Proceedings of The 9th International Conference On Energy Engineering and Environmental Engineering (Zuoyu Sun, Prodip Das)

Environmental Science and Engineering
Zuoyu Sun
Prodip Das Editors
Proceedings of the
9th International
Conference on Energy
Engineering and
Environmental
Engineering
Series Editors
Ulrich Förstner, Buchholz, Germany
Wim H. Rulkens, Department of Environmental Technology, Wageningen,
The Netherlands
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Books focusing on the former are published in the subseries Environmental Science,
those focusing on the latter in the subseries Environmental Engineering.
Zuoyu Sun · Prodip Das
Editors
Proceedings of the 9th

International Conference
on Energy Engineering
and Environmental
Engineering
Editors
Zuoyu Sun Prodip Das
Department of Energy and Power School of Engineering
Engineering University of Edinburgh
Beijing Jiao Tong University Edinburgh, UK
Beijing, China
ISSN 1863-5520 ISSN 1863-5539 (electronic)

ISBN 978-3-031-30232-9 ISBN 978-3-031-30233-6 (eBook)
https://doi.org/10.1007/978-3-031-30233-6
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Organizing Committee
Program Committee Chairs
Prof. Kuo-Lin Huang, National Pingtung University of Science and Technology,

Taiwan
Assoc. Prof. Zuoyu Sun, Beijing Jiaotong University, China
Technical Program Committees
Prof. Gordon Huang, University of Regina, Canada

Prof. Teik-Thye LIM, Nanyang Technological University, Singapore
Prof. Ayşegül Aşkın, Eskişehir Osmangazi University, Turkey
Assoc. Prof. Melih Onay, Van Yuzuncu Yil University, Turkey
Dr. Parthiba Karthikeyan Obulisamy, Purdue University, IN, USA
Prof. Zhe Chen, Aalborg Universitet, Denmark
Prof. Huan Yu, Chengdu University of Technology, China
Assoc. Prof. Yaolin Lin, University of Shanghai for Science and Technology, China
Prof. Bachir Achour, University of Biskra, Algeria
Prof. Ahmad Zuhairi Abdullah, Universiti Sains Malaysia, Malaysia
Assoc. Prof. Maciej Dzikuć, University of Zielona Gora, Poland
Asst. Prof. Svenja Hanson, University of Nottingham Ningbo, China
Prof. Alam Md. Mahbub, Harbin Institute of Technology (Shenzhen), China
Prof. Jose Francisco Armendariz-Lopez, Universidad Autónoma de Baja California,
México
Assoc. Prof. Andrés Honrubia-Escribano, Universidad de Castilla-La Mancha, Spain
Prof. Siti N. B. Rahmat, Universiti Tun Hussein Onn Malaysia, Malaysia
Assoc. Prof. Wong Ling Tim, Hong Kong Polytechnic University, Hong Kong, China
Dr. Daniele Contini, Istituto di Scienze dell’Atmosfera e del Clima, Italy
v
vi Organizing Committee
Asst. Prof. Xiaolei Zhang, Shenzhen Graduate School of Harbin Institute of

Technology, China
Publication Chairs
Assoc. Prof. Zuoyu Sun, Beijing Jiaotong University, China

Assoc. Prof. Prodip Das, Newcastle University, UK
Preface
Dear Distinguished Authors and Guests,

The 2022 9th International Conference on Energy Engineering and Environmental
Engineering (ICEEEE2022) was held on December 9–10, 2022, successfully. Based
on the COVID-19 in different provinces in China, we have to switch the conference
to a virtual one.
ICEEEE is dedicated to building an overarching technology platform for
researchers in academia. The proceedings tend to collect the up-to-date, compre-
hensive and worldwide state-of-art knowledge and look far out enough in time,
space and cross disciplines on energy engineering and environmental engineering
and some other related topics. The papers have been selected because of the quality
and relevance to the conference. We hope the book will not only provide the readers
a broad overview of the latest research results but also provide the readers a valuable
summary and reference in these fields.
We are grateful to the Program Committee Chairs and Technical Program
Committee Members for their dedicated efforts in ensuring the quality of the papers.
Also, on behalf of the organizing committee, we would like to express our sincere
gratitude to the distinguished keynote speakers and invited speakers, as well as to
all the participants. Last but not least, we are thankful to the Springer book series:
Environmental Science and Engineering for producing the proceedings.
We are expecting more experts and scholars from all around the world to join the
ICEEEE2023.
With our warmest regards!
The committee of ICEEEE2022
Beijing, China Zuoyu Sun

Edinburgh, UK Prodip Das
vii
Contents
1 Production Performance Characteristics of Horizontal Well

in Lacustrine Pure Shale Reservoirs of Gulong Shale Oil . . . . . . . . . . 1
Lifeng Liu, Yuxiang Xiao, Zhongbao Wu, and Xin Wang
2 Application of Air-Foam Flooding in Petroleum Field:
Progress and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Yicheng Zhang
3 Dynamic Simulation of Hydrogen Fueling Performance Based
on Look-Up Table and MC Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Hao Luo, Jinsheng Xiao, Pierre Bénard, Richard Chahine,
and Tianqi Yang
4 Artificial Neural Network Prediction for Breakthrough
Curves of H2 /CO2 Adsorption on CuBTC . . . . . . . . . . . . . . . . . . . . . . . 37
Chenglong Li, Fangxin Du, Pierre Bénard, Richard Chahine,
Tianqi Yang, and Jinsheng Xiao
5 The Effect of Culture Conditions on Microbial Remediation
of Contaminated Soil in Antimony Ore Area . . . . . . . . . . . . . . . . . . . . . 49
Xinyue Shi, Peng Zheng, Xinglan Cui, Xiaokui Che, Ying Liu,
Lei Wang, Hongxia Li, and Qi Zheng
6 A Research Progress on Stabilization/Solidification
of Electrolytic Manganese Residue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Guoying Ma, Xingyu Liu, Ying Lv, Xiao Yan, Xuezhe Zhu,
and Mingjiang Zhang
7 Optimization of Memory March X Test Algorithm Based
on Nuclear Safety Level DCS System Platform . . . . . . . . . . . . . . . . . . . 73
Yongfei Bai, Zhiqiang Wu, Jie Liu, Wei Jiang, Ke Zhong,
Wenxing Han, and Zhi Chen
ix
x Contents
8 Supercritical CO2 Enhanced Shale Gas Production

Technology: Progress and Prospect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Yicheng Zhang and Mingyao Song
9 The Role of Digital Twins in Isolated Energy System Control . . . . . . 93
Sergey A. Gordin, Viktor D. Berdonosov, and Igor E. Lyaskovskiy
10 The Effect of Land Degradation on Changes in Water
Availability in Watershed Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Zainuddin, Dinar Dwi Anugerah Putranto, and Febrian Hadinata
11 Optimization of Membrane Distillation Conditions for Waste
Water Generated by Wet Treatment of Waste Incineration Slag . . . 115
Tongshan Zhu, Guang Yang, Hongbin Jiang, Wenchen Dai,
Dechang Han, and Yan Li
12 On the Methodology for Ensuring Specified Availability
Factors of NPP Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Alexandr Arzhaev, Alexey Arzhaev, Aleksandr Kalyutik,
Valentin Makhanev, and Viktor Modestov
13 Economic Analysis on Reform of Flue Gas Waste Heat
Utilization System in Thermal Power Plant . . . . . . . . . . . . . . . . . . . . . . 139
Liang Cheng, Yi-Peng Sun, and Tian-Liang Wen
14 Study on the Influence of Air Leakage Plugging in Gob-Side
Entry Retaining on Air Flow Field and Spontaneous
Combustion “Three Zones” in Goaf . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Zhanyou Sa, Yongliang Yang, Lizhi Tian, Jingbo Wu, Xin Zhang,
Jie Liu, and Shouqing Lu
15 Numerical Study of Smoke Distribution Characteristics
in Roadway Fires Considering Different Cross-Sectional
Shapes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Qi Yao and Yongliang Zhang
16 Increasing Environmental Awareness in Facing Water
Scarcity Problems Through Education Based on Local
Wisdom Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177
N. T. Martoredjo, Benny, and D. A. Kusumajati
17 Numerical Study on Acoustic Environment in Long Traffic
Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Zhenxiong Jiang, Jun Wang, Mingqing Xiao, Huading Lou,
and Hequn Min
Contents xi
18 Noise Reduction and Sound Intelligibility Improvement

in Acoustic Environment in Long Traffic Tunnels with Wall
Absorption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Yang Zhao, Junwei Chen, Shaofeng Wang, Huading Lou,
and Hequn Min
19 Study of Recycled Plastic Panels for the Reduction
of Pathologies in Low-Income Housing in Guayaquil, Ecuador . . . . 205
Pedro Napoleón Chara Moreira,
Rosanna Elizabeth Rivera Castro, Juan Carlos Briones Macias,
Alex Leonardo Mecias Tenorio, and Bryan Alfonso Colorado Pástor
20 Preparation and Performance Evaluation of Triazine
Desulfurizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
Lipeng Gou, Xiaoming Ren, Yibin Yang, Bing Li, Rensan Lv,
Shiyong Li, and Kai Li
21 Adaptation for the Impacts of Climate Change in a Subtropical
Archipelagic Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
Omid Shir Mohammad, Jun-ichiro Giorgos Tsutsumi,
and Ryo Nakamatsu
22 Research on Optimization of Nuclear Power Security DCS
Gateway Encryption Communication Based on OPC UA
Protocol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
Pengjun Zhou, Zhi Chen, Wei Jiang, Jie Liu, Yan Zhang,
Ke Zhong, and Zhiqiang Wu
23 Size Effect on the Lithium Storage Properties of Si/rGO
Composites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 251
M. Wang, C. X. Yang, P. F. Fang, Y. He, and X. Y. Leng
24 Engineering Performance Analysis of Palygorskite
and Bentonite Mixture in High Radioactive Nuclear Waste
Disposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
Xiang Fan
25 Research on Investment Value Evaluation of Chinese Certified
Emission Reduction Wind Power Projects Under Different
Substitution Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
Guobin Yuan, Ping Zhao, Tianyou Xie, Jian Fang, and Xinglei Jiang
26 Analysis of Runoff Generation Mechanism of the Xun River
Basin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
Bin Yi, Lu Chen, Yizhuo Liu, Hexiang Guo, Siming Li,
and Binlin Yang
xii Contents
27 Ecological Architecture in the Steppe Zone of Northern

Kazakhstan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
Semenyuk Olga, Malibekylu Zhandarbek,
Zhanabergen ov Temirkhan, Maslov Khalil,
Dukombaiev Azamat, Arynov Kaldybay,
and Kozybayeva Makhabbat
28 Study on Flocculation Treatment Effect of Dredged Mud
with Extremely High Water Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309
Xingsai Dang, Jingyu Xie, Zhao Hong, Haijun Yan, Kui Yang,
and Yu Liu
29 Effect of Vertically-Layered Vegetation on the Velocity
of Open Channel Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
Xiaonan Tang, Yutong Guan, Jiaze Cao, Hanyi Wang,
Nanyu Xiao, and Suyang Zhang
30 Study on the Mechanism of Pore Structure Change After
Flocculation of Very High Water Content Dredging Slurry . . . . . . . . 329
Chunyuan Zhang, Jingyu Xie, Xingsai Dang, Zhao Hong,
Kui Yang, and Yu Liu
31 Study on Soil Pressure Distribution Law Based on Model Test
of Revetment of Wave Sheet Pile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
Yuedong Wu, Fan Yang, and Ziyu Zhao
32 Analysis of Rainfall Characteristics of East Kalimantan
Province . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357
Zuhdi Yahya, Puji Astuti, Zikri Azham, Maya Preva Biantary,
Lisa Astria Milasari, and Akas Pinaringan Sujalu
33 Study on Influence of Geological Conditions of Complex
Layered Soil Layer on Seepage Characteristics
of Embankment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367
Zongchun Li, Yongyao Wei, and Yiduo Wang
34 Construction and Performance of Foam Drainage Corrosion
Inhibition Integral Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377
Chao Huang, Shiyong Li, Degang Wang, Biao Zhao,
Xiangzhe Jin, and Yan Xue
35 Study of the Performance of Foam Drainage Corrosion
Inhibition Integral Agent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
Hai Lin, Jun Xu, Xiaoming Wang, Xiaolei Guo, Liang Guo,
Huaibing Chen, and Jianqiang Zhang
Contents xiii
36 Preparation of Green Low-Carbon Baking-Free Bricks

from Iron Tailings with Metallurgical Slag-Cementing
Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
Qingping Chai, Changqing Chu, Shiping Wang, Yunyun Li,
Xinying Chen, Xinglan Cui, and Wen Ni
37 Study on the Preparation of Green Low-Carbon Baking-Free
Bricks from Iron Tailings Co-granulated Blast Furnace
Slag-Desulfurization Ash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407
Chun Yang, Dawei Pan, Wenduo Xue, Yunyun Li, Xinying Chen,
Xinglan Cui, and Wen Ni
Chapter 1
Production Performance Characteristics
of Horizontal Well in Lacustrine Pure
Shale Reservoirs of Gulong Shale Oil
Lifeng Liu, Yuxiang Xiao, Zhongbao Wu, and Xin Wang
Abstract Gulong shale oil is the largest continental pure shale oil reservoir discov-
ered in China in recent years. Due to the complex geological characteristics, it is
difficult to understand the law of oil well production performance. Taking the typical
horizontal well in Gulong shale reservoir as an example, this paper preliminarily
analyzes the production performance of the oil well by using the analysis methods of
double logarithm curve, square root curve, blasingame curve, and sets up different
seepage models to fit the production performance of the well through simulation
calculation. The results show that although the physical properties of shale reser-
voir are poor, the SRV external reservoir of horizontal wells still contributes to the
production of oil wells, and the selection of development mode has a great impact
on the development effect of oil wells.
Keywords Unconventional hydrocarbon resources · Shale oil · Lacustrine ·

Production performance · Reservoir engineering
1.1 Introduction
Shale oil is an important substitute resource for conventional reservoirs. China has
a large amount of shale oil resources and has great development potential. Gulong
shale reservoir is a typical lacustrine pure shale reservoir in China. Unlike other
shale reservoirs in the world, its lithology is mainly shale, and the thickness of shale
accounts for more than 95%. Gulong shale oil reservoir has poor physical properties,
the average effective porosity is 7%, and the matrix permeability is usually less than
0.1 md. The pore throat of shale is small, and the analysis of electron microscope,
L. Liu (B) · Y. Xiao · Z. Wu

PetroChina Research Institute of Petroleum Exploration & Development, Beijing 100083, China
e-mail: liulifeng86@petrochina.com.cn
X. Wang
Sinopec Research Institute of Petroleum Exploration & Production, Beijing 100083, China
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 1

Z. Sun and P. Das (eds.), Proceedings of the 9th International Conference on Energy
Engineering and Environmental Engineering, Environmental Science and Engineering,
https://doi.org/10.1007/978-3-031-30233-6_1
2 L. Liu et al.
nano-CT, nuclear magnetic resonance and high-pressure mercury injection shows

that the pore diameter range is 10–100 nm. However, it has a lot of page seams, with
a density of 1000–3000 pieces/m (He et al. 2022; GAO et al. 2022).
Because the geological characteristics of Gulong shale reservoir are unique and
complex, and there is little understanding of the law of reservoir development perfor-
mance that can be used for reference, it is difficult to evaluate the contribution of
nano-pores of reservoir matrix to oil production under current formation conditions,
and it is impossible to determine the reasonable development mode of oil wells. These
problems have brought great challenges to its effective development. Based on the
actual production data of oil wells, this paper reveals the development performance
law of Gulong shale oil well through the rate transient analysis method and the fitting
evaluation of typical models, which provides support for the effective development
of oil reservoirs.
1.2 Basic Characteristics of Shale Oil Well Production

Performance
Due to the poor physical properties of shale reservoir, horizontal well + large-scale
fracturing is currently adopted for development (Robert et al. 2012; Lucas et al.
2012; Liu et al. 2019). The exploration and development of Gulong shale reservoir
has been carried out since 2019. The time is short and the number of wells is small.
Taking G1 well with long production time as an example, the basic characteristics
of reservoir production performance are explained.
The horizontal section of well G1 is 1562 m long, with 36 sections of hydraulic
fracturing. The fracturing scale is large, and the amount of construction fluid reaches
more than 80,000 m3 . Casing is used for flowback after well pressure, and its produc-
tion curve is shown in Fig. 1.1. When the fracturing fluid flowback rate reached
19.9%, oil began to appear. At the initial stage of production, the peak production of
the oil well was 29.6 m3 /d, the stable production was 13.8 m3 /d, and the production
and pressure decreased slowly. In order to increase crude oil production, the oil well
was changed from flowing production to wide range electric pump production in
July 2021, and the casing pressure was 4 MPa before the change of working system.
At the initial stage of production, the output of the electric pump is high, with a peak
oil production of 42 m3 /d, but the output and pressure decrease rapidly. In January
2022, the oil well was changed to flowing production again.
1 Production Performance Characteristics of Horizontal Well … 3
Fig. 1.1 Production performance curve of well G1
1.3 Production Performance Analysis of Shale Oil Well

Based on RTA
1.3.1 Flow Pattern Analysis Based on Log–Log Curve
Log–log curve is an important tool for analyzing the coupled flow of oil in hori-
zontal wells and reservoirs. The different slopes of the curve reflect the different
flow patterns of the fluid. A slope of 0.25 indicates that it is in the bilinear flow stage,
a slope of 0.5 indicates that it is in the linear flow stage, and a slope of 1 indicates that
it is in the boundary control flow stage (Anh and Duong 2011; Heidari et al. 2011;
Rajagopal et al. 2018). The double logarithmic curve drawn based on the production
data of well G1 is shown in Fig. 1.2. It is obvious from the figure that the oil well has
experienced two stages of bilinear flow and boundary control flow after fracturing
fluid flowback in the early stage. There may be linear flow between the two flow
states, but the curve trend is not obvious. Tight oil wells usually have obvious linear
flow stage (Liu and Ran et al. 2014; Qanbari et al. 2017; Chu et al. 2019), and the
curve characteristics of G1 well are quite different from those of common tight oil
wells. This shows that the flow pattern of shale reservoirs is different from that of
tight oil wells.
1.3.2 Time Square Root Curve Analysis
The square root curve is usually used to evaluate the artificial fracture parameters
in the linear flow stage of the reservoir (Ekaterina and Louis 2016; Ozkan et al.
2011; Mattar and Anderson 2006). Although there is no obvious linear flow stage in
the log–log curve, and the square root curve cannot be used to accurately calculate
the length and conductivity of artificial fractures, it can still be used as one of the
important basis to reflect the characteristics of seepage state in the reservoir. The
4 L. Liu et al.
square root curve of well Q1 is shown in Fig. 1.3. From the figure, it can be found
that after the square root material balance time 20, there are two curves with different
slopes, which indicates that the reservoir has two different flow forms. The reasons
for this situation will be discussed later through production dynamic fitting.
Fig. 1.2 Log–log curve of well G1
Fig. 1.3 Time square root curve of well G1

1.3.3 Blasingame Curve Analysis
Blasingame production decline analysis method is one of the powerful tools for
evaluating well controlled reserves (Wei et al. 2017; Tom et al. 2022). After sorting
out the production and pressure data of well Q1, draw them on the typical chart
of Blasingame for curve fitting. The fitting results are shown in Figs. 1.4 and 1.5.
Figure 1.4 is the fitting diagram of the curve on the normalized rate chart, and Fig. 1.5
is the fitting diagram of the curve on the integral normalized rate chart. It can be found
from the two figures that the production data fit well. The fitting results show that
the well controlled reserves of well Q1 are 14.2 × 104 m3 .
1.4 Analysis of Oil Well Production Performance Based

on Productivity Model Simulation
In order to further study the production performance of shale oil wells, we assume that
different reservoir productivity models, based on the actual oil production data, fit
the bottom hole flow pressure, and observe what kind of model calculation results are
closer to reality. The capacity model is calculated by using the commercial software
Harmony.
Fig. 1.4 Fitting diagram of the curve on the normalized rate chart
6 L. Liu et al.
Fig 1.5 Fitting diagram of the curve on the integral normalized rate chart
1.4.1 Seepage Mode in Which Only the Reservoir in SRV

Participates in Production
Due to the poor physical properties of shale reservoir matrix, assuming that there is no
reservoir outside SRV to participate in the oil production contribution, the theoretical
model 1 of the reservoir near well G1 is established, as shown in Fig. 1.6. Figure 1.7
is the underground micro-seismic monitoring results of the fracturing construction
of well G1. The figure shows that the fracturing has formed relatively consistent
parallel fractures, and the interpreted average fracture half-length is 145 m.
The fitting results of production performance are shown in Fig. 1.8. From the
figure, it can be found that the bottom hole flow pressure obtained by simulation
calculation fits well in the stage of well flowing. Figure 1.9 shows the dynamic
fitting results on the square root curve. It can be found that the calculation results
are consistent with the data points in the lower half. The fitting result of model 1 for
the effective half fracture length of artificial fracture is 280 m, which is much larger
than the monitoring result of micro-seismic. Generally speaking, the crack length
monitored by micro-seismic will exceed the actual effective length of the fracture
(John and Mark 2011), so model 1 cannot reflect the real underground seepage.
Fig. 1.6 Horizontal well model of SRV outer reservoir not participating in seepage
Fig. 1.7 Underground micro-seismic monitoring results of well G1
Fig 1.8 Production dynamic fitting results of model 1

8 L. Liu et al.
Fig. 1.9 Fitting result of time square root curve of model 1
1.4.2 Seepage Mode of SRV Outer Reservoir Participating

in Production
On the basis of model 1, we assume that the reservoir outside SRV also participates
in the contribution of oil production, and establish seepage model 2 for simulation
calculation. Model 2 is shown in Fig. 1.10.
Under the condition of single reservoir and artificial fracture parameters, it is
difficult to realize the accurate fitting of the whole process of flowing production stage
and pumping production stage. Two different fitting results are shown in Figs. 1.11
and 1.12. The fitting results in Fig. 1.11 are good for the production performance in the
Fig. 1.10 Horizontal well model of SRV outer reservoir participating in seepage
flowing production stage. The effective half length of the artificial fracture obtained
by fitting is 100 m, the reservoir width of SRV external participating in seepage is
400 m, and the well controlled reserves are 15.6 × 104 m3 . The fitting result of the
corresponding square root curve is shown in Fig. 1.13. The fitting results in Fig. 1.12
are good for the production performance in the pumping stage. The effective half
length of the artificial fracture obtained by fitting is 65 m, the reservoir width of SRV
external participating in seepage is 100 m, and the well controlled reserves are 8.2 ×
104 m3 . The corresponding square root curve fitting results are shown in Fig. 1.14.
The effective half-length of fractures in the two fitting results of model 2 are less
than 145 m, which is consistent with the understanding of micro-seismic monitoring
Fig. 1.11 Fitting results of model 2 on production performance of G1 well in flowing stage
Fig. 1.12 Fitting results of model 2 on production performance of G1 well in pumping stage
10 L. Liu et al.
Fig. 1.13 Fitting result of time square root curve of production performance of model 2 in flowing
stage
Fig. 1.14 Fitting result of time square root curve of production performance of model 2 in pumping
stage
results. The bilinear flow characteristics of artificial fractures and SRV external reser-
voirs are consistent with the interpretation results of the log–log curve, and the well
controlled reserves are also equivalent to the evaluation results of Blasingame curve.
These results show that SRV external reservoir contributes to oil well production.
Comparing the two fitting results of model 2, it can be found that when the produc-
tion pressure difference is amplified by pumping, the half-length of the fracture and
the effective drainage volume of the reservoir will be significantly reduced, and the
well development effect will become worse. This shows that shale reservoir has
strong stress sensitivity, and different development methods have a great impact on
oil wells. The calculation results also explain why there are two trend lines with
different slopes on the time square root curve.
1.5 Conclusion
In this paper, the production performance of typical horizontal well in Gulong lacus-
trine pure shale reservoir is analyzed in detail through different reservoir engineering
methods, and different seepage models are set to analyze the reasons for the change
of production performance. The understanding is as follows:
(1) During large-scale fracturing development of horizontal wells in shale reser-
voirs, there may be a long-term bilinear flow stage, and the characteristics of the
linear flow stage are not obvious, indicating that the foliation fractures developed
in the external reservoir of SRV have a great contribution to oil well production.
(2) Shale reservoir is highly sensitive to stress. After the fluid pressure drops, the
artificial fractures will close quickly and the physical properties of the reservoir
will become worse. Therefore, the production pressure difference needs to be
controlled in the development of shale oil wells.
(3) During the production of oil wells in shale reservoirs, the oil with large reservoir
area outside SRV can participate in the flow. Therefore, when developing and
arranging wells, it is necessary to set a relatively large well spacing to ensure
that a single horizontal well has large well controlled reserves to obtain better
development results.
References
Chu WC, Pandya ND, Flumerfelt RW (2019) Rate-transient analysis based on the power-law
behavior for Permian wells. SPE Reserv Eval Eng 22(04):1360–1370
Duong AN (2011) Rate-decline analysis for fracture-dominated shale reservoirs. In: SPE reservoir
evaluation & engineering, spe-137748-pa, pp 377–387
Ekaterina S, Louis M (2016) Analytical Methods for single-phase oil flow: accounting for changing
liquid and rock properties. In: SPE Europec featured at 78th EAGE conference and exhibition
held in Vienna, Austria, SPE-180139-MS
Gao B, He WY, Feng ZH (2022) Lithology, physical property, oil-bearing property and their
controlling factors of Gulong shale in Songliao Basin. Petrol Geol Oilfield Dev Daqing
41(3):68–79
He WY, Meng QA, Feng ZH (2022) In-situ accumulation theory and exploration& development
practice of Gulong shale oil in Songliao Basin. Acta Petrolei Sinica 43(1):1–14
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Barnett shale, Texas, USA. In: SPE hydraulic fracturing technology conference and exhibition
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multi-fractured horizontal well in tight gas reservoirs. J Cent South Univ 24:394–401
Chapter 2
Application of Air-Foam Flooding
in Petroleum Field: Progress
and Challenges
Yicheng Zhang
Abstract With the increasing development of domestic oil and gas resources, people
gradually turn their attention to the low permeability reservoirs which are difficult
to exploit. Low permeability reservoirs are widely distributed and rich in reserves.
Affected by the compact reservoir matrix and complex fracture system, the conven-
tional water injection development method can achieve low recovery. In this regard,
researchers have developed an air foam flooding method for low permeability reser-
voirs, which is mainly used to expand the swept volume of the subsequently injected
fluid, reduce the water yield, and then improve the oil recovery. In this paper, the
action mechanism, influencing factors, and research status of air foam flooding are
summarized in detail, and the development of air foam flooding is prospected, to
provide some reference and guidance for the follow-up research work.
Keywords Air-foam flooding · Recovery factor · Low permeability reservoir
2.1 Introduction
With the development of major oilfields in China gradually entering the middle and
late stages, the situation of high water cut and low production occurs frequently.
There is no oil displacement in the macro-pore of the reservoir, and the productivity
increase of conventional measures is too low. Therefore, new development methods
are urgently needed to improve oil recovery (Yuan and Wang 2018; Liu et al. 2018;
Yuan 2014). Gas injection (such as CO2 , natural gas, N2 , etc.) is the same as water
injection or polymer injection. To a certain extent, although it can effectively improve
oil recovery, it is often limited by the shortage of gas sources and high-cost factors,
so it still stays in the experimental research stage. Oilfield types in China are complex
and diverse, and most of the reservoirs are continental deposits, which also makes
Y. Zhang (B)
The Erlian Filiale of PetroChina Huabei Oilfield Company, Xilinhot 026000, China
e-mail: ebook6@163.com

https://doi.org/10.1007/978-3-031-30233-6_2
14 Y. Zhang
the reservoir heterogeneity serious (Wang et al. 2013; Zhang et al. 2014). Because
the injected air viscosity is low, there will be some problems such as gas invasion and
viscous fingering. It is difficult to achieve high displacement efficiency by gas injec-
tion alone, and the invasion of oxygen will bring some safety problems to production
wells. As a new production system, foam is different from other fluids, and foam
can selectively block high permeability pores. At the same time, it will not destroy
the low permeability reservoir, to adjust the fluidity difference of the subsequent
injection water in the high and low permeability layer, and reduce the channeling
of the injected fluid in the high permeability layer, commonly known as “plugging
big, not plugging small”. Through the combination of the air foam injection method,
the two advantages of foam flooding and air flooding have not only the advantages
of low-temperature oxidation (LTO) and flue gas drive of air flooding but also the
role of foam flooding in plugging large channels or high permeable layers, such
as gas channeling, water cut reduction and selective diversion (Sharma and Shah
1984; Zhang 2017). This method has a low cost and obvious stimulation effect and
is especially suitable for high water cut and serious heterogeneous reservoirs. The
mechanism, influencing factors, latest technological status, and progress of air foam
flooding were reviewed and summarized, and the future development direction of air
foam flooding has been prospected.
2.2 Principle of Air-Foam Flooding
The air foam flooding combines the air drive and foam flooding organically. Based on
the principle of “edge adjustment and side drive”, the air is used as an oil displacement
agent and the foam is used as an oil displacement agent. It can not only increase the
formation pressure but also effectively avoid water channeling and gas channeling,
thus increasing the oil production, oil displacement efficiency, and recovery efficiency
of a single well (Wang et al. 2015). Its related mechanism can be expounded from
two aspects: air drive and foam flooding.
In gas drive, there are two kinds of reactions when injected air comes into contact
with crude oil: one is oxidation at high temperature (HTO) and the other is oxidation
at low temperature (LTO), During the oxidation process at low temperature, a large
number of hydrocarbons (such as ether, aldehyde, ketone, etc.) containing carbon
dioxide, hydrogen peroxide, and oxygen will be produced (see Fig. 2.1).
Gas injection drive has other functions after oxidation reaction between gas and
crude oil. When air enters the reservoir, oxygen first reacts with crude oil. During
this low-temperature oxidation reaction, carbon oxides are formed. With the increase
of reservoir temperature, the light components in crude oil will volatilize continu-
ously. Among them, the flue gas is composed of CO, CO2 , N2 , and light components
produced by the reaction in the reservoir. To a certain extent, the effect of air injec-
tion is equivalent to that of flue gas injection, so it has played the role of a variety of
substances to drive oil together and improve the ultimate oil displacement efficiency
of reservoirs (Qi 2017; Jin and Pan 2017). In terms of foam flooding mechanism,
2 Application of Air-Foam Flooding in Petroleum Field: Progress … 15
Fig. 2.1 LTO reaction

mechanism
foam flooding improves oil recovery in two ways: first, to increase the sweep effi-
ciency by the Jamin effect generated by the foam displacement; two, to reduce the
interfacial tension through the active components of the foam system and improve
the displacement efficiency. Foam flooding mainly expanded the microcosmic sweep
volume of the displacement medium and enhanced the oil displacement efficiency.
The foam first enters the large pore throat with small resistance. Because the liquid
flow resistance is smaller than the bubble resistance, the foam enters the small hole
throat and smaller pore throat, thus enlarging the swept volume. When the small
bubbles enter the throat of the small hole, they accumulate into bubbles in the roar
channel and the blind end of the pore to expel the residual oil. At the same time, as
a surfactant, the foaming agent can reduce the interfacial tension between oil and
water. Utilizing oil emulsification and liquid film replacement, the immobile oil can
be changed into mobile oil, thus improving the oil displacement efficiency.
2.3 Analysis of Influencing Factors on Air-Foam Flooding
The advantages of foam flooding and the advantages of air flooding are reflected
in the air foam flooding, but the plugging capacity of air foam is the main factor
affecting the displacement effect (Li et al. 2010; Chen 2011). The main influencing
factors are core permeability, oil Saturation, gas–liquid ratio, alternating slug, and
injection pressure.
2.3.1 Influences of Core Permeability
Core permeability has a great influence on the plugging ability of air foam flooding.
Generally, the greater the permeability, the greater the plugging ability of foam in
the reservoir.
16 Y. Zhang
2.3.2 Effect of Oil Saturation
Crude oil has a certain destructive effect on foam, and the degree of destruction of
different foam is different from the formation of the original oil. The same foam
behaved differently when it encountered crude oil.
2.3.3 Influence of the Gas–Liquid Ratio
The gas–liquid ratio is an important parameter affecting its plugging ability, which
not only affects its plugging ability but also has a greater impact on the oil displace-
ment effect. On the one hand, when the ratio of gas to liquid is small, the foaming
effect of the foaming agent will be affected, and the drag coefficient is low. On the
other hand, the exploitation of reservoirs needs more starting pressure, and the pres-
sure of air foam injection needs to be greater. Moreover, the liquid membrane can
cause blockage of the migration channel of the reservoir, thus reducing the recovery
efficiency of the reservoir. On the contrary, when the gas and liquid are large, the
foam will become very thin and easy to break, and the drag coefficient is low. On
the other hand, although the injection pressure can be reduced, the blockage of the
fluid to the migration channel of the reservoir can also be reduced. However, due
to a large amount of gas injection and high-pressure injection, it is difficult for the
reservoir to migrate from the porous medium, which affects the migration of foam
in the medium and is not conducive to improving reservoir recovery (Li 2009).
2.3.4 Effect of Alternating Slug
In the field of air foam flooding, air and foaming agents are often injected alternately.
Through laboratory study, it is found that the size of alternating slug has an important
effect on foam plugging ability. The slug is too small, and it is difficult to form foam
due to leakage and adsorption of the formation (Chen and Yu 2012). Therefore, the
optimization of slug size is very important. When the gas–liquid ratio is 1:1, the
recovery of the alternating section with blowing agent, air, and water as alternating
injection mode is 2.54% higher than that with blowing agent and air as alternating
injection mode. The alternate section of foam and air is 1.91% higher than that of
blowing agent, air, and water. The recovery rate of foam and air is 4.45% higher than
that of blowing agent and air alternately injection mode. It can be seen that the foam
and air alternate injection method has the best harvest effect. When the gas–liquid
ratio is 2:1, the recovery of foaming agent and air alternating injection is the largest,
the recovery of foaming agent, air and water alternating injection is the second, and
the recovery of foaming agent and air alternating injection is the worst.
2.3.5 The Injection Pressure of Air Foam
Injection pressure can affect air foam flooding from many aspects. For example,
pressure rise and foam stability are better, and the recovery rate of the reservoir is
improved. However, too high pressure will also cause a decline in the oil recovery
rate. At the same time, the quality and density of foam can be improved by pressure,
and the foam performance will be indirectly changed. If the pressure is small, the
volume of gas in the foam fluid will change, which will seriously affect the quality
and parameters of the foam. In the foam system, pressure occupies an important
position. The increase of pressure will cause the bubble to be compressed and the
average size will decrease. When the shear rate is constant, the viscosity of the foam
fluid surface will also increase with the increase of pressure.
2.4 Recent Developments in Air-Foam Flooding
As an advanced reserve technology for low permeability reservoirs, air foam flooding
is still in the process of accelerating research. It is one of the most valuable research
topics in the future. This paper selects the representative research results in the past
five years. Wang et al. (2018) carried out experimental research on air foam flooding
in the G271 long X reservoir. Through the selection of 5 injection wells in the
northern infill area, an air foam flooding test is carried out. The results show that
under the condition of infill well pattern, the air foam flooding technology can seal
up cracks and high permeability sections through foam solution. When the gas enters
a dense hole, it can reduce the risk of water flooding, and the production capacity
of 5 lateral wells increases and the water cut of 2 main wells decreases. Zhao et al.
(2017) through laboratory experiments, the effects of reservoir heterogeneity, gas/
liquid ratio, foam injection volume, foam injection slug combination, and injection
timing on the efficiency of air foam flooding were studied. The results show that
for the heterogeneous reservoirs, the residual oil in low permeability reservoirs can
be effectively utilized by air foam flooding. The optimal injection gas/liquid ratio
is 1:1, the optimal injection volume is 0.2 PV, the optimal slug size is 0.05 PV, and
the optimal injection timing and moisture content are more than 80% when foam
injection is applied. Xing et al. (2017) through air foam flooding in the 8 test wells
in the “Tang 80” well area of the Gangu Yi oil production plant, it is found that
the apparent absorbency index has dropped by 71%, and the injection capacity is
lower than that of the water flooding well group. However, the water cut has dropped
to 18.8%, which is 29.6% lower than that of the water flooding well group. The
average monthly increase of oil in the single well is more than 11 T, which has an
obvious effect on controlling water and increasing oil production. Chen et al. (2017)
chose air foam flooding suitable for reservoir conditions in the F118 block as injec-
tion parameters. Indoor experiments of air foam flooding combined with different
methods were carried out, and the fluid and reservoir properties of the F118 block
18 Y. Zhang
were simulated. The abilities of different foaming agents and stabilizers were eval-
uated, and the plugging performance of the foam system with different gas/liquid
ratios was evaluated. The results show that the reasonable gas–liquid ratio of air foam
flooding in the F118 block is 3:1, the best foam concentration is 0.4%, and the best
foam stabilizer concentration is 0.1%. Kang et al. (2016) evaluated the foam height,
half-life, and foam comprehensive index of different frothers under 30% conditions
without oil and oil, screened foaming agent with good foaming and foam stability
and optimized low interfacial tension foam system (0.12%FC-2 + 0.08%TC-12 +
0.1%BS + 1500 mg/LHPAM). The simulation results show that the air foam flooding
technology is safe and feasible in low temperature and ultra-low permeability reser-
voirs at 30 degrees centigrade. 8 wells in the field test increase oil production by
4898t, and the ratio of input to output is 1:2.57. Wu et al. (2018) established the
permeability difference model to investigate the effect of permeability difference on
air foam flooding in the Bohai heterogeneous reservoir. The results show that with
the increase of permeability gradient, the recovery of the high and low permeability
layer model increases first and then decreases. When the difference is less than 8.7,
the air foam flooding has better promotion and a strong plugging effect. Zhang H
et al. (2018) found that sedimentary facies control systems and physical property
control systems have an important influence on air foam flooding efficiency. If the
channel control system and flow unit system of injection wells and production wells
correspond, they can be completely effective. If the injection wells and production
wells belong to different channel control systems, they are mostly ineffective; if the
injection wells and production wells belong to the same channel control system,
but the flow unit system is partially connected or not, they may cause partial or
completely ineffective. Jiang et al. (2013) carried out the low-temperature oxida-
tion characteristics of air foam flooding and the selection and evaluation of blowing
agents. It was found that the air foam injection method can effectively play the role of
foam blocking, slow down gas breakthroughs and improve displacement efficiency,
and verified the safety of air foam injection technology through field application.
Yang et al. (2016) aimed at the instability of foam systems and a new estimation
model of air foam flooding recovery rate is proposed. Once the breakthrough time of
gas and surfactant solution is estimated, the dynamic performance of each stage of
air foam flooding can be accurately predicted. Based on providing reservoir, fluid,
and operation parameters, the relationship between recovery and production time or
PV can be predicted. The results show that the maximum difference of recovery after
ten years is less than 6.2% compared with the simulation results. Dong et al. (2012)
used the physical simulation method to study the feasibility of air foam flooding in
flooded reservoirs, and dynamic foam flooding experiments were also carried out.
2.5 Future Challenges
The main challenges in the application of air foam flooding are as follows:
2.5.1 Foam Formula Optimization
Foam formulation produces poor foam stability and is easily broken in porous media.
This may lead to gas breakthroughs. In addition to the serious heterogeneity of the
reservoir, the poor stability of the foam formulation may also be the cause of the
gas invasion. Under the reservoir condition, the foam capacity and foam stability
are poor, and the profile control ability is weak. Therefore, the foaming formulation
system should have the characteristics of strong foaming ability, high stability, low
adsorption capacity, and strong oil resistance.
2.5.2 Monitoring of Oxygen Content
In the process of air foam flooding, the target reservoir conditions should be carefully
determined and the oxygen content in the reservoir should be monitored to ensure
safety. Based on the mechanism of low-temperature air oxidation, the recommended
temperature of the target area of air foam flooding should be higher than 70 °C.
However, according to the experience of the air foam flooding pilot test, the actual
production layer temperature is slightly lower than the recommended temperature.
It takes more time to carry out an air oxidation reaction under the sample. If the
reaction time is further prolonged, the oxygen in the produced gas will remain at a
safe level. To better understand the underground gas flow, the production pressure
and oxygen concentration of the produced gas should be regularly monitored and
analyzed during the air foam flooding process.
2.5.3 Corrosion
There are corrosion phenomena in the process of air foam flooding. Due to different
corrosion factors, the location and state of corrosion are different. Therefore, in future
research on air foam flooding, the corrosion factors should be taken into account.
2.6 Prospects
A low permeability reservoir is the main body of oil reserves and production growth
in the present and future periods. At present, water drive development is the main
method in China. However, considering the present situation of water cut in major
oilfields, the key to follow-up technological development is to further increase single
well production, change development mode and reduce development cost. Although
the majority of air foam flooding is still in the experimental simulation stage, with
20 Y. Zhang
the deepening of technological progress and technological innovation, it is believed

that it will occupy a dominant position in the future displacement mode.
References
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Chapter 3
Dynamic Simulation of Hydrogen
Fueling Performance Based on Look-Up
Table and MC Methods
Hao Luo, Jinsheng Xiao, Pierre Bénard, Richard Chahine, and Tianqi Yang
Abstract To ensure the safety and speed of the fueling for hydrogen fuel cell vehi-
cles, the Society of Automotive Engineers (SAE) has promulgated the look-up table
and the MC methods. Their fueling performance is worthy for further study and
improvement. We analyzed and established a thermodynamic model of a hydrogen
fueling system, and carried out the dynamic simulation of the look-up table and MC
methods according to the SAE J2601 protocol. The simulation results agree well with
the reference data. Based on the validated model, the fueling performance between the
look-up table method and the MC method was compared under the same conditions.
Finally, the key parameters MATexp and Ptrans in the MC method were studied. Our
research shows that compared to the look-up table method, the MC method reduces
the total fueling time by 10.5%. But the peak cooling power increases by 18.9%,
meaning more investment in refrigeration equipment. The MATexp cannot be too
large or too small and seems more appropriate to approximately equal the precooling
temperature at the end of filling. The Ptrans can be appropriately increased under the
upper-temperature limit in the onboard tank, not just the pressure midpoint of the
fueling process described in SAE J2601, further to improve the fueling performance
of the MC method.
Keywords Look-up table method · MC method · Fueling performance · Dynamic

simulation
H. Luo
School of Mechanical and Electrical, Wuhan Business University, Hubei 430056, China
H. Luo · J. Xiao · T. Yang (B)
Hubei Research Center for New Energy & Intelligent Connected Vehicle and Hubei Key
Laboratory of Advanced Technology for Automotive Components, School of Automotive
Engineering, Wuhan University of Technology, Hubei 430070, China
e-mail: tqyang@whut.edu.cn
H. Luo · J. Xiao · P. Bénard · R. Chahine
Hydrogen Research Institute, Université du Québec à Trois-Rivières, Québec, QC G8Z 4M3,
Canada

https://doi.org/10.1007/978-3-031-30233-6_3
24 H. Luo et al.
3.1 Introduction
When fueling a light-duty hydrogen fuel cell vehicle, the total fueling time must be
3–5 min, the temperature in the onboard tank must be −40 to 85 °C, and the maximum
pressure in the onboard tank must be less than 125% of the nominal working pressure
(SAE J2601 2022). To achieve these above goals, the Society of Automotive Engi-
neers (SAE) has promulgated two fueling methods: the look-up table and the MC
methods, which have undergone rigorous simulation and experimental verification
(Schneider et al. 2014; Mathison et al. 2015).
Some groups have conducted research in this field. Mathison et al. first intro-
duced the theoretical derivation of the MC method in detail and determined the
test procedure of the thermodynamic parameters for any storage tank system (Harty
and Mathison 2010). Then, based on the actual fueling results of the MC method,
Mathison et al. explained the factors that influence the implementation of this fueling
method and demonstrated the method’s adaptability to station capabilities (SAE tech-
nical paper 2022). Reddi et al. (2017) compared the fueling time and state of charge
(SOC) between the look-up table and the MC methods based on the H2SCOP model.
They found that the MC method significantly reduced the fueling time under certain
conditions. Based on the Dymola platform, Chochlidakis et al. (2020) established a
dynamic simulation model of the look-up table and the MC methods, compared the
performance of the two fueling methods under different conditions, and found that
the MC method refuels faster but consumes more energy. Based on the MC method,
Handa et al. (2021) proposed the MC Multi Map method, which can select from
multiple fueling control maps in real-time according to the actual heat capacity of
the piping system. Without increasing the fueling time, the precooling temperature
level is reduced to −20 °C, significantly reducing the cooling energy consumption.
Different from the traditional look-up table and MC methods, some groups
creatively proposed the new fueling method. Wang et al. (2022) proposed using
machine learning to predict the final SOC of the filling process and the final temper-
ature and pressure inside the onboard tank. Chae et al. (2020) proposed a new commu-
nication hydrogen fueling protocol based on the real-time response method with good
stability, safety and convenience.
Literature research shows that while the look-up table and the MC methods have
been proposed for many years, there is not much research on them. Therefore, in-
deep research can be conducted on these two fueling methods, especially the MC
method, to improve the understanding of their advantages and disadvantages and
further improve them. This paper established a dynamic simulation model of the
hydrogen fueling system based on the Matlab/Simulink platform. The look-up table
and MC methods were simulated according to SAE J2601, and the results were
compared with the references. The fueling performance between the look-up table
and the MC methods under the same conditions was compared based on the validated
simulation model. Finally, the key parameters MATexp and Ptrans in the MC method
were studied, and suggestions for improvement were put forward.
3 Dynamic Simulation of Hydrogen Fueling Performance Based … 25
Fig. 3.1 Structure of hydrogen fueling system
3.2 Model of the Hydrogen Fueling System
3.2.1 System Overview
A hydrogen fueling system usually includes the station storage tank, onboard tank,
heat exchanger, reduction valve, nozzle and control center, as shown in Fig. 3.1. The
control center controls the reduction valve to obtain the required pressure ramp rate
(PRR) and the heat exchanger to obtain the required precooling temperature. The
control center also needs to monitor the pressure and temperature in the onboard tank
during the communication fueling process.
3.2.2 Models of the Control Volume Inside the Tank

and Tank Wall
The conservation of mass and energy during filling and emptying of the hydrogen
storage tank are written as (Xiao et al. 2016)
dm
= ṁ in − ṁ out (3.1)
dt
d(mu)
= ṁ in h in − ṁ out h out + Q̇ (3.2)
dt
where ṁ in and ṁ out are the mass flow rates of hydrogen into and out of the tank,
respectively. ṁ out = 0 for the filling and ṁ in = 0 for the emptying. u is the specific
internal energy and h is the specific enthalpy of hydrogen. Q̇ is the heat transfer rate
between the hydrogen gas and the tank wall.
26 H. Luo et al.
The heat transfer of the tank wall can be regarded as the heat conduction of the
flat plate because the tank wall’s thickness is small relative to its inner diameter.
The one-dimensional heat transfer model’s boundary conditions and heat transfer
equation along the tank wall’s radial direction can be expressed as (Rothuizen et al.
2013)
∂ Tw
−λw |x=0 = ain (T − Tw |x=0 ) (3.3)
∂x
∂ Tw
−λw |x=L = aout (Tw |x=L − Ta ) (3.4)
∂x
dTi
Q̇ i = −(ρcΔV )i (3.5)
dt
where T is the hydrogen temperature, Tw is the wall temperature, and Ta is the
ambient temperature. For tank wall material, λw is thermal conductivity, ρ is density,
and c is specific heat capacity. αin is the heat transfer coefficient between hydrogen
gas and the inner wall, and αout is the heat transfer coefficient between the outer wall
and ambient. Q̇ i is the heat transfer rate for element volume i, which is equal to the
sum of its two neighbor elements, that is
Q̇ i = Q̇ i−1 + Q̇ i+1 (3.6)
Ti − Ti−1
Q̇ i−1 = (3.7)
Ri−1
Ti − Ti+1
Q̇ i+1 = (3.8)
Ri+1
/
where Ri is the thermal resistance, Ri =Δxi (Ai λw ). For element volume i, Ai is
/ cylindric layer and Δx/i is the thickness.
the area of the tank wall’s /
ain = 0.14λgas Re0.67
din Din , Redin = (ρvdin ) μ = (4ṁ) (π μdin ) (Bourgeois
and Ammouri 2015). Re is the Reynolds number. Din is the onboard tank’s internal
diameter and din is the injector’s diameter. λgas is the thermal conductivity and μ is
the dynamic viscosity of hydrogen. αout is assumed to be 5 W/m2 /K.
3.2.3 Model of the Heat Exchanger
The hydrogen in the heat exchanger obeys the law of energy conservation (Talpacci
et al. 2018):
dU ( )
=ṁ(h in − h out )=ṁ c pv Tv − c pc Tc (3.9)
dt
where c pv and c pc are the specific heat capacity of hydrogen under constant pressure
at the heat exchanger’s inlet and outlet, respectively./ The energy consumption for
the heat exchanger to precool hydrogen is W = U COP. COP is the performance
coefficient of the refrigeration equipment.
3.2.3.1 Pressure Drops in the System
The pressure drops occur when hydrogen flows through the valves, tubes, filters and
flowmeter. All the pressure drops can be written as
ṁ 2
ΔP = k (3.10)
ρH2
where ṁ is the mass flow rate and k is the pressure drop coefficient.
3.3 Model Implementation and Validation
3.3.1 Model Implementation
The models of the two fueling methods are implemented on the Matlab/Simulink plat-
form and use the same initial and boundary conditions. Our study does not consider
top-off fueling for communication filling when the ambient temperature exceeds 0
°C and the initial pressure is 0.5–5 MPa. The fueling process mainly includes fueling
speed control and target pressure control.
Look-up table method. The control of the fueling speed and target pressure
for this method depends on a series of tables, which are classified according to the
capacity of the onboard tank, the station’s precooling capacity, the station’s pressure
level and whether it is refueled by communication. After selecting a specific table,
the required fixed average PRR is determined according to the ambient temperature,
and the target pressure is determined according to the onboard tank’s initial pressure.
For non-communicating fueling, when the filling pressure (at the dispenser outlet)
reaches the target pressure, the fueling process ends. For communication fueling,
the control center monitors the pressure and temperature in the onboard tank in real
time. When the SOC calculated using the onboard tank’s measured temperature and
pressure reaches 100%, fueling ends.
MC method (Reddi et al. 2017). The method actively measures the precooling
temperature (at the dispenser outlet) in real-time to calculate the mass average temper-
ature (MAT) and the mass average enthalpy of hydrogen, then further determines the
PRR and target pressure. The fueling process is divided into three stages.
28 H. Luo et al.
When fueling time t( j) ≤ 30 s, MATC( j) = MATexp . MATexp is consistent with

the station’s precooling capacity.
When fueling time t( j) > 30 s and Pcontrol( j) ≤ Ptrans , MATC( j) = MAT30( j) .
MAT30( j) means the calculation of the MAT starts from the 30th s. The equation for
calculating the MAT can be expressed as
∑j ( ) ( )
1 m ( j ) − m j−1 × 0.5 T( j ) + T( j−1)
MAT( j) = ∑j ( ) (3.11)
1 m ( j ) − m j−1
When fueling time t( j) > 30 s and Pcontrol( j) > Ptrans , MATC( j) can be expressed
as
( ) ( )
Pfinal − Pcontrol( j) Pfinal − Pcontrol( j)
MATC( j) = MAT30( j ) + MAT0( j) 1 −
Pfinal − Ptrans Pfinal − Ptrans
(3.12)
At last, the equations for calculating the PRR can be expressed as
tfinal( j ) = a × MATC3( j) + b × MATC2( j) + c × MATC( j ) + d (3.13)
Pfinal − Pramp( j )
PRR( j) = ( ) (3.14)
−Pinitial
tfinal( j) PPfinal
final −Pmin
− t( j)
where:
Ptrans is the pressure midpoint between the Pinitial and Pfinal
Pcontrol is the real-time control pressure outlet of the dispenser.
Pinitial is the initial pressure in the onboard tank at the beginning of filling.
Pramp is the pressure upon which the PRR is based. Pramp is equal to Pv in our
study.
Pfinal is the final pressure used to derive coefficients for t final , usually 83.5 MPa
in 70 MPa filling.
Pmin is the minimum pressure used to derive coefficients for t final , usually 5 MPa
for Pinitial > 5 MPa and 0.5 MPa for Pinitial < 5 MPa.
There are two ways for the MC method to determine the target pressure: the Ending
Pressure Tables method and the MC formula method. For the MC formula method, the
MC can be calculated by Eq. (3.15). The hydrogen temperature at the end of fueling
in the onboard tank can be calculated by Eq. (3.16). At last, the target pressure can be
determined by combining the target SOC with T final for non-communication fueling
and measured temperature for communication fueling.
( )1/2
Uadiabatic ( )JC
MC = AC + BC ln + GC 1 − e−kΔt (3.15)
Uinitial
mCv Tadiabatic + MCTinitial

