the goals set in the planning
period, the Three Gorges resettlement planning is relatively comprehensive, most of the
indicators in environmental adaptation and population development can be achieved, and
more than half of the goals in the five indicators in cultural integration can be achieved.
The goal of the difference of customs between the place of origin and the place of
settlement, and the original customs of the immigrants has not been achieved. In the
implementation stage and the later support stage of the Three Gorges resettlement, the
environmental adaptation, population development and cultural integration have been
improved compared with the planning stage, and all indicators can be achieved, and
some indicators have been achieved to a high degree (Figs. 2, 3, 4, 5, 6, 7, 8, 9, and 10).
(2) Result evaluation
First of all, in terms of environmental adaptation, for the geological safety of the
living environment of immigrants, Article 24 of the “Regulations on the Construction of
the Three Gorges Project on the Yangtze River” (2001) requires that “the site selection
414 S. Zhonggen et al.

Fig. 2 Degree of environmental adaptation in the planning stage

Fig. 3 Degree of realization of population development goals in the planning stage

and relocation of towns, rural settlements, industrial and mining enterprises, and infras-
tructure should be hydrogeological, engineering site survey and geological disaster risk
assessment.” In terms of living environment, as of 2014, slope control and landslide
 Construction of a Full Process Evaluation for the SocialIntegration 415

Fig. 4 Degree of cultural integration goal realization in the planning stage

Fig. 5 Degree of realization of environmental adaptation goals in the implementation phase

control projects in the Three Gorges Reservoir area of Hubei have been completed and
accepted. In terms of the evaluation of the living environment, 92.1 percent of the immi-
grants think that the geology of the place is “relatively safe” or “very safe”, and all the
immigrants think that the security is “very good” or relatively good. For the resettlement
of rural migrants, Article 18 of the Regulations on the Construction of migrants for the
Three Gorges Project on the Yangtze River (2001) requires that “the construction of
416 S. Zhonggen et al.

Fig. 6 Implementation stage population development goals achieved

Fig. 7 Degree of realization of cultural integration goals in implementation stage

housing by migrants can be built by separate families, or it can be built in accordance

with the principle of voluntary unification.” The relevant local people’s governments
and villagers’ committees shall not impose standards for building houses.” 85.46% of
the respondents were “very satisfied” or “satisfied” with their living conditions. 87.46%
of the respondents were “very satisfied” or “satisfied” with the quality of the housing
structure. In terms of basic public services, 100% of migrants have access to water and
electricity, and 94.77% consider transport “very convenient” or “relatively convenient.”
 Construction of a Full Process Evaluation for the SocialIntegration 417

Fig. 8 Achievement of environmental adaptation goals in the late support stage

Fig. 9 Population development goals achieved in the late support stage

418 S. Zhonggen et al.

Fig. 10 Achievement degree of cultural integration goal in the late support stage

84.74% of villages have a market within 3 km. 85.79% of immigrants think that the
public health service supply in their place of residence is “very good” or “relatively
good”. 91.91% of immigrant households have activity squares around them for leisure
and entertainment. 85.03% of immigrant villages have primary schools within 3 km, and
more than 60% of immigrants think the facilities are “relatively good” or “very good”.
Secondly, in terms of population development. As for the amount of land, the Report
on the Planning of the Flood Treatment and Resettlement of the Reservoir of the Three
Gorges Project of the Yangtze River (1998) put forward the principle that “under the
premise of conserving soil and water and improving the ecological environment, rational
development of resources should be carried out by adjusting cultivated land, transform-
ing medium and low yield fields, and reclaiming land suitable for agriculture.” So that
immigrants have a stable and high-yield farming land, optimize and adjust the planting
structure, and actively develop the aquaculture industry.” Article 11 of the Regulations
on the Construction of the Three Gorges Project on the Yangtze River (2001) requires
that “the construction land of the Three Gorges Project shall be approved at one time and
allocated in stages in accordance with the approved plan, and the registration formalities
for the change of land ownership shall be handled according to law.” The scale of the
resettlement land for the Three Gorges project construction shall be strictly controlled,
and according to the general plan for land use and the annual plan for land use, it shall
be reported to the people’s governments at or above the provincial level step by step for
the conversion of agricultural land and land acquisition procedures according to law.”
In terms of family livelihood, the satisfaction of land allocation is 60.44%, and the per
capita housing area of immigrants is 32.66 square meters, reaching or exceeding the
average level of resettlement. On average, migrant workers are mainly migrant workers,
followed by local odd jobs, and there is no unemployment phenomenon. Zigui County
promotes farmers’ income through the e-commerce value chain [32], and the proportion
 Construction of a Full Process Evaluation for the SocialIntegration 419

of local casual labor is 41.60%, which exceeds the proportion of migrant workers by 16%.
Basically, there is no employment discrimination, 55.17% of immigrant households have
received training in production skills, and more than half of immigrant families have
been transferred to employment because of training. The income of families actively
participating in agricultural technology training increased as high as 62.44 million yuan.
In terms of social communication, the communication with relatives and friends is rel-
atively close, but the scope of interpersonal communication is relatively general, the
acceptance degree of local residents to immigrants “easy to accept” and “relatively easy
to accept” is 76.47%. In terms of social justice, 94 percent said men and women were
“completely equal” or “fairly equal.” In terms of how easy it is for vulnerable groups,
such as the poor, to get help from the government, migrants see little change before and
after relocation.
Finally, in terms of cultural integration. Article 14 of the Regulations on Migration
for the construction of the Three Gorges Project on the Yangtze River points out that
immigrants are first settled in their counties and districts. This is a forward-looking
consideration of the cultural integration of immigrants. According to the satisfaction
survey results, 97.44% of immigrants believe that religious activities can be carried out
normally after immigration. 90.1% of immigrants think that customs are acceptable. Of
the 246 immigrants surveyed, 15 were from the Tujia family, and the customs and habits
of ethnic minorities were also maintained.

5.3.2 Evaluation Conclusion

From the perspective of process assessment, although the early planning time of Hubei
Three Gorges migrant resettlement is not comprehensive enough to consider the aspects
of immigrants such as gender equality, attention to vulnerable groups, and suitable inte-
gration of emigrants, certain problems and difficulties are faced in the implementation,
but after feedback, reflection and measures are taken to solve the problems in the pro-
cess of resettlement practice. At the end of the implementation period, the planned tasks
can basically be completed and social integration can basically be achieved. In the post-
immigrant support stage, through the further development of post-support and follow-up
work, continue to improve the living environment of immigrants, improve the livelihood
of immigrants’ families, pay more attention to social equity and respect for religious
beliefs and customs. According to the result evaluation, immigrants have a high degree
of satisfaction in environmental adaptation, population development and cultural inte-
gration, which is consistent with the conclusion of some scholars, that is, the overall
social adaptability of immigrants is good and normal [33].

6 Conclusion and Prospect

6.1 Conclusion
In line with the strategic background of the Belt and Road Initiative, this paper pro-
poses to construct evaluation criteria with Chinese characteristics, makes a preliminary
exploration of the evaluation of the whole process of social integration of immigrants in
water conservancy and hydropower projects, and discusses the evaluation of the process
420 S. Zhonggen et al.

and result of social integration of immigrants in water conservancy and hydropower

projects. In addition, on the basis of comprehensively collecting relevant experts’ scores
on the normalization degree of the whole process of the Three Gorges migration planning
stage, implementation stage and later support stage, as well as the immigrants’ satisfac-
tion with the results, and combining with the summary of existing literature and critical
thinking, the author innovatively constructs an analytical framework for the evaluation
of the whole process of social integration of engineering immigrants. This paper uses
the research paradigm of theory and demonstration to clarify the theoretical basis and
direction of the research on social integration of engineering immigrants. Through the
process assessment, we can establish the work flow of problem occurrence - problem
feedback - taking measures to solve it, and avoid the problems in the early stage of
immigration work. The results of the assessment also promoted the rights and interests
of migrants in the aspects of environmental adaptation, population development and
cultural integration.

6.2 Prospect
Future research on engineering immigration can also be considered from the following
three aspects.
First, expand the application scope of the whole process assessment. Other water
conservancy and hydropower projects should also pay attention to the social integration
of immigrants, and evaluate the social integration of engineering immigrants according
to this standard. In the future, the relevant research framework should draw on the whole
process analysis, and carry out targeted evaluation on the planning period, resettlement
period and later support period of engineering immigrants. Timely correct possible prob-
lems, strive to be scientific, reasonable and standardized, and help build the “three major”
evaluation system with Chinese characteristics [34].
The second is to pay attention to the social reconstruction of immigrants. Moving
to a new region means being cut off from the social networks of the place of departure.
It is difficult for the original social network to give strong support to immigrants in the
place of relocation. To do so, migrants must rebuild social networks [35]. While paying
enough attention to social integration, the social reconstruction of immigrants is also the
direction that needs to be studied in the next step.
The third is to establish an international voice and promote Chinese standards to
“go out”. China’s international influence is increasing [36]. The establishment of the
evaluation system for the whole process of social integration of migrants in water con-
servancy and hydropower projects is a beneficial attempt for the hydropower industry
to build Chinese standards. In the next step, it is necessary to play a leading role in the
transformation of strategic awareness and global awareness, establish an international
voice, and promote Chinese standards to “go out”.

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 Research on Urbanization Resettlement
of Reservoir Projects Under High-Quality
Development in China

Jing Wu1,2 , Shaojun Chen1,2(B) , Langxing Xu3 , and Jinjin Sun1,2

1 School of Public Administration, Hohai University, Nanjing 210098, China
[email protected], [email protected]
2 National Research Center for Resettlement, Hohai University, Nanjing 210098, China
3 Xi’an Jiaotong-Liverpool University, Suzhou 215123, China

Abstract. The era of socialism with Chinese characteristics and the century-
long unprecedented changes in the world are intertwined and mutually stimulat-
ing. With the coordinated promotion of the strategic deployment of achieving
carbon peaks and carbon neutrality and the overall layout of ecological civi-
lization construction, the national policy dividend is favorable to hydroelectric
power development, and hydroelectric energy development presents huge advan-
tages and development prospects. However, at present, hydropower development
is constrained by non-engineering technical issues, especially the resettlement
and relocation activities caused by the submergence of reservoirs have become
one of the most concerned issues. In the context of China’s vigorous promotion
of new urbanization, it is worth conducting in-depth research on how to seize
this historical opportunity and integrate the resettlement of rural migrants from
reservoir projects into the development process of new urbanization. This article
takes the basic elements of reservoir resettlement as a starting point, conducts an
in-depth analysis of three key elements, and uses this as the basis to construct
an urbanization resettlement analysis framework alled “production resettlement-
living resettlement-institutional arrangement.” Based on this, it focuses on the
core issue of production resettlement, and endeavors to propose an enclave eco-
nomic model in areas with more developed secondary and tertiary industries.
Simultaneously, this model is applied to the “NA” reservoir in Zhejiang, calculat-
ing the value of land resources in the reservoir area, proposing specific purchase
plans for the resettlement area by cross-township, and analyzing the effects of
immigrant resettlement. This study found through empirical research that: 1) By
trading submerged resources (land requisition comprehensive area price) in the
reservoir area plus non-submerged resources (land transfer and custody price)
for industrial land, the preferred purchase solution for industrial land is 1298.83
acres of industrial land plus 0 acres of standard factories, while the preferred pur-
chase solution for standard factory is 0 acres of industrial land plus 116.80 acres
of standard factories. By trading submerged resource in the reservoir area plus
non-submerged resources (land requisition comprehensive area price) for indus-
trial land, the preferred purchase solution for industrial land is 3,827.03 acres of
industrial land plus 0 acres of standard factories, while the preferred purchase
solution for standard factory is 0 acres of industrial land plus 344.15 acres of
standard factories. 2) The submerged resources (land requisition comprehensive

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 423–445, 2025.
https://doi.org/10.1007/978-981-97-9184-2_36
424 S. Chen et al.

area price) and non-submerged resources (land transfer and custody price) in the
reservoir area can be purchased with 115.03 to 122.02 mu of standard factories.
The per capita annual rental income in the base year is 5879.02 to 6236.27 yuan,
and the per capita annual rental income in the planning year is 5991.81 to 6355.91
yuan. The submerged resources and non-submerged resources (land requisition
comprehensive area price) in the reservoir area can be purchased with 338.93 to
359.52 mu of standard factories. The per capita annual rental income in the base
year is 173,222.3 to 183,744.5 yuan, and the per capita annual rental income in
the planning year is 176,545.7 to 187,270.8 yuan. Accordingly, whether using
the calculation method of submerged resources (land requisition comprehensive
area price) and non-submerged resources (land transfer and custody price) or sub-
merged resources and non-submerged resources (land requisition comprehensive
area price), the per capita rental income of immigrants exceeds the per capita
agricultural net income of immigrants from the base year to the planning year.
Therefore, the enclave economic model has a great promoting effect on the future
production recovery and development of immigrants and can fully ensure the
improvement of their production income level and sustainable development after
resettlement.

Keywords: Reservoir project · Rural immigrant · Urbanization Resettlement ·

Enclave economic model · Resettlement effects analysis

1 Introduction

The era of socialism with Chinese characteristics and the century-long unprecedented
changes in the world are intertwined and mutually stimulating. With the coordinated
promotion of the strategic deployment of achieving carbon peaks and carbon neutrality
and the overall layout of ecological civilization construction, the national policy dividend
is favorable to hydroelectric power development, and hydroelectric energy development
presents huge advantages and development prospects. A reservoir is a key supporting
facility and storage medium for hydropower development projects, with significant eco-
logical and environmental characteristics. So far, China has built a total of more than
98,000 reservoirs, with over 80% of them being medium-sized and small reservoirs con-
structed before the reform and opening-up policy was implemented (Yao, 2020). The
“13th Five-Year Plan” proposed that large hydropower projects should be developed
in an orderly manner, and that the construction of pumped-storage hydroelectric reser-
voirs should be vigorously promoted, while the development of small and medium-sized
hydropower projects should be controlled (Wang & Hu, 2011). The “14th Five-Year Plan”
and the “2035 Vision Plan” approved by the 19th CPC Central Committee put forward
clear requirements for enhancing the functions of major water conservancy projects.
The value of multipurpose reservoirs has been validated in practice in many countries
around the world, as the World Commission on Dams has estimated that one-third of
the world’s large dams have multipurpose functions (Wilmsen, 2016). Therefore, driven
by the demand for hydroelectric energy and the trend of hydroelectric construction,
China’s water conservancy and hydropower construction has entered the “second half”
 Research on Urbanization Resettlement of Reservoir Projects 425

and entered the “fast lane” of development. However, at present, hydropower devel-
opment is constrained by non-engineering technical issues, especially the resettlement
and relocation activities caused by the submergence of reservoirs have become one of
the most concerned issues (E, 2021; Fan, Lu, Zhang, & Li, 2020). As academician Wu
Liangyong remarked on the construction of the Three Gorges Project, the resettlement
of reservoir residents entails not only population relocation but also the intricate pro-
cess of “constructing living environments” and facilitating “urbanization development”
post-relocation, making it a complex “social and cultural project"(Wu & Zhao, 1997).
Based on this, it is evident that the development of various parts in the reservoir area is
contingent upon regional development, and the resettlement of the reservoir serves as
not only a mechanism for immigrants but also a comprehensive framework encompass-
ing both immigrants and the intricate social structure elements within their respective
regions.
There are various types of reservoir resettlement, and various resettlement methods
are intertwined. Since the main body of reservoir relocatees in China are farmers, more
than 90% of the total relocatees are rural migrants (Jia & Shi, 2012). Therefore, for a
long time, the majority of reservoir migrants in China have been settled through a com-
bination of agricultural resettlement and other resettlement methods. In this resettlement
model, land plays an important role, which maximizes the continuation of the production
and lifestyle of rural migrants and provides them with the maximum survival and psy-
chological assurance (Zheng, Zhang, & Shi, 2011). However, agricultural resettlement
is becoming increasingly difficult due to social economic and natural environmental
conditions, as evidenced by the following two points: First, the cultivated land resource
is becoming increasingly scarce, with the actual area continuously shrinking and the
overall quality of the land being low and showing a downward trend. Second, the coun-
tryside is already facing a lot of pressure from labor migration, and further agricultural
resettlement will not help alleviate the pressure, but will only exacerbate the hidden
employment problems in the primary sector (Rozelle, Guo, & Shen, 1999; Banister &
Taylor, 1989; Cai, 2002; Solinger, 1999; North, 1990; Vendryes, 2011; Cai, 1995). The
dramatic changes in social and economic environments have led to the fact that agricul-
tural resettlement can no longer meet the diverse development needs of reservoir rural
migrants (Yang, 2004; Du & Li, 2016), and is also not conducive to the development of
the national urbanization strategy (Zheng, Zhang, & Shi, 2011). In this context, with the
vigorous promotion of new-type urbanization in China, it is worth exploring how to seize
this historical opportunity and integrate the resettlement of rural migrants from reser-
voir projects into the process of new-type urbanization, which not only helps break the
constraints of the current resettlement method mainly focused on agricultural settlement
for reservoir migrants, but also promotes the development of new-type urbanization.

2 Conceptual Definition and Analysis Framework

2.1 Conceptual Definition
China has a history of resettling reservoir migrants through urbanization for decades,
dating back to the Three Gorges Dam project in the 1960s. Under the planned economy
system, the government resettled migrants by converting a large number of farmers into
426 S. Chen et al.

non-farmers and established the city of Sanmenxia. Since then, some reservoir projects
have begun to adopt urbanization resettlement methods, and some of them have had
unsatisfactory results, such as the Qingjiang Geheyan Reservoir immigrants in Hubei
Province (Sun, 2014). While others have achieved better results, such as the Qingshan
Zui Reservoir immigrants in Yunnan Province. Overall, despite some efforts, the reset-
tlement of rural migrants from reservoir areas in terms of both theory and practice is still
in the exploration stage at present. On the theoretical level, urbanization resettlement
is more complex than agricultural resettlement, which requires not only consideration
of hard constraints such as land availability and infrastructure, but also attention to soft
constraints such as labor absorption capacity and industrial development. Meanwhile, in
the context of new urbanization, the two processes of urbanization resettlement cannot
be separated from each other. The first process is the process of moving to the city,
and the second process is the process of integrating into urban life. Only by completing
these two processes can urbanization resettlement be considered successful. Agricultural
resettlement does not need to consider the second process. These factors have increased
the difficulty of theoretical research. On the operational level, the current policy and tech-
nical documents guiding water conservancy and hydropower engineering resettlement
primarily focus on agricultural resettlement, with no detailed requirements for urban
resettlement. This has resulted in a lack of policy basis and technical support for urban
resettlement in various places when implemented. Additionally, in the “Acceptance Cri-
teria for Resettlement of Water Conservancy and Hydropower Projects (SL682–2014)”
issued in 2015, only the first stage of urban and rural settlement was required, with-
out considering the subsequent integration into urban life, which may lead to residual
problems in urbanization resettlement and affect social stability.
From the perspective of living and production resettlement, resettlement of reservoir
migrants is divided into two categories: agricultural resettlement and non-agricultural
resettlement. The latter can also be called urbanization resettlement, which is a type
of resettlement associated with urbanization. Urbanization, itself is a multidimensional
and complex evolutionary process (Jedwab & Vollrath, 2015; Friedmann, 2006), but at
its core, as pointed out by Wirth, a representative figure of the Chicago School (Wirth,
1938), it is a transformation of production and lifestyle, as well as the migration of rural
populations to urban areas. The close link between urbanization and population and
industrial concentration indicates that urbanization relocation is not feasible in societies
with restricted population mobility and agricultural-based economies. Therefore, before
the reform and opening-up of China, due to the low level of urbanization rate, very little
urbanization resettlement was carried out for reservoir migrants. After the reform and
opening-up, with the construction of the Three Gorges Project as an opportunity, urban-
ization resettlement began to appear in the resettlement planning for migrants. A group
of literature (Zhu, 1996; Han, 1997; Yang, 1995; Gu & Zhang, 1992) that studied the
urban resettlement of reservoir migrants in China earlier believed that urban resettlement
refers to the transfer of agricultural employment to secondary and tertiary industries by
resettling rural migrants into existing cities. The limitation of this concept lies in equating
rural resettlement with urban employment for rural migrants, while ignoring the insti-
tutional factors that influence the transformation of agricultural population in the dual
urban-rural structure, and failing to clarify the relationship between rural resettlement
 Research on Urbanization Resettlement of Reservoir Projects 427

and urbanization development. Based on this, this paper believes that the urbanization
resettlement of reservoir migrants refers to the transfer of rural migrants to towns for
production and living settlement through a combination of social, economic, legal, and
administrative measures, within the premise of not exceeding the population carrying
capacity of the resettlement area’s towns, with the focus on solving the re-employment
of agricultural population in the second and third industries, and with the guarantee of
a reasonable institutional arrangement.

2.2 Analysis Framework

The resettlement of reservoir migrants in urban areas is an inevitable result of the increas-
ing scarcity of land resources and the trend of urbanization in China. Urbanization is
not equivalent to a simple increase in the proportion of urban population. On the sur-
face, it manifests as the migration of rural population to urban areas, while in essence,
it reflects a living space centered on non-agricultural employment, and its essence is
the geographical expansion of urban lifestyles and urban civilization. The urban reset-
tlement of reservoir migrants is a breakthrough and innovation of the long-standing
agricultural resettlement method. Its goal is consistent with urbanization, which aims
to complete the transformation of rural migrants in terms of production and lifestyle.
From agricultural resettlement to urbanization resettlement, the basic elements are the
same, but because of the transformation of production and lifestyle and the different
needs for resource allocation, these basic elements will change. The paper provides a
comprehensive overview of the key factors influencing urbanization resettlement and
establishes an analytical framework for rural resettlement in reservoir projects. Within
this framework, living resettlement is considered foundational, production resettlement
is deemed central, and institutional arrangement is regarded as essential.
Reservoir rural migrants are a group of people who lose their land, houses and
other property due to the construction of infrastructure projects, and then rebuild their
production and living systems with the help of external forces. Before urbanization relo-
cation, they were rural residents. When land expropriation and demolition occur, the
land, houses, social relationships, and collective assets that they used to rely on for their
production and livelihood gradually disappear. After relocating into the city, with the
support of national compensation and subsidy policies, the migrants’ production and
living conditions gradually returned to normal. In this process of loss and gain, the basic
elements affecting the resettlement of migrants, whether through agricultural resettle-
ment or urbanization resettlement, are consistent. Of course, the specific composition of
each element will change due to the different needs of migrants. Broadly speaking, from
the perspective of meeting the needs of migrants for settlement and production, the basic
elements of reservoir migration urbanization settlement include the following six aspects
of infrastructure and public facilities, Residential, Means of production and livelihood,
basic public services, social security, and community management and service (Zhang,
2013; Zhou, 2017).
Given the characteristics of urbanization resettlement for reservoir migrants, the
basic elements of urbanization resettlement are actually influenced by key factors such as
production resettlement, living resettlement, and institutional arrangement. The primary
issue in urbanization resettlement is living resettlement. When migrants move from
428 S. Chen et al.

rural areas to urban areas, it is crucial to provide them with a stable living space in the
resettlement area so that they can adapt to their new life in the resettlement area and
achieve the goal of settling down and becoming wealthy. And after the resettlement, how
to reasonably plan the production resettlement to restore and surpass the immigrants’
income sources before the relocation has always been the core issue of resettlement. The
failure of livelihood recovery and reconstruction can lead to impoverished immigrant
lives, triggering various conflicts and inharmonious phenomena and thus producing a
series of social problems (Shi, Yan, & Sun, 2015; Zhao, Xiao, & Duan, 2018). From
the perspective of implementation, whether the production and living resettlement for
immigrants can be implemented smoothly, whether there are corresponding policies to
help them better adapt to the city after resettlement, and a series of other related issues
ultimately require a suitable institutional arrangement to ensure their implementation.
Institutional arrangements can establish a stable structure for people’s interactions and
reduce uncertainty by providing rules for daily life, both formal and informal. Therefore,
appropriate institutional arrangements mean that the risk of immigrant settlement can
be reduced.
Based on the above analysis, this paper constructs an analytical framework for rural
resettlement of reservoir project migrants, which consists of “production resettlement-
living resettlement-institutional arrangement”, as shown in Fig. 1. Among them, living
resettlement is the prerequisite for urbanization resettlement, production resettlement is
the core issue of urbanization resettlement, and institutional arrangement is the guar-
antee for urbanization resettlement. Therefore, the focus should be on the core issue of
production resettlement, which refers to a state of employment that is fully transitioned
from agricultural to non-agricultural modes, and the livelihood model of immigrants
will complete the transition from the first to the second and third industries. In this
model, the following features are primarily included: (1) The dependence of produc-
tion activities on natural capital is decreasing, while the impact of social and economic
factors on employment is increasing. (2) The demand for human capital is increasing,
and the social division of labor within the family is becoming more distinct. (3) The
sources of income are becoming increasingly narrow. (4) The relative non-overlapping
of production activities and living spaces in terms of geographical location.
However, there is currently a lack of official national statistics on the urbanization
resettlement rural migrants in the reservoir area. This article can depict the current sit-
uation and existing problems of production resettlement of reservoir migrants in the
context of urbanization through a survey and analysis of representative reservoirs such
as the Three Gorges Project, Xiangjiaba Hydropower Station, and Yunnan Qingshanzui
Reservoir. Firstly, there is a lack of relevant policies to support immigrants in secur-
ing non-agricultural employment. There is a lack of guiding documents at the national
level for reservoir urbanization resettlement and the post-support policy also pays little
attention to the employment support for reservoir urbanization resettlement migrants
who have settled in urban areas. Preferential employment policies for general rural
migrants do not benefit those who have been resettled as non-agricultural residents, and
the current resettlement policy is seriously outdated and cannot meet the needs of urban
resettlement. Secondly, the reservoir migrants themselves are not well-equipped to find
non-agricultural employment opportunities. The overall quality of immigrant labor is
 Research on Urbanization Resettlement of Reservoir Projects 429

generally lower, especially for middle-aged and older immigrants who are not compet-
itive in the job market. Immigrants lack the ability to collect and analyze employment
information, and tend to blindly seek job opportunities in big cities. Finally, the lack
of effective employment support programs limits the re-employment of immigrants in
urban areas. The resettlement planning for reservoir relocation lacks specific measures
in terms of industry and employment, especially in urban relocation, where the related
content is even more vague and empty. There are also no corresponding policy require-
ments and design specifications at the central and local levels. Detailed industrial and
employment plans are usually drawn up after relocation, but the problem is that migrants’
demand for employment is immediate upon entering the town, rather than delayed. Once
they have been settled, they need to immediately find employment to ensure the sustain-
ability of their livelihood, while the current industrial and employment plans are clearly
lagging behind. Furthermore, the most important aspect of traditional urbanization reset-
tlement is that it is landless relocation. Residents of reservoir areas give up their land
use rights, receive equal-value financial compensation in a lump sum, and are responsi-
ble for solving their subsequent livelihood problems on their own. Generally speaking,
this resettlement method carries risks and is not sustainable. Therefore, in order to effec-
tively solve the resettlement problem, safeguard the interests and long-term development
of migrants, and promote regional urbanization and economic development, this paper
attempts to propose an enclave economic model in areas where the second and third
industries are relatively developed. This model refers to the purchase of industrial park
standard factories in economically strong towns across township enclaves by calculating
the total value of land resources in the immigrant reservoir area, and set up or rely on the
relevant rural stock economic cooperatives to operate and manage them, through renting
to achieve sustainable income increase of immigrant groups.

3 Materials and Methods

3.1 Case Introduction and Data Source
The “NA” Reservoir is the leading project proposed for the management of the Nanxi
River in Zhejiang Province in several river basin plans. It holds a position of utmost
importance in the governance of the river basin system and was included in the national
“172” major project list in May 2014. Currently, it is still undergoing deep research and
preliminary work processes. The “NA” reservoir is planned primarily for flood control
and water supply, with the integration of tourism development to improve the overall
utilization of the Nanxi River water environment. The reservoir controls a watershed
area of 311.9m2 , representing 27.3% of the total catchment area above Shizhu. The total
storage capacity of the reservoir is 36,331 million cubic meters, with a normal storage
capacity of 29,220 million cubic meters and a flood control capacity of 9,634 million
cubic meters. After the completion of the “NA” reservoir, implementing the scheduled
staggered flood discharge can enhance the flood control capacity of Xikou and Lixi from
less than a 10-year occurrence to a 20-year occurrence. It can also alleviate the flood
pressure on Yantou and Shatou, reducing the 20-year peak flow to 1080m3 /s. In the
event of typical historical major floods, such as those in 1960, 1962, 1965, and 1982, the
reduction of flood peaks at the Shatou control section upstream of the county town is
430 S. Chen et al.

Fig. 1. Analysis framework for rural migrants’ urbanization in reservoir projects

significant (Fang, Qiu, & Dai, 2022). The construction project involves land acquisition
in two townships and 17 administrative villages in T County, with a total land area of
878.83 hectares (Zhou & Gu, 2015). The data presented in this article are sourced from
the research report on the resettlement policy for urbanization resulting from the “NA”
Reservoir immigration in T County.

3.2 Research Methods

3.2.1 Calculation of Production Resettlement Population
When calculating the population to be accommodated by production, this paper employs
a standard method that involves identifying the types of land resources, including cul-
tivated land, forest land, and garden land. During the field investigation, it was found
that the cultivated land and garden land in County T were different, but their land use
was essentially similar, with almost identical crops being planted. Therefore, for the
purpose of categorizing land resources, cultivated and garden lands were combined for
calculation. However, there is a clear disparity in the per-acre yield between forested
 Research on Urbanization Resettlement of Reservoir Projects 431

and cultivated land. Therefore, separate calculations are required when determining the
population to be resettled for production purposes (Zhang, Liu, & Zhu, 2017).
First, the calculation of production resettlement population in pure agricultural or
forestry zones. For pure agricultural or forestry areas, the calculation of the production
resettlement population is based on the remaining cultivated land or forest land after
reservoir inundation.
The calculation formula is as follows:
Q
P=R− (1)
r

In the formula: P represents the production resettlement population; R represents the

original resident population of the calculation unit; Q represents the remaining cultivated
or forest land area; r represents the average cultivated or forest land area per person.
Secondly, the calculation of production resettlement population in integrated agri-
cultural and forestry zones. The income from agriculture and forestry differs, thus it
is necessary to calculate the ratio between agricultural and forestry income in order to
determine a consistent dimension for calculation using the same standard. Based on the
ratio of income categories, forest land is converted into a certain amount of cultivated
land and then calculated based on the quantity of cultivated land.
The calculation formula is as follows:
Pm Sg
D= (2)
Pz Sm

In the formula: D represents the equivalent area of forest land converted into cultivated
land;Pm represents the income from forest land;Sg represents the cultivated land area;Pz
represents the income from cultivated land;Sm represents the area of forest land.

Sd = Sg + Sm D (3)

In the formula: Sd represents the actual total equivalent cultivated land area in the sub-
merged region; Sg represents the cultivated land area; Sm represents the forest land
area;
D represents the equivalent cultivated land area of the forest.

Sy = Sgy + Smy (4)

In the formula: Sy represents the total equivalent cultivated land submerged by the reser-
voir; Sgy represents the area of submerged cultivated land; Smy represents the area of
submerged forest land.
Sd
Sr = (5)
R

In the formula: Sr represents the per capita equivalent cultivated land in the submerged
region; Sd represents the actual total equivalent cultivated land area in the submerged
432 S. Chen et al.

region; R represents the original resident population of the calculation unit.

Sy
Ra = (6)
Sr

In the formula: Ra represents the calculation of production resettlement population based

on the equivalent cultivated land submerged affected by the reservoir; Sy represents the
total equivalent cultivated land submerged by the reservoir; Sr represents the per capita
equivalent cultivated land in the submerged region.
However, formula 6 only considers the loss of resources and does not consider the
impact of remaining resources on the production and living standards of non-productive
production resettlement population. Therefore, when calculating the production resettle-
ment population, it is necessary to consider the environmental capacity of the remaining
resources.
The calculation formula is as follows:
Ss = Sg − Sgy + (Sm + Smy ) D (7)

In the formula: Ss represents the total equivalent cultivated land area remaining after the
reservoir is submerged; Sg represents the cultivated land area; Sgy represents the area of
submerged cultivated land; Sm represents the area of forest land; Smy represents the area
of submerged forest land; D represents the equivalent cultivated land area of the forest.
Ss
Rs = (8)
Sr

In the formula: Rs represents the remaining environmental capacity; Ss represents the

total equivalent cultivated land area remaining after the reservoir is submerged; Sr
represents the per capita equivalent cultivated land in the submerged region.
Ra = R − RS (9)

In addition, formula 9 only takes into account the production resettlement population in
the base year, without considering the lengthy resettlement period for reservoir migrants
and their natural population growth. Therefore, the formula for calculating the actual
production resettlement population in the planning year is as follows:
P = Ra (1 + j)l (10)

In the formula: P represents the production resettlement population in the planning

year; j represents the natural population growth rate; l represents the number of years
spanned from the base year to the planning year.

3.2.2 Assessment of Land Resources in the Reservoir Area

Based on the inundation line involved in the reservoir project, this paper categorizes
the land resources in the reservoir area into two types: submerged resources and non-
submerged resources. The submerged resources in the reservoir area are calculated based
 Research on Urbanization Resettlement of Reservoir Projects 433

on the land requisition comprehensive area price, while the non-submerged resources in
the reservoir area are calculated using either the land transfer and custody price or land
requisition comprehensive area price. The land transfer and custody price ncludes the
following two methods: land trust transfer and public welfare forest custody. The land
trust transfer system generally refers to the establishment of a land trust service center at
the township level by the government, where farmers’ wishes are fully respected. This
involves entrusting the non-submerged resources to be managed and operated by the
government-established land trust service center. The farmers entrust their right to oper-
ate and contract the land to this center. The government manages the land through land
trust contracts with farmers, while agricultural companies or large-scale farmers engage
in leasing land from the Land Trust Service Center to achieve large-scale agricultural
cultivation. The public welfare forest custody involves the collective ownership and use
rights (including contractual rights) of the forested non-submerged resources thorough
negotiations with the municipal or county government. This process delineates the scope
of public welfare forests. After obtaining approval for the construction of national and
provincial public welfare forests, both parties sign an agreement on the protection of
public welfare forests. The government is responsible for managing the public welfare
forests and provides regular subsidies to the owners and users of these forests.
Based on the land requisition comprehensive area price, the calculation formula for
assessing the value of land resources in the reservoir area is as follows:
n
P= Si × Ti (11)
i

In the formula: P represents the total value of the affected village’s land resources; Si
represents the area of different types of land resources in the affected village; Ti repre-
sents the land requisition comprehensive area price of different types of land resources
in the affected village.
Based on the land transfer and custody price, the calculation formula for assessing
the value of land resources in the reservoir area is as follows:
n
P= Si × Mi (1 + r)N (12)
i

In the formula: P represents the total value of the affected village’s land resources;
Si represents the area of different types of land resources in the affected village; Mi
represents the land transfer and custody price of different types of land resources in
the affected village; r represents the annual growth rate; N represents the remaining
land contract management period when different types of land resources in the affected
village are requisitioned.

3.2.3 Purchase of Factory in Enclave of Resettlement Area

Based on the benchmark land price for industrial land of different grades in the reset-
tlement area, the formula for calculating the area of purchase industrial land is as
follows:

S = P Vi (13)
434 S. Chen et al.

In the formula: S represents the industrial land area in the resettlement area; P represents
the total value of the land resources affected in the village; Vi represents the benchmark
land price of industrial land of different grades in the resettlement area.
Based on the benchmark land price for industrial land of different grades in the reset-
tlement area and the construction cost of standard factories, the formula for calculating
the area (including land) of purchase standard factory is as follows:
P
T= (14)
(Vi + M)

In the formula: T represents the standard factory building area (including land) in the
resettlement are; P represents the total value of land resources in affected villages; Vi
represents the benchmark land price of different levels of industrial land in the reset-
tlement area; M represents the construction and installation cost of the standard factory
building in the resettlement area.

3.2.4 Calculation of Resettlement Effectiveness

For the convenience of analysis, this article mainly determines the annual rental income
of standard factory buildings per unit area in the resettlement area by analyzing the
statistical yearbooks of each township in the resettlement area for many years and con-
ducting on-site investigations. Using this rental income as the benchmark, the annual
rental income of standard factory buildings after the benchmark year is determined by
considering the annual growth rate. The calculation method is shown in the formula:

T × V(1 + r)h
Fh = (15)
Rh

In the formula: Fh represents the per capita rental income of immigrants in the hth year
after the base year; T represents the the standard factory building area (including land)
in the resettlement area; V represents the annual rental income per unit area of standard
factory buildings; r represents the annual growth rate; Rh represents the production
resettlement population in the hth year after the base year.
For the convenience of analysis, this article mainly determines the annual per capita
agricultural net income in the reservoir area by analyzing the statistical yearbooks of each
township in the resettlement area for many years and conducting on-site investigations.
Using this agricultural net income as the benchmark, the annual per capita agricultural
net income after the benchmark year is determined by considering the annual growth
rate.
The calculation method is shown in the formula:

bh = b0 × (1 + a)h (16)

In the formula: bh represents the per capita agricultural net income in the hth year after
the base year; b0 represents the per capita agricultural net income of the base year; a
represents the growth rate of per capita net income.
 Research on Urbanization Resettlement of Reservoir Projects 435

4 Results

4.1 Calculation of Production Resettlement Population

According to the survey, the resettlement of “NA” reservoir immigrants involves a total
of 8 administrative villages, divided into two types: whole village relocation and par-
tial relocation. Among them, the affected villages of whole village relocation involve
6 administrative villages. When calculating the resettlement population for the “NA”
reservoir project, two situations were considered: the first is land directly submerged
by the reservoir, and the second is land indirectly affected by the reservoir. This project
takes 2023 as the base year and 2028 as the planning level year, with a natural population
growth rate of 4.6%. According to the physical survey indicators, the land resources in
the “NA” reservoir area mainly involve two categories: cultivated land and forest land.
The specific submerged and non-submerged areas of cultivated and forest land are shown
in Table 1. After calculating from formula 1 to 10, the base year production resettle-
ment population of Zhejiang “NA” reservoir is 4432 people, and the planning y year
production resettlement population is 5550 people.

Table 1. Summary of land resources area in the reservoir area (Unit: mu)

Town Administrative Submerged resources Non-submerged resources

village Cultivated land Forest land Cultivated land Forest land
Town 1 Village 1 39.41 799.46 174.64 5241.64
Village 2 106.53 754.35 457.32 1249.50
Town 2 Village 3 187.94 1348.89 246.01 4916.16
Village 4 217.95 1045.96 162.90 1908.29
Village 5 153.85 632.27 167.00 2447.83
Village 6 110.192 158.37 440.61 1991.83
Village 7 20.79 622.08 1245.21 9224.07
Village 8 218.16 777.67 740.19 9187.13
Total 1054.82 6139.05 3633.88 36166.05

4.2 Accounting of Land Resources in the Reservoir Area

According to the investigation, the non-submerged resources of the affected villages of

the “NA” reservoir are handed over to the village’s joint-stock economic cooperative
for operation, while residents who have relocated to the resettlement area can still enjoy
the same rights and interests as those who have not relocated. Therefore, this paper
primarily calculates the land resources of villages impacted by whole village relocation
and the submerged land resources of villages impacted by partial village relocation.
Among them, submerged resources in the reservoir area are calculated based on the
436 S. Chen et al.

land requisition comprehensive area price, while non-submerged resource are calculated
based on the land transfer and custody price or land requisition comprehensive area price.
From Table 1, the submerged cultivated land area of the “NA” reservoir area is
1054.82 mu, and the forest area is 6139.05 mu; the non-submerged cultivated land area
of the “NA” reservoir area is 1931.35 mu, and the forest area is 25692.48 mu. According
to the comprehensive land price of T County’s land acquisition area in 2023, cultivated
land is priced at 5.8 ten thousand yuan/mu, and forest land is priced at 3.5 ten thousand
yuan/mu. 1) The total value of submerged resources in the reservoir area (land requisition
comprehensive area price) is calculated by formula 11: the value of submerged cultivated
land is 6117.96 ten thousand yuan, the value of submerged forest land is 21486.68 ten
thousand yuan and the total value of offline resources is 27604.64 ten thousand yuan.
2) The total value of non-submerged resources in the reservoir area (land transfer and
custody price/land requisition comprehensive area price). Firstly, calculate based on the
and transfer and custody price. According to the survey, the local cultivated land trans-
fer price in T County in 2023 is 1200 yuan /mu· year. And the second round of land
contracting for the administrative village involved in the project took place in 1999,
with about 8 years remaining for the remaining contracting period. However, accord-
ing to the relevant provisions of the Rural Land Contracting Law, rural land belongs to
the collective ownership of farmers in accordance with the law. Unless expropriated by
the state, its ownership permanently belongs to the rural collective economic organiza-
tion. Therefore, for the calculation of cultivated land transfer prices, the annual limit is
50 years. In addition, the local land transfer prices have increased by a certain amount
every year. In order to simplify the calculation, this article uses the discount rate to
offset the land transfer prices. The discounted total value of 50 years of non-submerged
cultivated land transfer is 11588.10 ten thousand yuan by formula 12. And the national
subsidy for local ecological public welfare forests in T County in 2023 is 35 yuan/mu ·
year, for the sake of simplicity in calculation, this article does not consider the impact of
subsidy price growth and discount rate. The total amount of non-submerged forest land
subsidy for 50 years is 4496.18 ten thousand yuan. Therefore, calculated based on the
transfer and custody price, the total value of non-submerged resources is 16084.28 ten
thousand yuan. Secondly, calculated based on the land requisition comprehensive area
price. According to formula 11, the non-submerged cultivated land value is 11201.83 ten
thousand yuan, the non-submerged forest land value is 89923.68 ten thousand yuan, and
the total non-submerged resource value is 101125.51ten thousand yuan. In summary,
the total value of submerged resources (land requisition comprehensive area price) and
non-submerged resources (land transfer and custody price) in the reservoir area land
resources is 43688.92 ten thousand yuan. The total value of submerged resources and
non-submerged resources (land requisition comprehensive area price) in the reservoir
area land resources is 128730.15 ten thousand yuan.

4.3 Factory in Enclave of Resettlement Area

According to the 2023 benchmark land price list in T County, the average benchmark
land price for industrial land of different grades in three townships, Town 1, Town 2, and
Town 3, is calculated by formula 13. Using the submerged resource (land requisition
comprehensive area price) and non-submerged resource (land transfer and custody price)
 Research on Urbanization Resettlement of Reservoir Projects 437

method, Class I, Class II and Class III industrial land that can be purchased are 1112.13
mu, 1298.83 mu and 2460.49 mu respectively. Using the submerged resource and non-
submerged resource (land requisition comprehensive area price) method, Class I, Class
II and Class III industrial land that can be purchased are 3276.90, 3827.03, and 7249.87
mu, as shown in Table 2.
According to the investigation, the construction and installation cost of local standard
factories in T County in 2023 is around 2200 yuan/m2 . The volume ratio of industrial
land in the local industrial development zone is generally around 2.32. Therefore, the
construction cost per mu of standard factory building on 1 mu of industrial land is
approximately 340.27 ten thousand yuan. Due to the fact that the per-mu investment
of standard factory buildings is the sum of construction costs and land transfer fees,
considering the benchmark land prices for industrial land of different grades in the
resettlement area, calculated by formula 14, the average value is adopted. The method
of submerged resources (land requisition comprehensive area price) and non-submerged
resources (land transfer and custody price): the land resources in the reservoir area can
be purchased with a minimum of 115.03 mu and a maximum of 122.02mu of standard
factory buildings (including land) in the resettlement area; the method of submerged
resources and snon-ubmerged resources (land requisition comprehensive area price):
the land resources in the reservoir area can be purchased with a minimum of 338.93 mu
and a maximum of 359.52 mu of standard factories (including land) in the resettlement
area (Table 3).

Table 2. Area of purchase industrial land of different grades in resettlement areas

Purchase Immigrant assets Region Purchase area

plan Accounting type Amount (in Minimum Average Maximum
ten thousand (mu) (mu) (mu)
yuan)
Purchase Submerged 43688.92 Town 1 1129.88 1191.51 2520.50
plan 1 resource (land Town 2 1213.58 1394.32 2520.50
requisition
comprehensive Town 3 992.93 1310.66 2340.47
area price) and Average 1112.13 1298.83 2460.49
non-submerged
resource (land
transfer and
custody price)
Purchase Submerged 128730.15 Town 1 3329.21 3510.80 7426.70
plan 2 resource and Town 2 3575.82 4108.39 7426.70
non-submerged
resource (land Town 3 2925.67 3861.89 6896.22
requisition Average 3276.90 3827.03 7249.87
comprehensive
area price)
438 S. Chen et al.

Table 3. Area (including land) of purchase standard factory buildings in resettlement areas

Purchase Immigrant assets Region Purchase area

plan Accounting type Amount (in Minimum Average Maximum
ten thousand (mu) (mu) (mu)
yuan)
Purchase Submerged 43688.92 Town 1 115.29 115.90 122.17
plan 1 resource (land Town 2 116.11 117.56 122.17
requisition
comprehensive Town 3 113.69 116.93 121.71
area price) and Average 115.03 116.80 122.02
non-submerged
resource (land
transfer and
custody price)
Purchase Submerged 128730.15 Town 1 339.70 341.50 359.97
plan 2 resource and Town 2 342.11 346.40 359.97
non-submerged
resource (land Town 3 334.98 344.55 358.63
requisition Average 338.93 344.15 359.52
comprehensive
area price)

4.4 Calculation of Resettlement Effectiveness

According to the 2022 T County National Economic and Social Development Statistical
Bulletin, the industrial structure of the resettlement area is 3.7:44.3:52.0, with the focus
on the secondary and tertiary industries, and residents mainly earning income from these
industries. Furthermore, due to the geographical situation of “eight mountains, one river,
and one field” in T County, land resources are scarce and land prices are high, resulting
in an overall shortage of factory buildings. According to the survey, the rental price of
local standard factories in County T in 2023 is 28.3 yuan/m2 ·month, with a rental growth
rate of 5%.
According to formula 15, the calculation of per capita annual rental income for
immigrants using the method of submerged resources (land requisition comprehensive
area price) and non-submerged resources (land transfer and custody price) is as follows:
for the base year (2023), the range of per capita annual rental income for immigrants is
5879.02 to 6236.27 yuan; for the planning year (2028), the range of per capita annual
rental income for immigrants is 5991.81 to 6355.91 yuan. The calculation of per capita
annual rental income for immigrants using the method of submerged resources (land
requisition comprehensive area price) and non-submerged resourcess (land requisition
comprehensive area price) is as follows: for the base year (2023), the range of per capita
annual rental income for immigrants is 17322.23 to 18374.55 yuan; for the planning
 Research on Urbanization Resettlement of Reservoir Projects 439

year (2028), the range of per capita annual rental income for immigrants is 17654.57 to
18727.08 yuan, as shown in Table 4 below.
According to the outline of the 14th Five-Year Plan for National Economic and
Social Development of T County, and combined with field investigations, the average
annual growth rate of per capita net income for local immigrants is 8%, while the
average annual growth rate of per capita net income from agriculture is 4.74%. Based
on formula 16, in the base year, the per capita net income for immigrants was 12,284.25
yuan, with agriculture accounting for 36.34% at 4,463.78 yuan; at the planning year, the
per capita net income for immigrants is projected to be 18,049.38 yuan, with agriculture
accounting for 29.42% at 5,909.98yuan as shown in Table 5 below. Through comparative
analysis between Table 4 and Table 5 it can be observed that regardless of whether
submerged resources (land requisition comprehensive area price) and non-submerged
resources (land transfer and custody price) or submerged resources and non-submerged
resources (land requisition comprehensive area price) are used as calculation methods,
the per capita annual rental income of immigrants exceeds their per capita agricultural
net income from the base year to the planning year.

5 Conclusion and Discussion

This article analyzes the basic elements of resettlement for reservoir immigrants as the
starting point. It delves into three key elements and builds an analytical framework based
on “production resettlement-living resettlement-institutional arrangements”. Based on
this, it focuses on the core issue of production resettlement, and endeavors to propose an
enclave economic model in areas with more developed secondary and tertiary industries.
This model refers to the purchase of industrial park standard factories in economically
strong towns across township enclaves by calculating the total value of land resources
in the immigrant reservoir area, and set up or rely on the relevant rural stock economic
cooperatives to operate and manage them, through renting to achieve sustainable income
increase of immigrant groups. Simultaneously, this model is applied to the “NA” reser-
voir in Zhejiang, calculating the value of land resources in the reservoir area, proposing
specific purchase plans for the resettlement area by cross-township, and analyzing the
effects of immigrant resettlement. The main conclusions are as follows: 1) The base
year production resettlement population of Zhejiang “NA” reservoir is 4432 people,
and the planning year production resettlement population is 5550 people. 2) By trading
submerged resources (land requisition comprehensive area price) in the reservoir area
plus non-submerged resources (land transfer and custody price) for industrial land, the
preferred purchase solution for industrial land is 1298.83 acres of industrial land plus 0
acres of standard factories, while the preferred purchase solution for standard factory is
0 acres of industrial land plus 116.80 acres of standard factories. By trading submerged
resources in the reservoir area plus non-submerged resources (land requisition compre-
hensive area price) for industrial land, the preferred purchase solution for industrial land
is 3,827.03 acres of industrial land plus 0 acres of standard factories, while the preferred
purchase solution for standard factory is 0 acres of industrial land plus 344.15 acres of
standard factories. 3) The submerged resources (land requisition comprehensive area
price) and non-submerged resources (land transfer and custody price) in the reservoir
 440

Table 4. Comparison of rental income under different calculation purchase methods

S. Chen et al.

Purchase plan Standard factory Rental income situation in the base year (2023) Rental income situation in the planning year (2028)
area (mu) Rent per unit Production Total rental Per capita annual Rent per unit Poduction Total rental income Per capita annual
area (yuan/m2 resettlement income (10000 rental income area (yuan/m2 resettlement (10000 yuan/year) rental income
· month) population yuan/year) (yuan/year) · month) population (yuan/year)
(people) (people)
Submerged 115.03~122.02 28.3 4432 2605.58~2763.91 5879.02~6236.27 36.1 5550 3323.46~3527.53 5991.81~6355.91
resource (land
requisition
comprehensive
area price) and
non-submerged
resource (land
transfer and
custody price)
Submerged 338.93~359.52 7677.21~8143.60 17322.23~18374.55 9798.28~10393.53 17654.57~18727.08
resource and
non-submerged
resource (land
requisition
comprehensive
area price)
 Table 5. Comparison of net income of immigrants under different purchase methods

Town Village Per capita Among Among Per capita Among Among
net Agricultural Proportion Secondary Proportion net Agricultural Proportion Secondary Proportion
income in income (%) and tertiary (%) incomein income (%) and tertiary (%)
the base (yuan) industries the (yuan) industries
year income planning income
(2023) (Yuan) year (Yuan)
(2028)
Town Village 1 12208.42 4346.80 35.60 7861.62 64.40 17914.03 5170.69 28.86 12743.34 71.14
1 Village 2 12248.84 4451.22 36.34 7797.62 63.66 17905.27 5294.87 29.57 12610.4 70.43
Village 3 11386.56 4314.80 37.89 7071.76 62.11 16645.84 5132.7 30.83 11513.14 69.17
Village 4 12976.40 4786.36 36.89 8190.04 63.11 18968.92 5693.74 30.02 13275.18 69.98
Village 5 12059.53 4249.78 35.24 7809.75 64.76 18358.74 5057.83 27.55 13300.91 72.45
Town Village 6 13599.53 4980.04 36.62 8619.49 63.38 19817.79 5924.59 29.90 13893.2 70.10
2 Village 7 11864.17 4382.62 36.94 7481.55 63.06 17343.76 5211.80 30.05 12131.96 69.95
Village 8 11930.54 4198.59 35.19 7731.95 64.81 17440.65 4993.89 28.63 12446.76 71.37
Average 12284.25 4463.78 36.34 7820.36 63.66 18049.38 5909.98 29.42 12739.15 70.58
Research on Urbanization Resettlement of Reservoir Projects
441
442 S. Chen et al.

area can be purchased with 115.03 to 122.02 mu of standard factories. The per capita
annual rental income in the base year is 5879.02 to 6236.27 yuan, and the per capita
annual rental income in the planning year is 5991.81 to 6355.91 yuan. The submerged
resources and non-submerged resources (land requisition comprehensive area price) in
the reservoir area can be purchased with 338.93 to 359.52 mu of standard factories. The
per capita annual rental income in the base year is 173,222.3 to 183,744.5 yuan, and the
per capita annual rental income in the planning year is 176,545.7 to 187,270.8 yuan.
Therefore, based on the above analysis, whether using the calculation method of
submerged resources (land requisition comprehensive area price) and non-submerged
resources (land transfer and custody price) or submerged resources and non-submerged
resources (land requisition comprehensive area price), the per capita rental income of
immigrants exceeds the per capita agricultural net income of immigrants from the base
year to the planning year. In addition, before land acquisition, the main source of income
for immigrants came from cultivated land, as well as some wages from working outside.
After land acquisition, the per capita rental income obtained by immigrants can ensure
a stable income without the need for productive expenses and labor output. Due to
the relatively developed industrial economy in the resettlement area, immigrants can
have more opportunities to engage in the secondary and tertiary industries after land
acquisition. This not only expands the sources of income for immigrants in the secondary
and tertiary industries, but also further increases their income, freeing them from the
constraints of land. Therefore, the enclave economic model has a great promoting effect
on the future production recovery and development of immigrants and can fully ensure
the improvement of their production income level and sustainable development after
resettlement.
However, the paper argues that regardless of the chosen resettlement type, immi-
grants’ own perspectives play a decisive role, and ultimately, their opinions should be
respected. Due to variations in immigrant families’ resource endowment and individual
circumstances, not all immigrants are suitable for urbanization. Thus, it is essential to
establish an evaluation index system for assessing the adaptability of migrant groups
following urbanization resettlement. Based on the evaluation results, immigrants with
high, moderate, and low adaptability levels can be identified and provided with sup-
port in various aspects (Chen, Vanclay, & Yu, 2020; Jiang, Wang, & Zhang, 2021).”
Furthermore, the development of reservoir resettlement areas should not solely depend
on external inputs such as hydropower efficiency funds and government support funds,
and should not adopt a “development affected” attitude, as this may further increase
development dependence and regional positioning differentiation. The author suggests
that a portion of the rental income can be derived from the enclave economic model to
establish a connection between the development of resettlement and non-resettlement
areas, thereby enhancing social and economic activities for both immigrants and non-
immigrants within the same administrative unit. Additionally, considering the specific
characteristics of each reservoir’s location, it is essential to pre-plan the industrial devel-
opment mode, pathway, and implementation strategies post-resettlement. This includes
local policy preferences, industrial development promotion, logistics system integration,
as well as gradual incorporation of asset ownership, utilization methods, and manage-
ment plans into official documents. In addition, regular supervision and evaluation by
 Research on Urbanization Resettlement of Reservoir Projects 443

higher-level governments and third-party agencies are necessary to ensure comprehen-

sive sustainable development for migrant groups and resettlement areas (Jiang, 2022;
Li & Sun, 2022; Fang & Zhao, 2023).

Author Contributions. Conceptualization, J.W. and S.C.; data curation, J.W.; formal analy-
sis, J.W. and L.X.; investigation, J.W.; methodology, L.X. and J.S.; project administration, J.W.;
resources, S.C.; software, L.X. and J.S.; supervision, S.C.; validation, J.W.; writing—original
draft, J.W.; writing—review and editing, J.W. and S.C. All authors have read and agreed to the
published version of the manuscript.

Funding. This research was funded by the Key Research Project of the National Foundation of
Social Science of China (Fund No. 21&ZD 183) and the Jiangsu Province Graduate Research and
Practice Innovation Program Project (Project Approval Number: KYCX23:0643).

Institutional Review Board Statement Not applicable.

Informed Consent Statement Informed consent was obtained from all subjects involved in the
study.
Data Availability Statement The original contributions presented in the study are included in
the article, and further inquiries can be directed to the corresponding author.

Conflicts of Interest. The authors declare that the research was conducted in the absence of any
commercial or financial relationships that could be construed as a potential conflict of interest.
Publisher’s note: All claims expressed in this article are solely those of the authors and do not
necessarily represent those of their affiliated organizations or those of the publisher, the editors,
and the reviewers. Any product that may be evaluated in this article, or claim that may be made
by its manufacturer, is not guaranteed or endorsed by the publisher.

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 Multiobjective Operation of Cascade Reservoirs
Considering Different Ecological Flows

Kunhui Hong1 , Aixing Ma2,3(B) , Yin Hu2 , Wei Zhang1 , and Mingxiong Cao2,3
1 College of Harbour Coastal and Offshore Engineering, Hohai University, Nanjing 210098,
China
[email protected]
2 Nanjing Hydraulic Research Institute, Nanjing 210029, China
{axma,huying,mxcao}@nhri.cn
3 Key Laboratory of Port, Waterway & Sedimentation Engineering Ministry of

Communications, Nanjing 210029, China

Abstract. Reservoir scheduling is an important and effective measure to opti-

mize water resource allocation. It effectively mitigates issues such as regional
water scarcity and ecological degradation and plays a crucial role in support-
ing sustainable water resource development. The Yellow River has experienced
severe water scarcity, and the increasing human water demand in recent decades
has significantly reduced the river’s ecological flow, causing significant ecolog-
ical damage. Balancing the benefits of ecological flow, hydropower generation,
and water supply and selecting appropriate ecological flow levels for different
hydrological years is a major challenge for reservoir operators. This paper aims
to integrate ecological flow into reservoir management standards by investigat-
ing the competition and reasonable coexistence between reservoir benefits and
ecology in water-scarce regions. A multiobjective reservoir ecology management
model was proposed to study the effects of different ecological flow levels on
hydropower generation, water supply, and storage. Using the LYX and LJX reser-
voirs as a case study, the results illustrate the applicability and effectiveness of
the model in balancing conflicts among hydropower generation, water supply,
storage, and ecology in multi-objective reservoir management. Under basic eco-
logical flow management, hydropower generation and water supply benefits are
fully met in typical years, with a significant increase in hydropower generation.
Under suitable ecological flow management, hydropower generation and water
supply benefits are met only in abundant water years. Considering the impact
of storage on management, in typical normal and dry years, under suitable flow
management standards, the hydropower generation and water supply guarantee
rate targets are approximately 12.49 billion kWh, 96.71%, and 8.22 billion kWh,
96.71%, respectively, promoting efficient water resource utilization and enhancing
future drought resilience.

Keywords: Yellow River basin · Multiobjective evolutionary algorithm ·

Cascade reservoirs · Ecological flow

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 446–461, 2025.
https://doi.org/10.1007/978-981-97-9184-2_37
 Multiobjective Operation of Cascade Reservoirs … 447

1 Introduction
Rapid urbanization and industrialization have led to water scarcity, which is a major
challenge for regional sustainable development [1]. It is crucial to rationally allocate
water resources in transboundary river basin to improve water use efficiency and reduce
potential conflicts between economic growth and environmental protection [2]. Tradi-
tional reservoir management tends to prioritize economic benefits and often overlooks
ecological and environmental impacts [3]. Therefore, there is a need to further optimize
reservoir operation management. It is essential to ensure the benefits of hydropower gen-
eration while meeting the environmental demands for water supply, ecological flows,
and the social demands for water in residential, industrial, and agricultural uses [4–6].
Water use and allocation in the design, operation, or management of hydraulic projects
can facilitate hydropower generation, flood control, agricultural irrigation, and ice-flood
control [7–9].
Since the beginning of the 21st century, the construction and operation of numerous
reservoir power stations in major river basins in China have led to a general pattern of
joint development and utilization of reservoir groups. While cascade reservoir projects
have brought significant economic benefits, they have also had a negative impact on river
and lake ecosystems, severely altering natural flow patterns. Excessive water extraction
in the Yellow River basin has severely affected the ecological environment. In recent
decades, the water use environment in the Yellow River basin has undergone significant
changes. Frequent irrigation, increased grain demand, and decreased water supply have
created immense pressure. According to Tang et al. [10], climate change is the dominant
factor influencing annual runoff changes in the upper and middle reaches, while human
activities, such as irrigation water use, dominate runoff changes in the lower reaches. The
North China Plain, located in the lower reaches of the Yellow River, is one of China’s
major grain-producing areas and is highly dependent on water resources. Over the past
half century, excessive groundwater extraction and drying have led to a sharp decline in
groundwater levels and increased salinization of the land [11–14].
Since the completion of large-scale irrigation projects in 1969, the Yellow River has
been experiencing frequent flow interruptions due to intense competition between supply
and demand [15, 16]. The irrigation water ratio, which is the ratio of total annual irrigation
water use to annual natural runoff, has increased from 21% to 68% over the past 50 years.
Various engineering and non-engineering measures have been implemented to address
the negative impacts on the ecosystem, with reservoir ecological scheduling being a
prominent non-engineering measure. The objective of reservoir ecological scheduling is
to strike a balance between economic benefits such as hydropower generation, irrigation,
flood control, and navigation, and ecological and environmental protection. By adjusting
reservoir operation methods, it is possible to minimize negative ecological impacts while
maximizing economic benefits. Scientific and rational optimization of reservoir group
scheduling can improve water use efficiency and overall reservoir benefits. At present,
China’s hydropower projects are in a critical transition from construction to management
and operation. Reservoir scheduling tasks have evolved from their original focus on
benefits and harm mitigation to promoting the sustainable development of river basins
and maintaining river health. However, the requirements for realizing reservoir benefits
and protecting river ecology have different operational demands, requiring a balanced
448 K. Hong et al.

approach through optimized reservoir group scheduling. This approach will maximize
the comprehensive benefits of water resources in the basin, and balance water resource
development with socio-economic progress and river ecological protection.
The multiobjective operation of cascade reservoirs is a complex task that typically
involves multiple conflicting objectives, numerous decision variables, and uncertainties
[17, 18]. The multiobjective evolutionary algorithm (MOEA) has been considered an
efficient way to address multiobjective problems. The recently popular MOEA based on
group search has demonstrated excellent practical advantages in finding Pareto optimal
solutions for high-dimensional decision variables and multiple nonlinear objective func-
tions [19, 20]. MOEA is an approach that simulates intergenerational natural selection
and biological evolution to achieve global optimization. According to the different selec-
tion mechanisms, MOEAs can be broadly classified into three groups: Pareto dominance-
based MOEA [21, 22], indicator-based MOEA [23], and decomposition-based MOEA.
The MOEA based on decomposition with a differential evolution operator (MOEA/D
[24]) is considered one of the most efficient algorithms, especially for solving com-
plex multiobjective problems. Therefore, we made efforts to successfully establish a
multiobjective model for LYX and LJX reservoirs based on MOEA/D.
The field of reservoir scheduling models has a rich history, marked by significant
advances since the mid-20th century. In 1953, the U.S. Army Corps of Engineers devel-
oped a joint scheduling model for multiple reservoirs along the Missouri River that
effectively addressed seasonal irrigation, water supply, flood control, and hydropower
generation. Subsequently, researchers have continued to improve reservoir scheduling
optimization methods. Tang et al. [25] integrated cascade stochastic runoff and time
delays into hydropower optimization models, emphasizing the importance of account-
ing for real-world engineering considerations. Rui Hui et al. [26] investigated an optimal
allocation model for total flood storage in parallel reservoirs and successfully applied it
to the Oroville and New Bullards Bar reservoirs, demonstrating its practicality and effec-
tiveness. Moridi et al. [27] developed a mixed-integer linear programming model with
the objective of minimizing flood and hydropower generation losses. When applied to
the Karkheh reservoir system in Iran for 25-year and 50-year flood scenarios, this model
resulted in reduced flood losses and reduced hydropower generation risk, highlighting the
benefits of coordinated operation. Bai et al. [28] used a constraint method to address the
multiobjective optimization scheduling problem of reservoir groups, taking into account
factors such as water supply, hydropower generation, flood control, ice-flood control,
and ecology. They transformed this complex problem into a single-objective problem
for different time periods and tackled it using the POA-DPSA approach. Olofintoye
et al. [29] integrated artificial neural networks with a multiobjective differential evo-
lution model to improve inflow forecasting and real-time multiobjective optimization
scheduling at the Vanderkloof Reservoir in South Africa. This integration resulted in a
significant improvement in scheduling capabilities. Liu et al. [30] applied a sliding sup-
port vector machine to establish optimal spillway operation rules for the Three Gorges
Reservoir. They simplified the multiobjective problem into a single-objective optimiza-
tion using the weighting method and found that the sequence and number of spillways
have a significant impact on the reservoir’s multiobjective benefits.
 Multiobjective Operation of Cascade Reservoirs … 449

Afshar [31] proposed a hybrid autonomous and coordinated search approach using
genetic algorithms to improve the operational efficiency of cascade reservoir groups.
Wang et al. [32] introduced the concept of subjective trade-off rate and proposed an
optimal decision-making method that considers ecological risk for multiobjective opti-
mization of the Three Gorges Reservoir for ecology and hydropower generation. Uen
et al. [33] developed a multiobjective joint optimization model for Taiwan’s Shimen
Reservoir and irrigation pools to maximize hydropower generation and storage, and
achieved satisfactory results using the NSGA-II algorithm. Zhang et al. [35] presented
an improved multiobjective moth-flame optimization algorithm to solve the cascade
reservoir group multiobjective scheduling model, taking into account hydropower gen-
eration, ecology, and navigation, and achieved a well-converged and evenly distributed
Pareto front. In previous studies on joint scheduling for reservoir groups, researchers have
extensively examined hydropower generation, ecology, and water supply. Some models
consider only water-sediment issues in scheduling and overlook ecological impacts. Oth-
ers discuss the trade-off between hydropower generation and ecological flow, or target
overall reservoir benefits, potentially compromising aspects such as year-end reservoir
storage levels. This compromise could affect future hydropower generation and water
supply.
The Yellow River is currently facing significant ecological and water resource chal-
lenges. The rapid economic and social development in the basin has led to an increase
in water demand, while there is a decreasing trend in runoff. Inefficient water use and
low agricultural water use efficiency have exacerbated water scarcity and ecological
problems, which have had a significant impact on the ecology of Yellow River. The
Longyangxia (LYX) and Liujiaxia (LJX) reservoirs, which are the upstream cascade
reservoirs, control more than half of the Yellow River’s flow, providing clean energy and
water supply to more than 420 million people. Therefore, the scheduling of the LYX and
LJX reservoirs must not only meet the annual hydropower generation, water supply, and
storage requirements but also comply with upstream ecological flow standards in order
to minimize the ecological impact on the Yellow River.
This paper addresses the issues of hydropower generation, water supply, and future
water scarcity risk for the LYX and LJX reservoirs in the Yellow River basin. By incor-
porating ecological flow into mandatory reservoir management standards, an ecological
management scheduling model is developed for the LYX and LJX reservoirs. The paper
examines the impact of ecological flow management on reservoir scheduling and overall
benefits, and demonstrates the feasibility of the multiobjective scheduling model incor-
porating ecological flow standards. It discusses the impact of different ecological flow
standards on the hydropower generation and water supply of the LYX and LJX reservoirs
and examines the feasibility of these standards. In addition, the paper investigates the
competitive and cooperative relationship between hydropower generation, water supply,
and storage under suitable ecological flow conditions for the LYX and LJX reservoirs to
provide decision makers with the best trade-offs between human needs and ecological
flow maintenance.
450 K. Hong et al.

2 Study Area and Data

2.1 Study Areas

The Yellow River originates in the Bayan Har Mountains of Qinghai Province in western
China and flows through nine provinces before emptying into the Bohai Sea [35]. With
a total length of 5463 km, it is revered as the “Mother River of China” due to its histor-
ical significance as the birthplace of northern Chinese civilization and its importance in
early Chinese history [36]. In recent years, however, the river has been severely impacted
by pollution, hydropower development, and intensive water extraction for human con-
sumption, agriculture, and industry. These problems in the Yellow River basin are largely
attributed to unsustainable human activities and the accelerated alteration of the river’s
ecological flow [37].
The upper reaches of the Yellow River mainly receive runoff from areas upstream of
Lanzhou. The section from Lanzhou to Toudaoguai mainly carries transit water, with the
LYX and LJX reservoirs controlling over 40% of the natural runoff of the upper Yellow
River. The management of these reservoirs significantly influences flood control, water
supply, and ecology in the upper reaches. The main characteristic water levels and power
station parameters of the cascade reservoirs are presented in Table 1, and the overall
layout of the Yellow River basin’s cascade reservoir system is shown in Fig. 1.
The agricultural regions in the upper Yellow River, especially the Ningxia and Inner
Mongolia irrigation areas downstream of the reservoirs, rely heavily on irrigation for
crop growth. In the Ningxia and Inner Mongolia irrigation areas, the peak irrigation
periods are from April to July and September to November due to low rainfall. The total
irrigated areas in these districts are 6,573 km2 and 21,300 km2 , respectively. Approxi-
mately 80% of off-channel water is used for agricultural irrigation, making it the main
water consumer in the region. Downstream water uses include forestry, livestock, fish-
eries, and domestic consumption, which are collectively categorized as Yellow River
water extraction. Therefore, the scheduling of the LYX and LJX reservoirs is critical to
hydropower generation, water supply, and ecological sustainability in the upper Yellow
River.

Fig. 1. Diagram of the study area

 Multiobjective Operation of Cascade Reservoirs … 451

Table 1. The characteristics of Longyangxia and Liujiaxia reservoirs

Characteristics Longyangxia Liujiaxia

Normal water level (m) 2600 1735
Flood limit water level (m) 2594 1726
Dead water level (m) 2560 1694
Total storage (108 m3 ) 247 57
Power generation capacity (MW) 128 139

2.2 Data
The paper uses data on reservoir water supply, hydropower generation, runoff, and
reservoir inflow. The water supply and hydropower generation data for the upper Yellow
River were obtained from the Hydrological Bureau of the Yellow River Conservancy
Commission (YRCC). Daily observed inflow and outflow, water level, and storage data
for the LYX and LJX reservoirs from 2007 to 2018 were obtained from the “Yellow River
Basin Hydrological Yearbook” compiled and published by the Yellow River Conservancy
Commission.

3 Method
3.1 Multiobjective Framework
With the rapid pace of societal development, reservoirs are required to perform flood
control functions while meeting the demands for energy and water supply [38, 39]. LYX
and LJX cascades, which serve as important regulatory hubs, assume the mission of com-
prehensive resource utilization. Therefore, this paper identifies hydropower generation,
water supply, and ecology as primary objectives.

3.1.1 Hydropower Generation

Hydropower generation stands as a critical function of the reservoir and constitutes one
of the primary research objectives of this study, shown as follows:


N 
T
max F = ki qi,t hi,t τt
i=1 t=1

where F is the total hydropower generation in one year (kWh), k i is the output coefficient
specific to the ith hydropower, qi,t is the average discharge of the ith reservoir in the tth
month (m3 /s), hi,t is the average water level of the ith reservoir in the tth month (m),
τt is the time interval (month), N is the number of reservoirs, and T is the number of
operation periods (T = 12).
452 K. Hong et al.

3.1.2 Water Supply

To evaluate the water supply case, minimizing the water supply shortage rate was set as
the criterion for evaluating water supply.
⎧ T N
⎨   Rdt −Rtt
, if Rtt < Rdt
min S = t=1 i=1 dt
⎩
0, if Rt tt ≥ Rdt
where S represents the water shortage rate in one year, and Rt t and Rd t denote the water
supply and water demand for the ith reservoir in the tth month (m3 ).

3.1.3 Ecological Flow

To alleviate the adverse effects on river ecology caused by the operation of cascade
reservoirs, the minimum shortage rate of ecological flow was adopted as the criterion
for ecological assessment. Efforts have been made to minimize instances of insufficient
ecological flow by adjusting reservoir discharge.
⎧ T N
⎨   EFt −Et
, if Et < EFt
min E = t=1 i=1 EFt
⎩
0, if Et ≥ EFt
where E is the ecological flow shortage rate in one year, while EF t and E t represent,
respectively, the demand for ecological flow and the actual ecological flow in the tth
month (m3 /s).

3.1.4 Constrain
The above objectives are subject to the following constraints.
(1) Water balance constraint
Vi,t+1 = Vi,t + (Qi,in,t − Qi,out,t )τt
where V i,t and V i,t+1 represent the ith reservoir storages at tth and (t + 1)th, respectively.
Qi,in,t and Qi,out,t represent the ith average inflow and average outflow of the reservoir
in the tth month (m3 /s), respectively.
(2) Water release capacity constraints

min
Qi,t ≤ Qi,t ≤ Qi,t
max

min and Q max are the minimum and maximum discharges in the tth month (m3 /s).
where Qi,t i,t
(3) Power generation output constraints

min
qi,t ≤ qi,t ≤ qi,t
max

min and qmax are the minimum and maximum hydraulic turbine discharges in
where qi,t i,t
the tth month (m3 /s), respectively.
 Multiobjective Operation of Cascade Reservoirs … 453

(4) Water-level constraints

min
Zi,t ≤ Zi,t ≤ Zi,t
max

min
Zi,t ≤ Zi,t ≤ Zi,t
max

min and Z max are the minimum and maximum water levels in the tth month,
where Zi,t i,t
respectively (Fig. 2).

Fig. 2. Monthly flow rates required for basic and sustain

This paper examines the scheduling of two major reservoirs, LYX and LJX reser-
voirs, located on the mainstream of the Yellow River. The main objective is to meet the
requirements for hydropower generation, water supply, and ecological water use. Two
schedule plans have been proposed:
Plan I: Prioritize the maximization of hydropower generation, while ensuring the
essential flow requirements of the river and meeting downstream water supply needs for
both the LYX and LJX reservoirs.
Plan II: Prioritize the maximization of hydropower generation, while ensuring the
appropriate flow requirements of the river and meeting downstream water supply needs
for both the LYX and LJX reservoirs.

4 Results and Discussion

4.1 Typical Year Analysis

Using guarantee rates of 30%, 50%, and 80%, and analyzing the annual natural inflow
data of the Yellow River from 2003 to 2021, we selected three hydrological years to
trigger the model: a wet year (2018), a normal year (2013), and a dry year (2016). We
then analyzed the impact of incorporating basic and suitable ecological flow guarantees
on hydropower generation and water supply for the LYX and LJX reservoirs based on
the ecological management scheduling model. We used the initial water levels for the
typical wet, normal, and dry years as model conditions, and the results of the reservoir
scheduling, hydropower generation, and water supply are shown in Tables 2, 3, 4 and 5.
The inflow, outflow, and water levels during the scheduling process are shown in Figs. 3
and 4.
454 K. Hong et al.

According to the data in Table 2, the hydropower generation of the LYX and LJX
reservoirs showed a significant increase under the basic ecological flow in wet, normal,
and dry years compared to the actual values. Specifically, in wet years, hydropower gen-
eration increased by 5.24% and 4.74% respectively, in normal years, the increase was
1.39% and 1.10%, and in dry years, LYX’s hydropower generation decreased by 0.08%
to meet basic ecological flow requirements, but the total hydropower generation of the
LYX and LJX reservoirs increased by 0.08%. As depicted in Table 4, the water supply
targets for all scheduling periods were achieved under the basic ecological flow condi-
tions. The improved availability of water resources in wet and normal years facilitated
optimized scheduling, resulting in significant increases in hydropower generation while
meeting water supply and ecological needs. Table 3 shows that under the appropriate
ecological flow, the hydropower generation of the LYX and LJX reservoirs increased
significantly by 5.00% in wet years. Specifically, LYX and LJX reservoirs experienced
hydropower generation increases of 4.14% and 4.39%, respectively. However, in normal
and dry years, the hydropower generation of the cascade reservoirs decreased noticeably
by 1.29% and 0.22%, respectively, to meet the suitable ecological flow requirements.
Table 5 shows that the water supply targets in wet and normal years were achieved for
all scheduling periods, but the water supply guarantee rate in dry years was 95.39%.
This can be attributed to reduced upstream inflows, where water scarcity emerged as the
primary factor affecting hydropower generation and water supply, which could not be
solved by optimization.
In summary, under the basic ecological flow, the hydropower generation and water
supply goals were met in wet, normal, and dry years, with a slight increase in hydropower
generation. When transitioning from the basic ecological flow to the appropriate eco-
logical flow, the total hydropower generation from the cascade reservoirs decreased by
0.70%, 2.50%, and 0.30% in wet, normal, and dry years, respectively. The water sup-
ply guarantee rate in dry years decreased to 95.39%. The increase in ecological flow
requirements limited downstream water demand, which in turn prevented the reservoirs
from achieving optimal hydropower generation efficiency.

Table 2. Hydropower generation of meeting basic ecological flow unit: 108 kWh

Reservoir Optimization scheme Actual scheme Changing rate (%)

Wet Normal Dry Wet Normal Dry – – –
LYX 81.94 67.97 37.83 77.86 67.04 37.86 5.24 1.39 −0.08
LJX 77.98 68.83 44.91 74.45 68.08 44.81 4.74 1.10 0.22
Total 159.92 136.8 82.74 152.31 135.12 82.67 5.00 1.24 0.08

4.2 Relationship of Hydropower Generation, Water Supply and Water Storage

Due to its location in a semi-arid region, the upper reaches of the Yellow River suffer
from water scarcity. The LYX and LJX reservoirs, which serve as the main regulating
 Multiobjective Operation of Cascade Reservoirs … 455

Table 3. Hydropower generation of meeting suitable ecological flow unit: 108 kWh

Reservoir Optimization scheme Actual scheme Changing rate (%)

Wet Normal Dry Wet Normal Dry – – –
LYX 81.08 67.09 37.92 77.86 67.04 37.86 4.14 0.07 0.16
LJX 77.72 66.29 44.58 74.45 68.08 44.81 4.39 −2.63 −0.51
Total 158.80 133.38 82.49 152.31 135.12 82.67 4.26 −1.29 −0.22

Table 4. Water supply guarantee rate of meeting the basic ecological flow

Reservoir Guarantee rate of water supply (%) Water shortage单位?

Wet Normal Dry Wet Normal Dry
LYX – – – – – –
LJX 100 100 100 0 0 0

Table 5. Water supply guarantee rate of meeting the suitable ecological flow

Reservoir Guarantee rate of water supply (%) Water shortage单位?

Wet Normal Dry Wet Normal Dry
LYX – – – – – –
LJX 100 100 95.39 0 0 5.57

reservoirs in this area, play an important role in meeting ecological and water supply
requirements, as well as in replenishing water downstream. Therefore, it is essential to
strike a balance between ecological flow, water supply, and reservoir storage in the upper
reaches of the Yellow River, and to determine suitable scheduling intervals.
Figure 5 shows that during normal years, as power generation increases, the water
supply guarantee rate also increases, while reservoir storage decreases. A significant
inflection point is observed at a power generation of 12.49 billion kWh and a water
supply guarantee rate of 96.71%. When power generation is below 12.49 billion kWh,
both power generation and the water supply guarantee rate increase rapidly as reservoir
storage decreases. When power generation exceeds 12.49 billion kWh, the year-end
reservoir storage decreases at a similar rate, but the increases in power generation and
the water supply guarantee rate slow down, indicating lower water resource utilization
efficiency.
As shown in Fig. 5, during dry years, a decrease in reservoir water demand leads
to a gradual increase in hydropower generation and water supply guarantee rate. A
distinct inflection point appears at 8.22 billion kWh of power generation and a water
supply guarantee rate of 97.74%. Below this threshold, both power generation and the
water supply guarantee rate increase rapidly as reservoir storage decreases. When power
456 K. Hong et al.

(1) Wet year

(2) Normal year

(3) Dry year

Fig. 3. The operation of LYX and LJX reservoirs to meet the basic ecological flow

generation exceeds 8.222 billion kWh, the year-end reservoir storage decreases at a
similar rate, but the growth in power generation and the water supply guarantee rate
slows, indicating a less efficient use of water resources.
When considering water resource management, it is important to incorporate suitable
ecological flow for management standards. There are noticeable differences in the growth
rates of hydropower generation and water supply guarantee rates between normal and dry
years for different reservoir storage intervals. In both scenarios, the rates initially increase
rapidly with decreasing reservoir storage, and then gradually decrease. This is because
the initial constraint on hydropower generation and water supply is primarily the water
volume. However, as the reservoir storage decreases, the constraint shifts to optimizing
reservoir scheduling. LYX and LJX reservoirs maintain hydropower generation and
water supply guarantee rates of about 124.90 108 and 96.71%, respectively, in normal
years, respectively, considering the scarcity of Yellow River water resources and aiming
for their rational and efficient utilization while meeting downstream ecological flow
 Multiobjective Operation of Cascade Reservoirs … 457

(1) Wet year

(2) Normal year

(3) Normal year

Fig. 4. The operation of LYX and LJX reservoirs to meet the suitable ecological flow

Fig. 5. Relationship of Hydropower generation, Water supply and water storage in wet and dry
years

management standards. This indicates that the water resource utilization rate of LYX
and LJX reservoirs is relatively high. In dry years, the water supply guarantee rate
458 K. Hong et al.

remains at 96.71%, which is more conducive to efficient water resource utilization, with
a hydropower generation of 9.77 billion kWh, exceeding multi-year average hydropower
generation of the LYX and LJX reservoirs.