Tfinal = (3.16)
MC + mCv
∮ m
Uadiabatic = m 0 u 0 + h j dm (3.17)
m0
where:
Cv is the specific heat capacity of hydrogen under constant
volume.
T initial is the initial hydrogen temperature in the onboard tank.
m is the final total hydrogen mass, and m0 is the initial
hydrogen mass.
AC, BC, GC and JC are coefficients, which can be obtained by tables in SAE
J2601.
T adiabatic is the final hydrogen temperature in the onboard tank,
assuming adiabatic. U initial is the initial internal energy and
u 0 is the initial specific internal energy of hydrogen.
3.3.2 Model Validation
We assume that the onboard tank’s initial pressure is 5 MPa, and the ambient temper-
ature is 25 °C. There is no pre-soaking for the onboard tank, so the initial hydrogen
temperature in the tank is 25 °C.
Table 3.1 shows the parameters of the onboard tank used in model verification.
Because only simple geometric parameters (129 L, Type IV and capacity of 5.2 kg) of
the tank are given in Ref. (Reddi et al. 2017), our study uses the geometric parameters
of a similar tank (Type IV, 4 kg and 70 MPa) in SAE J2601. The storage tank’s
specific heat capacity and thermal conductivity are selected as minimum values
within the ranges given in Reddi et al. (2017). Due to the difference in the selection
of the above parameters, there is a maximum error of about 5 °C for the hydrogen
temperature between the simulation results and reference data, as shown in Fig. 3.2.
The simulation results of the pressure in the onboard tank, the filling pressure, the
PRR and the mass flow rate agree well with the reference data, indicating that our
model meets the requirements and can be used for further research.
30 H. Luo et al.
Table 3.1 Parameters of the onboard tank in this study

Tank geometry (SAE J2601. 2022) Tank thermal properties (Reddi et al. 2017)
Volume of the tank, L 129 Thermal conductivity for Liner, W/(m K) 0.3
Nominal working pressure, MPa 70 Specific heat capacity for Liner, J/(kg K) 1000
Internal length, m 0.307 Density for Liner, kg/m3 975
Internal diameter, m 0.420 Thermal conductivity for CFRP, W/(m K) 0.3
Outer diameter, m 0.493 Specific heat capacity for CFRP, J/(kg K) 500
Diameter of the injector, m 0.003 Density for CFRP, kg/m3 1550
Fig. 3.2 Comparison of the simulation results of our model with the data of Reddi et al. (2017)
using look-up table method (a) and MC method (b)
3.4 Comparative Study and Parametric Study
3.4.1 Comparison Between Look-Up Table and MC Methods
We assume that both the fueling methods use non-communication fueling and the
same initial and boundary conditions as the model validation. The target pressure
of the MC method adopts the Ending Pressure Tables. The target pressure for the
two fueling methods is all 75.1 MPa when the initial and boundary conditions for
comparative study are met according to the SAE J2601 protocol.
Table 3.2 shows the performance comparison of the two fueling methods. The
final hydrogen pressure in the onboard tank, total cooling consumption and SOC
are similar for both methods. The MC method reduces the total fueling time by
10.5% over the look-up table method, which is the most crucial advantage of the MC
method. Table 3.2 also shows the disadvantages of the MC method. Due to the faster
fueling speed of the MC method, the hydrogen does not have time to lose more heat
to the tank wall, resulting in a higher maximum hydrogen temperature in the onboard
tank than the look-up table method. Figure 3.2 shows that the maximum difference
Table 3.2 Comparison of fueling performance between look-up table and MC methods
Fueling method Total Final Max Final Total cooling Peak cooling
t [s] Pon [MPa] T on [°C] SOC consumption power [kW]
[MJ]
Look-up table 228 74.69 64.96 0.934 4.19 28.36
MC 204 74.80 67.04 0.931 4.12 33.71
−10.5% 0.1% 3.2% −0.3% −1.7% 18.9%
between the pressure in the onboard tank and the filling pressure is greater in the MC
method than in the look-up table method. That is, the ΔP2 in Fig. 3.1 is larger in the
MC method, leading to a greater peak mass flow rate. The mass flow rate is related
to the pressure drop between the station and the onboard tank (SAE J2601. 2022).
The MC method increased the peak cooling power by 18.9% more than the look-up
table method, meaning more powerful refrigeration equipment and investment are
needed. As shown in Fig. 3.2, the peak mass flow rate of the MC method is higher
than that of the look-up table method, so a larger peak mass flow rate leads to a larger
peak cooling power in Eq. (3.9).
3.4.2 Parametric Study for MC Method
MATexp. For MATexp in the SAE J2601 protocol, only the acceptable value range, not
a specific value, is given. The precooling temperature at the end of filling is −34 °C,
as shown in Fig. 3.2. Therefore, four different MATexp around −34 °C are selected for
parametric study. Table 3.3 shows that with the decrease of MATexp , the total fueling
time increases, the maximum temperature in the onboard tank increases, the total
cooling energy consumption decreases, and the peak cooling power first decreases
and then increases.
The law of variation for the maximum temperature in the onboard tank is inter-
esting. As shown in Fig. 3.3b, the temperature in the onboard tank is lower when
the MATexp is higher, contrary to our empirical thinking. The reason is shown in
Table 3.3 Fueling performance with different MATexp

MATexp [°C] Total Final Max Final Total cooling Peak cooling power
t [s] Pon [MPa] T on [°C] SOC consumption [MJ] [kW]
−30 201 74.62 66.03 0.932 4.16 32.62
−32 202 74.72 66.23 0.932 4.15 32.41
−34 203 74.76 66.54 0.932 4.14 32.58
−36 204 74.80 67.04 0.931 4.12 33.71
−38 205 74.84 67.76 0.930 4.10 37.03
32 H. Luo et al.
Fig. 3.3 Fueling performance of pressure ramp rate (a) and temperature in the onboard tank (b) with
different MATexp at the Ptrans of 50 MPa
Fig. 3.3a, the MC method increases the PRR in the first 30 s through dynamic calcu-
lation when MATexp decreases. Unlike the fixed average PRR of the look-up table
method, the MC method can dynamically increase the PRR and speed up the fueling
speed when the precooling temperature decreases. The faster-fueling speed leads to
stronger compression and Joule Thomson effects, resulting in a higher temperature
rise. When MATexp is minimum, the PRR is maximum for the first 30 s, resulting
in greater peak cooling power. When MATexp is maximum, the PRR after 30 s is
maximum, resulting in greater peak cooling power. Based on the above analysis,
it seems that the value of MATexp cannot be too large or too small. It seems more
appropriate when it is close to the precooling temperature at the end of filling.
P trans . In the SAE J2601 protocol, Ptrans is defined as the midpoint between the
initial and final pressures. But Reddi et al. (2017) mentioned that Ptrans is usually
50 MPa in 70 MPa filling, which is not the midpoint. Therefore, four different Ptrans
around 50 MPa are selected for the parametric study. Table 3.4 shows that with the
increases of Ptrans , the total fueling time decreases by 8.1%, the maximum tempera-
ture in the onboard tank increases slightly, and the final SOC, total cooling energy
consumption and peak cooling power are similar.
Table 3.4 Fueling performance with different Ptrans

Ptrans [MPa] Total t [s] Final Pon Max T on Final SOC Total cooling Peak cooling
[MPa] [°C] consumption power [kW]
[MJ]
30 210 74.74 66.85 0.931 4.126 33.714
40 208 74.94 66.95 0.933 4.130 33.714
50 204 74.80 67.04 0.931 4.124 33.714
60 200 75.00 67.15 0.933 4.128 33.714
70 193 74.82 67.28 0.931 4.121 33.714
Fig. 3.4 Fueling performance of pressure ramp rate (a) and temperature in the onboard tank (b) with
different Ptrans at the MATexp of −36 °C
Figure 3.4a shows that with the increase of Ptrans , the time for PRR entering the
third stage, where PRR starts to decrease, will be later, which means that the average
PRR over the entire fueling phase is larger. The faster the fueling, the shorter the
total fueling time. The Ptrans seems to be a critical factor in determining the total
fueling time. For example, compared to the look-up table method, the total fueling
time is reduced by 15.4% when Ptrans is 70 MPa. So a reasonable increase in Ptrans is
beneficial to improve the fueling performance of the MC method. But Fig. 3.4b shows
that the maximum temperature in the onboard tank increases when Ptrans increases.
Therefore, it is suggested that Ptrans can be appropriately increased within the upper-
temperature limit in the onboard tank, not just the pressure midpoint of the fueling
process described in SAE J2601, further to improve the fueling performance of the
MC method.
3.5 Conclusion
We analyzed and built a thermodynamic model of a hydrogen fueling system.

According to SAE J2601, the dynamic simulation of the look-up table and MC
methods were carried out. The simulation results agree well with the reference data.
Based on the verified model, the fueling performance of the look-up table and the MC
methods under the same conditions were further compared. Finally, the key parame-
ters MATexp and Ptrans in the MC method were studied. The specific conclusions are
as follows:
(1) Compared to the look-up table method, the MC method reduces the total fueling
time by 10.5%, increases the maximum temperature in the onboard tank by 3.2%,
and increases the peak cooling power of the heat exchanger by 18.9%, meaning
more investment for the refrigeration unit. So, the MC method seems to have
pros and cons.
34 H. Luo et al.
(2) The temperature in the onboard tank is higher when the MATexp is lower,
contrary to our empirical thinking. The parameter MATexp cannot be too large
or too small and seems more appropriate to approximately equal the precooling
temperature at the end of filling.
(3) The parameter Ptrans can be appropriately increased under the upper-temperature
limit in the onboard tank, not just the pressure midpoint of the fueling process
described in SAE J2601, further to improve the fueling performance of the MC
method.
This study does not consider top-off fueling, fallback procedure and pre-soaking.
Therefore, in the follow-up research, we will further research the MC method,
establish a more accurate model, and propose improvement suggestions.
Acknowledgements The authors are grateful for the financial support from the National Natural
Science Foundation of China (51476120, 52176191), the Industry-University-Research Project
of Wuhan Education Bureau (CXY201804), the Scientific Research Project of Hubei Provincial
Department of Education (B2019248) and the International Cooperation Training Project of China
Scholarship Council (202106950012).
References
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highly pressurized gas. Int J Hydrog Energy 40(35):11748–11755
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hydrogen fueling protocol. Int J Hydrog Energy 45(30):15390–15401
Chochlidakis CG et al (2020) Overall efficiency comparison between the fueling methods of
SAEJ2601 using dynamic simulations. Int J Hydrog Energy 45(20):11842–11854
Handa K, Oshima S, Rembutsu T (2021) Precooling temperature relaxation technology in hydrogen
refueling for fuel-cell vehicles. Int J Hydrog Energy 46(67):33511–33522
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advanced fueling algorithm—the MC method. In: NHA hydrogen conference and expo 2010,
vol 2, pp 1–38. Long Beach
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hydrogen fueling protocol. SAE Int J Altern Powertrains 4(1):130–144
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on fueling time of light-duty fuel cell electric vehicles. Int J Hydrog Energy 42(26):16675–16685
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sae.org/standards/content/j2601_202005/. Last accessed 24 August 2022
SAE technical paper (2022) Application of MC method-based H2 fueling. https://doi.org/10.4271/
2012-01-1223. Last accessed 24 August 2022
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sensitivity studies for SAE J2601, the light duty vehicle hydrogen fueling standard. SAE Int J
Altern Powertrains 3(2):257–309
Talpacci E, Reuβ M, Grube T, Cilibrizzi P, Gunnella R, Robinius M, Stolten D (2018) Effect of
cascade storage system topology on the cooling energy consumption in fueling stations for
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Wang Y, Wang S, Decès-Petit C (2022) Less is more: robust prediction for fueling processes on
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Chapter 4
Artificial Neural Network Prediction
for Breakthrough Curves of H2 /CO2
Adsorption on CuBTC
Chenglong Li, Fangxin Du, Pierre Bénard, Richard Chahine, Tianqi Yang,
and Jinsheng Xiao
Abstract Breakthrough curves can reflect the gas adsorption kinetics in the adsorp-
tion bed. In this paper, an artificial neural network (ANN) model is used to predict
the breakthrough behavior of binary system (H2 /CO2 ) in the CuBTC adsorbent.
The artificial neural network training data was derived from a heat and mass transfer
model built from the Aspen Adsorption software using the Latin hypercube sampling
(LHS) strategy. The established ANN model with 5 hidden layers can well reflect
the gas breakthrough behavior. Finally, the parametric studies of the breakthrough
curve based ANN were studied. The results show that the breakthrough time can be
improved with lower feed flow rate, lower initial temperature and higher pressure.
The temperature change has the greatest impact on the gas breakthrough behavior.
It is indicted that reducing the temperature of the adsorption bed through effective
thermal management will improve the purity of the product.
Keywords Hydrogen purification · Pressure swing adsorption · Artificial neural

network · Breakthrough curve · Parameter studies
C. Li · F. Du
Automobile Technology and Service College, Wuhan City Polytechnic, Hubei 430064, China
P. Bénard · R. Chahine · J. Xiao
Hydrogen Research Institute, Université du Québec à Trois-Rivières, Quebec, QC G8Z 4M3,
Canada
C. Li · T. Yang (B) · J. Xiao
Hubei Research Center for New Energy & Intelligent Connected Vehicle, School of Automotive
Engineering, Wuhan University of Technology, Hubei 430070, China
e-mail: tqyang@whut.edu.cn

https://doi.org/10.1007/978-3-031-30233-6_4
38 C. Li et al.
4.1 Introduction
The pressure swing adsorption (PSA) technology has been widely used in various
industrial gas separations due to its flexible operation and efficient separation char-
acteristics. High-purity hydrogen with a purity of 99.99% can be obtained through
the PSA (Silva et al. 2013; Regufe et al. 2015; Moon et al. 2018). At present, the
commonly used adsorbents for hydrogen purification are activated carbon and zeolite
(Moon et al. 2018; Golmakani et al. 2017; Ahn et al. 2012). With the emergence of
new materials named metal organic frameworks (MOFs) such as CuBTC (Silva et al.
2013), MIL-125(Ti)_NH2 (Regufe et al. 2015), UTSA-16 (Brea et al. 2019) are also
gradually used to improve the purification performance of hydrogen, but the research
on MOFs materials for hydrogen purification is still relative less. This paper mainly
studies the breakthrough curves of the binary system of H2 /CO2 in CuBTC.
The whole adsorption experiment process to choose a suitable adsorbent is
very time-consuming and expensive, and the most effective method is to carry
out mathematical modeling. The mathematical model of adsorption has to solve
a large number of partial differential equations (PDEs), including mass, energy and
momentum balances, which can be very time-consuming (Poursaeidesfahani et al.
2019). Therefore, it is very necessary to design a fast and accurate surrogate model.
Numerical simulations of PSA breakthrough curves are currently performed
mainly through software such as Aspen Adsorption, gPROMS and PSASIM®. Brea
et al. used PSASIM® to compare the purification performance of UTSA-16 and
BPL AC (Brea et al. 2019). Xiao et al. used Aspen Adsorption software to study the
effect of layered beds composed of activated carbon and zeolite adsorbents on the
hydrogen purification performance under different operating conditions (Xiao et al.
2020). Park et al. used gPROMS software to explore the effect of the number of
adsorbent beds on the hydrogen purification performance (Park et al. 2021).
Artificial neural network (ANN) is also increasingly used in the optimization
design of PSA due to its strong nonlinear characteristics. Ghalandari et al. used
the artificial neural network-genetic (ANN-GA) algorithm model to predict the
behavior of gas adsorption on activated carbon (Ghalandari et al. 2020). Pai et al.
used a feedforward neural network to predict product purity, recovery, productivity
and energy consumption (Pai et al. 2020). By comparing artificial neural networks
and partial least squares (PLS) regression algorithms to optimize CO2 purity and
recovery, Subraveti et al. showed that ANN-based optimization offers ~10× reduc-
tion in computational efforts while achieving the same performance as that of PLS
models (Subraveti et al. 2019). It can be found that there are many studies on the
prediction and optimization of PSA cycle performance based on ANN model, but
there are few studies on the prediction of PSA breakthrough curve combined with
ANN.
At present, only Ye et al. used the ANN algorithm to predict and optimize the
breakthrough time of hydrogen. The maximum breakthrough time of hydrogen was
used as the optimization objective function (Ye et al. 2019). To the best of the authors’
knowledge, there are few predictions about the breakthrough curve based on ANN in
4 Artificial Neural Network Prediction for Breakthrough Curves … 39
PSA application. In this paper, an artificial neural network surrogate model was built
to predict the hydrogen breakthrough curve. The artificial neural network surro-
gate model can accurately predict the influence of feed flow rates, pressures and
temperatures on the breakthrough curves of hydrogen.
4.2 Breakthrough Curve Verification
Mathematical models of breakthrough curves include mass, energy, and momentum

balances. In this paper, a heat and mass transfer model was established using Aspen
Adsorption software. For more details about the heat and transfer model, the reader
can be referred to Xiao et al. (2018). The parameters of the adsorption bed and
CuBTC are shown in Table 4.1, and the competitive adsorption of the binary system
of H2 /CO2 is represented by the extended Langmuir model, as shown in Eq. (4.1).
The Langmuir parameters are shown in Table 4.2. In Fig. 4.1, The Langmuir model
can fit the static adsorption process of CO2 and H2 well.

bi pi (−Hi )
qi = qm,i n with bi = b∞,i exp (4.1)
1+ j=1 bn pn Rg T
where q represents the equilibrium adsorption amount, P represents the equilibrium

adsorption pressure, qm and b are the saturation capacity and the affinity parameter.
Table 4.1 Characteristics of adsorbents and adsorption bed (Silva et al. 2013)
Parameter Value Parameter Value
Particle density, ρb (kg/m3 ) 823 Wall density, ρw (kg/m3 ) 8238
Solid density, ρs (kg/m3 ) 1379 Wall specific heat, C pw (J/(kg K)) 500
Particle specific Heat, C ps (J/kg/K) 1457 Gas phase heat conductivity, K Lg (W/ 0.4
m/K)
Particle radius, Rp (m) 0.0015 Solid phase heat conductivity, K Ls (W/ 0.7
m/K)
Internal bed diameter, Db (m) 0.021 Wall heat conductivity, K w (W/m/K) 16
Bed length, L (m) 0.31 Particle porosity, ε p 0.78
Bed porosity, εb 0.52 Heat transfer coefficient, hin (W/m2 /K) 60
Heat transfer coefficient, hgs (W/m2 /K) 92 Heat transfer coefficient, hout (W/m2 / 25
K)
Table 4.2 Langmuir

Component qm (mol/kg) b∞ (*10−4 bar−1 ) H i (J/mol)
parameters of Cu-BTC (Silva
et al. 2013) CO2 15.0 0.372 −23,004
H2 1.46 12.3 −10,620
40 C. Li et al.
12 0.5
308K CO2 (a) 303K H2 (b)
343K 343K
10 373K
0.4
8
q (mol/kg)
0.3
q (mol/kg)
6
0.2
4
2 0.1
0 0.0
0 2 4 6 8 0 2 4 6 8
P (bar) P (bar)
Fig. 4.1 Adsorption isotherms of CO2 (a) and H2 (b) on CuBTC (Line: Simulation; Dot:
Experiment from Ref. Silva et al. 2013)
The initial adsorption pressure of the breakthrough experiment was set to 2 bar, the
initial temperature was 303 K, the concentration ratio of CO2 and H2 was 0.472:0.528,
and the feed rate was 9.48 * 10−6 m3 /s. As shown in Fig. 4.2, the simulated value
of the breakthrough curve is in good agreement with the experimental value (Silva
et al. 2013), indicating that the heat and mass transfer model established by Aspen
Adsorption can well describe the kinetics of the adsorption process. The bed was
initially filled with He, so H2 initially could not be detected at the outlet. When
there is no He in the adsorption bed, CuBTC adsorbs CO2 , and the concentration
of hydrogen at the outlet is close to 1. The breakthrough time of CO2 is about
500 s. When CO2 breakthroughs, the concentration of hydrogen decreases and the
concentration of CO2 increases. When the adsorbent is saturated, H2 and CO2 reach
dynamic equilibrium, and the concentration at the outlet is equal to the concentration
at the inlet.
4.3 Data Set Selection of ANN Model Based on Latin

Hypercube Sampling
The data for training artificial neural networks (ANN) is a first step for establishing
a reliable model and should be selected reasonably. The training data of ANN is
generated through the validated Aspen Adsorption model. The chosen method of
training data generation is via Latin hypercube sampling (LHS). LHS is a stratified
sampling technique proposed by Mckay et al., which can effectively stratify the values
range of each variable. The significant advantage of Latin hypercube samples is that
a small number of samples can represent the entire sample space, which ensures that
each sample is represented in a fully hierarchical manner (McKay et al. 1979).
Through LHS, 80 sample points are selected, the upper and lower boundaries
of the LHS are shown in Table 4.3. Figure 4.3 shows the scatter plot matrix of the
Fig. 4.2 Simulation results 1.0

of CO2 /H2 breakthrough H2
curves (Line: Simulation; CO2
Dot: Experiment from 0.8 Simulation
Ref. Silva et al. 2013)
Molar fraction
0.6
0.4
0.2
0.0
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Time (s)
Table 4.3 Lower (lb) and upper (up) bounds of LHS

Condition Flow rate (m3 /s) Pressure (bar) Temperature (T)
lb 9 * 10–6 2 300
ub 13 * 10–6 6 350
input variable samples. The sample point data is inputted into the verified Aspen
Adsorption model to generate a training data set of ANN. The total simulation time
is set to 2000s, an interval time point is set 5 s. For the breakthrough curves of a
binary system, if the breakthrough curve of one gas is accurately predicted, then the
concentration change of another gas can be easily obtained. Therefore, we only need
to obtain the breakthrough curve data of hydrogen. The breakthrough curve data of
CO2 is 1 minus the hydrogen concentration. Therefore, the total number of input
sample data is 80 * 5 * 401 = 160,400.
4.4 Artificial Neural Network Model
There are more and more applications of artificial neural networks (ANN) in the
simulation and optimization design of PSA. It mainly includes an input layer, an
output layer and one or more hidden layers. The more the number of hidden layers,
the better the nonlinear fitting characteristics of the neural network, and the better it is
to deal with complex problems, such as CNN, RNN, LSTM and other deep learning
networks (Oliveira et al. 2020). Since the amount of data in this paper is too large,
one hidden layer can no longer handle this complex amount of data. In this paper,
the number of hidden layers is set to 5. The structure of the neural network is shown
in Fig. 4.4.
42 C. Li et al.
Fig. 4.3 Scatter plot matrix of input variables
The algorithm of ANN is completed by Matlab software. The whole data set is
divided into training set, test set and validation set, with a ratio of 70% to 15% to
15%. As shown in Fig. 4.5, the correlation coefficients of the training set, validation
set and test set of the neural network are all close to 1, indicating that the ANN model
fits the data well.
4.5 Breakthrough Curves Parameter Studies Based

on Artificial Neural Network
In order to further verify the robustness of the ANN model, we need to perform a
robustness test, that is, to test the prediction effect for the input data that was not
“seen” by the ANN model. Parameter studies based on ANN were carried out to
observe the adsorption dynamics of the breakthrough curves. We focus on the effects
Fig. 4.4 ANN structure for predicting breakthrough curves
of temperature, feed flow rate and adsorption pressure on breakthrough curves. The
initial gas of the adsorption bed was filled with H2 , and the ANN prediction results
were compared with the Aspen Adsorption model.
4.5.1 Effect of Feed Flow Rate
As shown in Fig. 4.6, the breakthrough curve data predicted by the ANN model
were in good agreement with the data simulated by the Aspen model, which further
verifies the correctness of the ANN model. By reducing the feed flow rate, the
hydrogen breakthrough time increases correspondingly, and the concentration wave-
front becomes slightly steeper, which is consistent with the results of a previous
related study (Jee and Kim 2001). The contact time of gas in the adsorption bed
increases with the decrease of feed flow rate. So the adsorbent can more fully absorb
CO2 and the breakthrough time of CO2 increased.
4.5.2 Effect of Adsorption Pressure
As shown in Fig. 4.7, the breakthrough time increases because the adsorption capacity
of the adsorbent for impurity gas increases as the pressure increases. However, the
breakthrough time and adsorption pressure do not increase linearly. There was not
as much of an elongation effect on the breakthrough time at 4 bar as compared to the
effect at 3 bar. According to the adsorption isotherm model of CO2 , the adsorption
capacity of CuBTC to CO2 at the initial pressure of 2, 3 and 4 bar is about 3.68, 4.91
44 C. Li et al.
Fig. 4.5 Correlation coefficient between Aspen Adsorption model target and ANN prediction
output based on the training set, validation set, test set, and overall dataset
and 5.9 mol/kg, respectively. The rate of increase in adsorption capacity decreases
with increasing pressure, so the rate of increase in breakthrough time of CO2 gas also
decreases. It is indicated that the design of PSA cannot blindly increase the pressure
to improve the purification performance. On the one hand, the adsorbent will have
a saturated adsorption capacity. Excessively increasing the pressure cannot improve
the adsorption capacity of the adsorbent for impurity gases and also increase the
energy consumption of the whole system.
Fig. 4.6 Effect of feed flow 1.0

rate on the breakthrough 9.48*10-6 m3/s
10.48 *10-6 m3/s
curve for the H2 /CO2 system H2
11.48*10-6 m3/s
at 2 atm and 303 K (Line: ANN
ANN
Aspen model simulation; ANN
Dot: ANN model simulation)
Molar fraction
0.8
0.6
0 500 1000 1500 2000

Time (s)
Fig. 4.7 Effect of pressure 1.0

2 bar
on the breakthrough curve 3 bar
for the H2 /CO2 system at H2 4 bar
ANN
9.48 * 10–6 m3 /s and 303 K ANN
(Line: Aspen model ANN
simulation; Dot: ANN model
Molar fraction
simulation) 0.8
0.6
0 500 1000 1500 2000

Time (s)
4.5.3 Effect of Temperature
There have been relevant studies on the effects of operating variables such as feed
flow rate and pressure (Xiao et al. 2018; Jee and Kim 2001; Moon et al. 2016) on gas
breakthrough behavior, but there are few studies on the effect of temperature on the
breakthrough curve. The feed flow rate and pressure hardly affect the slope of the
breakthrough curve, but only affect the gas breakthrough time. However, as shown
in Fig. 4.8a, the change of temperature will not only affect the gas breakthrough time
but also significantly change the slope of the breakthrough curve. The reason for this
phenomenon is that the adsorption isotherms of the gas will be different at different
temperatures, and the temperature change will affect the adsorption affinity of the
46 C. Li et al.
0.944
1.0
(a) 303K 303K CO2 (b)
323K 323K
H2 343 K 6
ANN 343K
ANN
ANN
q (mol/kg)
Molar fraction
0.8 4
3.68
2.34
2
0.6 1.51
0
0 500 1000 1500 2000 0.0 0.5 0.944 1.0 1.5 2.0
Time (s) P (bar)
Fig. 4.8 a Effect of temperature on the breakthrough curve for the H2 /CO2 system at 9.48 * 10–6 m3 /
s and 2 bar (Line: Aspen model simulation; Dot: ANN model simulation); b Adsorption isotherms
of CO2 at 303 K, 323 K and 343 K
adsorbent to CO2 . However, even if the temperature greatly changes the gas break-
through behavior, the ANN model can still predict this fluctuation well, showing
the excellent robustness of the ANN model. It is worth noting that, like the effect of
pressure on the behavior of the breakthrough curve, changes in temperature to break-
through time are also not linear. Figure 4.8b shows the adsorption isotherms of CO2
at different temperatures calculated from the adsorption isotherm parameters. The
adsorption amounts of CO2 calculated by Langmuir model at 303 K, 323 K and 343 K
are 3.68 mol/kg, 2.34 mol/kg and 1.51 mol/kg on CuBTC, respectively. Therefore,
the decrease of temperature will significantly increase the adsorption capacity of the
adsorbent to impurity gas. And this gap of adsorption capacity will become larger
with the increase of pressure, as shown in the shaded area of Fig. 4.8b. This suggests
that effective thermal management should be carried out in PSA design, reducing
the temperature of the adsorption bed to improve the purification performance of
the product, such as the design of heat exchangers (Ali Abd et al. 2021; Chen et al.
2021) or adding phase change materials (PCM) in the adsorption bed (Horstmeier
et al. 2016).
4.6 Conclusion
At present, there is almost no application of ANN in the prediction of the break-

through curve of PSA, and this paper has attempted in this field. The heat and mass
transfer model of CO2 /H2 binary system established by Aspen Adsorption was well
verified with experiments, and 80 sets of simulated data were generated based on the
LHS method to train the ANN model. Parameter studies show that the breakthrough
curve data simulated by the trained ANN is consistent with the data simulated by
the Aspen Adsorption model, which verifies the robustness of the ANN model. The
parametric study based on the ANN model shows that the breakthrough time can be
improved with lower feed flow rate, lower initial temperature and higher pressure.
By comparison, it is found that the temperature change has the greatest impact on
the gas breakthrough behavior, which is mainly related to the adsorption isotherm of
the gas. So reducing the temperature of the adsorption bed through effective thermal
management will improve the purity of the product.
Acknowledgements Supported by the National Natural Science Foundation of China (52176191,

51476120) and the Shuguang Project of Knowledge Innovation Program from the Wuhan Science
and Technology Bureau (2022010801020432).
References
Ahn S, You Y-W, Lee D-G, Kim K-H, Oh M, Lee C-H (2012) Layered two- and four-bed PSA
processes for H2 recovery from coal gas. Chem Eng Sci 68:413–423
Ali Abd A, Roslee Othman M, Helwani Z (2021) Evaluation of thermal effects on carbon dioxide
breakthrough curve for biogas upgrading using pressure swing adsorption. Energy Convers
Manage 247
Brea P, Delgado JA, Águeda VI, Uguina MA (2019) Comparison between MOF UTSA-16 and BPL
activated carbon in hydrogen purification by PSA. Chem Eng J 355:279–289
Chen L, Deng S, Zhao R, Zhu Y, Zhao L, Li S (2021) Temperature swing adsorption for CO2 capture:
Thermal design and management on adsorption bed with single-tube/three-tube internal heat
exchanger. Appl Therm Eng 199
Ghalandari V, Hashemipour H, Bagheri H (2020) Experimental and modeling investigation of
adsorption equilibrium of CH4 , CO2 , and N2 on activated carbon and prediction of multi-
component adsorption equilibrium. Fluid Phase Equilib 508
Golmakani A, Fatemi S, Tamnanloo J (2017) Investigating PSA, VSA, and TSA methods in SMR
unit of refineries for hydrogen production with fuel cell specification. Sep Purif Technol 176:73–
91
Horstmeier JF, Gomez Lopez A, Agar DW (2016) Performance improvement of vacuum swing
adsorption processes for CO2 removal with integrated phase change material. Int J Greenhouse
Gas Control 47:364–375
Jee J-G, Kim M-B, Lee C-H (2001) Adsorption characteristics of hydrogen mixtures in a layered
bed: binary, ternary, and five-component mixtures 40:868–878
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of input variables in the analysis of output from a computer code. Technometrics 21:239
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183:760–774
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Chapter 5
The Effect of Culture Conditions
on Microbial Remediation
of Contaminated Soil in Antimony Ore
Area
Xinyue Shi, Peng Zheng, Xinglan Cui, Xiaokui Che, Ying Liu, Lei Wang,
Hongxia Li, and Qi Zheng
Abstract With the extensive development of mining and smelting activities, the
pollution of antimony (Sb) and arsenic (As) in soil becomes more and more serious,
which is highly toxic to public health. In order to deeply understand the characteristics
of Sb and As contaminated soil, we analyzed the mineral composition, pollutant
content and the occurrence state of pollutants in the collected contaminated soil. The
results showed that the main components in the contaminated soil were quartz, mica,
calcite and dolomite, and the contents of antimony and arsenic were up to 24,666
and 240 mg/kg respectively, the Sb and As in the soil mainly existed in the residue
state. Under different carbon source conditions, SRB can effectively cure antimony
in soil, among which ethanol and glycerol are the best. More acidic conditions are
more favorable for SRB bacteria to cure antimony and arsenic in soil.
Keywords Antimony · Arsenic · Contaminated soil · SRB bacteria
5.1 Introduction
Heavy metal pollution of soil caused by mining and smelting activities has become
a major threat to land use (Karczewska et al. 2004). Contamination of antimony
(Sb) and arsenic (As) in soil is an important environmental problem worldwide
(Filella et al. 2002; Wilson et al. 2010). Sb is a suspected carcinogen with potential
damage to the immune and nervous systems (Cavallo et al. 2002; Gebel 1997) and
is restricted by the Basel Convention (Kim et al. 1998). As, which is a group I
carcinogen (Hughes 2004), is released into the soil environment by natural processes
X. Shi · P. Zheng · X. Cui (B) · X. Che · Y. Liu · L. Wang · H. Li · Q. Zheng

GRINM Resources and Environmental Technology Corporation Limited, Beijing 101407, China
e-mail: cuixinglan@grinm.com
GRIMAT Engineering Institute Corporation Limited, Beijing 100088, China

https://doi.org/10.1007/978-3-031-30233-6_5
50 X. Shi et al.
from sediment into groundwater or released through anthropogenic activities, such as

mining (Matschullat 2000; Rizoulis et al. 2014). Sb and As belong to group 15 of the
periodic table and exist mainly in the III and V states. The geochemical characteristics
of Sb and As are similar, but there are still differences in some aspects. Simultaneous
contamination of As and Sb is often observed in the environment, especially in
environments affected by mining activities (Anawar et al. 2011). China is the main
Sb reserves and Sb production country, the status of heavy metal pollution is not
optimistic.
The exploitation of metal mines will pollute groundwater and surrounding soil,
and the traditional lime precipitation method (Tsukamoto and Miller 1999) will
produce a large amount of metal polluted sludge, and the cost is high (Wakao et al.
1979). A promising alternative is the biologically induced precipitation of metal
sulfides, which is based on hydrogen sulfide production by sulfate-reducing bacteria
(SRB) (Kaksonen et al. 2003). In the process of organic matter metabolism, SRB uses
sulfate as the terminal electron acceptor to produce sulfide, which can remove metal
by forming insoluble metal sulfide precipitation (Dvorak et al. 1992; Jong and Parry
2003; Kieu et al. 2011). Although some previous studies have reported the biological
removal of Sb or As as a single contaminant, there are few studies on the treatment
of combined As and Sb contamination by SRB (Altun et al. 2014; Sahinkaya et al.
2015; Zhang et al. 2016).
In this work, the biological treatment effect of mixed culture with SRB on soil
containing Sb and As was studied by batch experiment. In particular, the mineral
composition and the occurrence state of pollutants in Sb and As contaminated soil
were studied, and the effects of different carbon sources and pH on the treatment
of Sb and As contaminated soil by SRB were explored, so as to screen out the best
conditions and provide a basis for the remediation of Sb and As contaminated soil
by SRB.
5.2 Experimental Materials and Methods
5.2.1 Materials
The test soil was obtained from an antimony smelting area in Xihe County, Longnan
City, Gansu Province. The smelter was established in 1986 and closed in 2013,
mainly engaged in antimony smelting. The alkaline slag produced by smelting,
containing high antimony, is stacked in the waste alkali slag stacking area, where the
content of Sb and As is high. The SRB bacteria used in the experiment were from
the National Engineering Research Center for Environment-friendly Metallurgy in
Producing Premium Non-ferrous Metals. Bacterial acclimation was carried out using
eutrophication basic salt medium containing yeast extract 1.2 g/L, Ca(NO3 )2 0.01 g/
5 The Effect of Culture Conditions on Microbial Remediation … 51
L, K2 HPO4 0.5 g/L, MgSO4 ·7H2 O 0.5 g/L and KCl 0.1 g/L. Sodium lactate, glucose,
ethanol and glycerol were selected to explore the most suitable carbon sources.
The pH of the medium was adjusted with 0.1 mol/L H2 SO4 and 0.1 mol/L NaOH,
respectively.
5.2.2 Methods
Mineral composition analysis of Sb and As contaminated soil. The mineral

composition of Sb and As contaminated soil was analyzed by X-ray powder diffrac-
tion (XRD) (Rigaku-Smart Lab, Japan) in the national standard (Beijing) Inspection
and Certification. The radiation source was CuKα (λ = 0.15418 nm) with the step
width of 0.02, the scanning range of 10°–90°, the scanning speed of 8°/min, the
voltage of 45 kV and the current of 200 mA. The test was carried out at room
temperature.
Analysis of pollutant content in Sb and As contaminated soil. The soil was
digested by HNO3 -HF-HClO4 digestion method, and the contents of Sb and As in the
soil were determined by inductively coupled plasma atomic emission spectrometry
(Leman-profile, US). Morphological analysis of soil pollutants contaminated with
Sb and As. The contents of metal exchangeable state (exchangeable state), carbonate
bound state (carbonate state), iron (manganese) oxide bound state (iron/manganese
state), organic and sulfide bound state (organic state) and residue lattice bound state
(residue state) of Sb and As in soil were determined by Tessier five-step continuous
extraction method.
Effects of different carbon sources and pH on Sb and As in soil solidified
by SRB. Using sodium lactate, glucose, ethanol and glycerol as carbon sources, the
treatment effects of SRB bacteria on curing Sb and As in soil were compared under
different carbon sources. The pH was adjusted to 3, 5, 7, 9, and 11 to explore the
optimal pH for curing Sb and As in soil by SRB bacteria.
5.3 Results and Discussion
5.3.1 Elemental Composition and Morphological Analysis

of Contaminated Soil
The XRD analysis results are shown in Fig. 5.1. The main mineral phases in the
contaminated soil are quartz, mica, calcite, dolomite, and a small amount of stibnite
and pyrite. On the whole, the soil in this area has more carbonate minerals and higher
content of calcium and magnesium.
The chemical composition of contaminated soil is shown in Table 5.1. It is a
typical sandy soil, mainly containing SiO2 , but also containing a small amount of
52 X. Shi et al.
Fig. 5.1 XRD pattern of contaminated soil
Table 5.1 Chemical composition of contaminated soil

SiO2 (%) Al2 O3 (%) Fe2 O3 (%) MgO(%) CaO(%) S(%) Sb(ppm) As(ppm)
41 10.3 4.7 2.6 11.2 0.1 24,666 240
CaO, Al2 O3 , Fe2 O3 and MgO. The content of antimony in soil is 24666 mg/kg, and
the content of As is 240 mg/kg. The pollution of Sb and As in this area is serious, so
the remediation of pollution is imminent.
The occurrence forms of Sb and As in contaminated soil are shown in Fig. 5.2.
Sb and As mainly exist in the residue state, while the contents of organic, Fe–Mn,
carbonate and exchangeable antimony and arsenic are relatively low.
5.3.2 Effects of Different Carbon Sources and pH on Sb

and as in SRB Cured Soil
The addition of carbon source can provide nutrients for the growth of SRB bacteria,
increase the pH of the system, and maintain the reduction potential. As shown in
Fig. 5.3, the leaching concentration of Sb decreased rapidly after adding different
carbon sources, and then increased slowly. The addition of ethanol and glycerolhad
Fig. 5.2 The morphology of Sb and As in contaminated soil
better curing effect on Sb in soil. However, the addition of carbon sources promoted
the dissolution of As from the soil.
Microorganims have strong adaptability and buffering ability to acid/alkaline envi-
ronment. As shown in Fig. 5.4, SRB has good inhibition effect on Sb under different
pH conditions, among which the inhibition rate of Sb under acidic conditions is
Fig. 5.3 Effect of carbon source on Sb and As in soil solidified by SRB

54 X. Shi et al.
Fig. 5.4 Effect of pH on Sb and As in soil solidified by SRB
higher, alkaline environment promotes the leaching of As, and acidic environment
is more conducive to the inhibition of Sb and As by SRB.
5.4 Conclusions
The contamination of Sb and As in the soil in Xihe County of Longnan City, Gansu
Province is serious. The soil type of this area is sandy soil. Sb and As in soil mainly
exist in the form of residue. Under different carbon source conditions, SRB can
effectively cure antimony in soil, among which ethanol and glycerol are the best.
More acidic conditions are more favorable for SRB bacteria to cure Sb and As in
soil.
Acknowledgements The project was funded by the Youth Fund Project of GRINM (No. 12120),
the National Key Research and Development Project (No. 2020YFC1807700), the Scientific
Research and Technology Development Program of Guangxi (grant nos. GuikeAB22080078), the
Open Foundation of State Key Laboratory of Vanadium and Titanium Resources Comprehensive
Utilization (No. 2021P4FZG13A) and the National Key Research and Development Project (No.
2019YFC1805900).
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1181
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reducing bacteria. J Ferment Technol 57:445–452
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by a mixed batch culture of sulfate-reducing bacteria. Int Biodeter Biodegr 115:148–155
Chapter 6
A Research Progress on Stabilization/
Solidification of Electrolytic Manganese
Residue
Guoying Ma, Xingyu Liu, Ying Lv, Xiao Yan, Xuezhe Zhu,
and Mingjiang Zhang
Abstract Electrolytic manganese residue (EMR) is a waste residue produced during

the production of electrolytic manganese. EMR contains a large amount of NH+ 4 -N,
Mn, and other heavy metal elements such as Zn, Ni, Cu, and Cr. Although many
EMR treatment methods have been proposed in recent years, there is no mature
and economical industrial process to treat EMR. The long-term stockpiling of large
quantities of EMR poses a severe hazard to the environment and the human body.
Stabilization/solidification is a method to treat large amounts of manganese slag
by immobilizing the contaminants through chemicals, industrial solid waste, etc.
without causing them to leach out. Therefore, this paper reviews the physicochem-
ical properties and hazards of EMR, summarizes and evaluates the curing methods
of EMR, and sorts out the curing mechanism to provide a reference for the safe treat-
ment of EMR. At the end of this review, the existing problems and the development
prospects of the stabilization/solidification technology are also discussed.
Keywords Electrolytic manganese residue · Stabilization/solidification ·

Chemical solidification · Waste control by waste
G. Ma · Y. Lv · X. Yan · X. Zhu · M. Zhang (B)

National Engineering Research Center for Environment-Friendly Metallurgy in Producing
Premium Non-ferrous Metals, China GRINM Group Corp., Ltd., Beijing 101407, China
e-mail: zmj0630@163.com
GRINM Resources and Environment Tech. Co., Ltd., Beijing 101407, China
General Research Institute for Nonferrous Metals, Beijing 100088, China
GRIMAT Engineering Institute Co., Ltd., Beijing 101407, China
X. Liu
Institute of Earth Science, China University of Geosciences, Beijing 100083, China
Shenzhen Green-Tech Institute of Applied Environmental Technology Co., Ltd.,
Shenzhen 518001, China

https://doi.org/10.1007/978-3-031-30233-6_6
58 G. Ma et al.
6.1 Introduction
Electrolytic manganese residue (EMR) is produced in the process of manganese elec-

trolytic, containing high concentrations of Mn2+ and NH+ 4 (Du et al. 2015; Lan et al.
2021a). China is the world’s largest electrolytic manganese producer and exporter
(Chen et al. 2020a). Producing 1 ton of electrolytic manganese could create 10–12
tons of EMR (Du et al. 2014). China produces about 20 million EMR annually, accu-
mulating over 160 million tons (Lan and Sun 2021; Shu et al. 2019a; Lan et al. 2019).
The rapid development of the electrolytic manganese industry brings benefits and
severe environmental pollution. So far, the comprehensive utilization rate of EMR in
China is less than 7% (Chen et al. 2020b). The unpretreated EMR is directly stacked
in the waste slag field, seriously damaging the local ecological environment. Pollu-
tants in EMR seep into nearby soils and migrate to groundwater. The electrolytic
manganese industry faces huge environmental pressure, and the disposal of EMR
with massive production has become an increasingly prominent problem.
EMR contains high concentrations of ammonium nitrogen and soluble manganese
(Mallick et al. 2006). Recovery of manganese and ammonia nitrogen is a harmless
treatment and resource utilization method of EMR, but its application range is limited
(Lan et al. 2019; Tian et al. 2019; Shu et al. 2016a; Zheng et al. 2020). Zhou applied
Solidification/stabilization (S/S) technology to EMR for the first time (Zhou et al.
2013). The S/S is more suitable for the consumption of large volume EMR. S/S
is a cost-effective and environment-friendly method for industrial solid wastes. S/
S technology is widely used in the harmless treatment of solid waste due to its
simplicity, low cost, and high efficiency (Bednarik et al. 2005).
6.2 Characteristics and Hazard of EMR
EMR is acidic or weakly acidic black mud solid with small particles, low fineness,
high water content, poor mechanical properties, poor air permeability, high toxicity,
and other characteristics. The density of EMR is 2–3 g/cm3 , pH is 5.0–6.5, the
moisture content is 25–35 wt% and particle size is 20–500 µm (Chen 2016).
Manganese in EMR has three primary forms: water-soluble manganese,
manganese carbonate, and manganese dioxide. Water-soluble manganese mainly
exists in the form of manganese sulfate (Long et al. 2011). Through the material
balance analysis of raw materials, products, and waste in the production process
of electrolytic manganese, the residue contains 1.5–2.0% raw material manganese,
and soluble manganese accounts for 60% of total manganese in EMR (Ning et al.
2010). The chemical composition of EMR varies with raw materials and production
processes. EMR mainly contains elements such as Mn, Fe, Ca, Si, S, and Al, and
trace elements such as Zn, Ni, Cu, Cr, Pb, and Co. The direction of elements in
electrolytic manganese production is shown in Table 6.1. In the production process
of electrolytic manganese, 28.1% of manganese remains in residues, anode mud and
6 A Research Progress on Stabilization/Solidification of Electrolytic … 59
Table 6.1 Directions of main elements in electrolytic manganese industry (Ning et al. 2010)
Unit: %
Element Product Anode mud Residues Effluent Evaporation
Mn 71.9 12.6 13.7 1.8 –
Cr 2.4 – – 97.6 –
Se 60.7 22.3 17.0 – –
NH+
4 -N 52.4 1.2 44.1 – 2.3
SO2−
4 – 0.2 55.3 44.5 –
wastewater, which causes waste of resources and adverse effects on the later safe
stacking (Ning et al. 2010).
Mn2+ is soluble manganese, Mn4+ is insoluble manganese, and Mn3+ is in an
unstable oxidation state and can be easily oxidized to form Mn4+ (Du et al. 2015).
The oxidation–reduction potential and pH significantly influence the stability of
manganese. When the Eh–pH conditions change, manganese is converted to the
corresponding stable phase (Martin 2005). Manganese in EMR can also be treated
harmlessly by converting it into stable insoluble compounds, converting soluble Mn2+
to Mn4+ . The ammonia nitrogen forms in the EMR include free ammonia nitrogen
and ionic ammonium nitrogen, which are converted to ammonia at different Eh–pH
values for both ionic and free ammonia nitrogen.
With the development of the electrolytic manganese industry, a large number of
EMR are stored for a long time without treatment. A large number of deposited EMR
consume a lot of land resources, aggravating the tension between land resources.
The pollution of manganese is the most serious in EMR, far exceeding the Integrated
Wastewater Discharge Standard of China (GB 8978-1996) (Mn2+ < 2 mg/L). The
pollutants in the EMR leak downwards to cause pollution of water sources, and
the contaminated drinking water is harmful to human health (Hoyland et al. 2014).
Figure 6.1 shows the infiltration of contaminants in the EMR. Excessive manganese
absorption by the human body can cause various diseases, such as hepatobiliary
function dysfunction, renal dysfunction, and intellectual degradation (Crossgrove
and Zheng 2004; Andersen et al. 1999; Aschner et al. 2005). High concentrations of
NH+ 4 -N in EMR can also be harmful to organisms. High ammonia concentrations in
the body can lead to gastric cancer, blue baby syndrome, and liver damage (Gupta
et al. 2000).
6.3 S/S of EMR
S/S has developed rapidly recently, and its application scope has gradually expanded.
S/S treatment of EMR is to convert soluble substances into insoluble precipitate
compounds or to be absorbed by other precipitate compounds to form physical
encapsulation.
60 G. Ma et al.
Fig. 6.1 Infiltration of contaminants in the EMR
6.3.1 Chemical Solidification
Chemical solidification is the main technology for solid waste remediation at present,
with high remediation efficiency, which can effectively prevent the release of harmful
chemicals in hazardous waste. In the harmless treatment of EMR, the combined
immobilization method of manganese and NH+ 4 -N is adopted chiefly (Chen et al.
2016). Chemical reagents for S/S of EMR mainly include alkaline materials, phos-
phate, sulfide, carbonate, and other chemical reagents (He et al. 2022a, 2021;
Mocellin et al. 2017; Chen et al. 2020c).
Alkaline additives
When alkaline materials are used, Mn2+ in EMR solidified to insoluble precipitate
Mn(OH)2 , MnO2 , Mn3 O4 , and MnO(OH), and NH+
4 escapes to NH3 . The mechanism
is as follows:
Mn2+ + OH− → Mn(OH)2 (s) ↓ (6.1)
2Mn(OH)2 + O2 → 2MnO2 (s) ↓ +H2 O (6.2)
NH+ −
4 + OH → NH3 (g) + H2 O (6.3)
The mechanism of Mn2+ solidification includes immobilization and stabilization.