5 Conclusion
This paper has established a multiobjective ecological management model for the LYX
and LJX reservoirs to examine the competing interests of hydropower generation, water
supply, reservoir storage, and ecological flow. It presents ecological flow targets for dif-
ferent water level scenarios in the upper reaches of the Yellow River, allowing water
resource managers to operate within defined parameters and achieve a satisfactory
balance between human water consumption and ecosystem needs.
The results suggest that by implementing reservoir ecological management schedul-
ing models and meeting basic ecological flow standards, the LYX and LJX reservoirs
experienced respective increases of 5.00%, 1.24%, and 0.08%, respectively, in typi-
cal annual hydropower generation. When suitable ecological flow standards were met,
there was an increase of 4.26% in wet years, while decreases of 1.29% and 0.22% were
observed in normal and dry years, respectively. These results indicate that with schedul-
ing, the LYX and LJX reservoirs can meet the river’s basic ecological flow requirements
while still meeting objectives such as hydropower generation and water supply. How-
ever, due to the limited water resources of the Yellow River, it is only in wet years that the
river can attain suitable ecological flow without compromising hydropower generation
and water supply objectives.
Under the fulfillment of downstream river ecological flow management standards, the
LYX and LJX reservoirs maintains hydropower generation and water supply guarantee
rates at around 12.49 billion and 96.71%, respectively, in normal years, indicating rela-
tively high water resource utilization efficiency. In dry years, the targets for hydropower
generation and water supply guarantee rates are around 8.22 billion kWh and 96.71%,
respectively, which is more conducive to efficient water resource utilization. It is evident
that the reservoir ecological management scheduling model proposed in this paper has the
ability to provide an effective approach to solve the multiobjective ecological scheduling
problem of cascade reservoirs, considering different ecological flow requirements.

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 Comparison of Ecological Value Before
and After the Construction of Hydraulic
Engineering Projects: A Case Study of Lianhu
Reservoir

Zelong Qu1(B) , Jianfeng Li1 , and Guofu Yang2

1 Huadong Engineering Corporation Limited, Hangzhou 311122, China
[email protected]
2 School of Art and Archaeology, Hangzhou City University, Hangzhou 310015, China

Abstract. Hydraulic engineering projects provide essential functions and ser-

vices, including flood regulation, hydroelectric power generation, and agricultural
irrigation. Additionally, they offer benefits such as navigation, water purification,
recreational opportunities, and biodiversity maintenance for upstream and down-
stream regions. To comprehensively describe the overall functioning of hydraulic
engineering as an ecosystem, evaluate its contributions to human well-being,
assess its support for economic and social development, and understand its ecolog-
ical linkages across regions, it is essential to scientifically account for the compre-
hensive benefits of these projects. This study uses the Lianhu Reservoir in Lishui,
Zhejiang Province, as a case study to assess the Gross Ecosystem Product (GEP)
before and after the construction of the hydraulic engineering project. The results
show that before the construction of the Lianhu Reservoir (in 2021), the total GEP
within the construction area was 206 million yuan. The value of regulating ser-
vices was 197 million yuan, accounting for 95.6% of the total GEP, with climate
regulation and flood control contributing 175 million yuan and 21 million yuan,
respectively. The value of provisioning services was 9.06 million yuan, account-
ing for 4.4% of the total GEP. After the construction of the Lianhu Reservoir, the
total GEP within the construction area increased to 1.42 billion yuan. The value of
regulating services was 781 million yuan, accounting for 55.0% of the total GEP,
with flood control and climate regulation contributing 480 million yuan and 297
million yuan, respectively. The value of cultural services was 498 million yuan,
accounting for 35.1% of the total GEP, while the value of provisioning services
was 141 million yuan, accounting for 9.9% of the total GEP. The results indicate
that compared to the pre-construction period, the GEP after the construction of the
Lianhu Reservoir increased by 1.21 billion yuan, representing a 588% increase.
Except for the services of agricultural product supply, carbon sequestration and
oxygen release, and air purification, all other service items were enhanced.

Keywords: Ecosystem services · Gross Ecosystem Product · Sustainable

development

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 462–475, 2025.
https://doi.org/10.1007/978-981-97-9184-2_38
 Comparison of Ecological Value Before and After 463

1 Introduction
The construction of hydraulic and hydroelectric engineering projects has played a sig-
nificant role in social development. The impact of these projects on water ecosystem
services has always been a focal point for various sectors of society. Hydraulic engi-
neering provides essential functions and services to humans, such as flood regulation,
hydroelectric power generation, and agricultural irrigation. Beyond these direct benefits,
hydraulic engineering also supports navigation, water purification, recreational activi-
ties, and biodiversity maintenance in upstream and downstream regions. However, by
altering the surrounding ecosystems, hydraulic projects may also bring about some nega-
tive impacts. Therefore, to comprehensively describe the overall functioning of hydraulic
engineering as an ecosystem, evaluate its contributions to human well-being, assess its
support for economic and social development, and understand its ecological linkages
across regions, it is crucial to scientifically account for the comprehensive benefits of
these projects.
Since the concept of Gross Ecosystem Product (GEP) was introduced, numerous
studies have been conducted on GEP accounting at various administrative levels, includ-
ing national, provincial, municipal, and county levels. In March 2021, the United Nations
Statistical Commission officially included GEP in the latest System of Environmental-
Economic Accounting, recognizing it as an indicator for ecosystem service and ecologi-
cal asset valuation and as a measure for the UN Sustainable Development Goals (SDGs)
for 2050. GEP accounting not only describes the overall functioning of ecosystems but
also evaluates the effectiveness of ecological protection, assesses contributions to human
well-being, supports economic and social development, and helps understand ecological
linkages between regions.
For instance, Academician Lu Youmei regards the Three Gorges Project as an eco-
logical project beneficial to global environmental protection and a development oppor-
tunity for the Three Gorges Reservoir area and Hubei Province. Conversely, Pan Liwu
et al. argue that the reservoir’s impoundment has altered the hydrological conditions
of the Yangtze River, causing adverse effects. From a dialectical perspective, hydraulic
and hydroelectric projects fulfill human needs and prevent flood disasters, but they also
inevitably affect local ecosystem services by altering natural hydrological patterns. Tra-
ditionally, the construction of hydraulic and hydroelectric projects focused primarily on
social and economic benefits. However, with increasing emphasis on ecological benefits
in China, there is a pressing need to quantitatively assess the impact of such projects on
water ecosystem services and promote their coordinated development.
Previous studies have calculated the changes in river ecosystem function value due to
hydroelectric development and used these calculations to analyze wind-hydro compre-
hensive projects quantitatively. Xiao Jianhong et al. established an evaluation system to
assess the impact of dams on river ecosystem services and evaluated the impact of dams
nationwide in 2002. Wei Guoliang et al. developed an accounting system to evaluate
the impact of hydroelectric energy development on river ecosystem services based on
the characteristics of river ecosystem services. Chen et al. conducted a comprehensive
analysis of the ecological benefits and losses of the Xiaolangdi Reservoir from 2000 to
2012, proposing a three-step framework for assessing the ecological gains and losses
of hydroelectric projects and quantitatively evaluating the changes in service functions
464 Z. Qu et al.

caused by the project. Jia Jianhui et al. used the functional value method to evaluate the
impact of hydroelectric energy development on the main stream of the Wujiang River
on river ecosystem services.
Although some exploratory studies on the impact of hydraulic and hydroelectric
projects on various water ecosystem services exist, these studies have used different
accounting systems according to their research directions. The lack of a unified evalua-
tion standard makes it challenging to compare results across different projects, hindering
the quantitative assessment of the contribution of hydraulic engineering to water ecosys-
tem services. Moreover, the existing standardized GEP evaluation norms face several
challenges when applied to hydraulic engineering:
First, current GEP accounting norms lack focus on hydraulic aspects. Most GEP
assessments target terrestrial ecosystems, neglecting the ecological products related to
hydraulic engineering. Important functions such as flood regulation, navigation enhance-
ment, reduction of carbon emissions through hydroelectric power, and the contribution
to the value of surrounding lands are not adequately reflected in current accounting
standards. Second, existing accounting methods do not consider the practical applica-
tion needs of hydraulic engineering. Traditional GEP accounting systems for terrestrial
ecosystems rely mainly on land use type data and ecological service value coefficients.
These methods need to be optimized and improved to account for the ecological prod-
ucts of hydraulic projects. For example, the significant function of flood regulation by
hydraulic projects, which reduces downstream flood risks, is not accounted for in the cur-
rent system. Third, the application scenarios for existing accounting results are limited.
Currently, the results of GEP accounting are primarily used by management departments
for planning and managing ecological development within their jurisdictions, lacking
practical application in project design, decision-making, and operational evaluation.
Therefore, this study aims to construct an accounting framework for the total value
of hydraulic engineering ecological products and, using the Lianhu Reservoir in Lishui,
Zhejiang Province, as a case study, calculate the GEP before and after the construction
of this hydraulic project to evaluate its comprehensive benefits.

2 GEP Accounting Method for Hydraulic Engineering Projects

2.1 GEP Accounting Framework for Hydraulic Engineering Projects
To comprehensively describe the overall functioning of hydraulic engineering projects
as ecosystems, evaluate their contributions to human well-being, assess their support
for economic and social development, and understand their ecological linkages across
regions, this guide constructs a GEP accounting system for hydraulic engineering based
on the method used for terrestrial ecosystem product accounting. This system clarifies
the indicators and accounting methods for hydraulic engineering ecosystem services,
explores the direct and indirect contributions of GEP to GDP, and provides foundational
support for the decision-making, evaluation, and operational management of hydraulic
projects.
Based on the characteristics of hydraulic engineering and the requirements for
ecosystem product accounting, the framework for the GEP accounting of hydraulic
engineering projects is proposed as shown in the Fig. 1.
 Comparison of Ecological Value Before and After 465

Fig. 1. Technical Route for GEP Accounting in Hydraulic Engineering Projects.

2.2 Boundary for GEP Accounting in Hydraulic Engineering

To objectively reflect the ecological, social, and economic contributions of hydraulic

engineering, it is necessary to scientifically delineate the boundaries of the services
provided by the project. Based on the watershed where the hydraulic engineering is
located, and considering the type and accounting purposes of the project (such as
reservoir construction, river enhancement, lake restoration, etc.), the direct or indirect
impacts and service areas of the project should be reasonably determined. This includes
upstream areas benefiting from improved navigation and backwater inundation, down-
stream areas affected by flood regulation and agricultural irrigation, as well as regions
promoting related ecological tourism. Comprehensive accounting of the value of vari-
ous ecosystem products provided by hydraulic engineering should be conducted within
these boundaries.

2.3 Compilation of Hydraulic Engineering Ecosystem Product List

Determine the types, areas, and distribution of ecosystems within the assessment scope of
the hydraulic engineering project and map the distribution of these ecosystems. Inves-
tigate and analyze the types of ecosystem products in the region, clarifying specific
indicators in the three major categories of provisioning services, regulating services,
and cultural services. Focus on ecosystem service items related to the functions and pur-
poses of hydraulic engineering, such as flood control and disaster reduction, navigation,
and carbon emission reduction. Combine the actual situation of the accounting region
to refine the direct utilization and transformation utilization of provisioning services
directories and compile a comprehensive list of ecosystem products (Table 1).
466 Z. Qu et al.

Table 1. GEP accounting indicators

Category Indicator Accounting content

Provisioning services Hydraulic electrogenerating Power generation capacity
Water suppley Amount
Agricultural product Grain
Fruits
Regulating services Flood regulation and storage Urban flood regulation
Rural flood regulation
Water purification Purification of COD
Purification of nitrogen
Purification of phosphorus
Air purification Purification of SO2
Purification of NO
Carbon sequestration Carbon storage
Oxygen release
Reduce carbon emissions Carbon reduction
Climate regulation Cooling by water
Cooling by forest
Cooling by grassland
Cultural services Ecotourism Number of tourists
Environmental premium Land premium appreciation

2.4 Calculation of Ecological Product Functional Quantity

The functional quantity of ecological products and services refers to the physical quantity
or functional quantity of the final products obtained directly or indirectly from ecosys-
tems by humans, such as shipping volume, aquatic product supply, flood control and
disaster reduction capacity, pollution purification volume, soil and water conservation
capacity, and the number of tourists attracted by landscape. Among them, the measure-
ment of physical quantity for provisioning services and cultural services uses statistical
survey methods, while the measurement of physical quantity for regulating services uses
methods such as water balance and pollution purification models. Functional quantity
provides a clear and specific quantity of ecological products, but due to different mea-
surement units, the functional quantities of different ecological products and services
cannot be summed. Therefore, relying solely on functional quantity indicators makes it
difficult to obtain the total output of ecosystem products and services over a period of
time.
 Comparison of Ecological Value Before and After 467

2.5 Determination of Ecological Product Prices

Only by using the prices of ecological products can the functional quantities of different
ecological products and services be converted into monetary units of output. Market
value method is used for calculating the value quantity of various indicators of pro-
visioning services, while alternative cost method is used for soil conservation, water
purification, air purification, and climate regulation indicators in regulating services.
Shadow engineering method is used for water conservation, opportunity cost method is
used for flood control and carbon sequestration, and protective cost method is used for
habitat provision. Various methods such as travel cost method, hedonic pricing method,
and research investment method are used for calculating the value quantity of cultural
services.

2.6 Calculation of Ecological Product Value

Finally, the values of provisioning services, regulating services, and cultural services
obtained separately are summed to obtain the total GEP of the hydraulic engineering
project.

3 Case Overview—Lianhu Reservoir in Lishui City

3.1 Overview of Lianhu Reservoir

Lianhu Reservoir is located on Xuanpingxi river in Liandu District, Lishui City, Zhejiang
Province. Primarily designed for flood control, it also serves purposes such as improving
aquatic ecological environment and power generation (refer to Fig. 1). The dam site of
the project is approximately 15 km away from the urban area and situated about 2 km
upstream from the main stream of Xuanpingxi river in Gangkou Village. The watershed
area above the dam site of Lianhu Reservoir is 828 km2 , with a long-term average flow
rate of 25.2 m3 /s and a long-term average inflow volume of about 795 million m3 . The
design flood level is 94.73 m, the design flood level is 91.42 m, the normal water level is
85.00 m, the dead water level is 68.00 m, the extreme dead water level is 63.00 m, and the
total storage capacity is 130.55 million m3 . Below the normal water level, the capacity
is 63.38 million m3 , with a utilization capacity of 62.28 million m3 and a flood control
capacity of 69.00 million m3 . The total population in the protected area is 451,500, with
a farmland area of 7,800 mu. The installed capacity of the supporting power station is
21.6 MW, with an average annual power generation of 33.72 million kW·h (Fig. 2).

3.2 Pricing of Ecological Products

Only by utilizing the prices of ecological products can the functional quantities of differ-
ent ecological products and services be converted into monetary units of output. Market
value method is used for calculating the value quantity of various indicators of pro-
visioning services, while alternative cost method is used for soil conservation, water
purification, air purification, and climate regulation indicators in regulating services.
468 Z. Qu et al.

Fig. 2. Location of Lianhu reservoir.

Water conservation is calculated using the shadow engineering method, and flood con-
trol and carbon sequestration are calculated using the opportunity cost method. Various
methods such as travel cost method and hedonic pricing method are used for calculating
the value quantity of cultural services (Table 2).

4 Pre-construction GEP Composition of Lianhu Reservoir Project

Combining the calculations of ecological product functional quantities and the determi-
nation of ecological product prices as mentioned earlier, we further calculate the value
of each category of ecological products and then sum up the values of all ecological
products to obtain the total ecological product value before the construction of Lianhu
Reservoir (Table 3).

4.1 Provisioning Services Value

In 2021, the Lianhu Reservoir area provided agricultural products. Calculated based on
market prices, the value of grain is 497.8 million RMB (1386.6 tons × 3.59 RMB/ton),
and the value of fruits is 408.0 million RMB (1025.1 tons × 3.98 RMB/ton). The total
value of agricultural products is 905.78 million RMB.

4.2 Regulation Service Value

In 2021, the regulatory service value of the Lianhu Reservoir was 197 million RMB.
The largest contribution is from climate regulation, valued at 175 million RMB (3.24
 Comparison of Ecological Value Before and After 469

Table 2. Pricing methods and prices of ecological products in Lianhu reservoir

Ecosystem product Pricing method Price

Hydraulic electrogenerating Market valuation 0.54 yuan/kWh
Water suppley Market valuation 1 yuan /m3
Grain Market valuation 3.59 yuan /kg
Fruits Market valuation 3.98 yuan /kg
Flood regulation and storage Replacement cost 25.85 yuan /m3
Purification of COD Replacement cost 8000 yuan /t
Purification of nitrogen Replacement cost 9572 yuan /t
Purification of phosphorus Replacement cost 10000 yuan /t
Purification of SO2 Replacement cost 2000 yuan /t
Purification of NO Replacement cost 2518 yuan /t
Carbon storage Opportunity cost 23.72 yuan /t
Oxygen release Opportunity cost 1200 yuan /t
Carbon reduction Opportunity cost 0.020 yuan /kWh
Climate regulation Replacement cost 0.54 yuan /kWh

billion kWh/a × 0.54 RMB/kWh) for cooling the surrounding environment. The next
significant contribution is from the flood control function provided by the ecosystem,
valued at 21 million RMB. The combined value of other regulating services such as
carbon sequestration, oxygen release, water purification, and air purification are 1.866
million RMB, accounting for only 0.68% of the total regulatory service value.

4.3 Cultural Service Value

In 2021, within the construction boundary of the Lianhu Reservoir, it was difficult to
attract local and foreign visitors for sightseeing, and it did not contribute to eco-tourism
in the surrounding areas. Therefore, the cultural service value within the boundary for
that year is 0. Additionally, there were no commercial real estate developments in the
vicinity. Therefore, for comparison with the post-construction period, this value is also
0.

4.4 Total GEP Value Before Construction

In 2021, the total GEP value in the area before the construction of the Lianhu Reservoir
was 206 million RMB. The value of regulating services was 197 million RMB, account-
ing for 95.60% of the total GEP. The value of provisioning services was 9.06 million
RMB, accounting for 4.4% of the total GEP. Since there were no tourism facilities in
the area, the cultural service value was 0.
 470

Table 3. GEP calculation before the construction of Lianhu reservoir

Category Indicator Accounting content Ecosystem product Gross ecosystem product (104 yuan)
Z. Qu et al.

amount units prices values subtotal total

Material goods Hydraulic elcctrogenerating Power generation capacity 0 104 kWh/a 0,54 yuan/kWh 0.00 0.00
Water suppley Amount 0 104 m3 /a 1.63 yuan/m3 0.00 0.00 905.78
Agricultural product Grain 1386.6 t/a 3.59 yuan/kg 497.79 905.78
Fruits 1025.1 t/a 3.98 yuan/kg 407.99
Flood regulation and storage Flood regulation 79.9 104 m3 /a 25.85 yuan/m3 2065.42 2065.42
Purification of COD 49.86 t/a 8000 yuan/t 39.89
Water purification Purification of nitrogen 59.13 t/a 9572 yuan/t 56.60 101.00
Purification of phosphorus 4 51 t/a 10000 yuan/t 4.51
Regulating Air purification Purification of SO2 0.35 t/a 2000 yuan/t 0.07 0.42
Purification of NO 1.4 t/a 2518 yuan/t 0.35 19739.10
Services Carbon Sequestration Carbon storage 221.45 t/a 24 yuan/t 5.31 76.27
Oxygen release 591.28 t/a 1200 yuan/t 70.95
Reduce carbon emissions Carbon reduction 0 104 kWh/a 0.020 yuan/kWh 0.00 0.00
Cooling by water 1.84 108 kWh/a 0.54 yuan/kWh 9936.00
Climate regulation Cooling by forest 1.22 108 kWh/a 0.54 yuan/kWh 6588.00 17496.00
Cooling by grassland 0.18 108 kWh/a 0.54 yuan/kWh 972.00
Cultural services Ecotourism Number of tourist 0 104 people – 0.00 0.00 0
20644.88
 Comparison of Ecological Value Before and After 471

5 Lianhu Reservoir GEP Composition After Construction

Based on the calculations of ecological product quantities and the determination of

ecological product prices mentioned earlier, we can further calculate the value of each
type of ecological product and then sum up these values to obtain the total value of
ecological products after the completion and operation of the Lianhu Reservoir.

5.1 Provisioning Services Value

After the completion of Lianhu Reservoir, the expected annual provisioning services
value is 141 million yuan. Hydroelectric power generation and water supply contribute 18
million and 123 million yuan annually, accounting for 13% and 87% of the provisioning
services value, respectively. The agricultural product value provided by the cultivated
land retained through land resource integration is 40,700 yuan annually.

5.2 Regulation Service Value

As a flood control project, the main purpose of the Lianhu Reservoir construction is
to regulate floodwaters downstream. After calculation, it is estimated that the total reg-
ulation service value per year after the reservoir’s operation is 781 million yuan. The
largest contribution is flood control and disaster reduction value, reaching 480 million
yuan, accounting for 61.5% of the total regulation service. This result aligns with the
project’s functional orientation. The next significant contribution is climate regulation
function, valued at 297 million yuan. With the enhancement of water quality purification
due to the reservoir’s construction, it amounts to 3.02 million yuan annually. However,
the original air purification and plant carbon sequestration and oxygen release functions
are weakened, totaling only 117,900 yuan annually.

5.3 Cultural Service Value

This report refers to the initial tourist reception volume at the beginning of the operation
of Geyan Painting Township in 2009, which was 335,000 person-times per year, as the
initial tourist reception volume for the Lianhu Reservoir after its completion and oper-
ation. Considering the average tourism expenditure per person visiting Liandu District
in the first half of 2022 was 1,153 yuan/person-time, and with an annual consumption
increase rate of 3%, it is estimated that the average tourist expenditure will reach 1,297
yuan/person-time by 2026. Therefore, it is estimated that the annual ecological recre-
ational value in the initial period of operation of the Lianhu Reservoir will be 434 million
yuan. With the development of the “Health Care Lianhu National Tourism Resort” and
based on the preliminary development plan, an average of 64 million yuan of land
premium will be generated annually. Consequently, the total annual cultural value of
the Lianhu Reservoir is estimated to be 498 million yuan. As the surrounding tourist
facilities are further improved and the social reputation increases, the future ecologi-
cal tourism value and environmental premium function of the Lianhu Reservoir will be
further enhanced.
472 Z. Qu et al.

5.4 Total GEP Value After Completion

After calculation, the total annual GEP within the construction scope of the Lianhu
Reservoir after its completion and operation is 1.42 billion yuan. Among them, the
value of regulation services is 781 million yuan, accounting for 55.0% of the total GEP;
the value of cultural services is 498 million yuan, accounting for 35.1% of the total
GEP; and the value of provisioning services is 141 million yuan, accounting for 9.9% of
the total GEP. The values of provisioning services and cultural services can be directly
included in the GDP accounting system, meaning that after the completion of the Lianhu
Reservoir operation, there will be 639 million yuan of GEP converted directly into local
GDP annually, accounting for 45.0% of the total GEP of the Lianhu Reservoir (Table 4).

6 Conclusion

Comparing the GEP calculations before and after the construction of the Lianhu Reser-
voir in two periods, the results show that the GEP of the Lianhu Reservoir will increase
from 206 million yuan in 2021 to 1.42 billion yuan per year after the reservoir is oper-
ational, an increase of 588%. This clearly demonstrates the positive contribution of the
construction and operation of the Lianhu Reservoir to the local ecology, economy, and
society.

6.1 Maximum Increment in Regulation Service Value

An important construction goal of the Lianhu Reservoir is to provide flood control and
disaster reduction functions and maintain local ecological balance. Compared to before
construction, after completion, there will be an additional 584 million yuan in regulation
services each year. Among them, flood control and disaster reduction and climate regu-
lation will increase by 460 million and 122 million yuan per year, respectively. Although
some forest and grassland areas were submerged by reservoir backwater, resulting in
a decrease of 645,000 yuan in carbon sequestration and oxygen release services, this
proportion of value is very low compared to the total regulation services. This indicates
that the Lianhu Reservoir is expected to achieve its goals well after construction and
operation, enhancing urban flood control capacity in the context of global climate change
and frequent extreme weather events, and improving the stability and resilience of the
Ou River Basin ecosystem.

6.2 Great Improvement in Cultural Services

Before the construction of the Lianhu Reservoir, there were almost no cultural services
within the construction scope. According to tourism planning, it is estimated that in the
initial period of operation of the Lianhu Reservoir, the annual ecological recreational
value will be 434 million yuan, with an annual land appreciation value of 64 million
yuan. This will significantly enhance the comprehensive utilization value of the reservoir
area and effectively realize the transformation of water ecological product value in water
conservancy engineering construction. With the promotion of the Lianhu Reservoir to a
 Table 4. GEP calculation after the construction of Lianhu reservoir

Category Indicator Accounting content Ecosystem product Gross ecosystem product (104 yuan)
Amount Units Prices Values Subtotal Total
Material goods Hydraulic electrogenerating power generation capacity 3372 104 kWh/a 0.54 yuan/kWh 1820.88 1820.88
Water suppley Amount 7298 104 m3 /a 1.68yuan/m3 12260.64 12260.64 14085.59
Agricultural product Grain 11.35 t/a 3.59yuati/kg 4.07 0.00
Fruits 0 t/a 3.98yuan/kg 0.00
Flood regulation and storage Urban flood regulation 79.9 104 yuan – 47843.90 48038.10
Rural flood regulation 194.2 104 – 194.20
Purification of COD 150.75 t/a 8000yuan/t 120.60
Water purification Purification of nitrogen 178.76 t/a 9572yuan/t 171.11 302.33
Purification of phosphorus 10.62 t/a 10000yuan/t 10.62
Regulating Air purification Purification of S02 0 t/a 2000yuan/t 0.00 0.42
Purification of NO 0 t/a 2518yuan/t 0.00 19739.10
Services Carbon sequestration Carbon storage 34.23 t/a 24yuan/t 0.82 11.79
Oxygen release 91.40 t/a 1200yuan/t 10.97
Reduce carbon emissions Carbon reduction 33372 104 kWh/a 0.02yuan/kWh 67.44 67.44
Cooling by water 5.5 108 kWh/a 0.54yuan/kWh 29700.00
Climate regulation Cooling by forest 0 108 kWh/a 0.54yuan/kWh 0.00 29700.00
Cooling by grassland 0 108 kWh/a 0.54yuan/kWh
Cultural services ecotourism Number of tourist 33.5 104 people 129/yuan/ 43449.50 49792.10 49792.10
(continued)
Comparison of Ecological Value Before and After
473
 474
Table 4. (continued)

Category Indicator Accounting content Ecosystem product Gross ecosystem product (104 yuan)
Amount Units Prices Values Subtotal Total
Environmental premium Land premium appreciation 1503 ha – 6342.60
141997.35
Z. Qu et al.
 Comparison of Ecological Value Before and After 475

national tourist resort, it will further drive the development of real estate, tourism, agri-
tainment, and other industries, promoting the sustainable development of the economy
and society of Lishui City.

6.3 Steady Improvement in Provisioning Services

After the construction and operation of the Lianhu Reservoir, due to changes in land use
types, it will no longer provide provisioning services. Although the agricultural products
worth 9.06 million yuan within the construction scope in 2021 will be mostly lost after the
reservoir is built, the Lianhu Reservoir will provide two services, hydroelectric power
generation and water supply, totaling 141 million yuan, greatly enhancing its role in
promoting the local economy. When determining the water supply price of the Lianhu
Reservoir, this report adopts the recommended price of the GEP calculation technical
specification of ecological product value. If regional water rights trading, or even cross-
regional trading, can be promoted in the future, the price of high-quality water resources
of the Lianhu Reservoir will be further increased.

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 Evolution Laws and Spatial Differentiation
Characteristics of Climate and Extreme Climate
Before and After the Impoundment of the Three
Gorges Reservoir

Ruirui Liu(B) , Xiaomei Kou, Wei Song, and Chuang Dong

Power China Northwest Engineering Corporation Limited, Xi’an 710065, Shaanxi Province,
China
[email protected]

Abstract. Human-induced climate change has affected weather and extreme cli-
mate events, the Three Gorges Hydropower Project is the largest hydropower
project in the world, which must inevitably have some impacts on the regional
climate and extreme climate. Based on the data of precipitation, temperature, sun-
shine hours, relative humidity, minimum temperature and maximum temperature
of 14 meteorological stations in the study area for 59 years from 1961 to 2019,
this paper adopts the climate tendency rate, Mann-Kendall test, ordered clustering
method, Kriging difference method to analyze the climate change trend and spa-
tial differentiation characteristics before and after the impoundment of the Three
Gorges Reservoir. The results indicated that the impact on precipitation is weak,
there is no significant trends; sunshine hours and relative humidity all showed a
significant decreasing trend at 11 stations. However, Except Gaoping, Badong,
Enshi and Laifeng, the temperature of the other 10 stations has changed signif-
icantly rise trend from a cooling trend to a warming trend. The Three Gorges
Reservoir has a slowing effect on the rise of minimum temperature at Wanyuan,
Badong, Wufeng, Yichang, Jingzhou, Wanzhou, Shapingba, Laifeng and Yibing,
the impact on the ecosystem is beneficial. The increase of maximum temperature
at 13 stations except Yichang will inevitably change the regional ecosystem. The
abrupt changes of temperature, relative humidity and maximum temperature all
occurred after impoundment of the Three Gorges Reservoir. After the impound-
ment of the Three Gorges Dam, the precipitation variability increased in the west
and decreased in the east; North-central temperatures rise more; The decrease
range in the east is greater than that in the west; Relative humidity in the west
decreased more than that in the east. The temporal and spatial changes of lacal
climate will inevitably have a certain impact on the local ecosystem.

Keyword: Three Gorges reservoir · Climate and extreme climate · Evolution

law · Spatial differentiation characteristics

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 476–488, 2025.
https://doi.org/10.1007/978-981-97-9184-2_39
 Evolution Laws and Spatial Differentiation 477

1 Introduction
The IPCC’s Sixth Assessment Report pointed out that it is an indisputable fact that global
warming is caused by human activities, and that the global surface temperature in 2011–
2020 was 1.1 °C higher than that of 1850–1900. Human-induced climate change has
affected weather and extreme climate events1 in every region of the globe. Changes in
the water cycle caused by global warming have led to frequent and intensified extreme
weather events2 such as high temperatures, droughts, and heavy rainfall. As one of
typical human activities, the construction of hydropower projects directly changes the
underlying surface conditions and increases the area of the water body, while water body
has such properties as low reflectivity, high heat capacity and low surface roughness,
shows different laws of water-vapor exchange and energy balance compared with other
underlying surface conditions, and thus affects the climate and extreme climate events
in the surrounding areas. Scholars both at home and abroad have carried out a great
number of studies on the impacts of hydropower project construction on regional cli-
mate. Overseas studies on the climate effect of the Aswan Dam in Egypt have shown
that the temperature near the reservoir decreased and the relative humidity and evapo-
ration increased3−4 after the impoundment; The air humidity of the completed Cabora
Bassa Dam increased to some extent5 after the completion of the Cabora Bassa Dam
in Mozambique; the temperature of Itaipu Hydropower Project reduces daytime tem-
peratures in the lake area by 0 to 1.5 °C from July to January of the following year,
and by 2 to 3 °C in other months6 ; The average annual temperature rise in the neigh-
boring Mengjin County slows down after the impoundment of Xiaolangdi Reservoir by
the linear propensity test7 ; WU et al. 8 adopted the independent satellite data sets and
numerical simulation clearly indicate that the land use change associated with the TGD
construction has increased the precipitation in the region between the dam and Qinling
mountains and reduced the precipitation in the vicinity of the TGD after the TGD water
level abruptly rose from 66 to 135 m in June 2003. WU Huiling, et al. 9 analyze the local
climate change trend and abrupt change before and after the impoundment of the Three
Gorges Reservoir by the combination of the Mann-Kendall nonparametric test and the
cumulative anomaly method.The results show that the impoundment of the Three Gorges
Reservoir has an influence on the temperature and precipitation,and the influence degree
has an obvious geographical distribution law and a stabilizing effect on the temperature
trend. Zhang Jianmin, et al. 10 analyzed the change in monthly precipitation patterns
under the climate scenario derived from a coupled general circulation model(CGCM),
the Results indicated that the flood risk in the running will increase in the early and mid
summer. Although the drought risk in mid and late winter due to climate average change
will be generally lessened, the frequency of extreme drought occurrence will increase as
the result of changes in precipitation variability, which will lead to an increase in risk.The
AR6 report and related studies11 indicate that the ecological impacts of climate warming
are significant, including advancement of phenology, extension of plant growing season;
species range shift towards high latitude or elevation, tree line moving towards the top
of the hill; local extinction of species or habitat loss; increase in frequency, severity and
range of disease outbreaks.
The Three Gorges Hydropower Project is the largest hydropower project in the world,
which will inevitably have some impacts on the regional climate and extreme climate
478 R. Liu et al.

while bringing huge economic benefits. Therefore, it is of great significance to study the
change law and spatial differentiation of regional climate and extreme climate elements
after the impoundment of the Three Gorges Reservoir.

2 Overview of the Study Area and Study Methodology

2.1 Overview of the Study Area
The Three Gorges Reservoir is a typical river channel reservoir12 . The reservoir area
is located in 28.5°N-31.7°N, 105.8°E-111.7°E. The administrative region starts from
Yichang, Hubei Province in the east and ends at Jiangjin of Chongqing in the west. The
reservoir area has a total length of over 600 km. The construction of the Three Gorges
Hydropower Project was officially started in 1994. The river closure for first phase of
the dam works was achieved in 1997 and the water level was raised by 10-75m; In June
2003, the second phase of the dam works began to impound water for power generation,
and the water level in front of the dam rose significantly to EL135m; The acceptance
of normal impoundment (at water level of EL175m) in August 2009 marked that the
Three Gorges Reservoir entered the normal operation stage. The scope of this study is
the both banks of the reservoir area and the urban administrative region within 100km
in the upstream and downstream (Fig. 1).

Fig. 1. Studied stations in the Three Gorges Reservoir area

2.2 Data Source

The data source used in this study is China Meteorological Data Service Center, and 14
meteorological stations in the vicinity of the Three Gorges Reservoir area and within
100 km upstream and downstream were taken as the research objects. In order to elim-
inate the impacts of inconsistent data series, the data ranging from January 1, 1960
to December 31, 2019 are selected in this study, including precipitation, temperature,
sunshine hours, relative humidity, minimum temperature and maximum temperature.
 Evolution Laws and Spatial Differentiation 479

2.3 Research Methodology

This paper adopts the climate tendency rate, Mann-Kendall test to analyze the climate
change trend before and after the impoundment of the Three Gorges Reservoir. Mann-
Kendall test and ordered clustering method are used to calculate the years when the
factors have a sudden change, and to judge whether the factors have a sudden change
during the impoundment years. The kriging difference method is an optimal, linear and
unbiased spatial interpolation method, which gives a certain weight coefficient to each
observation data after fully considering the interrelationship between the observation
data, and the weighted average is used to obtain the estimated value. Kriging difference
method is used to analyze the spatial differentiation characteristics of the factors before
and after the impoundment.

3 Evolution Law of Climatic and Extreme Climatic Elements

3.1 Evolution Law

3.1.1 Evolution Law of Climatic Elements

The average precipitation of the Three Gorges Dam is 944.4–1,366.1mm before
impoundment and 1,001.1–1,354.4mm after impoundment. Except for Enshi, Fengjie
and Yibin, the precipitation at other stations has somewhat increased after impoundment.
According to Mann-Kendall trend test (see the Table 3.1), except for Yibin(Z = -2.05)
station upstream of the reservoir area, where the precipitation shows a significant upward
trend through the significance test of confidence level α = 0.05(If |Z| >1.96, the change
trend is considered to be significant, and when Z is positive, it is considered to be a sig-
nificantly upward, when Z is negative, it is considered to be a significant decrease.) and
the other stations show no significant change. Among them, 7 stations show an insignif-
icant downward trend and 6 stations show an insignificant upward trend. According to
the analysis of Variation range of climate tendency rate(the difference between the cli-
mate tendency rates after the impoundment (1998–2019) and before the impoundment
(1961–1997)),there are 7 stations has a decreasing trend and 7 stations has an upward
trend. In general, after the impoundment of the Three Gorges Reservoir has effects on
precipitation in the surrounding areas, but the effects are weak. Therefore, precipitation
has little impact on the total amount of runoff and ecosystems after the impoundment.
The average temperature of the Three Gorges Dam is 13.1mm-18.2mm before
impoundment and 15.1 mm-18.8 mm after the impoundment. The temperature of 14
meteorological stations has somewhat increased after the impoundment. According to
Mann-Kendall trend test (see the Table 3.1), the temperature of 14 meteorological sta-
tions shows a temperature rise trend. Except Gaoping, Badong, Enshi and Laifeng, the
temperature of the other 10 stations shows a significant temperature rise trend. The anal-
ysis results of the climate tendency rate also show an increasing trend, with a growth rate
of 0.06–0.51°C/10a. Before the impoundment of the Three Gorges Dam, there are 13
meteorological stations with the climate tendency rate showing a temperature drop trend,
with the climate tendency rate ranging from -0.02 to -0.18°C/10a. After the impound-
ment of the Three Gorges Dam, there are 10 meteorological stations with the climate
480 R. Liu et al.

tendency rate showing a temperature rise trend, with the climate tendency rate rang-
ing from 0.00 to 1.37 °C/10a. This indicates that after the impoundment of the Three
Gorges Reservoir, the temperature change trend around the reservoir area has changed
significantly, from a temperature drop trend to a temperature rise trend. The increase in
temperature will have a certain degree of impact on the survival of local species and the
ecological environment.
The average sunshine hours of the Three Gorges Dam are 1,060–1,805h before
impoundment and 902–1,493h after the impoundment. According to the Mann-Kendall
trend test results(see the Table 1), the sunshine hours of all stations around the reser-
voir area show a decreasing trend, and the decreasing trend is significant. Accord-
ing to the analysis of climate tendency rate, the decrease range of the Three Gorges
Reservoir is -44.84 to -157.71h/10a before impoundment and -37.30 to -262.18h/10a
after impoundment. Among them, the decrease range of sunshine hours at 11 sta-
tions(Dachuan, Badong, Enshi, Wufeng, Yichang, Jingzhou, Wanzhou, Shaping- ba,
Tongzi, Fengjie, Laifeng) increases, indicating the intensified decrease of sunshine hours
after impoundment.
The relative humidity of the Three Gorges Dam is 70–82% before impoundment and
is 71–80% after impoundment. The relative humidity of Badong, Wufeng and Fengjie
stations has somewhat increased after impoundment and that of the other 11 stations
has somewhat decreased. Through Mann-Kendall trend test(see the Table 1), the relative
humidity of Badong, Wufeng and Fengjie stations has insignificant increasing trend, and
that of the other 11 stations has a decreasing trend. Among them, the relative humidity
of 10 stations has a significant decreasing trend and that of one station has no significant
decreasing trend. According to the analysis of climate tendency rate, the climate tendency
rate ranges from -1.46 to 1.14%/10a before impoundment and from -3.73 to 1.38% after
impoundment. The relative humidity variability of 11 stations shows a decreasing trend,
indicating that after the impoundment of the Three Gorges Dam has a certain impact on
the decrease of relative humidity.