Immobilization is the encapsulation of Mn2+ ; stabilization is the oxidation of Mn2+ to
a stable insoluble substance. MnO2 is stable under natural conditions and can be used
as the last step of Mn2+ curing (Yza et al. 2020). Ammonium salt can be converted
into free ammonia and released into the environment to remove NH+ 4 from EMR.
Quicklime is an effective additive for solidifying heavy metals. For the treatment
of heavy metals in EMR, CaO is commonly used in China (Du et al. 2016; Chen et al.
2021a). Previous research has shown that lime additive is often used to pretreat EMR
to stabilize manganese and remove ammonia (Zhou et al. 2014). Luo used quicklime
curing EMR with 99.8% Mn2+ curing efficiency and 97% NH+ 4 removal (Luo et al.
2017a). Solidifying EMR by CaO is to solidify soluble Mn2+ into insoluble MnO2
and MnO(OH) effectively, NH+ 4 -N into gaseous NH3 by adsorption, embedding and
chemical reaction of CaO so that the concentration of pollutants in leaching solution
can meet the relevant standards (Luo et al. 2017b). CaO and NaOH additives can
effectively solidify Mn2+ and remove ammonia nitrogen, but CaO is safer and easier
to operate than NaOH (Zhou et al. 2013).
In addition to lime, sodium hydroxide, and other commonly used alkaline curing
agents, cement is also an alkaline material, but due to the complex composition
of composite cement, curing products are not the same as the curing products of
traditional alkaline materials. In solidification technology, Portland cement (PC) and
lime are the most commonly used adhesives. EMR is cured/stabilized with composite
Portland cement (PC32.5R) as a curing agent (Mu et al. 2020a). MnSO4 ·2H2 O,
(NH4 )2 Mn(SO4 )2 ·6H2 O, and soluble Mn in EMR are solidified by PC32.5R and then
transformed into more stable insoluble minerals such as CaMnSi2 O6 and MnSiO3 .
At the same time, the hydration gel can cement the components of EMR together,
thus effectively inhibiting the dissolution of Mn in EMR solidified body.
Basic burning raw material is an excellent S/S agent for EMR, but the stabilization
mechanism and long-term stability are still unclear (Shu et al. 2020a). He et al. then
explored and solved the problem of unclear S/S mechanism and long-term stability
of heavy metals (He et al. 2022b). The main component of basic burning raw material
is CaO, and it also contains Al2 O3 , SiO2 , and Fe2 O3 . Mechanism studies showed
that the hydration of basic burning raw material forms OH− , calcium silicate hydrate
gels, and ettringite, thus stabilizing/solidifying heavy metal ions, such as Mn2+ , Pb2+ ,
Cu2+ , Ni2+ , and Zn2+ . NH+ 4 is removed in the form of NH3 , and Mn
2+
is solidified/
stabilized in tephroite, johannsenite, and davreuxite. Pb , Cu , Ni2+ , and Zn2+
2+ 2+
are solidified/stabilized by Calcium silicate hydrate and ettringite via substitution

and encapsulation. The properties of the Calcium silicate hydrate gels and ettringite
ensure the long-term effectiveness of S/S EMR because the phase and morphology
of S/S EMR leaching residue have little change in long-term leaching experiments.
The solidification mechanism of alkaline additives on EMR is shown in Fig. 6.2.
Although alkaline additives can achieve the fixation of manganese in EMR, the curing
process is accompanied by the release of ammonia gas, which causes secondary
pollution.
Phosphate
In the phosphate system, Mn2+ and NH+ 4 are stabilized to Mn(OH)2 ,
Mn5 (PO4 )2 (OH)4 , Mn3 (PO4 )2 ·3H2 O, and NH4 MgPO4 ·6H2 O (see Fig. 6.3) (Feng
et al. 2021). Phosphate can remove ammonia and manganese simultaneously from
EMR. There is a large amount of ammonia nitrogen in the EMR. Phosphate and
magnesium salt is added to the ammonia nitrogen solution in a certain proportion to
62 G. Ma et al.
Fig. 6.2 Solidification mechanism of EMR by alkaline additives (Chen et al. 2016; Luo et al.
2017b; Mu et al. 2020a; He et al. 2022b)
form struvite (MgNH4 PO4 ·6H2 O) precipitation to remove ammonia nitrogen (Shu
et al. 2018). Shu reported the simultaneous removal of ammonia and manganese
in EMR using only phosphate sources. When N:P ratio is 1:1.15, pH is 9.5, and
manganese is removed in the form of Mn3 (PO4 )2 ·7H2 O, and then ammonia is
removed in the form of MgNH4 PO4 ·6H2 O. The removal rates of ammonia and
manganese are 95.0 and 99.9%, respectively (Shu et al. 2016b).
Sulfide
Sulfide precipitation is a common method in the industry. When Na2 S is used as
a precipitant, pH is 10.0, and the molar ratio of S:Mn is 0.9:1, the removal rate of
manganese could reach 99.99% (Shu et al. 2019b). In addition, Li et al. found that
the leaching concentration of Mn and other heavy metals in EMR is below GB 8978-
1996 after adding 15% calcium sulfide into EMR and curing for 3 h (Li et al. 2014;
GB 1996). The reaction equation of sulfide precipitation is as follows:

S2− + Mg2+ , Fe2+ , Ca2+ → (Mg, Fe, Ca)S ↓ (6.4)
Fig. 6.3 Solidification mechanism of EMR by phosphate (Shu et al. 2018, 2016b, c, 2020b)

(Mg, Fe, Ca)S + Mn2+ + H2 O → MnS · H2 O + Mg2+ , Fe2+ , Ca2+ (6.5)

(Mg, Fe, Ca)S + Mn2+ + H2 O → MnOH · SH + Mg2+ , Fe2+ , Ca2+ (6.6)
However, the sulfide precipitation method has certain corrosion and toxicity, and
the amount of sulfide is challenging to control, so its application has been limited
(Lewis 2010).
Carbonate
Carbonate precipitation is an effective and practical method for manganese removal.
Manganese is removed in the form of MnCO3 . Carbonate precipitation is superior to
hydroxide and sulfide precipitation in removing manganese and ammonia nitrogen
(Shu et al. 2019b). The reaction equation of carbonate precipitation is as follows:
3 + Mn
CO2− → MnCO3 ↓
2+
(6.7)
(Mg2+ , Fe2+ , Ca2+ ) + CO2−

3 → (Mg, Fe, Ca)CO3 ↓ (6.8)

(Mg, Fe, Ca)CO3 + Mn2+ → MnCO3 + Mg2+ , Fe2+ , Ca2+ (6.9)
Other chemical agents

There are also studies using ozone curing manganese slag, and strong oxidant ozone
can convert bivalent manganese into a high valence state and then into insoluble
manganese oxide. The results show that the solidification efficiency of Mn2+ is more
than 99.9%, and the concentration in the solution is lower than 0.10 mg/L, which is in
line with GB 8978-1996 (Yang et al. 2014). It is also a new direction in recent years
to reduce heavy metals by using CO2 produced by microorganisms and reaction
products of chemical agents. This method combines reactive MgO solidification
technology and microbial technology, bridging particles and filling pores to improve
EMR strength, to solidify EMR (Chen et al. 2021b). Reactive MgO can also be
added to Portland cement as a partial substitute, and r-MgO and cement hydrate are
independent and do not affect each other (Liska and Al-Tabbaa 2009).
Multi-chemical agents
Using only one curing agent is usually difficult to achieve a variety of pollutants
curing effects, and several chemical agents are generally used together. EMR back-
filling is an economical and environmentally-friendly backfilling method. Fractional
removal can achieve phased removal of pollutants by using multiple chemical agents.
Remove Mn2+ from EMR by Na2 CO3 and then NH+ 4 from EMR by phosphate (Shu
et al. 2019b). The research mechanism is shown in Fig. 6.4.
In addition, alkaline additives and carbon dioxide (CO2 ) are carbonated to immo-
bilize Mn. Mg and phosphate are precipitated by struvite to immobilize NH+ 4 -N.
64 G. Ma et al.
Fig. 6.4 Fractional removal (Shu et al. 2019b)
The efficiency of CO2 + lime (CaO) immobilizing Mn is higher than that of CO2 +
sodium hydroxide (NaOH) immobilizing Mn (Chen et al. 2016).
Due to the unstable physicochemical properties of the solidified body after curing
with traditional alkaline materials, the structure is easily destroyed by carboniza-
tion, while chemically bonded phosphate ceramic materials can effectively achieve
stable control of Mn and ammonia nitrogen. Traditional chemical bonded phos-
phate ceramic materials have high processing costs, so industrial waste slags such
as ferronickel slag or copper slag rich in metal oxides (MgO, FeOx) are used to
replace pure MgO (Mu et al. 2020b). The solidification of EMR is realized through
the synergistic effect of chemical bonding, physical encapsulation, and adsorption.
This method is different from the traditional method of waste treatment and waste
treatment.
Different phosphates have different effects on the S/S of EMR. Shu uses MgO
and various phosphate resources to solidify/stabilize Mn2+ and NH+ 4 -N in EMR (Shu
et al. 2018). Compared with HPM (MgO and Na2 HPO4 ·12H2 O) and HOM(MgO
and NaH2 PO4 ·2H2 O) processes, HPM process has lower cost and higher efficiency
in extracting Mn2+ and NH+ 4 -N from EMR at the same stabilizer dose. The S/S
efficiencies of Mn2+ and NH+ 4 -N are 91.58 and 99.98%, respectively.
Due to the high cost of phosphate and MgO stabilizing EMR, it is essential to
find an economical and effective method to solidify EMR. P-LGMgO (low-grade
MgO and NaH2 PO4 ·2H2 O), P-CaO (CaO and NaH2 PO4 ·2H2 O), P-MgCa (low-grade
MgO, CaO, and NaH2 PO4 ·2H2 O) are used for the S/S of EMR (Shu et al. 2016c).
Mn is stabilized by bermanite (Mn3 (PO4 )2 (OH)2 ·4H2 O) and pyrochroite (Mn(OH)2 ).
Ammonia nitrogen is transformed into struvite (NH4 MgPO4 ·6H2 O) or turned into
ammonia and escapes from EMR. A low-cost phosphate-based binder can simulta-
neously stabilize Mn2+ and NH+ 4 -N in EMR (Shu et al. 2020b). EMR particle size is
small, with 83.3% of the particles below 30 µm, and EMR contains a large amount of
NH+ 4 in addition to heavy metals (Tian et al. 2019). Based on these characteristics, a
small amount of MgO and CaHPO4 ·2H2 O are added into the mixed solution of EMR,
and the harmful components are transformed into manganese (MnOOH), gypsum
(CaSO4 ), MnNH4 PO4 H2 O and struvite (MgNH4 PO4 ·6H2 O) (Lan et al. 2021b).
6.3.2 Waste Control by Waste
Treating waste with waste and treating slag with slag is the new direction of curing
EMR in recent years. According to the chemical composition and acidity of EMR,
other solid wastes are used instead of commercial chemicals to neutralize the acidity
of EMR and solidify the harmful substances in EMR. The method of waste control
by waste greatly reduces the restoration cost. Treating industrial solid wastes with
one or more other industrial solid wastes to achieve the S/S of harmful substances.
At present, red mud, blast furnace slag, phosphogypsum, and other harmful elements
are used to cure EMR to achieve the purpose of safe stacking.
Carbide slag
Carbide slag is an alkaline solid waste produced by acetylene gas prepared by the
calcium carbide hydrolysis method, with calcium hydroxide as the main component
(Zhang et al. 2020a). Carbide slag is an ideal S/S agent compared with traditional
CaO or Ca(OH)2 . EMR and Carbide slag synergistic S/S are discussed in science.
Carbide slag could stabilize or solidify EMR and reduce its corrosivity (He et al.
2022a). EMR and Carbide slag synergistic S/S mechanism is shown in Fig. 6.5.
NH+ 4 in EMR escaped in the form of NH3 and Mn
2+
is stabilized as MnFe2 O4 ,
Mn2 SiO4 , CaMnSi2 O6 . EMR synergistic S/S with carbide slag is low in cost and
environmentally friendly.
Fig. 6.5 Solidification mechanism of EMR by carbide slag (He et al. 2022a; Zhang et al. 2020a)
66 G. Ma et al.
Phosphogypsum
Phosphogypsum is an industrial waste residue in the wet process of phosphoric acid
from phosphate rock. Synergistic S/S of EMR and Phosphogypsum is studied (Shu
et al. 2019a). Huang et al. investigated the feasibility of synergistic S/S of heavy metal
ions in EMR and PG and determined the most appropriate S/S conditions. The results
showed that the output of some heavy metal ions after EMR and phosphogypsum
treatment was far lower than the allowable level of GB8978-1996 (Huang et al. 2021).
Phosphogypsum-cured EMR has disadvantages, the residual manganese content in
cured EMR leaching solution is too high, which cannot meet the discharge standard.
Combining phosphate and alkaline agents is studied for the best curing effect.
Chen et al. used phosphogypsum leachate as a low-cost phosphate source and MgO/
CaO process to stabilize NH+ 4 -N and Mn
2+
in EMR (Chen et al. 2020c). Under the
optimal curing conditions, the stability efficiencies of NH+ 2+
4 -N and Mn are 93.65 and
+
99.99%, respectively. NH4 -N is stable to form NH4 MgPO4 ·6H2 O, and Mn2+ is stable
to form Mn5 (PO4 )2 (OH)4 , Mn3 (PO4 )2 ·3H2 O, and Mn(OH)2 . That study contributes
to the harmless treatment of EMR and removing pollutants from phosphogypsum
leachate.
Red mud
Red mud can stabilize and solidify soluble manganese ions. The soluble alkali in
red mud exists in the form of OH− in an aqueous solution, which can precipitate
with manganese ions, and the bound soda in red mud can react with hydrogen ions
to improve the pH of EMR leachate. Liu et al. studied the solidification of soluble
manganese ions in EMR with red mud. Due to the loss of some alkaline substances
in old red mud during storage, the solidification effect of fresh red mud is better than
that of old red mud but worse than that of quick lime. The use of red mud instead
of part of lime can also achieve a good curing effect and reduce the curing cost.
It is expected to consume a large amount of red mud and reduce its impact on the
ecological environment (Liu et al. 2021).
In short, red mud has the potential to be used as S/S agent for EMR. However,
considering that EMR and red mud still have other hazardous substances, it is neces-
sary to comprehensively evaluate whether it will cause secondary risks in large-scale
utilization.
Synergistic treatment of multi-solid waste
EMR and solid waste co-solidification can often be used as road fill material. For
instance, EMR, red mud, and carbide slag are used as the main raw materials to
prepare road base materials (Zhang et al. 2019b). Wang et al. reported combining
ground granulated blast furnace slag with magnesium oxide, cement, and pulverized
fuel ash to stabilize heavy metals (Wang et al. 2015). Xue studied ground granulated
blast furnace slag, EMR, clinker, and lime (60:18:16:6) to synthesize a new cement-
based composite material (Xue et al. 2020). The mobility of heavy metals in all
cured samples is less than 10%, and the cured product has mechanical properties and
environmental effects.
Zhang et al. treated EMR with red mud, mixture (alkaline solid waste and neutral
solid waste), and cement, and prepared samples with certain strength. The hydration
products are mainly aluminum-substituted calcium-silicate-hydrates gel, ettringite,
and CaAl2 Si2 O8 ·4H2 O, which promote strength improvement. The leaching test
results show that heavy metals can be effectively solidified, which meets the Chinese
groundwater standard GB 14848-2017 (Zhang et al. 2019a). In a subsequent experi-
ment, red mud, carbide slag, and blast furnace slag are used as S/S agents. The content
of active Al(IV) and Al(VI) increased after S/S treatment. The charge balance effect
produces Mn2 SiO4 and Ca4 Mn4 Si8 O24 . Simultaneously, Mn2+ is oxidized to more
stable MnO2 to realize the S/S of Mn2+ (Zhang et al. 2020b).
Fly ash is one of the largest industrial solid wastes in the world. Its main compo-
nents are SiO2 , Al2 O3 , Fe2 O3, and CaO (Phoo-ngernkham et al. 2013; Zhu and Yan
2017). EMR, fly ash, and clinker are blended to make fly ash-based cementitious
material. Pollutants (Mn, Cd, Cr, As, and Pb) in EMR are adsorbed by hydration
products, and NH3 -N in EMR can be effectively removed (Wang et al. 2019, 2021).
In addition, barium slag is a solid waste produced in the process of industrial produc-
tion. One study used the synergistic reaction of EMR, barium slag, limestone, and
bauxite to prepare beryllium-calcium sulphoaluminate cement (He et al. 2022c).
6.3.3 Geopolymer System
EMR can be used as a source of aluminosilicate to participate in geopolymer reactions

(Yang et al. 2022). Compared with traditional silicate cement, geopolymer has many
advantages, such as high strength, low energy consumption, good durability, and no
pollution (Guo et al. 2014; Ji and Pei 2019; Duxson et al. 2006). Zhao et al. prepared
geopolymers from EMR, fly ash, magnesium slag (containing boric acid), sodium
silicate, sand, and calcined kaolin as raw materials (Zhao and Han 2013). Zhan et al.
realized the co-disposal of municipal solid waste incineration fly ash and EMR by
using a geopolymer system (Zhan et al. 2018). Using EMR combined with other
industrial wastes to produce geopolymer can effectively solidify heavy metal ions in
EMR, which is an effective way to solve environmental pollution problems. Due to
the special structure of geopolymer, it has been widely studied and applied in the S/
S of toxic heavy metal ions.
The curing mechanism of heavy metal ions by geopolymer mainly includes phys-
ical adsorption and chemical binding (Baldermann et al. 2019). Zeolite-like phase,
the final product of geopolymer, has a three-dimensional network and a cage struc-
ture, which has good physical and chemical sealing effects on toxic heavy metal ions.
Some toxic heavy metal ions may be involved in the hydration process of geopolymer.
The special hydration products and aluminosilicate network gel structure affect the
effective adsorption capacity of geopolymer for toxic heavy metal ions (Zheng et al.
2010).
68 G. Ma et al.
6.3.4 Other Materials
Humic acid has good adsorption, complexation, chelating, and ion exchange capacity.
The surface of chitosan-modified humic acid composites became rough and the
pores increased, which increased the adsorption capacity and improved the curing
efficiency of Mn. Lignite and sodium humate is less efficient in curing manganese
from manganese slag, but the modification could enhance the curing of manganese
by humic acid materials (Feng 2020).
6.4 Comparison and Prospects
S/S of EMR can significantly reduce environmental hazards of harmful compo-

nents, facilitate integrated management, and be used as a pretreatment technology for
resource utilization. The advantages and disadvantages of the solidification method
of EMR are shown in Table 6.2.
The synergistic treatment of EMR and other solid wastes is a feasible method to
reduce the treatment cost and make full use of other solid wastes. But many syner-
gistic treatments cannot be applied on a large scale and remain in the laboratory stage.
The long-term stability of the solidification product also remains to be evaluated. S/
S technology is helpful for direct storage of EMR, but ecological restoration of the
surface of the slag yard also needs to be considered. In addition, some solidification
methods produce ammonia contamination during solidification. Therefore, the treat-
ment of multiple pollutants and surface ecological restoration should be considered
in the follow-up study.
Table 6.2 Comparison of solidification methods of EMR

S/S of EMR Advantages Disadvantages
Chemical agents An excellent short-term The release of ammonia gas,
solidification effect Secondary pollution, cost high,
The amount of slag increased,
Still needed to be hazard-free landfill
Waste control by Low cost, synergistic treatment A lack of long-term stability evaluation
waste of multiple pollutants, large of solidified products, there are still
quantities of consumption of pollution risks, risk of introducing new
EMR pollutants
Geopolymer Synergistic treatment of multiple Secondary pollution, lack of mature
system pollutants, resource utilization of processes, lack of market demand for
EMR products
6.5 Conclusions
Large-scale storage of EMR has become a complicated problem that restricts the
development of the electrolytic manganese industry. Improper disposal of EMR will
cause severe environmental pollution and affect human health. The harmless treat-
ment of EMR can significantly reduce the environmental hazards of its harmful
components, which is conducive to the comprehensive management and resource
utilization of EMR. S/S technology of EMR mainly includes chemical curing, indus-
trial solid waste curing, and the generation of geopolymer systems. Chemical reagents
for S/S of EMR mainly include alkaline additives, phosphate, sulfite, carbonate, etc.
The solid wastes for S/S of EMR mainly include calcium carbide slag, phosphate, red
mud, fly ash, and several solid wastes co-curing. The synergistic treatment between
industrial waste costs is low, can consume several solid wastes simultaneously, and
has good prospects for environmentally sound treatment, but to waste solid waste
also has the risk of introducing new pollutants. The treatment and disposal of solid
waste after synergistic solidification is also the direction of future research.
Acknowledgements This research was funded by the National Key Research and Development
Program of China [Grant Numbers 2018YFC18027 and 2018YFC18018], the Guangxi Scientific
Research and Technology Development Plan [GuikeAB17129025], the National Natural Science
Foundation of China [Grant Numbers 51974279].
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Chapter 7
Optimization of Memory March X Test
Algorithm Based on Nuclear Safety Level
DCS System Platform
Yongfei Bai, Zhiqiang Wu, Jie Liu, Wei Jiang, Ke Zhong, Wenxing Han,
and Zhi Chen
Abstract At present, the testing algorithm of nuclear power safety level DCS system
for memory is GALPAT algorithm. This algorithm has a high time complexity and
low fault coverage for memory. During the testing process, additional storage space
is required, and the security of additional memory cannot be guaranteed. Based
on the memory fault testing theory, this paper analyzes and studies the March X
algorithm. It is found that the algorithm can not meet the coverage requirements for
memory faults when applied to the nuclear power safety level DCS system. A March
X+ algorithm is proposed. The algorithm can meet the index requirements of the
nuclear power safety level DCS system for memory testing algorithms, and the fault
detection rate reaches more than 95%, And it innovatively proposes to save the data to
the register during the detection process, which does not require additional memory
and improves the security. To verify the feasibility of the algorithm designed in this
paper, the algorithm test time and functionality were verified in the main control
PBIST module under a nuclear power safety level DCS system platform. The results
show that the proposed test algorithm has certain advantages in test time and memory
fault coverage.
Keywords March X · Memory · PBIST · Nuclear power · Safety level DCS
Y. Bai · J. Liu
School of Computer Science, University of South China, Hengyang 421200, China
e-mail: jliuhn@foxmail.com
Z. Wu (B) · W. Jiang · K. Zhong · W. Han · Z. Chen
Nuclear Power Institute of China, Chengdu 610000, China
e-mail: 13518156633@139.com
Y. Bai · J. Liu
Intelligent Equipment Software Evaluation Engineering Technology Research Center of Hunan,
Hengyang, China
CNNC Key Laboratory on High Trusted Computing, Hengyang, Hunan, China

https://doi.org/10.1007/978-3-031-30233-6_7
74 Y. Bai et al.
7.1 Introduction
With the rapid development of the nuclear power industry, more and more people in
the industry pay attention to the safety of the memory in the nuclear power safety
level DCS system. In the nuclear safety level DCS system, PBIST (Programmable
Built In Self Test) (Roberto 2009; An et al. 2019) module is used for memory fault
test. PBIST can test the memory when the nuclear safety level DCS system is started
and during operation. This paper tests the memory during the operation of the nuclear
safety level DCS system. The PBIST module is a destructive test. After the test, the
contents of the memory will be overwritten. It is necessary to save the contents before
the test. After the test, the saved data will be written to the memory. The nuclear safety
level DCS system has three requirements for memory testing:
(1) The test algorithm must be controlled within a time slice (500 ms);
(2) When caching the data in the memory, ensure the safety of the additional
memory;
(3) 90% coverage of common failures in nuclear safety level DCS system;
The main module in PBIST is memory test algorithm. Different test algorithms
have different fault coverage and test time for memory (Lv 2020). Memory test
algorithm is to test the memory function, and to judge whether the memory fails by
comparing the input and output of the memory. A good test algorithm is to cover
as many fault types as possible by using as little test time and test data as possible.
Common test algorithms include March algorithm (Chen and Ma 2020), ping pong
algorithm, chessboard algorithm and MACSN algorithm. The common algorithm
in the industry is March algorithm. Its algorithm idea is to initialize each storage
element in ascending or descending order of address, read and compare, then write
the opposite logical value to the unit, and then read and compare. In the third process,
it needs to cooperate with the increasing or decreasing address.
The traditional March X (Liu and Özsu 2018) algorithm test is aimed at the bit of
memory. There are only two kinds of test data, ‘0’ and ‘1’, which are proved in the
literature (Ge et al. 2022; Wang 2019; Rajesh Kumar and Babulu 2018). However,
the test of memory in the nuclear power safety level DCS system is aimed at byte
test. Therefore, the traditional March X algorithm cannot meet the current demand
for byte test. It is necessary to optimize the March X algorithm bit by bit test to byte
test to expand the background of test data, the data ‘0’ and ‘1’ in bytes are combined
to get more test data. Among the common faults of nuclear power safety level DCS
system, the March X algorithm cannot cover the interference coupling fault and write
break coupling fault in the open circuit fault and coupling fault. This is explained in
literature (Acharya et al. 2022). On the basis of March X algorithm, wait for N clock
cycles to detect data storage faults, add two consecutive reads and two consecutive
writes to detect open circuit faults and interference coupling faults, and add read
operations to detect write damage coupling faults at the beginning and end of each
test step, reaching 90% of nuclear safety level DCS system faults. When testing the
memory in operation, the data in the memory is cached in the additional memory
7 Optimization of Memory March X Test Algorithm Based on Nuclear … 75
in advance. This method cannot guarantee the security of the additional memory,
which is described in literature (Mengfei and Zengqi 2005). This paper innovatively
proposes to cache data in registers, which can not only ensure that the data is cached,
but also make the cache address more secure.
7.2 Analysis of PBIST Module and Memory Structure
Analyze the organization structure and working principle of PBIST module in nuclear
safety level DCS system, analyze the fault type of test target memory and the test
method for each fault, and analyze the indicators of nuclear safety level DCS system
for memory test algorithm.
7.2.1 PBIST Module System Analysis
PBIST structure in nuclear safety level DCS system consists of three parts, including
built-in self-test ROM, built-in self-test controller, and data path. Its structure diagram
is shown in Fig. 7.1.
The PBIST ROM module stores the memory test algorithm and memory config-
uration information. Since the nuclear safety level DCS system mainly tests SRAM
memory, memory testing algorithms only include SRAM testing algorithms. Memory
configuration information includes memory RAM group and selection of returned
data. PBIST controller will generate comparator or compressor according to memory
type. DCS system only tests RAM, so only comparator is generated. The data path
module connects the target memory SRAM.
The test algorithm for memory in the nuclear power safety level DCS system is
added to the task linked list as a task for CPU scheduling. After the CPU sends the
instruction, the CPU control interface in Fig. 7.1 transmits the signal to the PBIST
Fig. 7.1 PBIST structure

76 Y. Bai et al.
Fig. 7.2 Memory structure
controller, which selects the test algorithm and RAM group in ROM to test the
selected memory.
7.2.2 Memory Analysis of Nuclear Safety DCS System
The memory in the nuclear safety level DCS system is composed of storage unit,
address decoding circuit and read–write logic circuit (Jidin et al. 2022). The memory
adopts row and column array mode, and its structure is shown in Fig. 7.2. The address
resolver parses the address of the address bus, and the row column decoder selects the
data in the row column intersection. The data stored in the memory are the input and
output signals and important configuration information in the nuclear power safety
level system.
7.2.3 Memory Failure Analysis
84% of memory faults are fixed faults, conversion faults, open circuit faults, data
retention faults and coupling faults. The coupling faults are divided into 16% in
address decoder faults, sensitive faults, etc. (Wang 2019). The following describes
the fault types and how to solve each fault.
Fixed fault is that the value in the storage unit is always 1 or 0, which cannot be
modified by the outside world. The causes of this type of fault include open circuit
of data line, wrong connection of read/write line, wrong connection of chip selection
line, and error of the storage unit itself. To test the fault, write 0 or 1 to the storage
unit, and then read to check whether it is correct.
Conversion fault refers to that the value in the storage unit cannot be converted
from 0 to 1 or from 1 to 0. To test this fault, it needs to initialize it to 0 (1), write 1
(0) to the memory, and read 1 (0).
The open circuit fault (Yang et al. 2021) is caused by the failure of MOS tube,
which makes the memory cell unable to read and write. The detection method is to
read the data of the memory cell for two consecutive times.
Data retention failure means that the value written to the storage unit cannot be
permanently saved. The test method is to read the value after a certain time interval
after the value is written to the memory, and compare whether the written value and
the read value are the same.
Coupling fault (Yang et al. 2021) refers to that the writing of memory unit will
affect the value of other units and change the value of other units. This type of
fault includes state coupling, read coupling and write coupling, which are the most
common, complex and most influential. This type of fault is caused by short circuit
or crosstalk between data lines.
The address decoding failure is the failure of the address parser, which has four
manifestations: no address can access the storage unit; An address value has no
corresponding storage unit; A storage unit is accessed by multiple address values;
One address value can access multiple memory cells.
7.2.4 Test Algorithm Indicators
In the nuclear power safety level DCS system, the CPU scheduling adopts the time
slice rotation method, and its time slice is 500 ms, so the memory test algorithm time
must be controlled within 500 ms. GALPAT algorithm is used to test the memory.
The time complexity of the test algorithm is O (N2 ). This algorithm cannot meet the
requirements of existing modules for the test algorithm. In addition to certain time
requirements, the fault coverage of memory testing algorithm is required to reach
more than 90% coverage of common faults of memory in nuclear safety level DCS
system.
78 Y. Bai et al.
Table 7.1 March X algorithm steps

M0 M1 M2 M3
March X ↑(w0) ↑(r0, w1) ↓(r1, w0) ↓(r0)
7.3 March X Algorithm Analysis and Optimization
7.3.1 Optimization of March X Algorithm
Although many scholars have proposed a variety of test algorithms, no matter which
test algorithm is used, it can not cover all faults (Qin and Wang 2019). The March X
algorithm is the most widely used standard memory test algorithm in the industry,
which is composed of a series of March elements. The test algorithm is shown in
Table 7.1.
In Table 7.1, ‘↑’ means to access the memory in ascending order according to the
memory address, ‘↓’ means to access the memory in descending order according to
the memory address, read (r) and write (w) means to read and write the memory unit,
where ‘r 0’ and ‘r1’ mean to read the value of the address selected by the memory
and judge whether the read value is ‘0’ or ‘1’, ‘w0’ and ‘w1’ mean to write ‘0’ and
‘1’ respectively to the address selected by the memory, M i (i = 0, 1, 2, 3) indicates
the ‘i’ test stage for the storage unit of the memory.
March X algorithm cannot detect open circuit fault, write destroy coupling fault
and interference coupling fault (Yang et al. 2021). The open circuit fault detection
method is to read the storage unit twice, add r1 operation to each M1, and add r0
operation to M2. Write interference coupling fault requires adding w0 and r0 in M2,
and adding a phase r0, w1, w1 and r1 between M2 and M3. Interference coupling
fault requires continuous read and write operations in ascending and descending
order. Add r0 and w0 stages between M0 and M1, and add w1 operation in M1 to
obtain a new test algorithm March X+:
↑ w0 ↑ (r0, w0) ↑ (r0, w1, w1, r1) ↓ (r1, w0, w0, r0) ↓ (r0, w1, w1, r1) ↓ r0
7.3.2 Optimization of Test Data
The operation unit of the standard March X algorithm is a bit, and each bit has only
two states: “0” and “1”. If there are only two states of “00” and “FF” for bytes, each
address lacks “10” and “01” states, so it is necessary to optimize on the basis of the
March X algorithm, and give the formula for calculating the number of data:
x = log2B + 1 (7.1)
Table 7.2 Test data of 8-bit

Express Forward data Express Reverse data
data
WD0 00000000 W D0 11111111
WD1 01010101 W D1 10101010
WD2 00110011 W D2 11001100
WD3 00001111 W D3 11110000
where, x is the number of test data, and B is the memory length. In this paper, it is
a byte, equal to 8. X is calculated to be 4, and the expression formula of the data
background is as follows:
⎧
⎪ {0, 0, 0, . . . , 0} if i = 0
⎪
⎪
⎪
⎪ {0, 1, 0, . . . , 0} if i = 1
⎪
⎪
⎨ C S P (D1 ) if i = 2 P 1 ≤ P ≤ log2B
Di =
r (7.2)
⎪
⎪
⎪
⎪ if i = 2 P , i = q( j ), r < b
⎪
⎪ Dq(1) ⊕ Dq(2) ⊕ · · · ⊕ Dq(r )
⎪
⎩ j=1
q( j ) = 2w , 0 ≤ w ≤ log2B
The “0” in the March algorithm can be extended to “00000000”, “01010101”,

“00110011”, “0000111”, positive data, “11111111”, “10101010”, “11001100”,
“11110000”, reverse data, and byte test data from bit data, as shown in Table 7.2.
7.3.3 March X+ Algorithm Steps
Suppose the memory system stores in bytes, the memory size is N, the memory
address is represented by A0,… AN-1, corresponding to the cell content [A i] (i =
0, 1, 2, n-1), and the available registers for testing are AX;
Algorithm parameters: memory address and test block size. The specific test steps
are as follows:
Step 1: A0 → AX;
Step 2: A0 ← 0;
Step 3: judge whether A0 is equal to 0, and continue correctly, otherwise memory
error report;
Step 4: Repeat steps 2–3 according to the steps of the March X+ algorithm;
Step 5: AX → A0;
Step 6: Repeat steps 1–6 according to the tested memory size 0–N;
80 Y. Bai et al.
7.4 Experiment
In order to verify the feasibility of the algorithm designed in this paper, the algorithm
test time and functional verification are carried out in this chapter under a nuclear
power safety level DCS system platform.
7.4.1 Experimental Environment
The experimental environment is a computer with ARM as the core, the processor
is 1.5 GHz, the memory is 2G, the hard disk is 500G, the operating system is
WindowXPSP3, the development tool is Code Composer Studio IDE V6.0.100040,
and the compiler version is TIARM Compiler V6. ARM software runs on Hercules
RM48L952ZWT.
7.4.2 Experimental Analysis
When testing the memory unit, first save a byte of test unit data to the register, then
test the test algorithm for the test unit, and finally write the fingers saved in the
register to the original memory location.
This paper compares the memory test time effectiveness of SRAM memory using
the March C+ algorithm, March X algorithm, March 13n algorithm and March X+
algorithm respectively. The memory sizes are tested using 64, 128, 256 K and 1 M
respectively. The test results are shown in Fig. 7.3.
Perform functional verification on the algorithms of March X+, March X, and
March C+ to verify the effectiveness of the three memory test algorithms. Perform
fault injection for SRAM through Verilog language, and then detect SRAM through
the three algorithms. When injecting faults into the memory, four fixed faults, four
conversion faults, four address decoding faults, four open circuit faults, eight inter-
ference coupling faults, eight pseudo read destruction faults, four write destruction
coupling faults and two data retention faults are injected. The test results are shown
in Table 7.3.
7.4.3 Result Analysis
This experiment aims at the SRAM used in the nuclear power safety level DCS
system as the test target. When testing the memory, the original data in the memory
is saved to the register, without using additional memory space, which ensures the
safety of the data in the test unit, and also avoids the additional memory overhead.
Fig. 7.3 Time comparison of different memory test algorithms
Table 7.3 Fault coverage test

Fault type Number of fault Fault detection
results
injections algorithm
March March
X X+
Fixed fault 4 4 3
Conversion failure 4 1 4
Address decoding 4 2 3
failure
Open circuit fault 4 4 4
Interference coupling 8 0 6
fault
Pseudo read corruption 8 0 7
fault
Data hold failure 2 1 2
By comparing the test performance of March X algorithm and March X+ algorithm,

March X+ can cover 94% of the common faults in the security level DCS system,
and can cover all common faults. For the test time of memory, within 500 ms of
DCS security level DCS system requirements, the use of March X+ algorithm can
meet the requirements for events, and 256 K memory is detected in each event slice,
which is an algorithm that can detect the maximum memory space in a time slice.
82 Y. Bai et al.
7.5 Conclusion
Based on the analysis of the March X algorithm and the use of SRAM in the security
level DCS system, this paper proposes a storage area testing algorithm for March X+.
This method first saves the data of the storage unit to the register when detecting the
memory, which speeds up the data storage time and also ensures that no additional
memory is needed to reduce the memory overhead. In the SRAM test experiment,
compared with the March X algorithm, the coupling interference fault and pseudo
read destruction fault are added, and the fault coverage is increased by some percent.
The subsequent work improves the complexity of the memory testing algorithm to
use less time to detect a higher test rate.
Subject Group: Open Fund of State Key Laboratory (KFKT-24-2021006).
References
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J Beijing Univ Aeronaut Astronaut 47(06):1233–1240
Chapter 8
Supercritical CO2 Enhanced Shale Gas
Production Technology: Progress
and Prospect
Yicheng Zhang and Mingyao Song
Abstract In order to achieve the strategic goal of carbon peaking and carbon neutral-
ization in China, the technology of enhanced exploitation of shale gas by supercritical
CO2 (scCO2 ) provides a new way for the green and efficient development of uncon-
ventional oil and gas resources in China. Because of its diffusivity, low viscosity
and solubility, supercritical CO2 can rapidly penetrate into shale micropores. Super-
critical CO2 not only competes with hydrocarbon components for adsorption and
displacement, but also can be used for fracturing construction, thereby improving the
recovery rate of shale resources and demonstrating enormous application potential.
This paper systematically summarizes the mechanism, development mode, advan-
tages and disadvantages of scCO2 exploitation of shale gas, aiming to provide some
reference for the current development and utilization of shale gas resources.
Keywords Supercritical CO2 · Shale · Recovery ratio · Development mode
8.1 Introduction
In the world, the resource reserves of shale reservoirs are more abundant than those
of deep salt water reservoirs, gas reservoirs, depleted oil and gas reservoirs, and they
are of great exploitation value. Shale gas reservoirs are mainly distributed in the
southwest of China, with rich reserves. However, due to poor physical conditions
of shale gas, porosity and permeability are very low (Tan et al. 2019; Chen et al.
2019a). Because its storage mode is usually adsorption and dissociation, and the
adsorption capacity of shale reservoir for CO2 is much higher than that for methane.
Therefore, CO2 can be used to desorb the shale gas in the adsorption state, and
then the piston method can be used to displace the free shale gas, so as to improve
the recovery rate. In addition, due to the low porosity and permeability of shale
Y. Zhang (B) · M. Song

The Erlian Filiale of PetroChina Huabei Oilfield Company, Xilinhot 026000, China
e-mail: ebook6@163.com

https://doi.org/10.1007/978-3-031-30233-6_8
84 Y. Zhang and M. Song
reservoir, fracturing treatment is usually required in the actual development process

(Mojid et al. 2021; Lyu et al. 2021; Zhang and Ranjith 2018). Now, the vast majority
of shale gas reservoirs need to be fractured before they can be exploited. Conventional
hydraulic fracturing is the simplest and more mature, which is usually used as an
early stimulation measure. However, due to its large water demand, it will cause waste
of water resources. The subsequent development of LPG fracturing technology has
effectively solved the problem of water use, and the fracturing method has good
compatibility with the reservoir, but the cost is high and the safety is low. The use of
CO2 can not only avoid the waste of water resources, but also store a large amount of
CO2 in the stratum, reducing the carbon emission intensity from the source, so as to
achieve the purpose of energy conservation, emission reduction and environmental
protection (Li et al. 2018). This paper systematically summarizes the mechanism,
development mode, advantages and disadvantages of scCO2 exploitation of shale
gas, aiming to provide some reference for the current development and utilization of
shale gas resources.
8.2 Mechanism of Exploitation of Shale Gas by scCO2
8.2.1 Competitive Adsorption Mechanism of CO2 /CH4

in Shale
In the process of using scCO2 to develop shale reservoir resources, the injected CO2
will compete with CH4 stored in shale for adsorption. The adsorption of CO2 and CH4
is mainly affected by the physical properties, microscopic characteristics and action
environment of the reservoir, and the competing adsorption will also be affected by
temperature and pressure. In the supercritical state, the adsorption capacity of CO2
is more than 4 times that of CH4 (Liu et al. 2020; Duan et al. 2016).
8.2.2 Mechanism of Displacement and Displacement

of Shale Gas by scCO2
In gas drive, there are two kinds of reactions when injected air comes into contact
wi As the transfer rate and flow capacity of CO2 are far less than CH4 , the interfacial
tension is close to zero in the supercritical state, and the diffusivity is very strong,
which makes CO2 show greater seepage resistance and displacement efficiency in
the macro large pores in the shale reservoir. In addition, high-density scCO2 has
a certain resistance to the dissolution of CH4 , which has obvious piston displace-
ment characteristics for CH4 dominated shale gas under the high pressure reservoir
environment (Huang et al. 2018a).
8 Supercritical CO2 Enhanced Shale Gas Production Technology … 85
8.2.3 scCO2 Storage Mechanism
CO2 can be captured in shale reservoir by physical absorption and chemical absorp-
tion. The physical absorption method uses organic solvent with high solubility, good
selectivity and stable performance to capture CO2 by dissolving CO2 under pressure.
The principle of chemical absorption is to use alkaline solution to dissolve and sepa-
rate CO2 , and then separate it by desorption and decomposition. The captured CO2
is finally stored in the deep shale gas formation in the form of adsorption, supercrit-
ical, dissolved and mineral. The burial mechanism of CO2 shale reservoir mainly
includes:
(1) CO2 in the formation is competitively adsorbed with CH4 , and is captured on
the surface of organic matter in an adsorbed state.
(2) After replacement and displacement of CH4 , the residual CO2 is stored in the
deep reservoir in a supercritical state.
(3) Under a certain temperature, pressure and salinity, part of carbon dioxide will
be captured in dissolved form and dissolved in formation water.
(4) The supercritical carbon dioxide in the sealed structural trap reacts with the
formation water to generate CO2− 3 , which forms stable carbonate minerals
through interaction with Ca2+ , Fe3+ and Mg2+ in the shale reservoir, and is
buried as a mineral.
8.3 Key Technology
8.3.1 scCO2 Jet Technology
scCO2 jet rock breaking is to transport liquid CO2 to the depth of the formation to
reach a supercritical state, and use CO2 to break rock with low threshold pressure.
Compared with N2 jet, CO2 jet has stronger impact shear force and denudation
force, lower nozzle pressure energy loss, greater thermal fracturing effect, wider
rock breaking range and higher efficiency.
Huang and Hu (2018) studied the destruction of high-pressure scCO2 jet on
shale, and found that the maximum fracture depth of shale core plug depends on the
combined effect of jet pressure, jet temperature and target distance. He et al. (2016)
found that the rock material broken by supercritical CO2 jet is mainly brittle tensile
failure mechanism, and there is shear failure at a specific location of perforation.
Du et al. (2012) studied the influence of nozzle diameter, distance, jet pressure, rock
compressive strength and jet temperature change on the rock breaking performance
of scCO2 jet. It is found that the rock breaking performance of scCO2 jet is obviously
better than that of high-pressure water jet and subcritical liquid CO2 jet. The rock
breaking performance of scCO2 jet increases with the increase of nozzle diameter
or distance, monotonously improves with the increase of jet pressure, and monoton-
ically deteriorates with the increase of rock compressive strength. Cai et al. (2020)
studied the influence of shale bedding on the fracture morphology and perforation
damage of scCO2 jet fracturing. It was found that when the perforation direction was
perpendicular to the bedding plane, a small strain could be obtained. When the jet
pressure increased from 25 to 50 MPa, the mass loss and CO2 absorption of shale
samples increased by 350 and 300%, respectively. Yang et al. (2020) found that the
rotary round jet has the advantages of both rotary jet and round jet, and the use of
the comprehensive technology of rotary round scCO2 (SR-sc-CO2 ) jet is expected
to greatly improve the rock crushing efficiency. Through simulation, it is found that
SR-sc-CO2 jet can maintain relatively large axial and tangential velocities compared
with the single method of rotary jet or circular jet. Huang et al. (2017) studied the
influence of nozzle structure on rock erosion characteristics. It is found that Laval-1
nozzle can enhance the erosion capacity of rock. Compared with convergent nozzle,
Laval-1 nozzle can maximize the erosion amount by 10, 21.2 and 30.3% at the inlet
pressure of 30, 40 and 50 MPa; Laval-2 nozzle increased the erosion by 32.5, 49.2
and 60% to the maximum. In addition, the jet of Laval-2 nozzle with smooth internal
contour has greater erosion capacity than that of Laval-1 nozzle. Huang et al. (2018b)
studied the impact characteristics of self-excited oscillating pulse scCO2 jet (SOPSJ)
generated by jet driven Helmholtz oscillating nozzle. Through multiple impact pres-
sure tests, it was found that SOPSJ had a larger peak impact pressure than continuous
jet. It is precisely because of the strong impact and pressurization of pulse scCO2 jet
fracturing that the initiation position and fracture network become more complex.
Cai et al. (2019) proposed and comprehensively studied a new method of multiple
pulse scCO2 jet fracturing. In this method, the CO2 absorption and fracture volume
are increased by 77.72 and 2283% respectively compared with single pulse scCO2
jet fracturing. Compared with water jet, scCO2 produces more complex fracture
morphology, larger fracture volume and CO2 absorption.
8.3.2 scCO2 Fracturing Technology
scCO2 has strong permeability, low friction and remarkable pressurization effect.
When shale gas reservoir is artificially modified with liquid CO2 , due to its large
diffusion coefficient, scCO2 can quickly enter into the reservoir microfractures. At
the same time, CO2 is easy to interact with the salt water in the formation, making the
formation water slightly acidic, which can inhibit the expansion of clay minerals and
ease the blockage of pores, and can effectively prevent the occurrence of water lock.
Under high pressure, scCO2 will reduce the formation fracture pressure, promote the
reservoir fractures to extend around, and greatly improve the reservoir permeability.
He et al. (2019) used fresh water and scCO2 to conduct hydraulic fracturing exper-
iments on shale cores under uniaxial stress. They found that compared with hydraulic
fracturing, scCO2 fracturing caused small slip on the surface of microcracks due to
the effect of deviating stress, which increased the propagation width of microcracks,
resulting in more complex fractures and microcracks. He et al. (2020) conducted an
experimental study on the mechanical response and fracture propagation of shale
fractures under different stress states and injection rates using water and scCO2 . It
is found that the fracture pressure of scCO2 fracturing is smaller and more time-
consuming than that of hydraulic fracturing. Its fracture pressure is affected not only
by its own anisotropy, but also by external factors such as injection rate and deviatoric
stress. He et al. (2018) found that the fracturing pressure of shale core is affected not
only by the bedding direction but also by the fracturing fluid in the study of scCO2
crack propagation mode, because the anisotropic structure and fracturing fluid will
affect the path of hydraulic fracturing. In order to study shale scCO2 fracturing
considering anisotropic effect, Zhang et al. (2019a) conducted hydraulic fracturing
experiments under different injection rates and stress states. It is found that the frac-
ture pressure generally decreases with the increase of bedding angle. Higher injection
rate can lead to higher fracture pressure, while higher deviatoric stress can lead to
lower fracture pressure. Chen et al. (2019b) studied the effect of perforation direction
on fracture initiation and propagation caused by scCO2 fracturing, and compared it
with hydraulic fracturing. It is found that the acoustic emission energy release rate of
scCO2 fracturing is higher than that of hydraulic fracturing, and the induced fractures
are more complex. Hydraulic fracturing mainly leads to double wing fractures, while
scCO2 fracturing leads to double wing and triple wing fractures. Zou et al. (2018)
found that calcite, dolomite and other minerals will be dissolved to varying degrees
after being soaked in CO2 saturated brine during supercritical CO2 fracturing of
high-temperature and high-pressure shale reservoirs. Mineral composition, reaction
time, temperature, pressure, porosity and permeability have obvious effects on rock
reactivity. Strong reaction may occur in carbonate rich shale with relatively high
porosity and permeability, thus affecting the growth process of supercritical CO2
induced fractures.
8.3.3 Technology of Replacing Shale Gas with CO2
The competitive adsorption of CO2 and CH4 is the main principle of replacement of
CH4 by CO2 . Shale gas reservoirs are rich in a variety of organic matter. These porous
and disordered organic matter have complex microstructure, extremely uneven pore
surface and strong adsorption capacity. After fracturing the formation with scCO2 as
the base fluid, due to the greater selectivity of organic matter to CO2 , CH4 adsorbed
on the pore surface can be replaced. At the same time, more complex fracture network
structure will be formed after rock breaking and fracturing of shale reservoir, leading
to more shale gas being replaced. Under the same pressure gradient, the mobility of
CO2 is much lower than that of CH4 which is easy to drive CH4 out of shale gas
organic matter.
Xie et al. (2019) simulated the competitive adsorption behavior of CO2 and CH4
under in-situ conditions using high-pressure multi-component adsorption experi-
ments, and discussed the effects of binary gas components, shale properties and pore
structure on CO2 adsorption affinity. The results show that the selectivity coeffi-
cient of CO2 to CH4 decreases with the increase of CO2 mole fraction, but increases
with the increase of total organic carbon (TOC) and clay content. Huo et al. (2017)
found in discussing the adsorption behavior of shale and the displacement behavior
of CO2 injection on shale adsorbing CH4 . The amount of recovered CH4 and stored
CO2 increases with the increase of CO2 injection pressure. For shale with small
micropore parameters or low adsorption performance, CO2 injection can effectively
improve the recovery of CH4 . It is pointed out that the CH4 recovery rate and CO2
storage rate of the target shale reservoir can be effectively improved by injecting CO2
after the decomposition and absorption of CH4 . Sun et al. (2021) used GCGM (Grant
Canonical Monte Carlo) and MD (molecular dynamics) to simulate and study the
molecular mechanism of recovering shale gas from CO2 in kerogen slit nanostruc-
tures, and compared it with kerogen matrix. It was found that pressure had a positive
effect on the adsorption capacity of CH4 and CO2 , while temperature had an opposite
effect. In kerogen slit nanopore, the adsorption state of CH4 is not as stable as that
in kerogen matrix, which leads to higher diffusion of CH4 . Hu et al. (2019) studied
the competitive adsorption of CO2 /CH4 binary mixture in various clay minerals
(montmorillonite, illite and kaolinite) using giant canonical Monte Carlo (GCMC)
simulation. It is found that the adsorption capacity of clay minerals for CO2 is in the
order of montmorillonite > illite > kaolinite. CO2 molecules are more easily adsorbed
on the surface of montmorillonite and illite nanopores with cation exchange than on
the surface of kaolinite without cation exchange. Zhang et al. (2019b) discussed
the replacement of CH4 by CO2 in micropores, studied the recovery of CH4 after
replacement and the adsorption of residual CH4 and carbon dioxide. The results
show that the contribution of micropores to CH4 recovery depends on pore size,
CO2 ratio, temperature and pressure. Pores below 0.61 nm have no contribution to
CH4 recovery, but 0.55–0.60 nm pore diameter is conducive to CO2 storage. The
0.65–0.70 nm pore shows the highest CH4 storage capacity and high selectivity for
CO2 . Liu et al. (2019) characterized the competitive adsorption of CO2 and CH4 in
shale with low field nuclear magnetic resonance. When CO2 and CH4 have the same
initial partial pressure in shale, shale CO2 adsorption has a significant competitive
advantage over CH4 . By increasing the pressure ratio of CO2 /CH4 to over 1:1, the
adsorption capacity of shale for CO2 can be effectively increased. The maximum
solid storage capacity of CO2 adsorbed during the competition period of CO2 –CH4
is about 3.87 cm3 /g (YDN-1) to 5.13 cm3 /g. Zhou et al. (2020) studied the adsorp-
tion behavior and limiting effect of CO2 /CH4 in real kerogen nanopores using grand
canonical Monte Carlo method. The effects of temperature, pressure and pore size
on the competitive adsorption behavior and adsorption mechanism of CO2 /CH4 were
discussed. The results showed that the adsorption capacity of CH4 in kerogen matrix
without kerogen nanopores was lower than that of CO2 . Sun et al. (2020) analyzed the
effects of pressure, temperature, moisture and gas type on the isothermal adsorption
and desorption of shale gas, and compared the adsorption and desorption capacities
of CO2 and CH4 in shale. It was found that, within a certain range, the adsorption
capacity of CH4 increased with the increase of pressure, the decrease of temperature
and humidity. The order of adsorption capacity is CO2 > CH4 > N2 , and the order
of desorption capacity is CH4 > CO2 > N2 . In a certain range, the CH4 recovery rate
increases with the increase of CO2 injection pressure, injection rate and injection
volume.
8.4 Technical Advantages and Limitations
The integration technology of scCO2 enhanced shale gas exploitation and under-
ground storage has become a new direction of shale gas exploitation and development
in the future due to its characteristics of energy conservation, emission reduction and
efficient shale gas exploitation. At the same time, this technology also has certain
advantages and disadvantages.
8.4.1 Technical Advantages
Due to the high displacement and displacement capacity of scCO2 , when used as
a displacement phase, it can effectively improve the single well production and
recovery factor of gas wells. At the same time, scCO2 has high density similar to
liquid, strong permeability, low friction, and remarkable pressurization effect. When
used in fracturing operations, it can achieve efficient fracturing of shale reservoirs
and improve the conductivity of multiple fractures. In addition, scCO2 fluid has low
reservoir damage and pollution, avoiding waste of water resources, and has played a
certain role in reducing costs and increasing efficiency and environmental protection.
8.4.2 Limitations
In terms of limitations, due to the corrosivity of CO2 in the reservoir environment,

long-term underground storage will corrode metal pipes, affecting normal produc-
tion. When pressurized to scCO2 state, on the one hand, it will increase the input
cost, on the other hand, it will increase the risk of CO2 leakage and casualties. In
addition, when it is used for fracturing operations, due to the weak sand carrying
capacity of CO2 fracturing fluid, the fractures at low proppant concentration are easy
to be closed, so further improvement is required.
8.5 Conclusions
The integration technology of scCO2 enhanced shale gas exploitation and under-
ground storage has become a new direction of shale gas exploitation and develop-
ment in the future due to its characteristics of energy conservation, emission reduction
and efficient shale gas exploitation. scCO2 can not only effectively displace shale
gas through competitive adsorption mechanism, but also replace water jet for rock
breaking and fracturing of the reservoir. At the same time, it can also store residual
CO2 in place. However, due to the limitations of imperfect technical facilities, vague
reservoir characterization and many engineering risks, the feasibility and process
mechanism of scCO2 technology still have many shortcomings. How to seek the
technology of large-scale, efficient, scientific and integrated exploitation of shale
gas is still in the stage of indoor experimental research and exploration. It is imper-
ative to open up a new way of green, environment-friendly and efficient shale gas
development.
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Chapter 9
The Role of Digital Twins in Isolated
Energy System Control
Sergey A. Gordin , Viktor D. Berdonosov , and Igor E. Lyaskovskiy
Abstract Despite the abundance of energy grids, isolated (autonomous) energy

systems continue to play a significant role in energy supply. This is especially true for
heating systems. The issue of optimal control of such systems is directly tied to their
size: the cost of implementing standard control systems is comparable to the savings
from their implementation. The smaller the system, the more it depends on outside
factors which means that more sophisticated adaptive control systems are required.
It is no longer enough to use tracking systems (PID controllers) or algorithm-based
systems to account for inertial processes and predict changes in external systems (e.g.
changes in consumer loads). Digital twin technology is the most promising option for
adaptive control systems. This technology allows for adaptive control with a limited
range of sensors and measurement systems as well as reduces the cost of a control
system and makes it adaptive. It also allows for the unification of control systems for
similar energy systems with different criteria, thereby reducing their development
costs.
Keywords Isolated energy systems · Digital twins · Optimal control system
9.1 Introduction
9.1.1 A Subsection Sample
Despite the advances in creating interconnected networks, there is still a large number
of isolated energy systems around the world. For the purposes of energy supply,
systems are considered to be isolated when they are located in the territories without
S. A. Gordin (B) · V. D. Berdonosov