3.1.2 Evolution Law of Extreme Climatic Elements

The minimum temperature around the Three Gorges Reservoir Area ranges from -7.2 °C
to 0.7 °C before the impoundment and from - 4.8 °C to 1.8 °C after the impoundment. The
minimum temperature after the impoundment shows a general upward trend. According
to Mann-Kendall trend test(see the Table 3.2), the minimum temperature in the Three
Gorges Reservoir Area shows an upward trend. Among them, 9 stations(Dachuang,
Badong, Enshi, Wufeng, Wanzhou, Shapingba, Tongzi, Fengjie, Laifeng) have a sig-
nificant upward trend through the significance test of confidence level α = 0.05 and
other 5 stationshave no significant upward trend. The minimum temperature and cli-
mate tendency rate range from -0.07 °C to 1.25 °C/10a before the impoundment of
the Three Gorges Dam, and from -0.74 °C to 1.97 °C/10a after the impoundment of the
Three Gorges Dam. There are 9 stations(Wanyuan, Badong, Wufeng, Yichang, Jingzhou,
Wanzhou, Shapingba, Laifeng, Yibing) with a downward trend in the minimum temper-
ature variability, and other 5 stations with an upward trend in the minimum tempera-
ture variability. It can be seen from this that the reservoir impoundment has a certain
slowing-down effect on the overall rise of the lowest climate.
 Evolution Laws and Spatial Differentiation 481

Table 1 Statistics of PRCP and TEMP and SD and RH by Mann-Kendall test and variation range
of climate tendency rates

S.N Description of Mann-Kendall test Variation range of climate tendency

meteorological rate
station /°C/10a
Z value
PRCP TEMP SD RH PRCP TEMP SD RH
1 Wanyuan 0.57 2.94 −3.72 −2.99 50.93 1.41 70.57 −0.80
2 Gaoping 0.10 0.32 −4.77 −1.87 43.02 0.25 17.23 −2.96
3 Dachuan 0.62 2.01 −5.32 −4.35 −29.54 0.52 −97.57 −2.88
4 Badong -0.07 0.29 −4.65 0.81 23.64 0.10 −168.12 −1.50
5 Enshi −1.27 1.88 −3.01 −6.54 −16.45 0.45 −140.38 −0.98
6 Wufeng −0.34 4.88 −5.61 1.68 −44.12 0.22 −26.43 0.02
7 Yichang 0.57 2.94 −3.72 −2.99 −74.94 −0.43 −150.87 0.75
8 Jingzhou 1.00 5.37 −6.86 −6.82 −79.93 −0.21 −143.57 2.84
9 Wanzhou −1.11 3.35 −5.94 −5.51 8.46 0.41 −66.92 −2.70
10 Shapingba 0.97 2.57 −5.79 −3.32 123.42 0.27 −13.90 −4.18
11 Tongzi −1.51 2.78 −3.96 −3.70 −45.55 0.39 −72.12 −0.82
12 Fengjie −1.60 4.00 −4.17 0.14 −114.35 1.26 −195.17 −2.52
13 Laifeng −0.30 1.63 −4.64 −2.21 14.30 0.14 −117.93 −1.30
14 Yibin −2.05 2.60 −4.92 −5.67 170.59 −0.05 52.68 −2.81

The maximum temperature around the reservoir area ranges from 34.3 °C to 39.5 °C
before the impoundment, and from 34.5 °C to 40.4 °C after the impoundment. After the
impoundment of the Three Gorges Reservoir, the maximum temperature shows a general
temperature rise trend. According to Mann-Kendall trend test(see the Table 2), the max-
imum temperature except for Badong station shows a temperature rise trend. There are 6
stations(Dachuang, Wufeng, Wanzhou, Shapingba, Tongzi, Fengjie) show a significant
temperature rise trend and other 7 stations show no significant temperature rise trend.
The maximum temperature and climate tendency rate of the Three Gorges Reservoir
range from -0.19 to 0.43 °C/10a before impoundment, and from -0.18 to 1.44°C/10a
after the impoundment. The temperature rise trend of the maximum temperature after
the impoundment of the Three Gorges Reservoir is more obvious. It can be seen from
this that reservoir impoundment has the intensified rise of maximum temperature to a
certain extent.
The increase of extreme temperature around the Three Gorges Reservoir area will
inevitably change the regional ecosystem. The Three Gorges Reservoir has a slowing
effect on the rise of minimum temperature, and the impact on the ecosystem is beneficial.
The specific impact needs to be further studied.
482 R. Liu et al.

Table 2 Statistics of minimum temperature and maximum temperature by Mann-Kendall test and
Variation range of climate tendency rates

S.N Description of meteorological Mann-Kendall test Variation range of climate

station tendency rates
/°C/10a
Z value
MIN TEMP Max TEMP MIN TEMP Max TEMP
1 Wanyuan 1.70 1.58 −0.12 0.25
2 Gaoping 0.56 1.67 0.15 0.84
3 Dachuan 2.10 2.58 0.32 0.66
4 Badong 2.09 -0.42 −0.34 0.22
5 Enshi 3.68 1.25 0.26 0.58
6 Wufeng 4.30 5.08 −0.78 0.60
7 Yichang 1.70 1.58 −0.64 −0.15
8 Jingzhou 1.79 1.03 −1.99 0.45
9 Wanzhou 3.58 2.14 −0.28 0.63
10 Shapingba 3.08 1.99 −0.17 1.29
11 Tongzi 3.86 0.81 0.16 0.32
12 Fengjie 4.45 4.06 1.75 2.52
13 Laifeng 2.52 1.95 −0.34 1.29
14 Yibin 0.87 3.00 −0.45 0.49

3.2 Analysis of Abrupt Change

The Mann-Kendall method and ordered clustering algorithm are used to analyze the
abrupt change points of climate elements and extreme climate elements at the Three
Gorges Reservoir. See Fig. 2 and Fig. 3 for details. According to the Mann-Kendall test
pattern, the precipitation time series of most stations in the study area have no abrupt
change, but temperature, sunshine hours, relative humidity, minimum temperature and
maximum temperature have abrupt change, which the abrupt change time of tempera-
ture and relative humidity and maximum temperature time series most occurred after
2000. According to the ordered clustering analysis, except for the minimum tempera-
ture, the change-point time of time series for precipitation, temperature, sunshine hours,
relative humidity and maximum temperature at most stations is concentrated after the
impoundment of the Three Gorges Reservoir. It is known by both methods that the abrupt
changes in temperature, relative humidity and maximum temperature all occurred after
impoundment of the Three Gorges Reservoir.
 Evolution Laws and Spatial Differentiation 483

Fig. 2. Mann-kendall method for abrupt change of climatic factors

Fig. 3. Ordered clustering method for abrupt change of climatic factors

4 Spatial Differentiation Characteristics of Climate and Extreme

Climate Elements
4.1 Spatial Differentiation Characteristics of Climate Elements

The spatial distribution of climate elements in the reservoir area and the spatial dif-
ferentiation characteristics of the variation range of climate tendency rate before and
after the impoundment of the Three Gorges Reservoir (the difference between the cli-
mate tendency rates after the impoundment (1998–2019) and before the impoundment
(1961–1997)) are analyzed. See Fig. 4 ~ Fig. 7 for details. The precipitation in the reser-
voir area is generally small in the west and large in the east. The precipitation in Enshi
and Laifeng is large, which is related to the altitude; After the impoundment of the Three
Gorges Project, the precipitation variability increased in the west and decreased in the
east. Contrary to the spatial distribution of precipitation. The average annual temperature
484 R. Liu et al.

in the reservoir area is higher in the west and lower in the east. After the impoundment
of the Three Gorges Reservoir, the temperature variability is generally positive. Fengjie
and Wanyuan in the north-central part have the largest temperature rise variability, with
a variation range of 1.3–1.4°C/10a, indicating that north-central temperatures rise more
after the impoundment of the Three Gorges Project. The sunshine hours show the spatial
distribution characteristics of being less in the west and more in the east. The average
sunshine hours in Yibin in the west are the least, 1,003h/a, and the average sunshine
hours in Jingzhou in the east are the most, 1,692h/a; After the impoundment of the
Three Gorges Reservoir, the decrease range in the east is greater than that in the west.
The spatial distribution of relative humidity is bigger in west and smaller in the east.
After the impoundment of the Three Gorges Reservoir, the relative humidity shows a
general decreasing trend. Relative humidity in the west decreased more than that in the
east after the impoundment of the Three Gorges Reservoir.

Fig. 4. Average annual precipitation and differences climate inclination rate of precipitation

Fig. 5. Average annual temperature and differences climate inclination rate of temperature

4.2 Spatial Differentiation Characteristics of Extreme Climate Elements

The spatial distribution of extreme climate elements (minimum and maximum temper-
atures) at 14 meteorological stations in the reservoir area and the spatial differentia-
tion characteristics of the variation range of climate tendency rate before and after the
impoundment of the Three Gorges Reservoir are analyzed. See Fig. 8 and Fig. 9 for
details. The minimum temperature is high in the west and low in the east. The mini-
mum temperature in Yibin and Shapingba in the west was higher than 0.0 °C, and the
 Evolution Laws and Spatial Differentiation 485

Fig. 6. Average annual sunshine hours and differences climate inclination rate of solar duration

Fig. 7. Average annual relative humidity and differences climate inclination rate of relative
humidity

minimum temperature in Jingzhou and Wufeng in the east was lower than -3.3 °C. The
lowest temperature caused the slow warming in the east, and the warming in the west
intensified after the impoundment. The spatial differentiation characteristics between
maximum temperature and the minimum temperature is consistent, which is high in the
west and low in the east. The variability of the maximum temperature shows an overall
increasing trend after the impoundment, Wufeng and Fengjie have the largest warming
amplitude, which is 2.5 ~ 3.1 °C. Overall, the west heats up more than the east.

Fig. 8. Minimum temperature and differences climate inclination rate of minimum temperature
486 R. Liu et al.

Fig. 9. Maximum temperature and differences climate inclination rate of maximum temperature

5 Conclusions
The climatic inclination rate method, Mann-Kendall test, ordered clustering method and
kriging difference method were used to analyze the variation law and spatial differ-
entiation characteristics of climate and extreme climate elements before and after the
impoundment of the Three Gorges Reservoir as follows:
After the impoundment of the Three Gorges Reservoir has effects on precipitation,
temperature, Sunshine hours, relative humidity, minimum temperature and maximum
temperature in the surrounding areas. The impact on precipitation is weak, there is no
significant trends; sunshine hours and relative humidity all showed a significant decreas-
ing trend at 11 stations. However, the temperatures(including minimum and maximum
temperatures) around the reservoir area all have a significant warming trend, from a
cooling trend to a warming trend. The Three Gorges Reservoir has a slowing effect on
the rise of minimum temperature, and the impact on the ecosystem is beneficial. The
increase of extreme temperature around the Three Gorges Reservoir area will inevitably
change the regional ecosystem. The specific impact needs to be further studied.
Through the mutation analysis, there was no obvious abrupt change in precipitation
after the impoundment of the Three Gorges Reservoir. However, the sudden changes
in temperature increase, relative humidity decrease, and maximum temperature rise all
occurred after the impoundment of the Three Gorges Reservoir.
The precipitation variability in the reservoir area increased in the west and decreased
in the east after the impoundment, which was opposite to the spatial distribution of
precipitation. The temperature was higher in the west and lower in the east, and the
temperature in the central and northern parts of the country increased more after the
impoundment of the Three Gorges Reservoir. The spatial distribution of sunshine hours
is less in the west and more in the east, and the decrease in the east is greater than that in
the west. The spatial distribution of relative humidity showed a spatial pattern of large
in the west and small in the east, and the decrease of relative humidity in the west was
greater than that in the east after impoundment.
This paper presents a brief results of the construction of hydropower projects on lacal
climate factors. The lacal climate will change the ecosystem, we need adapt strategies to
mitigate the impact. Such as studying the criticality of regional ecosystems under climate
change tipping point, taking a targeted guarantee protection measures, and improving
early warning and governance capacity.
 Evolution Laws and Spatial Differentiation 487

Notes

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events in Shiyang River basin based on SPI. Acta Ecologica Sinica, 2017, 37 (3):
996–1007.
3. HAFEZ M,SHENOUDA W K.The environmental impacts of the Aswan High
Dam[C]//Water Management and Development, Proceedings of the United Naters
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4. MOUSSA A, SOLIMAN M,AZIZ M. Environmental evaluation for High Aswan
Dam since its construction until present[C]//Sixth International Water Technology
Conference,Egypt, 2001:301–311.
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Austria: Vienna,1991: 427–442.
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the Local Circulation in the Itaipu Lake Area[J]. Climatic Change, 2005,72(1/2):
103–121.
7. Wang Lingling. Study on the Impact of Xiaolangdi Reservoir on the Yellow River
on the Climate of Mengjin [D]. Zhengzhou: Henan Agricultural University, 2012.
8. WU L, ZHANG Q, JIANG Z. Three Gorges Dam affects regional precipitation[J].
Geophysical research letters, 2006, 331(13): 338–345.
9. WU Huiling, Zhou Jianzhong, Tian Mengqi,et el. Analysis of Climate Change before
and after the Impoundment of the Three Gorges Reservoir [J]. Water Power, 2021,
47(5): 30–35.
10. Zhang Jianmin, Huang Chaoying, Wu Jindong. Impacts of Climate Chane on Risk
in Running of the Three Gorges Reservoir[J]. Acta Geographica Sinica, 2000,
55(Supplement): 26–33.
11. Wan X R, Cheng C Y, Bai D F, et al. Ecological impacts of climate change and
adaption strategies. Bulletin of Chinese Academy of Sciences, 2023, 38(3): 518–527,
https://doi.org/10.16418/j.issn.1000-3045.20220815002. (in Chinese).
12. Wu Jia, Gao Xuejie, Zhang Dongfeng, et al. Climate effect of the Three Gorges
Reservoir and regional climate simulation of high temperature and drought events
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488 R. Liu et al.

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 Exploration of the Application of Fine
Reconstruction of Unmanned Aerial Vehicles
in Landslide Disaster Investigation
and Management

Daiyao Zhao(B) , Jingnan Han, Xianggang Liu, Zhouchang Zuo, and Kexun Zheng

Guiyang Engineering Corporation Limited, Power China, Guiyang 550081, China

[email protected]

Abstract. The mountainous terrain in the southwest region is characterized by

significant topographic relief and abundant rainfall. When constructing new energy
infrastructure such as booster stations in mountainous areas, it is extremely easy to
induce landslide instability due to the excavation of mountain slopes. This article
takes the Wangmo landslide in the southwestern region of Guizhou Province as
the research object, uses multi-rotor drones as platforms, and utilizes techniques
such as ground-based photogrammetry and close-range photogrammetry to detect
and obtain relevant parameters such as the shape, deformation and damage char-
acteristics, and zoning of the Wangmo landslide. The specific application methods
and application effects of fine reconstruction of drones in landslide hazard detec-
tion and management are elaborated and discussed. The conclusions are as fol-
lows: Compared with traditional orthophotography, the high-definition image data
obtained through fine reconstruction of ground-based photogrammetry and close-
range photogrammetry generates more comprehensive orthophotographs and 3D
model textures with higher resolution. Using the orthophotographs and 3D models
produced by fine reconstruction, the structural surface combination, surface crack
development, and landslide deformation zone are interpreted, and the formation
mechanism of the landslide is determined in conjunction with ground surveys,
providing a data foundation for prevention and control design. UAV aerial survey
has the characteristics of short cycle, flexibility, and strong emergency response,
and has high promotion value in landslide hazard investigation of booster stations.

Keywords: UAV · Landslide · Simulated ground flight · Close-up

photogrammetry · Refined reconstruction

1 Introduction
The southwest mountainous region has a high altitude, developed valley terrain, and large
topographic relief. It is rich in regional wind resources and is currently a hot area for
wind power construction. However, due to active geological activities and complex and
changing natural environments, landslide disasters often occur during the construction of
wind power projects due to various reasons (Hong Yebing 2016). Traditional landslide

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 489–502, 2025.
https://doi.org/10.1007/978-981-97-9184-2_40
490 D. Zhao et al.

investigations are mainly based on manual field surveys, which are often inefficient,
laborious, and time-consuming, and sometimes pose a threat to the personal safety of
investigators (Xie Muwen et al. 2014). In this case, how to quickly, accurately, and
efficiently obtain data from disaster areas and provide accurate and detailed information
for subsequent disaster mitigation plans is the focus.
In recent years, satellite remote sensing technology and drone oblique photogramme-
try technology have been widely used in geological hazard investigation and monitoring
(Xu Qiang et al. 2024). Satellite remote sensing technology has the disadvantages of
long data cycle and being affected by cloudy and foggy weather (Li Qiang et al. 2019).
The drone oblique photogrammetry technology has the advantages of high accuracy and
flexibility due to its non-contact measurement method, providing an efficient on-site
image acquisition and remote sensing results processing solution for geological haz-
ard investigation (Li Yin 2012; Guo Chen 2020). However, due to the often rugged
terrain in areas where wind power is constructed, there are still some shortcomings
in the resolution and accuracy of oblique photogrammetry technology, which cannot
fully capture information on geological hazards. In order to meet the needs of refined
investigation, relevant scholars have proposed imitation flight technology and close-up
photogrammetry technology. Imitation flight technology has the advantage of obtain-
ing high-precision 3D real-world models with consistent resolution, which can achieve
high-precision rendering and reconstruction of 3D models in areas with large elevation
differences (Huang Lizhang 2022); close-up photogrammetry technology takes the sur-
face as the photographic object and can take multiple-angle shots close to the surface
of the object, obtaining millimeter-level high-resolution images and highly restoring the
refined structure of the object (Yan Si et al. 2019)
This article quickly obtained high-precision geological impact data of the landslide
disaster area in the booster station through the simulation of ground flight technology
and close-up photogrammetry technology, and used refined reconstruction technology
to produce high-precision orthophoto and real-world 3D model products. The structural
plane combination and surface crack development in the landslide disaster area were
obtained, and the deformation characteristics of the landslide were analyzed, providing
a data foundation for prevention and control design.

2 UAV Technology and Data Acquisition and Processing Methods

2.1 Imitation of Ground Flight Technology
Ground-imitating flight refers to the UAV flying at a constant relative height accord-
ing to the ground relief of the flight area (Fig. 1). In flight operations, the existing
three-dimensional surface data (DSM) is used to keep the UAV at a constant height
with the ground target, overcoming the problems of large terrain elevation differences
and occlusion by protruding surfaces (Zhang Yilin 2023). As shown in Fig. 1(a), the
three-dimensional real-world model established by traditional contour flight photogra-
phy technology has inconsistent resolution at the top and bottom due to the same flight
path line in the same plane for areas with large terrain elevation differences. However,
as shown in Fig. 1(b), the UAV ground-imitating flight technology can ensure consistent
data resolution and reflect more detailed surface relief and microtopographic features
 Exploration of the Application of Fine Reconstruction 491

under the relatively large terrain elevation differences in the reservoir area (Pang Xin
et al. 2023).

Fig. 1. Ground-like flight principle diagram

2.2 Close to Photogrammetry Technology

Close-up photogrammetry technology is a technique that uses a rotary-wing drone to

closely approach the surface of the subject being photographed to obtain ultra-high-
definition images, precise coordinates, and detailed shapes of the object. The camera
direction is perpendicular to the surface of the object, allowing for the acquisition of
image information of steep terrain, as shown in Fig. 2. Compared to traditional aerial pho-
togrammetry methods, close-up photogrammetry has the advantages of fine and multi-
angle photography (Yao Futan 2023). This technology has the following characteristics:
it can obtain high-resolution images at the millimeter level; the camera angle can be
dynamically adjusted according to the shape of the object; before performing intelligent
close-up photography, it is necessary to reconstruct the image using conventional pho-
tography and other means to obtain the initial terrain. Close-up photogrammetry mainly
relies on high-precision positioning technology of drones and the ability of drone gimbal
attitude control to achieve, and it takes a long time. Its shooting objects are mostly steep
rock masses (He Kuangyu 2022).

2.3 Data Acquisition and Processing Method

The research data was collected using the DJI Mavic3E drone. When the RTK module
is activated, the horizontal accuracy reaches (±10) cm and the vertical accuracy reaches
(±10) cm, which can effectively meet the positioning accuracy requirements of both
flight technologies. The drone-related data is shown in Tables 1 and 2.
First, a conventional flight with an average resolution of 8 cm was conducted over the
study area with an area of about 0.64 km2 to obtain coarse topographic data of the survey
area. Secondly, based on the coarse topographic data, the landslide area was delineated
for ground-based flight, and the exposed bedrock on the road side was photographed
for close-up photography. Then, Context Capture was used to complete the detailed 3D
492 D. Zhao et al.

Fig. 2. Closer to the principles of photogrammetric flight

real-time modeling. Finally, DOM and DEM data obtained from ground-based analysis
were used to analyze the surface characteristics of the landslide, and the high-precision
3D point cloud model obtained from close-up photography was used to analyze the
structural plane combination in the landslide area. The process is shown in Fig. 3.

Fig. 3. Technology roadmap

 Exploration of the Application of Fine Reconstruction 493

Table 1. Related parameters of DJI Mavic3E

Parameter
Wheel base 380.1 mm
Weight 915 g
Flight load 1050 g
Capability 45 min
Acceptable wind speed 12 m/s
RTK accuracy ±0.1m (Perpendicular direction)
±0.1m (Horizontal direction)

Table 2. Main technical parameters of digital camera

Parameter
Pixel 20 million
Sensor size 4/3 CMOS
Image size 5280 × 3956
Aperture range f/2.8 ~ f/11
Focal-length 24 mm
ISO range 100 ~ 6400

Table 3. Statistical table of structural plane

Structural surface code dip angle(°) Tendency(°) Number of structural planes

J1 88 168 29
J2 83 218 50
J3 80 350 9
J4 42 69 18
J5 55 230 32
J6 87 36 102

3 Engineering Examples
3.1 Overview of the Study Area
As shown in Fig. 4, the study area is located in the Wangmo County of the Southwest
Buyei and Miao Autonomous Prefecture of Guizhou Province. The area is characterized
by eroded medium and low mountainous landforms, with dendritic gullies that are all
seasonal gullies with large flow during the rainy season. The geological structure of
494 D. Zhao et al.

the study area is clearly developed, mainly manifested as faults, folds, and joints. The
exposed bedrock is mainly the Triassic Middle Biyang Formation (T2 b) stratum, with
a top of siltstone mixed with mudstone and a bottom of sandy mudstone mixed with
sandstone. This landslide was caused by continuous heavy rain, and the front edge of the
landslide has already penetrated into the northwest side of the booster station, seriously
threatening the safety of the site.

Fig. 4. Overview of the study area (a)Geographical location of landslide;(b)Photos of the landslide
site(angle of view 6°);(c)Terrain of study area(8 cm resolution)

3.2 Investigation Results of Ground-Imitating Flight

3.2.1 Basic Information of Landslide
The DJI Mavic3E multi-rotor drone was used on site. The resolution of this model
of drone is GSD = H/36. Three flights were set up for simulated ground flight, with a
relative ground height of 60 m. High-precision images with a resolution of 1.6 cm within
a range of 9×104 m2 in the landslide area were obtained. Through Context Capture
processing and calculation, high-resolution 3D images and 3D real-life models of the
disaster were obtained, providing a comprehensive understanding of the basic situation
of the landslide. The disaster is located on the slope to the north of the booster station.
The front and rear edges of the landslide have elevations of approximately 1550 m and
1582 m respectively, with an overall height difference of 0 m between the front and rear
edges. The landslide movement direction is 290 m long and approximately 150 m wide
 Exploration of the Application of Fine Reconstruction 495

in the sliding direction. The average thickness of the landslide source area is about 8 m,
and the average thickness of the accumulation body is 18 m. The landslide volume is
about 41.3×104 m3, covering the northwest area of the booster station, as shown in
Fig. 5.

Fig. 5. Images before and after sliding before Wangmo landslide

3.2.2 Investigation of Landslide Cracks

Before the overall instability and failure of a landslide, it generally undergoes a long
deformation development and evolution process (Xu Qiang 2008). A large number of
examples show that cracks corresponding to its mechanical properties will be generated at
different locations due to stress concentration during different deformation stages of the
landslide. The development and evolution of these cracks follow certain rules, namely the
staged and coordinated characteristics of crack development. When the landslide enters
the accelerated deformation stage, these cracks will gradually connect with each other
and eventually tend to trap. When the landslide sliding surface is completely connected
and the surface cracks are completely trapped, the landslide may occur. Therefore, the
investigation of landslide cracks is of great significance for evaluating the stability of
the landslide. The Wangmo landslide has experienced a large-scale collapse, and tensile
cracks have occurred in multiple parts of the slope, with a rapid deformation rate. If the
cracks are connected, there is a threat of larger-scale collapse. This article obtained a
high-precision 3D model and DEM through drone data processing collected by simulated
flight, and combined with ground surveys to identify surface cracks. A total of 49 cracks
were identified, as shown in Fig. 6.
496 D. Zhao et al.

Fig. 6. Landslide fissure identification results

3.2.3 Rapid Zoning of Landslide

Based on high-precision drone orthophoto data, combined with topographic conditions
and deformation and damage characteristics, the landslide is divided into four zones
(Fig. 7), namely Zone I (main sliding zone), Zone II (strong deformation zone), Zone III
(accumulation zone), and Zone IV (disturbance zone), A brief description is as follows:
➀ Zone I (main sliding zone)
The main sliding area of the landslide is located in the middle and upper part of
the landslide’s trailing edge, with an elevation range of 1587 m–1637 m. It is located
in the core of a syncline structure. Overall, due to the influence of fold structures,
the rear part of the slope is relatively steep, and the slope body is inclined (stratum
dip angle of 25°–40°). The slope body tends to be steep upward and forms a broad
and well-developed gentle slope terrain downward. Due to the sliding of the main
sliding area, a relatively flat trailing edge platform is formed, which is prone to form
catchment areas under rainfall conditions.
➁ Zone II (strong deformation zone)
The strong deformation area on the west side of the slope has a slope gradient
of 16°–42°. The right boundary of the area is bounded by the landslide downslope
scarp, and the left boundary is bounded by the vertical tension fractures generated in
the middle of the landslide. The overall soil mass in the deformation area is pulled
and shifted downward, with longitudinal fractures developing on the slope surface,
resulting in severe surface deformation.
➂ Zone III (accumulation area)
After moving for a certain distance, the landslide material of Wangmo landslide
gradually entered the accumulation stage due to the gradual relaxation of topography
and the continuous dissipation of energy. The accumulation area at the slope toe was
pushed into the site area, which is the main area affecting the safety of engineering
structures in the site area.
 Exploration of the Application of Fine Reconstruction 497

➃ Area IV (disturbed area)

The disturbed area is located on the east side of the slope, near the left boundary of
the ancient landslide. When a new landslide occurs, the area is disturbed and locally
deformed. After this equilibrium evolution, it has been in a relatively stable state with
a clear overall outline, but it still has potential dangers.

Fig. 7. Landslide zoning map

498 D. Zhao et al.

3.3 Data Acquisition and Processing for Close-Range Photogrammetry

3.3.1 Data Acquisition and Processing

In order to analyze the structural characteristics of the landslide, a section of exposed rock
mass on the west side of the Wangmo landslide was selected for close-up photogram-
metry. To ensure the standardization of the acquired image data, the flight route was
planned and designed using the professional version of UAV Manager software. Based
on the development characteristics of the structural planes of the dangerous rock mass,
multiple-angle intelligent routes were planned and the intelligent routes were imported
into the flight control equipment to automatically complete the close-up photography of
the dangerous rock mass. The average design GSD of this intelligent route is 3 mm, the
heading overlap rate is 85%, the lateral overlap rate is about 85%, and the flight height is
about 15m. The Context Capture software was used to reconstruct the collected images
into 3D models and 3D color point cloud models. The reconstructed models accurately
restore the texture information of the slope, as shown in Fig. 8.

3.3.2 Information Extraction of Rock Mass Structural Plane

(1) Spherical k-means clustering analysis

After obtaining the point cloud model, k-means clustering analysis is performed on
the information of the rock mass structural planes in the area to achieve grouping of
structural planes with different spatial distributions. The similarity standard calculation
formula between the maximum standard vector involved in the clustering analysis and
its related data vector is (Dhillon et al. 2001):

cos(xb , pn ) (1)
n b∈Cn

In the formula, n is the number of groups in the clustering division; pn is the standard
vector in n groups; xb is the bth vector in n groups; Cn is the group of the nth group; and
cos(x, p) is the cosine value of the similarity between two vectors.
Based on the above principle, this article uses the relevant program written in the
open source software R to construct a matrix of normal information for the generated
point cloud structure surface. By calling the spherical k-means clustering package and
entering the number of clusters to be divided, the normal matrix is grouped and analyzed,
as shown in Fig. 9.
Based on the above principle, this article uses a related program written in the open
source software Rr to construct a matrix of normal information for the generated point
cloud structure surface. By calling the spherical k-means clustering package and entering
the number of clusters to be divided, the normal matrix is grouped and analyzed, as shown
in Fig. 9.

(2) Extraction of structural plane occurrence

After the completion of the clustering and grouping calculation, combined with the
three-dimensional color point cloud model obtained, the effect of each group of structural
 Exploration of the Application of Fine Reconstruction 499

Fig. 8. Three-dimensional model of rock mass (2 mm resolution) (a) Digital elevation of rock
mass; (b) 3d real scene model; (c) 3d color point cloud model; (d) partial model

Fig. 9. The overall dip angle HSV diagram of rock mass

planes can be directly tested by extracting the color of each group of structural planes
based on the grouping. Each group of structural planes should be pure color without other
colors after clustering and grouping. After clustering and calculating the point cloud in
the collapse area, six groups of pure-colored structural planes were separately separated,
so the inclination and trend of the structural planes can be directly extracted based on the
assigned colors. As shown in Fig. 10, there are six groups of different colored structural
planes, where J1 is purple (168° 88°), J3 is yellow (350° 80°), and the trend difference
500 D. Zhao et al.

is greater than 180°. This is due to the effects of weathering and erosion on the slope
surface, which makes it impossible for the slope structural planes to be a smooth and flat
plane. Therefore, such deviations in trend are also in line with the actual development of
slope structural planes. J2 is purple (218° 83°), which is also a steep-inclined structural
plane and is conjugate with J1 and J2. J6 is light pink (36° 87°), which is the rock layer
of the rock mass and is consistent with the stratigraphic occurrence of the landslide area.

Fig. 10. Statistical diagram of structural plane

4 Conclusions

This article uses multi-rotor drones to conduct disaster detection work on the landslide at
the Wangmo booster station using techniques such as ground-simulating flight and close-
range photogrammetry. It obtains low-altitude high-precision remote sensing data, and
provides detailed investigation of the landslide at the booster station, providing basic data
for disaster management and prevention design. The main conclusions are as follows:
(1) Compared with traditional oblique photogrammetry, ground-simulating flight and
close-up photogrammetry can obtain higher-resolution remote sensing data. Ground-
simulating flight is suitable for large-scale landslides with a resolution of cm level,
while close-up photogrammetry is suitable for small-scale steep rock masses with a
resolution of mm level.
(2) Using the imitation of ground flight technology to reconstruct the DOM and 3D
real-time model (1.6 cm resolution) for production, 49 cracks were identified, and
five deformation zones were divided based on deformation characteristics, greatly
reducing ground work. Using close-range photogrammetry technology, a total of six
structural planes were identified,
 Exploration of the Application of Fine Reconstruction 501

(3) The safety of the booster station is the key to the normal operation of the wind power
project. When a disaster with a large impact area such as a landslide occurs in the
booster station area, drone flight simulation and close-up photogrammetry can assist
in on-site investigation to identify the development characteristics of the disaster.

References
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Mach. Learn 42(1/2), 143–175 (2001)
2. Guo Chen, et al.: Application of UAV photogrammetry technology in the emergency rescue
of Baige landslide in Jinsha River. J. Disaster Stud. 35(1), 203–210 (2020)
3. He Kuangyu: Identification method based on drone close-up photography for high and steep
slope rock surface information. Hunan University (2022)
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Langshan step-up substation. Shanxi Archit. 42(23), 68–70 (2016)
5. Huang Lizhang: Application of uav imitation flight in complex terrain reservoir inclined
photogrammetry. J. Geograp. Geograp. 37(4), 44–46 (2022)
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area earthquake landslides using high-resolution third-generation satellite polarization SAR
images. J. Remote Sens. 23(5), 883–891 (2019)
7. Li Yin: Research on emergency processing of UAV images and disaster information extraction
technology in the Wenchuan earthquake disaster area. Chengdu University of Technology,
Chengdu (2012)
8. Pang Xin, et al.: A rapid identification method for high and steep slope dangerous rock masses
based on LiDAR imitation flight technology of unmanned aerial vehicles. Bull. Geol. Sci.
Technol. (2023)
9. Xie Mowen, Hu Man, Du Yan, et al.: Progress of TLS technology and its application in
landslide monitoring. Remote Sens. Land Resour. 26(3), 8–15 (2014)
10. Xu Qiang, et al.: Research on the Spatiotemporal evolution law and early warning and
prediction of landslides. Chin. J. Rock Mech. Eng. 27(6), 1104–1112 (2008)
11. Xu Qiang, et al.: Characteristics and formation mechanism of liquefaction-type landslide-
mudflow triggered by the M6.2 Jishishan Earthquake in Gansu Province and Its Impact on
Zhongchuan Township in Qinghai Province. J. Wuhan Univ. (Inf. Sci. Edn.), 1–18 (2024)
12. Yao Futan, et al.: A method for investigating the structural planes of high, steep and dangerous
rock masses based on close-range photogrammetry technology. J. Chengdu Univ. Technol.
(Nat. Sci. Edn.) 50(02), 218–228 (2023)
13. Yan Si: Pioneering and continuously innovating to approach photogrammetry: the birth of
the third photogrammetric method—an exclusive interview with Zhang Zuxun, academician
of the School of Remote Sensing Information Engineering at Wuhan University. China Surv.
Mapp. 28(10), 31–37 (2019)
14. Zhang Yilin: Application of UAV imitation flight in large-scale mapping in complex
mountainous areas. Heilongjiang Sci. 14(10), 114–116 (2023)
502 D. Zhao et al.

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 Spotlight on Groundbreaking
Sustainable Energy Technologies
 Research on the Deflection Deformation
of Photovoltaic Modules Caused
by Low-Temperature Environment

Lian Chunxing, Wang Shusheng, and Sun Zhenyu(B)

China Water Northeastern Investigation, Design & Research Co.,Ltd., Changchun, China
[email protected]

Abstract. The purpose of this study is to conduct a preliminary study on the flex-
ural deformation of photovoltaic modules in low-temperature environments. By
analyzing the characteristics and influencing mechanisms of flexural deformation,
theoretical basis and technical guidance are provided for the design, manufactur-
ing, and application of photovoltaic modules, and the performance and reliability
of photovoltaic modules in low-temperature environments are improved. We have
developed a warping deformation testing plan for photovoltaic modules under dif-
ferent temperature environments using a true type test method, and measured and
analyzed the warping deformation of photovoltaic modules under different tem-
perature environments. The results indicate that low-temperature environment is
the main cause of deflection deformation of photovoltaic modules, and the strength
of the frame structure and materials also have a certain impact on the degree of
deformation. This study can provide assurance for the long-term operation of
photovoltaic modules, reduce maintenance costs and failure rates of photovoltaic
systems.

Keywords: Photovoltaics · Modules · Low temperature · Deformation

1 Introduction
As one of the most core components in solar power generation systems, photovoltaic
modules directly affect the power generation efficiency and reliability of the entire system
[1, 2]. The frame of photovoltaic modules is an important component of photovoltaic
systems, which not only plays a supporting and protective role, but also plays a crucial
role in the performance and efficiency of the modules.
The selection of photovoltaic module frame structure type has a direct impact on
its performance. Typical frame structures mainly include aluminum alloy frames and
frameless structures. Aluminum alloy frames are widely used due to their excellent
oxidation resistance and mechanical strength [3], while frameless structures are receiving
increasing attention due to their advantages such as reducing weight and improving light
utilization.
The strength requirement of the border is directly related to the stability and durability
of photovoltaic modules. In the design phase, it is necessary to consider the mechanical

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 505–514, 2025.
https://doi.org/10.1007/978-981-97-9184-2_41
506 L. Chunxing et al.

loads of components under different environmental conditions (such as wind loads, snow
loads, etc.) [4]. The strength requirement depends on various factors, including climate
conditions, installation position of pressure blocks [5], fixing form of components [6],
and design and material of frames.
The deformation of the border can also affect the performance of the component [7].
Research has shown that frame deformation may lead to stress concentration in glass,
thereby increasing the risk of component rupture. At the same time, the deformation of
the frame may also affect the sealing of the photovoltaic module, leading to moisture
and impurities infiltration, which affects the performance of the battery cells.
However, research on the strength of component frames by domestic and foreign
scholars has mainly focused on resisting static loads [8] and wind and snow loads [9],
with little research on the mechanical performance and deformation characteristics of
components under temperature loads.
The objective of this study is to conduct a preliminary study on the flexural defor-
mation of photovoltaic modules in low-temperature environments, and to explore the
reasons and influencing factors that cause module deformation. By analyzing the char-
acteristics and influencing mechanisms of flexural deformation, reliable theoretical basis
and technical guidance can be provided for the design, manufacturing, and application of
photovoltaic modules, thereby improving the performance and reliability of photovoltaic
modules in low-temperature environments.

2 Engineering Design Parameters and Photovoltaic Module

Dimensions
The photovoltaic plant site of this project is located in Xishechang, Wanghua District,
Fushun City, Liaoning Province. The terrain is a plain area, with an altitude of 120–180
m. The center point coordinates are 123°48 34.18 E and 41°49 09.20 N. The site area
is approximately 312.4 hectares (2345 acres), and the terrain is flat.
The total installed capacity of this project is about 213.58441 MWp, and the instal-
lation method is all fixed brackets with a component inclination angle of 30 degrees.
Through a comprehensive comparison of technology and economy, it is proposed to use
single crystal silicon P-type 545 Wp double-sided photovoltaic modules, with a total
quantity of 391898 pieces. The photovoltaic module grid is 2278 mm × 1134 mm ×
35 mm, using a fixed inclination angle bracket with a module inclination angle of 30°.
According to the module specifications provided by the photovoltaic module
manufacturer, the main technical parameters of the module are as follows:
The component is 2278 mm long, 1134 mm wide, and 35 mm thick. The component
frame is made of aluminum alloy material, and the frame section adopts a hollow frame
structure. The interface dimensions of the short side aluminum alloy frame are shown
in Fig. 1, and the interface dimensions of the long side aluminum alloy frame are shown
in Fig. 2.
The weight of the components, number of battery cells, operating temperature, max-
imum bearing capacity of the front frame, maximum bearing capacity of the back frame,
and wall thickness of the aluminum alloy frame used in this project are shown in Table 1.
 Research on the Deflection 507

Fig. 1. Cross section of short aluminum alloy frame

Fig. 2. Cross section of long edged aluminum alloy frame

Table 1. Specification parameters of photovoltaic modules

Project Parameter
Battery type Single crystal
Component weight 31.6 kg ± 3%
Front glass/back glass 2.0 mm/2.0 mm
Number of battery cells 144 (6 × 24)
Maximum system voltage 1500 VDC
Working temperature –40 °C ~ + 85 °C
Maximum rated current of fuse 30 A
Rated battery operating temperature 45 ± 2 °C
Fire resistance performance UL Type29
Maximum load-bearing capacity of frame (front) 5400 Pa
Maximum load-bearing capacity of frame (back) 2400 Pa
Aluminum alloy frame wall thickness 1 mm
508 L. Chunxing et al.

3 Discovery of Warping and Deformation of Three Components

To ensure grid connection by December 30, 2022, this project will organize the instal-
lation of photovoltaic modules in winter. During the quality acceptance process of the
general contracting unit, it was found that the flatness of the components on the same
group of supports did not meet the specification requirements. After investigation, it was
found that the severe warping and deformation of the components were the cause.
According to the technical requirements for purchasing photovoltaic modules, the
degree of warping of photovoltaic modules cannot exceed 6 mm. To measure the degree
of warping of photovoltaic modules, on-site personnel used a simple method of pulling
wires for measurement. Measurement personnel work in groups of three, with each
person holding the two ends of a thin nylon wire and placing the two ends of the wire at
the ends of the long side of the photovoltaic module. The third person held a steel tape
measure and searched for the area with the largest gap between the fine nylon thread and
the component frame, then measured the curvature. The measurement result is shown
in Fig. 3.