Komsomolsk-na-Amure State University, 27, Lenina Street, Komsomolsk-on-Amur, Russia
e-mail: gordin_sa@mail.ru
S. A. Gordin · I. E. Lyaskovskiy
Far Eastern State Transport University, 47, Seryshev Street, Khabarovsk 680021, Russia

https://doi.org/10.1007/978-3-031-30233-6_9
94 S. A. Gordin et al.
technological connection to the unified energy system of the country in question. For
the purposes of heat supply, systems are considered to be isolated when they supply
heat by boiler houses with a heating capacity of up to 50 Gcal/h. In Russia, the area of
territories with isolated energy systems is around 10% of the total area of the country.
This is due to the low population density in the northern and eastern regions. The
situation is different in China. China has no district heating; therefore, most heating
systems can be considered isolated. For example, in 2020 the established heat output
in China constituted 1.24 billion kW (56.58% of the total established heat output in
China).
The main source of heat in isolated heating systems is a hot water or steam boiler
which converts heat generated by fuel combustion into heat transfer fluid energy. Coal
boilers have a simpler design and are therefore cheaper to produce in comparison
to gas and liquid fuel ones. This is why they are more common despite their many
disadvantages: significant environmental pollution, lower efficiency and high volume
of harmful emissions.
There are ways to minimise harmful emissions from coal CHP plants. For example,
a German energy group Vattenfall has just launched an ultra-low-CO2 coal CHP plant
in Germany. However, all non-standard solutions complicate control systems.
One of the ways to increase the efficiency of isolated energy systems is to use
digital twin technology. Digital twins differ from a simple set of models in that
they have an operational link to real objects. This link allows for significantly
increased accuracy in modelling and process control, including cases when sensors
and measurement systems provide insufficient or inaccurate data.
9.2 Digital Twins in the Energy Industry
9.2.1 The Concept of Digital Twins in Energy Systems
Isolated energy systems are often implemented as hybrid energy systems (HES). In
addition to traditional energy sources (fuel oil, coal, gas), HES also use renewable
energy sources (wind, solar. water, geothermal) and so on. The particular feature of
using renewable sources is the need for storage (Berdonosov et al. 2019). Although a
considerable variety of energy storage systems exist (electric batteries, hydrogen
storage, hydro-storage, etc.), their use complicates control systems. Combining
conventional and renewable energy sources requires a special approach to control
systems. This is due to the fundamental intermittency of renewable energy sources:
the periodicity of solar activity during the day, periods of strong and weak winds
including zero wind, seasonal variations in water flow, etc. Thus, it can be concluded
that such systems have virtually no stationary processes. Implementation of transi-
tion control, on the other hand, requires a new approach. One such approach is using
the digital twin paradigm. This paradigm has been actively developed over the past
decade. Some estimates rate it second in modern technology.
9 The Role of Digital Twins in Isolated Energy System Control 95
The basic digital twin concept is presented as physical space (physical objects),
digital space (models of physical objects) and a two-way link between physical and
digital spaces (see Fig. 9.1) (Rassõlkina et al. 2021).
A more comprehensive definition of digital twin is as follows: a system comprising
a digital model of a physical object and two-way information links to the physical
object and (or) its constituents. A digital model means a system of mathematical and
computer models as well as electronic documents for a physical object describing its
structure, functionality and behaviour at different stages of the life cycle. Reference
digital twin structure was given by Steindl et al. (2020) (see Fig. 9.2).
Figure 9.2 shows four main structural digital twin blocks: “physical entity plat-
form”, “digital entity platform”, “data management platform” and “services plat-
form”. Physical entity platform, in turn, represents “physical objects”, “physical
nodes” and “people”. Digital entity platform comprises many digital entity models,
including information for a mirror image of a particular physical entity aspect. It
is responsible for creating and maintaining “semantic models” (geometric models,
physical models, behavioural models, rule models, process models) of the phys-
ical entity to create its digital representation. Data management platform ensures
collection, management (collection, transmission, storage, integration, processing,
Fig. 9.1 Basic digital twin concept
Fig. 9.2 Reference digital twin structure

cleansing, analysis, extraction of data and information) and storage of data. Services
platform consists of service models and a service management layer to organise
services for specific applications.
Initially, most digital twins (both in Russia and worldwide) were virtual models of
individual elements of production: products, equipment, systems, lines and processes.
Quickly enough, these disparate models began to merge, creating complete “twins”
of the entire value chain.
Such twin operates as follows: a “smart” system compares the digital represen-
tation of the original against data from the real world, taking into account, for
example, outside temperature, humidity and other parameters. The system then
notifies personnel, learns from the decisions taken and predicts changes in certain
processes of the real object over time.
In energy generation systems, this digital “mirror” monitors and optimises equip-
ment operation. Intelligent doubles help to select the most efficient mode of CHP
operation by optimising fuel consumption, taking into account the objective of
improving marginal profits. With a digital twin, energy generation specialists can
find out online how much heat a customer needs and can adjust temperature to avoid
insufficient or excessive heating. Finally, a digital twin at a power plant makes it
easier to plan repairs and manage equipment.
Currently, digital twin technology is evolving in the direction of improving
modelling mechanisms. On the one hand, models based on physical principles are the
most accurate. However, such models are usually described by systems of differential
equations in partial derivatives. Analytical solutions for such systems are practically
non-existent. Numerical solutions, on the other hand, have significant computational
costs. The alternative solution would be data models which use neural networks.
Such models are less computationally intensive but also less precise. In addition to
that, they require collecting a large amount of data.
9.2.2 Adaptive Energy System Control
Automated control systems for isolated energy systems implement standard algo-
rithms related to both stabilising a set parameter (automated stabilisation systems)
and to changing a parameter according to a given rule (programmable systems). The
first case widely uses various PID controllers with a fixed set point or a set point that
could be changed by operating personnel. The second case uses various micropro-
cessor controllers that operate according to a set programme. Such solutions have
proved to be highly reliable at low cost and manage basic control tasks well at stable
loads.
In case of variable loads, the limitations of automation equipment mean that many
decisions related to energy system control are made by operating personnel, taking
into account the instructions in place, their experience and qualification. With sharply
varying loads, the decisions made are more in line with the averages, so this “manual”
control is less efficient, although it does meet reliability and safety requirements.
Development and implementation of adaptive automatic control systems for

energy systems allows to increase control efficiency at all modes of operation,
however, it makes control systems more complicated and less universal as such
systems are difficult to transfer even to similar energy systems.
Considering that adaptive control systems are based on microprocessors and use
multiple sensors with a given level of accuracy to collect data on system status,
economic feasibility of introducing such a system depends on the amount of savings
and cost of energy resources as well as the economic effect of improving the reliability
and continuity of the energy supply system.
Our experience in conducting commissioning tests at various energy facilities
shows that the increase in efficiency can reach up to 2.5…3% when optimal PID
controller values and other settings are selected for systems with non-adaptive
control. Adaptive automated control systems increase energy system efficiency up to
5.5…6%. The cost of coal 350 USD/T makes it economically feasible to implement
a standard adaptive control system at boiler houses with useful output of more than
1 Gcal/h.
Unfortunately, isolated energy systems almost always use customised solutions
due to their size, and it is impossible to make a standard adaptive control system and
reduce its development and implementation cost with mass implementation. This
greatly increases the minimum capacity of an isolated power system, for which it is
economically feasible to design a customised adaptive control system.
9.2.3 Generalised Mathematical Model of an Isolated Energy

Supply System
The implementation of digital twin technology in a control system for an isolated

energy supply system requires a generalised mathematical model of the physical and
technological processes in the system. If such a model is universal enough, then, in
addition to increased control efficiency, digital twin technology will reduce design
and development costs of an adaptive control system as it will be able to adjust itself
and adapt to existing sensors and control elements, and the cost of implementation
and operation could be comparable to, and in some cases lower than, the cost of
adaptive control systems due to mass implementation.
The main issue in creating a control system for isolated energy systems using
digital twin technology is the lack of generalised mathematical models of the physical
processes of heat and mass transfer and energy transformation from one form to
another. Even though separate tasks (e.g. fuel combustion (Alobaid et al. 2017), heat
and mass transfer of heat transfer fluid (Fang et al. 2018, etc.) have good mathematical
models, their integration and joint use are not trivial.
Considering that all physical and technological processes of an isolated energy
system have been pretty well studied and described by now, the issue of creating a
generalised mathematical model can be reduced to the problem of linking individual
knowledge and identifying the relationships between the different elements of the
system.
Our team has worked on creating a generalised mathematical model of a heating
system and applying analytical methods to describe the state of the system at each
point in time. The studies showed that analytical representation of such a model
can be achieved only with substantial assumptions on the parameters of the media
and processes, as well as the stationarity of all processes (Gordin et al. 2021). As
we move towards non-stationary processes and the requirements for the accuracy of
media and process parameters increase, the analytical solution becomes unattainable
and the use of numerical methods, including iterative methods, is required.
The generalised mathematical model of the heating system was tested in simula-
tion environment AnyLogic. This allowed not only to study the model’s adequacy and
stability but to study the possibility of moving from static to dynamic modelling of
district heating processes (Gordin et al. 2022). Figure 9.3 shows a general simulation
model scheme.
When considering dynamic processes, a generalised mathematical model can only
be solved by numerical methods which significantly complicates practical application
of the achieved results: even though modern industrial controllers have significant
computing resources, they still cannot solve problems numerically at the speed of
real-world systems.
9.2.4 The Prospective Role of Digital Twins in Isolated

Energy System Control
Currently, digital twin technology mostly evolves in the direction of improving the
models that are used. As mentioned above, they can be physical or data models, i.e.
models built on neural networks. Combined models that implement both approaches
are the natural next step. Additionally, new models have appeared: projection models,
parametric models, tracking dynamic models, autoregressive models with prediction
of physical object response (Chatzi et al. 2010). Predictive digital twins seem the
most promising (Kapteyn et al. 2020).
In predictive digital twins, three elements are distinguished in physical space and
three in digital. Physical space elements are the following: St is the physical state of
the system; Ot is observation data (data from sensors); Ut is control actions. Physical
space elements are the following: Dt is the state of digital twin; Qt is predicted
parameters; Rt is quantified gain from using a digital twin (see Fig. 9.4).
A probabilistic graphical model representing digital and physical twins is made
using these six elements. This model is a dynamic Bayesian network representing
the physical state of a system as it develops with time. The arrows (edges) represent
conditional transition probabilities. In this way, the physical states of the system are
modelled as random variables. In digital space, the evolution of the digital state occurs
in a similar way. However, digital states are corrected with observations coming from
Fig. 9.3 Heating system simulation model
the physical states. Then a control action is formulated based on the digital space and
observations. The dynamic Bayesian network becomes a dynamic decision-making
network. This approach allows making predictions n steps ahead.
Fig. 9.4 Diagram of predictive digital twin operation
9.3 Conclusion
Digital twin technology is a promising direction for creating adaptive universal

control systems for isolated energy systems. The complexity of development and
implementation of this technology is compensated by its universality and possibility
of application without significant changes at very different energy supply systems.
The main approaches considered herein provide a framework for the development
of digital twin technology and its application in both heating systems and hybrid
power plants.
Acknowledgements The study was conducted using a grant from the Russian Science Foundation.
No. 22-29-01232, https://rscf.ru/project/22-29-01232/.
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Chapter 10
The Effect of Land Degradation
on Changes in Water Availability
in Watershed Areas
Zainuddin, Dinar Dwi Anugerah Putranto, and Febrian Hadinata
Abstract Land degradation is defined as a condition in which the quantity and

quality of land resources needed to support ecosystem functions and services and
increase food security continues to decline on a temporal and spatial scale under
certain ecosystem conditions (Sarino et al. in IOP Conf Ser Earth Environ Sci, pp 1–
10, 2019). These changes, combined with population growth, have led to the conver-
sion of agricultural land to developed land, high exploitation of natural and mineral
resources, and urbanization, which usually leads to more significant land degrada-
tion (Putranto et al. in pp 100016-1–100016-10, 2017). Sub-watershed scale analysis
related to the distribution of degraded land by utilizing multi-temporal geospatial
layers (Putranto et al. in Int J Geomate 14(45):28–34, 2018) helps provide a region-
ally consistent data set of required land distribution. Therefore, it can support agendas
aligned with sustainable development goals (SDGs) (Guo et al. in 11:1–20, 2019).
By utilizing scientific big earth data, which is periodically integrated with terres-
trial, aquatic, and hydrological data, it has the potential to assess degraded land as
outlined in SDG’s target point 15.3.1 (Yuono et al. in J Ecol Eng 21:126–130, 2020).
The Rawas sub-watershed is a river drainage area that originates at one of the peaks
of Mount Kerinci. Geologically, the Rawas sub-watershed includes lowlands which
are quarterly alluvial deposits from the Pleistocene to the present age. The avail-
ability of water in the Rawas watershed until 2020 is sufficient to serve the villages
in the watershed. With the most significant water resource potential in November,
December, and January to March, approximately 52 mm/month. Meanwhile, in other
months, water availability in the Rawas watershed is below 3 mm/month and even
close to 0 mm/month.
Keywords Land degradation · Geospatial · Water balance
Zainuddin
Doctoral Program in Engineering, Postgraduate Program, Faculty of Engineering, Universitas
Sriwijaya, Palembang, Indonesia
D. D. A. Putranto (B) · F. Hadinata
Department of Civil Engineering and Planning, Faculty of Engineering, Universitas Sriwijaya,
Palembang, Indonesia
e-mail: dinar.dputranto@gmail.com
https://doi.org/10.1007/978-3-031-30233-6_10
104 Zainuddin et al.
10.1 Introduction
The existence of good land cover is found to be ensured with the availability of water
resources and vice versa, as observed in a management theory. This indicates that the
loss of forest cover leads to a more significant increase in total runoff. Based on the
occurrence of land degradation, other previous evidence showed unsustainable forest
use in the watershed area (Putranto et al. 2017, 2018). This is often accompanied
by an increase in the volume of surface water runoff, which occurs during the rainy
season (Guo et al. 2019; Yuono et al. 2020). Meanwhile, a shortage of water is
often observed during the long dry period (Kurniawan et al. 2020; Yuono et al.
2019). This indicates a reduction in the ability of the soil to absorb water, due to
the inability to infiltrate surface fluid (Pelacani et al. 2008; Borrelli et al. 2017).
High population growth, especially in several new autonomous districts, has shown
increasing land degradation. Since it was designated as a new autonomous region
(Ministry of Home Affairs of the Republic of Indonesia, 2015), North Musi Rawas
Regency has granted permits to open oil palm plantations, an increase of almost
24% (Statistics of North Musi Rawas Regency, 2021). This has led to increased
land degradation, reduced availability of groundwater during the dry season (April–
August) (Sarino et al. 2019), increased surface water runoff and river sedimentation
(Ivits et al. 1999) and has caused flooding in Muara Rupit city every time it rains
2 years birthday (PBB 2018). Therefore, it is necessary to consider immediate and
timely steps to avoid, reduce, and restore land degradation, increase food and water
security, substantially contribute to climate change adaptation and mitigation, as well
as decrease biodiversity loss to avert conflict. These considerations are expected to
fulfill the sustainable development goals agreed in the 2030 Agenda (SDG’s 15),
which was ratified by Indonesia in 2017 (Giuliani et al. 2020). To stop and restore the
present land degradation trend, increasing national capacity is also very necessary,
to immediately carry out quantitative assessments. As required in the sustainable
development goals (SDGs), particularly SDG indicator 15.3.1, appropriate mapping
of degraded lands should not be more than the total site area (Sarino et al. 2019).
On this basis, it is necessary to the sub-watershed scale analysis helps in providing
a regionally consistent dataset of required land distribution, which are used to support
the agendas that are aligned with sustainable development goals (SDGs) (Krajewski
et al. 2019). This is related to the distribution of degraded land, through the multi-
temporal geospatial layers (Feinan et al. 2018). In this research, using the GIS tech-
niques, the analysis of topographic conditions, land cover types, rain duration and
season, as well as erosivity magnitude and distribution (based on soil type and slope),
are found to support data collection and predictive information on the spread of crit-
ical sites, as well as potential environmental damage in the watershed area (Putranto
and Pratami 2017). Also, it is used to predict fluid availability in the watershed area.
10 The Effect of Land Degradation on Changes in Water Availability … 105
10.2 Materials and Methods
10.2.1 Study Area
Rawas sub-watershed is one of the 36 water facilities in the South Sumatra Province
Administrative Region and is also part of the Musi river basin. This facility has a
catchment area (DAS) of approximately 5,891 km2 , with a geographical location at
variational coordinates of 102° 4' 4.8'' –103° 27' 36'' east longitude and 2° 19' 15'' –3°
06' 36'' south latitude. The upstream area of this facility is at an altitude of 2,100 m
above sea level, which is one of the highest peaks in the Kerinci Seblat National
Park zone, partly included in the administrative region of north Musi Rawas regency
(1,884.61 km2 or 32%). Moreover, Kerinci Seblat National Park (TNKS) is part of the
global lungs, which has been designated by UNESCO as a world heritage area, with
more than 4,000 species of primary forest flora and 115 species of ethnobotanical
plants. Two major rivers or sub-river systems flow in Rawas watershed, namely Rupit
river, which fulfills and empties into Rawas water body. At the confluence of the river,
this has become the centre of growth for the Muara Rupit urban area in north Musi
Rawas regency.
The water resources in the sub-systems of Rawas and Rupit rivers have been very
beneficial to the residents in the watersheds. However, the licensing development
for several lands utilized for plantation activities is increasingly massive in this area.
This indicates that there is an imbalance in water availability during the rainy and dry
seasons, as observed in other river systems within the Musi river basin (Krajewski
et al. 2019). The provincial and district governments subsequently issued several
permits for oil palm and rubber plantations, mining, infrastructure, other economic
developments, as well as many illegal operations in the hills and along Rawas River,
based on the extraction of coal, gold, sand, and Iron ore. Therefore, this problem is
found to disrupt the raw water supply system. The mining activities in the hills and
along the river basin of Rawas sub-watershed also affects the erosion magnitude and
flooding volume, in Tugu Mulyo district, Musi Rawas regency.
10.2.2 Methods
The basic concept used in each model was the hydrological cycle, to analyze the
availability of water resources in the watershed area. In preparing the hydrolog-
ical model, the analysis focused on the conversion of rain into discharge through the
watershed system, as all components influencing the process were carefully observed
and studied. These components included the topographical, meteorological (radia-
tion, wind, rain, humidity, and temperature), and geological (soil types and proper-
ties) elements, which significantly affected the watershed characteristics. One of the
commonly used designs was the Mock model developed by Mock (1978), based on
the hydrological cycle (Feinan et al. 2018). The analysis of this study focused on
the discharge through the watershed system, which included the components of rain,
evapotranspiration, interception, groundwater, and water balance. This indicated that
the calculation of the water balance modified the Thornthwaite method (Putranto and
Pratami 2017; Komariah and Matsumoto 2019), by including limited evapotranspi-
ration. Also, the persistence of the greenery and maximum utilization of 200 mm
soil moisture was assumed in this study. For the analysis of water availability, the
R80 mainstay discharge was used.
A thorough analysis of watershed morphometry was beneficial in understanding the

impact of environmental flow morphometry. This is the measurement and mathemat-
ical analysis of the earth surface configuration, as well as the shape and dimensions
of its landscape, concerning the observation area. Using the data from DEM NAS
(National Digital Elevation Model) Rawas Sub-watershed Research Area, South
Sumatra, Indonesia, this study was performed at a contour interval and pixel size
of 15 and 7.5 m, respectively. This analysis was subsequently carried out using the
Digital Elevation Model (DEM) technique, to extract the river sub-system bound-
aries. Furthermore, the watershed was used as a basic unit in morphometric analysis,
river length, drainage slope, flow pattern and density, as well as infrastructural shape,
area, and perimeter, to understand the hydrogeological behaviour of drainage basins.
It was used to indicate the occurrence of climatic, geological, geomorphological, and
structural conditions in the watershed.
10.3.1 Analysis of Rawas Sub-watershed Drainage Network
In the watershed system, the drainage analysis determined the good and bad flow
patterns, inundation areas, and water availability within the study area.
Flow length. Flow length is one of the essential morphometric characteristics in a
watershed area, due to providing information on runoff characteristics. This indicates
that rivers with relatively small or short channel lengths have steep slopes and better
soil texture. However, straight and elongated morphometric rivers without many
branches generally show a gentler slope (Portela et al. 2019). In this study, the total
length of the river section in Rawas and Rupit sub-watersheds was of the 0ne and fifth-
order, respectively (see Fig. 10.1). This indicated that the total Stream Orders (km)
of Rupit and Rawas (Upstream and Downstream) sub-watersheds were 525,095, as
well as 707,638 and 81,966 km, respectively. In these sub-systems, all the drainage
channels in the upstream area were dendritic patterns. This indicated that the study
area was hilly in the upstream area, with a slope of approximately 3–8%. Also, it was
a basin between two hills, with fluvial deposits of former sediment or river overflow
(see Fig. 10.1).
Average slope drainage (%). This is the flow slope from upstream to downstream,
which is expressed as a percentage describing the characteristics of the drainage
fluidity in the watershed system. These parameters were obtained by subtracting the
highest difference at the beginning of the drainage to the lowest point of the flow. For
example, the downstream of Rawas River sub-catchment had the most downward
drainage slope at 0.13% (see Table 10.1). Therefore, is a basin, which is slow to drain
water. Meanwhile, upstream Rawas River and Rupit sub-catchments had sufficient
drainage slopes of 3.38% and 1.51%, respectively.
Fig. 10.1 Morphometry and soil texture of Rawas watershed
Table 10.1 Morphometric of Rawas river sub-watershed

No Name of Watershed Stream Perimeter Drainage Slope
watershed area (km2 ) length (km) (P) km density (km/ drain (%)
km2 )
1 Upstream of 1,782.94 707.638 339.8 0.397 3.38
Rawas river
2 Downstream of 2,280.92 819.66 272.1 0.359 0.13
Rawas river
3 Rupit river 1,824.17 525.095 260.8 0.288 1.51
Basin Area (A). The watershed area is another critical parameter, in determining the
amount of run-off. The relationship between the total area of the watershed and the
amount of run-off will determine the amount of run-off to the watershed outlet. The
area of the basin can be seen in Table 10.1.
Based on Table 10.1, the upstream and downstream sub-watersheds of Rawas
River had areas of 1,782.94 and 2,280.92 km2 ; respectively, with Rupit sub-system
having 1,824.17 km2 .
Watershed perimeter (P). This is the outermost boundary of the watershed, often
known as the circumference of the sub-system. It is measured along the border
between adjacent watersheds and is also used as a size and shape indicator. In
this study, the fenced basin perimeter for Rupit sub-watershed was 260.8 km, with
upstream and downstream Rawas sub-system observed at 339.8 and 272.1 km,
respectively.
Drainage pattern. Based on this study, the drainage pattern analysis reflected the
influence of slope, lithology, and structure, where the erosion cycle stages were iden-
tified. This showed several watershed characteristics through the drainage pattern and
texture. Also, the inferences on the basin’s geology, rock strike and deposition, pres-
ence of faults, and other information about this parameter was highly considered. By
relating drainage patterns to geological data, the texture method reflected climate, soil
permeability, vegetation, and relief ratio. Based on upstream Rawas sub-watershed,
an elongated and trellis pattern was observed, indicating that the planning area had
steep slopes and easily eroded soil structure, as well as one extensive river system
(floodplain basin).
Drainage density. Drainage density is the flow length per unit area of a basin or
watershed. This is a better quantitative expression for landform discretion and study.
However, climate functions, lithology and structure, as well as the relief history of
the area were used as indirect indicators, to explain these variables and landform
morphogenesis. In this study (see Table 10.1), the drainage density of upstream and
downstream Rawas sub-watersheds was 0.397 and 0.359 km/km2 , respectively, with
Rupit sub-system being 0.288 km/km2 .
10.3.2 Textures of Soil
This is an essential factor in observing the fertility, porosity, and adhesive levels of
the soil to the foundation of a building. In this study, variations were observed in the
conditions and distributions of permeability and soil textures. The most considerable
dominance of this parameter is observed in Fig. 10.1 and Table 10.2, respectively.
This indicated that the Clay soil and dusty clay had the largest size and distribution
in Rawas sub-watershed (5,295.21 and 1,073.46 km2 ). For the distribution of the
minor soil types in this sub-system, Silence of dusty clay was observed, at an area
of 4.03 km2 . This indicated that the site was less and quite fertile for agriculture and
Table 10.2 Soil textures at

Textures Area (km2 ) Permeability
Rawas watershed
Soak clay 73.19 Currently
Silence of dusty clay 4.03 Currently
Soft clay 1.07346 Medium-slow
Clay 5.29521 Slow
Dust clay 353.97 Slow
Loamy loam 543.40 Currently
Sand 129.02 Fast
Dusty sand 6.55 Medium-fast
plantations, respectively. Also, only perennial crops were cultivated in the area, with
water observed not to be slowly absorbed. In addition, these infiltration wells were
not suitable for clean water sources in urban areas.
10.3.3 Land Use
Land use significantly determined the magnitudes of the soil loss index (F) and over-
land flow (Q). This indicated the difference in each land-use type, due to being influ-
enced by a different infiltration coefficient (C) and the rainfall percentage entering
the soil (A). Based on Fig. 10.2, the distribution of infiltration coefficient values is
shown as follows.
Fig. 10.2 Land use classification of Rawas watersheds

Table 10.3 Land use

Land use Area Coefficient
(km2 ) infiltration (C)
Primary dry land forest 0.002 0.030
Secondary dry land forest 133,976 0.500
Open land 124,510 0.350
Community plantations 52,364 0.100
Settlement 22,321 0.200
Dry land farming mixed with 65,630 0.630
bush
Swamps 806,337 0.010
Rice field 63,741 0.020
Shrubs 6,648 0.700
Swampy scrub 570,715 0.500
Body of water 5,308 0.010
Land-use type is one of the factors for degradation and the formation of critical
land. Based on the Landsat imagery data in 2015, 2017, 2019, and 2021, a land area
of 59.90% or 352,691 km2 in Rawas watershed management region was non-forest
(see Table 10.3). This was dominated by community plantations, covering an area of
52,364 km2 . Moreover, North Musi Rawas Regency was famous for its plantations
of oil palm, sugar cane, coffee, coconut, pepper, and others.
Four commodities were also found to be very dominant, namely palm oil, coffee,
rubber, and coconut.
10.3.4 Hydrology
Rainfall data were obtained from 3 observation stations around Rawas watershed,
namely (1) The North Musi Rawas Sorolangun rain station, (2) The Srikaton station of
Musi Rawas regency, and (3) The Sekayu station of Musi Banyuasin regency. Based
on Table 10.4, the Surolangun rain station had a dominant influence in describing
the distribution of rainfall in Rawas watershed area, at 554,676.404 Ha with a rain
intensity of 30 min for a 5 year return period of 69.5 mm. Meanwhile, the Srikaton
rain station had the least effect rainfall at 15,865,141 Ha, with a rain intensity of
30 min for a 5 year return period of 90.81 mm.
Table 10.4 Location and distribution of rainfall in Rawas sub-watershed

Station Area (Ha) H (m) (I30)-5 R (mm) n Ro
1 554.67,640 191.2 69.56 2,248.58 137.7 195.2
2 15.865,141 745 90.81 2,615.39 144.9 212.5
3 18.503,476 777 187.5 2,520.88 138.0 213.7
10.3.5 Water Balance
The potential availability of water was estimated from rainfall, which is the primary
source of Rawas watershed, which greatly affects water availability. However, the
water availability in this sub-system was not evenly distributed. Besides the climatic
factors, natural conditions also affected water availability, such as topography,
geology, soil, and vegetation.
Damages to natural conditions such as the upstream area (TNKS; a water catch-
ment area), also affected the water availability variations in Rawas watershed. This
indicated that Rawas water yield was strongly influenced by the nature of the
rain input and the physical parameters (characteristics) of the watershed which is
the constituent element of the watershed. In addition, the features of each system
produced different water production for the same amount of rain input and vice
versa. Daily rainfall in Rawas watershed was also dominated by 24.00 to <46 mm/
day classification.
Based on Fig. 10.3, the highest and lowest rain intensity was 35.08 to <36.08
and 9.06 to <9.82 mm/h, respectively. For R50, the highest average and maximum
rainfall values occurred in November–March (351.14 mm/month), with the lowest
observed in Setember (81.96 mm/month).
Calculation of hourly intensity (1-6) hours for return period

2-50 Years
40.00
30.00
20.00
10.00
0.00
1 hours 2 hours 3 hours 4 hours 5 hours 6 hours
I-2 I-5 I-10 I-20 I-25 I-50
Fig. 10.3 Rain intensity design 1–6 h for return period 2–50 years
Fig. 10.4 Water balance Rawas watersheds for R50
This assumably supported the adequacy of water availability in fulfilling the clean
water needs in North Musi Rawas regency, until the end of 25 year. In this condition,
2,293,000 L/day was expected in 2045, with the most significant demand being for the
clean water needs of urban residents. Besides the IPAB (Clean Water Management
Installation), the potential for pristine water reserves also capitalized on the prospect
of groundwater, which had been identified with the basins that supplied clean water
needs. Therefore, the most significant potential for groundwater basins was found in
Karang Anyar, Air Jernih, and Rawas sub-watersheds, at approximately 12,859 m3 /
year.
Based on Fig. 10.4, the availability of water in Rawas watershed (R50) was
less than 0.30 m3 /s during the dry season (May–October). Meanwhile, water yield
occurred between November–April in the wet season. The maximum and minimum
yields of 82 and 18 m3 /s occurred in March and November, respectively.
10.4 Conclusions
In North Musi Rawas district, the decrease in the availability of clean water was
not optimally utilized, due to the flow sources originating from Rawas and Rupit
rivers. This was because the qualities of river and groundwater were not stored in
soil reserves, based on a decrease in the rate of infiltration. In addition, oil palm
plantations had poor sedimentation due to illegal coal mining and search for gold
reserves.
Acknowledgements The authors are grateful to the Institute for Research and Community Service,
Universitas Sriwijaya has provided grants for Professional research through the Public Service
Agency’s DIPA Budget Universitas Sriwijaya, Fiscal Year 2022, No. SP DIPA-023.17.2.677515/
2022, December 13, 2021 based on the Chancellor’s decision Number: 0111/UN9.3.1/SK/2022
April 28 2022 and Agreement/Contract No. 0120.13/UN9/SB3.LP2M.PT/2022 with the chairman
of LPPM, May 17 2022. The authors are also grateful the Environment and Land Office of north
Musi Rawas Regency, for providing the opportunity and support needed in the implementation of
this study, as well as the observation of Rawas sub-watershed hydrological conditions.
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of the global impact of 21st century land use change on soil erosion. Nat Commun 8(1):1–13.
https://doi.org/10.1038/s41467-017-02142-7
Feinan H, Jingfang L, Xu C, Wang C, Liu G, Lid Shiwei Z (2018) Soil internal forces initiate
aggregate breakdown and splash erosion. Geoderma 320. https://doi.org/10.1016/j.geoderma.
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Giuliani G, Chatenoux B, Benvenuti A, Lacroix P, Santoro M, Mazzetti P (2020) Monitoring
land degradation at national level using satellite earth observation time-series data to support
SDG15—exploring the potential of data cube, Big Earth Data, vol 4, no 1, pp 3–22. https://
www.tandfonline.com/doi/full/10.1080/20964471.2020.1711633
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slope and water conservation programs. In: International conference on sustainable agriculture
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Chapter 11
Optimization of Membrane Distillation
Conditions for Waste Water Generated
by Wet Treatment of Waste Incineration
Slag
Tongshan Zhu, Guang Yang, Hongbin Jiang, Wenchen Dai, Dechang Han,
and Yan Li
Abstract In waste incineration sites, the wet treatment of waste incineration slag
generates a large amount of high-salt wastewater. Water washing equipment can
be eroded by high saltwater corrosion, which constantly causes significant socio-
economic losses. Treatment of high-salt wastewater discharged from wet treatment
cleaning using membrane distillation (MD) technology. In this paper, by the effect
of feed water temperature on the treatment effect of MD was investigated by moni-
toring the effluent conductivity and analyzing the effluent water quality. And based
on the experimental results of temperature parameters, a 48 h long-time test was
conducted on waste incinerator slag cleaning high brine to explore the potential of
MD for industrial applications of wastewater treatment. The results showed that the
initial membrane flux increased significantly with increasing temperature, and the
initial membrane fluxes were 4.35, 5.72, and 6.53 kg/(m2 ·h) at 40, 50, and 60 °C,
respectively. The membrane wettability increased with the increase in temperature,
and the conductivity of the effluent increased with the temperature rise. The influent
temperature of 50 °C is suitable for the treatment of the wet treatment of high brine
from waste incinerator slag by MD. And it was found that the stability of existing
industrial PTFE membranes is not enough to meet the industrial requirements, and
there is a need to adopt and develop a membrane material with better stability.
Keywords Membrane distillation · Membrane wetting · Temperature · High

saline water
T. Zhu · G. Yang · H. Jiang · W. Dai · D. Han · Y. Li (B)

School of Environmental and Chemical Engineering, Shenyang Ligong University,
Liaoning 110159, China
e-mail: 183311286@qq.com
https://doi.org/10.1007/978-3-031-30233-6_11
116 T. Zhu et al.
11.1 Introduction
According to the China Statistical Yearbook (2021) data, the national domestic waste
removal volume in 2020 was 23,511.7 kt. The two primary disposal techniques for
household waste are incineration and landfilling (Zhao 2017). Domestic waste incin-
eration is a significant domestic waste disposal strategy. There are mainly incineration
and landfill methods for domestic waste disposal. As an essential measure of house-
hold waste disposal, domestic waste incineration can not only solve the problem of
domestic waste disposal but also make full use of the energy generated by waste
incineration to realize the transformation of waste into treasure, protect the environ-
ment, save energy and improve the comprehensive utilization of waste resources.
However, waste incineration is not the end treatment, and it still results in slag and
flies ash, and household waste slag is frequently used as engineering materials. It
is commonly employed as an engineering material in cement composites, concrete
aggregates, road construction, etc. (Hunke 2017). Because of its transparent chem-
ical makeup (which is typically based on silica-aluminate) (Norgaard et al. 2019). It
is often used as an engineering material in cement composites, concrete aggregates,
road construction, etc. (Zhou et al. 2015). However, the chloride content of slag is
the main challenge for its reuse in construction materials. The chloride content of
secondary construction materials is strictly controlled because they are considered
harmful to the environment and to concrete structures due to their ability to increase
the corrosion of steel reinforcement. Multiple washing procedures are frequently
needed to lower the chloride concentration below the permitted regulatory limit
(Chandler et al. 1997). In washing tests, the amount of washing water used often
causes an increase in the release of chlorides (Tasneem et al. 2015). Highly saline
wastewater discharged from wet treatment can corrode equipment, so it is necessary
to desalinate the highly saline water discharged from wet treatment.
The development of the membrane process as an energy and environmentally-
friendly separation and purification method has taken place during the past few
decades. MD is a membrane separation technology that combines membrane tech-
nology with the distillation process. It uses a porous hydrophobic membrane as the
separation medium. Since the surface tension of the solution phase is higher than
the critical surface tension of the membrane, a gas–liquid interface is formed. There
is a temperature difference between the liquid on both sides of the membrane (hot
side and cold side), resulting in a vapor pressure difference between the two sides
of the membrane. Under the vapor pressure difference between the two sides of the
membrane, the volatile components in the feed liquid pass through the membrane
pores in the form of vapor to achieve the purpose of separation. Membrane distillation
combines the characteristics of distillation and the membrane process. MD can use
low-grade thermal energy with little energy consumption, making it more appealing
to treat extracted water at higher temperatures (Jpab et al. 2021). It has shown good
promise for effectively desalinating industrial effluent with high salt content.
In this paper, membrane distillation desalination treatment is carried out for the
high brine produced after the wet treatment of domestic waste incineration slag,
11 Optimization of Membrane Distillation Conditions for Waste Water … 117
using a direct contact membrane distillation (DCMD) device and setting different
feed solution temperatures for controlled experiments. It is crucial to research the
impact of various feed solution temperatures on the effectiveness of MD for the
wet treatment of high brine from waste incinerator slag because the temperature
has a significant impact on the separation efficiency and water quality of MD. To
investigate the effects of temperature on the water flux and inorganic salt retention
efficiency of waste incineration residue wet hypersaline water treated by MD, waste
incineration residue wet hypersaline water at 40, 50, and 60 °C was selected as the
feed solution for MD. The changes in produced water flux and conductivity were
monitored. And based on the experimental results of temperature parameters, a 48 h
long-time test was conducted on waste incinerator slag cleaning high brine to explore
the potential of MD for industrial application of wastewater treatment.
11.2.1 Materials
This experiment selects high brine produced by the wet treatment of a domestic
waste incinerator slag in Shenyang (Main water quality indicators of wastewater
Table 11.1.). Distilled water (DW) (25 °C 15MΩcm) was provided by laboratory
water purification systems and used in experiment washing and pure water flux
measurements. Membrane material selected from commercial PTFE.
11.2.2 Direct Contact Membrane Distillation Performance

Testing
In DCMD, the vapor from the hot side through the membrane into the permeate
side and the coolant from the cold side are in direct contact with each other for
condensation. The immediate contact membrane distillation process has a signifi-
cant temperature difference between the two sides because the condensate and the
Table 11.1 Main water

Components Content Unit
quality indicators of
wastewater pH 7.9 –
Mg2+ 5.45 mg/L
Ca2+ 7.88 × 103 mg/L
Suspended sediment 1.05 × 103 mg/L
COD 135 mg/L
Conductivity 62.8 mS/cm
118 T. Zhu et al.
feed solution are in direct contact with the membrane. Significantly influenced by
temperature. For testing, a self-assembled DCMD membrane assembly was utilized
in the lab (Fig. 11.1). The test apparatus included a peristaltic pump, a homemade
flat membrane assembly, an electronic balance, and a thermostatic water bath on the
hot feed side. Ultra-pure water (conductivity of approximately 28 µs/cm) at 10 °C
was used for the cold side solution; the hot side feed side was the highly saline water
from the wet treatment of domestic waste incineration slag at 40, 50, and 60 °C.
The membrane is loaded into a flat membrane module (membrane module effective
area 2.5*3.5 cm), and then the hot and cold side pipelines are connected. Start the
membrane distillation test by setting the liquid flow rate on both the hot and cold
sides to 400 mL/min. Using DCMD, the highly saline water from the wet treatment
of domestic waste incineration slag was desalted for the membrane performance test
was done three times while water flux and permeate conductivity were measured. To
determine the appropriate water flux and cut-off salt rate by the equation, the permeate
conductivity was monitored by a conductivity meter. In contrast, the membrane flux
was derived from the change in the electronic balance on the permeate side. The
water permeate flux, J(kg/(m2 ·h)) was calculated by Eq. (11.1);
ΔW
J= (11.1)
At
where J is the permeate flux, ΔW is the mass change of permeate (kg), A is the
effective membrane area (m2 ) and t represents the time interval (hour) during the
permeate mass change. The salt rejection (%) can be determined by Eq. (11.2):
CP
R =1− × 100% (11.2)
Cf
where Cp and Cf are denoted as the salt concentration in the feed and permeate
solutions, respectively.
11.3.1 Influence of Feed Water Temperature on Membrane

Flux
As shown in Fig. 11.2, the membrane flux rose dramatically with the rise in feed
water temperature, reaching 6.53 kg/(m2 ·h) at 60 °C, 34% more than 40 °C. The
initial flux was 4.35 kg/(m2 ·h) at 40 °C. This is because as the temperature increases,
the vapor pressure across the membrane increases, resulting in a higher driving force
for the separation process. At higher feed temperatures, water vapor molecules with
higher kinetic energy are generated, which increases the solubility and diffusivity
Fig. 11.1 Schematic diagram of the experimental setup of DCMD
of water within the membrane. The membrane structure itself becomes relatively
less compact due to the increased free volume between the polymer chains under the
influence of temperature. According to the free volume theory describing the passage
of permeate molecules through the free volume between polymer chains, the diffusion
rate of permeation increases due to the increase in the free volume between polymer
chains of the membrane, leading to higher fluxes. However, flux decay is unavoidable
in a continuous 6-h MD operation. The saturation vapor pressure of water increases
with temperature, which explains the increase in the initial flux with temperature.
Although increasing the temperature can increase the water flux, it also increases
the temperature polarization of MD (Lee et al. 2022). When the water temperature
increases, the rate of membrane contamination also increases. Therefore, increasing
temperature increases water flux in MD systems and accelerates the rate of membrane
contamination. Contaminants continue to deposit on the membrane surface during
the MD process, resulting in the blockage of some membrane pores. The decrease
in effective membrane area will also result in a reduction in flux. After the six-hour
membrane distillation process, the water flux of the feed solution was reduced to
4.26 kg/(m2 ·h) at 40 °C, to 5.21 kg/(m2 ·h) at 50 °C, and to 4.89 kg/(m2 ·h) at 60 °C.
The membrane flow decays by 2%, 8%, and 25% at 40, 50, and 60 °C, respectively.
Temperature polarization is typical in membrane distillation processes and can
lead to reduced drive and permeate fluxes and increased energy consumption. Opti-
mizing conventional membrane distillation processes and components can somewhat
minimize temperature polarization.
120 T. Zhu et al.
Water flux(Kg/m2h) 6
2
0 1 2 3 4 5 6
Time(h)
Fig. 11.2 Water flux at different temperatures
11.3.2 Influence of Feed Water Temperature on Salt

Retention Rate
Highly salinized water from the wet treatment of waste incineration slag can have
a conductivity of up to 62.8 mS/cm. Conductivity is frequently used to continu-
ously monitor the effluent quality of membrane distillation as a critical water quality
indicator on the generated water side of the process. Since inorganic salts are theoret-
ically entirely retained by the hydrophobic microporous membranes used in MD, an
increase in conductivity on the produced water side frequently indicates the forma-
tion of pore channels in the membranes that allow the permeation of inorganic salt
ions. As a result, a significant increase in conductivity is commonly regarded as a
sign of membrane wetting.
Figure 11.3 shows the conductivity variation with time on the produced water
side for feed water temperatures of 40, 50, and 60 °C. After 6 h of continuous MD,
the final conductivity was stabilized at 60 µS/cm at 40 °C and 50 °C, and the salt
retention rate could reach more than 98%. The conductivity on the effluent side
showed a significant steep increase at an influent temperature of 60 °C, indicating
that wetting of the MD system occurred at higher temperatures.
90
80
70
Salt rejection(%)
60
50
40
30
20
1 2 3 4 5 6
Time(h)
Fig. 11.3 Conductivity at different temperatures
11.3.3 Long-Time Test
50 °C was chosen as the feed fluid temperature for the actual operation test of waste
incineration slag cleaning high brine for 48 h, and the test results are shown in
Fig. 11.4. As can be seen in Fig. 11.4, the permeate flux did not show a significant
decrease during the continuous 36 h of operation and was maintained in the range
of 4.35 ± 0.5 kg/m2 ·h. Meanwhile, the retention rate of the process was always
maintained above 99.9%. It is generally believed that membrane distillation will
gradually wet the membrane material over a long period of time, resulting in a
decrease in permeate flux and retention rate. However, the permeate flux and retention
rate did not decrease during the process, and the membrane material maintained
good separation performance. During the 36-h direct contact membrane distillation
experiment, the membrane performance was stable, and the water flux and retention
rate remained stable. In order to measure the resistance of PTFE membranes to
contamination, the operating time was extended. A decrease in retention and permeate
flux was observed at 48 h, indicating that the membrane was contaminated, resulting
in a decrease in hydrophobic performance. It also indicates that the stability of the
hydrophobic PTFE membranes used in the membrane distillation process does not
meet the industrial requirements and that a more stable membrane material needs to
be adopted and developed.
122 T. Zhu et al.
8 100.0
99.5
Water flux(Kg/m2h)
Salt rejection(%)
6
99.0
4
98.5
2 98.0
0 10 20 30 40 50
Time(h)
Fig. 11.4 Long time test data
11.4 Conclusion
MD has a promising application in the treatment of high-salt wastewater. In addi-

tion to the type and concentration of contaminants in the feed solution, membrane
contamination and wetting are also affected by the operating conditions, and energy
consumption problems have been hindering its large-scale application. This study
examines the impact of temperature on the efficacy of MD treatment for wet treatment
of discharged high brine. We then avoid the temperature polarization phenomenon to
make the best MD efficiency, which serves as a guide to lower the energy consump-
tion of MD systems and increase the effectiveness of using waste heat. This study
showed that during the treatment of highly saline water generated from the wet treat-
ment of waste incineration slag by direct contact membrane distillation, the interac-
tion between the contaminants in water and the membrane surface would produce
an inevitable flux decay and membrane wetting phenomenon. When the feed water
temperature is 40 °C, the water flux of membrane distillation is low, and the water
flux is high at 50 °C. The inorganic salts can be retained more obviously, and the
final effluent quality is better. However, when the influent temperature was further
increased to 60 °C, the deposition of contaminants on the membrane surface raised
and produced more serious flux attenuation and membrane wetting, resulting in the
deterioration of the effluent quality. In summary, a feed water temperature of 50 °C is
suitable for membrane distillation to treat high brine generated from the wet treatment
of waste incineration slag. In the future, further research on MD technology can be
explored in terms of effectively utilizing industrial low-temperature waste heat and
the effects of different operating conditions on the MD process to reduce temper-

ature polarization and improve MD performance fundamentally. And the stability
of hydrophobic PTFE membranes does not yet meet industrial requirements, and
membrane materials with better stability need to be adopted and developed.
References
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J (1997) Municipal solid waste incinerator residues-IAWG (international ash working group).
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pretreatment of municipal solid waste incineration fly ash. J Tianjin Chengjian Univ
Chapter 12
On the Methodology for Ensuring
Specified Availability Factors of NPP
Units
Alexandr Arzhaev , Alexey Arzhaev , Aleksandr Kalyutik ,

Valentin Makhanev , and Viktor Modestov
Abstract Nuclear Power for electricity generation is a valuable component of

“green” energy which can help to eliminate use of organic fuel at Power Plants.
Safety issues have been successfully solved at “Generation III+” Nuclear Power
Plant units developed in Russian Federation. So ensuring of high availability factors
for these Power Plants is of the main concern which is discussed in paper.
Keywords Nuclear power plant · Life management · Safety · Availability factor ·

Aging management · Structures · Systems and components
12.1 Introduction
The economic goal of nuclear power plant (NPP) operation is to maximize return on
investment during NPP lifetime upon condition of acceptable safety level.
In this regard, NPP “Life management” or “Lifetime management” strategies
should be considered as cooperation of aging management and economic planning
for: (1) optimization of performance, maintenance and lifetime of structures,
systems and components (SSC); (2) providing an acceptable level of performance
and safety; and (3) maximizing the return on investment during NPP lifetime
A. Arzhaev
ANO International Nuclear Safety Center, 2/8, Korp 7, Malaya Krasnoselskaya Str,
Moscow 107140, Russian Federation
A. Arzhaev (B) · V. Makhanev
LLE “SPE “DIAPROK”, 13, Building 1, Akademika Koroleva Str, Moscow 129515, Russian
Federation
e-mail: arjaev@dsc.msk.ru
A. Kalyutik · V. Modestov
Peter the Great Sankt-Petersburg Polytechnic University, 29, Polytechnicheskaya Str, Saint
Petersburg 195251, Russian Federation
https://doi.org/10.1007/978-3-031-30233-6_12
126 A. Arzhaev et al.
(https://www-pub.iaea.org/MTCD/Publications/PDF/PUB1830_web.pdf; https://
www.iaea.org/publications/7648/iaea-safety-glossary).
“Aging management” covers a set of measures—(1) engineering, (2) operation,
(3) maintenance to keep ageing degradation of SSC within acceptable (permis-
sible) borders. Examples of engineering measures include design, technology certi-
fication, failure analysis. Examples of operational measures include supervision,
implementation of procedures (regulations), environmental measurements.
Four IAEA symposia, devoted to the peculiarities of NPP aging management
(https://www.iaea.org/publications/6904/nuclear-power-plant-life-management;
https://www.iaea.org/publications/7929/nuclear-power-plant-life-management;
https://www.iaea.org/publications/10392/third-international-conference-on-nuc
lear-power-plant-life-management; https://www.iaea.org/publications/13640/nuc
lear-power-plant-life-management), provided the update of IAEA recommendations
on SSC aging management to the modern level (https://www-pub.iaea.org/MTCD/
Publications/PDF/P1814_web.pdf; https://www-pub.iaea.org/MTCD/Publications/
PDF/P1738_web.pdf; https://www-pub.iaea.org/MTCD/Publications/PDF/Pub167
5web.pdf).
New NPP Units of generation “III+”, fully equipped with safety systems, are
under threat to lose competitive fight against modern organic fuel power units
(Adamov 2018). Therefore, it is extremely urgent to improve the methodology
of NPP design and operation, taking into consideration the recommendations of
the IAEA on SSC aging management (https://www.iaea.org/publications/6904/
nuclear-power-plant-life-management; https://www.iaea.org/publications/7929/nuc
lear-power-plant-life-management; https://www.iaea.org/publications/10392/third-
international-conference-on-nuclear-power-plant-life-management; https://www.
iaea.org/publications/13640/nuclear-power-plant-life-management; https://www-
pub.iaea.org/MTCD/Publications/PDF/P1814_web.pdf; https://www-pub.iaea.
org/MTCD/Publications/PDF/P1738_web.pdf; https://www-pub.iaea.org/MTCD/
Publications/PDF/Pub1675web.pdf), which should provide maximum return on
investment for Russian Units of the generation “III+” with the design lifetime of
60 years.
Advanced methods of monitoring, diagnostics and analysis for NPP SSC state
assessment, recommended by the IAEA (https://www-pub.iaea.org/MTCD/Pub
lications/PDF/Pub1599_web.pdf), provide reliable forecast of lifetime of main
equipment of the generation “III+” NPPs up to 80 years. As applied to Reactor
Pressure Vessel (RPV) of Kursk NPP-2 Unit 1, taking into account results of Russian
scientists (http://www.kremlin.ru/supplement/1470), the design lifetime of 60 years
can be extended to 100 years due to lack of RPV weldments opposite the core (https:/
/www.rosatom.ru/journalist/news/na-stroitelnuyu-ploshchadku-kurskoy-aes-2-dos
tavlen-korpus-reaktora-vver-toi-dlya-pervogo-energoblok/?sphrase_id=2218125).
12 On the Methodology for Ensuring Specified Availability Factors of NPP … 127
12.2 Brief History of the Methodology Issue
The importance of solving the problem of maximizing return on investment during

the NPP lifetime upon condition of acceptable safety level will increase in connection
with the growing popularity of “green energy”, which should include nuclear energy
too.
Several basic technologies to resolve the problem were discussed/proposed
earlier in (https://www.e3s-conferences.org/articles/e3sconf/pdf/2020/69/e3sconf_
energy-212020_03006.pdf; https://link.springer.com/chapter/10.1007/978-981-16-
9376-2_22), and issues of aging of thermomechanical equipment, including
pipelines, were discussed in Arzhaev et al. (2016); https://www.e3s-conferences.org/
articles/e3sconf/pdf/2021/01/e3sconf_corrosion2020_02005.pdf; https://www.e3s-
conferences.org/articles/e3sconf/pdf/2020/69/e3sconf_energy-212020_03005.pdf.
Proposals to take into account NPP elements failures impact on the economic
performance indicators were presented in the report of JSC VNIIAES in 2012
(Dementiev et al. 2012) by introducing additional classification criterion for equip-
ment in terms of its effect on power generation. As applied to the classification
(existing for 2012)—according to impact on safety (classes 1, 2, 3, 4); according
to (PNAE G-7-008-89. https://docs.cntd.ru/document/1200044519) by equipement
groups (A, B, C); according to (NP-031–01. https://docs.secnrs.ru/catalog/FNP/NP_
031_01/) by seismic resistance classes; according to purpose and operating condi-
tions for valves (1A … 3CIIIc)—a criterion had been added according to failure
effect on power generation and repairability when the unit is operating at power:
• H (high)—failure causes unit shutdown;
• M (middle)—failure reduces the unit power by 25% or more from the previous
power level;
• L (low)—failure reduces the unit power by no more than 25%;
• N (no)—does not affect power generation;
• N/o (no/operation)—does not affect power generation and can be repaired when
the unit is operating at power.
However, the proposals of VNIIAES (Dementiev et al. 2012) have not yet been
taken into account in the industry’s regulatory framework.
12.3 Task Prioritization to Meet the Requirements to NPP

Safety and Availability Factors
The prerequisites to account for NPP failures that do not affect safety, but reduce
power generation appeared in 2018 by NP-071-18 (clause 3, “d)”) (NP-071-18. https:/
/docs.secnrs.ru/catalog/FNP/NP_071_18/) introduction with the grounds to conduct
safety compliance assessments for class 4 products. The earlier document NP-096-15
(NP-096-15. https://docs.secnrs.ru/catalog/FNP/NP_096_15/) was intended solely
for lifetime managing of safety classes 1–3 equipment and pipelines according to
NP-001-15 (NP-001-15. https://docs.secnrs.ru/catalog/FNP/NP_001_15/).
To rank NPP elements according to the impact of failures on safety in accordance
with NP-001-15 (NP-001-15. https://docs.secnrs.ru/catalog/FNP/NP_001_15/), a
document has been developed by the design organization (JSC EC ASE. STO
8841271.058-2017), on the basis of which it is planned to develop an industry or
national standard.
To rank NPP elements according to the impact of failures on availability, another
document (JSC EC ASE. STO 8841271.050-2017) has been developed as a basis for
planned industry or national standard.
The methodology described in JSC EC ASE. STO 8841271.050-2017 is a tool
for specialists of design organizations and allows:
• quantify (calculate) design level of reliability (and availability as a component of
reliability) of individual SSCs and NPP unit as a whole;
• assess the compliance of the NPP unit reliability (and availability) with the
requirements established in the TOR or contract;
• identify NPP systems or elements that are critical in terms of availability
(reliability);
• develop and justify recommendations to increase NPP availability level, also
taking into account the costs to implement the recommendations;
• develop and justify proposals to improve maintenance and repair regulations;
• develop justified requirements for equipment suppliers in terms of required level
of equipment reliability.
The methodology allows assessing availability factors of both NPPs in operation
and newly designed NPPs.
Table 12.1 show an example of assigning SSCs to four classes according to https:/
/publications.jrc.ec.europa.eu/repository/handle/JRC50072, and the MS&I strategy
(Maintenance, Surveillance & Inspection).
For SSCs related to classes A,B,C in https://publications.jrc.ec.europa.eu/reposi
tory/handle/JRC50072, a kind of component “health certificate” is recommended
for permanent review and upgrading by the system engineers. The certificate should
Table 12.1 Examples of classes A-D of SSCs and selected maintenance and repair strategies
Class Description
A Critical SSCs that directly affect NPP performance in terms of availability and integrity
and cannot be replaced
Example of MS&I strategy: comprehensive monitoring and analyzing of degradation
B Critical SSCs in terms of safety importance and cost of replacement/repair
Example of MS&I strategy: by technical state
C Significant SSCs
Example of a MS&I strategy: preventive (on schedule)
D Other SSCs
Example of MS&I strategy: upon malfunction/failure
Fig. 12.1 An example of SSCs classification at NPP “Loviisa” for PLIM issues: production losses,
safety relevance, etc. (if item is safety related, but its failure does not cause production losses—class
3; FV—Fussel-Vessely importance value https://inis.iaea.org/collection/NCLCollectionStore/_Pub
lic/28/059/28059559.pdf)
have link to the design basis and collection of aging management programs results,
operation and in-service inspection records, including important issues revealed by
previous tasks.
Under assessing SSCs failure impact on PLIM process in Dementiev et al. (2012)
it is recommended to take into account the experience of NPP “Loviisa” (Fig. 12.1).
12.4 Comparison of NPP Operation Integral Indicators
12.4.1 The Leaders in Terms of NPP Operation Integral

Indicators
It is necessary to analyze the experience of operation of NPP units in Russia (primarily

NPP units with VVER-1000 reactor facility (RF)) and NPP units abroad in order to
compare and assess the achievements of NPP operation models and develop recom-
mendations on the most effective operation models for new NPP units (first of all for
VVER-1200 units being the basis of ROSATOM export potential).
Taking into account the publication on NPP operation indicators at the end of 2017,
2018 and 2019 (Load factor to end December 2017; Load factor to end December
2018; Load factor to end December 2019) (hereinafter NEI), a list of NPP units
ranged by total power generation was formed. There are also used mid-2021 data
from the IAEA PRIS (Power Reactor Information System) (https://www.iaea.org/
resources/databases/power-reactor-information-system-pris). The collected data are
presented in Table 12.2.
It should be noted that power generation leaders are the German NPP units of
PWR type, which can be considered as analogs of NPP units with VVER-1000. The
leaders in total power generation among the US NPPs are BWR-type reactor units,
the operating time of which is ~1.5 higher than the operating time of German NPPs
(Table 12.2).
In addition to the ranking of NPP units by total power generation, proposed in
NEI, the weighted average indicator of total generation from each 1000 MW of
installed capacity is of interest. Indirectly, the indicator points to the NPP units with
the best optimal operation models, in contrast to the total power generation ranking.
Weighted average indicator ranking of German NPP PWR units according to the data
in Table 12.2 is presented in Table 12.3.
Indicators of NPP reference units for the period of operation are given in Table
12.2, as well as in Fig. 12.2. For an integral assessment of the quality of NPP unit
design and operation model the generation losses, averaged over the years, were
considered: (1) planned losses; (2) unplanned losses due to NPP fault; (3) unplanned
losses due to external reasons. Details of the calculation of the selected NPP operation
indicators are described in the document (https://www-pub.iaea.org/MTCD/Public
ations/PDF/te_1393_web.pdf).
Most of the selected NPP reference units represent Germany, where, after the
events at the Fukushima NPP in 2011 (https://www.iaea.org/publications/10962/the-
fukushima-daiichi-accident), decisions were made to close all NPP units in 2022.
The experience of German NPPs, ensured maximum power generation indicators in
comparison with other countries with developed nuclear power engineering, deserves
attention.
12.4.2 Information on Russian NPP Operation Integral

Indicators
The operation indicators of Tianwan NPP units No. 1–2 and Rostov NPP units No.
1–2 with the VVER-1000 RF are given in Table 12.4, as well as in Fig. 12.3.
Comparative data on the operation indicators of the NPP group under considera-
tion at the end of 2020 are given in the next subsection.
Table 12.2 The best NPPs in terms of total electricity generation at the end of 2017–2020
Code NPP name Type Connecting Years in operation Total generated (TWh) Total generated (TWh) based
to the according to PRIS data on NEI data
network 2017 2018 2019 2020 2017 2018 2019 2020 2017 2018 2019 2020
DE-27 GROHNDE PWR 09.84 33.3 34.3 35.3 36.3 346.6 357.0 367.1 377.0 365.3 376.3 386.8 n.d
DE-24 PHILIPPSBURG-2 PWR 12.84 33.1 34.1 35.1 36.1 336.9 347.3 357.2 357.2 354.2 365.2 376.5 n.d
DE-31 ISAR-2 PWR 01.88 30.0 31.0 32.0 33.0 321.2 332.7 344.0 355.1 341.4 353.5 365.6 n.d
DE-32 BROKDORF PWR 10.86 31.3 32.3 33.3 34.3 322.1 332.0 341.6 351.6 340.7 351.1 361.3 n.d
DE-33 EMSLAND PWR 04.88 29.8 30.8 31.8 32.8 315.7 326.6 336.8 347.7 332.4 343.9 354.7 n.d
DE-28 GUNDREMMINGEN-C PWR 03.84 33.8 34.8 35.8 36.8 304.7 314.6 324.5 333.2 331.6 331.6 342.0 n.d
US-277 Peach Bottom 2 BWR 02.74 43.9 44.9 45.9 46.9 320.1 330.8 342.4 352.6 329.2 340.3 352.3 n.d
US-278 Peach Bottom 3 BWR 09.74 43.3 44.3 45.3 46.3 317.1 328.0 338.8 350.3 326.7 336.8 348.1 n.d
DE-26 GUNDREMMINGEN-B PWR 11.84 33.2 – – – – – – – 321.3 – – –
DE-44 NECKARWESTHEIM-2 PWR 01.89 29.0 30.0 31.0 32.0 299.1 308.2 318.0 328.4 317.5 327.2 337.6 n.d
12 On the Methodology for Ensuring Specified Availability Factors of NPP …
131
Table 12.3 Ranking of NPP units according to the weighted average indicator of total generation
from each 1000 MW of installed capacity at the end of 2017–2019
Code NPP name Weighted average indicator Ranging
of total generation (GWh)
from each 1000 MW
2017 2018 2019 2017 2018 2019
DE-27 GROHNDE 7,586 7,586 7,582 (3) (3) (3)
DE-24 PHILIPPSBURG-2 7,319 7,320 7,314 (5) (5) (5)
DE-31 ISAR-2 7,770 7,782 7,792 (2) (2) (2)
DE-32 BROKDORF 7,383 7,371 7,354 (4) (4) (4)
DE-33 EMSLAND 8,041 8,045 8,033 (1) (1) (1)
12.4.3 Comparative Analysis of NPP Operation Integral

Indicators
For power units No. 1–2 of Rostov and Tianwan NPPs the difference between
the current operation indicators and similar indicators for German NPPs are quite
acceptable (Table 12.5). However, taking into account the significant difference in
operating time at power for units No. 1–2 of Rostov NPP and reference units of
German NPPs, it is recommended to the first to improve the lifetime management
processes based on NP-096-15 (NP-096-15. https://docs.secnrs.ru/catalog/FNP/NP_
096_15/) and aging management processes based on IAEA recommendations
(https://www-pub.iaea.org/MTCD/Publications/PDF/P1814_web.pdf; https://www-
pub.iaea.org/MTCD/Publications/PDF/P1738_web.pdf; https://www-pub.iaea.org/
MTCD/Publications/PDF/Pub1675web.pdf).
12.5 SSCs Integrity as a Way to Minimize Failures

and Losses
A significant difference of German NPPs is the application since the late 1980s of
the methodological provisions of the “basic safety concept” (https://inis.iaea.org/
search/search.aspx?orig_q=RN:11541676; https://inis.iaea.org/search/search.aspx?
orig_q=RN:16061517), which reduces the probability of failure of the NPP SSCs
to such a low level, which makes it possible to exclude sudden catastrophic failures
from safety analysis.
The purpose of the development and implementation of the mentioned method-
ological approach is to prevent / exclude breaks (Break Preclusion or BP) of NPP
pipelines and vessels.
The constituents of a “basic safety concept” are: (1) quality assurance in manu-
facturing, including optimization, control, validation in design, material selection
and manufacturing; (2) 3rd party conformity assessment; (3) the principle of “worst
Table 12.4 Total power generation of NPP reference units with VVER-1000 RF at the end of 2017–2020
Code NPP name Type Connecting to the network Years in operation Total generated (TWh) according to
PRIS data
2017 2018 2019 2020 2017 2018 2019 2020
RU-59 ROSTOV-1 PWR 03.2001 16.8 17.8 18.8 19.8 120.9 128.5 137.1 144.5
RU-62 ROSTOV-2 PWR 03.2010 7.8 8.8 9.8 10.8 57.8 64.5 73.2 81.0
CN-10 TIANWAN-1 PWR 05.2006 11.6 12.6 13.6 14.7 80.0 87.1 95.3 102.7
CN-11 TIANWAN-2 PWR 05.2007 10.6 11.6 12.6 13.6 79.1 86.7 94.4 102.4
12 On the Methodology for Ensuring Specified Availability Factors of NPP …
133
Fig. 12.2 Cumulative coefficients for the units of the NPP in Germany: a unplanned capability
loss factor; b planned unavailability factor
Fig. 12.3 Cumulative coefficients for Tianwan NPP units No. 1–2 and Rostov NPP units No. 1–2
with VVER-1000 RF: a unplanned capability loss factor; b planned unavailability factor
Table 12.5 Comparative data on the operation indicators of the NPP group under consideration at
the end of 2020
NPP name UCLav, PUFav, XUFav, UCLav PUFav range, XUFav
% % % range, % % range, %
EMSLAND 0.65 6.45 0.27 0.65–3.68 6.06–8.74 0.27–1.08
ISAR-2 1.35 6.06 0.33
GROHNDE 2.41 6.74 0.55
BROKDORF 3.68 6.75 0.30
PHILIPPSBURG-2 2.71 8.74 1.08
ROSTOV-1 1.33 10.30 0.32 1.33–2.63 6.92–10.30 0.27–0.32
ROSTOV-2 2.63 6.92 0.27
TIANWAN-1 0.66 12.83 0.12 0.13–0.66 10.12–12.83 0.12–0.12
TIANWAN-2 0.13 10.12 0.12
Note UCLav is the cumulative unplanned capability loss factor due to causes in the plant; PUFav—
cumulative planned unavailability factor; XUFav—cumulative unplanned unavailability factor due
to causes external to the plant
case”, confirmed by the results of R&D and experimental studies of SSC failures;
(4) in-service monitoring of operating parameters, observation (witness samples) and
periodic in-service non-destructive testing (including documentation of results); (5)
validation and verification, development of regulatory requirements and standards,
including those on fracture mechanics and non-destructive testing technologies. The
treats of non-design damage mechanisms in operation are eliminated by repair with
material replacement.
Implementation of the “basic safety concept” is a precondition for allowing limited
coolant leaks in NPP design (https://inis.iaea.org/search/search.aspx?orig_q=RN:
28076013). That is, the German NPPs (Table 12.3) have already been designed, built
and commissioned taking into account the provisions of the “basic safety concept”,
which also includes cases of the “leak before break” scenario.
The final document on BP concept (http://www.kta-gs.de/e/standards/3200/3206_
engl_2014_11.pdf) contains provisions for ensuring structural integrity of the NPP
unit SSCs: pipelines, vessels, valve bodies and pumps.
The basic BP standard (http://www.kta-gs.de/e/standards/3200/3206_engl_2014_
11.pdf) has references to other standards: KTA 3201.1—KTA 3201.4, KTA 3203,
KTA 3205.1 (for NPP primary circuit systems) and KTA 3211.1—KTA 3211.4, KTA
3205.2 (for systems outside NPP primary circuit).
In addition, the approaches to ageing management of NPP SSCs are regulated in
Germany by the KTA 1403 (2017–11) standard (http://www.kta-gs.de/e/standards/
1400/1403_engl_2017_11.pdf).
Taking into account the results of BP concept applications at German NPPs, it
is advisable to return once again to amend paragraph 3.3.3 NP-001-15 (NP-001-
15. https://docs.secnrs.ru/catalog/FNP/NP_001_15/) and paragraph 5.2 NP-006-16
(NP-006-16. https://docs.secnrs.ru/catalog/FNP/NP_006_16/) (proposals (Arzhaev
2018)):
(1) In clause 3.3.3 of NP-001-15 (NP-001-15. https://docs.secnrs.ru/catalog/FNP/
NP_001_15/) amend the first sentence as follows: “In the NPP design, the
concept of structural integrity should be applied for the reactor coolant loop,
including the mandatory demonstration the “leak-before-break” scenario;
(2) In clause 5.2 of NP-006-16 (NP-006-16. https://docs.secnrs.ru/catalog/FNP/
NP_006_16/) amend the first sentence as follows: “Structural integrity (strength,
high resistance to unstable fracture and tightness) of the primary circuit pressure
boundaries”.
These proposals are consistent with the ones on Reliability Centered Maintenance
(RCM) technology application to NPP passive SSCs based on their effective aging
management (https://link.springer.com/chapter/10.1007/978-981-16-9376-2_22).
12.6 Peculiarities of Aging Management of NPP SSCs
A differentiated approach to aging management for active and passive components is

shown in Fig. 12.4 (https://www.elsevier.com/books/understanding-and-mitigating-
ageing-in-nuclear-power-plants/tipping/978-1-84569-511-8), taking into account
operation in harsh and mild environment conditions. Qualification tests are recom-
mended in https://www-pub.iaea.org/MTCD/Publications/PDF/EBP-SALTO_web.
pdf for mechanical and electrical equipment under conditions close as possible to
operating conditions.
For complex equipment (for example, electrically driven pipeline valves), there
are special centers in Russia equipped by test stands for valves up to DN300 mm
inclusive (Zhilin 2018; Zhilin and Maltsev 2018), which allow, based on the test
results, to issue diagnostic certificates for valves before delivery to the plant. This
makes it possible to diagnose and assess technical state of the electric drives in
comparison with the initial parameters specified in the certificates in order to fit the
maintenance and repair schedule.
For active SSCs, it is recommended to apply RCM based on standards (EC 60300-
3-11; GOST R 27.606-2013) and IAEA recommendations (https://www-pub.iaea.
org/MTCD/Publications/PDF/te_1590_web.pdf), taking into account the develop-
ments of Russian specialists in NPP elements reliability and safety (Ostreikovsky
1986, 1994).
Fig. 12.4 The concept of maintaining the equipment operating condition

12.7 Conclusion
Provisions of the methodology for ensuring specifies availability factors for NPP
significant SSCs are presented in the publication. The methodology is intended for
application at NPP units with VVER-1200 reactors in Russia and abroad, taking into
consideration modern IAEA recommendations on effective aging management of
SSC.
Acknowledgements The research is partially funded by the Ministry of Science and Higher Educa-
tion of the Russian Federation as part of the World-class Research Center program: Advanced Digital
Technologies (contract No. 075-15-2022-311 dated 20.04.2022).
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Chapter 13
Economic Analysis on Reform of Flue
Gas Waste Heat Utilization System
in Thermal Power Plant
Liang Cheng, Yi-Peng Sun, and Tian-Liang Wen
Abstract In order to realize the comprehensive economic evaluation of the trans-

formation of flue gas waste heat utilization system of a power plant, an evaluation
method based on test detection and theoretical derivation calculation is proposed. The
influence of transformation on unit is unified to the influence on coal consumption of
power supply, and the corresponding test is carried out. The experiment shows that
the reform of flue gas waste heat utilization system in a power plant can reduce the
coal consumption of power supply by up to 3.83 g/(kW·h) under full load conditions.
Keywords Flue gas waste heat utilization system · Economic evaluation · Test
detection · Coal consumption of power supply
13.1 Introduction
Heat loss due to exhaust gas is the largest heat loss of boiler in thermal power plant,
Deep utilization of waste heat of boiler exhaust is of great significance (Lei et al.
2018; Jun et al. 2017). At present, the most common way of domestic thermal power
plants to use flue gas waste heat is to install flue gas waste heat utilization device in
the tail flue of the boiler. It can not only use flue gas waste heat to heat condensate or
cold air, but also affects other auxiliary equipment in the tail flue due to the decrease
of exhaust temperature, such as it can improve the safety of cloth bags in cloth bag
filter equipment and the dust removal efficiency of the electrostatic precipitator; the
decrease of flue gas volume caused by the decrease of temperature can reduce the
power consumption of induced draft fan; the decrease of flue gas temperature can
L. Cheng · Y.-P. Sun (B)

North China Electric Power Research Institute CO, Ltd, Beijing 100045, China
e-mail: syp1103@qq.com
T.-L. Wen
School of Low-Carbon Energy and Power Engineering, China University of Mining and
Technology, Xuzhou 221116, China
https://doi.org/10.1007/978-3-031-30233-6_13
140 L. Cheng et al.
reduce the water consumption of wet desulfurization system (Dong-tao et al. 2015;
Jing-hui et al. 2014, 2015; Yong-lin et al. 2017; Zhong-he and Peng 2015). But the
installation of flue gas waste heat utilization system will increase the flue resistance,
the operation of the flue gas waste heat utilization system will also increase the power
consumption of the plant. Therefore, the economy of installing flue gas waste heat
utilization system needs comprehensive analysis. In order to achieve energy saving
effect, a power plant adds two-stage flue gas waste heat utilization device on the
outlet flue pipes of the boiler air preheater, one level of flue gas waste heat is used
to heat the condensation water, another level of flue gas waste heat is used to heat
the circulating water to replace the original turbine auxiliary steam to heat the cold
primary air and cold secondary air at the inlet of air preheater. In order to analyze
and evaluate the economy of flue gas waste heat utilization system reformation, the
paper first discusses the method of economic evaluation, then carries out relevant
experiments, and finally determines the economic conclusion of this transformation.
13.2 Introduction of Flue Gas Waste Heat Utilization

System Reform
Unit 3 of a power plant is a 660 MW subcritical air-cooling coal-fired generating

unit, the boiler is designed and manufactured by Shanghai Boiler Works Ltd. The
boiler is subcritical, control cycle, once reheat in the middle, direct flow burner
in four corners, tangential firing, pressurized
π direct pulverizing coal systems, single
furnace, balanced draft, dry ash extraction, type tight closed arrangement, all steel
firm structure drum boiler. Each furnace is equipped with two tri-sectional Junker
air preheaters, two axial-flow induced draft fan with adjustable rotor blades, two
blowers with adjustable rotor blades and two primary air fans with adjustable rotor
blades. In order to prevent the air preheater from low temperature corrosion, each
blower and the outlet of primary air fan is equipped with a steam heater, the steam
source comes from the auxiliary steam at turbine.
The transformation mainly includes two parts, one is Installing flue gas-
condensate water heating system in the horizontal flue behind the air preheater and
in front of the dust collector (FGC1), the condensate inlet water comes from the
inlet of #6 low-pressure heater, and the heated condensate water is sent to the #6
low-pressure heater outlet. The second is to install flue gas—air heating system in
the horizontal flue between FGC1 and dust collector (FGC2), the heated circulating
water in FGC2 replaces the auxiliary steam in the heater to heat the primary and
secondary air. The diagram of flue gas waste heat utilization system is shown in
Fig. 13.1, the main design parameters of the system are shown in Table 13.1, the
design parameters of the circulating water steam–air heater are shown in Table 13.2.
13 Economic Analysis on Reform of Flue Gas Waste Heat Utilization … 141
Fig. 13.1 Schematic diagram of flue gas waste heat utilization system
Table 13.1 Design

Item Unit FGC1 FGC2
parameters of flue gas waste
heat utilization system Inlet flue gas temperature °C 152 146
(BMCR) Outlet flue gas temperature °C 146 113
Inlet water temperature °C 90.9 70
Outlet water temperature °C 120.3 100
Heat exchange rate MW 5.73 29.61
Heat exchange area m2 10,000 21,500
Pipe flue gas velocity m/s 9.4 9.4
Heat exchanger depth mm 12,400 11,800
Heat exchanger width mm 4880 4880
Heat exchanger width mm 558 1302
Pipe outer diameter mm 38 38
Pipe wall thickness mm 5 5
Flue gas resistance pa <120 <200
Water side resistance Mpa <0.1 <0.1
13.3 Economic Evaluation Method for Reform of Flue Gas

Waste Heat Utilization System
The economic analysis of the reform is mainly to unify the influence on the unit
before and after the transformation to the coal consumption of power supply bg ,
and the prerequisite for comparison before and after the reform is that the operating
parameters of the boiler remain unchanged under the rated load condition of the unit,
142 L. Cheng et al.
Table 13.2 Design

Item Unit Primary air Secondary air
parameters of air heater
heater heater
system with circulating water
Inlet air °C 28 23
temperature
Outlet air °C 67 67
temperature
Inlet water °C 100 100
temperature
Outlet water °C 70 70
temperature
Heat exchange MW 3.53 11.1
rate
Heat exchange m2 3500 8500
area
Heat exchanger mm 4000 5000
width
height
depth
Air velocity m/s 10.0 11.3
Wind side pa <200 <250
resistance
Water side Mpa <0.1 <0.1
resistance
and the heating capacity of heat source of the air heater is based on the maximum
temperature rise value of the cold air when the auxiliary steam is used for heating.
At this time, the temperature rising value of cold primary air is Δt p1 , and that of
cold secondary air is Δts1 , this condition is recorded as the standard condition before
reform. According to the calculation method of coal consumption of power supply
of unit, the influence on the coal consumption of power supply is divided into three
parts: boiler efficiency, heat consumption of steam turbine and power consumption
rate (DL/T 904-2015), that is Δbg = ∂bg /∂η×Δη+∂bg /∂ Q ×ΔQ +∂bg /∂ L ×ΔL.
13.3.1 Effect on Boiler Efficiency Δη
According to “Performance test code for utility boiler”, the steam air heater device,
the original auxiliary steam system and the reformed flue gas waste heat utiliza-
tion system are all outside the boundary of the boiler efficiency calculation, so the
influence of the transformation on the boiler efficiency is zero (GB/T 10184-2015).
13.3.2 Effect on Heat Consumption of Turbine Δ Q
FGC1 heating condensate water is equivalent to replace the original steam turbine
extract steam, reducing the heat consumption of the steam turbine. Many scholars
have studied the computational analysis of this effect, both the theoretical heat
balance method and the equivalent enthalpy drop method are used, the result shows
that the gap between the theoretical calculation results and the experimental results
is very small when the equipment parameters are reliable (Yong-lin et al. 2017;
Zhong-he and Peng 2015; Jing-hui et al. 2015; Feng and Pei-hong 2008).When the
test condition permits, the test measurement method is recommended, that is, under
the condition of rated load of the unit, the heat consumption of the steam turbine
is measured under the FGC1 input and exit conditions, and the heat consumption
difference between the two conditions is ΔQ 1 .
The use of flue gas waste heat FGC2 as the indirect heat source of steam–air
heater is equivalent to replacing the original turbine steam extraction, so that the
steam extraction of turbine is reduced, reducing the heat consumption of steam
turbine. Assuming that all the steam extraction heat from the turbine is transferred
to the cold air in the original way, converting to an increase in temperature of cold
air, regardless of the heat exchange efficiency, the heat absorbed by the maximum
temperature rise of the cold primary air and cold secondary air is the maximum heat
of extraction steam of the steam turbine Q max 1 , it can be calculated by the following
formula Q max1 = q 1 c p1 Δt 1
p + q2 c p2 Δt 1
s , where q1 and q2 are the mass flow rates of
primary air and secondary air at rated load, c p1 and c p2 are the specific heat at constant
pressure of primary air and secondary air.
When the flue gas waste heat is used as the indirect heat source, the maximum
temperature rises values of the cold primary air and the cold secondary air are Δt p2
and Δts2 .
If Δt p2 > Δt p1 ,Δts2 > Δts1 , that is, the flue gas waste heat cancan transfer more
heat to cold air, but the heat of extraction steam of the steam turbine Q 2 that can be
replaced by flue gas waste heat is still Q max 1 , therefore, at this time, it is necessary
to adjust circulating water pump speed of the flue gas waste heat utilization system
so that the temperature rise values of the cold primary air and cold secondary air are
Δt p1 and Δt p1 respectively, this working condition is regarded as the standard working
condition after transformation.
The influence of the alternative the heat of extraction steam of the steam turbine
after the transformation on the heat consumption of the turbine is obtained by the
following formula:
Q2
ΔQ 2 = ηSAH × × qTB (13.1)
P0
In the formula:
144 L. Cheng et al.
ΔQ 2 —The influence quantity of heat of extraction steam of the steam turbine that
can be replaced after the transformation on heat consumption of the steam turbine,
kJ/(kW·h);
Q 2 —The alternative the heat of extraction steam of the steam turbine, kW;
ηSAH —The extraction efficiency of the steam turbine used in the steam air heater
at the rated power generation of the unit, it is obtained by the design parameters
of the steam turbine using the equivalent enthalpy drop algorithm or heat balance
algorithm (Feng and Pei-hong 2008);
P0 —Rated generation power of unit, kW;
qTB —The heat rate of steam turbine under standard condition before reformation
is obtained by the performance test of steam turbine under working condition before
reformation.
13.3.3 Influence on Power Consumption Rate
The influence on plant power consumption rate mainly includes two parts. The first
part is the increase of power consumption of circulating water and condensate√ water
system after reformation, the power consumption of water pump is Psb = 3 × Isb ×
Usb × cos θ , where Isb is the sum of current of the circulating water pump and
condensate pump, Usb is the voltage of pump, cos θ is the power factor of pump
motor, is 0.85. Generally, the voltage of pump Usb is fixed, so the increase of pump
power consumption is mainly due to √ the increase of current ΔIsb , the added value of
pump power consumption is ΔPsb = 3 × ΔIsb × Usb × cos θ .
The second part is the change of induced draft fan power consumption caused
by the investment of waste heat utilization system, the induced draft fan power
consumption can be calculated by the following formula: Pyf =qm pt /ρ/η, where qm
is the flue gas mass flow rate of the induced draft fan; pt is the total pressure of
induced draft fan; ρ is the average density of flue gas at the inlet and outlet of the
induced draft fan. In practical application, the flue gas density at the inlet and outlet
of the induced draft fan changes little, so it can be taken as the flue gas density
at the inlet of the induced draft fan, η is the equipment efficiency of induced draft
fan, assuming that this item remains unchanged. The impact should be considered
in two ways. On the one hand, under the condition that the flue gas mass flow rate
qm is unchanged, the flue gas temperature at the inlet and outlet of the induced draft
fan is reduced by Δt due to the input of the waste heat utilization system, which
leads to the increase of the flue gas density ρ, resulting in the decrease of the power
consumption of the induced draft fan, it can be obtained from the following formula:
ΔPy f t = ∂ Py f /∂ρ × ∂ρ/∂t × Δt = Py f /t × Δt; on the other hand, due to the
existence of waste heat utilization device, the flue resistance increases, that is, the
total pressure pt of induced draft fan increases, resulting in the increase of the power
consumption of induced draft fan, the power consumption variation ΔPyf p can be
obtained by: ΔPy f p = ∂ Py f /∂ pt × Δpt = Py f / pt × Δpt , where A is obtained by
experimentally measuring the pressure difference between the inlet and outlet of the
waste heat utilization device, the change of power consumption of induced draft fan
is expressed as ΔPy f = ΔPy f t + ΔPy f p .
( The influence ) of the power consumption rate after reform is ΔL = ΔPL /P0 =
ΔPsb + ΔPy f /P0 , where P0 is the rated generated power of the unit.
13.4 Economic Evaluation Results and Analysis After

Reform
According to the economic evaluation method mentioned above, the reformation of

flue gas waste heat utilization system in the power plant is evaluated and analyzed,
and the corresponding experiments are carried out, it mainly includes measuring
the maximum and average temperature rise range of the primary and secondary air
heaters before reform, the boiler efficiency, the heat consumption of steam turbine and
power consumption rate before the flue gas waste heat utilization system is put into
operation are measured and used to calculate the coal consumption of power supply
of the unit, and determine the steam turbine heat consumption and its deviation ΔQ 1
before and after FGC1 is put into operation, measure the maximum temperature rise
range of the primary and secondary air heaters after reform, the current and voltage
of circulating water pump were measured under standard conditions after reform,
the static pressure and flue gas temperature of FGC1 and FGC2 before and after put
into use after reform under standard operating conditions are measured. The test and
calculation results are as follows.
13.4.1 The Parameters of Steam Air Heater Before Reform

and Test Results of Flue Gas Waste Heat Utilization
System Before Commissioning
According to the historical parameters of the steam air heater operation, the maximum
temperature rise of the primary air heater before the transformation is 24.0 °C, the
maximum temperature rise of the secondary air heater is 26.8 °C, and the average
temperature rise of the primary and secondary air heaters during the winter is 18.5
and 21.4 °C.
The operation parameters of induced draft fan under rated load condition before
reformation are as follows: the current is 367.2 A, the opening of movable vane is
77.4%, and the inlet flue gas temperature t of fan is 137.4 °C.
The unit performance parameters before the flue gas waste heat utilization system
are put into operation are shown in Table 13.3.
146 L. Cheng et al.
Table 13.3 Unit performance parameters before the operation of flue gas waste heat utilization
system
Item Boiler efficiency Turbine heat Power consumption Coal consumption
consumption rate
Unit % kJ/(kW•h) % g/(kW•h)
Data 94.34 7916.62 7.88 314.52
13.4.2 Test Parameters of Flue Gas Waste Heat Utilization

System After Reform
By measuring the temperature before and after the steam air heater after reform, it
is found that the average temperature rises of the primary air heater based on FGC2
hot medium water is 30.2 °C, the average temperature rises of the secondary air
heater based on FGC 2 hot medium water is 49.6 °C, that is, the temperature rise of
the steam air heater before the reform is less than that of the hot medium water air
heater of the FGC 2 system. According to the above economic evaluation method,
the temperature rise of the steam air heater in the standard working condition after
the reform needs to be adjusted by adjusting the speed of the circulating pump to
the temperature rise before the reform, that is to ensure the temperature rise of the
primary air heater is 24.0 °C, ensure the temperature rise of the secondary air heater
is about 26.8 °C. At this time, the temperature and differential pressure of flue gas
before and after FGC1 and FGC2 were measured by grid method, due to FGC1 and
FGC2 are closely adjacent and there is no single measuring point in the middle, only
the flue gas temperature and differential pressure at the inlet of FGC1 and the outlet
of FGC2 were measured. The result shows that the flue gas temperature decreases
from 138.2 to 117.2 °C through the flue gas waste heat utilization system, with a
decrease of 21.0 °C, while the differential pressure before and after the system is
292.5 Pa on average.
After the flue gas waste heat utilization system is put into operation, the frequency
of the booster pump of the FGC1 system is 37.9 Hz, and the current is 81.8 A. The
frequency of the circulating pump of the FGC2 system is 50 Hz, and the current is
236.3 A.
13.4.3 Economic Analysis Results After Reform
According to the above economic evaluation method, the reform has no effect on the
change of boiler efficiency. The economic evaluation after the reform mainly includes
the analysis of the influence on the heat consumption of the turbine and the power
consumption rate of plant, and unity converts to the impact on coal consumption of
power supply.
The influence on heat consumption of turbine. The influence of FGC1 on

turbine heat consumption, through the turbine heat consumption performance test to
measure and calculate the turbine heat consumption before and after FGC1 exit and
input, the turbine heat consumption when FGC1 exit is shown in Table 13.3. The
heat consumption of the turbine after the FGC1 is put into operation is 7898.5 kJ/
(kW•h), that is, the influence ΔQ 1 of the input of FGC1 on the heat consumption of
the turbine is −19.04 kJ/(kW•h).
After FGC2 is put into operation, the amount of cold reheat steam before reform is
reduced, and the reduced extraction steam heat of the turbine is calculated according
to the above method Q 2 = q1 c p1 Δt p1 + q2 c p2 Δts1 , q1 and q2 are the mass flow rate of
primary air and secondary air at the rated load of the unit, the average measurement
results during the test are 461.9 t/h and 1816.7 t/h; c p1 and c p2 are the specific
heat at constant pressure of primary air and secondary air, in order to facilitate the
calculation, they both take the value 1.3 kJ/(kg k); Δt p1 and Δts1 are the temperature
rise of 24.0 and 26.8 °C in the standard working condition after reform. It is calculated
that A is −16.67 kW, and B is calculated to be −75.02 kJ/(kW·h) according to
the formula in the above method, the extraction efficiency ηSAH of the turbine in
the second period of extraction is calculated to be 37.5% according to the design
parameters of the turbine using the equivalent enthalpy drop method.
The effect of the combined input of FGC1 and FGC2 on the heat consumption of
the turbine ΔQ is −94.06 kJ/(kW•h).
The effect of the combined input of FGC1 and FGC2 on the heat consumption of
the turbine relative to the pre-reform ΔQ is −94.06 kJ/(kW•h).
The impact on plant power consumption. According to the above method, the
increase of power consumption of the water pump A is 178.0 kW, which is calculated
from the reformed pump current.
Due to the input of the flue gas waste heat utilization system, the flue gas exhaust
temperature is reduced by 21 °C, and the power consumption of fan ΔPy f t is reduced
by −551.0 kW, at the same time, the flue resistance is increased by 292.5 Pa, and
the fan power consumption ΔPy f p is increased by 173.4 kW.
In summary, the influence of the input of flue gas waste heat utilization system
on the power consumption rate ΔL is −0.03%.
The influence on coal consumption of power supply. According to the above
method, the influence of the system reform on the heat consumption of the turbine
and the auxiliary power consumption rate is transformed into the influence on the
coal consumption of the power supply. The coal consumption of the power supply
due to the change of the heat consumption of the turbine is −3.73 g/(kW·h), the coal
consumption of the power supply due to the change of the auxiliary power consump-
tion rate is −0.10 g/(kW·h), the comprehensive influence on coal consumption of
the power supply is −3.83 g/(kW·h), that is, the power plant can reduce the coal
consumption of the power supply by 3.83 g/(kW·h) through this reform of the flue
gas waste heat utilization system.
148 L. Cheng et al.
13.4.4 Other Influencing Factors of Economic Evaluation

Results
The influence value of power supply coal consumption obtained above is the
maximum influence value of flue gas waste heat utilization system reformation,
because there are other factors affecting the coal consumption of power supply,
including operating load and external environment.
Operating load. The above calculation values are obtained by detection and
calculation under the full load operating condition, the influence of coal consumption
of power supply will be reduced under low load condition. Moreover, due to the low
temperature of flue gas itself under low load conditions, in order to prevent low
temperature corrosion of tail flue, FGC1 system may be shut down, its economy will
be more affected.
External environment. The change of external environment temperature has a
great influence on the heat absorption of the air heater. If the external environment
temperature is large, the heat absorption required by the air heater will be significantly
reduced, and the economy of the flue gas waste heat utilization system will also be
reduced.
In addition, the flue gas waste heat utilization system reform will also reduce the
spray water volume of the gas desulfurization system and reduce the water consump-
tion of the unit due to the reduction of the flue gas temperature; moreover, the input
of the FGC2 system enables the air heater to be put into operation in summer and
will not affect the economy of the unit. The long-term input of the air heater has a
good effect on reducing the corrosion of the ammonium bisulfate of the air preheater,
thereby reducing the risk of increasing the blockage resistance of the air preheater,
which is also beneficial to the long-term stable and economic operation of the unit.
13.5 Conclusion
In this paper, through the evaluation and analysis of the economy of the reform
of the flue gas waste heat utilization system of a power plant, a set of evaluation
methods based on experimental detection combined with theoretical derivation and
calculation is established, and the corresponding detection test is carried out. Finally,
the maximum economic value of the reform of the flue gas waste heat utilization
system of the power plant is determined, and the following conclusions are obtained:
The economic quantitative evaluation and analysis of power plant flue gas waste
heat utilization system reform should be converted into the impact on coal consump-
tion of power supply of unit, and further subdivided into the impact on boiler
efficiency, turbine heat consumption and auxiliary power consumption.
The reformed flue gas waste heat utilization system of the power plant can signif-
icantly reduce the power supply coal consumption of the unit compared with the
system using auxiliary steam as the heat source of the air heater before the reform,
the full load condition can reduce the power supply coal consumption by up to 3.83 g/
(kW·h).
The economic evaluation of power plant flue gas waste heat utilization system
reform is also affected by the unit operating load and external environmental factors,
and the input of flue gas waste heat utilization system can reduce the water consump-
tion of unit and the risk of the increase of resistance caused by blockage of air
preheater.
References
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Chapter 14
Study on the Influence of Air Leakage
Plugging in Gob-Side Entry Retaining
on Air Flow Field and Spontaneous
Combustion “Three Zones” in Goaf
Zhanyou Sa, Yongliang Yang, Lizhi Tian, Jingbo Wu, Xin Zhang, Jie Liu,
and Shouqing Lu
Abstract In order to study the influence of air leakage blocking in gob-side entry
retaining with Y-type ventilation on air leakage flow field and spontaneous combus-
tion “three zones” in goaf, taking the goaf of Y-type ventilation working face in
gob-side entry retaining with roof cutting and pressure relief in a mine as the engi-
neering background. Aiming at the two conditions of air leakage blocking and non-air
leakage blocking in gob-side entry retaining, the air leakage flow field and O2 concen-
tration field in goaf were numerically simulated, and the spontaneous combustion
“three zones” in goaf were divided to explore the distribution law of air leakage flow
field and spontaneous combustion “three zones”. The simulation results show that
the air leakage of gob-side entry retaining mainly reduces the air leakage from gob-
side entry retaining to goaf, and has little effect on the air leakage from upper corner
and lower corner to goaf. Along the direction of 0–10 m range, air leakage changes
little, 10–100 m range, air leakage decreased sharply, the average wind speed of air
leakage than non-blocking air leakage decreased by about 50%; the distribution of O2
concentration in goaf is mainly in the range of 0–50 m along the strike. The average
width of spontaneous combustion zone decreases from 39.5 to 18.5 m. Under the
condition of non-blocking and air leakage of retaining roadway, the range of spon-
taneous combustion zone in goaf is much larger than that of retaining roadway, and
the area of spontaneous combustion danger zone is expanded by 2.7 times.
Keywords Y-type ventilation · Air leakage plugging · Spontaneous combustion

“three zones” · CFD · Fire prevention measures
Z. Sa · Y. Yang (B) · J. Wu · X. Zhang · J. Liu · S. Lu

Department of Safety Science and Engineering, Qingdao University of Technology,
Qingdao 266520, China
e-mail: yyliang426580@163.com
L. Tian
Dalong Mine, Tiefa Coal Industry (Group) Co., Ltd., Tieling 112700, China
https://doi.org/10.1007/978-3-031-30233-6_14
152 Z. Sa et al.
14.1 Introduction
The ‘ roof cutting short wall beam theory ‘ is an important theoretical basis for the
third mining technology reform in China (Manchao et al. 2017). Based on this theory,
Academician He Manchao (Manchao et al. 2018a, b) proposed the technology of roof
cutting unloading gob-side entry retaining. In order to effectively solve the problem
of gas accumulation in the corner corner of the working face, the ventilation method
of coal mining working face can be changed from U-ventilation to Y-ventilation,
which also causes the problem of increasing air leakage to the mining area (Liang
2020). As the top-cutting and pressure-relief section is in the air mining area, the
air mining area is fully exposed in the alleyway, forming a completely open state
(Jianming et al. 2012), and the air leakage in the air mining area is relatively serious.
Harmful gases in the extraction area can easily gush out into the roadway under the
effect of negative pressure, which increases the difficulty of managing harmful gases
in the back mining workings and extraction area (Baoshan et al. 2012).
The study of gas transport in the mining area of coal mines has been a hot topic of
research today. Most scholars have investigated the leakage pattern of Y-ventilation
along the airway in the mining area by setting the ventilation method (Gou and
Han 2018; Li et al. 2020; Wei et al. 2013), tunnel variation (Guoqing et al. 2010;
Xiaodong et al. 2016), air distribution (Jiong et al. 2021, 2022; Chang and Feng
2022), and gas extraction (Tutak 2020; Yanchang et al. 2022; Tinggui et al. 2021)
as variables and using CFD numerical simulation. Some scholars have also verified
the results by means of field measurements, but few studies have been reported on
the effects of air leakage conditions on the air leakage flow field and spontaneous
combustion “three zones” in the mining area. Based on this, this paper adopts the
numerical simulation method to model the mining area of a coal mine cutting the top
and unloading the pressure along the air stay working face, and analyze the specific
distribution law of the leakage flow field and O2 concentration field in the mining
area under the condition of plugging the leakage wind along the air stay, in order
to provide a basis for preventing coal spontaneous combustion and formulating fire
prevention measures in similar mining areas.
14.2 Model Building and Parameter Setting
14.2.1 Overview of Mine Working Face
The elevation of the coal seam is −390~−730 m, and the minable area of the whole
area is 13.0 square kilometers. The thickness of a coal seam is 1.3–6.62 m, with an
average of 2.11 m. Most of them are minable, medium-thick coal seams with small
thickness changes and simple structures. Coal is mainly non-caking coal, long flame
coal followed by better coal, more stable coal seam. Igneous rock has a small amount
of erosion in the coal seam, which has little effect on the coal seam. The strike length
14 Study on the Influence of Air Leakage Plugging in Gob-Side Entry … 153
Main air intake lane

Intake airflow roadway Goaf
Mine working face
Return laneway
Gob-side entry retaining

Vice air intake lane Plugging air leakage location
Adjacent working face
Return air lane
Fig. 14.1 Goaf layout and plugging location
of the mined-out area of the working face is 300 m, and the dip length is 180 m.
The Y-type ventilation mode of ‘two intakes and one return’ is adopted. The strike
longwall retreating mining method is adopted, and the comprehensive mechanized
mining technology is used for stopping. The dip angle of the coal seam is 1°~7°,
with an average of 2°. The mining coal seam is an easy spontaneous combustion coal
seam, and the shortest spontaneous combustion period is 50 days; the mine is a coal
and gas outburst mine. The working face goaf layout and air leakage location are
shown in Fig. 14.1.
In order to prevent the gangue in the goaf from entering the gob-side entry retaining
and reduce the air leakage in the gob-side entry retaining section, the roof cutting
and pressure relief gob-side entry retaining working face carries out the retaining rod
support and spray plugging air leakage work in the gob-side entry retaining section.
In order to prevent the occurrence of air leakage, in the 0~60 m section of the entry
retaining, the air leakage control is carried out by laying the windshield cloth; in the
60~150 m section of the roadway, polyurethane foam (Zhu et al. 2022) rapid closed
spraying was used to spray the top of the roadway and the gravel side for the first time.
In the stable area of roadway, repeated spray, cumulative spray thickness of 100 mm.
The closed porosity of micro-pores in sprayed polyurethane foam coating is over
90% (Yunfeng 2017), and it has good air plugging performance. Spray polyurethane
foam sealing air layout is shown in Fig. 14.2.
154 Z. Sa et al.
Leak plugging air decomposition schematic

Steel mesh
Wind Screen Fabric
metal mesh
Polyurethane foam
Fig. 14.2 Polyurethane foam plugging air layout diagram
14.2.2 Physical Model and Mesh Division
The numerical simulation is divided by tetrahedral mesh, the size of the mesh unit
is a meter, and the mesh of the roadway and the interface is encrypted. The mesh
division is shown in Fig. 14.3. The numerical simulation model only considers the
air leakage inside the goaf and does not consider the surface and other air leakages.
The parameters of the goaf model are shown in Table 14.1.
Fig. 14.3 Goaf model and

grid division Main air intake lane
z outlet
y
x Gob-side entry retaining
Vice air inlet lane
Table 14.1 Goaf model

Name Parameter setting
parameters
Goaf 300 m × 180 m × 38 m
Working face 3 m × 180 m × 2.5 m
Intake lane 20 m × 3 m × 3 m
Gob-side entry retaining 325 m × 3 m × 3 m
Table 14.2 Goaf boundary

Boundary name Boundary type
condition setting
Airflow inlet Volocity-inlet
Airflow outlet Out-flow
Goaf Porous zoon
Working face Fluid
Working face-goaf wall Interior
Gob-side entry retaining-goaf wall Porous-jump
Other wall surfaces No-slip
Methane source term Floating coal gushing out
14.2.3 Boundary Conditions and Related Parameter Setting
The interrelating parameters of the simulation are set as follows: the air volume ratio
is 3:2; that is, the fresh air flows through the working face and the retaining section
from the main intake airflow roadway and the auxiliary intake airflow roadway at
the speed of 1.5 and 1.0 m/s. The boundary conditions of the whole goaf are set as
shown in Table 14.2.
14.3 Simulation Results and Analysis
14.3.1 Air Leakage Flow Field Results and Analysis
The overall trend analysis. Figure 14.4a along the empty stay lane without blocking
the wind leakage state wind velocity distribution cloud chart, analysis can be seen,
along the empty stay lane Y-type pass mode, the air leakage wind velocity distribution
along the direction of the working face shows a gradually decreasing trend, near the
working face leakage wind velocity is larger, the wind velocity in the middle of
the mining area decreases sharply, in the deep part of the mining area, the wind
velocity is basically zero. Along the air stay lane measurement, the wind speed is
higher in the range of 0–50 m along the direction of the mining area, the wind speed
is higher than 0.007364 m/s, and the working face is facing the mining area with
serious wind leakage, when the directional distance x > 100 m, due to the gradual
compaction of the coal left in the mining area and the falling gangue, the wind flow
resistance increases, and the wind speed decreases significantly, the wind speed is
lower than 0.003273 m/s; along the tendency direction, the wind leakage between
the two incoming air lanes and the working face Along the direction of the tendency,
the two incoming wind lanes and the work of the leaking wind flow facing the mining
area, flowing through the air stay lane into the return wind lane. In the range of 0
< x < 100 m, the wind velocity distribution shows a trend of decreasing first and
156 Z. Sa et al.
Wind velocity m·s-1 Wind velocity m·s-1

200 200
Tendency distance (y/m)
9.000e-03 9.000e-03

8.182e-03 8.182e-03
150 7.364e-03 150 7.364e-03
6.545e-03 6.545e-03
5.727e-03 5.727e-03
100 4.909e-03 100 4.909e-03
4.091e-03 4.091e-03
3.273e-03 3.273e-03
50 2.455e-03 50 2.455e-03
1.636e-03 1.636e-03
8.182e-04 8.182e-04
0 0.000e+00 0 0.000e+00
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Toward distance(x/m) Toward distance(x/m)
(a) without plugging wind leakage (b) Polyurethane foam leak plugging wind
Fig. 14.4 No plugging of wind leakage and spray polyurethane foam wind speed distribution
then increasing, which means that the air leakage from the two inlet lanes is much
larger than the air leakage from the working face. After x > 100 m, the wind velocity
distribution shows a gradually decreasing trend along the tendency direction because
the leaking air flow converges at the side of the retention lane.
According to the theory of “O” circle, because the top plate collapse has not yet
been compacted, there are large gaps around the mining area, so the wind speed is
high and the wind leakage is serious at the two corner corners on the working face
and below. Due to the joint action of air leakage from the working face, air leakage
from the sub-inlet alley and air leakage from the retention alley, the area with higher
wind speed (wind speed > 0.00736 m/s) on the corner of the working face is much
larger than that on the lower corner; on the side near the main inlet alley, at the
position of y = 150 m, a vortex area with lower wind speed appears. A large amount
of wind leakage from the main inlet tunnel flows through the mining area, because
the permeability of the mining area gradually decreases along the direction of the
direction, resulting in an increase in wind resistance, part of the wind leakage turns,
and the wind leakage near y = 150 m of the working face is offset by the partial
velocity of the turning wind flow in the x-direction, forming a vortex area with lower
wind speed under the action of the partial velocity of the wind flow in the y-direction;
the wind flow from the mining area converges at the end of the cut top stay lane,
resulting in a small increase in the wind speed at the end of the stay lane. The wind
velocity at the end of the top-cut stay lane shows a small increase trend.
Analysis of the effect of wind velocity distribution of the residual lane plug-
ging wind. Analysis of Fig. 14.4b spray polyurethane foam plugging wind conditions,
the wind speed distribution cloud map of the mining area can be seen, compared with
the state of not plugging wind leakage, the mining area leakage distance is shortened,
and the area affected by wind leakage is reduced. When spraying and plugging wind
leakage in the lane, the main impact area of wind leakage is located within 30 m
of the lagging working face, and after 100 m of the lagging working face, the wind
speed is significantly reduced to nearly zero. When the air leakage is not blocked,
the main impact area of air leakage is located within 100 m of the lagging working
face, and when the lagging distance is greater than 150 m, the wind speed decreases
significantly; the increase of air leakage leads to the gradual decrease of the area of
low wind speed on the side of the main inlet airway in the deep part of the mining
hollow area. Due to the air leakage and convergence of wind flow, the wind velocity at
the end of the deep part of the left lane in the mining area decreases from 0.00409 m/s
when the air leakage is not blocked to 0.001636 m/s when the air leakage is blocked.
In order to further study the specific effect of the air leakage along the air stay
lane blocking on the main inlet lane side of the mining area and the air leakage on
the stay lane side, the average wind leakage velocity at each stage along the direction
of the mining area is plotted on a graph, as shown in Fig. 14.5. As can be seen from
Fig. 14.5, the same directional distance, stay-alley side leakage wind speed is greater
than the main into the wind alley measurement. The wind speed distribution in the
range of 0–10 m along the directional distance of the mining area is less influenced by
blocking the wind leakage along the left lane, which can be seen that the wind leakage
along the left lane mainly reduces the wind leakage from the left lane to the mining
area, and has less influence on the wind leakage from the corner of the working
surface and the lower corner to the mining area. Leakage wind speed within the
walking distance of 10–100 m decreases sharply, and this area is the main influence
area of plugging wind leakage, and the wind leakage speed is reduced by about 50%
compared with that without plugging wind leakage, so the effect of plugging wind
leakage is obvious. At the end of the stay lane, due to the convergence of wind flow,
the wind speed on the stay lane side is higher than that measured in the main inlet
lane.
The air leakage along the air stay lane mainly affects the air leakage from the
stay lane section to the mining area, and the air leakage from the working face to
the mining area is little affected by the air leakage blocking measures, and the air
leakage from the corner angle on the working face and the lower corner angle to
the mining area is much larger than other places on the working face, which is the
main area of the air leakage from the working face to the mining area, therefore, in
order to effectively reduce the air leakage from the two corner angles, in the actual
production of the mine, the junction of the main and secondary two inlet air lanes
and the working face should be strengthened. The effect of plugging wind leakage.
Along the air to stay in the alley to plug the wind leakage on the mining area wind
Fig. 14.5 Comparison map of average air speed of air leakage on both sides of goaf
158 Z. Sa et al.
Tendency distance y/m 200 0.220 0.220

0.196 y=180m 0.196
Oxygen concentration
0.171
Oxygen concentration
150 0.171
0.147 y=120m 0.147
100 0.122 0.122
0.098 0.098
50 y=60m 0.073
0.073
0.049
0.049
0 0.024
0.024 y=0m
0.000
0.000
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Toward distance x/m Toward distance x/m
a Oxygen concentration distribution plan b Oxygen concentration distribution at different tendency distances
Fig. 14.6 Oxygen concentration distribution in goaf
speed distribution is greater, should use as far as possible to plug the wind leakage
effect of good materials, such as polyurethane foam, to strengthen the stay in the
alley plugging strength to reduce wind leakage.
14.3.2 Oxygen Concentration Field Results and Analysis
Overall distribution pattern of oxygen concentration field in the mining area.