Fig. 3. On site measurement of photovoltaic module warpage

The photovoltaic modules of this project are supplied by two manufacturers. After
discovering the warping phenomenon of the modules, the quality inspection person-
nel of the general contractor conducted sampling inspections on the modules of both
manufacturers. The inspection results are shown in Table 2.
After spot checks, it was found that photovoltaic modules from both manufacturers
generally exhibit warping, with a minimum warpage of 5 mm and a maximum warpage
of 12 mm. The majority of modules have a warpage of 7 mm–8 mm, and the overall
distribution is normal.
 Research on the Deflection 509

Table 2. Warpage tables of photovoltaic modules provided by two manufacturers

Component number Manufacturer 1 Warpage (mm) Manufacturer 2 Warpage (mm)

1 10 7
2 8 6
3 9 5
4 12 8
5 7 10
6 8 12
7 6 7
8 8 8
9 7 8
10 6 7

4 Analysis of the Causes of Warping Deformations

4.1 Component Size and Border Strength Impact
Larger photovoltaic modules are more prone to warping. This is because when the surface
of the component is exposed to light, the temperature at the center of the component is
usually higher than the edge, causing the center of the component to expand and causing
the edge of the component to tilt upwards. When photovoltaic modules are exposed to
sunlight, the surface of the modules absorbs solar radiation, generates heat, and thus
raises the temperature of the module surface. Due to the uneven distribution of solar
radiation on the surface of the module, the temperature at the center of the module
surface is usually higher than at the edges. In this case, the material at the center of the
component surface will expand, while the material at the edge of the component will
remain relatively stable, which will cause the component edge to tilt upwards. In addition,
larger photovoltaic modules are exposed to more light and heat due to their larger surface
area, making them more prone to warping. Therefore, in order to reduce the degree of
warping of photovoltaic modules, the size of the modules can be appropriately reduced.
This can make the solar radiation on the surface of the component more uniform, thereby
reducing the temperature rise at the center of the component surface and reducing the
possibility of the component warping upwards. Of course, reducing the size of modules
may also affect the power generation efficiency of photovoltaic modules. Because a
smaller surface area of the component means that it can receive less solar energy, the
power generation capacity of the component may decrease. When designing photovoltaic
modules, it is necessary to comprehensively consider factors such as module warping
and power generation efficiency, and find a balance point.
The strength of the border has a significant impact on the degree of warping of
photovoltaic modules. The stronger the border, the smaller the degree of warping of
the photovoltaic module. This is because the frame provides support and protection
for the photovoltaic module. When the surface of a component is exposed to light, the
510 L. Chunxing et al.

temperature at the center of the component is usually higher than the edge, causing
the center of the component to expand and causing the edge of the component to tilt
upwards. If the border is not strong enough, the edges of the component will bend,
causing deformation of the component shape and affecting the photoelectric conversion
efficiency.
Therefore, using strong borders is an effective method to reduce the degree of warping
of photovoltaic modules. Here are some specific measures for strong border design:
(1) Increase the thickness of the border material: The thicker the border material, the
stronger the support it provides, which can effectively reduce the degree of com-
ponent warping. However, it should be noted that increasing the thickness of the
frame will increase the material cost and weight, which may affect the installation
and transportation of photovoltaic modules.
(2) Adopting stronger border design: Some modern border designs use complex struc-
tures and material combinations to provide stronger support. For example, some
frame designs use a composite structure of aluminum alloy and steel, or use a beam
structure to increase the strength of the frame.
(3) Consider the bonding strength between the frame and glass: The bonding strength
between the frame and glass can also affect the degree of warping of photovoltaic
modules. If the adhesion between the frame and the glass is not strong enough,
the frame cannot effectively support the glass, resulting in component deformation.
Therefore, stronger adhesives or improved bonding processes can be considered to
enhance the bonding strength between the frame and glass.

4.2 Component Transportation Impact

Photovoltaic modules may be affected by various mechanical and environmental factors
during transportation, leading to module warping. The following are some possible
causes of component warping:
(1) Pressure: During transportation, photovoltaic modules may be subjected to pressure
from surrounding objects or other components. If the pressure is uneven or exceeds
the limit that the component can withstand, the component may warp.
(2) Vibration: Vibration during transportation may cause loose connections between
internal components or components, resulting in component warping.
(3) Improper stacking: During transportation, photovoltaic modules may be improp-
erly stacked or stored, causing irregular pressure between modules and resulting in
module warping.
Therefore, during transportation, a series of measures need to be taken to reduce
component warping, such as using appropriate packaging materials and methods, con-
trolling transportation temperature and humidity, avoiding excessive stacking and trans-
portation vibration, etc. At the same time, sufficient inspections should be conducted on
the components before transportation to ensure their quality and stability.

4.3 Environmental Temperature Impact

The thermal expansion coefficient of photovoltaic power generation modules varies at
different temperatures, and they may undergo warping deformation when heated or
 Research on the Deflection 511

cooled. Specifically, when photovoltaic power generation modules are heated by light,
the surface temperature of the module will be higher than the internal temperature of the
module, causing the surface of the module to expand while the internal temperature of
the module relatively shrinks. In this way, the center of the component will rise upwards,
causing the component to warp and deform. On the contrary, when photovoltaic power
generation modules are cooled, the surface temperature of the modules will be lower
than the internal temperature, causing the surface of the modules to shrink while the
internal temperature of the modules will relatively expand. In this way, the center of the
component will compress downwards, which may also cause the component to warp
and deform.
To reduce the warping deformation of photovoltaic power generation modules, the
following methods can be adopted:
(1) Choose materials with a smaller coefficient of thermal expansion to make compo-
nents, such as tempered glass or composite materials, which can reduce the thermal
expansion of the components, thereby reducing their warping deformation.
(2) Adopting more stable component support structures, such as thicker aluminum
frames or steel brackets, to provide better support and reduce component warping
deformation.
(3) Consider temperature changes in component design, such as using larger gaps or
more flexible support structures to adapt to component warping deformation, thereby
reducing the risk of component damage.

5 True Type Test of Warpage of 5 Components Under Different

Temperature Environments
The photovoltaic modules delivered in this project showed significant warping defor-
mation after being unpacked. Therefore, it is speculated that the high temperature at the
production site of the modules and the low environmental temperature after the modules
arrived may have caused severe warping deformation of the modules due to the large
temperature difference.
To verify the above conjecture, three photovoltaic modules with different degrees
of warping were selected and moved to a greenhouse with an ambient temperature of
24 °C. After the deformation stabilized, their warping degree was measured. After the
measurement is completed, move the test components to an outdoor environment for
freezing, with an outdoor temperature of about minus 20 °C. After the deformation of
the components in the low-temperature environment stabilizes, measure their warpage.
Repeat this process three times and record the degree of warping. The test data is shown
in Table 3.
The following conclusions can be drawn from the measurement data of the above
cold and hot cycles:
(1) Temperature changes are the main cause of photovoltaic module warping, with
modules contracting in low temperature environments and modules stretching in
high temperature environments.
(2) For components with a warpage of 12 mm, the degree of warping of the compo-
nents is greatly alleviated in indoor environments; For components with smaller
512 L. Chunxing et al.

Table 3. Warpage of photovoltaic modules during cold and hot cycle testing

Component number First cold and hot Second hot and cold Third hot and cold
cycle cycle cycle
Indoor Outdoor Indoor Outdoor Indoor Outdoor
1 6 12 5 11 5 12
2 5 8 6 9 4 7
3 3 5 4 4 4 5

warpage, temperature changes have little effect on the recovery deformation of the
components.
(3) After the component undergoes warping deformation, even at high temperatures,
it cannot return to a straight state. The warping caused by low temperature
environments will result in residual deformation.

6 Conclusion and Outlook

Through on-site cold and hot cycle tests on the modules, it was verified that temperature
changes are the main cause of warping deformation in the photovoltaic modules of this
project. The warping deformation of the components discovered in this project in the
low-temperature environment of Northeast China is still the first discovery in China,
and no scholars have studied this phenomenon in China. The warping and deformation
of components caused by temperature is only the surface cause of the problem, and its
essence still lies in the size and strength of the photovoltaic module frame.
In order to pursue larger single chip capacity and economic benefits, photovoltaic
module manufacturers are increasing the size of photovoltaic modules and thinning the
thickness of aluminum alloy frames. At present, component manufacturers are jointly
launching large-sized components with a frame thickness of 30mm in order to reduce
costs. The larger the component size, the thinner the border thickness. However, the wall
thickness of the border section remains unchanged, resulting in insufficient stiffness of
the component border to resist stress and deformation caused by temperature changes.
Based on the practical experience of this project, the following measures can be
taken to avoid or reduce the problem of component warping and deformation caused by
temperature:
(1) Choose appropriate materials: The materials of photovoltaic modules should have a
lower coefficient of thermal expansion to mitigate the effects of warping deformation.
(2) Optimization design: The design of photovoltaic modules should consider thermal
and mechanical factors to minimize warping deformation caused by temperature.
For example, designs with thinness, flexibility, and bending curvature can be used to
adapt to the thermal expansion needs of materials under temperature changes. When
purchasing photovoltaic modules, try to choose aluminum alloy frame components
with larger thickness and higher strength.
 Research on the Deflection 513

(3) Strengthening heat dissipation: Improving the heat dissipation performance of photo-
voltaic modules is an important way to reduce temperature induced warping defor-
mation. The following methods can be used to increase heat dissipation: select-
ing substrate materials and packaging materials with high thermal conductivity to
enhance heat conduction. Add heat sinks or fans to improve heat dissipation capacity
and reduce component temperature.
(4) Temperature compensation: Based on the actual working temperature of photo-
voltaic modules, corresponding temperature compensation methods are adopted dur-
ing module manufacturing. For example, adding materials that match the thermal
expansion coefficient or setting a temperature compensation layer during packag-
ing can reduce the internal stress of photovoltaic modules caused by temperature
changes.
(5) Installation method improvement: When installing photovoltaic modules, attention
should be paid to maintaining appropriate gaps between the modules to ensure
that there is enough space for thermal expansion and contraction of the modules
during temperature changes. In addition, adjustable mounting brackets or suspension
devices can be considered to reduce the stress on photovoltaic modules caused by
temperature.
(6) Adopting a distributed power generation system: dispersing the installation of photo-
voltaic modules to reduce the temperature load borne by individual modules, thereby
reducing the risk of warping and deformation.
(7) Prevent local hot spot effect: Local hot spot effect can cause the local temperature
of photovoltaic modules to be too high, increasing warping. Local thermal spot
effects can be reduced by strengthening the cleaning and maintenance of photovoltaic
modules and avoiding obstruction of light sources.
(8) Monitoring the temperature of photovoltaic modules: Using temperature sensors to
monitor the real-time temperature of photovoltaic modules, taking necessary mea-
sures to adjust the structure or external conditions to a certain extent, thereby reducing
the temperature of photovoltaic modules and alleviating warping deformation.
The next stage plans to use finite element analysis software to analyze the internal
forces and deformations of the photovoltaic modules in this project under different
temperature fields, in order to verify the correctness of the above conjectures.
The discovery of this project has accumulated valuable experience for future pho-
tovoltaic projects in cold regions. In the subsequent research process, the technology of
the frame is continuously improved to avoid such situations.

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5. Dawei, L., Hongxiang, T., Hu, G., Wenbo, P., Zhiguo, Z.: Simulation calculation study on
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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
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statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Wide-Area Long Sequence Photovoltaic Power
Simulation Based on ERA5 Reanalysis Data

Siwei Tang1 , Xu Wang2(B) , Jie Gao2 , Fangliang Zhu2 , and Jianzan Yang1
1 PowerChina Guiyang Engineering Corporation Limited, Guiyang, China
2 China Renewable Energy Engineering Institute, Beijing, China

[email protected]

Abstract. The long-sequence hourly photovoltaic power simulation sequence is

an important reference information in the stage of power station planning, design-
ing and dispatching operation. Based on the ERA5 reanalysis data, this paper
adopts the tilted plane radiation model and the photoelectric conversion model to
construct a photovoltaic power physical simulation model, and conducts hourly
power simulation study for a total of 23 years from 2000 to 2022 for 30 existing
photovoltaic power stations in China, and analyzes the simulation effect and the
interannual volatility of power generation capacity in different temporal and spa-
tial ranges. The results show that: on different time scales, the power simulation
results are different, and the long time scale is better than the short time scale.
The root mean square errors of the monthly average, daily average and hourly
scales are 0.89–20.8, 0.43–9.61, and 0.3–3.42 respectively; in different spatial
ranges, the power simulation results are also different, and the power stations with
relatively low simulation effect are mainly distributed in the western region with
smaller longitude; there are great differences in the interannual power generation
capacity volatility of each power station, and the volatility between years of the
power stations at low latitudes is relatively large. In general, the power simulation
result of the ERA5 reanalysis data can better reflect the actual operation law of
the power station, and carrying out long-sequence power simulation through the
ERA5 reanalysis data can provide relatively reliable data support for the planning
and operation of the power station.

Keywords: ERA5 reanalysis data · wide-area · long sequence · power simulation

1 Introduction
With the intensification of the climate change trend and the frequent occurrence of
extreme weather, as a clean and renewable energy source, photovoltaic power stations
have continuously accelerated the construction pace and continuously increased in scale
in China in recent years, and have made important contributions to the reduction of
carbon dioxide emissions. In the actual operation process of photovoltaic power stations,
they are easily affected by the weather, and there is great uncertainty in the output. The
output sequence on a short time coverage is difficult to effectively reflect the true power
generation capacity of the power station. By simulating the output sequence of the power

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 515–525, 2025.
https://doi.org/10.1007/978-981-97-9184-2_42
516 T. Siwei et al.

station through the long-sequence historical meteorological data, it can reliably reflect
its true power generation capacity and has good guiding significance for the planning,
designing and dispatching operation of the power station [1].
At present, the photovoltaic power sequence is mainly simulated and calculated based
on two types of meteorological data sources, one is the meteorological stations built on
the ground, and the other is the meteorological reanalysis data released by meteorological
institutions. Among the two types of data, the data accuracy of meteorological stations
is relatively high, but the coverage area of meteorological stations is limited and there
are problems of missing data and a short monitoring sequence, which is difficult to meet
the needs of large-area long-sequence research; the monitoring range of reanalysis data
covers the whole world, and the sequence length is also more than several decades, so
this type of data is widely used in large-area long-sequence research. In terms of power
simulation methods, there are mainly two types [2]: statistical and physical models. Sta-
tistical models mainly include methods such as regression analysis, machine learning,
and deep learning. This type of method realizes power simulation calculation by estab-
lishing the potential mapping relationship between meteorological elements, historical
operation information of the power station and the power of the power station. The train-
ing data of the model is an important basis of this method, so this type of model has
higher requirements for the sequence length and quality of the training data; the phys-
ical model is based on physical concepts and methods, and is essentially the reflection
of physical laws. No training data is required in the construction process. Reliable and
accurate meteorological sequence and basic information such as the coordinates of the
power station and equipment parameters are the keys to carrying out power simulation
using this model. Reanalysis data and physical models have the advantages of long data
sequence and no need for training respectively. Conducting power simulation through
reanalysis data and physical models is the main way to obtain the long-sequence power
sequence of the power station in the stage of power station planning and dispatching.
There are many sources of reanalysis data. Among them, the ERA5 data set released
by the European Centre for Medium Range Weather Forecasts (ECMWF) has good
accuracy in the Chinese region [3, 4]. This data set is widely used in solar energy
resource assessment, but there are relatively few photovoltaic power simulation studies
related to it. In this paper, taking the ERA5 reanalysis data as the data source and
through the physical model of photovoltaic power simulation, the power simulation
study of 30 photovoltaic power stations in China will be carried out, and the accuracy
and applicability of ERA5 reanalysis data in power simulation will be analyzed, in order
to provide a reference for the long-sequence hourly photovoltaic power simulation study
of ERA5 reanalysis data in China.

2 Data and Methods

2.1 Data

In this paper, ERA5 reanalysis data and photovoltaic site data are used to carry out
relevant research. The former is used to generate power simulation sequences, and the
latter is used to test the simulation effect.
 Wide-Area Long Sequence Photovoltaic Power Simulation 517

2.1.1 ERA5 Reanalysis Data

ERA5 is the fifth-generation meteorological reanalysis data released by ECMWF. This
data is generated based on ground observation data and satellite data through advanced
data assimilation technology, and has high accuracy among similar global data sets.
ERA5 provides rich hourly gridded meteorological elements with a grid resolution of
0.25° × 0.25° and a time coverage length from 1950 to the present. The meteorological
elements used in this paper are the total horizontal irradiance, the direct horizontal
irradiance and the temperature, and the selected period is from January 1, 2000 to
December 31, 2022.

2.1.2 Photovoltaic Power Stations Data

This paper selects 30 photovoltaic power stations in China to verify the accuracy and
reliability of the power simulation sequence. The above power stations are distributed
in various regions in China (Fig. 1), and the selected operating data time range is from
January 1, 2022 to December 31, 2022.

Fig. 1. Spatial distribution of photovoltaic power station

2.2 The Photovoltaic Power Simulation Model

The photovoltaic power simulation model mainly consists of two parts: the tilted plane
radiation model and the photoelectric conversion model. The tilted plane radiation model
518 T. Siwei et al.

is used to calculate the irradiance received by the photovoltaic module, and the photo-
electric conversion model is used to calculate the power generation capacity of the
photovoltaic module.

2.2.1 Tilted Plane Radiation Model

The irradiance of the photovoltaic module mainly consists of three parts: direct irradi-
ance, diffuse irradiance, and reflection irradiance [5–7]. The calculation formula is as
follows:

Ist = Isdir + Isdif + Isref (2.1)

where Ist , Isdir , Isdif , Isref are the global irradiance, the direct irradiance, the diffuse
irradiance, and the reflection irradiance on the tilted plane, respectively, in units of
W/m2 .
The direct irradiance on the tilted plane Isdir can be calculated from the direct
radiation on the horizontal plane Ihdir and the conversion coefficient Rb :

Isdir = Ihdir × Rb (2.2)

sin δ sin ϕ cos β − sin δ cos ϕ sin β cos γt + cos δ cos ϕ cos β cos ω
cos δ sin ϕ sin β cos γt cos ω + cos δ sin β sin γt sin ω
Rb = (2.3)
sin ϕ sin δ + cos ϕ cos δ cos ω

δ = 23.45 sin 360∗(284 + n)/365 (2.4)

   
π λ − 120 180
ω= t + eot + −π ∗ (2.5)
12 15 π

eot = 9.87 sin(2θ ) − 7.53 cos θ − 1.5 sin θ (2.6)

2π (n − 81)
θ= (2.7)
364
where Ihdir is the direct irradiance on the horizontal plane (W/m2 ); ϕ is the latitude (°);
β is the inclination angle of the photovoltaic module (°); γt is the azimuth angle of the
photovoltaic module (°); δ is the declination angle (°), n is the number of days in the
year; ω is the solar hour angle (°), t is the Beijing time (h), λ is the longitude of the
photovoltaic power station (°); eot is the time difference (h) [8].
The diffusion radiation on the tilted plane adopts the Hay-Davies model, and the
calculation formula is as follows:
 
1 + cos β
Isdif = ARb + (1 − A) (2.8)
2

A = Ihdir /I0 (2.9)

 Wide-Area Long Sequence Photovoltaic Power Simulation 519

I0 = γ Esc (sin ϕ sin δ + cos δ cos ϕ cos ω) (2.10)

γ = 1 + 0.033 cos(360 × n/365) (2.11)

where A is the anisotropy index of the sky; I0 is extraterrestrial horizontal solar irradiance;
Esc is solar constant, Esc = 1367W /m2 ; n is the number of the day in the year.
The reflected radiation on the slope can be calculated from the global radiation on
the horizontal plane Iht :
 
1 − cos β
Isref = Iht ρ (2.12)
2

where ρ is the albedo of the surface, generally 0.2.

2.2.2 Photoelectric Conversion Model

The amount of irradiance received by a photovoltaic power station is the main factor
determining its output. The relationship between them can be approximately expressed
as follows:

P = KIst S (2.13)

where P is the power generation (W); K is the photovoltaic conversion coefficient; S is

the area of the photovoltaic panel (m2 ).
The photovoltaic conversion coefficient reflects the comprehensive efficiency of con-
verting the irradiance received by the power station into output. Since the photoelectric
conversion efficiency, array aging, dust occlusion, temperature, etc. are all important fac-
tors affecting its power generation during the power generation process, the photoelectric
conversion coefficient can be summarized as follows:

K = ηs [1 − α(Tc − 25)]K1 K2 K3 K4 (2.14)

where ηs is the photoelectric conversion efficiency under standard test conditions; α

is the temperature coefficient (°C−1 ), and the value of crystalline silicon material is
0.003–0.005(°C−1 ); Tc is the photovoltaic array panel temperature (°C); IT is the global
irradiance on the slope (W/m2 ); S is the effective area of the photovoltaic module of the
power station (m2 ); K1 is the loss coefficient of photovoltaic array aging; K2 is the loss
coefficient of photovoltaic array mismatch; K3 is the loss coefficient of dust occlusion;
K4 is the loss coefficient of the DC circuit line.

2.3 Evaluation Metrics

In this paper, the actual operating power of the selected photovoltaic power station in
2022 is used as the benchmark, and the correlation coefficient (CORR) and the root
mean square error (RMSE) are selected to test and analyze the power simulation effect
520 T. Siwei et al.

of different time scales for the simulated power sequence in the corresponding period
[9].
n
(yri − yr )(ysi − ys )
CORR =  i=1 (2.15)
n 2 n
i=1 (yri − yr ) i=1 (ysi − ys ) 2


n
1
RMSE = (ysi − yri )2 (2.16)
n
i=1

where yr , ys are the average values of the actual operating power and the simulated
power, respectively; yri , ysi are the actual operating power and the simulated power,
respectively; n is the sequence length. Both CORR and RMSE reflect the closeness of
the simulated value to the actual value. The closer the CORR value is to 1, the better the
simulation effect; the closer the RMSE value is to 0, the better the simulation effect.

3 Results and Discussions

3.1 Simulation Accuracy and Applicability Analysis

The photovoltaic power simulation results of 30 photovoltaic power stations at different

time scales of hours, days, and months are evaluated respectively. As shown in Fig. 1, the
simulation accuracy of photovoltaic power varies at different time scales. The RMSE at
the hourly scale is 0.89–20.8, the RMSE at the daily scale is 0.43–9.61, and the RMSE at
the monthly scale is 0.3–3.42. The accuracy of photovoltaic power simulation is overall
good; as the time scale of power simulation increases, the accuracy of power simulation
increases. The reason is that the output of photovoltaic is affected by meteorological
factors such as irradiance. The smaller the time scale, the greater the randomness of
irradiance, ERA5 is more difficult to capture the real irradiance information, and then
transmits this part of the error to the power simulation value, resulting in an increase in
simulation error.

Fig. 2. Multi-time scale power simulation results

 Wide-Area Long Sequence Photovoltaic Power Simulation 521

The correlation coefficient between the power simulation value and the real value at
the hourly scale of 30 photovoltaic power stations was calculated, and the power simula-
tion effect in different spaces was analyzed in combination with its spatial distribution.
As shown in Fig. 2, the hourly power simulation correlation coefficient of 30 power sta-
tions is 0.81–0.95, and the correlation coefficient of most power stations is higher than
0.9, only 10 power stations have a correlation coefficient lower than 0.9, indicating that
the overall accuracy of power simulation results is high. From the spatial distribution
of power stations in Fig. 2, it can be known that the power stations with low simula-
tion effect are mainly distributed in the western region with a smaller longitude. For
example, S1 and S3 power station are located in the southwest region of China, S4 and
S7 power station are located in the northwest region of China. The climate and terrain
conditions in the above two regions are complex, and the randomness of irradiance and
other meteorological factors is large, resulting in relatively large simulation difficulties.

Fig. 3. Spatial distribution of power simulation results

The output of photovoltaic shows a relatively regular change characteristic within

a day, so the annual average intra-day process of 30 photovoltaic power stations is
analyzed, and the correlation coefficient between the simulation value and the real value
is calculated. As shown in Fig. 3, the range of its correlation coefficient is 0.815–0948.
Combined with the results of Figs. 2 and 3, it shows that the overall accuracy of power
simulation is high. Further analysis of its intra-day output characteristics shows that the
change trend of the power simulation sequence and the occurrence time of the peak are
basically the same as the real situation. The simulation error in the morning and afternoon
is relatively small, and the error is mainly in the peak stage at noon. The reason is that
there are errors in various theoretical parameters adopted in the power station simulation
model compared with the actual situation. And at this stage, the irradiation is also at the
peak stage and the irradiation and the output are basically in a linear relationship, so the
simulation error at this stage is also relatively large.
522 T. Siwei et al.

Fig. 4. Comparison of annual average intra-day power simulation results

3.2 Interannual Variation

In order to clarify the changing rule of the power generation capacity of the photovoltaic
power station under a long time scale, a total of 23-year power simulation sequence was
calculated, and the interannual fluctuation of the power generation capacity of each power
station was calculated by taking the standard deviation as the evaluation index. As shown
in Fig. 4, the inter-annual volatility of 30 photovoltaic power stations varies greatly,
among which S14 has the largest volatility of 0.77, and S26 has the smallest volatility
of 0.02. In addition, the volatility of each power station shows a certain distribution
pattern in space. As shown in Fig. 5, the higher the latitude at which the power station is
located, the relatively smaller its interannual volatility. The reason for this phenomenon
is that the terrain and climate conditions where the low-latitude power station is located
are more complex, resulting in more significant interannual changes in irradiation [10],
and then resulting in relatively large changes in the interannual output of photovoltaic
(Fig. 6).
 Wide-Area Long Sequence Photovoltaic Power Simulation 523

Fig. 5. Interannual fluctuation of photovoltaic power

Fig. 6. Spatial distribution of photovoltaic power station fluctuation

524 T. Siwei et al.

4 Conclusions

Based on the ERA5 reanalysis data and physical simulation model, hourly power simu-
lation research was carried out on 30 photovoltaic power stations in the Chinese region
from 2000 to 2022, the power simulation applicability of ERA5 in different time scales
and spatial ranges was analyzed, and the interannual variation law of the annual power
generation capacity of each power station was studied. The main conclusions are as
follows:
1. The photovoltaic power simulation sequence generated through ERA5 and the phys-
ical simulation model has relatively good accuracy and can reliably reflect the actual
operating characteristics of the photovoltaic power station. The correlation coefficient
of the hourly power simulation sequence is 0.81–0.95.
2. On different time scales and spatial ranges, the accuracy of the power simulation
results based on ERA5 is different. On different time scales such as hourly, daily and
monthly, the simulation accuracy at the hourly scale is the lowest, and the simulation
accuracy at the monthly scale is the highest, The power simulation accuracy increases
as the time scale becomes larger; in terms of the spatial range, the power stations with
relatively lower simulation effects are mainly distributed in the western region with
a smaller longitude, and the simulation accuracy of the power stations in the eastern
region is generally higher.
3. There are large differences in the interannual power generation capacity volatility
among different photovoltaic power stations, with the minimum being 0.02 and the
maximum being 0.77; there is a certain distribution pattern in the spatial distribution of
the interannual power generation capacity volatility of the power stations. Compared
with the low-latitude power stations, the volatility of the high-latitude power stations
is relatively small.
Overall, the long-sequence hourly photovoltaic power simulation sequence generated
through ERA5 and the physical simulation model can provide reliable data support for
the planning, designing and dispatching operation of photovoltaic power stations.

Acknowledgement. This work was supported by the National Natural Science Foundation of
China (Grant No. U2243232), Power Construction Corporation of China, Ltd Technology Project
(DJ-HXGG-2022-01, DJ-ZDXM-2022-10, DJ-ZDXM-2021-26).

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
Effective Models for the Integration
of Green Energy Systems Within
Existing Infrastructures
 Application of Flow Prediction Models
to the HPP Castro Alves for Planning Preventive
Actions Against Extreme Events

Beatriz Sepulveda Pires(B) , Xinjian Chen, and Huiyi Zhang

CPFL Energia, Campinas, Brazil

[email protected]

Abstract. Today, the effects of climate change are increasingly evident. In the
southern region of Brazil, significant impacts have been observed, such as the peak
flows in November 2023, when a state of emergency was declared in the areas of
the municipalities of Rio das Antas, Rio Grande do Sul, due to the impacts of heavy
rainfall in the region. Such events may become more frequent in the coming years,
so that the forecasting of hydroelectric inflows is necessary to plan the operation
of the plants and to carry out preventive actions to deal with extreme events. The
Ceran complex is located on the Antas River and consists of three hydroelectric
plants, the Castro Alves, Monte Claro and Quartorze de Julho plants, and with a
view to the sustainable operation of the projects in order to make conscious use of
water resources, optimize operations and minimize the impact on the well-being
of local populations, it has been studied and applied that rainfall-runoff models
to forecast the inflows to the projects on the Antas River cascade. Rainfall-runoff
models are essential for predicting extreme flows and taking preventive action,
providing the operations center and the team involved with information for prior
decision-making and, if necessary, evacuation of operators and potentially affected
communities. In view of the above, this paper will apply the MEL model to convert
rainfall into flow and compare the predicted results with the observed ones.

Keywords: mathematical model · hydrological forecasting · rainfall-runoff

model · operation planning · heavy rainfall

1 Introduction
As the impacts of climate change become increasingly evident, discussions around these
issues are reaching a crucial juncture. We are facing a scenario in which climate resilience
and adaptability are becoming imperative not only for communities and ecosystems, but
also for hydroelectric projects, the fundamental pillars of our energy infrastructure. In
this context, the operational planning of hydroelectric plants becomes a vital tool in the
search for the “survival” and efficiency of these projects in an ever-changing climate
scenario. Anticipating and responding to extreme weather events has become not only a
precautionary measure, but also an essential strategy to guide the actions and decisions
of entrepreneurs.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 529–536, 2025.
https://doi.org/10.1007/978-981-97-9184-2_43
530 B. S. Pires et al.

In view of the above, the objective of this paper was to implement the linear stochastic
model, MEL, at the Castro Alves Power Station, which is part of the CERAN complex of
power stations, estimate the average daily inflows and then estimate the daily peak flow,
comparing the observed data with the predicted data. HPP Castro Alves is a hydroelectric
power plant located on the Antas River, sub–basin of the Taquari River, South Atlantic
watershed, southeastern section, has an installed capacity of 130 MW and has been in
operation since 2018.
The model showed satisfactory results in the calibration period and acceptable and
satisfactory results in the validation period. In relation to the calibration period, the
value of the CNS objective function was 0.84 and an R2 of 0.84, which means that it is
properly calibrated. The validation period showed a CNS coefficient and R2 of 0.63 for
the period 2017 to 2019, which according to the reference indicates that the correlation is
acceptable and 0.97 for the period 01/2024 to 05/2024. From the calculated and observed
maximum flow data, it was possible to see that the calculated maximum flow showed a
good correlation, with a value of 0.85.
This paper explores the importance of planning the operation of hydroelectric plants
as a fundamental approach to meeting the challenges posed by climate change, with a
view to ensuring the safety of structures and local communities.

2 Conceptualization of the MEL Model

The MEL model, a tool for simulating hydrological processes, is a linear stochastic model
designed to convert rainfall data into predictions of river flow. It operates based on the
principles of transfer function models as outlined by the ONS in 2007. The MEL model
operates within a stochastic framework and integrates time series analysis techniques
into its functioning. Using observed discharge and observed and predicted rainfall data
from the upstream area, the model equation is structured to capture these hydrological
dynamics (ONS, 2007).
In the calibration phase, the MEL model estimates parameters through multiple
linear regression analysis using the least squares method. This calibration process aims
to capture lateral contributions and damping effects within the river basin by adjusting
equation parameters accordingly. Equation (1) provides insight into these parameter
specifications.
t−1 t−2 t−1 t−2
t
QCal = a0 + a1 QObs + a2 QObs + a3 QPrev,P1
t
+ a4 PPr ev,P1 + a5 PPrev,P1
t−1 t−2
(1)
+a6 PPrev,P2
t
+ a7 PPrev,P2 + a8 PPrev,P2

Analysis of Eq. (1) reveals that current flow predictions are dependent on past
observed and calculated flows, as well as observed and calculated rainfall. Consequently,
longer-term forecasts are inherently more uncertain because they rely on estimates
derived from previous forecasts (Fadiga Júnior et al. 2008).
 Application of Flow Prediction Models to the HPP Castro Alves 531

3 Methodology
3.1 Case Study
The present work studied the HPP Castro Alves, a hydroelectric power plant located on
the Antas River, sub–basin of the Taquari River, South Atlantic watershed, southeastern
section. The Castro Alves HPP is located between the municipalities of Nova Roma do
Sul and Nova Pádua, with latitude coordinate –29,0058 and longitude –51,3853. It has
an installed capacity of 130 MW and has been in operation since 2018. The power plant
operates on a run-of-river basis, and the entire affluent flow is discharged, with no water
storage in the reservoir. The Antas River basin, in the Castro Alves HPP basin region,
does not have a well-defined seasonality in terms of precipitation.

3.2 Model Input Data and Calibration

Rainfall data from two stations and flow data were used to calibrate the model. The
period analyzed was from 2016 to 2024. Since the data for the most recent period is of
better quality due to the lower number of failures and gross errors, this data was used
to calibrate and validate the model. The observed rainfall and flow data were acquired
from the National Water Agency (ANA) website, and the stations used were UHE Castro
Alves Barramento and UHE Castro Alves Rs-122 and Stattio caxias do Sul from the
SISDAGRO system. SISDAGRO is an agricultural decision support system developed
by the National Institute of Meteorology – INMET (Table 1).

Table 1. Model input data

Data/Model MEL
Calibration parameters 9 parameters
Rain gauge stations used UHE Castro Alves Barramento
Caxias do Sul
Flow Station used UHE Castro Alves RS-22

The objective functions chosen for analysis and model calibration were the Nash-
Sutcliffe efficiency coefficient (CNS). Table 2 shows the objective function with the
reference parameters.
Data from 11/2020 to 12/2023 was chosen for the calibration period. When calibrat-
ing the model, it was found that for calculated flows greater than or equal to 1500 m3 /s
the values were underestimated, so the relationship between the calculated values and
the observed values was evaluated in order to define an increase factor to make these
values more representative. For higher values, above 4000, it was found that the incre-
ment factor should not be the same, so after analysis and testing, a different increment
factor was adopted for these values. In addition to the above, in order to implement this
increase factor, we also assessed whether the rainfall on the day of the forecast was
above 100 mm, i.e. whether it would be a day with moderate to heavy rainfall.
532 B. S. Pires et al.

Table 2. Ojective function and reference parameters

Objective function Equation Reference value Reference

 =1−
CNS Cns Properly calibrated: Cns Gottschalk and
N
(QObs (t)−QCal (t))2 > 0.75 Motovilov (2000)
t=1
N
t=1 (QObs (t)−Q Obs )
2 Acceptable: 0.36 < Cns
< 0.75
Unsatisfactory: Cns <
0.36

To estimate the maximum flow for the day, a correlation was made between the
average daily flows and the maximum daily flows. Using the linear correlation, it was
possible to estimate the maximum daily flow from the daily flow data.

3.3 Peak Flow Estimate

To calculate the peak flow, was selected the hourly observed flow data for the entire data
period, from 2020 to 2024. The average daily flow and maximum daily flow data were
then calculated. These data were then correlated to determine the periods in which the
data was best correlated.
According to the correlation of the data, increment values were used to multiply the
average flow and obtain the maximum daily flow. The Excel solver tool was used to
estimate the increment factor values.

4 Results
After executing the presented methodology, the calibration and validation parameters
of the model were obtained, as shown in Table 3. The coefficients of the equation are
shown in Table 4.

Table 3. Calculated parameters and reference parameters

Parameters Period Value

CNS calibration 11/2020 to 12/2023 0.84 Properly calibrated
R2 calibration 11/2020 to 12/2023 0.84 –
CNS validation 01/2017 to 12/2019 0.63 Acceptable
R2 validation 01/2017 to 12/2019 0.64 –
CNS validation 01/2024 to 05/2024 0.96 Properly calibrated
R2 validation 01/2024 to 05/2024 0.97 –
 Application of Flow Prediction Models to the HPP Castro Alves 533

Table 4. Values of the equation coefficients

Coefficient Value
a0 2.50
a1 0.68
a2 0.00
a3 2.57
a4 5.37
a5 0.00
a6 0.00
a7 0.00
a8 0.97
Increase factor 1500 ≤ Q < 4000 2.60
Increase factor 4000 ≤ Q 1.50

Fig. 1. Comparison of observed and calculated flows – calibration 2020 to 2023

From the analysis of the graphs and parameters presented, it can be seen that the
calibration period had a CNS of 0.84 and an R2 of 0.84, which means that it is properly
calibrated. The validation period showed a CNS coefficient of xx and R2 of 0.6, for the
period 2017 to 2019, which according to the reference indicates that the correlation is
acceptable. For the period from 01/2024 to 05/2024, the CNS and the R value were 0.97,
showing an excellent result. Analysis of the data showed that the series for previous
years presented some data gaps, which may be a relevant factor in reducing the accuracy
of the model for the validation period (Figs. 1, 2 and 3).
534 B. S. Pires et al.

Fig. 2. Comparison of observed and calculated flows – Validation 2017 to 2019

Fig. 3. Comparison of observed and calculated flows – validation 2024

When calculating the peaks, the series from 2020 to 2024 was divided into greater
than 2000 m3 /s, between 400 and 2000 m3 /s and less than 400 m3 /s because the individual
stretches had different correlations with each other and provided a higher quality estimate
when assessed separately. Table 5 shows the increment values for each stretch analyzed
and Fig. 4 shows the result of the estimated maximum daily flow when the factor is applied
to the average daily flow calculated by the MEL model and the maximum observed flow.
The series with data from 2017 to 2019 was not used to analyze the peaks, as the lack
of hourly data could lead to possible inconsistencies.
From the calculated and observed maximum flow data, it could be seen that the
calculated maximum flow showed a good correlation, with a value of 0.85.
 Application of Flow Prediction Models to the HPP Castro Alves 535

Table 5. Analysis range and increment factor value

Analysis range Increment factor value

Greater than 2000 1.38
Greater than 400 1.18
Less equal than 400 1.14

Fig. 4. Comparison maximum daily flow calculated and observed

5 Conclusion
Adapting to climate change is a crucial component in ensuring the smooth development
and operation of hydroelectric plants. In a scenario where climate patterns are constantly
evolving, the ability to adapt and respond to these changes becomes fundamental to
ensuring the efficiency and safety of these important structures.
In addition, planning for the operation of hydroelectric plants plays an essential role
in the management of water resources and in the short-term forecasting of hydrological
conditions. By using models such as MEL, it is possible to accurately estimate the average
flow and daily peak flows, providing valuable information to guide decision-making and
ensure the safety of the structures and adjacent communities.
This work demonstrated the successful application of the MEL model at the Cas-
tro Alves HPP, achieving promising results with satisfactory coefficients of efficiency
(CNS) and coefficients of determination (R2 ) in calibration and acceptable coefficients
in validation phases. The results obtained indicate that the model is capable of providing
reliable estimates for the average daily flow and peak flows.
536 B. S. Pires et al.

Although there is room for improvement in the performance of the model, especially
with regard to improving the input data, it is encouraging to note that the most recent
data tends to present a higher quality of information. Therefore, even with these consid-
erations, it is feasible and recommendable to apply the MEL model to obtain accurate
and useful results for estimating the flow of hydroelectric plants, thus contributing to
more efficient and sustainable management of water resources in the face of ongoing
climate change.

References
1. Fadiga Júnior, F.M., Lopes, J.G., Martins, J.B.D.F., et al.: Modelos de Previsão de Vazões
para a Bacia Incremental à UHE Itaipu. Revista Brasileira de Recursos Hídricos 13(2), 65–75
(2008)
2. Gottschalk, L., Motovilov, Y.: Macroscale hydrological modelling: a Scandinavian experience.
In: International Symposium on “Can science and society save the water crisis in the 21
century”—Reports from the World ‘Japan Society of Hydrology and Water Resources. Tokyo,
pp. 38–45 (2000)
3. OPERADOR NACIONAL DO SISTEMA ELÉTRICO: NT 173/2007: Novo modelo de pre-
visão de vazões com informação de precipitação para o trecho incremental de itaipu. Rio de
Janeiro, 63 pp. (2007)

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included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Research on the Design Method of Ultimate
Pressure for Compressed Air Energy Storage
in Hydroelectric Tunnels

Yue Han(B) , Yaohui Gao, Hao Cui, Ning Liu, and Pingzhi Chen

PowerChina Huadong Engineering Corporation Limited, Hangzhou 310014, Zhejiang, China

[email protected]

Abstract. The design of storage pressure is an indispensable step for reusing the
existing hydropower tunnels into compressed air storage cavern, which directly
affects the safety and economy of the plant. To design appropriate pressure, firstly
the three anti lifting theoretical models are adopted to establish the analytical
ultimate pressure methods in this paper and the ultimate pressure obtained under
different parameters are compraed and anyasided. Based on multi-layer thick-
walled cylinder theory, an improved calculation method for the ultimate pressure
is proposed. Then parameter sensitivity analysis are conducted to reveal the key
coefficient affecting the ultimate pressure corresponding to the model. Finallly, the
proposed method is applied in the traffic tunnel of Baihetan Hydropower Station
as an example.The results show that the straight failure plane (SFP) model is
relatively conservative, resulting in lower ultimate pressure. The shear resistance
of the conical failure surface surface will increase the ultimate pressure. The newly
proposed model takes into account the influence of structures, and obtains a more
reasonable ultimate pressure by limiting the tension stress of the steel lining. The
surrounding rock’s elastic modulus and burial depth exert the most significant
influence on the ultimate pressure. In contrast, the effects of tunnel radius, steel
grade, and concrete lining thickness are of moderate importance. The impact of
steel lining thickness, concrete grade, Poisson’s ratio of the surrounding rock,
and surrounding rock density on the ultimate pressure is comparatively minor.
The ultimate pressure of the Baihetan traffic tunnel by this method is 23.6 MPa.
This study is of great significance for the renovation of compressed air storage in
hydropower tunnles.