The O2 concentration (O2 volume fraction, the same below) distribution plan of the
mining area under the condition of no air leakage blocking along the air stay is shown
in Fig. 14.6a, and the distribution of oxygen concentration in the cross section of
y = 0 m, y = 60 m, y = 120 m and y = 180 m along the inclination direction are
intercepted respectively, as shown in Fig. 14.6b.
Analysis of Fig. 14.6a shows that there is a trend of gradually decreasing oxygen
concentration in the process of moving from the shallow part of the mining area to
the deep part along the working face. Along the working face towards x100m, the
coal left in the middle of the quarrying area and the gangue gradually compacted,
in a compacted and stable state, the porosity of the area decreases, the resistance to
gas flow increases, the permeability decreases, and the air leakage from the working
face gradually decreases, resulting in a decrease in oxygen concentration in the area.
The oxygen concentration along the tendency direction shows a trend of decreasing
first and then increasing because the air leakage strength of the main air inlet road
and the secondary air inlet road is greater than the air leakage from the working face
to the extraction area. Analysis of Fig. 14.6b shows that the oxygen concentration
distribution in the vertical direction shows a trend of gradually decreasing with the
increase of horizontal height. This is due to the presence of gas and other gases in the
mining area, due to the phenomenon of gas gas rising and floating accumulation, gas
gas accumulates above the mining area. When spraying polyurethane foam along the
empty stay lane to plug wind leakage, the microporous closure rate of polyurethane
foam coating can reach more than 90%, but the stay lane still has a weak air leakage

200 Oxygen concentration 0.180 200 Oxygen concentration 0.180

0.171 0.171
150 0.162 150 0.162
0.153 0.153
100 0.144 100 0.144
0.136 0.136
50 0.127 50 0.127
0.118 0.118
0 0.109 0
0.109
0.000 0.000
0 50 100 150 200 250 300 0 50 100 150 200 250 300
Toward distance(x/m) Toward distance(x/m)
(a) without plugging wind leakage (b) Polyurethane foam leak plugging wind
Fig. 14.7 “Three zones” distribution map of spontaneous combustion in goaf
phenomenon in the mining area, so a narrower oxygen distribution zone appears in

the deep part of the mining area on the stay lane side.
Analysis of the impact of wind plugging on the spontaneous combustion of
“three zones” in the mining area. In order to distinguish the size of the risk of
spontaneous combustion of coal left in the mining area, the mining area is divided into
the “three zones” of spontaneous combustion, and in this paper, the “three zones” of
spontaneous combustion are divided according to the oxygen concentration (Mingbo
et al. 2020; Jun and Sheng 2011). That is, dispersal zone (O2 > 18%), spontaneous
combustion zone (10% ≤ O2 ≤ 18%) and asphyxiation zone (O2 ≤ 10%). The
distribution of natural zones in the mining area under the condition of leaving the
lane to plug the leaking wind and not plugging the leaking wind is shown in Fig. 14.7.
In Fig. 14.7, the area between working face and spontaneous combustion zone is
dispersal zone, and the area between spontaneous combustion zone and deep part of
mining area is asphyxiation zone.
From the comparative analysis of Fig. 14.7, it can be seen that when spraying and
plugging the air leakage in the left lane, the range of spontaneous combustion zone
in the mining area is obviously smaller than that without plugging. From Fig. 14.7b,
it can be seen that when the air leakage is blocked along the air stay lane, most of the
air leakage flows from the main inlet lane and the working face into the air mining
area, and the air leakage from the stay lane is less, and the spontaneous combustion
zone in the air mining area forms a narrow strip along the side of the working face,
with the increase of the air leakage, the range of the spontaneous combustion zone
expands, and the range of the natural zone moves to the deep part of the air mining
area. From Fig. 14.7a, it can be seen that, as the air mining area does not carry out
any measures to block the air leakage, making the section along the empty stay lane
completely exposed in the air mining area, under the effect of gradually increasing
wind pressure difference, the air leakage wind flow gradually increases, and the range
of the spontaneous combustion zone in the air mining area reaches the maximum,
and the risk of spontaneous combustion of coal remains highest. Along the side of
the hollow stay lane, because there is air leakage, so there is a narrow spontaneous
combustion belt inside the hollow area near the stay lane area, and there is a strong
risk of spontaneous combustion.
160 Z. Sa et al.
Table 14.3 Range of spontaneous combustion “three zones”

Leak plugging Position of the Cooling Spontaneous Suffocation
wind conditions spontaneous combustion fins/m combustion zone/m belt/m
zone
Plugging leaky Main intake airway side 18 18–33 33-
wind Gob side entry retaining 42 42–64 64-
No plugging of Main intake airway side 28 28–47 47-
wind leakage Gob side entry retaining 61 61–121 121-
The range of the spontaneous combustion zone along the side of the air stay lane
is always larger than the range of the spontaneous combustion zone on the side of
the main air inlet lane. As the main inlet airway and vice inlet airway flow through
the working face, part of the airflow leaks to the air mining area, and the leaking
airflow converges into the return airway through the air mining area on the stay-alley
side, which makes the airflow speed on the stay-alley side larger than that measured
on the main inlet airway. The width of the spontaneous combustion zone from the
main incoming wind lane side to the cut top stay lane side first gradually becomes
smaller, and reaches the minimum in the mining area in the range of y = 150 m, this
phenomenon is due to the appearance of low wind speed vortex area in the mining
area y = 150 m, and then gradually increases with the increase of air leakage from
the working face.
The change range of spontaneous combustion “three zones” (y = 160 m for the
main inlet and y = 60 m for the side along the empty stay) under the conditions of
plugging and not plugging is shown in Table 14.3. According to Table 14.3, the width
of the scattering zone on the side of the main inlet lane and along the side of the
empty stay lane increased from 18 and 42 m when the stay lane was blocked to 28 and
64 m when the stay lane was not blocked, respectively; the width of the spontaneous
combustion zone increased from 15 and 22 m when the stay lane was blocked to 19
and 60 m when the stay lane was not blocked, respectively. The range of both sides of
the spontaneous combustion zone increased by 26.7% and 172.7% respectively. The
whole area of the spontaneous combustion risk zone in the mining area is enlarged
by 2.7 times compared with that in the case of blocking the air leakage, and the risk
of spontaneous combustion of coal remains is significantly enlarged. Thus, it can be
seen that it is of great significance to carry out the stay lane to block the leakage wind
to prevent the spontaneous combustion of coal left in the mining area.
14.4 Conclusion
A detailed study was conducted on the distribution law of air leakage flow field,
O2 concentration field and spontaneous combustion “three zoons” in the working
face without and under the state of air leakage blocking in the mining area of
the top-cutting and pressure-relief working face, and the following conclusions and
recommendations were obtained.
(1) Plugging the air leakage along the air stay lane mainly reduces the air leakage
from the stay lane to the mining area, and has less influence on the air leakage
from the corner of the working face and the lower corner to the mining area.
Along the direction of 0–10 m range, the amount of wind leakage does not
change much; 10–100 m range, the leakage of wind sharply reduced, the average
wind speed of the leakage of wind than not blocking the leakage of wind reduced
by about 50%.
(2) Under the condition of plugging and leaking wind along the airway, the O2
concentration distribution in the mining area is mainly located in the range of
0–50 m along the direction. The average width of the spontaneous combustion
zone is reduced from 39.5 to 18.5 m when the air is not blocked, and the range
of the spontaneous combustion zone in the mining area is much larger than that
of the air when the air is blocked.
(3) In order to further reduce the air leakage from the working face to the mining
area and prevent the spontaneous combustion of coal left in the mining area, the
natural danger of the mining area can be reduced by constructing wind-blocking
walls at the upper and lower corners, injecting inert gas into the mining area
and spraying blocking agents.
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Chapter 15
Numerical Study of Smoke Distribution
Characteristics in Roadway Fires
Considering Different Cross-Sectional
Shapes
Qi Yao and Yongliang Zhang
Abstract To study the effect of deep shaft roadway cross-section shape on the
fire smoke backflow pattern, numerical simulations were performed using the fire
dynamics simulation software FDS. Comparing the magnitude of the effect of back-
flow smoke on visibility distribution, roof temperature and smoke backflow length
for five cross-sectional shapes of alleyway fires. The second numerical simulation
was conducted by selecting a section shape of the roadway that is favorable for
personnel escape, and the smoke backflow length model for this section shape of
the roadway was derived. The results of the study show that the shape of the section
has almost no influence on the time of starting to form the smoke backflow, and
the irregular-shaped section of the roadway has the greatest influence on the smoke
backflow, which is not conducive to the escape of personnel. Rectangular and ellip-
tical section roadways have the least effect on flue gas backflow. The results of the
numerical simulation of the elliptical section horizontal roadway are fitted, and it
is concluded that the power or wind speed as variables in such roadway will make
the two dimensionless parameters change in a natural logarithmic relationship, and
the corresponding smoke counterflow length model is obtained, which has certain
guiding significance for the fire prevention and control of elliptical section horizontal
roadway.
Keywords Deep well · Fire · Backflow smoke · Counterflow length ·

Cross-sectional shape
Q. Yao · Y. Zhang (B)

Qingdao University of Technology, Qingdao, Shandong, China
e-mail: yq19990222@163.com
https://doi.org/10.1007/978-3-031-30233-6_15
164 Q. Yao and Y. Zhang
15.1 Introduction
Deep shaft fires are one of the important risk factors in the mining industry. Mine fires
pose a serious threat to the safety of underground workers and industrial property
(Kai et al. 2012; Wencai and Xinzhou 2016; Liqing 2018; Guoshu 1983; Guilin and
Hengkun 2002).
Many scholars (Wang et al. 2016; Liu et al. 2016; Lee and Hong 2006; Vauquelin
and Megret 2002; Ji et al. 2012; Fan et al. 2016) studied the diffusion process of
smoke temperature in tunnel fire using solid model, theoretical analysis and numerical
simulation. Wu et al. (2000) used the tunnel hydraulic diameter as a characteristic
dimension and established the relationship between the causeless critical wind speed
and the causeless fire heat release rate; Jiang et al. (2022) found that the smoke
counterflow length is insensitive to the velocity of the side exhaust port through
theoretical analysis, model implementation, and numerical simulation. Kong et al.
(2022) studied the effect of tunnel slope on the smoke distribution of fires by building
a tunnel fire model, and found that there is an exponential function between the
smoke backflow length and the tunnel slope. Yang (2021) Tanno et al. investigated
the smoke backflow length in branch tunnel fires. Tanno et al. (2022) determined the
smoke layer interface height based on the temperature distribution of the smoke layer
through small-scale fire experiments. Zhang et al. (2021) used proportional model
tests and CFD simulation methods to establish a fire smoke temperature decay model
for the smoke return layer by considering the effects of lateral and longitudinal aspect
ratios, longitudinal ventilation velocity and fire heat release rate in tunnel fires.
More research results have been achieved in mine fires, but less research has been
done on the influence of the cross-sectional shape of deep shaft roadways on the
backflow of smoke and gas. Therefore, this paper investigates the effect of deep shaft
roadway cross-section shape on smoke counterflow by using Fire Dynamics Simu-
lator (FDS) software based on the previous research. The visibility distribution, roof
temperature variation, roof density of CO and smoke counterflow distance variation
of five different shapes of roadways at 1.6 m height are investigated and the optimal
shape of the smoke counterflow length model is derived.
15.1.1 Flue Gas Counterflow Theory
The calculation of the flue gas backflow length involves the dimensionless parameters
L/H and Q∗ /V∗ , and both parameters are introduced into this paper.
3
In this paper, the hydraulic diameter of the lane H is used in place of the lane
height.
4A
H= (15.1)
P
15 Numerical Study of Smoke Distribution Characteristics in Roadway … 165
Q
Q∗ = (15.2)
ρα C p Tα g 1/ 2 H /
5 2
v
V ∗ = 1 2 (15.3)
gH /
where H is the roadway hydraulic diameter, m; A is the channel cross-sectional

area, m2 ; P is the roadway cross-sectional perimeter, m; Q ∗ is the dimensionless fire
power; ρα is the air density in the roadway, 1.2 g/m3 ; C p is the air specific constant
pressure heat capacity, 1 kJ/(kg-K); Tα is the initial temperature of the roadway,
293.15 K; g is the acceleration of gravity, 9.8 m/s2 ; V ∗ is the dimensionless wind
speed.
15.2 Numerical Simulation
15.2.1 Physical Model
The simulation scenario is a horizontal roadway in the production system of

Heilangou gold mine. The shapes are selected as rectangular section, trapezoidal
section, irregular section, round arch section, elliptical section and named as working
condition A, B, C, D, E in order.
The length of the roadway is 20 m, the width is 4 m and the height is 3 m. The
wall of the roadway is set up with granite which is common in the underground, and
the parameters of its thermophysical properties are shown in Table 15.1. The left side
of the roadway is the air inlet and the right side is the natural vent. The fire source
size was 1 m × 1 m, in the middle position of the roadway at 1 m height. The model
was established with the location of the air inlet as the origin. The cross-sectional
diagram of each shape is shown in Fig. 15.1, and the model of the roadway with the
rectangle as an example is shown in Fig. 15.2. In this paper, the underground cable
was used as the fire source, the fire power was set to 1 MW, and the fire reaction was
polyurethane combustion. The ambient temperature was set to 20 °C. A temperature
detector was set at 1 m intervals to the left of the center directly above the fire source
center, a temperature slice was set in the longitudinal direction along the roadway, a
smoke visibility slice was set at y = 1.6 m, and the simulation time was set to 200 s.
Table 15.1 Rock physical

Density/ Specific heat capacity/ Thermal conductivity/
parameters of the roadway
(kg·m−3 ) (kJ·kg·K−1–1 ) (W·m·K−1–1 )
wall
2620 0.84 2.2
(a) Rectangle (b) Trapezoid (c) Irregular shape
(d) Round arch shape (e) Oval
Fig. 15.1 Cross-sectional shape
Fig. 15.2 Mine roadway model
15.2.2 Grid Settings

The mesh size is given by the range of dimensionless expressions of D ∗ δx, D ∗ as
shown in Eq. (15.4)
25
∗ Q
D = √ (15.415.4)
ρα C P Tα g
where: D∗ is the fire characteristic diameter, m; Q is the fire power, W; ρα is the air
density, kg/m3 ; CP is the constant pressure specific heat capacity of air, J/(kg-K); Tα
is the initial air temperature, K; g is the gravitational acceleration, m/s2 . δx is the
grid size of the model; D ∗ /δx is the flame characteristic size, and is the number of
calculated grid divisions. The simulation results are convergent when the value of
D ∗ /δx is between 4 and 16.
15.3 Simulation Results and Analysis
15.3.1 Temperature Analysis
From Fig. 15.3, it can be seen that the maximum temperature of each monitoring
point in each working condition decreases as the distance between the thermocouple
and the fire source increases.
It can be seen from the roadways A, B and E in Fig. 15.4 that when the temperature
of a monitoring point suddenly drops, indicating that at this time the wind speed
affects the spread of smoke to reach a certain position not to continue to spread
forward. From the working conditions c and d in Fig. 15.4, it can be seen that the
maximum temperature of the roof of the irregular shaped section and the round arch
shape of the roadway are above 200 °C, and with the thermocouple distance increases
the maximum temperature of the two shapes of the roof is above 100 °C. It can be
seen that the flue gas countercurrent is continuously spreading to the air inlet.
The maximum temperature of the thermocouple at the same position in conditions
C, D, B and E gradually decreases, and the maximum temperature values of the
monitoring points at 5 m away from the fire source in conditions a and e are almost
the same.
Figure 15.4 shows the temperature of the highest point directly above the center of
the fire source. This position is the initial point where the smoke starts to counterflow.
Collectively, the roof temperature of the backflow smoke is lower in rectangular-
section and elliptical-section roadways and highest in irregular-section roadways
when fires occur at lower wind speeds.
Fig. 15.3 Variation of the 250 Tunnel A

maximum temperature of
Tunnel B
thermocouple with the
distance from the fire source 200 Tunnel C
Tunnel D
Tunnel E
150
T/℃
100
50
0
0 2 4 6 8 10
Distance from fire/m
Fig. 15.4 Temperature 250

Roadway A
change of the roof directly
Roadway B
above the fire source
200 Roadway C
Roadway D
Roadway E
150
T/℃
100
50
0
0 50 100 150 200
Time/s
15.3.2 Visibility Analysis
The smokeview in the simulation results can visualize the flow of smoke in the
tunnel after the fire, and the visibility slice at 1.6 m is selected for analysis with the
longitudinal temperature slice of the tunnel and the time is the maximum distance of
smoke backflow for the working condition.
The visibility map and the longitudinal temperature map at 1.6 m height of the
tunnel were obtained by software processing, as shown in Fig. 15.5.
As can be seen from Fig. 15.5, the visibility of trapezoidal section and irregular
section at 1.6 m is the worst. When the distance from the vent is less than 4 m, it
is already filled with smoke, visibility is less than 4 m, seriously affecting people
escape. However, rectangular section, round arch section, oval section roadway at
1.6 m less counterflow smoke, less impact on visibility. In the upwind side of the
visibility were above 10 m, the oval roadway has the highest visibility at 1.6 m.
15.3.3 Smoke Counterflow Length Analysis
In this paper, it is equivalent to the longitudinal distance from the smoke front to the
center of the fire source when the smoke spreads to the air inlet on the left side of
the roadway.
As shown in Fig. 15.6, by observing the smoke flow in Smokeview and using the
tools in the software, the smoke counterflow lengths in five roadways were 6.24 m,
8.80 m, 9.66 m, 9.71 and 7.86 m respectively. Among them, the smoke counterflow
lengths in rectangular section roadway were the shortest, and the smoke counterflow
lengths in round arch section roadway were the longest.
Fig. 15.5 Visibility at 1.6 m

for each roadway
(a) Rectangular section
(b) Trapezoidal section
(c) Irregular section
(d) Round arch section
(e) Oval section
Comprehensive Table 15.2 shows that the shape of the roadway section has a great
influence on the length of flue gas backflow and the time of flue gas backflow. The
shorter the time it takes to reach the longest distance of flue gas backflow, the longer
the length of flue gas backflow, that is, the length of flue gas backflow is inversely
proportional to the time of flue gas backflow, while the shape of the section has little
effect on the time of starting to form flue gas backflow.
It can be seen from Fig. 15.7 that the temperature in the roadway with the irregular
section is significantly lower than the other four roadways when the length of the
smoke counterflow reaches the maximum, but its smoke spread in the largest range,
almost filling the downwind side of the roadway, which is not conducive to personnel
escape.
Fig. 15.6 Smoke

counterflow length for each
roadway
(e) Oval section
Table 15.2 Smoke counterflow time and length

Work Work Working Working Work
condition condition condition condition condition
a b c d e
Time to start flue gas backflow/s 48 50 46 48 49
Time to reach the longest 172 109 74 73 167
distance of flue gas backflow/s
Flue gas backflow length/m 6.24 8.80 9.66 9.71 7.86
Fig. 15.7 Longitudinal

temperature distribution of
each roadway
(e) Oval section
15.4 Smoke Counterflow Length Model Construction
According to the above analysis, rectangle and oval section roadway has the least
influence on counterflow smoke in fire and are the most favorable for evacuation of
personnel. Since most of the predecessors have studied the variation law of flue gas
countercurrent length of common rectangular section roadway. This section chose
elliptical section roadway to study, and used wind speed and fire power as variables to
simulate the fire in the middle section of the 17 levels of the 189 shafts of Heilangou
gold mine and derived its roadway smoke counterflow length model.
Fig. 15.8 Oval section roadway model
15.4.1 Physical Model
In order to intuitively observe the smoke counterflow length, the length of the roadway
was set to 100 m, other parameters were set in line with the previous model as shown
in Fig. 15.8, using the tool ruler in Smokeview to measure the smoke counterflow
length.
15.4.2 Analysis of Simulation Results
Based on Eq. (15.1) above, the hydraulic height H is calculated as 9.4248 and the
relevant parameters of the smoke counterflow length, L/H and Q∗ /V∗ were included
3
in Table 15.3 below for comparison purposes.

The simulation results L/H and Q ∗ /V ∗ of the parameter relationship between
3
the two influencing factors of oval section roadway fire source power and the wind
speed in the roadway on the length of smoke counterflow in Table 15.3 were plotted
Table 15.3 Parameters related to smoke reverse flow at different power or wind speed
Q∗ V∗ Q∗ /V∗
3
Wind speed (m/s) Power (MW) L (m) L/H
1 1 22.639 6.637 0.042 0.005 8.167
1.5 30.618 8.976 0.063 12.250
2 38.399 11.257 0.084 16.334
2.5 42.526 12.467 0.106 20.417
3 45.585 13.363 0.127 24.500
1.2 1 12.239 3.588 0.042 0.009 4.726
1.5 17.133 5.023 0.063 7.089
2 22.051 6.464 0.085 9.452
2.5 25.125 7.365 0.106 11.815
3 33.544 9.834 0.127 14.178
1.5 2 13.988 4.104 0.085 0.018 4.840
3 18.629 5.461 0.127 7.259
4 22.428 6.575 0.169 9.679
5 25.465 7.465 0.211 12.099
Fig. 15.9 Fitting curve 14

graph
12
10
L/H
8
5 10 15 20 25
3
Q∗ / V ∗
as a scatter plot and fitted logarithmically with R2 = 0.969 for the fitted curve, and
the fitting diagram is shown in Fig. 15.9.
The fitting results show that in oval section horizontal roadway, the fire source
power or wind speed in as a variable will make L/H and dimensionless parameters
Q ∗ /V ∗ change in a natural logarithmic relationship, Therefore, in the section width
3
× height of 4 m × 3 m oval section horizontal roadway, hydraulic height H = 9.4248,

the smoke counterflow length model derived from the fire source power or wind speed
in the roadway as a variable is:

L Q∗
= 15.08 ln + 15.86 − 41.94 (15.5)
H V ∗3
The obtained dimensionless relationship equation of the smoke counterflow length

can help to understand the smoke flow law and control principle of the ellip-
tical section horizontal roadway. The expressed relationship can provide technical
guidance for fire control and emergency rescue in oval section horizontal roadway.
15.5 Conclusion
(1) At low wind speed, the roof flue gas temperature of the counterflow flue gas
of the irregular-shaped section roadway at the same location on the upwind
side is the highest, and the counterflow flue gas temperature of the roof of the
rectangular section roadway and the elliptical section roadway is even lower.
(2) Rectangular section, domed section and oval section roadway have less backflow
smoke at the height of 1.6 m, which has less influence on the visibility, and the
visibility on the upwind side is above 10 m. The visibility of elliptical roadway
is the highest at 1.6 m, and the visibility of irregular-shaped section roadway is
the worst at 1.6 m.
(3) The length of smoke backflow is inversely proportional to the time of smoke
backflow, while the time of starting to form smoke backflow is not greatly
affected by the shape of the section. The smoke spread range is the largest in
irregular section roadway, the smoke reversal length is the shortest in rectangular
section roadway, and the smoke reversal length is the longest in round arch
section roadway.
(4) Irregular-shaped cross-sectional roadway has the greatest impact on the back-
flow of smoke, which is not conducive to the escape of personnel. Rectan-
gular and elliptical cross-sectional roadway has the least influence on the
smoke backflow. Section width × height of 4 m × 3 m elliptical section
of the horizontal
∗roadway fire
smoke backflow length of the formula model:
L
H
= 15.08 ln V ∗3 + 15.86 − 41.94, the resulting relationship can be based
Q
on wind speed and fire power to predict the fire backflow smoke length, can be
based on the impact of backflow smoke range to accurately and quickly evacuate
underground personnel.
Acknowledgements This research is supported by National Natural Science Foundation of China

(51874187), Natural Science Foundation of Shandong Province (ZR2018MEE002), Science and
Technology Support Plan for Youth Innovation of Colleges and Universities of Shandong Province of
China (2019KJH008), Teaching Reform and Research Project of Qingdao Technological University
(F2022-058).
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Chapter 16
Increasing Environmental Awareness
in Facing Water Scarcity Problems
Through Education Based on Local
Wisdom Values
N. T. Martoredjo, Benny, and D. A. Kusumajati
Abstract This paper is a study of environmental issues amid the development of

human life. Environmental problems have become a common problem at the world
level. There are many environmental problems, one of which is the problem of
water scarcity. This problem needs serious attention so that humans can maintain
the balance of their life together with their natural surroundings. The limited supply
of natural resources, namely water, must be used wisely. Many efforts have been
made by humans to anticipate and prevent water scarcity. One way out in protecting
and preserving the environment is human responsibility by paying attention to and
maintaining local wisdom. The values of local wisdom that thrive in each region can
be used as educational materials in improving the harmonious relationship between
humans and nature. These values of local wisdom need to be maintained and devel-
oped to become a common awareness in managing nature in realizing sustainable
development goals. The values of local wisdom become material in civic character
education as guidelines that remain actual in the increasingly advanced modern era.
Keywords Water scarcity · Environment · Local wisdom · Citizenship Education
N. T. Martoredjo (B) · Benny

Department of Computer Science, Character Building Development Centre, Bina Nusantara
University, Jakarta, Indonesia
e-mail: nikod3323@binus.ac.id
D. A. Kusumajati
Department of Information System, Character Building Development Centre, Bina Nusantara
University, Jakarta, Indonesia
https://doi.org/10.1007/978-3-031-30233-6_16
178 N. T. Martoredjo et al.
16.1 Introduction
The very catastrophic climate change turns out to have a very serious impact on
the sustainability of the environment. Climate change is a change in the pattern and
intensity of climate elements in a certain period of time. This form of change is related
to changes in weather patterns or changes in the distribution of weather events. The
main cause of climate change is global warming. Acceleration of global warming is
increasing resulting in higher levels of gas concentrations in the earth’s atmosphere
which ultimately causes the greenhouse effect.
Based on a report from the United Nations that climate change is caused by, among
other things: increasing greenhouse gas emissions, energy production, manufacturing
of goods, deforestation, increased use of transportation, production of food needs,
energy supply for buildings, and excessive use of goods, such as clothing, electronics
and plastics.
As a result of the above, there is an increase in temperature from time to time,
changing weather patterns and disturbing the balance of nature. This poses many
risks to humans and all other living things on earth. Several things have happened
such as: more severe storms, increased droughts, problems with water availability,
increased volume and temperature of the oceans, species extinction, food problems,
increased health risks, poverty and population movement (United Nations).
One of the problems of global warming that is increasingly felt is water scarcity.
Water scarcity is one of the main problems faced by many societies and the world in
the twenty-first century (FAO-UN). Water scarcity is defined as a situation where the
water availability in a country or in a region is below 1000 m3 per person per year.
In fact, many places in the world experience much more severe scarcity of less than
500 m3 per person per year, which can be considered as severe water scarcity. The
threshold of 2000 m3 per person per year can be considered to indicate that an area
is experiencing water stress because under these conditions the population will face
a very big problem in the event of a drought. Water scarcity causes major problems
for the human population (Pereira and Cordery 2009).
The United Nations stated that the use of water in life has grown more than double
the rate of population growth in the last century. Although there is no equal water
scarcity, more and more areas are experiencing chronic water shortages. It is even
predicted that by 2025, 1800 million people will live in areas with absolute water
scarcity, and two thirds of the world’s population could live in areas with stressful
conditions. The situation is exacerbated by the rapid development of urban areas.
Most countries in the Near East and North Africa suffer from acute water scarcity,
as do countries such as Mexico, Pakistan, South Africa, and large parts of China
and India. As a result of water shortages and increasing scarcity there will be a
decrease in the capacity to maintain per capita food production. To sustain their
needs, these countries need to focus on the efficient use of water resources and water
allocation strategies to maximize the economic and social benefits of limited water
and at the same time increase the productivity of water use in all sectors (UN-Water
Publication).
16 Increasing Environmental Awareness in Facing Water Scarcity … 179
Then how to overcome and anticipate the problem of water scarcity? Several ways
have been taken. In China and some countries, effective water resource management
(Jiang 2009), water-saving technology to build water supply and drainage is being
carried out (Zhao et al. 2020). Also, efforts to distribute water evenly with the irriga-
tion system (Mancosu et al. 2015). However, the water problem is not only a natural
problem but also a human problem. No matter what efforts are made in anticipating
and overcoming water scarcity, the role of humans as water users becomes very
important.
In facing the problem of water scarcity as a result of the global environmental
crisis, the role of the human thinking paradigm is very influential. Only by changing
this paradigm will new behaviors and ways of life emerge in line with the final
solution to the overall global environmental crisis and disaster (Keraf 2014). The
way of thinking of the ancestors with local wisdom can be a source of building a
good paradigm in this problem. Local wisdom with high values as a form of human
respect for the natural environment can be appointed as a moral teaching for humans
in respecting nature. This local wisdom can be used as material in character building
through civic character education. This paper reviews local wisdom in the context of
human relations with nature to respect the environment, especially in dealing with
the problem of water scarcity as a result of global warming and the high need for
water sources for human life.
16.2 Methods
In this study, a qualitative descriptive approach is used to develop discussions about

the environment in the context of education on the values of local wisdom in dealing
with and anticipating the dangerous-threat of water scarcity. The qualitative descrip-
tive approach applied in this study was carried out by collecting information relevant
to the topic of discussion and then analyzing and describing the findings (Creswell
2014). This study utilizes materials from a second source to obtain data and informa-
tion. Information is obtained and studied through scientific books, research reports,
scientific articles, regulations, statutes, yearbooks, encyclopedias, dictionaries and
other written sources, both printed and electronic. After that, a description of the
findings is presented, followed by a discussion of the findings in order to get the
meaning in them.
16.3.1 Water Scarcity and the Environment
The problem of water scarcity is growing along with the increasing population
and mounting demand for water in households, industry and agriculture. This is
further exacerbated by the occurrence of global warming which causes changes in
the weather to become erratic. In addition, there are also problems with water sources
and poor water management (Dolan et al. 2021).
Fulfilment humanity’s water needs while protecting the ecological support func-
tions of freshwater systems will be one of the most difficult challenges of the twenty-
first century. Water scarcity has spread rapidly to many parts of the world as a result of
increasing population and consumption levels of the availability of proper water. This
is a challenge in terms of water scarcity in the areas of food production, ecosystem
health, and political and social stability. This requires new approaches to the use and
management of water resources. Greater efforts will be required to maintain ecolog-
ical functions and return water to natural systems. Joint efforts will also be needed
to slow the growing human demand for water.
New creative ways to get commodities and ecosystems to get water supplies
will be sorely needed. This development will require new partnerships and alliances
that draw on the expertise of professionals from interdisciplinary, including biology,
ecology, engineering, hydrology, economics, anthropology and demography. Water
management practices that protect natural resources are more necessary for the
survival and sustainability of agriculture and economic activities. Policy making
can be very helpful for environmentally friendly and sustainable water use and
management (Postel 2000).
The finding results suggest that about four billion people, half of the world’s
population, are experiencing severe water scarcity, implying that the situation is
worse. Underestimation of water scarcity and hence the number of people facing
severe levels of water scarcity (Mekonnen and Hoekstra 2016).
Various factors can be the cause of environmental damage. One of the causes of
environmental damage is caused by human behaviour themselves (Maghfur 2010). If
previously ecological behavior was ethical-aesthetic in the frame of morality, namely
trying to maintain harmony between humans and the environment, modern people
behave pragmatically, exploitatively and technocratically in using and developing
the natural environment (Arifin 1994). Environmental damage occurs in various
areas, whether carried out by industry, the government or the people in general. They
plunder nature without limits and upset the balance of the cosmos. So naturally,
humans also have to bear the consequences in the form of natural disasters, landslides,
floods, droughts, clean water crises and so on.
What can be offered as a solution is an alternative thought or paradigm because
the main cause of the global environmental crisis and disaster is a paradigm error of
thinking. Only by changing this paradigm will new behaviors and ways of life emerge
in line with the final solution to the overall global environmental crisis and disaster.
This solution is to build a sustainable society at the global, national or local level. A
sustainable society that builds and manages its life together by relying on awareness
of the importance of the environment. This awareness is called ecoliteracy, under-
standing ecology (Keraf 2014). In the new culture of sustainable society, all commu-
nity members organize their lives based on considerations about the importance of
protecting and preserving the environment.
16.3.2 Local Wisdom in Maintaining Water Resources
Indonesia is a rich country in various tribes and cultures. This culture is the result of
the thoughts of the ancestors in responding to the environment in surviving. These
cultures are passed down from generation to next generation which is the hallmark of
society in a place. That is local wisdom, a wisdom that characterizes a region (Keraf
2002).
Although the various cultures exist separately, in dealing with nature, especially
water, all respond with respect and care for the existence of water. Water is considered
an essential ingredient in life. Civilizations always emerge from around available
water sources (Hosseiny et al. 2021).
Balinese culture as one of the cultures in Indonesia has a philosophy called Tri
Hita Karana. This philosophical view means three causes of prosperity. To achieve
prosperity, Balinese people believe that three principles must be fulfilled: in harmony
with God, in harmony with others, and harmony with nature. This harmony is consid-
ered to be the cause of the prosperity of the people of the island of Bali. Harmony
with nature is practiced by carrying out Balinese water management known as Subak.
This Subak reflects the aggregation of the three harmonies in Tri Hita Karana. The
construction of the temple at the spring is a real application. Springs and seeds are
blessings handed down from God, rituals that are carried out to strengthen relation-
ships between humans and water that is channeled from the springs through the
temple to the rice fields maintain fertility and nature (Windia et al. 2018).
Meanwhile, the people of East Nusa Tenggara have several rituals related to
nature conservation. These rituals are the Baololong ceremony, the Nitung Lolong
ceremony and the Puduk ceremony (Angin and Sunimbar 2020). In addition, there
are also several prohibition rules (Badu-Sau) which are part of local wisdom to cut
down trees, damage plants, hunt and defecate indiscriminately or commit immorality
when in forest areas and springs. The prohibition also pairs with the myth that there
is a certain curse when it comes to breaking the rules. Local people associate the
water source with big trees as a source of life (Martoredjo and Fios 2021).
The indigenous people of Kuta village in Ciamis district have local wisdom to
conserve water resources. They have rules not to use groundwater and pollute the
environment with phlegm and human waste if they are in the forest. For the use of
water resources, it is not allowed to use artificial wells but only use water sourced
from dug wells. The indigenous people of Kuta village have the words of wisdom
leuweung ruksak, cai beak, manusa balangsak (damaged forest, depleted water,
miserable people). Therefore, the people of Kuta village strongly hold the tradi-
tion of preserving forests and animals, including preserving springs. If they violate it
will receive punishment from kahurun in the form of disease, pest attack, earthquake,
landslide and death (Hilman 2014).
Thus the people in Indonesia, have many cultures. In general, they have a lot of
local wisdom, especially in water conservation. This local wisdom can be a learning
material for every generation to maintain the balance of nature and live in solidarity
and togetherness in cooperation activities in the community. The sense of togeth-
erness in the community with natural resources in the area can be a guardian for
water resources and natural resources in the vicinity. Development and increasing
population must be in balance with available water resources (Hidayati 2016).
16.3.3 The Role of Character Education Based on Citizenship

Values Towards a More Decent Environment
Environmental problems have become one of the major global problems in this
century. Cogan and Derricott revealed at least three global problems that pose chal-
lenges for countries in the world (Cogan 1998). These challenges are the rapid
development of economic globalization; advances in technology and communica-
tion; increase in world population, which causes environmental problems. The rapid
increase in the world’s population can cause a decrease in environmental quality
because human behaviour affects the environment, especially in this context related
to water scarcity.
The problem of cross-country environmental crises, especially in Indonesia,
requires efforts to resolve, including through the contribution of the education sector.
Education is a strategic effort to overcome state problems, especially those related
to the quality of human life. A multidimensional and multidisciplinary approach
in scientific studies can be a breakthrough in complex environmental problems. In
the context of education in Indonesia, Citizenship Education plays a strategic role
in producing citizens who care about the environment by protecting, managing,
and preserving the environment (Martoredjo 2016). Citizenship Education contains
teaching about rights and obligations as citizens. Forming the character of citizens
who care and are responsible for the environment. The character of citizens who
are aware of and care about the environment is called ecological citizen (Usmi and
Murdiono 2021).
Efforts to form a caring character for the environment have a system that is built
following the development of a good ecological citizenship movement. The provision
of knowledge and skills makes the community smart, and critical in carrying out
environmental care character education. The planting of environmentally concerned
characters is carried out through activities such as the establishment of a waste
bank, waste disposal activities in its place, planting productive plants, community
service, organic waste management, making handicrafts from waste recycling, and
reforestation. The character of caring for the environment is very much needed in
protecting nature and its resources (Gusmadi and Samsuri 2021).
Ecological citizenship has become an important concept and idea today. The
global trend that causes environmental damage has become a worldwide concern.
This is because the environment is a very important aspect of life in supporting
human survival, which is not only in the short term but also in the long term. The
idea of ecological citizenship emerges and implies that people as citizens and also
citizens of the world must protect and preserve their environment (Sari et al. 2020).
The concept of ecological citizenship can guide humans to think and behave toward
nature to preserve and preserve the environment. Ecological citizenship is a concept
that describes the relationship between humans and the environment, in which there
are elements of concern and awareness, which are then actualized in the form of
applicable behaviour through habits and environmental-based activities (Fios 2019).
Environmental conservation based on the ecological value of local wisdom in the
present context needs to be done in an integrative way. The integrative preservation
of the natural environment has elements of building full human consciousness. If the
preservation of the natural environment based on local wisdom can be applied as a
strategy, then local wisdom has an important role in building awareness and mental
and moral attitudes as well as the human perspective on environmental sustain-
ability in preserving natural resources. Thus, the ecological value in local wisdom
contributes to the preservation of the natural environment (Niman 2019).
16.4 Conclusion
The wealth of cultural traditions in the form of local wisdom that exists in every
region in Indonesia has shown that it can be a guide in maintaining harmonious
relations between humans and the natural environment. Local wisdom in each region
shows human efforts to be able to manage the environment wisely. People should not
take natural products without control. On the other hand, it is necessary to maintain
good natural resources, including preserving water resources. With the inclusion of
local wisdom material in civic-based character education, it can be a strategic way to
protect nature. People can learn to be good citizens, one of their attitudes is to protect
water resources and use them wisely. Thus humans can live in peace, and nature can
be preserved.
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Chapter 17
Numerical Study on Acoustic
Environment in Long Traffic Tunnels
Zhenxiong Jiang, Jun Wang, Mingqing Xiao, Huading Lou, and Hequn Min
Abstract Poor acoustic environment is known in long traffic tunnels due to heavy
traffic and low sound absorption performance in such long enclosures. In this paper,
a numerical study on sound field in a long traffic tunnel is conducted. The basis
geometry model was first built and parameter settings in numerical modeling were
carried out for numerical simulations. Speech intelligibility (rapid speech transmis-
sion index, RASTI) and reverberation time (RT) in the long traffic tunnel were then
evaluated. Numerical results demonstrate the low speech intelligibility (RASTI =
0.3) in such tunnel, where better speech intelligibility (merely 0.45) is found only in
the areas around the source. Long reverberation time larger than 4 s in the frequencies
below 1000 Hz is also found at some receivers, and significant attenuation of sound
wave in higher frequencies is observed in the tunnel. Furthermore, source position
influences speech intelligibility and reverberation time; higher RASTI and lower RT
are found when the source is located at the entrance of the tunnel than in the middle.
Keywords Sound field · Long traffic tunnels · Reverberation time · Speech

intelligibility
Z. Jiang · J. Wang
Jiangsu Provincial Transport Engineering Construction Bureau, 69 Shigulu, Nanjing 210004,
China
M. Xiao
China Railway Siyuan Survey and Design Group Co., Ltd., 745 Hepingdadao, Wuhan 430063,
China
H. Lou · H. Min (B)
Key Laboratory of Urban and Architectural Heritage Conservation of Ministry of Education,
School of Architecture, Southeast University, 2 Sipailou, Nanjing 210096, China
e-mail: hqmin@seu.edu.cn
https://doi.org/10.1007/978-3-031-30233-6_17
188 Z. Jiang et al.
17.1 Introduction
Long traffic tunnels (Kang 1996a, b; Ma and Zhang 2013; Heutschi 2006) are
commonly observed in traffic facilities and modeled as long enclosures in acous-
tics. They provide people with great convenience but also cause a lot of acoustical
problems. The sound energy inside a long enclosure is quite difficult to dissipate,
which will result in a high sound pressure level and a long reverberation time. The
poor acoustic environment seriously reduces the speech clarity and intelligibility of
the public address systems (Sander and Jan 2006) in the tunnel as well as the comfort
and perceptions of drivers. In long enclosures, the classic formulas are unsatisfac-
tory, as the assumption of a diffuse field does not necessarily hold due to the extreme
dimensions. Kang (1996c) conducted measurements showing that classical room
acoustics was not applicable in a long enclosure. In general, it would be rather diffi-
cult to determine the reverberant levels in a long enclosure because the sound field
is inhomogeneous and the level of sound will not be constant throughout.
Investigations on sound field in long enclosures have been conducted. Yamamoto
(1961) was among the first to study the sound propagation in corridors. Davies (1973)
and Redmore (1982) were also interested in the subject on the acoustic character-
istics in the long enclosures, respectively, and the ray-tracing technique and image
source method were used to predict the sound attenuation. Sergeev (1979) used an
image source model to derive simple formulas to estimate the propagation of sound
in long tunnels. Later, Kang (1995, 1996b, 1997) proposed theoretical expressions
derived from the image source method to calculate reverberation times in long rect-
angular rooms with geometrically reflecting walls, but it was still being improved
by developing a more accurate algorithm for the calculation of simple conditions
and by establishing a more detailed empirical database. In a recent study, Yang and
Shield (2001) developed a ray-tracing computer model for the detailed investigation
of sound fields in long enclosures. Li addressed theoretically and experimentally the
propagation of sound in long enclosures (Li and Iu 2004) and developed a theoret-
ical model for the prediction of reverberation time and speech transmission index
in rectangular long enclosures (Li and Lam 2005). Min and Xu (2021) presented a
coherent image source model for simple yet accurate prediction of the sound field
in long enclosures with a sound absorbing ceiling. Gensane and Santon (1979) and
Lemire and Nicolas (1989) investigated the sound fields in a rectangular enclosure
and in the region bounded by two infinite parallel planes. Their predicted results
agreed very well with the standard normal-mode solutions, but no experimental
validations were presented.
The aim of the current work is to investigate the sound field in a long traffic tunnel
with low absorption in the inner boundaries. The basis geometry model was first
built and parameter settings in numerical modeling were carried out for numerical
simulations. Speech intelligibility and reverberation time in the long traffic tunnel
were then further evaluated along the direction of the tunnel axis and cross section.
17 Numerical Study on Acoustic Environment in Long Traffic Tunnels 189
Fig. 17.1 The cross section diagram of the long traffic tunnel
17.2.1 Geometry
In Fig. 17.1, the cross section diagram of a long traffic tunnel is shown with the
region in yellow, where the ceiling, walls and ground can be seen. The widths of the
ceiling and ground, respectively, are 12 and 14 m, while the total height of the tunnel
is 5 m.
17.2.2 Numerical Modeling
To investigate the sound field in long traffic tunnels, noise maps were calculated with
a commonly used noise mapping package, Raynoise 3.0 by LMS International. It
uses advanced ray-tracing methods, to predict the sound field produced by sources
at any locations in closed, open or partially-open spaces (Bistafa and Bradley 2001;
Huang et al. 2012; Gerges and Gomes 2001). The 3D model of the long traffic tunnel
in Fig. 17.1 was first built in AutoCAD, where those components of the tunnel, whose
dimensions were smaller than the wavelength of interest, were neglected to improve
190 Z. Jiang et al.
the computational efficiency, and then it was imported to Raynoise, as shown in