Keyword: Ultimate pressure · Compressed air energy storage · Hydroelectric

tunnels

1 Introduction
Compressed air energy storage(CAES) is a long-term and large-scale physical energy
storage technology with short construction period, pollution-free, and low cost [1]. Due to
the large volume and high internal pressure of gas storage facilities, underground storage
caverns for CAES can be advantageous from a safety and an economical perspective [2].

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 537–551, 2025.
https://doi.org/10.1007/978-981-97-9184-2_44
538 Y. Han et al.

The underground caverns of hydropower stations with huge space and good geolog-
ical conditions, can provide high-quality storage resources for compressed air. Reusing
the hydroelectric tunnels is one of the innovative ways to achieve China’s ‘dual carbon’
goals, which can save excavation and support costs for tunnels compared to newly-
built tunnels. One of the important design aspects of underground pressurized caverns
is the ultimate pressure against ground uplift [3]. If overburden rock masses are not
sufficiently strong enough to resist the upward lifting pressure due to the internal high
pressurized compressed air, crack may generate at the cavern periphery and result in
overall instability of the cavern.Therefore, anti uplift safety is a method to constrain
internal pressure.
The anti uplift criterion is mainly established in the field of hydroelectric tunnels,
such as the common Norwegian criterion [4], which requires the weight of the overlying
rock mass to be no less than the vertical uplift pressure acting on the surrounding rock
area of the tunnel. However, this criterion ignores the influence of the strength and
geostress of the rock mass. The rigid-cone model have been introduced in determining
the depth of pressurized storage cavern to prevent from overburden rock mass failure
[5], the cone angle (α) is taken as 30° or 45°. Except for the cone angle, the model
does not account for any rock mass strength. The log-spiral model have proposed based
on the response of soils in resisting a pull-out of soil anchor at shallow depth [6]. In
addition to overburden rock mass weight, the model also includes the resistance from
friction along the log-spiral failure surface. Kim [7] assume that failure plane is straight
upward to ground surface, and shear resistant force on the failure plane and buoyant
force were considered. Tunsakul [8] studied the failure plane of storage tunnel through
model experiments, and the results showed that the failure was approximately conical
in shape. On this basis, Xu et al. [9] derived the function of the uplift failure surface,
refined the shape of the fracture surface, and considered factors such as rock friction
and cohesion. Sun et al. [10] controlled the ultimate equilibrium state of the cone model
through the initiation angle and the obliquity of failure plane. The above research results
basically supported the assumption that the failure plane was conical. Collapse shape of
shallow circular tunnel is derived by Yang and Huang [11] using a new curved failure
mechanism based on Nonlinear Hoek–Brown failure criterion. But the failure mode for
traffic tunnel is different from that of high internal pressure tunnels. Carranza-Torres [12]
assumed the angle offailure plane is 45° − ϕ/2, which conforms to the Mohr Coulomb
criterion, and established a limit pressure model considering the normal stress and shear
force.
Except that the imit equilibrium analysis against ground uplift, The stress state of the
tunnel has also attracted attention, Wang et al. [13] established a theoretical analytical
solution for a circular tunnel, and obtained the upper and lower limit pressure relationship
equations based on the Mohr Coulomb strength criterion. But the above method did not
consider the actual high-pressure gas acting on the lining structure. In the design of
pressure steel pipes for hydropower stations, the steel lining is designed considering the
bearing capacity of the steel lining structure under water pressure [14]. However, the
model neglected the influence of geostress, which is not related to burial depth.
 Research on the Design Method 539

In this paper, three typical anti lifting theoretical models are listed, and three ultimate
pressure methods are established for comparative analysis. A theoretical model is estab-
lished based on the multi-layer thick-walled cylinder theory. Based on the analytical
solutions for its stress of the steel lining, a new ultimate pressure solution is provided
by limiting the hoop tension of steel lining.Parametric sensitivity analysis is conduted
to reveal the key factor for ultimate pressure. Finallly, the ultimate pressure of Baihetan
hydropower station is calculated by the new method.

2 Anti Lifting Theoretical Model

2.1 The Rigid-Cone Model
As presented in Fig. 1, the tunnel is assumed to have a circular cross-section. This model
does not consider the influence of the strength and geostress of the rock mass, only the
weight of the overlying circular abutment. The cone angle is taken as 30°. According to
the ultimate equilibrium between the overlying gravity of the rock mass and the internal
pressure of the tunnel, the expression for the ultimate pressure is obtained as:
 √ 
H γ 2r + H / 3
Pmax = (1)
2rFsafe
where Pmax is the ultimate pressure, MPa; H is the Burial depth of the tunnel, m; γ is the
volume-weight of rock mass, kN/m3; r is the tunnel radius, m; Fsafe is the safety factor.

Fig. 1. Schematic diagram of the rigid-cone model

2.2 The Straight Failure Plane Model

Similar to Kim’s model, the failure plane is straight upward to ground surface, and only
vertical gravity, frictional force and internal pressure are considered. The expression for
the ultimate pressure is:
rH γ + cH
Pmax = (2)
rFsafe
where c is the cohesive force of overlying rock mass, MPa.
540 Y. Han et al.

H c

r
Pmax

Fig. 2. Schematic diagram of the straight failure plane model

2.3 The Modified Rigid Cone Model

This model is an advanced version of the rigid-cone model, which takes into account the
Mohr Coulomb criterion in failure and incorporates the fracture angle and cohesion.
The model diagram is shown in Fig. 2, the overlying rock mass is subjected to its own
weight.The BC and B’C’ surfaces subjected to pressure F out and shear resistance T are
the failure plane of the overlying rock, and the failure angle is 45° − ϕ/2. The CC surface
is on the ground and is not affected by external forces, The BB ’surface is subjected to gas
pressure, and the shear force at the fracture surface satisfies the Mohr-Coulomb strength
criterion. The pressure can be expressed as (Fig. 3).

Fig. 3. Schematic diagram of the modified rigid cone model

αH 2 + βH
Pmax = (3)
Fsafe

The coefficient α and β are:

    
γ tan 45◦ − ϕ2 λy tan ϕ − tan 45◦ − ϕ2
α= +    ;
2r 2r 1 + tan ϕ tan 45◦ − ϕ2
 
c sec2 45◦ − ϕ2
β=γ +    (4)
r 1 + tan ϕ tan 45◦ − ϕ2
 Research on the Design Method 541

where λ is the coefficient of lateral pressure; ϕ is the internal friction angle of the
surrounding rock, °.

2.4 Calculation Scheme and Result Analysis

Basic value used in the calculations for ground uplift models. The radius r of the CAES
tunnel involved in the equation is 5m, and the burial depth H is 100 m. The volume-
weight γ of the rock mass is 27 kN/m3 , the internal friction angle of the rock mass ϕ is
40°, and the cohesive force c is 1.5 MPa.
A factor of safety of 2.0 is chosen in the present analysis, and this is a common factor
of safety both for slope stability design using limit equilibrium [7] and in tunnel design
to ensure safety against potentially falling ground [10].
Compare the above three methods by substituting parameter values into the above
equations. The ultimate pressures for the RC model, the SFP model and the MRC
model are 9.14 MPa, 1.36 MPa and 11.99 MPa. The obtained ultimate pressures for
the SFP model is the smallest of the three, which means the vertical failure surface is
too conservative. The conical failure surface is more suitable for CAES shallow buried
artificial tunnels. Comparing the RC model and the MRC model, MRC model has slightly
higher values than the RC model, and the pressure and shear resistance of BC and B’C
’surfaces will increase the ultimate pressure. Essentially, both geostress and rock strength
can promote the ultimate pressure.
Parametric sensitivity analysis are carried out to investigate the key influencing
parameters. Figure 4(a) shows the ultimate pressures for three ground uplift models
at different depths. The results of RC model and the MRC model are similar. As the
burial depth increases, the pressure increases significantly. When the tunnel at a depth
of 280m, the ultimate pressure is greater than 60 MPa, and even up to 90 MPa. It is too
overstated.
Only RC model and the MRC model are selected to conduct sensitivity analysis,
and the results are shown in the Fig. 4(b)-(f). The ultimate pressures of the two models
decreases with the increase of radius, and the slope of decrease fast firstly and then
slow. The ultimate pressures increase with the volume-weight of rock mass increases
moderately. In the Fig. 4(d)-(f), Only the MRC model considers the lateral coefficient
and rock strength parameters. As the lateral pressure coefficient or internal friction angle
of the rock mass increases, the ultimate pressure increases. Among the two, the influence
of friction angle is more significant. However, the cohesive force is exceptional,and the
ultimate pressure is almost unaffected by the cohesive force.
In design, strong influence parameters should be given priority consideration. There-
fore, in the anti lifting methods, the ultimate pressure design should prioritize the burial
depth and radius.
542 Y. Han et al.

Fig. 4. The influence of different parameters on the ultimate pressure of anti lifting theoretical
models

3 The Newly Proposed Model

Although the above anti lift models are simple and easy to generalize for solving ultimate
pressure, the safety factor of ultimate equilibrium has uncertainty and the fine load-
bearing structures inside the tunnel have not been considered. A theoretical model for
the ultimate pressure is newly proposed based on the multi-layer stuctures.

3.1 Model Definition

Steel lining and concrete lining together with surrounding rock form a load-bearing
structure to resist high internal pressure for artificial lining CAES cavern. Hence, a
theoretical model is established using the multi-layer thick-walled cylinder theory.
The force model of lined tunnel is shown in the Fig. 5, simplify the CAES tunnel
into a plane strain problem of a three-layer structure consisting of steel lining, concrete
lining, and surrounding rock. The structures contact with each other, and the parameters
(r 0 , r 1 , r 2 , r 3 ) represent the inner and outer radius of each structure, and a sufficient
distance of r 3 represents is not affected by the storage pressure.
To simplify theoretical calculations, the lateral pressure coefficient is set to be 1. The
model is transformed into a symmetric solution problem for multi-layer thick walled
cylinders under internal and external pressure.
 Research on the Design Method 543

Fig. 5. Force diagram of tunnel type lined gas storage caverns

The analytical solutions for its stress and deformation of a three-layer thick walled
cylinder subjected to axisymmetric loads are below:
⎧     
⎪
⎪ σr1 = Ar 21 + 2C1 ; σθ1 = − Ar 21 + 2C1 ; ur1 = E1 − 1 + v1 AE1 + 2 1 − v1 C1 r
⎨ 1   1  
σr2 = Ar 22 + 2C2 ; σθ2 = − Ar 22 + 2C2 ; ur2 = E1 − 1 + v2 AE2 + 2 1 − v2 C2 r
⎪
⎪ 2   2  
⎩ σr3 = A23 + 2C3 ; σθ3 = − A23 + 2C3 ; ur1 = 1 − 1 + v A3 + 2 1 − v C3 r
r r E3 3 E3 3
(5)

where subscripts 1, 2, and 3 represent steel lining, concrete lining, and surrounding rock,
 σ r is the radial stress; σ θ is the hoop stress; ur is the radial displacement.
respectively.
E  = E/ 1 − v2 and v = v/(1 − v) are the elastic modulus and Poisson’s ratio required
for analyzing plane strain problems, respectively. And E,v are the elastic modulus and
Poisson’s ratio,repectively. A and C are the undetermined coefficients determined by the
boundary conditions.
The stress boundary conditions and displacement boundary conditions of this model
are following.
⎧
⎨ (σr1 )r=r0 = −Pmax ; (σr3 )r=r3 = −q0
⎪
(σr1 )r=r1 = (σr2 )r=r1 ; (σr2 )r=r2 = (σr2 )r=r2 (6)
⎪
⎩
(ur1 )r=r1 = (ur2 )r=r1 ; (ur2 )r=r2 = (ur2 )r=r2

Substitute the stress function and displacement function into the boundary conditions,
and solve for six coefficients based on six equations. Then, substitute the coefficients
into the stress function and to obtain the stress analytical solution.
544 Y. Han et al.

By constraining the hoop tensile stress of the steel lining, when (σθ1 )r=r0 ≤ [σ ], the
steel lining remains intact and the ultimate pressure is obtained as:
⎛ ⎛   ⎞ ⎞
−E3 r22 − r32
⎜ ⎜ ⎟ ⎟
⎜
⎜
⎜    ⎟ ⎟
⎜      ⎜ −r2 v2 − 1 + r1 v2 + 1 ⎟
⎜ 2  2 
⎟
⎟
⎟
⎜ E [σ ] −r 2 v − 1 + r 2 1 + v ⎜   ⎟ ⎟
⎜ 2 1 1 0 2 ⎜ ⎟ ⎟
⎜ ⎜ +E2 r12 − r22 ⎟ ⎟
⎜ ⎜ ⎟ ⎟
⎜ ⎝     ⎠ ⎟
⎜ ⎟
⎜ r22 v3 − 1 − r32 v3 + 1 ⎟
⎜     ⎞⎟
⎜ ⎛ ⎟
⎜ 8E2 q0 r12 r22 r32 + E3 [σ ] r02 − r12 r12 − r22 r22 − r32 v22 − 1 ⎟
⎜ ⎟
⎜ ⎜   ⎟⎟
⎜ ⎜ ⎟⎟
⎜ +E1 ⎜ −E2 [σ ] r0 − r1
  2 2 ⎟⎟
⎜ ⎜ ⎟⎟
⎝ ⎝           ⎠⎠
r12 v2 − 1 − r22 v2 + 1 r22 v3 − 1 − r32 v3 + 1
Pmax = ⎛ ⎛   ⎞⎞
−E3 r22 − r32
⎜ ⎜ ⎟⎟
⎜
⎜
⎜    ⎟ ⎟
⎜      ⎜ −r2 v2 − 1 + r1 v1 + 1 ⎟
⎜ 2  2 
⎟
⎟
⎟
⎜ −E  r 2 v − 1 + r 2 1 + v ⎜   ⎟⎟
⎜ 2 1 1 0 1 ⎜ ⎟⎟
⎜ ⎜ +E2 r12 − r22 ⎟⎟
⎜ ⎜ ⎟⎟
⎜ ⎝     ⎠⎟
⎜ ⎟
⎜ r22 v3 − 1 − r32 v3 + 1 ⎟
⎜    ⎞ ⎟
⎜ ⎛ ⎟
⎜ 
−E3 r1 − r2 r2 − r3 v2 − 1
2 2 2 2 2 ⎟
⎜ ⎟
⎜  ⎜ ⎜      ⎟⎟ ⎟
⎜   ⎟
⎜ +E1 r02 − r12 ⎜ +E2 r12 v2 − 1 − r22 v2 + 1 ⎟ ⎟
⎜ ⎜ ⎟ ⎟
⎝ ⎝     ⎠ ⎠
2  2 
r2 v3 − 1 − r3 v3 + 1
(7)

where [σ ] represents the allowable tensile stress of steel lining. For different grades of
steel, this value varies.

3.2 Model Analysis

The values of basic parameters are listed in Table 1,the number of parameters is signif-
icantly greater than that of the anti lifting model. Substitute the parameter values into
the Eqs. (6), and the calculated ultimate pressure is 11.81MPa, which is close to that of
MRC model. Both of these are in line with the pressure design of actual engineering at
a depth of 100m.
To invetigate the key the influence factors on the ultimate pressure, parametric sensi-
tivity analysis are carried out such as burial depth, inner radius, steel thickness, allowable
tensile stress, elastic modulus of rock(According to the actual situation, the deformation
modulus data is used), poisson’s ratio of rock, volume weight of rock, concrete type and
lining thickness. Among them, allowable tensile stress, steel thickness, lining thickness
and concrete type belong the design phase, and can be reconstructed according to the
 Research on the Design Method 545

Table 1. Basic parameters of joint bearing theory based on the multi-layer stuctures

Parameters Units Value Parameters Units Value

Burial depth, H m 100 Elastic modulus of steel,E 1 GPa 206
Inner radius, r 0 m 5 Elastic modulus of lining, E 2 GPa 30
Volume weight, γ kN/m3 27 Elastic modulus of rock,E 3 GPa 5
Steel thickness, r 1 -r 0 mm 18 Poisson’s ratio of steel, v1 / 0.3
Lining thickness,r 2 -r 1 m 0.5 Poisson’s ratio of lining, v2 / 0.2
Allowable tensile stress, [σ ] MPa 235 Poisson’s ratio of rock,v3 / 0.26

existing hydropower tunnels. The other parameters are related to site selection, that is,
pick suitable tunnels from existing ones. The variation schemes are shown in the Table 2,
and the results under various parameters are shown in Fig. 6.

Table 2. Calculation schemes for parametric sensitivity analysis

Parameters Units Calculation schemes Phase

Burial depth, H m 40: 20: 300 Site selection
Inner radius, r 0 m 3: 1: 20 Site selection
Steel thickness, r 1 -r 0 mm 1: 2: 29 Design
Allowable tensile stress, [σ ] MPa 235, 305, 385 Design
Elastic modulus of rock,E 3 GPa 3: 1: 15 Site selection
Poisson’s ratio of rock,v3 / 0.15:0.05:0.4 Site selection
Volume weight of rock, γ g/cm3 2300: 100: 2800 Site selection
Concrete type / C20, C25, C30, C35, C40 Design
lining thickness,r 2 -r 1 m 0.4: 0.1: 1.2 Design

In Fig. 6(a), the ultimate pressure increases linearly with increasing burial depth.
The ultimate pressure corresponding to 50m is 9.66 MPa, while the ultimate pressure
corresponding to 200 m increases to 16.07 MPa, with a growth rate of 4.27 MPa/100m.
The change pattern is different from that of the MRC model which increases nonlinearly.
Especially when the burial depth exceeds the intersection of two lines, the ultimate
pressure of the MRC model rapidly increases. In contrast, the ultimate pressure of the
new proposed model under large burial depths is more reliable.
As shown in the Fig. 6(b), the ultimate pressure gradually decreases as the radius
increases. The change trend is similar to that of the MRC model, but the change mag-
nitude is significantly smaller. The the ultimate pressure for the proposed model of a
10 m radius is 9.82 MPa, while the ultimate pressure of a 20m radius is 8.44 MPa. The
smaller the radius, the more advantageous it is in terms of steel stress.
546 Y. Han et al.

Three different steel types are selected, with corresponding tensile strengths of 500
MPa, 600 MPa, and 800 MPa, respectively. Considering the yield strength and structural
coefficient, the allowable stress values for the three types are set to 235 MPa, 305 MPa,
and 385 MPa, respectively. As shown in the Fig. 6 (c), the ultimate pressure increases
significantly with the increase of allowable stress. Compared with 500 MPa grade steel,
the ultimate pressure of 800 MPa grade steel lining can be increased by about 4.8 MPa.
The increase in operating pressure can result in more energy being stored and a larger
installed capacity of the power plant under the same volume. Consequently, the installed
capacity can be increased by upgrading the steel material under a limited tunnel volume.
In Fig. 6(d), the ultimate pressure is not highly sensitive to the steel thickness. When
the thickness increases from 1mm to 29mm, the ultimate pressure only increases by
about 1.3 MPa. When the thickness of the steel is infinitely close to 0, the ultimate
pressure can also reach 11 MPa. It follows that, while ensuring welding sealing, the
thickness of the steel lining can be minimized as much as possible.The ultimate pressure
is positively correlated with the the lining thickness, seen in Fig. 6(e), and thickening
the concrete lining will increase the ultimate pressure. When the thickness increases
from 0.4m to 1.2m, the ultimate pressure can increase by 4 MPa. Figure 6(f) shows the
effect of elastic modulus of surrounding rock. The ultimate pressure is very sensitive
to the elastic modulus of the surrounding rock and shows a linear growth relationship.
When the elastic modulus of the rock mass is higher than 10GPa, the ultimate pressure
can exceed 15 MPa. However, when the elastic modulus of the rock mass approaches
zero infinitely, and the ultimate pressure tends to 8.77 MPa. This means that in order to
ensure high-pressure operation, it is essential to select good rock mass. Fortunately, the
hydropower station has screened the site, and the tunnel has natural advantages when
used for CAES.
Shown in the Table 3, different concrete grades correspond to different elastic mod-
ulus. The ultimate pressure increases with the increase of concrete elastic modulus,
but the slope is small (seen Fig. 6(g)). When changing from C20 to C70, the ultimate
pressure only increased by 1.2 MPa, but as the grade increases, the price increases signif-
icantly. Hence, it is not recommended to increase the maximum pressure by increasing
the concrete grade.
Seen from Fig. 6(h), the ultimate pressure is also affected by the Poisson’s ratio
of the surrounding rock. The larger the Poisson’s ratio, the more obvious the hoop
deformation of the surrounding rock, resulting in a more significant tensile stress and a
smaller ultimate pressure. When other mechanical parameters are consistent, the ultimate
pressure increases with increasing volume weight of rock(in Fig. 6(i)). The mechanism
is similar to that of burial depth, both of which increase the rock confining pressure, but
the effect of rock volume weight is weak.

3.3 Comparison of Parameter Sensitivity

Comparing the effects of nine parameters on the ultimate pressure comprehensively, seen
from the Fig. 7, that the elastic modulus of surrounding rock (E 3 ) and burial depth(H)
are the most critical parameters. In existing hydroelectric tunnels, selecting good sur-
rounding rocks and tunnels with larger burial depths have significant advantages for
high-pressure storage of compressed air. Similarly, areas with strong geostress is also
 Research on the Design Method 547

Fig. 6. The influence of different parameters on the ultimate pressure of the proposed model

Table 3. Elastic modulus and ultimate pressure of different concrete

Rank C20 C30 C40 C50 C60 C70

E2 25.5 30 32.5 34.5 36 37
Pmax 11.34 11.81 12.05 12.29 12.43 12.54

conducive to high-pressure storage.Secondly, the radius, allowable tensile stress, and

the thickness of the concrete lining are sensitive factors that affect the ultimate pressure.
Among the these, the allowable tensile stress of the steel (i.e. steel grades) and the thick-
ness of the concrete lining have more designable space. Finally, the thickness of the steel
lining, concrete grade, the Poisson’s ratio of the surrounding rock, and the density of the
surrounding rock have a weak effect on the ultimate pressure.
Based on the effects of above parameters, it can be found that the properties of the
existing hydropower tunnels basically determine the ultimate pressure they can with-
stand, such as burial depth, tunnel radius, and surrounding rock quality. The renovation
548 Y. Han et al.

6 8 10 12 14 16 18 20 22 24
Pmax (MPa)

Fig. 7. Tornado chart of parameter sensitivity analysis

mainly focuses on the steel grade and concrete lining thickness. To select the optimal
improvement and enhancement measures, it is necessary to compare the economic bene-
fits brought by increasing the storage pressure and the cost of increasing lining thickness
or upgrading the steel grade.

4 Case Analysis
The Baihetan Hydropower Station is the second largest hydropower station in the world,
and also the largest underground power station in the world. The power station adopts an
all underground factory layout, and the types of tunnels not only include water diversion
and power generation buildings, but also some auxiliary tunnels such as construction
support tunnels, traffic tunnels, irrigation and drainage corridors. After the power station
is put into operation, a large number of tunnels are idle, especially construction and traffic
support tunnels.
A tunnel with a length of 640m and a section size of 8.2 m × 8.3 m was constructed
at a certain location of the power station. The section was initially sprayed with 5cm
steel fiber concrete and then sprayed with 10cm thick C25 concrete, finally, a 50cm thick
C25 concrete lining was formed. The inner wall city gate is 6.9 m wide and 7.65 m high.
Considering the circular shape of the steel lining and the uniform thickness of the
concrete lining, the inner radius r 0 is designed to be 3.35 m (shown in Fig. 8). The
thinnest part of C25 concrete lining is 75cm. The buried depth of the construction adit
is about 240 m, and the third principal stress is nearly vertical, with a value equivalent
to the weight of the overlying rock mass. The surrounding rock is basalt, with a density
of 2.70 g/cm3 , a deformation modulus of 10-12GPa, and a Poisson’s ratio of 0.25.
Based on the information of rock mass and cross-sectional dimensions, 500 MPa
grade steel lining is used here, and the thickness of the steel lining can meet the weld-
ing sealing thickness (10mm). The ultimate pressure obtained by the MRC model is
 Research on the Design Method 549

0.65
+^OYZOTM)UTIXKZKROTOTM

9ZKKR

8.30
9[XXU[TJOTM
XUIQ

4K]IUTIXKZKROTOTM
0.65 6.90
8.20

Fig. 8. Schematic diagram of tunnel renovation for CAES

94.72 MPa, which is unscientific. The ultimate pressure calculated by the proposed
model that can be stored in the construction support tunnel is 23.6 MPa. Compared to
the anti lifting theory, this result obtained by the proposed model is more reasonable.

5 Conclusions
In this study, three models based on anti lifting theoretical and a new proposed model
based on the multi-layer thick-walled cylinder theory are summarized and compared to
investigate the ultimate pressure for compressed air storage in hydroelectric tunnels. The
influences of sensitive parameters such as the radius, rock quality and steel thickness on
the ultimate pressure of the CAES are analyzed. The key findings are summarized as
follows:
1. Among anti lifting theoretical models, the SFP model is relatively conservative, result-
ing in lower ultimate pressure. The conical failure surface is more reasonable, and
the shear resistance of the failure surface will increase the ability of the rock mass
to resist internal pressure and increase the ultimate pressure resistance to uplift. The
ultimate pressure of anti lifting theoretical models is most affected by burial depth,
while the radius, bulk density, friction angle/lateral pressure coefficient decrease in
sequence. The influence of cohesion on ultimate pressure is almost negligible.
2. Comparing the anti lifting theoretical models, the newly proposed model takes into
account the combined bearing capacity of steel lining, concrete lining and surrounding
rock, as well as geostress. The allowable stress of steel lining is adopted for the critical
condition, which is more in line with the actual failure situation. The ultimate pressure
obtained by the new model is more reasonable.
3. The quality of surrounding rock and burial depth have the greatest impact on the
ultimate pressure of the new proposed model, which are key factors in the selection
of hydropower tunnels. Secondly, the ultimate pressure is sensitive to the tunnel
radius, steel grade, and concrete lining thickness and these parameters should be
carefully planned during the later renovation design. The thickness of the steel lining,
550 Y. Han et al.

the concrete grade, the Poisson’s ratio of the surrounding rock, and the density of the
surrounding rock have a weak effect on the ultimate pressure. Therefore, cost control
can be carried out from the thickness of the steel lining and the concrete grade during
the renovation.
4. A construction support tunnel of Baihetan hydropower station is selected for CAES.
After the renovation, the inner diameter of the tunnel is 3.35 m, using 500 MPa grade
steel lining with a thickness of 10mm. The ultimate pressure obtained by the new
model is 23.6 MPa.

References
1. Zhang, G., Li, Y., Daemen, J.J.K., et al.: Geotechnical feasibility analysis of compressed air
energy storage (CAES) in bedded salt formations: a case study in Huai’an City, China. Rock
Mech. Rock Eng. 48(5), 2111–2127 (2015)
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cavern in highly impure rock salt formations. Energy 286 (2024)
3. Han, Y., Ma, H., Yang, C., et al.: A modified creep model for cyclic characterization of rock
salt considering the effects of the mean stress, half-amplitude and cycle period. Rock Mech.
Rock Eng. 53(7), 3223–3236 (2020)
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Norwegian hydropower projects. J. Rock Mechanics Geotech. Eng. 10(3), 27 (2018)
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(LRC) concept and design methodology: mechanical response of rock mass. Itasca consulting
group, Inc., Minnesota (2001)
6. Ghaly, A., Hanna, A.: Ultimate pullout resistance of single vertical anchors: reply. Can.
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7. Kim, H.M., Park, D., Ryu, D.W., et al.: Parametric sensitivity analysis of ground uplift above
pressurized underground rock caverns. Eng. Geol 135–136(none):60–65 (2012)
8. Tunsakul, J., Jongpradist, P., Soparat, P., et al.: Analysis of fracture propagation in a rock
mass surrounding a tunnel under high internal pressure by the element-free Galerkin method.
Comput. Geotech. 55, 78–90 (2014)
9. Yingjun, X., Caichu, X., Shuwei, Z., et al.: Anti-uplift failure criterion of caverns for com-
pressed air energy storage based on the upper bound theorem of limit analysis. Chin. J. Rock
Mech. Eng. 41(10), 1971–1980 (2022). (in Chinese)
10. Sun, G., Wang, Z., Wang, J., et al.: Limit equilibrium method for calculating the safe burial
depth of underground caverns in compressed air energy storage [J]. Chin. Civil Eng. J. 56,
67–77 (2023)
11. Yang, X.L., Huang, F.: Collapse mechanism of shallow tunnel based on nonlinear Hoek-Brown
failure criterion[J]. Tunn. Undergr. Space Technol. 26(6), 686–691 (2011)
12. Carranza-Torres, C., Fosnacht, D., Hudak, G.: Geomechanical analysis of the stability con-
ditions of shallow cavities for Compressed Air Energy Storage (CAES) applications[J].
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13. Wang, Z., Jia, W., Feng, X., et al.: Analytical solution of limit storage pressures for tunnel type
lined gas storage caverns[J]. Chinese Journal of Theoretical and Applied Mechanics 55(3),
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5141–2001 (2008)
 Research on the Design Method 551

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 Water Level Calculation and Influencing Factors
of Single-Step Locks with Water-Saving Basins

Duo Xu, Zhonghua Li(B) , and Jianfeng An

Nanjing Hydraulic Research Institute, Nanjing, China

[email protected]

Abstract. During the water level design process of lock with water saving basins
(WSBs), it’s an important part that to determine the water level and head of the
WSB, and there are many influencing factors in the process. This paper derives
and establishes calculation formulas for evaluating the water level and the water
head of the single-step lock with WSBs, which integrates the total head of ship
lock, the upper and lower stream water level variation, the number of the WSB
levels and area of the WSB, and the remaining head. On the basis of formulas,
the influence of factors such as the upper and lower stream water level variation,
the number of the WSB levels and the area of the WSB on the water level and the
water head of the WSB are analyzed, and the control conditions of the integrated
and decentralized arrangement of WSBs and water-saving rates of replenishment
and overflow operations are calculated. The results show that when total head of
the lock is constant, head of the WSB decreases with the increase of the area of
the WSB and the number of the WSB levels, and the increase of the number of the
WSB levels is greater than the increase of the area of the WSB; when the number
of levels and area of the WSB increase to a certain level, the reduction of the
water head of the WSB becomes slow; the highest and lowest water levels of the
WSB are controlled by the maximum variation of the downstream and upstream
water levels respectively. Finally, the water levels and the water head of difference
WSB schemes are calculated and compared in a 60m single-level ship lock, and
a reasonable water level scheme of WSB is proposed.

Keywords: navigation structure · lock with water-saving basins · water level

scheme · water-saving basins (WSBs) · water-saving rate

Water-saving ship locks are usually equipped with more than one stage of water-saving
basins on one or both sides of the lock. When the lock is in the discharge process, the
lock chamber first discharges to the high water-saving basin (basin A), then discharges
to low water-saving basins (basins B and C), and the remaining water discharges to
the downstream channel; The order of water filling is opposite to the order of water
discharge. First, the low water-saving basin (basin C) water is injected into the lock
chamber, and then high water-saving basins discharge to the lock chamber in turn. The
insufficient water is finally replenished by the upstream channel, as shown in Fig. 1. The
water-saving ship lock can reduce the water consumption of lock operations to improve
the rate of water resource utilization and reduce the working water head. For high-head
locks, it has the advantage of reducing the technical difficulty of solving the working

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 552–564, 2025.
https://doi.org/10.1007/978-981-97-9184-2_45
 Water Level Calculation and Influencing Factors 553

conditions of the valve and simplifying the layout of the lock water delivery system. The
water-saving ship lock has a good application prospect in navigating artificial canals and
high dams.

Filling from upstream

Lock chamber Lock chamber
WSBs

Discharging to downstream

A) Lock filling process B) Lock discharging process

Fig. 1. Working principle of water-saving ship lock.

Water-saving ship locks have been used in Europe for hundreds of years. In the 19th
century, the French Callelli first carried out the research for the water-saving ship lock on
the Loire River [1]. Germany is the country with the largest number of water-saving ship
locks in the world. On the Rhine ~ Danube canal, a total length of 171km from Bamberg
on the Rhine River to Kelheim on the Danube River, with a water level difference of
243m, a total of 16 locks have been built, of which 14 are water-saving ship locks [2]
There are fewer examples of water-saving ship lock project in China. There are almost no
water-saving ship locks in the domestic graded waterway. In recent years, water resources
have become increasingly scarce in our country, so the need to save water in ship locks
is very urgent. In recent years, Jinjiayan Water-saving Ship Lock and Shuiniuhan Water-
saving Ship Lock on Xiaoqing River in Shandong Province have been built, a large
number of water-saving ship locks, such as Bajiangkou Second-line Ship Lock on Gui
River in Guangxi Province, and the Baishi Lock on Qingshui River in Guizhou Province
[3–7], have entered the design stage successively. At present, the influence of different
basin areas and different stages of saving basin on water level, working head, and water-
saving rate of each stage of water-saving basin is mainly considered in the design of
water-saving ship lock [8, 9]. Comparing the characteristics of water-saving ship locks at
home and abroad, we can see that the water-saving ship locks abroad are mainly built on
canals where there are little variations in upstream and downstream water levels. Water-
saving ship locks in China are mainly built in natural rivers, and variations of upstream
554 D. Xu et al.

and downstream water levels are large, the influencing factors for the classification of
water-saving basins are more complicated, especially for the water-saving ship lock with
integrated water-saving basins. The integrated design has more stringent requirements
for upstream and downstream water levels variations of the lock, and the calculation
of the water level of the water-saving ship lock and its influencing factors are more
complicated.

1 Calculation Model of Water Level of Single-Stage Water-Saving

Ship Lock
1.1 Basic Water Balance Equations
The generalized model of the single-step lock with n water-saving basins is shown in
Fig. 2 Assuming each water-saving basin has the same area, symbolic variables for the
water-saving ship lock are listed in Table 1.

Table. 1. Symbolic variables for the water-saving ship lock.

Symbolic Definitions
Variables
Slock The area of the lock (m2 )
Swsb The area of a water-saving basin (m2 )
k The ratio of the area of the basin to the area of the lock chamber
i The stage number of the water-saving basin
Zwu (i) The high water level of stage i water saving basin (m)
Zwd (i) The low water level of stage i water-saving basin (m)
Hwsb The change of water level in the water-saving basin during each stage of
water-saving operation (m)
Zup The upstream water level (m)
Zdown The downstream water level (m)
Hc The change of water level in the lock chamber during each stage of the
water-saving operation (m)
H The residual head (m)
HCL The water head after the filling and discharging processes (m)

According to the conservation of water mass in the filling and discharging processes
of the water-saving ship lock, as indicated in Fig. 2, the following relationships among
the variables above are satisfied:

Hc = kH wsb (1.1)
n
Hc,i + HcL = nHc + HcL = Zup − Zdown (1.2)
i=1
 Water Level Calculation and Influencing Factors 555

HcL = Hc + Hwsb + 2 (1.3)

From the above equations, it can be obtained that the water level variation for each
stage of water-saving basins is:
Zup − Zdown − 2H
Hwsb = (1.4)
k(n + 1) + 1
The corresponding water level variation of the lock chamber is:
 
k Zup − Zdown − 2H
Hc = (1.5)
k(n + 1) + 1

Slock Z up Z up Slock
▽ ▽

H c(i-1)
S wsb
ΔH ▽Z (i-1)
H c(i) H wsb
▽Z wb(i-1)

▽Z wt (i)
H c(i+1)
▽Z wb(i)

ΔH ▽Z wt (i+1)
H wsb
▽Z wb(i+1)
H cL ΔH

H c(i+1)
▽
Zdown

A) Lock filling process B) Lock discharging process

Fig. 2. Generalization of water mass balance in water-saving ship lock operation

1.2 Equations for Calculating Water Levels in Water-Saving Basins

From Fig. 2, the high water level of stage i water saving basin Zwt (i) = Zup − iHc − H .
By substituting Eq. (1.5), it can be concluded that under any downstream or upstream
water levels, the high water level of stage i water-saving basin is:
 
ik Zup − Zdown − [k(2i + n + 1) + 1]H
Zwt (i) = Zup − (1.6)
k(n + 1) + 1
In the same way, the low water level of stage i water-saving basin is:
 
(ik + 1) Zup − Zdown − [k(2i + n + 1) + 3]H
Zwb (i) = Zup − (1.7)
k(n + 1) + 1
556 D. Xu et al.

1.3 Equations for Calculating Working Head of Filling and Emptying Operations
We define the working water head between the lock chamber and the water-saving
basin as Hc−wsb (m), define the correlation coefficient of the water-saving ship lock as
δ = kn1 . It can be seen from Fig. 2 that Hc−wsb = Hc + Hwsb + H , by substituting
k+1 +1
Eqs. (1.4) and (1.5), the calculation equation of the working water head of the lock
chamber and the water-saving basin can be obtained as follows:
 
Hc−wsb = δ Hlock − Z up − Z down + (1 − 2δ)H (1.8)

In Eq. (1.8), Hlock refers to the maximum working head of the ship lock (m), Hlock =
Zup−max − Zdown−min , where Zup−max refers to the upstream highest navigable stage
(m), Zdown−min refers to the downstream lowest navigable stage (m), Zup and Zdown
indicate variations of upstream and downstream water levels (m), respectively.
The equation for the water head HcL of between the lock and the upstream or
downstream navigation channels can be obtained similarly:
 
HcL = δ Hlock − Z up − Z down + (2 − 2δ)H (1.9)

According to Eqs. (1.6) ~ (1.9), the main factors affecting the water level of lock
include maximum working head Hlock , variations of upstream and downstream water
levels Z up and Z down , the number of water-saving basin stages n, the ratio of the area
of the basin to the area of the lock chamber k, the residual head H . The comprehensive
influences of these factors are mainly reflected in the two aspects: the working head and
heights of water-saving basins.

2 Analyses of Factors Affecting the Working Head of Water-Saving

Basins
2.1 The Residual Head H
From Eqs. (1.8) and (1.9), it can be seen that the working head of a single-stage water-
saving ship lock is related to the residual head H. From Eq. (1.8), it can be seen that
when δ = 0.5, that is, the number of stages n of the water-saving basin and the area
ratio k satisfy the relation k = n−1
1
, the working head Hc−wsb between the water-saving
basin and the lock chamber is not affected by the residual head H; When δ > 0.5,
that is, when k < n−1 1
, Hc−wsb decreases as H increases; When δ < 0.5, that is, when
k > n−1 , Hc−wsb increases as H increases. In actual engineering, the ratio k of the
1

area between the water-saving basin and the lock chamber is generally greater than 1,
and the number of stages n is greater than 2, under this condition H will increase the
working head Hc−wsb between the water-saving basin and the lock, and may reduce the
working head Hc−wsb only in the case of the lock with one stage water-saving basin.
To improve the water-saving rate, the residual head value of the general water-saving
ship lock is relatively small. When the residual head is 0.5m, k = 1 ~ 2, and n = 1 ~ 5
in a reasonable range of values. Therefore, the residual head has little influence on the
operating water head of the water-saving ship lock.
 Water Level Calculation and Influencing Factors 557

2.2 Effect of Water-Saving Basin Stages N and Area Ratio k

The compositive coefficient δ comprehensively represents the influence of the number

of water-saving basin stages n and the area ratio k on the working head. Ignoring the
influence of the residual head presence, it can be seen from Eqs. (1.8) and (1.9) that the
working head of the lock changes in direct proportion to δ.
As can be seen from Fig. 3, when the area ratio k is fixed, the compositive coefficient
δ is inversely proportional to the number of the water-saving basin stages n. The more the
number of the water-saving basin stages n is, the smaller the value of the comprehensive
coefficient δ is. When the number of reservoir stages is less than 5, the change in the
value of the comprehensive coefficient δ is more obvious. When the number of reservoir
stages is greater than 5, the reduction of the water-saving working head slows down, and
the effect of increasing the number of reservoir stages on reducing the graded working
head is not obvious.