Fig. 17.2. Two point sources with the height of 1.2 m above the ground, respectively,
were set in the entrance and middle of the tunnel. Surfaces of different materials of the
tunnel, including ground, walls and ceilings, were considered as acoustic boundaries
with low sound absorption coefficients. Finally, sound power level of the source at
octave bands within 125–2000 Hz was set as 93.2, 92.5, 96.1, 101.2, 95.2 dB (Wang
2007), while the absorption coefficients of different materials were listed in Table
17.1. The air temperature was set to 25 °C, relative humidity to 60%. The number of
rays was 1000 and the reflection order was set as 50. Acoustic parameters (speech
intelligibility and reverberation time) are calculated under the two source conditions,
respectively.
Fig. 17.2 The acoustic model of the long traffic tunnel in numerical modelling
Table 17.1 Sound absorption coefficients of different materials of the tunnel in numerical modeling
Boundary Sound absorption coefficients
125 Hz 250 Hz 500 Hz 1000 Hz 2000 Hz
Ceiling 0.05 0.06 0.03 0.07 0.08
Wall 0.05 0.06 0.07 0.09 0.08
Ground 0.03 0.03 0.03 0.03 0.02
17.3 Results and Discussions
17.3.1 Sound Field Along the Direction of the Tunnel Axis
Speech intelligibility (rapid speech transmission index, RASTI) distributions along

the direction of the tunnel axis when the source is located at the entrance and middle
of the tunnel are present in Fig. 17.3. It can be seen that speech intelligibility near
the source position is higher than any others in the tunnel, and it decreases gradually
with the increase of the distance from the source. However, the value is rather low
even at the location of the source due to the strong reflection on the inner boundary of
the tunnel, with the highest RASTI of 0.36. Compared with the two positions of the
source, speech intelligibility far away from source S1 is extremely low, only about
0.17. Although speech intelligibility far from source S2 is also low, but it is more
uniform than S1, since the value at the source S2 is 0.32.
Figure 17.4 shows the reverberation time (RT) at 500 Hz along the direction of the
tunnel axis when the source is located at the entrance and middle of the tunnel. It is
indicated that the location of the source has a significant influence on the reverberation
time in the tunnel. When the source is located at the entrance, the reverberation time
is not evenly distributed, and the value of RT is more than 3 s, 100 m away from
the source. However, when the source is located in the middle of the tunnel, the
reverberation time is uniformly distributed.
Furthermore, Tables 17.2 and 17.3 give the speech intelligibility and reverberation
time at the receivers along the direction of the tunnel axis when the source is located
at the entrance (S1) and middle (S2) of the tunnel, respectively. Reverberation time
is rather long, and the values at some receivers are even more than 4 s. The speech
Fig. 17.3 Speech intelligibility along the direction of the tunnel axis when the source is located at
the entrance (S1) and middle (S2) of the tunnel
192 Z. Jiang et al.
Fig. 17.4 Reverberation time along the direction of the tunnel axis when the source is located at
the entrance (S1) and middle (S2) of the tunnel
intelligibility is also extremely low. STI and RASTI are rather high at the receivers
near the source. STI is lower than 0.45, 70 m away from the source S1 (located at
the entrance of the tunnel), and it is lower than 0.45, 20 m away from the source
S2 (located at the middle of the tunnel). Large reverberation time and low speech
intelligibility seriously affected people’s hearing and comfort.
Table 17.2 Speech intelligibility at the receivers along the direction of the tunnel axis when the
source is located at the entrance (S1) and middle (S2) of the tunnel
Coordinates of Speech transmission index at 500 Hz RASTI
receives S1 S2 S1 S2
(10 m, 0, 1.2 m) (100 m, 0, 1.2 m) (10 m, 0, 1.2 m) (100 m, 0, 1.2 m)
(20 m, 0, 1.2 m) 0.59 0.37 0.5 0.39
(40 m, 0, 1.2 m) 0.56 0.43 0.48 0.42
(60 m, 0, 1.2 m) 0.51 0.40 0.46 0.40
(80 m, 0, 1.2 m) 0.42 0.44 0.41 0.42
(100 m, 0, 0.34 0.95 0.37 0.95
1.2 m)
(120 m, 0, 0.27 0.44 0.34 0.42
1.2 m)
(140 m, 0, 0.20 0.40 0.30 0.40
1.2 m)
(160 m, 0, 0.40 0.43 0.40 0.42
1.2 m)
(180 m, 0, 0.38 0.37 0.39 0.39
1.2 m)
Table 17.3 Reverberation time at the receivers along the direction of the tunnel axis when the
source is located at the entrance (S1) and middle (S2) of the tunnel
Coordinates of receives Reverberation time/s
125 Hz 250 Hz 500 Hz 1000 Hz 2000 Hz
S1 S2 S1 S2 S1 S2 S1 S2 S1 S2
(20 m, 0, 1.2 m) 1.62 2.61 1.61 2.59 1.62 2.63 1.55 1.77 1.45 1.65
(40 m, 0, 1.2 m) 1.72 2.28 1.71 2.25 1.73 2.31 1.54 2.17 1.43 1.75
(60 m, 0, 1.2 m) 1.89 2.39 1.88 2.36 1.91 2.46 1.47 2.45 1.41 2.01
(80 m, 0, 1.2 m) 2.30 2.18 2.28 2.16 2.32 2.22 1.41 2.20 1.40 1.86
(100 m, 0, 1.2 m) 2.93 2.24 2.92 2.23 2.94 2.38 1.46 2.30 1.43 1.91
(120 m, 0, 1.2 m) 3.75 2.18 3.75 2.16 3.73 2.22 1.56 2.20 1.46 1.86
(140 m, 0, 1.2 m) 4.18 2.39 4.19 2.36 4.12 2.46 1.89 2.45 1.70 2.01
(160 m, 0, 1.2 m) 5.11 2.28 3.13 2.25 2.31 2.31 2.26 2.17 1.02 1.75
(180 m, 0, 1.2 m) 2.02 2.61 2.02 2.59 2.05 2.63 2.16 1.77 1.97 1.65
17.3.2 Sound Field on the Cross Section of the Tunnel
Figure 17.5a illustrates the speech intelligibility on the cross section, 45 m away from
the source. Speech intelligibility is considerably high in the middle and gradually
decreases to both sides of the tunnel. It gradually decreases in the vertical direction
from the height of the source at the tunnel entrance, but it does not show a linear
change in the vertical direction in the middle of the tunnel. When the source is located
in the middle of the tunnel (see S2), speech intelligibility at the height of the driver’s
ear is uniform, and the value is 0.26, approximately. When the source is located at
the entrance (see S1), the value of RASTI is about 0.30. Figure 17.5b shows the
reverberation time at 500 Hz on the cross section, 45 m away from the source. The
reverberation time is low in the middle and gradually increases to both sides of the
tunnel. The differences of reverberation time in the vertical direction are less than
that in the horizontal direction. When the source is located at the tunnel entrance (see
S1), the value range at the height of the driver’s ear is 0.83–0.95 s, while the range is
1.45–1.75 s when the source is located in the middle (see S2). It should be noted that
the simulated result is based on one single source, and there is heavy traffic in actual
situation, which may lead to larger reverberation time and low speech intelligibility.
194 Z. Jiang et al.
Fig. 17.5 a Speech intelligibility and b reverberation time on the cross section 45 m away from
the source (The symbols, S1 and S2, denote the sound field caused by source S1, S2, respectively.)
17.4 Conclusions
A numerical study on speech intelligibility and reverberation time in a long traffic

tunnel is conducted by numerical simulations, and the main conclusions can be drawn
as follows:
(1) Long reverberation time larger than 4 s in the frequencies below 1000 Hz is
found at some receivers in the tunnel, and significant attenuation of sound wave
in higher frequencies is observed. Speech intelligibility with RASTI lower than
0.4 is also found at most of receivers far away from the source, indicating the
poor acoustic environment in the long traffic tunnel.
(2) Furthermore, source position influences speech intelligibility and reverberation
time; higher RASTI and lower RT are found when the source is located at the
entrance of the tunnel than in the middle.
(3) It should be noted that the simulated result in this paper is based on only one
single source, and there is heavy traffic in actual situation, which may lead to
larger reverberation time and low speech intelligibility, and actions on noise
reduction are expected to be carried out.
References
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the image sources method. J Sound Vib 63:97–108
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Kang J (1996c) The unsuitability of the classic acoustical theory in long enclosures. Architect Sci
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absorbing ceiling. Appl Sci 11:6743
Redmore TL (1982) A theoretical analysis and experimental study of the behavior of sound in
corridors. Appl Acoust 15:161–170
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Chapter 18
Noise Reduction and Sound Intelligibility
Improvement in Acoustic Environment
in Long Traffic Tunnels with Wall
Absorption
Yang Zhao, Junwei Chen, Shaofeng Wang, Huading Lou, and Hequn Min
Abstract Acoustic environment in long traffic tunnels with low absorption perfor-
mance shows high level noise and low speech intelligibility. In this paper, a numerical
study is conducted to investigate noise reduction and speech intelligibility improve-
ment by wall absorption in a long traffic tunnel. The basis geometry model of the
tunnel was first built and parameter settings in numerical modeling were carried out
for numerical simulations. Comparisons on speech intelligibility (rapid speech trans-
mission index, RASTI) and reverberation time (RT) among the tunnels with different
wall absorption performance were then conducted. Numerical results demonstrate
the significant effects of absorption on reverberation time reduction and speech intel-
ligibility improvement in the long traffic tunnel, and a more uniform sound field can
also be obtained by wall absorption. The calculated average RT decreases from 3.0 s
approximately in the case with the low wall absorption (noise reduction coefficient
(NRC) = 0.07) to 1.3 s in the case with high wall absorption (NRC = 0.70), while
the average RASTI increases from 0.44 on the condition with low wall absorption
to 0.54 in the high wall absorption.
Keywords Sound absorption · Long traffic tunnels · Reverberation time · Speech

intelligibility
Y. Zhao
Jiangsu Provincial Transport Engineering Construction Bureau, 69 Shigulu, Nanjing 210004,
China
J. Chen · S. Wang
China Railway Siyuan Survey and Design Group Co., Ltd., 745 Hepingdadao, Wuhan 430063,
China
H. Lou · H. Min (B)
Key Laboratory of Urban and Architectural Heritage Conservation of Ministry of Education,
School of Architecture, Southeast University, 2 Sipailou, Nanjing 210096, China
e-mail: hqmin@seu.edu.cn
https://doi.org/10.1007/978-3-031-30233-6_18
198 Y. Zhao et al.
18.1 Introduction
Long traffic tunnels (Ma and Zhang 2013; Heutschi 2006), with lengths that are
much greater than their widths and heights, can be commonly observed in traffic
facilities and modeled as long enclosures in acoustics. The inner walls of the long
traffic tunnel are usually made of hard and smooth material with low sound absorp-
tion performance, and the noise generated by vehicles and ventilation equipment is
reflected on the inner boundaries of the tunnel, leading to more serious noise pollu-
tion in such tunnels than that on the outdoor road. Noise affects people’s hearing,
attention, comfort and driving safety. The bad acoustic environment in the tunnel,
such long reverberation time, low speech intelligibility and high noise level, seriously
reduces the speech clarity and intelligibility of the public address systems (Sander
and Jan 2006), and critical information in emergency cannot be accurately accepted
by drivers, which may threaten the rescue work.
A number of investigations on sound field in long enclosures have been conducted.
Yamamoto (1961) was among the first to study the sound propagation in corridors.
Davies (1973) and Redmore (1982) also investigated the subject in the 1970s and
1980s, respectively. In the late 70s, Sergeev (1979) used an image source model
to derive simple formulas to estimate the propagation of sound in city streets and
long tunnels. Later, Kang (1996a, b, 1997) proposed theoretical expressions derived
from the image source method to calculate reverberation times in long rectangular
rooms with geometrically reflecting walls, but it is still being improved by devel-
oping a more accurate algorithm for the calculation of simple conditions and by
establishing a more detailed empirical database. Yang and Shield (2001) developed
a ray-tracing computer model for the detailed investigation of sound fields in long
enclosures. Li addressed theoretically and experimentally the propagation of sound in
long enclosures (Li and Iu 2004) and developed a theoretical model for the prediction
of reverberation time and speech transmission index in rectangular long enclosures
(Li and Lam 2005). A theoretical model is presented by Yang et al. (2021) for the
prediction of sound radiated from a semi-infinite unbaffled long enclosure with the
ground.
Sound field in long enclosure with impedance boundary has also been investigated.
Min and Xu (2021) presented a coherent image source model for simple yet accurate
prediction of the sound field in long enclosures with a sound absorbing ceiling. In
the proposed model, the reflections on the absorbent boundary were separated from
those on reflective ones during evaluating reflection coefficients. The model was
compared with the classic wave theory, an existing coherent image source model
and a scale-model experiment. The results shown that the proposed model provides
remarkable accuracy advantage over the existing models yet was fast for sound
prediction in long spaces. A theoretical model was developed by Li (Kang 1996b) for
the prediction of reverberation time and speech transmission index in rectangular long
enclosures, which was based on an image-source method, and both acoustically hard
and impedance boundaries were investigated. To improve the acoustic environment in
the tunnels, it was revealed that, with the same cross-sectional area, when the width/
18 Noise Reduction and Sound Intelligibility Improvement in Acoustic … 199
height ratio of the tunnel was 1: 4, the sound attenuation was close to or slightly
greater than that of the square section; the efficiency of absorbers was higher when
there was less absorption; to obtain a higher attenuation, the absorbers should be
evenly arranged in a section (Kang 1996c).
The aim of this paper is to investigate noise reduction and speech intelligibility
improvement by wall absorption in a long traffic tunnel. The basis geometry model
of the tunnel was first built and parameter settings in numerical modeling were
carried out for numerical simulations. Comparisons on speech intelligibility and
reverberation time among the tunnels with different wall absorption performance
were then conducted.
18.2.1 Geometry
In Fig. 18.1, the cross section diagram of a long traffic tunnel is shown with the
region in yellow, where the ceiling, walls and ground can be seen. The widths of the
ceiling and ground, respectively, are 12 and 14 m, while the total height of the tunnel
is 5 m.
18.2.2 Numerical Modeling
To investigate the sound field in long traffic tunnels, noise maps were calculated with
a commonly used noise mapping package, Raynoise 3.0 by LMS International. It
uses advanced ray-tracing methods, to predict the sound field produced by sources
at any locations in closed, open or partially-open spaces (Bistafa and Bradley 2001;
Huang et al. 2012; Gerges and Gomes 2001). The 3D model of the long traffic tunnel
in Fig. 18.1 was first built in AutoCAD, where those components of the tunnel, whose
dimensions were smaller than the wavelength of interest, were neglected to improve
the computational efficiency, and then it was imported to Raynoise, as shown in
Fig. 18.2. A point source with the height of 1.2 m above the ground was set in the
middle of the tunnel. Surfaces of some materials of the tunnel, including ground and
ceilings, were considered as acoustic boundaries with low sound absorption coeffi-
cients, while the walls were set with different absorption coefficients for investigating
the effects of wall absorption on sound field in the tunnel. Finally, sound power level
of the source at octave bands within 125–2000 Hz was set as 93.2, 92.5, 96.1, 101.2,
95.2 dB (Wang 2007), while the absorption coefficients of different materials were
listed in Table 18.1. The air temperature was set to 25 °C, relative humidity to 60%.
The number of rays was 1000 and the reflection order was set as 50.
200 Y. Zhao et al.
Fig. 18.1 The cross section diagram of the long traffic tunnel
Fig. 18.2 The acoustic model of the long traffic tunnel in numerical modeling
Table 18.1 Sound absorption coefficients of different materials of the tunnel in numerical modeling
Position Sound absorption coefficients
125 250 500 Hz 1000 2000 Hz
Hz Hz Hz
Ceiling 0.05 0.06 0.03 0.07 0.08
Ground 0.03 0.03 0.03 0.03 0.02
Wall Low absorption (NRC = 0.07) 0.05 0.06 0.07 0.09 0.08
Medium absorption (NRC = 0.41) 0.25 0.31 0.42 0.51 0.58
High absorption (NRC = 0.70) 0.30 0.45 0.91 0.92 0.95
Note NRC is the abbreviation of noise reduction coefficient, which is the arithmetic mean value of
the absorption coefficients at octave bands within 125–2000 Hz
18.3 Results and Discussions
18.3.1 Sound Field Along the Direction of the Tunnel Axis
Speech intelligibility (rapid speech transmission index, RASTI) distributions along

the direction of the tunnel axis under the different conditions of wall absorption are
present in Fig. 18.3. It can be seen that speech intelligibility in case (a), (b), and
(c) differs from each other, and the overall RASTI in case (c) with high absorp-
tion is higher than any other cases, and it also shows a more uniformly speech
intelligibility distribution than case (a) and (b), which indicating the effects of wall
absorption on speech intelligibility improvement in the long traffic tunnel. Besides,
periodically-change value of speech intelligibility is observed under the condition
of low absorption (case (a)), where highest RASTI is found at the position of the
source, and it decreases with the increase of the distance from the source, and grad-
ually increases again, and decreases sharply at the entrance of the tunnel. However,
this effect diminishes with the enhancement of the absorption performance of the
inner wall of the tunnel.
Fig. 18.3 Speech intelligibility along the direction of the tunnel axis under the different conditions
of wall absorption (a Low absorption; b medium absorption; c high absorption)
202 Y. Zhao et al.
Fig. 18.4 Reverberation time along the direction of the tunnel axis under the different conditions
of wall absorption (a Low absorption; b medium absorption; c high absorption)
Figure 18.4 shows the reverberation time (RT) at 500 Hz along the direction of
the tunnel axis under the different conditions of wall absorption. It is indicated the
significant effects of absorption on the surface of walls on noise reduction in the long
traffic tunnel, and the average RT decreases from 3.0 s approximately in case (a) to
1.3 s in case (c). Reverberation time along the direction of the tunnel axis in case (c)
is much more uniform than in case (a), which is of great benefit for the arrangement
of the public address system in the tunnel.
18.3.2 Sound Field on the Cross Section of the Tunnel
Figure 18.5A illustrates the speech intelligibility on the cross section at the center
of the tunnel under the different conditions of wall absorption. Speech intelligibility
on the cross section in case (a), (b), and (c) differs from each other, and the overall
RASTI (0.56) in case (c) is higher than any other cases (the overall RASTI in case
(a) and (b) is 0.5, 0.52, respectively), and it also shows a more uniformly speech
intelligibility distribution than case (a) and (b), which indicating the effects of wall
absorption on speech intelligibility improvement in the long traffic tunnel. Further-
more, speech intelligibility is considerably high in the middle of the cross section
and gradually decreases to both sides and upper side, which is benefit for drivers’
hearing. Figure 18.5B shows the reverberation time at 500 Hz on the cross section at
the center of the tunnel under the different conditions of wall absorption. It is indi-
cated the significant effects of absorption on the surface of walls on noise reduction
in the long traffic tunnel, and the average RT decreases from 1.5 s approximately in
case (a) to 1.1 s in case (c), and reverberation time on the cross section in case (c)
is much more uniform than in case (a). Besides, the reverberation time is low in the
middle and gradually increases to both sides and upper side on the cross section.
(A) (B)
Fig. 18.5 A Speech intelligibility and B reverberation time on the cross section at the center of the
tunnel under the different conditions of wall absorption ((a) Low absorption; (b) medium absorption;
(c) high absorption.)
18.4 Conclusions
A numerical study is conducted to investigate noise reduction and speech intelligi-

bility improvement by wall absorption in a long traffic tunnel, where comparisons
on speech intelligibility and reverberation time among the tunnels with different
wall absorption performance (low, medium, and high absorption with NRC of 0.07,
0.41, and 0.70, respectively) were then conducted. This paper demonstrates again the
significant effect of absorption on reverberation time reduction and speech intelligi-
bility improvement in the long traffic tunnel, where a more uniform sound field can
also be obtained by high wall absorption, and it is of great benefit for the arrange-
ment of the public address system and drivers’ hearing in the tunnel. The calculated
average RT in the direction of the tunnel axis decreases from 3.0 s approximately
in the case with the low wall absorption (NRC = 0.07) to 1.3 s in the case with the
high wall absorption (NRC = 0.70), while the average RASTI increases from 0.44
on the condition with low wall absorption to 0.54 in the high wall absorption.
204 Y. Zhao et al.
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with the ground. Mech Syst Signal Process 149:107232
Chapter 19
Study of Recycled Plastic Panels
for the Reduction of Pathologies
in Low-Income Housing in Guayaquil,
Ecuador
Pedro Napoleón Chara Moreira , Rosanna Elizabeth Rivera Castro ,

Juan Carlos Briones Macias , Alex Leonardo Mecias Tenorio ,
and Bryan Alfonso Colorado Pástor
Abstract One of the factors for the decline of social interest housing proposed by
the current housing plans is the quality of its materials in which two very recurring
pathologies are witnessed, such as deformations present in cracks and humidity that
Shortly after acquisition, these homes must undergo constant maintenance. Currently
there are materials such as recycled plastic that have a greater resistance to bending,
compression and that are absorbent and waterproofing, properties that contribute to
the development of new panels for housing. The objective of this study is to determine
an ideal panel using recycled plastics HDPE, PET and PVC to reduce pathologies
in low-income housing. In conclusion, it was determined that according to various
dosages of 4, 6 and 8% of plaster with added HDPE recycled plastic, lightened lying
panels can be obtained with absorbent/waterproofing properties and in dosages of
15% and With 20% powdered cement with PVC fibers, more crack-resistant wall
panels can be obtained that promote a clean production process for architectural
panels that reduce pathologies by up to 80%, which translates into an improvement
in the quality of homes and the sustainable use of resources.
P. N. Chara Moreira (B) · R. E. Rivera Castro · J. C. Briones Macias · A. L. Mecias Tenorio

Universidad de Guayaquil, Av. Delta, Guayaquil 090510, Ecuador
e-mail: pedro.charam@ug.edu.ec
R. E. Rivera Castro
e-mail: rosanna.riverac@ug.edu.ec
J. C. Briones Macias
e-mail: juan.brionesmac@ug.edu.ec
A. L. Mecias Tenorio
e-mail: alex.meciasten@ug.edu.ec
B. A. Colorado Pástor
Universidad Politécnica de Madrid, Av. de Juan de Herrera, 6, 28040 Madrid, Spain
e-mail: bryan.colorado@alumnos.upm.es
https://doi.org/10.1007/978-3-031-30233-6_19
206 P. N. Chara Moreira et al.
Keywords Social interest housing · Recycled plastics · Pathologies · Sustainable

resources · Clean production
19.1 Introduction
The plastic industry generates a level of direct contamination to the soil of between
5 kg of plastic for every 400 m of land, which represents having underlying plastic
that will contaminate and render future proposed plantations (Okta 2019) infertile,
on the other hand it is estimated that 8 million tons of plastic are dumped into the
oceans annually and it is expected that by 2025, for every ton of plastic there will
be an equivalent to 3 tons of fish (Lai et al. 2022), which would be fatal for marine
ecosystems and would expand the mortality rate of marine fauna. Depending on the
level of recycling, plastics and their variations are fundamental to avoid progressive
contamination and long-term degradation that would end up affecting the soil and
water sources (Pelletier 2019).
Plastics have 3 variants that contribute to better recycling when they are incor-
porated into the construction (Jafari 2022) in the first place is PET (Polyethylene
Terephthalate) easy to recycle since you can obtain crushed shavings, synthetic fibers
and strips of minimum thicknesses between 0.2 and 0.6 cm easily incorporated into a
dosage, with lightening, waterproofing properties and medium resistance to flexion
(Le et al. 2022). HDPE (high-density polyethylene) is a material found in spherifi-
cations and small quadrants no larger than 0.01 cm in height and width, this material
has interesting properties for resistance to low and high temperatures (Tippner et al.
2022), absorbent and with high resistance to bending and compression.
PVC (Polyvinyl Chloride), a material with an intermediate level of degradation,
is rarely used since its recycling process (Zorpas 2020) involves more complex and
expensive processes that mean that this material is only found in spherifications
that are introduced into dosages of quality materials construction generates a high
resistance to flexion and a high median compression.
19.1.1 The Quality of Social Interest Housing
Social interest housing in the Latin American environment translates into a medium
to low quality housing of its materials that has generated a social discomfort in the
medium term of 72% (Jiménez 2020) of the acquiring users, therefore, this trend
percentage shows that a typical problem exists. Limited budgets and a determination
of pseudo savings in the hiring of qualified personnel and professionals have caused
construction techniques (Dalbem et al. 2019) and the application of their systems
have generated that the houses offered have minimum comfort conditions due to their
design in which they do not Sufficient ventilation or height is provided to reduce heat
drawdown.
19 Study of Recycled Plastic Panels for the Reduction of Pathologies … 207
In the winter season at the level of the Ecuadorian coast, it has been obtained
through previous investigations that 68% of the houses present leaks and 56% of the
sanitary systems collapse (Cruz et al. 2017). The fissures appear as another effect
of this deficient quality in social housing, which are present in almost 90% of the
houses in the initial acquisition stage and which, in the long term, are found in up to
96% of the houses say that a minimum percentage of homes (less than 10% overall)
do not present any type of damage related to the quality offered (Romero-Pérez et al.
2017).
19.1.2 Pathologies in Construction
The construction according to two determinants such as time and quality may have
symptoms that affect the construction system of a building that may be present in one
or more construction elements (columns, walls, slabs, etc.). As specific data, most
of these problems occur in the project and execution stages (Zhu et al. 2022); in the
project they are decisive since if its design and the techniques used at the time of
projecting are not functional, comfortable and aesthetic, a deficient product will be
obtained. In the execution stage, two determinants are obtained: following a design
with low functional characteristics that will prevent the building from foreseeing
future aspects that affect the construction process, and as a second determinant,
executing a project that is adverse to what was designed, added to savings in materials
and determining site studies to improve the quality of buildings.
Among the most common pathologies there are those that cause 3 types of symp-
toms. Physical named in this way, originating because of a process marked by physical
properties such as humidity, dirt and erosion, which affect health, habitability due
to the presence of water and cracks in the elements of closure of the house such as
roofs, lying and walls.
The mechanical symptoms are present in the deficient structural projection and
study of the soil that gives way to structural overloads, deformations, landslides and
settlements. In particular, the chemical symptoms are derived from the influence of
living organisms and atmospheric elements that cause the accelerated degradation
of the materials with effects of efflorescence, oxidation and corrosion, being the
product of an inappropriate study of the site where they were found. set up the
building (Villacis et al. 2017).
19.2 Methodology
An exploratory study of recycled plastic materials will be used that respond to the
pathologies linked to the production of social interest houses on the Ecuadorian
coast characterized in the city of Guayaquil, in which through censuses of homes
pathologies are presented to physical and chemical level. Therefore, the exploratory
study was guided by a comparison of materials tested in the laboratory that improve
the characteristics of the materials used in the construction of these houses, such as
precast concrete for panels and plaster in lying false, these being the elements where
these pathologies occur.
The tests will be categorized into samples to obtain a result of dosages with plastic
aggregates mixed with base materials of the compositional materials of concrete such
as cement and plaster using plaster. All the samples will be subjected to mechanical
tests to demonstrate to which paneling system they will correspond in a functional
way and reduce the pathology seen in the homes.
19.3 Results
19.3.1 Guayaquil Housing Census
As an element of analysis, the housing census carried out by the INEC in 2022 has
provided data on both the level of access, the family occupancy rate and the current
condition of the houses. Based on these data, a synthesis was structured (see Table
19.1) where they considered 4 social interest housing plans at the Guayaquil level,
such as: Socio Vivienda, Mi Lote, Mucho Lote and Hogar de Cristo, to obtain data of
the various pathologies present in plans designed and executed with inter-institutional
means.
As another comparative method to not only focus the study on planned means of
housing, two poles of housing development were taken, such as the houses of Monte
Sinai and Proletarios sin Tierra informal settlements that respond to the self-execution
of work of its inhabitants, which means designed and executed by their own means.
The reference range of families was taken with a range of average income level
between $100 and $180 dollars per month as a utility range for housing acquisition.
To obtain quantitative data, an assessment of the aspects of access level 1 was
designed: No access possible; 2: With access through loan; 3: With own media
access. Aspect of family occupancy rate (number of people living in the dwelling
Table 19.1 Quantitative data

Housing and Access level Family index Conditions
on correlation between
settlement plans
housing plans and settlements
Socio Vivienda 2 5 3
Mi Lote 2 5 2
Mucho Lote 1 5 2
Hogar de Cristo 1 6 2
Monte Sinaí 3 8 3
Proletarios sin 2 7 2
Tierra
Fig. 19.1 Presence of pathologies in housing plans and informal settlements in Guayaquil
according to INEC Census data). Aspects of condition for determining pathologies

(number of types of pathologies found, with 1 being the rank belonging to one type
of pathology and 3 when all types of pathologies were found).
The results in relation to the pathologies found show that there are two types of
pathologies that fall into the categorization of physical and chemical (see Fig. 19.1)
that are relevant to the presence of cracks-cracks, moisture present in walls and
efflorescence present in false ceilings (plaster).
19.3.2 Comparative Study of Materials
In relation to the previous categorization of plastic recycled materials, a comparison

was made between wall construction elements (see Fig. 19.2) and false ceilings with
respect to the functionality of plastic recycled elements that lead to the initial frame-
work for the choice of material. These data were collected in the laboratory using
reference specimens in response to adhesion, mixing and workability evaluations.
According to the trend, cement as a forming element for block walls and precast
walls performs better with recycled plastics when using bagged cement. For the
Fig. 19.2 Comparison of cement materials/recycled plastics

Fig. 19.3 Comparativa materiales de yeso-escayola/reciclados plásticos
comparison of false ceilings, gypsum and a purified variant such as plaster will be
used (see Fig. 19.3).
The results were tested on 4 × 4 × 16 test specimens using a loose solids ther-
moscopy meter to determine the amount of recycled plastic aggregates in the mix;
the mix was calculated under parameters of Spanish Standard UNE-EN 13108-20
for aggregate mixes with a mixing ratio of 30 mix/60 mix/60 rest/30 mix/30 rest/30
mix; while workability was stipulated by workability parameters of Spanish Standard
UNE-EN 13279-2 to measure the amount of unmixed total solids prior to pouring in
specimens. Ranges were managed from 0.01 to 5.00 to establish a trend of results.
19.3.3 Samples and Dosages
The samples were taken from the comparative considering the mechanical integration
by adherence, mixture and workability, having the cement in sack (powder) and
plaster as a derivative of gypsum (see Table 19.2). In relation to the above, two
samples were obtained, in which the following dosages were structured, determined
by the yield strength (Rm-f) and maximum compressive and flexural strength (Rp
0.2) corresponding to the cementitious material:
1000 gr. Cement/700 gr. Water
Variants: REF—5%–10%–15%–20% with respect to the total amount of PET
and PVC mixture.
Variants: REF—3%–6%–9%–12% with respect to the total amount of HDPE
mixture.
Table 19.2 Powdered

Binder/water ratio Recycled plastics content
cement: characterization of
the different dosages used 0.70 0% (REF)
Table 19.3 Dosages

Nomenclature Cement (gr.) Water (gr.) PET (gr.)
Cement+PET
E0.70—REF 1000 650 –
E0.70—5% PET 950 665 85
E0.70—10% PET 900 630 170
E0.70—15% PET 850 595 255
E0.70—20% PET 800 560 340
Total: 15 dosages.
The Cement+PET dosage samples (see Table 19.3) were taken from the minimum
to the maximum range of compressive and flexural strength (Rp 0.06–Rp 0.19).
The Cement+HDPE dosage samples (see Table 19.4) were taken from the
minimum to the maximum range of compressive and flexural strength (Rp 0.03–Rp
0.165).
The Cement+PVC dosage samples (see Table 19.5) were taken from the minimum
to the maximum range of compressive and flexural strength (Rp 0.06–Rp 0.20).
1000 gr. Plaster/700 gr. Water (see Table 19.6).
Variantes: REF—1%–2%–3%–4% with respect to the total amount of PET
mixture.
Variantes: REF—2%–4%–6%–8%–10% with respect to the total amount of
HDPE mixture.
Table 19.4 Dosages

Nomenclature Cement (gr.) Water (gr.) HDPE (gr.)
Cement+HDPE
E0.70—REF 1000 650 –
E0.70—3% HDPE 970 679 51
E0.70—6% HDPE 940 658 102
E0.70—9% HDPE 910 632 158
E0.70—12% HDPE 880 616 204
Table 19.5 Dosages

Nomenclature Cement (gr.) Water (gr.) PVC (gr.)
Cement+PVC
E0.70—REF 1000 650 –
E0.70—5% PVC 950 665 85
E0.70—10% PVC 900 630 170
E0.70—15% PVC 850 595 255
E0.70—20% PVC 800 560 340
Table 19.6 Plaster:

Binder/water ratio Recycled plastics content
characterization of the
different dosages used 0.70 0% (REF)
Table 19.7 Dosages

Nomenclature Plaster (gr.) Water (gr.) PET (gr.)
Plaster+PET
E0.70—REF 1000 650 –
E0.70—1% PET 990 693 17
E0.70—2% PET 980 686 34
E0.70—3% PET 970 679 51
E0.70—4% PET 960 672 68
Table 19.8 Dosages

Nomenclature Plaster (gr.) Water (gr.) HDPE (gr.)
Plaster+HDPE
E0.70—REF 1000 700 –
E0.70—2% HDPE 980 686 34
E0.70—4% HDPE 960 672 68
E0.70—6% HDPE 940 658 102
E0.70—8% HDPE 920 644 136
E0.70—10% HDPE 900 630 170
Table 19.9 Dosages

Nomenclature Plaster (gr.) Water (gr.) PVC (gr.)
Plaster+PVC
E0.70—REF 1000 650 -
E0.70—0.5% PVC 995 696.25 8.75
E0.70—1% PVC 990 693.5 16.5
E0.70—1.5% PVC 985 689.75 25.25
E0.70—2% PVC 980 687 33
Variantes: REF—0.5%–1%–1.5%–2% with respect to the total amount of PVC

mixture.
Total: 16 dosages.
The samples of the Plaster+PET dosage (see Table 19.7) were taken at the
allowable yield stress (Rm-f1).
The plaster+HDPE dosage samples (see Table 19.8) were taken at the allowable
yield stress (Rm-f2).
The samples of the Plaster+PVC dosage (see Table 19.9) were taken at the
allowable creep limit (Rm-f0.5).
19.3.4 Mechanical Testing and Clean Production
In order to determine verifiable results, a framework of mechanical characterization

tests obtained for the combinations of powdered cement and recycled plastic mate-
rials, seeking maximum resistance to bending, breakage and compression, translated
Hardness Shore D Compression (Mpa)

Dosages Test Flex (Mpa) Weight Ultrasound
M1 M2 M3 M4 M5 Media M1 (A) M2 (B) Media
304 264 300 312 300 296,00
P1 15,3922 68,1871 72,0861 70,1366 862,50 70,40
288 300 228 288 284 277,60
296 280 304 280 272 286,40
E0,70 - 15% P2 13,9596 73,0731 75,9921 74,5326 857,10 68,60
300 300 308 292 292 298,40
240 300 280 304 284 281,60
P3 18,9188 52,3809 44,0441 48,2125 866,10 69,40
304 308 300 300 308 304,00
296 308 304 300 300 301,60
P1 16,5041 78,5050 80,7171 79,6111 863,40 69,00
184 308 312 308 300 282,40
292 316 300 304 308 304,00
E0,70 - 20% P2 12,9643 75,4602 74,2700 74,8651 850,50 69,50
300 300 264 316 296 295,20
236 284 300 304 300 284,80
P3 16,1401 78,1411 74,5006 76,3209 850,50 69,00
308 308 304 300 300 304,00
Higher result Minor result
Fig. 19.4 Hardness and plasticity test results
Cycles (x2)
Dosages Test
Dry weight Wet weight % Weight gain Dry weight Wet weight % Weight gain
P1 238,40 298,88 20,24% 169,42 172,07 1,54%
E0,70 - 4%
P2 261,10 316,01 17,38% 155,17 157,20 1,30%
P1 321,70 371,46 13,40% 219,84 220,98 0,51%

E0,70 - 6%
P2 341,30 387,53 11,93% 223,37 225,67 1,02%
P1 292,20 367,97 20,59% 217,37 224,10 3,00%

E0,70 - 8%
P2 326,30 380,93 14,34% 219,10 226,00 3,05%
Best result Poor result
Cycles (x1) % Weight Measurements in centimeters every minute for 10 minutes (started at 5 minutes - base 0).
Dosages Test
Dry weight Weight after test gain Base 0 1 2 3 4 5 6 7 8 9 10 Heights reached
P3 215,70 280,50 23,10% 4,90 5,32 5,65 6,05 6,37 6,80 7,12 7,42 7,66 7,93 8,23 3,33
E0,70 - 4%
P4 231,60 287,90 19,56% 4,70 5,20 5,60 6,00 6,30 6,58 6,96 7,17 7,50 7,69 7,89 3,19
P5 284,84 314,87 9,54% 3,15 3,45 3,75 4,00 4,22 4,40 4,60 4,75 4,96 5,14 5,32 2,17
E0,70 - 6%
P6 290,41 323,33 10,18% 3,36 3,60 3,90 4,10 4,30 4,50 4,70 4,82 5,01 5,21 5,36 2,00
P3 294,05 322,05 8,69% 2,70 3,00 3,20 3,40 3,70 3,90 4,10 4,35 4,50 4,70 4,90 2,20
E0,70 - 8%
P4 296,66 318,77 6,94% 2,80 3,10 3,30 3,55 3,70 3,80 3,95 4,15 4,30 4,43 4,63 1,83
Best result Po or result
Ciclos (x2)
Dosages Test
Initial Dry Weight Final Wet Weight % Weight gain Initial Dry Weight Final Wet Weight % Weight gain
P5 293,11 385,50 23,97% 288,00 345,00 16,52%
E0,70 - 4%
P6 238,17 354,10 32,74% 218,20 328,34 33,54%
P3 285,16 375,70 24,10% 274,20 355,00 22,76%

E0,70 - 6%
P4 288,51 375,50 23,17% 288,10 362,12 20,44%
P5 290,84 380,30 23,52% 284,34 370,18 23,19%

E0,70 - 8%
P6 288,65 375,50 23,13% 285,30 355,19 19,68%
Best result Poor result
Fig. 19.5 Wet cycle test results
into hardness and plasticity tests structured by resulting calculations of shore D hard-
ness, MPa bending, compression and ultrasound to determine breakage or rupture
of the element; tests were carried out on 4 × 4 × 16 centimeter specimens (see
Fig. 19.4). As a summary, the most outstanding result is the following:
The mechanical characterization of the plaster material and the integration of recy-
cled plastics was structured by wet cycles characterized by tests in oven-water (imper-
meability), capillarity (water absorption) and oven-wet chamber (water release),
determining the conditions of absorption, water release and impermeable condi-
tions that the material may acquire (see Fig. 19.5); the tests were carried out on
specimens of 4 × 4 × 16 centimeters. As a summary, the most outstanding result is
the following:
19.4 Discussion and Conclusions
Decisions on materials were determined by the performance and mechanical integra-

tion of the materials in the sample with plastic recycled materials being the looser and
more purified elements of cement (powder) and plaster as a component of smaller
granulometry compared to gypsum.
HDPE shows a water absorption and waterproofing characteristic 55% higher
than conventional gypsum panels. The PVC combined with cement materials shows a
higher resistance to conventional walls and because it is a composition of PVC plastic
fibers, the adhesion and flexural strength improved its mechanical characteristics by
67%.
The production system of panels based on recycled materials meets the parameters
of clean production by using dissolved elements of wall materials and false ceilings
with the use of high dosages of recycled plastic materials such as HDPE and PVC.
It is determined that according to different dosages of 4, 6 and 8% of scant-
ling with HDPE recycled plastic aggregate, lightened roof panels with absorbing/
waterproofing properties can be obtained, and at 15 and 20% dosages of cement
powder with PVC fibers, more crack resistant wall panels can be obtained, promoting
a clean production process of architectural panels that reduce pathologies by up
to 80%, which translates into the improvement of the quality of housing and the
sustainable use of resources.
Acknowledgements A special thanks to the group of researchers that make up this team, where it
has been possible to obtain a concise, coherent research, with a level of experimentation analyzing
the territory in an effective way, thanks to the openness to the Faculty of Architecture and Urbanism
and the effective management between the Ruffilli Laboratory of the University of Guayaquil and
annexed laboratories of the Polytechnic University of Madrid—ETSEM, to obtain such valuable
results.
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Chapter 20
Preparation and Performance Evaluation
of Triazine Desulfurizer
Lipeng Gou, Xiaoming Ren, Yibin Yang, Bing Li, Rensan Lv, Shiyong Li,
and Kai Li
Abstract The desulfurization mechanism of triazine liquid desulfurizer was intro-

duced. A triazine liquid desulfurizer was synthesized with formaldehyde and
ethanolamine. The effects of H2 S concentration, operating temperature, CO2 content,
pH value and other process conditions on the performance of the desulfurizer were
investigated to provide methods and technical support for the removal of H2 S from
natural gas. The H2 S removal results showed that in the range of H2 S mass concen-
tration of 1600 mg/m3 , the desulfurization rate of triazine desulfurizer is stable at
more than 98%, and the desulfurization rate is basically unchanged. Continuing to
increase the H2 S concentration, the desulfurization rate decreases. The use tempera-
ture has little effect on the desulfurization rate of the triazine desulfurizer. Different
CO2 content has little effect on the performance of triazine desulfurizer. The larger
the pH value, the lower the hydrolysis rate, the higher the desulfurization rate, and
the better the stability. trazine is a promising desulfurizer.
Keywords Triazine · Desulfurizer · Synthesis · Desulfurization rate
L. Gou (B) · Y. Yang · K. Li

The 5th Oil Production Plant of CNPC Changqing Oilfield Company, Xi’an 710018, China
e-mail: xjzdan029@163.com
X. Ren
The 9th Oil Production Plant of CNPC Changqing Oilfield Company, Yan’an 710018, China
B. Li · R. Lv
The 3th Oil Production Plant of CNPC Changqing Oilfield Company, Yinchuan 750000, China
S. Li
Drilling and Production Engineering Technology Research Institute, CNPC Chuanqing Drilling
Engineering Company Ltd, Xi’an 710018, China
https://doi.org/10.1007/978-3-031-30233-6_20
218 L. Gou et al.
20.1 Introduction
Among the desulfurizers for removing H2 S from natural gas, there are solid desul-
furizers (Panchal et al. 2021; Wang et al. 2022; Arena et al. 2021), such as iron-
based, zinc based, copper based, manganese based and cerium based desulfurizers,
as well as activated carbon and molecular sieve. There are also liquid desulfur-
izers (Yao et al. 2021), which use a specific solution or solvent to contact the gas
in countercurrent to remove H2 S and CO2 (Khan et al. 2021; Sun et al. 2020;
Liu et al. 2021; Yang et al. 2021), and can be absorbed again after regenera-
tion, such as N-methyl-2-pyrrolidone, N-Methyl-ε-caprolactam, polyethylene glycol
dimethyl ether and propylene carbonate, tributyl phosphate, etc., the sulfolane
aqueous solution of diisopropanolamine (DIPA) or methyldiethanolamine (MDEA)
in the Sulfinol method, Organic alkanolamines such as ethanolamine (MEA) and
N-methyldiethanolamine (MDEA) by chemical absorption method. Whether it is
solid desulfurizer or liquid desulfurizer, their performance has its own advan-
tages and disadvantages, so domestic and foreign scholars have been constantly
improving various desulfurizers. In many oilfield exploitation operations, the appli-
cation of many desulfurizers in offshore oilfields is limited due to geographical
factors and space constraints. Liquid desulfurizers are usually used for desulfuriza-
tion by injecting them directly into the pipeline for desulfurization. In recent years,
triazine liquid desulfurizer is a new type of high-efficiency desulfurizer that has been
researched and used at home and abroad, and the frequency of use has increased
rapidly. The desulfurizer has excellent application effect in contact reaction with
natural gas. Although it is non regenerative, the dosage is extremely low, and the
reaction product is non-toxic and harmless. It only reacts with H2 S and mercaptan,
not CO2 . The reaction is irreversible, and the product is water-soluble, which is easy
to separate. The author synthesized a high-efficiency triazine-based desulfurizer with
formaldehyde and ethanolamine, and investigated the influence of H2 S concentra-
tion, operating temperature, CO2 content, pH value and other process conditions on
the performance of the desulfurizer, so as to provide methods and technologies for
the removal of H2 S from natural gas.
Triazine desulfurizer, mainly composed of 1,3,5-tris(2-hydroxyethyl)-hexahydro-
s-triazine, which is soluble in water. Theoretically, every 1 mol of triazine can absorb
3 mol of H2 S to generate trithiazine, but in actual working conditions, only dithiazine
is generated, and 1,3,5-trithiazine is not detected. This is because the nucleophilic
substitution reaction between triazine and H2 S contains three nitrogen atoms, so the
substitution consists of three stages, the difficulty of substitution increases in turn,
and the last step is almost difficult to complete. Therefore, the reaction product is
dithiazine, which is easily soluble in water, non-toxic and harmless, and meets the
requirements of conventional produced water treatment technology. The reaction
process of triazine and hydrogen sulfide is shown in Fig. 20.1.
20 Preparation and Performance Evaluation of Triazine Desulfurizer 219
Fig. 20.1 Reaction process of triazine and hydrogen sulfide
20.2 Preparation and Evaluation Method of Triazine

Desulfurizer
20.2.1 Preparation of Triazine Desulfurizer
Triazine desulfurizer was prepared by amine aldehyde condensation method. A

certain amount of formaldehyde was slowly added to the ethanolamine solution
under the condition of stirring at 40 °C and normal pressure, then the desulfurizer
mother liquor was obtained after standing and separated. After the mother liquor
of desulfurizer was purified by vacuum distillation, then add solvent and auxiliary
agent to obtain triazine desulfurizer.
20.2.2 Evaluation Method of Triazine Desulfurizer
In view of the current situation of industrial desulfurization, this work adopts dynamic
desulfurization simulation in laboratory to evaluate the performance of triazine liquid
desulfurizer. The experimental device was connected with nitrogen and hydrogen
sulfide at the front end of the reactor, and the gas flow rate was controlled by a flow
meter. The rear end of the reaction kettle was connected with a multi-stage absorber
for absorbing unreacted hydrogen sulfide in the tank reactor. The device was equipped
with a tail gas absorption device at the end to avoid the leakage of hydrogen sulfide gas
caused by the gas flow rate being too fast. The targets investigated are desulfurization
efficiency and sulfur capacity. Desulfurization rate: sulfur removal rate (%) = (inlet
H2 S concentration – outlet H2 S concentration)/inlet H2 S concentration × 100%,
hydrolysis rate: hydrolysis rate (%) = mass of hydrolyzed triazine desulfurizer/
mass of total triazine desulfurizer × 100%. The content of hydrogen sulfide was
determined in accordance with the standard GB/T 11060.1-2010 (Determination
220 L. Gou et al.
Table 20.1 Desulfurization

Input/(mg m−3 ) Output/(mg m−3 ) Desulfurization rate/(%)
rate of H2 S with different
concentrations under 400.0 0 100.0
desulfurizer 800.0 11.2 98.6
1200.0 16.4 98.6
1600.0 25.7 98.4
2000.0 156.5 92.2
of sulfur-containing compounds in natural gas-Part 1: Determination of hydrogen

sulfide content by iodometry method) (An et al. 2022; Zhang et al. 2022).
20.3.1 The Effect of Different Concentrations of H2 S

on the Performance of Triazine Desulfurizer
The influencing factors of dynamic desulfurization efficiency include H2 S concen-

tration, operating temperature, CO2 content and pH value. The observable indicators
are desulfurization efficiency and hydrolysis rate. The H2 S concentration of raw
materials in different regions varies greatly. In this study, the effect of different
concentrations of H2 S on the performance of triazine desulfurizer was investigated.
In this study, the desulfurization rate of the desulfurizer at the mass ratio of hydrogen
sulfide to desulfurizer of 1:10 and the mass concentration of H2 S of 400–2000 mg/
m3 was investigated at 50 °C. The results are shown in Table 20.1.
It can be seen from Table 20.1 that within the range of 1600 mg/m3 H2 S mass
concentration, the desulfurization rate of triazine desulfurizer is stable at more than
98%, and the desulfurization rate is basically unchanged, which is consistent with the
desulfurization mechanism of triazine. Triazine and H2 S undergo irreversible chem-
ical reaction, and the reaction degree is hardly affected by the H2 S mass concen-
tration. However, the desulfurization rate begins to decrease with the continuous
increase of H2 S concentration. Which is due to the restriction of the desulfurizer
content under this test condition, the contact time between the high concentration of
H2 S and the desulfurizer at this content is insufficient, resulting in a decrease in the
desulfurization rate.
20.3.2 The Influence of Different Operating Temperatures
The operating temperature of the pipeline on site is generally 50–80 °C. In this
study, the effect of different operating temperatures on the performance of triazine
Table 20.2 Desulfurization

Temperature/ H2 S concentration at the Desulfurization
rate of triazine desulfurizer
°C exit/(mg/m3 ) rate/%
under different operating
temperatures 50 11.3 98.9
60 12.5 98.8
70 12.7 98.7
80 11.6 98.8
desulfurizer was investigated. The desulfurization rate at 50–80 °C under the H2 S

concentration of 1000 mg/m3 was investigated, and the results are shown in Table
20.2.
As can be seen from Table 20.2 that with the increase of temperature, the desul-
furization rate of the desulfurizer basically maintains above 98%, and the change
range is not large. According to the desulfurization mechanism of triazine, although
the increase in temperature promotes the forward progress of the desulfurization
reaction, the reaction rate at low temperature is relatively fast because the activation
energy of the initial reaction between triazine and H2 S is already low. When the
temperature increases, the promoting effect of thermodynamics on the reaction is
not obvious, and the reaction rate of the desulfurizer tends to be stable, which is
manifested in the stable desulfurization rate.
20.3.3 Effect of Different CO2 Content
In the environment of natural gas exploitation, CO2 and H2 S basically coexist, so this
study investigated the influence of different CO2 content on the desulfurization rate
of triazine desulfurizer. Under the conditions of H2 S concentration of 1000 mg/m3
and operating temperature of 50 °C, CO2 with different volume contents was added
to the feed gas containing H2 S to test the desulfurization rate. The results are shown
in Table 20.3.
It can be seen from Table 20.3 that the CO2 concentration has little effect on
the desulfurization rate of the desulfurizer. The desulfurization rate without CO2 is
98.9%. When the volume of CO2 is 1%, the desulfurization rate is 98.5%, which
Table 20.3 Desulfurization rate of triazine desulfurizer under different content of CO2
CO2 volume content/% H2 S mass concentration at the exit/(mg/m3 ) Desulfurization/%
0 11.3 98.9
1 15.5 98.5
2 22.9 97.7
4 35.6 96.4
8 50.4 95.0
222 L. Gou et al.
basically does not change. When the volume of CO2 is 2%, the desulfurization rate
is 97.7%, and the decrease is very small. Continue to increase the volume of CO2
to 4%, the desulfurization rate is 96.4%, and when the volume of CO2 is increased
to 8%, and the desulfurization rate is 95.0%. It can be seen that the high content
of CO2 has a limited effect on the performance of the triazine desulfurizer. The
reason for the reduction of the desulfurization rate may be the competition of CO2
adsorption. According to the desulfurization mechanism of triazine desulfurizer,
although triazine does not directly interact with CO2 , CO2 will still compete with
H2 S in the alkaline liquid desulfurizer for adsorption. The organic amine of H2 S and
the higher CO2 will also reduce the pH value of the solution and cause the hydrolysis
of triazine molecules, thereby affecting the removal rate of H2 S. However, due to the
limited effect of these influencing factors, the reduction of the desulfurization rate is
not obvious.
20.3.4 The Stability of Desulfurizers with Different pH Values
It is not difficult to see from the desulfurization principle of triazine desulfurizer:

triazine desulfurizer is alkaline. As a desulfurizer for removing H2 S from natural
gas, the pH value tends to decrease along with certain factors, such as when a large
content of acidic gas such as CO2 occurs. At low pH, the triazine molecule must
be hydrolyzed to a certain extent, which will affect the stability of the desulfurizer.
In this study, triazine liquid desulfurizer solution was prepared with three buffer
solutions with pH values of 4.2, 7.2 and 9.1 at H2 S mass concentration of 1000 mg/
m3 and service temperature of 50 °C. The hydrolysis rate and desulfurization rate of
triazine desulfurizer were investigated. The results are shown in Table 20.4.
It can be seen from Table 20.4 that with the increase of pH value, the hydrolysis
rate shows a downward trend, which corresponds to the upward trend of the desul-
furization rate. The higher the pH value, the lower the hydrolysis rate, the higher the
desulfurization rate, and the better the stability. This is because the organic amine
that assists in absorbing H2 S in the process of triazine molecular desulfurization can
be more stable at a higher pH value.
Table 20.4 Desulfurization rates of triazine desulfurizers at different pH values

pH value H2 S concentration at the exit/ Desulfurization rate of H2 S/% Hydrolysis rate/%
(mg/m3 )
4.2 395.6 60.4 76.29
7.2 173.8 82.6 60.32
9.1 11.3 98.9 48.98
20.4 Conclusion
In the range of H2 S mass concentration of 1600 mg/m3 , the desulfurization rate of

triazine desulfurizer is stable at more than 98%, and the desulfurization rate is basi-
cally unchanged. Continuing to increase the H2 S concentration, the desulfurization
rate decreases. The use temperature has little effect on the desulfurization rate of
the triazine desulfurizer. Different CO2 content has little effect on the performance
of triazine desulfurizer. The larger the pH value, the lower the hydrolysis rate, the
higher the desulfurization rate, and the better the stability. Triazine desulfurizer is a
liquid desulfurizer with little disturbance and excellent stability.
Acknowledgements We are very grateful to Dong Jie for her help in these experiments. We also
thank the work of Modern Analysis and Testing Center of Xi’an Shiyou University.
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Chapter 21
Adaptation for the Impacts of Climate
Change in a Subtropical Archipelagic
Region
Omid Shir Mohammad, Jun-ichiro Giorgos Tsutsumi, and Ryo Nakamatsu
Abstract The impacts of climate change have been appearing clearly recently. The
impacts are categorized into two types. Short-term impacts are recognized as extreme
weather events and long-term impacts are regarded as global warming. Adaptation
to the impacts of climate change was examined from the viewpoints of local charac-
teristics in this study. The target area is a subtropical island region, Okinawa, Japan,
that is the study field including various factors of environment. As for the short-term
impacts, the intensity of rainfall was a characteristic factor of climate crisis, because it
could cause flood and/or drought and the adaptation for them was the control of flood
and the conservation of water resources. Another short-term impact examined here
was the heatstroke by high temperature. The adaptation for the heatstroke was exam-
ined both outdoors and indoors, though which required more energy and conflicted
with the mitigation of climate change. As for the long-term impacts, the rises in air
and sea water temperature caused changes of land and marine biota, especially coral
reef and agricultural products in Okinawa. The improvement of breeds was thought
to be adaptation for the long-term impacts. The relations between the impacts and the
adaptation were examined and evaluated from the viewpoints of local characteristics.
Keywords Impacts of climate change · Subtropical islands · Short-term

adaptation · Long-term adaptation
O. S. Mohammad · J. G. Tsutsumi (B) · R. Nakamatsu