0.7
k=1.0 k=1.5
0.6
The compositive coefficient δ

k=2.0 k=3.0
0.5
0.4
0.3
0.2
0.1
0
1 2 3 4 5 6 7 8 9 10 11 12
The number of stages of WSBs n
Fig. 3. The relationship between the water-saving basin stages n and the compositive coefficient
δ

As can be seen from Fig. 4, when the number of the water-saving basin stages is
constant, the compositive coefficient δ is inversely proportional to the area ratio k of the
water-saving ship lock. When the k value is greater than 2.0, the effect of increasing the
area ratio k on further reducing the working head is not obvious, and the effect of the
water-saving basin stages n on the compositive coefficient δ is significantly greater than
the k value.
According to the analysis of the compositive coefficient δ, the change in the water-
kn k
saving basin stages multiplied k+1 , and k+1 only varies from 0 to 1. Therefore, the
influence of water-saving basin stages n on the working water head of the lock is signif-
icantly greater than the area ratio k. Overall, when the water-saving basin stages n > 5,
or the area ratio k > 2, the working head has decreased less.
558 D. Xu et al.

0.8 n=1.0 n=3.0

0.7 n=5.0 n=10.0
The ccompositive coefficient δ

0.6
0.5
0.4
0.3
0.2
0.1
0
1 2 3 4 5 6 7 8 9 10
Area ratios k
Fig. 4. The relationship between the area ratio k and the compositive coefficient δ

2.3 Effect of Upstream and Downstream Water Levels Variations

Equations (1.8) and (1.9) comprehensively reflect the impact of upstream and down-
stream water levels and their variations on the effective head of each stage of water-saving
basins. The influence of upstream and downstream water levels on the working head of
water-saving ship locks in water-saving basins is primarily determined by the maximum
working head of the lock and is unrelated to the upstream and downstream water lev-
els. The upstream and downstream water levels variations only affect the water-saving
basin’s minimum working head.

3 The Factors Affecting the Elevations of Water-Saving Basins

According to Eqs. (1.7) and (1.8), when both upstream and downstream water levels
reach their maximum, substituting into Eq. (1.6) yields the maximum water level of
stage i water-saving basin.

‘ikHlock − ikZdown−max − [k(2i + n + 1) + 1]H

Zwt−max (i) = Zup−max − (3.1)
k(n + 1) + 1
When the upstream and downstream are the lowest water levels, the lowest water
level of the stage i water-saving basin can be calculated according to the following
equation:

Zwb−min (i) = Zup−max − Zup−max

 
(ik + 1) Hlock − Z up−max − [k(2i + n + 1) + 3]H
− (3.2)
k(n + 1) + 1
 Water Level Calculation and Influencing Factors 559

From Eqs. (3.1) and (3.2), it can be seen that when the number of stages n, the area
ratio, and the residual head H are constant, the maximum water level of stage i water-
saving basin is controlled by the variation of the downstream water level Zdown−max .
The greater the variation of downstream water level, the higher the maximum water level
of the water-saving basin, and the closer to the downstream (the value of i is smaller),
the more obvious. The minimum water level of stage i water-saving basin is controlled
by the upstream water level variation Zup−max . The larger the upstream water level
variation, the lower the minimum water level of the water-saving basin, and the closer
to the upstream water-saving basin (the value of i is greater), the more obvious.
For a water-saving ship lock of integrated structure, the lowest level of stage i water-
saving basin should be higher than the highest level of stage i + 1 and should meet
Eq. (3.3), where Hr is the structure and safety distance (m) to be met between the upper
and lower water-saving basins.

Zwb−min (i) − Zwt−max (i + 1) ≥ Hr (3.3)

By substituting Eqs. (3.1) and (3.2) into Eq. (3.3), the control requirement of the
area ratio of the water-saving basin of the integrated structure of the water-saving ship
lock is as follows:
(Hlock − 2H ) + Z up−max + Z down−max + Hr
k≥ (3.4)
(Hlock − 2H ) − (i + 1)Z up−max − iZ down−max − (n + 1)H r

As can be seen from Eq. (3.4), the area ratio k increases with the increase of the
variations of the upstream and downstream water levels, and the area ratio k of the last
stage (i = n) is the largest, that is, the area ratio of the last stage water-saving basin as
terms of controlling.

4 Water-Saving Rates of Water Replenishment and Overflow

Operations
As previously discussed, the determination of the top and bottom heights of each WSB
relies on the highest and lowest water levels upstream and downstream, respectively.
However, for locks situated along natural rivers, significant variations in water levels
upstream and downstream can pose challenges. Simply adhering to the highest and lowest
navigable water levels upstream and downstream for setting the heights of WSBs neces-
sitates extensive earth and stone excavation, thereby escalating construction costs. More-
over, maintaining consistent height across all levels of the WSB becomes unattainable,
leading to unfavorable conditions in both design and maintenance.
To address this issue, an alternative method is proposed. Starting from the minimum
navigable water level upstream, the bottom height of each level of the WSB is determined
based on both upstream and downstream minimum navigable water levels. The top height
of the WSB is selected according to the highest navigable water level downstream and
the lowest navigable water level upstream plus the upstream water level whose height
is equal to the magnitude of water level change downstream. This lowers the top height
of the WSB at all levels.
560 D. Xu et al.

However, when the upstream water level surpasses the minimum upstream navigable
water level plus Z down , the inflow into the first level of WSBs exceeds the capacity of
subsequent levels, resulting in excess head H, which spills downstream. The water-
saving rate of overflow operation of water-saving ship locks is shown in Eq. (4.1):
kn(Hc − H )
EW = × 100% (4.1)
[k(n + 1) + 1]Hc
The second way to solve the problem is to start from the highest navigable water
level upstream; determine the bottom height of the WSBs at all levels by the lowest
navigable water level downstream and the highest navigable water level upstream minus
the upstream level of the downstream water level variation Z down . The top heights of
the WSBs at each level are determined by the highest navigable water levels upstream
and downstream. In this way, the amount of construction work can be reduced. But in
this case, when the upstream water level is lower than the above water level, when the
water flowing into the upper chamber, will be less than the following chamber of the
water required. Therefore, it is necessary to replenish the insufficient amount of water
H to the first stage of the WSB during the emptying operation.
Water saving rate of emptying operation:
kn(Hc + H )
EW = × 100% (4.2)
[k(n + 1) + 1]( k+1
k
H + Hc )

Water saving rate of filling operation:

kn(Hc + H )
EW = × 100% (4.3)
[k(n + 1) + 1]Hc
This analysis reveals that the water-saving rate of the water replenishment scheme
is higher than that of the water overflow scheme. Compared to conventional WSB oper-
ation, this scheme enhances water-saving rate while reducing construction costs. It is
worth noting that the make-up water operation scheme is also commonly used in engi-
neering multi-stage ship locks [10]. Therefore, it is more cost-effective to use the make-up
water arrangement scheme. This scheme is fully applicable in the design of water-saving
ship locks.

5 Application
A lock, the highest upstream navigable water level is 60.0m, the upper reaches of the
water level variation is 10.0m; The lowest downstream navigable water level is 0m, the
downstream water level variation is 3.0m, and the residual water head is less than 0.2m.
We consider setting 1 ~ 8 stages water-saving basins, and the area ratio k is 1.0 ~ 3.0
respectively. According to Eq. (1.9), the maximum working water head of the water-
saving basin has nothing to do with upstream and downstream water levels variations.
The maximum working water head of the water-saving basin corresponds to the different
water levels of water-saving basin water classification schemes (Different water-saving
basin stages n and different area ratios k) can be calculated. As shown in Fig. 5, when the
 Water Level Calculation and Influencing Factors 561

number of the water-saving basin stages is the same, and k = 1.0 ~ 3.0, the maximum
working head of the water-saving basin has little change. When the area ratio of the
water-saving basin is increased from 1.0 to 3.0, the maximum working head of the
water-saving basin only decreases from 24.04m to 18.53m. With the same area ratio of
the water-saving basin, the stages of the water-saving basin are increased from 1 to 3,
the working head of the water-saving basin is rapidly reduced from 39.93m to 24.04m,
and the head is reduced by 15.89m. From 3 stages to 5 stages, the degree of reduction
of the working water head of the water-saving basin becomes significantly slower, and
the water head only decreases by 6.81m. The scheme of 3 stages of water-saving basins
is adopted to synthesize the water-saving ratio and construction investment of the ship
lock.

35
k=1.0 k=1.5
30
The compositive coefficient δ

k=2.0 k=3.0
25
20
15
10
5
0
1 2 3 4 5 6 7 8 9
The number of stages of WSBs n
Fig. 5. The relationship between the maximum working head of the WSB and the water level
classification scheme.

When there is no residual head (H = 0), according to Eqs. (3.1) and (3.2), we can
calculate the minimum and maximum water levels of each water-saving basin under the
scheme of n = 3, k = 1.0. As can be seen from Fig. 6, the area ratio of the water-saving
basin is 1.0, the highest water level of the 2nd and 3rd water-saving basin is 37.2m
and 25.8m, and the lowest water level of the 1st and 2nd water-saving basin is 30.0m
and 20.0m, respectively. Therefore, when the area ratio of the water-saving basin k =
1.0, the scheme of integrated water-saving basin arrangement can not be used, the open
arrangement scheme is appropriate.
To analyze the feasibility of the integrated arrangement scheme, we calculated the
water level of each level of the water-saving basin under different area ratios and upstream
water levels variations. As can be seen from 错误!未找到引用源。, under the condition
that the upstream water level variation remains unchanged by 10m, the structural safety
distance H r is considered as 1.1m, when the area ratio k should not be less than 3.1, the
integrated arrangement scheme can be adopted. In practical application, due to the cost
562 D. Xu et al.

Fig. 6. Water levels of water-saving basins.

and other factors, the area ratio k should be appropriately reduced. In order to reduce the
area ratio k, water replenishment operation mode can be used to reduce the influence of
upstream water level change. Overflow operation mode is adopted to reduce the influence
of downstream water level variation. In this case, the upstream water level variation is
10.0m, and the downstream water level variation is 3.0 m. In this operation mode, the
variation of the upstream water level is reduced to 3.0m (that is, the upstream water
level is lower than the highest navigable water level of 3.0m, and water refill operation
is adopted). Water replenishment operation mode can be used to reduce the impact of
upstream water level changes. The variation of the upstream water level can be reduced
to 3.0m (that is, the upstream water level is 3.0m lower than the highest navigable water
level, and the water replenishment operation is adopted). As seen in Table 2, the area
ratio k of the water-saving basin is greater than 1.5, and the integrated arrangement
scheme can be adopted.

6 Conclusions

1. Under the condition that the gross head of the lock is constant, the number of stages
n, and the area ratio k are the main influence factors of the working head of the lock.
The working head of the lock decreases with the increase of n, k, and the influence of
n is greater than that of k. When the stage number of water-saving basins is greater
than 5, the water head reduction is getting smaller; When the area ratio k is greater
than 2, the rate of working head decline is slower.
2. The highest water level upstream of the lock determines the highest water level of
each water-saving basin, and the lower water level determines the lowest water level
of each water-saving basin. The higher the upstream water level variation, the lower
 Water Level Calculation and Influencing Factors 563

Table. 2. Influences of area ratios and upstream water level variations on water levels of water-
saving basins.

Upstream water level 10.0 3.0

variation /m
WSBs Stage 1 Stage 2 Stage 3 Stage 1 Stage 2 Stage 3
k = 1.0 Z wt /m 48.6 37.2 25.8 48.6 37.2 25.8
Z wb /m 30 20 10 34.2 22.8 11.4
safe distance /m -7.2 -5.8 / -3 -3 /
k = 1.5 Z wt /m 47.8 35.6 23.4 47.8 35.6 23.4
Z wb /m 32.1 21.4 10.7 36.6 24.4 12.2
safe distance /m -3.4 -1.9 / 1.1 1.1 /
k = 3.1 Z wt /m 46.8 33.6 20.4 46.8 33.6 20.4
Z wb /m 34.7 23.1 11.6 39.6 26.4 13.2
safe distance /m 1.1 2.7 / 5.9 5.9 /

the lowest water level of the stage 1 water-saving basin; The larger the downstream
water level variation, the higher the highest water level of the stage n water-saving
basin.
3. To adopt the integrated arrangement of the lock water-saving basin, the water-saving
basin area ratio k should meet the requirements of Eq. (3.4). When the upstream or
downstream water level varies greatly, water refill and overflow can be used respec-
tively to reduce the influence of water level variation, to reduce the water-saving basin
area ratio k. When upstream and downstream water levels variations are large, the
open arrangement of water-saving basins should be adopted.
4. The water-saving rate of the water replenishment scheme is higher than that of the
overflow scheme and the conventional scheme. This scheme can be used in the design
of water-saving ship locks.

References
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Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
Predictive Insights into the Future
Landscape of Energy Technologies
 A Review of Oscillating Buoy Devices in Wave
Energy Power Generation

Jianchao Zhang, Le Wang(B) , and Haitao Ren

College of Water Conserwancy and Hydropower Engineering, North China Electric Power
University, Beijing 102206, China
[email protected], [email protected], [email protected]

Abstract. Escalating energy demands and dramatic changes in global climate

present a formidable challenge. As a clean, renewable, and unexploited large-
scale energy source, ocean wave energy has attracted research attentions all over
the world. Although the existing theoretical technologies of wave energy power
generation are emerging rapidly, few of them can be applied to massive practical
deployment. The current achievements of wave energy resources are reviewed in
this paper; various forms and energy transmission modes of oscillating buoy wave
energy converters are summarized, and their characteristics and scope of appli-
cation are detailed; the different array arrangement and benefits of the oscillating
buoy wave energy converter are summarized; the directions for future oscillating
buoy device development are outlined. Particularly, enormous amount of wave
energy from far offshores will be exploited through using advanced and sophisti-
cated equipment and technology, the oscillating buoy energy capture method and
more direct and efficient direct-drive power generation devices will be the main
choice for wave energy development in the future; to optimize the selection, size,
and array layout of oscillating buoy wave energy converter can effectively improve
the energy conversion efficiency and lower the levelized cost.

Keywords: Wave Energy · Power Generation · Oscillating buoy

1 Introduction

In recent years, with the continuous increase of energy consumption, traditional fossil
energy is difficult to fulfil energy demand for social development. As the largest elec-
tricity consumer, China is currently facing huge pressure and challenges in the energy
field. According to the IEA-Electricity Market Report (2023), global electricity demand
growth is projected to rise from 2.6% in 2023 to an average 3.2% in 2024–2025, by 2025
demand will increase by 2500TWh from 2022 levels and more than half of the increase
will come from China [13]. Alicia et al. (2021) estimated the growth in renewable energy
consumption in 2050, more than double that in 2018, from 28,000 TWh to 74,000 TWh,
and is expected to outproduce natural gas and coal by 2030 and surpass oil by 2050,
from 15% to 28% [9]. In this context, a series of renewable and clean energy sources,
such as ocean wave energy, solar energy and wind energy, have attracted the attention of

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 567–578, 2025.
https://doi.org/10.1007/978-981-97-9184-2_46
568 J. Zhang et al.

scientific researchers, ccompared with the remarkable achievements of the development

technology of land for solar energy and wind energy resources, people began to gradu-
ally deepen the research content into the ocean, among which wave energy is more and
more favoured by researchers with its unique advantages.
Wave energy is mainly the periodic movement of sea water caused by the upper
wind blowing on the sea surface and the change of atmospheric pressure. It has certain
kinetic energy and potential energy. The kinetic energy refers to the energy caused by
the movement of the fluctuating water quality point at a certain speed, and the potential
energy refers to the energy caused by the movement of the water quality point and the
displacement of the sea level. The continental coastline of mainland China is 1.8 ×
104 km, and the renewable wave energy is infinite. It is converted by reasonable layout
and use of wave energy conversion device, which can become a powerful boost for
the global energy transformation. Compared with other energy sources, wave energy
has the following advantages: (i) wave energy has a higher energy density than solar
energy and wind energy, in which wave energy is 2.0 – 3.0 kW/m2 , wind energy is
0.4 - 0.6 kW/m2 , and solar energy is 0.1 - 0.2 kW/m2 , it is highly reliable; (ii) wave
propagation distance is long and the energy loss is small, the effective working time of
wave energy conversion device is relatively higher, which also provides a guarantee for
efficient and large-scale development; (iii) wave energy reserves are immense and can be
developed in coastal areas and even extended to offshore areas [8]; and (iv) waves change
periodically, thereby serving as a law for standardized utilization [7]. Gradually, the wave
energy was developed from the initial nearshore to the far offshore areas. In comparison,
offshore devices can capture stronger wave energy due to their deployment in deeper
waters, theoretically, there will be higher power generation efficiency, and the offshore
arrangement will improve the impacts of shore-based devices on the reshaping of the
coastline; however, the transportation and installation costs of the devices will increase
due to the long distance, and the uncertainty of the impacts of wind and waves on the
devices and the energy transmission costs will also increase accordingly. However, due
to the long distance, the transportation and installation cost of the device, the difficulty
for maintenance, the uncertainty of the effect of wind and waves on the device, and the
cost of energy transmission will also increase.

2 Oscillating Buoy Devices in Wave Energy Power Generation

2.1 The Principle of Wave Power Generation
With the gradual deepening of wave energy research, various forms of wave energy
converter (WEC) have appeared, although their energy conversion methods are different,
the conversion principle is basically similar. Wave energy power generation is the main
form of wave energy utilization, and the whole power generation process is generally
completed through three-stage energy conversion: the first stage is the contact between
the wave and the energy capture device (float, pendulum, etc.), which converts the wave
kinetic energy into the mechanical energy, water potential energy or aerodynamic energy
required by the power generation system; The second stage drives the mechanical devices
in the power generation system, such as hydraulic pumps or turbines, which convert the
mechanical energy into a rotational motion. The third stage is a rotating mechanical
 A Review of Oscillating Buoy Devices in Wave 569

device driving the generator to convert the mechanical energy into electrical energy. The
three levels of energy conversion are interconnected and interdependent on each other
to jointly complete the conversion process from wave energy to electrical energy. The
most important of these is the energy conversion of the first stage, and the amount of
wave energy captured directly affects the conversion efficiency and power generation
of the second and third stages. The second level is mainly to play a role in stabilizing
energy, the energy smooth excessive, to meet the requirements for the next level of
energy conversion, as shown in Fig. 1.

Fig. 1. Wave energy conversion process

2.2 Main Wave Energy Conversion Devices

Great progress has been made regarding wave energy power generation research, a
variety of wave energy conversion devices continue to appear, such as oscillating water
column WEC, oscillating buoy WEC, overtopping WEC, etc. Currently, the oscillating
buoy WEC has become the main component of wave energy development system with
the evident advantage of relatively low cost, the variety of forms, flexible arrangement,
and reliability.

2.2.1 Classification of Oscillating Buoy Wave Energy Converters

Oscillating buoy WEC originated from oscillating water column WEC, and it is also the
better developed converter at present, which has a wide range of applicable positions,
and it can work from the shore position to the far sea position. According to the contact
situation between float and water, it can be divided into floating surface type, partially
submerged type, and submerged type.
Floating surface type structure was the earliest use of oscillating buoy devices, which
were mounted on the coast or fastened to breakwaters and rocks above sea level. It is usu-
ally composed of a float, connecting rod, energy transmission device, power generation
device and protection device, etc., the float is in contact with seawater when working, and
the float moving with the wave drives the hydraulic cylinder to work and convert energy.
570 J. Zhang et al.

Its advantage is that it is close to the land, the float design is simple and easy to install and
maintain and does not require anchoring devices and long power transmission cables and
can capture wave energy of different frequencies and sizes. However, the wave energy
resources in this location are relatively limited and will have an impact on the onshore
environment. With the design and research of the offshore power generation platform,
the floating surface type is also gradually developed from the original single shore fixed
power generation to the far offshores in the form of a combination of floats and power
generation platforms, such as the first megawatt floating wave energy generation device
“Nan Kun” independently developed by China, which is a trilateral semi-submersible
platform. Each side is equipped with five floating plates for energy conversion with a
total area of more than 3,500 m2 and weight of more than 6,000 t, and it can generate
24,000 kWh of electricity per day under full load conditions, as shown in Fig. 2(a).
Partially submerged type is different from the former, the assistance of the offshore
platform can directly float in the ocean, the floats, connecting rods, energy transmission
devices, power generation devices, protection devices will be designed in a centralized
floating system. The device is partially below the surface of the flow and partially above
the surface of the flow, through the mooring system tied to the seabed, when the waves
work on the floats, the floats will move up and down in the flow, this movement through
the mooring system to the hydraulic system, the hydraulic system for the conversion of
energy to drive the power generation system will be converted from mechanical energy
to electrical energy, due to the fact that most of the device is located in the submerged,
by the wind and waves have less impact, improve the stability of the device and the
efficiency of the operation. Such as the United States OPT company developed the "PB3
Power Buoy” conversion equipment, through the collection of energy from the waves,
and constantly self-charging, can be more than 20 m to 3000 m in any depth of the ocean
operation [15], as shown in Fig. 2(b).
Submerged type device structure and partially submerged type similar to the device
connected to the seabed through the mooring device, the entire device is below the
surface of the water, the working principle is to use the wave up and down fluctuations
generated by the pressure difference to drive the float movement, when the wave upward
movement, the float down, when the wave downward movement, the float upward, and
so on and so forth to drive the power generation. As the float is located underwater, it is
less affected by the wind and waves on the surface of the sea, so the stability of the power
generation device is better. Such as the “CETO 6” designed by Carnegie Wave Energy
Company of Australia is installed in the depth of 25 - 50 m underwater. The actuator
starts the pump set and generator with the rise or fall of the wave, and the generated
power is transmitted to the shore through the submarine cable and incorporated into the
local power grid. The design not only protects the installation from storms at sea, but
also does not affect the visual effect on the sea surface [2], as shown in Fig. 2(c).
With the increase of human energy demand and the research on wave energy devel-
opment technology in the far offshores, the main area for wave energy development in
the future will also be in the far offshores, where there is more wave energy and greater
energy density than near shore. Compared with the characteristics of other conversion
devices, the oscillating buoy WEC has the advantage of flexible position, can adapt
 A Review of Oscillating Buoy Devices in Wave 571

Fig. 2. (a) China’s first megawatt floating wave power generation device “Nan Kun”. (b) “PB3
Power Buoy” conversion device developed by OPT company in the United States. (c) “CETO 6”
by Carnegie Wave Energy in Australia.

to different wave directions and sizes, and can work effectively in various sea condi-
tions; The float is usually composed of a simple cylindrical or spherical structure, which
reduces the complexity of mechanical parts and reduces the cost of manufacturing and
maintenance; Although the energy output of a single float may not be high, this form
can not only operate on a fixed platform scale, but also float the offshore array layout,
and can improve the overall power generation efficiency by optimizing the design and
increasing the number of floats; It can be combined with different forms of energy trans-
mission to form a WEC with different conversion efficiency, which can provide a variety
of options for the future wave energy development. Under the above outstanding advan-
tages, oscillating float WEC will become the main way of wave energy development in
the future.

2.2.2 Oscillating Buoy WEC in Varying Energy Transmission Modes

The energy is captured by the float and converted into mechanical energy for the second
stage of energy conversion. The oscillating buoy WEC is combined with different energy
transmission modes to form conversion devices with different efficiency, which are
commonly hydraulic, mechanical, and direct drive.
The combination of oscillating float and hydraulic system is a form that is used more
at present, and its working principle is to use the energy captured by the float to drive the
reciprocating motion of the hydraulic cylinder, so that the piston squeezes the hydraulic
oil into the energy storage device, and the energy storage device mainly plays a stable
energy, and when the energy storage device reaches the set value, it is opened, so as to
drive the hydraulic motor to rotate and drive the power generation system to generate
electricity. The advantages of the hydraulic power generation system are flexible trans-
mission, energy storage and pressure regulation, and large torque, which can store wave
energy in the case of small wave speed and achieve continuous and stable conversion of
wave energy to electric energy [20]; Hydraulic components have also been standardized
and generalized [26], which is easy to use and has strong commercial applicability; The
incompressible fluids used in hydraulic systems can produce higher efficiency; How-
ever, there is a risk of pollution, and it is often placed at sea, which is inconvenient
for maintenance. Sun et al. (2021) designed a hydraulic transmission and accumulator
system to replace the original mechanical transmission and flywheel system, the results
show that the accumulator can effectively suppress the output power fluctuation, wave
572 J. Zhang et al.

power into scheduling power supply, with the increase of the number of buoys and buoy
phase difference, accumulator system energy conversion and output performance is bet-
ter [18]. Hansen et al. (2013) showed that high pressure accumulators can store energy
for a short period of time and partially filter out changes in pressure and flow in the
system [11]. According to the ultimate pressure state of the hydraulic motor system, it
is mainly divided into three categories, namely, variable-pressure HPTOs (VPHPTOs),
constant-pressure HPTOs (CPHPTOs) and constant-variable pressure hydraulic systems
[23], as shown in Fig. 3. The experimental results show that the power take off (PTO)
efficiency of CPHTOs is higher than that of VPHTOs (30% higher), and the power gen-
eration is 2% lower than that of VPHTOs [16]. According to the circulation mode of
oil, it can be divided into an open-circuit hydraulic system and closed-circuit hydraulic
system. In an open hydraulic system, the hydraulic cylinder draws oil from the tank,
delivers the oil to the actuator, and then returns the oil directly to the tank. In a closed
hydraulic system, the oil output from the hydraulic cylinder directly enters the actuator
and then returns to the suction port of the cylinder, forming closed circulation. In 2010,
the Guangzhou Institute of Energy Conversion, Chinese Academy of Sciences, devel-
oped the "Eagle #1" floating wave energy power generation device, which was put into
testing in the waters of Wanshan Island in Zhuhai City in 2012. The device adopts two
sets of energy conversion systems, including hydraulic energy conversion system and
direct-drive motor system, in which the hydraulic energy conversion system is the main,
the direct drive motor system is supplemented, and the open hydraulic system is selected
to facilitate the cooling of hydraulic oil. When the wave is small, the accumulator stores
energy, and when the set value is reached, the energy is released to drive the power
generation system to generate electric energy, and the power generation is intermittent
in turn; when waves are large, the power generation system works continuously.

Fig. 3. Hydraulic motor system configuration [23]: (a) typical CPHPTOs configuration and (b)
typical VPHPTOs configuration

Mechanical drive system is connected to the oscillating buoy to connect the rack,
rope wheel or connecting rod to absorb wave energy, and then use the equipment such as
the transcendence clutch, ratchet, rack or sprocket to convert the up and down motion of
the float into the unidirectional rotation motion of the rotating shaft, increase the speed by
using the speed increase gearbox, use the flywheel to store energy, and finally drive the
generator to generate electricity. The mechanical transmission device has the advantages
of simple structure and low cost, but at the same time, the mechanical structure reduces
the energy conversion efficiency and reliability, is easy to be corroded by seawater,
 A Review of Oscillating Buoy Devices in Wave 573

increases the maintenance cost, and is not easy to realize the shortcomings of control and
regulation. For example, Shandong University proposed in 2013 a floating rope wheel
type wave energy power generation device, one end of the rope is tied to the gravity anchor
of the seabed, and the other end is wound on the drum of the generator set through the rope
guide, when the wave pushes the floating body to rise, the rope drags the drum to rotate,
and the drum directly drives the low-speed synchronous permanent magnet alternator to
generate electricity [27]; A mechanical transmission device designed and improved by
Sun et al. (2021) is shown in the figure, which mainly includes a horizontal rotation shaft,
a bidirectional transmission gear set, an overspeed gearbox, a flywheel, a permanent
magnet generator (PMG), etc., and the relative motion between the buoy and the central
platform is converted into the mechanical energy of the horizontal rotation shaft through
the bidirectional transmission gear, and finally converted into the electrical energy output
by PMG [18], as shown in Fig. 4.

Fig. 4. Mechanical drive system structure diagram [18].

The direct-drive power generation device is to directly couple the captured mechan-
ical energy to the moving part of the linear generator for power generation, and its
working principle is that the float drives the linear generator to do reciprocating motion
under the action of waves, so that the relative motion between the mover and the stator
is generated, and the magnetic inductance line is cut to generate electric energy. The
device reduces the intermediate mechanical drive system, so it has higher efficiency
and reliability, reduces the probability of failure, and reduces the need for maintenance;
However, because the whole device directly generates electricity with the wave, the
process of outputting electricity is slow, and the output voltage is unstable. According
to the principle of power generation, there are three main types of linear generators
currently used in wave energy power generation: permanent magnet synchronous gener-
ators, induction generators and switched reluctance generators [12]. Permanent magnet
synchronous generators are widely used in the field of wave energy power generation,
and the power generation characteristics are closely related to their mechanical struc-
ture, permanent magnet material, effective wave height and wave period. The energy
conversion efficiency of induction generators is lower than that of permanent magnet
synchronous generators. The material cost of switched reluctance generators is low, and
the output is relatively stable [6]. For example, the Archimedes Wave Swing (AWS) in
the United Kingdom consists of an upper float for swinging motion and a lower structure
fixed to the sea floor, with permanent magnets placed on the lower part and the upper
574 J. Zhang et al.

float connected to the generator coil. The two parts are submerged under water when
working, and the floating body moves downward when the wave peaks, and upward
when the wave troughs, thus driving the linear motor movement.
Different from the three-stage energy conversion of mechanical system and hydraulic
system, the direct-drive power generation device is designed with a more concise two-
stage energy conversion structure for energy transmission, which saves the loss of energy
in the intermediate transmission process, simplifies the device structure, and increases
the reliability of use, especially in China’s coastal waters with low wave density and
short wave energy movement cycle, which is of great significance for the future country
to solve the problem of marine energy exploration and large-scale development [19].

2.2.3 Efficiency-Oriented Arrangement of Oscillating Buoy WEC

Due to the randomness and uncertainty of waves, the transmission of long-distance
energy makes the device have higher requirements in terms of energy storage, trans-
mission and final use, and the energy conversion benefit of a single device cannot be
balanced with the cost investment of the device from development, commissioning, and
later maintenance. Therefore, it needs to be optimized in the collective arrangement and
individual devices and improve the overall energy conversion benefit of the layout opti-
mization to balance the input cost. Chang et al. (2018) evaluated the levelized cost of
energy (LCOE) of 50 different configurations of wave energy conversion devices based
on the technical economic model and showed that the power absorption of different array
shapes can be increased by more than 20%, which can reduce the LCOE of commercial-
scale WEC projects [4]. Chandrasekaran and Sricharan (2021) studied the effect of the
distribution of different WECs on LCOE and found that LCOE gradually decreased as
the number of WECs increased [3].
According to the number of oscillating floats that absorb wave energy, they can be
divided into single float WEC, multi-float WEC and float array WEC. Single-float WEC
uses a float to capture the energy of the wave, which is relatively simple in design, but
does not make full use of the energy of the wave. To improve the efficiency of energy
harvesting, some WEC designs use multiple floats, which can respond more effectively
to waves in different directions and frequencies, thereby improving the overall power
generation efficiency. A float array WEC is a special multi-float system in which floats
are arranged in a specific geometry, such as a circle, square, or other complex array. This
layout is designed to optimize wave energy absorption and may include interactions
between floats to enhance energy conversion efficiency [24]. The advantages of multi-
float and array wave energy devices are that they can use multiple oscillating floats to
collect wave energy at the same time, generate electricity on a large scale, and the wave
energy collection is more continuous and uniform [25], and the volume and weight of
the oscillating floats can also be reduced, which is convenient for the manufacture and
transportation of floats.
Under the same conditions, different arrays can be arranged to capture different
amounts of energy. Malin et al. (2015) compared the total power of four different
arrangements of about 250 conversion units and found that the geometry of the cir-
cular arrangement was the most beneficial [10]. Sinha et al. (2016) analyzed the energy
conversion effects of five forms, including linear arrangement, grid, circle, concentric
 A Review of Oscillating Buoy Devices in Wave 575

circle, and random arrangement, and showed that the conversion of concentric circles and
circular arrays was higher than that of grid lines and linear arrays [17]. Abdulkadir and
Abdelkhalik (2023) optimized the performance of multipoint absorbers for non-uniform
arrays, and their results showed that optimal heterogeneous arrays could provide up to
40% performance improvement compared to homogeneous arrays [1]. Xu et al. (2021)
compared the power output and interaction utility of the rectangular array float arrange-
ment with the circular array arrangement under the condition of ignoring the central
platform and verified the superiority of the circular array arrangement [22]. In summary,
optimizing the overall array layout has an important impact on improving the energy
conversion effect, in addition to the number and size of the devices, the distance between
the devices, and the mixed arrangement of various wave energy conversion devices, etc.,
to fully capture the wave energy per unit area, to achieve the optimization of economic
cost. For example, the Danish "Wave Star" array wave power generation device, when
the total length of the power generation device is 70 m, with 20 oscillating floats with a
diameter of 5.0 m, installed in the offshores of 10 ~ 15 m water depth, when the wave
height is 2.5 m, the output electric power is 600 kW, and when its total length is 140 m,
with 20 oscillating floats with a diameter of 5 m, installed in the offshores of 20 ~ 30 m
water depth, when the wave height is 5 m, the device can output 6 MW electric power.
That is, a 1-fold increase in the size of the device will result in a 10-fold increase in the
output of electrical power [21], as shown in Fig. 5.

Fig. 5. The “Wave Star” array-type wave power generation device [21].

Based on the analysis of the power generation principle and characteristics of some
existing wave energy power generation devices, the main problems faced by the current
wave energy development are as follows. The first is the huge cost investment, which
is the main reason why wave energy devices have not been developed on a large scale.
At this stage, more attention is paid to the development of new energy, although there
are constantly new technical and theoretical outputs, only a few parts are really used
for practical development. The second is that the conversion efficiency is low, and the
process of converting wave energy into electrical energy usually involves the conversion
of mechanical energy to electrical energy, and the energy loss in this process is huge
[5]. The reliability of the power generation device is low, and the wave energy power
generation equipment operated in the marine environment, which is affected by harsh
conditions such as waves, salt spray, corrosion, etc., which is likely to cause equipment
damage and maintenance difficulties; meanwhile, wave energy resources are affected by
576 J. Zhang et al.

weather and other factors, and have certain instability, which may affect the stability and
reliability of wave energy power generation system. Through the array arrangement of
power generation devices, the energy conversion efficiency can be effectively improved,
and the ratio of input cost to output benefit can be reduced. Optimize the scale, layout and
number of the devices, materials, energy conversion methods to enhance the conversion
efficiency and reliability.

3 Directions of Oscillating Buoy Wave Energy Converters

Development
It has been shown that the combination form of oscillating buoy device and simple
and efficient direct drive energy transmission mode has certain advantages compared
with other forms. The development of wave energy in the far offshores will eventually
become the main battlefield of ocean energy development. In the development process of
oscillating buoy WEC, in addition to the cost, efficiency and reliability of the device itself,
the impact on the Marine environment is also comprehensively considered. Therefore,
the content of future research on oscillating buoy WEC is summarized as follows: (i)
Improving technology and optimizing efficiency: the float is the part of the device in
direct contact with the wave, and it is also the most important link of energy conversion.
By optimizing the design of the float, it can convert energy to the maximum extent under
different wave conditions; For the overall design of the device, lighter and stronger
materials can be used, such as carbon fibre and high-strength steel alloys, which can
improve the weather resistance and corrosion resistance of the float and extend the
service time of the device; Develop more efficient energy converters to improve the
efficiency of converting wave energy into electricity, (ii) Economy-friendly: Huge cost
input has always been the major obstacle to the large-scale development of wave energy,
therefore, reducing manufacturing and maintenance costs, improving economic benefits
through large-scale production, and making this device more competitive in the market
is the development direction of the oscillating buoy WEC in the future, (iii) Intelligent
development: the introduction of artificial intelligence and Internet of Things technology
to realize the intelligent development of the device, respond to some risks in advance,
improve the adaptive ability and fault diagnosis ability of the device, and enhance the
reliability of the device; For power generation installations in the far offshores, real-time
monitoring can be carried out by equipping remote monitoring systems and maintenance
systems to reduce the need for manual maintenance and reduce operating costs, and (iv)
Multi-energy complementarity: In the development process of marine energy, due to the
essential differences of different energy sources and the different conversion methods,
the conversion and utilization of energy are carried out in a single way, so that not
only the energy utilization rate is low, and the cost is high, but also the different energy
development technologies are difficult to achieve mutual benefit and complementary
advantages. Therefore, strengthening multi-energy interconnection and promoting the
energy coupling and synergy of various offshore energy sources such as wind, solar,
and wave energy are the main directions of new energy development and research in the
future.
 A Review of Oscillating Buoy Devices in Wave 577

4 Conclusions

For the large-scale development of wave energy, cost, conversion efficiency and relia-
bility are the focus of research, but also the difficulty. Starting from the current energy
demand, this paper summarizes the advantages of wave energy development. The dif-
ferent forms and energy transfer modes of the oscillating buoy WEC are introduced, and
the development trend of the device is analysed. The summary is as follows:
To fulfil the increasing energy demand for sustainable development, and wave energy
development will be an important means of energy output in the future. The far offshores
will be the main site for wave energy development, the oscillating buoy energy capture
method and more direct and efficient direct-drive power generation devices will be the
main ways of wave energy development in the future. In nearshores and offshores with
abundant and dense wave energy, optimizing the selection, size, and array layout of
oscillating buoy WEC can effectively improve the energy conversion efficiency and
reduce the levelized cost of energy.
Wave intermittency and the uncertainty of the device away from the coast could
affect the large-scale development of wave energy and cost. In the future research, the
impact on the Marine environment should be comprehensively considered, advanced
intelligent technology and multi-energy complementarity can be used to improve the
efficiency of wave energy conversion, strengthen the reliability of the device, and reduce
the cost of wave energy conversion.

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 Application of Smart Terminals in the Power
Industrial Internet

Huang Fuqiang1(B) , Chen Zhengpu2 , Xiao Jiangtao1 , Jin Zhaoan3 , Chen Jun4 ,
and Yang Hai1
1 Xiluodu Hydropower Station, China Yangtze Power Co., Ltd., Yunnan Province, Yongshan
County 657300, China
[email protected]
2 State Grid International Development Co., Ltd., Hong Kong, China
3 Shanghai Liqian Power Technology Co., Ltd., Shenzhen, China
4 College of Electrical Engineering and Control Science, Nanjing Tech University, Nanjing,

China

Abstract. The Power Industrial Internet serves as an essential platform for the
digital transformation of the electric power industry, during its implementation,
the integration of Information Technology (IT) and Operational Technology (OT)
in power production and maintenance has posed significant challenges, neces-
sitating the development of intelligent equipment based on Cyber-Physical Sys-
tems (CPS) to bridge this gap. Microcomputer platforms are well-established and
reliable systems capable of running various complex algorithms. However, tradi-
tional microcomputer-based protection devices face limitations such as firmware
programming, limited types of signal sampling, and insufficient data transmission
capabilities. In the current era of digital transformation, there is an urgent need
for intelligent devices and smart terminals that can overcome these shortcomings
through cloud-edge collaboration to assist the digital transformation of the power
industry, continuously creating effective applications that enhance quality and effi-
ciency, and fostering new productive forces. This article starts from the strategic
orientation of industrial development, the problem orientation of digital trans-
formation, and the demand orientation for quality improvement and efficiency
enhancement. It focuses on the key issues in the advancement of the industrial
internet, proposes solutions based on microcomputer platforms, and explores new
directions in the development of intelligent and digital transformation in the field
of relay protection specialization.

Keywords: Industrial Internet · Cyber-Physical Systems · Cloud-Edge

Collaboration · Power Industry · Smart Terminal · Microcomputer Platform

1 Introduction
Digital technology, synonymous with information technology, is one of the fastest grow-
ing and influential technological fields now. It is rapidly permeating and integrating into
various industries, transforming the ways humans produce and live. Digital transforma-
tion is a key area for creating new productive forces today. Using digital thinking to

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 579–590, 2025.
https://doi.org/10.1007/978-981-97-9184-2_47
580 H. Fuqiang et al.

integrate traditional industries is the most effective way to build new productive forces.
Through cross-industry integration and collaborative innovation, digital transformation
promotes the upgrade of traditional industries and accelerates the formation of new pro-
ductive forces. A new growth path is forged with less input of production factors, high
efficiency, low resource and environmental costs, and good economic benefits. This paper
delves into the application of intelligent terminals based on microcomputer platforms in
the industrial internet.

2 Development of the Industrial Internet

Before delving into the industrial internet in the electric power sector, it’s necessary to
understand the development history of the industrial internet. Industrial Internet is the
application of IT (Information Technology), DT (Digital Technology), CT (Communica-
tion Technology), and OT (Operational Technology) in the industrial sector. Essentially,
it represents a revolution in tools and decision-making, enabling both physical and cog-
nitive substitution. By leveraging network platforms, the Industrial Internet connects
various elements such as people, machines, materials, and environments, facilitating
efficient sharing of resources and significantly enhancing overall productivity.
Industrially developed countries such as the United States and Germany have estab-
lished reference systems or standard systems related to the Industrial Internet, leading
the development of infrastructure for the Industrial Internet. The Industrial Internet
Reference Architecture (IIRA) of the United States, released by the Industrial Internet
Consortium (IIC) on June 19, 2019. The latest version v1.9 consists of four viewpoints:
Business, Usage, Functional and Implementation. The IIRA emphasizes nine system
characteristics: system security, information security, resilience, interoperability, con-
nectivity, data management, advanced data analytics, to drive optimization of end, edge,
and cloud systems in the Industrial Internet.
The Reference Architectural Model Industrie 4.0 (RAMI 4.0) of Germany was
released in April 2015. RAMI 4.0 is a three-dimensional model structure that focuses
on the lifecycle of manufacturing processes and value chains. This model specifically
addresses functional analysis, interoperability, and standardization of various units in
the industrial environment. One of the most innovative aspects of RAMI 4.0 is the intro-
duction of the Cyber-Physical Systems (CPS) model, which provides a unified digital
interface for industrial physical assets. Through CPS, physical assets are transformed
into information-rich digital assets, enabling the traversal from the physical world to the
digital world.
China proposed its own industrial internet framework and jointly established the
Alliance of Industrial Internet (AII) on February 1, 2016. The AII Alliance established
a technical standards working group at its inception and released the “Industrial Internet
Standard System (Version 3.0)” [2] in December 2021. This standard system framework
consists of three major systems: network, platform, and security, where the network
is the foundation, the platform is the core, and security is the safeguard. The model
emphasizes that edge computing is a crucial support and key hub for the collaboration
of the industrial internet’s network and platform.
 Application of Smart Terminals in the Power Industrial Internet 581

3 CPS Model and Edge Computing

By reviewing the development of the industrial internet in the United States, Germany,
and China, a notable characteristic emerges—Germany’s Industry 4.0 defines the Cyber-
Physical System (CPS) model as its core, however, China’s emphasis on edge computing
in its industrial internet. Both share close connections yet exhibit certain differences,
which are discussed in depth below:

3.1 Analysis of the CPS Model

Countries around the world have varying concepts of Cyber-Physical Systems (CPS), but
in general, the essence of CPS is to establish a communication channel between the digital
world and the physical world. This channel extracts data and establishes a closed-loop
system for state awareness, diagnostic analysis, intelligent decision-making, automatic
control, and precise execution. The goal is to address the complexity and uncertainty
in production and life-related scenarios, optimizing system resources and improving
efficiency [1].
State awareness relies on sensors to perceive the operating state of the physical
world. Diagnostic analysis involves collecting data, extracting information, and gener-
ating knowledge through software. Intelligent decision-making is achieved by enabling
data flow, information sharing, and knowledge reuse through a platform. Precise exe-
cution involves implementing feedback through actuators to carry out decisions. This
process depends on a real-time, reliable, and secure network, and can be summarized as
“one hardware,” “one software,” “one network,” and “one platform,” collectively referred
to as the “new four fundamentals” [1].
Perception and execution are the starting and ending points of the Industrial Internet.
The essence of perception is the digital extraction of information from the physical
world, utilizing various sensors to read and identify hidden information throughout the
production process. Execution is precise control based on data collection, transmission,
storage and analysis, manifested in a series of actions or behaviors applied to people,
machines, materials, methods, and environments [1].
Software is the coded programming of algorithms, which are abstract solutions to
real-world problems described in computer language. Software can be seen as the data
processing pipeline, fundamentally creating a closed-loop of “state awareness - diag-
nostic analysis - intelligent decision-making - automatic control - precise execution” to
eliminate system uncertainty, reduce entropy, and achieve efficient resource allocation
[1].
The network is the information network connecting industrial production systems,
increasingly characterized by flatness, wireless, and flexibility. Technologically, it con-
nects various devices, controllers, and information systems through fieldbuses, Eth-
ernet, and 5G networks, serving as the infrastructure for system interconnection and
communication [1].
The backend includes industrial clouds and intelligent service platforms, charac-
terized by highly integrated, open, and shared cross-system, cross-platform, and cross-
domain features. It plays a role in data collection, storage, analysis, and sharing. On the
582 H. Fuqiang et al.

backend, various algorithm integration models are constructed, forming a data processing
production line of digital production elements [1].

3.2 Essence of Edge Computing

Edge computing as the convergence point of Internet technology (IT), communication

technology (CT), digital technology (DT), and operational technology (OT). Edge com-
puting is crucial to achieving coordinated development among cloud, network, edge,
and terminal.
The related technical standards for edge computing primarily include edge data
collection and processing, edge devices, edge platforms, edge intelligence, edge-cloud
collaboration, and computing power networks. The standards of them are shown below:
a) Edge Data Collection and Processing Standards: These mainly standardize the tech-
nical requirements for data collection from various devices/products, including proto-
col parsing, data conversion, edge data processing, data storage, data and application
interfaces, and related application guidelines.
b) Edge Device Standards: These primarily define the functional, performance, and
interface requirements of edge computing devices, including edge servers/integrated
machines, edge gateways, edge controllers, and edge computing instruments.
c) Edge Platform Standards: These primarily standardize the technical requirements for
edge clouds and edge computing platforms, including computation, storage, network
resource management, device management, application management, and operational
management.
d) Edge Intelligence Standards: These mainly standardize the technologies for intelli-
gent edge computing capabilities, including virtualization and resource abstraction
technologies, real-time operating systems, distributed computing task scheduling
strategies and technologies, and open edge intelligence services.
e) Edge-Cloud Collaboration Standards: These primarily standardize the architectural
requirements for edge-cloud collaboration, including interfaces and protocols for
resource collaboration, application collaboration, service collaboration, and data
collaboration.
f) Computing Power Network Standards: These mainly standardize the architecture of
computing power networks, including computing power tracing, computing power
measurement, and trust in computing power.

3.3 Alignment of CPS Model with Edge Computing

The Cyber-Physical Systems (CPS) model can be summarized as “one hardware,” “one
software,” “one network,” and “one platform.” China’s Industrial Internet standard sys-
tem integrates edge computing into both the network and platform. It can be understood
as different expressions of the same concept.
Understanding CPS and the cloud-edge collaborative model requires a deep grasp of
their developmental evolution [1]. Specifically, CPS has distinct hierarchical character-
istics. It can range from a single intelligent component or product to an entire intelligent
production system. The construction of CPS progresses from localized small systems to
 Application of Smart Terminals in the Power Industrial Internet 583

complex systems. By analogy, edge devices can be positioned as unit-level small intel-
ligent components or terminals, aligning perfectly with the role and function of CPS
unit-level components. Cloud-edge collaboration involves networking edge terminals to
integrate into a platform, forming small, large, and super systems, aligning seamlessly
with CPS-related concepts.
The unit level represents the smallest indivisible unit of CPS and can be seen as
the endpoint of a cloud-edge collaborative system. A terminal component or product,
equipped with “one hardware” and “one software”, can form a closed-loop system with
capabilities such as awareness, control, programmability, computation, expansion, con-
nectivity, and policy enforcement. Examples include intelligent circuit breakers, smart
switch cabinets, intelligent robots, edge all-in-one machines, edge controllers, or smart
terminals. Every unit is an information carrier, that can form a digital representation be
mapped in the virtual space [1].
The system level is an organic combination of “one hardware, one software, one net-
work,” which can be viewed as a small or large cloud-edge collaborative system. Multiple
unit-level CPS interconnected through a network can form intelligent production lines
and processing plants [1]
The system-of-systems level (SoS level) represents an organic combination of multi-
ple systems and can be compared to a super system in cloud-edge collaboration, encom-
passing “one hardware, one software, one network, and one platform.” SoS-level CPS or
cloud-edge collaborative super systems achieve cross-system and cross-platform integra-
tion through big data platforms, facilitating the integrated, exchanged, and shared closed-
loop flow of multi-source heterogeneous data. This enables comprehensive information
awareness, in-depth analysis, scientific decision-making, and precise execution on a
global scale. Software systems and big data platforms like Siemens’ Mindsphere, GE’s
Predix, PTC’s ThingWorx, and Haier’s COSMO achieve horizontal, vertical, and end-
to-end integration, fostering an open, collaborative industrial ecosystem. This reflects
the development direction of CPS and cloud-edge collaboration models at the SoS level
[1].

4 Trends and Challenges in the Digital Transformation of the Power

Industry
The Power Industrial Internet, as a key infrastructure for the digital transformation of
the power industry, provides support with its network architecture and technological
system. It has a profound impact on the power sector. By leveraging Industrial Internet
technology, the power industry can achieve automation and intelligence in its production
processes, promoting a shift from mere power production to a combination of production
and services.
Compared to the thriving development of the consumer Internet, the Industrial Inter-
net differs primarily in two aspects: first, the consumer Internet deals with mass life
consumption scenarios where the density of IT talent is higher; second, the widespread
adoption of smartphones has greatly advanced the standardized data collection for the
consumer Internet. Currently, the power industry is actively pursuing digital transfor-
mation through Industrial Internet applications, but it faces a series of challenges. These
584 H. Fuqiang et al.

include a lack of standardized terminals, incomplete cloud-edge collaboration, difficul-

ties in data processing and high complexity in algorithm. The following are the reasons
behind these challenges:
The Power Industrial Internet terminals encompass a variety of microcomputer
devices, PLC devices, edge all-in-one machines, and edge controllers with different
models and dispersed data. Every segment involves security risks related to devices,
platforms, transmission, and data. The lack of unified technical standards, transmission
protocols, and data interfaces for various terminals leads to differences in data for-
mats, sampling frequencies, synchronization characteristics, and communication meth-
ods, making data sharing difficult. Each system is built independently with low inte-
gration, significantly affecting system reliability. Additionally, the various customized
terminals severely lack openness for in-depth user development.
Despite overcoming many difficulties to upload second-level sampled data to the big
data platform, the current low data quality allows only for the development of simple
trend observation and analysis applications. In terms of talent, it is challenging and
risky for electrical engineering employees in the power industry to develop advanced
applications or algorithms on the big data backend using Internet information technology
(IT). On the other hand, information software professional algorithm developers lack
deep understanding and experience in power production and operations technology (OT),
creating a talent mismatch and resulting in a talent predicament.
The collaboration between cloud and edge applications, data processing, and AI
capabilities all require significant cost and manpower for development and exploration,
greatly restricting the development of the Power Industrial Internet. Therefore, the market
needs intelligent industrial Internet terminals that integrate the advantages of the Cyber-
Physical Systems (CPS) model, support the improvement of industrial production quality
and efficiency, and empower new industrialization.

5 Smart Terminals Based on Microcomputer Platforms and Their

Application
5.1 Comparison of IPCs, MCUs, PLCs, and MPUs
The development of intelligent applications in the Industrial Internet urgently requires
Industrial Internet terminals similar to smartphones. These terminals should feature
open programming, unified electrical and process control quantities, standardized data
formats, easily expandable signal types, and a modular structure. They should be capable
of matching various industrial scenarios with low cost and high reliability.
The China Industrial Internet Industry Alliance launched the country’s first
edge computing industry project—the Edge Computing Standard Part Plan—
which recommends four types of edge computing terminals: edge computing plat-
forms/servers/integrated machines, and edge controllers. Among these, edge computing
platforms/servers/integrated machines can collectively be referred to as industrial com-
puters, abbreviated as IPCs. Edge controllers are divided into PLCs and MCUs, with a
comparative analysis of their characteristics as follows (Table 1).
Industrial control computers have important computer attributes and features. They
are powerful but have the drawback of being highly specialized, requiring in-depth
 Application of Smart Terminals in the Power Industrial Internet 585

Table 1. Comparison of IPCs, MCUs, PLCs, and MPUs

Classification Industrial PC Microcontroller Programmable Microcomputer

(IPC) Unit (MCU) Logic Controller Protection Unit
(PLC) (MPU)
1. Processing Unit CPU MPU MPU MPU
2. Function Realize various Realize various Realize various Realize various
complex complex complex complex functions,
functions, the functions, functions, the powerful
most powerful mediocre weakest
3. Reliability Low failure rate Low failure rate Low failure rate Low failure rate
4. Environmental High High General General industrial
Adaptation environmental environmental industrial environment
requirements requirements, environment
5. Anti- Weak Relatively Strong Strong
Interference anti-interference Strong anti-interference anti-interference
Ability ability anti-interference ability ability
ability
6. Operation and Difficult Difficult Easy Easy
Maintenance
7. System The system The system Easy design, Easy design,
Development design is design is simple simple installation,
complex and complex and installation, short debugging
debugging debugging short debugging cycle, The
calculations are calculations are cycle programming
difficult difficult function is not
open
8. Working Mode Interrupt Interrupt Sequential Interrupt
processing, fast processing, fast scanning, slow processing, fast
response response response response
9. Data Acquisition Special interface Special interface Many interfaces few interfaces
Interface needs to be needs to be
designed designed
10. Data Requires Good with Good with Good with digital
Processing external digital and digital,bad with and analog
acquisition analog analog processing,Built-in
device processing processing sampling interface,
high sampling rate
(4kHZ)
(continued)

hardware and software development skills. Microcontrollers (MCUs) are specialized

devices consisting of various chips, components, and PCB boards on the hardware side,
and typically programmed in assembly language or C language on the software side.
They have poor generality and long development and testing cycles.
586 H. Fuqiang et al.

Table 1. (continued)

Classification Industrial PC Microcontroller Programmable Microcomputer

(IPC) Unit (MCU) Logic Controller Protection Unit
(PLC) (MPU)
11. Powerful data Strong data Weak data Strong data
Communication processing and processing processing and processing
Capability communication capabilities and communication capabilities and
capabilities weak capabilities weak
communication communication
capabilities capabilities
12. Response Quick response Quick response Slow response Quick response
13. Cost High Low Relatively High Relatively High

Based on microcontrollers, PLCs with better reliability and generality were devel-
oped. PLCs are products of microcontroller control systems, initially developed from
sequential control, with powerful functions and stable performance. However, they
have notable shortcomings in analog processing, electrical computation, high-speed
synchronous sampling, and rapid response.
Microcomputer protection devices overcome these shortcomings of PLCs. They can
stably, efficiently, reliably, and in real-time run various protection functions and model
algorithms. Table 1 compares their performance across 13 dimensions. Microcomputer
protection devices excel in 10 dimensions, with some weaknesses in system develop-
ment, data acquisition interfaces, and communication capabilities. Overall, they have a
significant competitive performance advantage and are an excellent carrier for core CPS
units of the Industrial Internet and can be termed intelligent edge computing terminals.

5.2 Key Technologies Required for a Universal Smart Terminal

The key technologies required for developing a general-purpose intelligent terminal

based on a microcomputer platform for Industrial Internet Cyber-Physical Systems (CPS)
can be summarized as follows:
a) Develop graphical programming software to reduce the difficulty for non-
professionals in developing algorithm.
b) Enhance communication and data processing capabilities to support various cas-
cading and networking modes, addressing data cleaning challenges such as high-
frequency sampling, time synchronization, high-speed computation, protocol com-
patibility, format standardization, and structural uniformity.
c) Expand the types of signal acquisition and configure various sensors as needed to
flexibly adapt to different working conditions and scenarios.
By implementing these three measures, the practical application of the Industrial
Internet can be actively supported. The main challenge lies in the extensive engineering
effort required for the development of key technology “a”. The development of key
 Application of Smart Terminals in the Power Industrial Internet 587

technologies “b” and “c” is technically mature, and upgrading these on the traditional
microcomputer platform poses minimal implementation difficulty while maintaining the
reliability of the microcomputer devices. This approach is highly feasible.
Drawing a parallel with the consumer Internet industry: traditional cell phones could
only support a limited number of specific applications, whereas smartphones expanded
on the capabilities by adding sensor signals such as cameras, infrared, and GPS, allow-
ing users to install various apps. This cross-industry comparison provides insight: by
adding graphical programming software, enhancing communication and data process-
ing capabilities, and expanding the types of signal acquisition on the microcomputer
platform, it can have broad application scenarios. This approach can effectively address
the challenges of IT and OT integration and create multi-scenario solutions.

5.3 Conceptual Features of a Universal Smart Terminal

China Yangtze Power Co., Ltd.’s Xiluodu Hydropower Plant has proposed an indus-
trial Internet modular intelligent terminal invention patent [3]. This invention achieves
various purposes and functions by configuring control modules, communication power
modules, and various I/O modules, which are then connected and combined through
a base. This modular combination intelligent IoT terminal encapsulates the entire sys-
tem’s hardware and software independently into modules. Interaction between mod-
ules is achieved through standardized interfaces and protocols, shielding the underlying
complexity of various software and hardware interfaces and operations, allowing the
different modules to combine automatically and intelligently. Furthermore, peripheral
components can be matched to various scenarios according to on-site requirements and
unified into standard data types through transmitters. As a key node platform for the
Industrial Internet and IoT, the intelligent terminal has distributed computing power and
flexible configuration. It can achieve master-slave collaborative work modes through the
selection of different control modules. It can also connect to the Internet via commu-
nication technology to achieve a joint working mode for different intelligent terminals
and can enhance computing power through 5G communication and cloud computing.
The intelligent terminal described in this invention possesses basic programming
capabilities and provides graphical algorithm editing software, reducing the difficulty for
personnel of power sector in developing various algorithms. This platform allows for the
customization, development, and use of various applications, displaying and controlling
them via the network. It offers a deployable solution for building a flexible, modular,
highly distributed IoT network. The modular, and standardized design can effectively
reduce the production and inventory costs of intelligent terminals. Personalized solutions
for various types of peripheral components can meet on-site needs. This significantly
lowers the operation and maintenance costs of equipment and supporting facilities for
state sensing or monitoring systems, reduces the difficulty of personnel training.
588 H. Fuqiang et al.

5.4 Application of Universal Smart Terminals

Intelligent terminals based on microcomputer platforms have a wide range of application
scenarios. However, the challenge lies in the need to strengthen network security protec-
tion capabilities. Additionally, intelligent terminals developed on traditional microcom-
puter protection platform architectures require more testing and practical application.
It is essential to control power safety production risks, and in the initial stage, these
terminals should be considered as a supplement to rather than a replacement for tradi-
tional microcomputer protection devices. General-purpose intelligent terminals based
on microcomputer platforms address real production site issues, have broad application
scenarios, and possess high market value.

5.4.1 Application Scenario 1: Real-Time Expert Diagnostic Intelligent Terminal

for GCB
To address various issues found in GCBs such as aging analog components, loosened
linkage mechanisms, oil leakage and pressure drops, insufficient SF6 pressure, unclear
node status and poor contact, a customized intelligent terminal based on the microcom-
puter platform is developed with various state monitoring functions. These functions
include the integration and replacement of analog electrical components, synchronous
monitoring of electrical and mechanical quantities (including contact linkage position,
node position, contact temperature, current, etc.), and the addition of sensors to mon-
itor GCB oil pressure, SF6 gas pressure, and other related characteristic indicators to
provide early warnings on GCB status. By accumulating extensive operational data of
GCBs and enhancing GCB operation and maintenance management through big data
and algorithms, the reliability of system operation is effectively improved.

5.4.2 Application Scenario 2: Expert Diagnostic Intelligent Terminal for 400V

Systems
Currently, 400V systems generally lack protection functions, with overcurrent protection
integrated within the circuit breaker. The measurement and Automatic Switch Function
of 400V systems are handled by a combination of different analog measurement, trans-
mitters, PLCs, and relays, resulting in high failure rates and low reliability. The develop-
ment of an intelligent terminal based on the microcomputer platform for 400V systems
aims to solve these issues by replacing high-failure-rate components, reducing control
circuits, and enhancing system reliability through big data and predictive models.

5.4.3 Application Scenario 3: Real-Time Expert Diagnostic Intelligent Terminal

for 10kV Systems
This real-time expert diagnostic intelligent terminal integrates various functions on the
same platform, including Automatic Switch Function, harmonic elimination, interlock-
ing control, status monitoring, and oscillographic analysis. It aims to streamline the
circuits and components of the 10kV system. By replacing high-failure-rate compo-
nents, simplifying control circuits, integrating multiple functions, and exploring big
data diagnostic, the system’s reliability and scalability are enhanced.
 Application of Smart Terminals in the Power Industrial Internet 589

5.4.4 Application Scenario 4: Intelligent Meters and Controllers

Power stations widely use analog meters or transmitters for measuring voltage, current,
power, and frequency. However, there are reliability issues with the long-term operation
of these measurement devices. Intelligent meters based on the microcomputer platform
can effectively address these issues. A set of intelligent meters can integrate multiple
measurements such as voltage, current, power, and frequency, simplifying the circuit
and diagnostic models such as can be loaded, for example, after installing this intelli-
gent meter on the PT cabinet, various intelligent algorithms can be loaded, including
synchronization monitoring, harmonic elimination, and operational sequence control.

6 The Wave for the Implementation of the Power Industry Internet

The core of the industrial internet’s implementation lies in Cyber-Physical Systems
(CPS), and intelligent terminals that bridge the IT with OT are key. Edge computing
is essentially a tool for intelligent upgrading of application scenarios, reducing costs,
and increasing efficiency. However, many industrial sites in China have not yet com-
pleted their digital upgrades. Therefore, customized modifications are needed, providing
comprehensive solutions. Intelligent terminals based on microcomputer platforms are
such high-value, high-potential products. They compensate for the shortcomings of tra-
ditional microcomputer protection fields, tailor CPS systems for each equipment, create
intelligent monitoring, early warning, and diagnostic solutions.
The industrial internet is currently in its early stages of explosive growth, and the
industry’s maturity is relatively low. International giants are accelerating the construc-
tion of industrial clouds and intelligent service platforms， applying AI technology to
seize the rights to rule-making leadership. Various advantageous enterprises should be
encouraged to focus on the industrial internet and digital transformation, to expand the
scenarios of the industrial internet in the power sector.

References
1. An Xiaopeng, White Paper on Cyber-Physical Systems (2017). Preface
2. Industrial Internet Industry Alliance, Industrial Internet Standard System (Version 3.0)
3. China Yangtze Power Co., Ltd. Modular Combination IoT Terminal: China, 219918970U[P].
2023–10–27
590 H. Fuqiang et al.

Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Influence of Water Molecules on the Interfacial
Structures and Energy Storage Behavior of Ionic
Liquid Electrolytes

Chenxuan Xu(B) , Xu Qian, Xingxing Gu, and Junjie Yang

Power China Huadong Engineering Corporation Limited, Zhejiang Province, Hangzhou 310000,
China
[email protected]

Abstract. Ionic liquids have been considered as promising electrolytes for super-
capacitors due to the wide electrochemical stability window. However, water
molecules inevitably damage the electrochemical properties of ionic liquids due
to the hygroscopic property. This paper reveals the effect of water molecules on
the interfacial structure and energy storage performance of ionic liquids using the
atomistic simulations. Unlike neat ionic liquids, the Helmholtz region for humid
ionic liquids is mainly composed of BMI cations and water molecules. Importantly,
water molecules primarily accumulate in the buffer region between BMI cation
and graphene electrode, especially at the high negative charges, which is the crucial
factor to induce the hydrogen evolution reactions for the decreased electrochemical
stability window. More interestingly, the dielectric properties of water molecules in
the buffer layer are beneficial for lowering the electric potentials for higher capaci-
tive performance. The differential capacitance of [BMI+ ][BF4− ]/H2 O electrolyte
exhibits a bell-shaped curve with a maximum value of ~5.0 F/cm2 at 0.75 V.
The revealed insights are important for understanding the water effect in ionic
liquid-based supercapacitor energy storage.

Keywords: moist ionic liquid · charge storage mechanism · energy storage

behavior · molecular dynamics simulation · supercapacitor

1 Introduction
Ionic liquids, composed of neat cations and anions without solvents, have attracted great
research interests due to the obvious advantages of good thermal/chemical stability,
wide electrochemical stability window (3.0–6.0 V) and non-flammable properties [1–
3]. As such, ionic liquids have been widely used in the energy storage devices including
supercapacitors and batteries [4, 5]. For example, Naguib et al. increased the interlayer
spacing of MXene electrode and demonstrated a high capacitance value of 257 F/g and an
ultrahigh energy density of 370 Wh/kg in neat ionic liquids of [BMI+ ][BF4 − ] electrolyte
[6], which is mainly due to the good electrochemical stability of ionic liquids. Serrapede
et al. developed a new combination of MoS2 /rGO and ionic liquid, which exhibits a
superior capacitance of 210 F/g even at a high working temperature of 200 °C [7], which
correlates with the excellent thermal stability of ionic liquids.

© The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 591–597, 2025.
https://doi.org/10.1007/978-981-97-9184-2_48
592 C. Xu et al.

The outstanding physical, chemical, and electrochemical properties of ionic liquids

primarily come from their cation-anion composition, strong intermolecular interactions,
and unique microscopic structures. Thus, many researchers have investigated the effect
of cation/anion species, their combinations, alkyl chain effects, and their intermolecular
interactions on the dynamic properties (e.g., diffusion coefficient, ionic conductivity,
wetting, and viscosity), electrowetting behaviors, low-temperature property (e.g., freez-
ing point), electrochemical stability window, and thermal stability (e.g., volatility and
flammability) [8–12].
In addition to the above progress, more attention has recently been paid to the inher-
ent hygroscopic property of ionic liquids in the practical energy storage applications
[13–16]. It is found that ionic liquids easily adsorb water molecules and become humid
during the preparation process due to the hygroscopic property, leading to the obvi-
ous degradation of electrochemical stability window, which significantly sacrifices their
inherent advantages [17]. Molecular simulation studies revealed that the population of
[BMIM+ ][BF4 − ] ionic liquids near the Pt surface was decreased with the increase of
water content, which further suggested that the thermal conductivity of [BMIM+ ][BF4 − ]
was also decreased [18]. Using the coarse-grained model, Fan et al. showed that the distri-
bution of water in the [BMIM+ ][BF4 − ] ionic liquids was asymmetric, which was shifted
toward the charged surface at higher charge densities [19]. Therefore, an in-depth study
of the effect of water on the microscopic structures of ionic liquids is highly needed.
This paper investigates the influence of water molecules on the microscopic structure
of typical [BMI+ ][BF4 − ] ionic liquids using molecular dynamics simulation. This paper
focuses mainly on the effect of water on the interfacial structure, electric potential,
dielectric properties, and capacitive behavior. The results show that water molecules
primarily act as a buffer layer between the [BMI+ ][BF4 − ] ionic liquid and the electrode
surface, especially at a higher negative charge density of >−8 µC/cm2 , which further
influences the capacitive behaviors. These unveiled molecular insights are important for
understanding, designing and optimizing the electrochemical properties of ionic liquids.

2 Results and Discussions

The atomic model composed of graphene, [BMI+ ][BF4 − ] ionic liquid and water
molecules is shown in Fig. 1a. Near the neutral electrode, water molecules prefer to
accompany the ions, and BMI+ cation and BF4 − anion have the similar density distri-
butions due to the strong intermolecular electrostatic interactions. Upon charging the
graphene electrodes (from 0 to − 16 µC/cm2 ), the population of BMI+ cation in the
Helmholtz region (~6 Å from the electrode surface) is significantly enhanced, while the
corresponding density of BF4 − anion is largely suppressed. Specifically, the peak of
BMI+ cation is increased by ~4.73 times (from 0.0038 #/Å3 at 4.2 Å to 0.018 #/Å3 at
3.7 Å). Meanwhile, the water molecules are also attracted to the closer position with
higher density towards the electrode surface (from 0.03 #/Å3 at 3.2 Å to 0.06 #/Å3 at
3.0 Å for O atoms; from 0.041 #/Å3 at 3.8 Å to 0.055 #/Å3 at 2.3 Å for H atoms). In
contrast to the neat ionic liquids [20, 21], we can conclude that water molecules pri-
marily serve as a buffer layer between the [BMI+ ][BF4 − ] ionic liquid and the electrode
surface, especially at a higher negative charge density of >−8 µC/cm2 . As a result, the
 Influence of Water Molecules on the Interfacial Structures 593

interfacial water molecules as the buffer layer is the key factor to induce the hydrogen
evolution reaction of anode and thus reduce the electrochemical stability window of
ionic liquids.

Fig. 1. (a) Simulation model and (b–f) density profiles of [BMI+ ][BF4 − ]/H2 O electrolyte. Red,
white, blue, green and grey colors represent the O atom, H atom, BMI+ cation, BF4 − anion, and
carbon atoms, respectively.

To more clearly show the microscopic structure of [BMI+ ][BF4 − ]/H2 O electrolyte,
the corresponding representative side-view snapshots from molecular simulations are
shown in Fig. 2. We can clearly see the layered and ordered structure of BMI+ cations.
More importantly, the Helmholtz region is mainly composed of BMI+ cations and water
molecules, exposing reactive H atoms towards the negative electrode, especially at the
higher negative charges.

Fig. 2. Representative side-view snapshots of [BMI+ ][BF4 − ]/H2 O electrolyte at different nega-
tive charge densities

Using the Poisson equation, this work calculates the electric potential distributions
based on the electrolyte number/charge density from Fig. 1. To quantitatively describe
the contribution of ionic liquids and water molecules to the electric potentials, the total
electric potential U total is decomposed into two parts, the ionic-liquid-induced electric
594 C. Xu et al.

Fig. 3. Electric potential of [BMI+ ][BF4 − ]/H2 O electrolyte at different charge densities of (a) −
4 µC/cm2 , (b) −8 µC/cm2 , (c) −12 µC/cm2 and (d) −16 µC/cm2

potential U ion and the water molecule-induced electric potential U solvent (Fig. 3). An
important feature is that the electric potential value of U total and U ion is positive while
the corresponding value of U solvent is negative. Thus, the dielectric property of water
molecules helps reduce the electric potentials for higher capacitance. For example, the
electric potential induced by ion U ion is ~2.0 V, and the electric potential induced by the
water U solvent is ~−0.6 V, resulting in a total electric potential value U total of ~1.4 V.
Another feature is that the curve of U total , U ion and U solvent flattens within 10 Å from
the electrode surface, indicating that the screening of electrode field is completed in a
very thin interfacial region.
The contribution of water molecules to the electric potential can be understood in
terms of dielectric properties. Based on the dipole and charge distribution (see Eq. 1),
we can calculate the distribution of the dielectric property of water ε, defined as:

ε = 1 + (< M2 > − < M >2 )/3VkB Tε0 (1)

where M is the dipole moment, ε0 is the dielectric constant, and k B is the Boltzmann
constant. The water dielectric property ε shows a layered structure, which gradually
increases to the bulk property with its position far away from the electrode surface
(Fig. 4a). In particular, the water dielectric property ε exhibits a Helmholtz peak of ε
= 42.5 at ~3.0 Å, as do the number density distributions in Fig. 1. Thus, the Helmholtz
layer of water molecules helps to screen the electric field from electrodes for better
capacitive energy storage, while it also easily induces the hydrogen evolution reaction
and thus the limited electrochemical stability window of [BMI+ ][BF4 − ] ionic liquids.
 Influence of Water Molecules on the Interfacial Structures 595

In addition, the capacitive performance of graphene in [BMI+ ][BF4 − ]/H2 O

electrolyte is quantitatively described. The differential capacitance curve of
[BMI+ ][BF4 − ]/H2 O electrolyte exhibits a bell-shaped curve with a maximum value
of 5.0 µF/cm2 at 0.75 V (Fig. 4b). Moreover, the capacitance values of anode and cath-
ode mainly fall in the range of 4~5 µF/cm2 (Fig. 4c), which is slightly higher than that
of neat ionic liquids [20], mainly due to the effect of water molecules.

Fig. 4. (a) Dielectric property of water molecule in the [BMI+ ][BF4 − ]/H2 O electrolyte. (b)
Differential capacitance and (c) electrode capacitance of [BMI+ ][BF4 − ]/H2 O electrolyte

3 Conclusion
This paper reveals the influence of water molecules on the interfacial structure and
capacitive behavior of ionic liquids using the atomistic simulations. It is shown that
water molecules primarily serve as the buffer layer between [BMI+ ][BF4 − ] ionic liquid
and electrode surface, especially at higher negative charge density of >−8 µC/cm2 . We
demonstrate that the dielectric property of water molecules helps to decrease the electric
potentials for higher capacitive performance, meanwhile it also easily induces the hydro-
gen evolution reaction for decreased electrochemical stability window of ionic liquids.
Moreover, the differential capacitance curve of [BMI+ ][BF4 − ]/H2 O electrolyte exhibits
a bell-shaped curve with a maximum value of 5.0 µF/cm2 at 0.75 V. The capacitance
value of graphene electrode in [BMI+ ][BF4 − ]/H2 O electrolyte mainly falls in the range
of 4~5 µF/cm2 .
596 C. Xu et al.

4 Simulation Method
The atomic simulations are performed using LAMMPS software. The simulation model
is built with two layers of graphene, water molecules and [BMI+ ] [BF4 − ] ionic liquids.
The dimensions of simulation box along X, Y and Z directions are 33.50 Å, 33.85 Å and
80.0 Å. The periodic boundary conditions are set on the X and Y directions. An additional
10 Å vacuum region is set along the Z direction to avoid periodic interaction. 50 pairs
of [BMI+ ] [BF4 − ] and 1795 pairs of water molecules are used as the representative
electrolyte. The temperature of the electrolyte is kept at 300 K and the time step is set to
1 fs. The force fields for [BMI+ ] [BF4 − ] with coarse-grained models, water molecules
and graphene are taken from previous studies [22]. The simulation is run for at least 5 ns
for equilibration and then rerun for at least 10 ns for data analysis.

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Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
 Author Index

A F
An, Jianfeng 552 Fan, Jinyong 47
Fang, Wei 25, 32
Feifei, Gan 236
B Feng, Deqiang 258
Bazzo, João Paulo 155 Fuqiang, Huang 579
Bernardy, Marcelo Henrique 155
Bongiolo, Silva 155
Brunetto, Gilson Antônio 155 G
Brusamarello, Beatriz 155 Gao, Chong 354
Gao, Jie 317, 515
Gao, Yaohui 537
C Ge, Mengyan 380
Cao, Mingxiong 446 Gu, Jianwei 317
Cao, Ying 329 Gu, Xingxing 591
Chen, Hanmo 228 Guo, Shengshan 186
Chen, Jian 47 Guo, Yan 25, 32
Chen, Pingzhi 537
Chen, Ruixian 329 H
Chen, Shaojun 423 Hai, Yang 579
Chen, Xinjian 155, 529 Han, Bing 215
Chunxing, Lian 505 Han, Jingnan 489
Cui, Anzhe 272 Han, Yue 537
Cui, Hao 537 Hao, Rusheng 25, 32
Haoyu, Ma 137
D He, Fengqin 391
da Silva, Jean Carlos Cardozo 155 He, Jingjing 25, 32
Daiyao, Zhao 236 Hong, Kunhui 446
de Barros, Alessandra 155 Hou, X. X. 294
de Oliveira, Alexandre Frescki 155 Hu, Yin 446
Dellabeta, Bruno 15 Huan-Chun, Zhu 70
Deng, Miao 354 Huang, Yong 3
Dengyu, Yang 146 Huazhong, Zhang 401
Ding, Wei 57 Hui, Cao 137
Ding, Xuelin 391
Dong, Chuang 476 J
Dreyer, Uilian José 155 Ji, Guo-liang 88
Du, Haibo 329 Jian, Chen 146
Duan, Bin 258 Jiang, Bo 47

© The Editor(s) (if applicable) and The Author(s) 2025

S. Zheng et al. (Eds.): IHDC 2024, LNCE 487, pp. 599–601, 2025.
https://doi.org/10.1007/978-981-97-9184-2
600 Author Index

Jiang, Ding-guo 88 N
Jiangtao, Xiao 579 Nianhong, Cao 146
Jianping, Wang 146 Ning Liu, 537
Jihua, Chen 401 Ning, Jian 285
Jun, Chen 579 Ning, Zhang 236
Junhong, Zhang 115
P
K Peng-Fei, Li 70
Kexun, Zheng 236 Pipa, Daniel Rodrigues 155
Kou, Xiaomei 476 Pires, Beatriz Sepulveda 529
Kulik, Larissa Wierzynski 155
Q
L Qian, Xu 591
Lei, Weniun 391 Qian, Xueming 3
Li, Deyu 186 Qian, Zhang 39
Li, Hongyong 329 Qin, Shihe 258
Li, Jianfeng 462 Qingnian, Yu 401
Li, Jingyi 317 Qiu, Xiaodong 285
Li, Tianqing 215 Qu, Taotao 285
Li, Xingyu 176 Qu, Zelong 462
Li, Zhen 258
Li, Zhonghua 552 R
Liang, Hui 186 Ren, Haitao 567
Liao, Yu 197 Rui, Tian 137
Lijuan, Bian 165
Lin, Yanyan 57 S
Liu, Chuang 272 Santos, Marcelino 15
Liu, Guangkun 247 Shuming, Li 165
Liu, Jinyang 197 Shusheng, Wang 505
Liu, Kai 329 Shu-yu, Wu 70
Liu, Ruirui 476 Song, Wei 476
Liu, Xianggang 489 Song, Zhiyu 247
Liu, Xiaodong 3 Sun, Jinjin 423
Liu, Yingrui 285 Sun, Liqun 367
Liu, Yunhe 343
Lu, Peng 215, 228 T
Luo, Shaoze 272 Tang, Siwei 317, 515
Lv, Zhen-yu 88 Tavares, Afonso Cesar 15
Teixeira, Sidnei Helder Cardoso 155
M Teng, S. F. 294
Ma, Aixing 446 Tu, Jin 186
Macioski, Gustavo 155
Mao, Haoyu 258 W
Martelli, Cicero 155 Wan, Weifeng 367
Melegari, Luis Fernando Pedrozo 155 Wang, Dong 105
Miao, Chuting 228 Wang, Haisheng 258
Author Index 601

Wang, Kexin 285 Yong-Fu, Hu 70

Wang, Le 567 Yong-Jun, Deng 70
Wang, Song 308 Yu, Chenlu 105
Wang, Xiao 343 Yu, Yang 25
Wang, Xu 317, 515 Yuwei, Pan 39
Wu, Jing 423
Z
X Zeng, Feng 367
Xianggang, Liu 236 Zhai, Yafei 247
Xiao, Chen 236 Zhai, Yan-wei 88
Xin, Cun 3 Zhang, Along 105
Xiong, C. X. 294 Zhang, Dong 176
Xu, Chenxuan 591 Zhang, Huiyi 155, 529
Xu, Duo 552 Zhang, Jianchao 567
Xu, Langxing 423 Zhang, Luchen 272
Zhang, Wei 176, 446
Y Zhang, Yi 165
Yan, Chunli 186 Zhang, Zhi 32
Yang, Dangfeng 3 Zhao, Daiyao 489
Yang, Fuxue 47 Zhao, Quan 354
Yang, Guofu 462 Zhaoan, Jin 579
Yang, Jianzan 515 Zhaokang, Tang 146
Yang, Junjie 591 Zheng, Kexun 489
Yang, Kaibin 215 Zheng-Gang, Zhan 70
Yang, Qi 391 Zhengpu, Chen 579
Yang, Shuangchao 197 Zhenyu, Sun 505
Yang, Xu 137 Zhonggen, Sun 401
Yang, Yongkang 308 Zhou, Jun 47
Yang, Z. Y. 294 Zhou, Liangsong 354
Yang, Zhuo 105 Zhou, Pengcheng 215
Yang, Zijun 215 Zhou, Weidong 367
Yaxin, Liu 137 Zhu, Fangliang 317, 515
Ye, Xiaoyu 105 Zhu, Yiming 317
Yi, Bo 343 Ziting, Shao 401
Yifei, Wang 401 Zou, Zehua 354
Yin, Ming 272 Zuo, Zhouchang 489