University of the Ryukyus, Okinawa 9030213, Japan
e-mail: jzutsumi@tec.u-ryukyu.ac.jp
https://doi.org/10.1007/978-3-031-30233-6_21
226 O. S. Mohammad et al.
21.1 Introduction
21.1.1 Climate Change and Its Impacts
Sixth Assessment Report of IPCC (IPCC 2021) states clearly that many extreme
weather events are caused by human-induced climate change. Human emission of
greenhouse gas has been making not only global warming but also the extreme
weather in the world. Two types of the impacts of climate change, long-term impacts
as global warming and short-term impacts as extreme weather, have to be assessed
and treated as climate crisis for the conservation of human environment.
Adaptation to the impacts of climate change that means countermeasures against
the impacts is a main topic of this study. IPCC Assessment Report (IPCC 2021) states
climate change from worldwide and wide regional viewpoints, which is appropriate
for the long-term impacts though the detailed local weather events as the short-term
impacts are not clear.
As for climate change in Japan, Ministry of Education, Culture, Sports, Science
and Technology (MEXT) and Japan Meteorological Agency (JMA) issued Climate
Change in Japan (MEXT and JMA 2020). They mention mainly about the averages or
the total images of various meteorological factors in Japan, which is still not enough
to understand local impacts.
Okinawa Regional Headquarters, JMA issued a reginal report of climate change
(Okinawa Regional Headquarters, JMA 2022). It states the regional characteristics
of meteorological data as the impacts of climate change. It is used as a basic idea of
this study, while the worldwide impacts (IPCC) and the nationwide impacts (MEXT
and JMA) are used as references.
21.1.2 The Impacts of Climate Change in Okinawa
The target area, Okinawa, is a distinct characteristic island area in Japan. It is a group
of about 160 islands spreads in a wide sea area between the Pacific Ocean and the
East China Sea, from 24°N to 28°N, as shown in Fig. 21.1. The total land area is
2282 km2 and the total population is 1.46 million. The main island is Okinawa Is.
that is the largest island whose area and population are 1208 km2 and 1.35 million
(Okinawa Prefectural Government 2022). This target area is characterized by small
subtropical island with rather high population.
Okinawa is one of the most essential areas for meteorological observation in Japan,
because its location, southernmost and westernmost corner of Japan, is the starting
point of weather changes, especially in summer including tropical storms, typhoons
(Kitamoto 2022). That is the reason why Okinawa Meteorological Observatory was
placed in 1890 and it has been one of the most important meteorological observatories
in Japan.
21 Adaptation for the Impacts of Climate Change in a Subtropical … 227
Fig. 21.1 Location of Okinawa islands
The impacts of climate change in Okinawa must be considered from the viewpoints
of rather densely inhabited small-scale islands in subtropical zone. Additionally, high
humid air, rainy seasons and typhoon attacks are important factors to think about the
impacts in Okinawa. Seawater temperature is another additional factor for the marine
ecology, especially coral reef and other species living in coral reef.
21.1.3 Target Issues from the Local Characteristics
Representative impacts of climate change were selected and sorted from the view-
points of local characteristics of Okinawa as shown in Table 21.1. Rise in seawater
level is not selected as a target issue, though it is one of the most famous impacts of
climate change, because the rise in seawater level in Okinawa is almost negligible
and most of the coast is revetments or landfill sites.
Rise in air temperature is almost the same meaning of global warming, which
makes various long-term impacts on natural and living environment. However, it
takes very long time and it appears as annual average temperature data. It is almost
impossible for people to recognize the rise in air temperature directly. However, if
high temperature air contains high humidity, it increases the possibility of heatstroke.
It is a clear and serious issue in Okinawa, because the humidity is always high.
Agricultural products are also affected by high temperature air seriously.
Rise in seawater temperature has already caused serious damage on coral reef
and marine ecology around coral reef. That is a serious issue from the viewpoint
of not only ecology but also economics, because tourism is a prevailing industry of
Okinawa and coral reef is one of the most attractive resources of tourism.
Table 21.1 Representative

Meteorological Impact Long/short-term
impacts of climate change in
phenomena
Okinawa
Rise in air Heatstroke, Long-term impact
temperature agriculture
Rise in seawater Marine ecology Long-term impact
temperature (coral reef)
Local torrential Flood, landslide, Short-term impact
rainfall sediment runoff
Changes of Unexpected attacks Short-term impact
typhoons
Local torrential rainfall that is intense rainfall in a limited area is a typical short-
term impact of climate change. It causes serious disasters, flood, landslide and sedi-
ment runoff. Flood and landslide are ordinary disaster even if climate change were
not considered, because Okinawa is a humid place with the annual precipitation of
over 2000 mm, and a rainy season exists mainly in June and typhoons attack there
every year. However, sediment runoff is a unique disaster in Okinawa, because the
surface of the islands is mainly covered by red clay of very fine particles that can
easily flow out with rain water to the rivers and the sea directly. It also causes damage
to the marine ecology including coral reef.
Typhoons have been born in the tropical zone of northwestern Pacific normally and
approached Okinawa by the trade wind. However, their paths have changed northerly
recently because of the rise in seawater temperature. It is difficult to predict the paths,
the seasons and the intensity of recent typhoons. These changes of typhoons are
thought to be short-term impacts, though these changes come from mainly rise in
seawater temperature that is a long-term impact.
These four impacts shown in Table 21.1 are target issues for adaptation.
21.2 Data Analyses
21.2.1 Air and Seawater Temperature
A typical long-term impact, rise in air temperature, is shown in Fig. 21.2 (JMA
Homepage 2022). These data are annual average air temperature anomalies from the
normal data that are the averages from 1991 to 2020. Trends of temperature rising
are clear, which are clearer after 1970. The average data of Japan are calculated
from 15 observatories spreading all over Japan that are not remarkably urbanized.
Data of Okinawa are measured at the capital city, Naha observatory. The fluctuations
of world-scale averages are rather mild than the smaller scale averages, average of
Japan and Naha, Okinawa.
1.5
Whole World North Hemisphere
1.0 South Hemisphere Average of Japan
Air Temperature Anomaly (C)
Naha, Okinawa
0.5
0.0
-0.5
-1.0
-1.5
-2.0
-2.5
1880 1900 1920 1940 1960 1980 2000 2020
Fig. 21.2 Long-term fluctuations of annual average air temperature anomalies
Lon-term fluctuations of seawater temperature anomalies are shown in Fig. 21.3

(JMA Homepage 2022). The fluctuations of annual average seawater temperature
indicate almost the same trends as those of air temperature shown in Fig. 21.2,
though the fluctuation ranges are about a half of the air temperature. Whole globe
data and North Pacific data include Around Japan and Around Okinawa data. The
fluctuation ranges of the former are much smaller than the latter. It is also the same
tendency as air temperature.
1.0
Whole Globe North Pacific
Aroud Japan Around Okinawa
Sea Temp. Anomaly (C)
0.5
0.0
-0.5
-1.0
-1.5
-2.0
1880 1900 1920 1940 1960 1980 2000 2020
Fig. 21.3 Long-term fluctuations of annual average seawater temperature anomalies

21.2.2 Precipitation
Fluctuations of annual precipitation anomalies are shown in Fig. 21.4 (JMA Home-
page 2022). Long term trends like air temperature are not found in the precipitation
data. World-scale precipitations fluctuate in small ranges, while average of Japan
and Okinawa data fluctuate in wide ranges of over 300 and 1000 mm, respectively.
The average precipitation data of Japan are calculated from 51 observatories all over
Japan.
The intensity of rainfall has been changing greatly, which is sometimes called
“Guerilla Heavy Rain” in Japan. It is thought to be a local and short weather event.
Therefore, maximum 10 min precipitation data at 4 cities in Fig. 21.1 are shown in
Fig. 21.5. These 10 min precipitation data at 4 cities have been measured since 1950
(JMA Homepage 2022).
Rising trends were found at Naha and Fukuoka, while the slop of the linear
regression lines at Tokyo and Sapporo are small negative, though these data fluctuate
widely. The intensities of rainfall at 4 cities are not so greatly changed, though Naha
and Fukuoka are thought to be affected by climate change. The number of days with
diurnal precipitation of over 200 mm is also increasing recently (MEXT and JMA
2020). Climate change is thought to affects rainfall as a short-term impact. Sudden
heavy rainfall data at Tokyo are thought to be the effect of urbanization, not caused
by climate change.
1500 Whole World North Hemisphere South Hemisphere

Average of Japan Naha, Okinawa
1000
Precipitation Anomaly (C)
500
-500
-1000
-1500
1880 1900 1920 1940 1960 1980 2000 2020
Fig. 21.4 Long-term fluctuations of annual precipitation anomalies

40
Naha Fukuoka Tokyo Sapporo
10min. Precipitation (mm)
y = 0.0343x - 48.638
30 y = 0.0145x - 12.714
y = -0.015x + 45.944
20
10
y = -0.0083x + 25.681
0
1950 1960 1970 1980 1990 2000 2010 2020 2030
Fig. 21.5 Maximum 10-min precipitation at 4 cities of Japan
21.2.3 Domestic Detailed Meteorological Data
10 min precipitation data in Fig. 21.5 are domestic meteorological data observed by
JMA. World-scale data about such detailed meteorological factors are not found.
Therefore, meteorological elements except annual averages of temperature and
precipitation in Figs. 21.2, 21.3 and 21.4 are examined by using domestic data of
Japan. Atmospheric pressure, wind speed, solar radiation, are not directly related
with climate change. Only annual average air temperature was examined in Fig. 21.1
compared with world-scale data, though daily minimum air temperature was affected
more strongly than daily average air temperature by urban heat island (MEXT and
JMA 2020; Tsutsumi 1996).
Long-term fluctuations of daily average, maximum and minimum temperature at
Naha were examined and the effect of climate change was found. The result indicated
that daily minimum temperature was affected most clearly. Therefore, daily minimum
temperature data at 4 cities are compared in Fig. 21.6. Rising trends are found clearly
at 4 cities. The slopes of the regression lines indicate not only the impact of climate
change but also urban heat island. 3 cities except Naha are megacities with the
population of over 1.5 million, while Naha is middle class city with the population
of 300 thousand. One more reason is a small island that is surrounded by ocean. The
air temperature at Naha is always strongly affected by the seawater.
Fluctuations of relative humidity at 4 cities are shown in Fig. 21.7 to examine
the relation with air temperature. All the relative humidity data indicate downward
trends contrary to the upward trends of air temperature, which means that absolute
humidity is not greatly changed. Both of air temperature and relative humidity at
Naha are highest in 4 cities. “Warm and humid” is distinctive climate of subtropical
island environment.
Min. Temperature (C) 25 Naha Fukuoka Tokyo Sapporo
20
y = 0.020 x - 18.686
15
y = 0.035 x - 57.861
10 y = 0.040 x - 67.135
5 y = 0.042 x - 78.210
0
1880 1900 1920 1940 1960 1980 2000 2020
Fig. 21.6 Annuals averages of daily minimum air temperature at 4 cities of Japan
90
Naha Fukuoka
85 Tokyo Sapporo
Relative Humidity (%)
80
75
70
y = -0.054 x + 182.980
65 y = -0.107 x + 283.100
y = -0.117 x + 296.384
60
y = -0.104 x + 278.232
55
1880 1900 1920 1940 1960 1980 2000 2020
Fig. 21.7 Annual average relative humidity at 4 cities of Japan
21.2.4 Typhoons
Typhoons are thought to change fewer and stronger by global warming (Sugi et al.
2002), and the latitude of typhoon formation may move northward by the rise of
seawater temperature. Latitude and counts of typhoon formation (Kitamoto 2022)
are shown in Fig. 21.8 to examine these hypotheses. Annual averages of the latitudes
of typhoon formation indicate a small rising trend, though the individual data spread
widely. It is thought to be the effect of the rise in seawater temperature. It may
also increase the intensity of typhoons. The annual counts of typhoons indicate a
decreasing trend as the hypothesis (Sugi et al. 2002).
Form. Latitude Annual Average Count

40
y = -0.0422x + 109.98
Latitude (deg.) / Count
30
20
10
y = 0.0106x - 4.8475
0
1950 1960 1970 1980 1990 2000 2010 2020 2030
Fig. 21.8 Formation latitude and annual counts of typhoons
21.3 Adaptation
21.3.1 Rise in Air Temperature
Rise in air temperature thought to cause heatstroke that is a serious damage on human
health. Correlation between air temperature and the number of heatstroke patients
who were transported by ambulance is shown in Fig. 21.9. They are daily data
from 2008 to 2020 in Okinawa (https://www.fdma.go.jp/disaster/heatstroke/post3.
html). Risk of heatstroke is estimated by WBGT in Japan (Ono and Tonouchi 2014).
Air temperature, especially maximum temperature is a useful index for heatstroke,
because it has strong relation with heatstroke patients, and it is predicted by JMA as
a routine.
40
Diurnal Average
Diurnal Maximum
30
Heatstroke (/day)
Diurnal Minimum
20
10
0
15 20 25 30 35 40
Air Temperature (C)
Fig. 21.9 Correlation between daily heatstroke patients and air temperature
500
Hokkaido
Heatstroke (/mill.)
400 Tokyo
Fukuoka
300 Okinawa
200
100
0
10 15 20 25 30 35
Monthly Average Air Temperature (C)
Fig. 21.10 Monthly average air temperature and heatstroke patients per million of population
Rise in air temperature is a long-term impact and it appears as a trend of long

time and wide region. Correlation between monthly average air temperature and
heatstroke patients in 4 regions including 4 cities in 2.3 is shown in Fig. 21.10 to
examine the long-term impact on heatstroke. Almost the same tendencies as Fig. 21.9
are found in Fig. 21.10 except Hokkaido including Sapporo. High temperature has
a serious impact on human health and the effective adaptation may be the warning
system for heatstroke.
21.3.2 Other Adaptation for the Long-Term Impacts
Rise in air temperature has also an impact on agriculture, especially fruit trees that live
long time and easy to be affected by climate change. Okinawa Prefectural Govern-
ment has been promoting the breeding of mango and some citrus trees (Okinawa
Prefectural Government 2021).
Rise in seawater temperature is a serious impact on marine ecology, especially
coral reef is a key to conserve the ecological system in subtropical zone. Ministry of
the Environment, Japan has made the action plan to conserve the coral reef ecology
(Ministry of the Environment 2016).
21.3.3 Adaptation for the Short-Term Impacts
A representative short-term impact of climate change is rainfall, especially floods and

landslides by local heavy rainfall. Flood is one of the most traditional disasters, and
many countermeasures have been applied. River improvement is a primary measure
against flood and it is an ordinary public work of local governments in Japan. A
sample of a river improvement plan is shown in Fig. 21.11 (Okinawa Prefectural
Fig. 21.11 A sample of river channel improvement of Hija-Gawa
Government 2019). It was not planned as adaptation for the impact of climate change,
but automatically it was adaptation itself.
Typhoon risk has not changed greatly or sometimes decreased in Okinawa
recently. Typhoon paths have changed northward and attacked the mainland of Japan
directly more than before, because typhoon formation points have been changing
gradually northward. However, more precise forecast and more effective safety
measures are required, because the intensity of typhoons was predicted to be stronger
(Sugi et al. 2002).
21.4 Conclusions and Discussion
21.4.1 Conclusions
Climate change appears in various meteorological data, especially air temperature

and precipitation data, from over 100 years to 10 min, from world-scale to local
points. The impacts of climate change in Okinawa are categorized as follows:
(1) Increase in heatstroke patients by the rise in air temperature
(2) Decrease in the products of fruit farming by the rise in air temperature
(3) Crisis in coral reef and related marine ecology by the rise in seawater temperature
(4) Floods and landslides induced by local torrential rain
Typhoon attacks are almost the same level as before, though typhoon formation
points have been changing northward, which is also an impact of climate change.
Adaptation for heatstroke is to predict the risk of heatstroke and to alert it precisely
and quickly. Effective warning system is required for subtropical island with warm
and humid climate. Adaptation for fruit farming is breeding, which has been already
promoted in Okinawa. It is difficult to adapt to the change of marine ecology. A
primary effective measure is to monitor marine ecology continuously. Adaptation
for local torrential rainfall is to predict the possibility of heavy rainfall and announce
it at first. River improvement is also important, though it is ordinary public works.
21.4.2 Discussion
Adaptation for the impact of climate change has not been recognized sometimes
by not only ordinary citizens but also decision makers clearly. However, disaster
control is popular image for everyone. If adaptation were regarded as disaster control,
adaptation could be accepted by people more easily and decision makers could make
strategies for adaptation as ordinary public works.
References
Fire and Disaster Management Agency (FDMA), Ministry of Internal Affairs and Communications,
Japan. https://www.fdma.go.jp/disaster/heatstroke/post3.html
IPCC (2021) Summary for policymakers, climate change 2021: the physical science basis. Contri-
bution of Working Group I to the Sixth Assessment Report of the Intergovernmental Panel on
Climate Change
JMA Homepage (2022) https://www.jma.go.jp/jma/menu/menureport.html
Kitamoto A (2022) National Institute of Information: Digital Typhoon: Typhoon Images and
Information. http://agora.ex.nii.ac.jp/digital-typhoon/index.html.en
MEXT and JMA (2020) Climate change in Japan, Report on assessment of observed/projected
climate change relating to the atmosphere, land and oceans
Ministry of the Environment, Japan (2016) The action plan to conserve coral reef ecosystems in
Japan 2016–2020, To protect Blessings from the Coral Sea
Okinawa Prefectural Government (2019) Hija-gawa suikei kasen seibi keikaku (Japanese) (Improve-
ment Plan of Hija River)
Okinawa Prefectural Government (2021) Okinawaken kaju nogyo shinkou keikaku (Japanese)
(Promotion plan of fruit farming)
Okinawa Prefectural Government (2022) Okinawa Kensei Yoran, 2022 (Japanese) (Handbook of
Okinawa Prefecture 2022)
Okinawa Regional Headquarters, JMA (2022) Okinawa no Kiikou Henndou Kanshi Report 2020
(Japanese) (Observation Report of Climate Change in Okinawa 2022)
Ono M, Tonouchi M (2014) Estimation of wet-bulb globe temperature using generally measured
meteorological indices. Jpn J Biometeorol 50(4):147–157
Sugi M, Noda A, Sato N (2002) Influence of the global warming on tropical cyclone climatology:
an experiment with the JMA global model. J Meteorol Soc Jpn 80:249–272
Tsutsumi J (1996) Studies on urban climate, wind engineering, thermal environments in Japan,
Special Seminar, North Carolina State University, USA
Chapter 22
Research on Optimization of Nuclear
Power Security DCS Gateway
Encryption Communication Based
on OPC UA Protocol
Pengjun Zhou, Zhi Chen, Wei Jiang, Jie Liu, Yan Zhang, Ke Zhong,
and Zhiqiang Wu
Abstract Nuclear power safety grade DCS gateway is an important hub for infor-
mation transmission between safety grade equipment and non-safety grade equip-
ment, and its security is very important in the transmission process. At present, the
communication protocol used by the Chinese nuclear power security grade DCS
gateway does not use data encryption in the data transmission process. However, the
signature certificate, user authentication, access control and data encryption trans-
mission of OPC UA protocol have more advantages in ensuring the data security
of nuclear power security grade DCS gateway, which helps to meet the technical
requirements for nuclear power security grade DCS information security. Based on
the cryptography theory, this paper analyzes the security and efficiency of the original
RSA encryption algorithm of the OPC UA protocol, and concludes that the encryp-
tion efficiency of the RSA algorithm is poor, which leads to the application of the
OPC UA protocol to the nuclear power security grade DCS gateway communication
process can not meet the time requirements of data transmission, so it is neces-
sary to optimize and improve the communication process of the OPC UA protocol
applied to the nuclear power security grade DCS gateway. This paper optimizes and
improves the encryption transmission in the communication process of the nuclear
power security grade DCS gateway of OPC UA protocol, and proposes a hybrid
encryption algorithm of SM2 and AES to replace the original encryption method
P. Zhou · J. Liu
School of Computer Science, University of South China, Hengyang 421200, China
e-mail: jliuhn@foxmail.com
Z. Chen (B) · W. Jiang · Y. Zhang · K. Zhong · Z. Wu
Nuclear Power Institute of China, Chengdu 610000, China
e-mail: chenzhinpic@126.com
P. Zhou · J. Liu
Intelligent Equipment Software Evaluation Engineering Technology Research Center of Hunan,
Hengyang, China
CNNC Key Laboratory on High Trusted Computing, Hengyang, Hunan, China
https://doi.org/10.1007/978-3-031-30233-6_22
238 P. Zhou et al.
in OPC UA protocol. Through experiments, it proves that the communication opti-

mization method improves the communication efficiency of the original protocol,
and achieves the efficiency index of nuclear power security grade DCS gateway for
data transmission.
Keywords Safety grade DCS · Gateway · Encryption algorithm · Data security ·

Transmission efficiency
22.1 Introduction
The Industrial Gateway (Zhao et al. 2021) is a network device that mines industrial
equipment data and performs protocol analysis and conversion between devices. In
the field of nuclear safety-grade DCS (Digital Control System) systems, the main
function of the system gateway is to perform data acquisition and protocol anal-
ysis, while the gateway can also perform the arrangement and storage of signals
and data (Liu et al. 2018). The information security of nuclear power safety level
DCS systems is very important, so a series of studies have been carried out in the
area of system security and reliability. Liu and Tan (2022) used network robustness
analysis as the theoretical basis, based on the instrumentation and control system of
ACPR1000 nuclear power plant, improved the node arrangement of the ring network
and enhanced the robustness of the network connection; Yang (2022) studied the
more mature information security standards in the field of industrial control at home
and abroad, and used the applicable contents of them to guide the industrial control
system of nuclear power plant and build an information security management system,
which can solve the shortcomings in the DCS information security management of
nuclear power plant. The deficiencies in information security management in nuclear
power plants.
The above research focuses on the overall security architecture design of nuclear
power safety level DCS systems, but less research has been conducted on the commu-
nication security of nuclear power safety level DCS gateways, and most of the
communication protocols used in domestic nuclear power safety level DCS system
gateways are Modbus, TCP/IP or Modbus/TCP. The OPC UA protocol, with its signa-
ture certificate, user authentication, access control and data encryption, can meet the
gateway’s security requirements for data transmission, and can be used in practice to
ensure the security of nuclear safety-grade DCS data transmission (Rong et al. 2022).
However, the RSA algorithm used in OPC UA protocol data encryption takes a long
time to encrypt and decrypt due to its own algorithm characteristics of large prime
number operation, which affects the communication and transmission efficiency of
the gateway data of the whole system.
Related scholars have researched encryption algorithms for data transmission
process. Wang et al. (2020) in the process of studying the security of network
transmission, a hybrid encryption algorithm was designed by combining symmetric
22 Research on Optimization of Nuclear Power Security DCS Gateway … 239
encryption and asymmetric encryption algorithms in order to ensure the confiden-

tiality of commercial data information. The hybrid encryption algorithm can achieve
computer network security and ensure the security of network data transmission.
Mostafaa et al. (2021) in view of the fact that the traditional security solution is not
optimal in solving the security problem of devices with limited hardware resources,
a more effective elliptic cryptosystem (ECC) is adopted, based on which a key
exchange algorithm based on the elliptic curve Diffie-Hellman (ECDH) protocol
is proposed, and the AES algorithm is used as a group cipher to complete the data
encryption process, using AES and The use of AES and ECC hybrid makes the overall
scheme more suitable for scenarios with limited hardware resources. In this paper, a
mixture of symmetric and asymmetric encryption algorithms is used to optimise the
data encryption process and improve the efficiency of the data encryption.
In this paper, we propose a hybrid encryption method to replace the data encryption
method in the original communication process, which improves the efficiency of the
communication transmission of OPC UA protocol applied to the gateway of nuclear
power safety level DCS system and can fully meet the requirements of the gateway
for The communication transmission efficiency of the OPC UA protocol applied to
nuclear power safety-grade DCS system gateway is improved, and the gateway’s
requirements for communication transmission efficiency are fully met.
22.2 OPC UA Protocol Communication Process Analysis
22.2.1 Communication Process of Nuclear Power DCS

System Gateway
Figure 22.1 shows the external interface diagram of a nuclear power safety grade
DCS system gateway. As can be seen from Fig. 22.1, the gateway connects the
engineering station, security-level equipment and non-security-level equipment. The
security-side communication module of the gateway converts the data of the security-
level device into payload data, and then the non-security-side communication module
converts it into non-security-level protocol data and transmits it to the non-security-
level device. The existing solution of a nuclear power safety-grade DCS system
gateway adopts the Modbus/TCP protocol, and the communication process is not
encrypted. In the research of this paper, the protocol scheme of its gateway is replaced
by the OPC UA protocol, which is applied in the process of transmitting data from
the communication module on the non-security side of the system gateway to the
non-security-grade equipment.
240 P. Zhou et al.
Fig. 22.1 Gateway external interface diagram
22.2.2 OPC UA Security Architecture
The communication module of the nuclear power safety-grade DCS system gateway
needs to complete the data transmission security in the one-way connection process
of the safety-grade equipment data to the non-safety-grade equipment. This paper
uses the high-performance security architecture of the OPC UA protocol to ensure the
nuclear power safety-grade DCS system gateway data. Security during transmission.
The overall security architecture of the OPC UA protocol is shown in Fig. 22.2 (Bu
et al. 2019).
As can be seen from Fig. 22.2, the OPC UA protocol ensures the security of the
data transmission process through different security guarantee methods at various
levels.
(1) At the application layer, the OPC UA protocol introduces the concept of
authentication and authorization, which enables mutual authentication between
applications and between humans and machines;
(2) At the communication layer, the OPC UA protocol uses digital signatures to
ensure the integrity of communication data during data transmission, and uses
RSA (Li et al. 2020) encryption algorithm to ensure data confidentiality;
(3) At the transport layer, the OPC UA protocol ensures the security of the phys-
ical connection through the Socket, and uses an error recovery mechanism to
maintain the normal operation of the system.
Fig. 22.2 OPC UA security architecture
22.2.3 Analysis of OPC UA Communication Process
The security architecture of the OPC UA protocol is the data security guarantee
specification of the protocol at all layers. Since the OPC UA protocol in the nuclear
power DCS system gateway data transmission security is mainly reflected in the
communication process of the protocol, the communication process of the OPC UA
protocol is described in detail analyze.
The OPC UA protocol communication process is the connection process between
the OPC UA server and the OPC UA client, as shown in Fig. 22.3. When the OPC
UA protocol is embedded in the communication module on the non-safety side of
the gateway of the nuclear power safety-grade DCS system, the communication
module on the non-safety side of the gateway acts as the server side of OPC UA. The
nuclear power DCS system gateway data needs to go through three necessary steps of
request communication, certificate verification and encryption and decryption data to
complete the transmission process from the non-safety-side communication module
to the non-safety-grade equipment.
The communication process between an OPC UA client (hereinafter referred to
as the client) and the OPC UA server (hereinafter referred to as the server) is as
follows: When the communication starts, the client sends a communication request
to the server. After receiving the request, the server verifies whether the verification
certificate issued by the client is Trustworthy, if the certificate is not trustworthy,
the communication ends; if trustworthy, a secure channel is established and the data
information is encrypted with an encryption algorithm, and the certificate is sent to
the client. After receiving the reply from the server, the client verifies whether the
242 P. Zhou et al.
Fig. 22.3 OPC UA

communication process
server is credible. If it is credible, it decrypts the plaintext. If it is not credible, it

issues a warning to the user and asks whether to continue the communication. If the
user chooses to trust, the communication will continue. End this communication.
22.2.4 Problems Existing in OPC UA Communication

Process
The encryption algorithm used by OPC UA protocol for its secure channel in the
above communication process is RSA encryption algorithm. RSA is an asymmetric
encryption algorithm, which has two keys: public key and private key. This ensures the
security of data transmission, but increases the time consumption of RSA algorithm
in encryption and decryption, and reduces the efficiency of data transmission (Wang
et al. 2022). In order to meet the efficiency requirements for data transmission in
nuclear power safety-grade DCS gateways, it is necessary to improve the encryption
process in the protocol communication process and find a data encryption method that
can replace the OPC UA protocol communication process to improve the efficiency
of data encryption.
22.3 Hybrid Encryption Design of Communication Data

Transmission Process
22.3.1 Hybrid Encryption
When securely encrypting data in a communication process, asymmetric encryp-

tion algorithms and symmetric encryption algorithms are two common encryption
algorithms. When considering a single algorithm for encryption, when using an
asymmetric encryption algorithm, the characteristics of the asymmetric encryption
algorithm make the encryption more secure, but the encryption and decryption time is
longer, so the encryption efficiency is lower in time; When the symmetric encryption
algorithm is used, the time efficiency of encryption and decryption is higher, but the
same key length cannot reach the encryption strength of the asymmetric encryption
algorithm.
The above two types of algorithms have their own advantages and disadvantages,
and their performance advantages and disadvantages are complementary. Therefore,
researchers combine the advantages of both in encrypted transmission and use hybrid
encryption to improve encryption efficiency and security (Gong and Jiang 2020).
This paper intends to adopt a combination strategy of symmetric algorithm and
asymmetric algorithm. After analyzing a variety of typical symmetric encryption
algorithms and asymmetric encryption algorithms, a hybrid encryption algorithm that
uses asymmetric encryption algorithm to encrypt the key of symmetric encryption
algorithm is proposed. The method meets the data transmission requirements in the
communication process of the nuclear power DCS system gateway based on the OPC
UA protocol.
22.3.2 Analysis of Asymmetric Encryption Algorithms
Common asymmetric encryption algorithms include RSA, DSA, ECC and the cryp-
tographic standard SM2 issued by China. As the earliest asymmetric encryption
algorithm, the RSA algorithm is a public key algorithm that supports variable length
244 P. Zhou et al.
Table 22.1 Comparison of asymmetric encryption algorithms

Name Speed Security (depending on key length) Resource consumption
RSA Slow High High
DSA Slow High Low
SM2 Fast High Low
keys. In particular, its encrypted file block length supports variable. However, since
the algorithm performs large number calculations, the hardware and software imple-
mentation speed of the RSA algorithm is limited, so the RSA algorithm is suit-
able for encrypting a small amount of data. The DSA algorithm (Digital Signa-
ture Algorithm), as an improved algorithm of the two signature algorithms, Schnorr
and ElGamal, was proposed by the Nation Institute of Standards and Technology
(NIST) in 1991 and applied to their digital standards. The SM2 elliptic curve cryp-
tographic algorithm is a public key encryption algorithm first published in China in
December 2010. The paper “SM2 Elliptic Curve Public Key Cryptography Algo-
rithm Overview” published by Zhaohui Wang and Zhenfeng Zhang in 2016 shows
that SM2 has reached the level of public key encryption algorithm. The highest secu-
rity level, SM2 is used to replace the RSA algorithm in the Chinese commercial
cryptosystem. Table 22.1 compares the performance of several common asymmetric
encryption algorithms.
It can be seen from Table 22.1 that the three algorithms have high security respec-
tively, but under the premise of ensuring high security, the SM2 algorithm has advan-
tages over the other two algorithms in terms of operation speed and resource occu-
pation. The SM2 algorithm with a key length of 256 bits is used as one of the
hybrid encryption algorithms in the communication process of the nuclear power
DCS system gateway.
22.3.3 Analysis of Symmetric Encryption Algorithm
The data sender of the symmetric encryption algorithm processes the plaintext and the
encryption key together with a special encryption algorithm, turns it into a complex
encrypted ciphertext and sends it out, and the recipient performs the decryption
operation after receiving the ciphertext. The ciphertext needs to be decrypted using
the inverse algorithm of the algorithm to restore it to plaintext. Since the encryp-
tion and decryption processes of the algorithm have the same key, it is called a
symmetric encryption algorithm. Common symmetric encryption algorithms include
DES, 3DES and AES.
The DES algorithm is a symmetric cryptosystem encryption algorithm researched
and produced by IBM in 1972. The key of DES has 64 bits, but in practical
applications, there are 8-bit keys as check digits, so only 56 bits are used.
Table 22.2 Comparison of

Name Key length Operation speed Security
symmetric encryption
algorithms DES 56 bit Faster Low
3DES 112 or 168 bit Slow Medium
AES 128/192/256 bit Fast High
As an upgraded version of DES, 3DES uses three 56-bit keys to encrypt the
plaintext three times. Taking DES as the basic module, the block encryption algorithm
is designed by combining groups, that is, three DES algorithms are used in the
operation process. The encryption process is as follows: encryption → decryption
→ encryption; correspondingly, the decryption process is: decryption → encryption
→ decryption. Therefore, 3DES is more secure than DES.
The AES (Liu et al. 2020) algorithm (Advanced Encryption Standard) is used as
an advanced encryption standard to replace the original DES. The commonly used
key length of AES is 128, 192 or 256 bits, which can effectively resist all algorithm
attacks against the DES algorithm currently known, and the algorithm has a short key
establishment time, good sensitivity, low memory requirements, and high security.
Table 22.2 compares the performance of the above three encryption algorithms.
It can be seen from Table 22.2 that under the premise that the key length determines
the security of the encryption algorithm, the AES algorithm has certain advantages
over the other two algorithms in terms of operation speed and security. Therefore,
the AES symmetric encryption algorithm with a key length of 128 bits is selected.
As another algorithm for hybrid encryption.
22.3.4 Nuclear Power Security Grade DCS System Gateway

Hybrid Encrypted Communication
The research and analysis of 2.2 and 2.3 selected two encryption algorithms required
by the hybrid encryption algorithm. The following are the implementation steps of
the hybrid encryption algorithm of SM2 and AES to encrypt and decrypt the plaintext
data M.
Step 1. The public key Pk of SM2 cooperates with the encryption function to
complete the encryption of the AES key to generate the ciphertext X;
Step 2. AES’s key and encryption function perform encryption operation on the
encrypted data M to generate the ciphertext Y;
Step 3. The private key dk of SM2 decrypts X through the decryption algorithm
to obtain the key of AES;
Step 4. The key decrypts Y through the inverse encryption function of the AES
encryption algorithm to obtain the plaintext W.
When the non-safety side communication module of the nuclear power safety-
grade DCS system gateway uses the OPC UA protocol to adopt the hybrid encryption
method in the data transmission process, the communication process of the protocol
246 P. Zhou et al.
needs to be redesigned to better utilize the hybrid encryption to complete the data
transmission. The specific hybrid encryption communication process is shown in
Fig. 22.4.
When the data transmission starts, the client sends a communication request to
the server (the nuclear power safety-grade DCS system gateway). After receiving
the request, the server verifies whether the client’s certificate is credible. If it is
Fig. 22.4 Hybrid encrypted communication process

not credible, the communication ends directly; The server generates the public and
private keys of the SM2 algorithm and the AES algorithm key, and replies to the
client. The client receives the reply and immediately verifies the certificate. Then
proceed to the next step. The server encrypts the AES key with the SM2 public key,
and uses the AES algorithm key to complete the encryption operation on the data to
be encrypted, and transmits the ciphertext to the server. The server decrypts the AES
key to obtain the plaintext, and the communication ends.
22.4 Experiments
In order to verify whether the data transmission efficiency of a nuclear power safety-
grade DCS system gateway can meet the expectation after adopting the hybrid encryp-
tion algorithm, this paper carries out experimental verification test work. Experiment
for the encryption and decryption time of the hybrid encryption algorithm, using a
nuclear power safety-grade DCS system gateway as an experimental platform, with
the gateway operating in the mode of sending data from the non-safety side module.
The hybrid encryption algorithm is written to the gateway’s non-secure side commu-
nication module using a downloader, and the encryption and decryption times of
different data memories are monitored in real time during the analogue transmission
to obtain the encryption and decryption times of the hybrid encryption algorithm for
the gateway under the transmission of different memory size data, and to analyzed
the detected data.
22.4.1 Experimental Environment
In this paper, the analog data transmitted by the communication module on the non-
safety side of the safety-grade DCS system gateway (hereinafter referred to as the
gateway) of a nuclear power plant is selected as the mixed encryption object of the
experiment. The experiment is carried out on the main control module (SAM31) of
the safety-grade DCS. Its processor is TI’s RM48, the main frequency is 200 MHz,
and the downloader is XDS200.
22.4.2 Experimental Process
The main purpose of this experiment is to obtain the encryption and decryption
time of the SM2 and AES hybrid encryption algorithm and analyze the results. First
download the algorithm to the main control module through XDS200, and start the
data transmission. During the transmission process, read the encryption start time
(start) and the decryption completion time (end) in different memories. The time
248 P. Zhou et al.
500 440.031
398.359
400 356.812
315.234
273.349
300 231.974
190.218
200 148.749
107.138
65.526
100
0
10 20 30 40 50 60 70 80 90 100
Fig. 22.5 Test results
required for the hybrid encryption algorithm to complete encryption and decryption
under different data sizes (end—start).
The transmission efficiency of the gateway is stipulated as follows: the system
gateway needs to transmit 3000 analog quantities within 200 ms. An analog quantity
is 5 bytes, that is, at least 14.65 k of analog quantity data needs to be transmitted
within 200 ms. When using the original RSA (key length of 1024 bits) algorithm of
the OPC UA protocol to encrypt 12 k analog data, the encryption time is 146 ms, the
decryption time is 150 ms, and the total encryption and decryption time of RSA is
296 ms, which is obviously not enough. Efficiency requirements to the gateway.
According to the requirements of the gateway, the encrypted analog data sizes
are respectively 10, 20, 30, 40, 50, 60, 70, 80, 90 and 100 k to record the encryption
and decryption time of the hybrid encryption algorithm. The test results are shown
in Fig. 22.5. In Fig. 22.5, the vertical axis represents the time required for encryption
and decryption, its unit is ms; the horizontal axis is the data memory size, and the
unit is k.
22.4.3 Analysis of Results
From the perspective of the encryption and decryption process of the hybrid encryp-
tion algorithm, the encryption and decryption time of the hybrid encryption algorithm
is the sum of the AES encryption and decryption data time and the SM2 encryption
and decryption AES algorithm key time, and the data encrypted by SM2 each time
is the AES encryption and decryption time. The key of AES will not change during
the encryption and decryption test, that is to say, the time of SM2 encryption and
decryption is fixed.
It can be seen from Fig. 22.5 that the encryption and decryption time of the
hybrid encryption algorithm shows a stable linear growth trend in the process of
gradually increasing the transmitted analog data. For each additional 10 k of analog
data, the time difference between encryption and decryption of the hybrid encryption
algorithm is stable at about 41.612 ms, so the encryption time T1 required to encrypt
10 k data is about 41.612 ms; The time is 65.526 ms, so it can be concluded that
the time T2 for SM2 to encrypt and decrypt the AES key in the hybrid encryption
algorithm is 23.914 ms. Combining the above calculations, we can obtain the function
of the encryption and decryption time y (unit is ms) of the hybrid encryption algorithm
changing with the data memory size x (unit is k) as:
x
y= ∗ T1 + T2 (22.1)
10
According to the requirements on data transmission efficiency in the requirements
of the gateway, it is necessary to calculate the time for data encryption and decryption
when the data volume is 14.65 k. According to formula (22.1), we can get that when
the data memory is about 14.65 k, the data encryption and decryption time of the
hybrid encryption algorithm is about 84.876 ms. This encryption and decryption time
consumption is completely within the time of the gateway’s transmission efficiency
index, and the encryption and decryption time consumption of the hybrid encryption
algorithm is far less than the time required for the gateway’s transmission efficiency.
According to the formula, it can also be calculated that when the data memory is 12 k,
the encryption and decryption time is about 73.85 ms, that is to say, when encrypting
data of the same memory size, the efficiency of the hybrid encryption algorithm is 4
times that of RSA.
Experiments show that the efficiency of the hybrid encryption algorithm is stronger
than that of the RSA algorithm in the original protocol, and the hybrid encryption
algorithm can fully meet the time efficiency index in the data transmission process
of the nuclear power safety-grade DCS system gateway.
22.5 Conclusion
In order to ensure the communication security of the nuclear power safety-grade DCS
system gateway, it is necessary to adopt an appropriate communication protocol to
complete the data security transmission of the system gateway. Aiming at the lack
of data security assurance of the Chinese nuclear power safety-grade DCS system
gateway communication protocol, this paper applies the OPC UA protocol on a
nuclear power safety-grade DCS system gateway, and ensures the security of data
transmission through the encryption characteristics of the communication process of
the OPC UA protocol. The data encryption algorithm in the communication process
of the OPC UA protocol is improved by using the hybrid encryption method. It can
be seen from the experimental results that the mixed encryption algorithm can fully
guarantee the demand indicators in the data transmission process of the nuclear power
safety-grade DCS system gateway, and the data transmission efficiency is stronger
than the RSA encryption algorithm.
Subject Group Open Fund of State Key Laboratory (KFKT-24-2021006).

250 P. Zhou et al.
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Chapter 23
Size Effect on the Lithium Storage
Properties of Si/rGO Composites
M. Wang, C. X. Yang, P. F. Fang, Y. He, and X. Y. Leng
Abstract The Si/rGO composites with different silicon diameter were prepared
using a simple electrostatic self-assembly method. The relationship between the
lithium storage performance and the silicon particles size was studied. The
microstructure and electrochemical properties of Si/rGO composites were character-
ized by XRD, SEM, EIS and constant current tests. The results showed that 50 nm-
Si particles were embedded onto rGO sheet. As the Si particles diameter increased
to 500 nm, rGO sheet wrapped up Si particles. The 150 nm-Si/rGO composites
had excellent electrochemical properties. The first discharge specific capacity (1691
mAh/g) and the first columbic efficiency (56.3%) were the highest. After 200 cycles,
the capacity retention rate was 95.6% (compared with the capacity at the 10th cycle).
Keywords Size effect · Reduced graphene oxide (rGO) · Composite · Lithium

storage performance · Electrostatic self-assembly
23.1 Introduction
Si-based anode materials were considered as the most potential lithium-ion anode
materials due to their high lithium storage capacity (Ding et al. 2019; Duan et al.
2020; Schmuch et al. 2018; Zhang et al. 2018, 2021; Wang et al. 2022; Grey and Hall
2020; Zhou et al. 2018). However, its wide application was limited because of the
higher volume expansion (~300%), fast capacity decline, poor conductivity and low
intrinsic conductivity (Du et al. 2022; Choi and Aurbach 2016; Wang et al. 2019a). In
recent years, many researchers had carried out a large number of modification studies
M. Wang (B) · C. X. Yang · P. F. Fang · Y. He · X. Y. Leng

School of Materials Science and Engineering, Liaoning Technical University, 47 Zhonghua Road,
Fuxin 123000, Liaoning, China
e-mail: wangming@lntu.edu.cn
M. Wang
Key Laboratory of Mineral High Value Conversion and Energy Storage Materials of Liaoning
Province, Fuxin 123000, Liaoning, China
https://doi.org/10.1007/978-3-031-30233-6_23
252 M. Wang et al.
on pure Si negative electrodes, including nanocrystallization (Wu et al. 2013; Wu

and Cui 2012; Shen et al. 2018), carbon coating (Wang et al. 2019b), alloying (Wang
et al. 2015; Liu et al. 2011) and so on. In this paper, the Si/rGO composites with
different silicon particles size were prepared by electrostatic self-assembly method.
The microstructure and electrochemical properties of Si/rGO composites were char-
acterized and tested. The relationship between the lithium storage performance and
the silicon particles size was investigated.
23.2 Experimental
The improved Hummer method was used to prepare graphene oxide (Hou et al.
2020; Alkhouzaam et al. 2020). The supernatant was taken for ultrasonic 5 h, named
Solution A. A certain amount of silicon particles and CTAB were added into 25%
ethanol in a mass ratio of 1:1 to form Solution B. The ultrasonic continued for 2 h.
Adjust the pH of solution A to 10 and add it to solution B to form solution C. Stir on
a magnetic stirrer for several hours. Use ethanol and distilled water successively
to repeatedly clean the composite materials and filter them to obtain composite
products. Finally, use a drying oven at 60 °C to dry them for 6 h. Take out 1.0 g
of Si/GO composite materials and add 0.6 g of ascorbic acid into 100 mL of distilled
water. Stir them with glass rods and let them stand for 36 h. Then, filter the samples
by suction and dry them with a freeze dryer. The solid materials obtained were Si/
rGO composite materials. The experimental process in detail was shown in Fig. 23.1.
The phase composition of the specimen was characterized by XRD (SHIMADZU
XRD-6100). The microstructure and morphology of the specimen was analyzed by
SEM (JSM-7500F). The charge and discharge performance, rate performance, cycle
performance, coulombic efficiency, etc. were tested on the battery performance test
system (NEWARE). Electrochemical impedance spectroscopy (EIS) was tested on
the CHI660E electrochemical workstation.
Fig. 23.1 Synthesis diagram of Si/rGO composite

23 Size Effect on the Lithium Storage Properties of Si/rGO Composites 253
Figure 23.2 showed the XRD patterns of pure Si and Si/rGO composite. It could be
seen that the Si/rGO composite well retains well-defined characteristic peaks of pure
Si in (111), (220) and (311), compared with pure Si. And there was a small diffraction
peak at 21°, which was corresponding to rGO (002) characteristic peak by comparing
the standard PDF card (PDF#26–1079). Comparing the Si/rGO composites with
different sizes, it could be found that the characteristic peak of Si increases gradually
with the increase of the size of the used Si particles, while the characteristic peak of
rGO becomes less obvious. However, after amplification, it could be seen that the
diffraction peak of rGO was “steamed bread” shaped, which was different from the
diffraction peak of pure rGO.
It could be seen from Fig. 23.3a that the spherical particles with a diameter of
about 50 nm were Si particles, while the lamellar structure corresponds to rGO sheet.
It could be clearly found that some Si particles were attached to the lamellar rGO,
and some Si particles were embedded in the lamellar structure of rGO. It could be
seen from Fig. 23.3b that the rGO lamellar could no longer embed Si particles. At
this time, Si particles were mixed with rGO lamellar, and Si particles were slightly
agglomerated. In Fig. 23.3c, the existence of Si particles was not obvious. At this
time, rGO was no longer coated with Si particles in a few layers, but taken rGO as
the framework and Si particles as the core to form a common whole.
Figure 23.4a–c showed the cyclic charge discharge curves of Si/rGO composites
with different Si sizes in the first two cycles. It was clear that Si/rGO composites
had a lithium embedded platform near 0.4 V, which was corresponding to the silicon
voltage platform. With the increase of Si particle diameter from 50 to 500 nm, the
specific discharge capacities of the composites were 1475, 1691 and 1533 mAh/g
respectively. Among them, 50 and 150 nm-Si/rGO composites had long delithiation
platforms between 0.3 and 0.5 V. The first charge discharge efficiency was 50.4,
Fig. 23.2 XRD diagram of

Si and Si/rGO composites
254 M. Wang et al.
Fig. 23.3 SEM morphology of the composites with different sizes: a 50 nm-Si/rGO; b 150 nm-Si/
rGO; c 500 nm-Si/rGO
56.3 and 52.8% respectively. The first discharge specific capacity and first charge
discharge efficiency of 150 nm-Si/rGO composites were the highest. Figure 23.4d
showed the AC impedance performance test of Si/rGO composites with different
sizes. It was found that the charge transfer impedance of 50 nm-Si/rGO composite
was the lowest, indicating that the resistance of lithium ion passing through the
SEI film and the charge transfer resistance were low, but the internal resistance was
large (~12.3 Ω). Among them, the 500 nm-Si/rGO composite had the highest charge
transfer impedance, indicating that its lithium-ion resistance and charge transfer
resistance through the SEI film were large. Therefore, the smaller size provided a
larger electrolyte/electrode interface contact area, provided a fast channel for lithium-
ion diffusion, and improved the charge transfer rate of Si/rGO composites.
Figure 23.4e showed the capacity change of Si and rGO composites with different
sizes after 200 cycles at 0.02 A/g current density. It could be seen that after 200 cycles,
the discharge specific capacities of 50, 150 and 500 nm-Si/rGO composites were kept
at 362.7, 534.7 and 200.6 mAh/g, respectively and the capacity retention rates were
respectively 87.9%, 95.6% and 75.0% (compared with the 10th cycle). According
to the analysis of relevant literature (Liu et al. 2012; Cen et al. 2017), there was a
size critical point when the size of Si particles was 150 nm. When the size of the Si
particles was greater than 150 nm, the Si/rGO composites show more properties of
Si itself. When the size of Si particles was less than or equal to 150 nm, the Si/rGO
composites will more reflect the common characteristics of Si and rGO.
Fig. 23.4 The 1st and 2nd cycle charge discharge curves of Si/rGO composites with different sizes,
50 nm-Si/rGO (a), 150 nm-Si/rGO (b), 500 nm-Si/rGO (c); d AC impedance diagram of Si/rGO
composites with different sizes; e Cyclic properties of Si/rGO composites with different sizes at
0.02 A/g
23.4 Conclusion
The Si/rGO composites with different silicon diameter were prepared using a simple
electrostatic self-assembly method. The results showed that 50 nm-Si particles were
embedded onto rGO sheet. As the Si particles diameter increased to 500 nm, rGO
sheet wrapped up Si particles. The smaller size (~50 nm-Si/rGO) provided a larger
electrolyte/electrode interface contact area, provided a fast channel for lithium-ion
diffusion, and improved the charge transfer rate of Si/rGO composites. The first
256 M. Wang et al.
discharge specific capacity and the first columbic efficiency of 150 nm-Si/rGO
composites were the highest. After 200 cycles, the discharge specific capacity of
the 150 nm-Si/rGO composites was 559.5 mAh/g, and the capacity retention rate
was 95.6% (compared with the capacity at the 10th cycle).
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46(15):23997–24007
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nanocomposite lithium-ion battery anodes. Electrochim Acta 251:690–698
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densities. Nat Rev Mater 1(4):1–16
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Chapter 24
Engineering Performance Analysis
of Palygorskite and Bentonite Mixture
in High Radioactive Nuclear Waste
Disposal
Xiang Fan
Abstract With the acceleration of social industrialization, more and more nuclear
waste has been discharged every year. Backfill material is an indispensable natural
buffer barrier in nuclear waste disposal. However, it has been shown that the mineral
resources of bentonite in Gaomiaozi, Inner Mongolia, were decreasing year by year.
This paper was to mix and integrate a certain proportion of Xinjiang bentonite, Anhui
Mingguang palygorskite and Sichuan pyrite. Through a series of simple geotechnical
tests of mixed materials, the author designed a system device with short test cycle and
simple operation performance to get low permeability coefficient and easy expan-
sion in case of water. Through the optimization and integration of the mixture, it was
concluded that when the proportion of palygorskite was 20–35%, its compaction
performance, expansion performance, permeability and other comprehensive prop-
erties were better, and met the international requirements for buffer/backfill mate-
rials, which sought suitable backfill/buffer candidate materials for practical projects,
solved the problem of resource shortage, and maked the sustainable development of
nuclear waste.
Keywords Palygorskite and bentonite mixtures · Engineering characteristics ·

Backfill material
24.1 Introduction
With the accelerated pace of industrialization, more and more high-level waste
(mainly nuclear waste) emissions have become the primary problem to be solved
by all countries. Nuclear waste refers to those containing radiation α, β and γ has
X. Fan (B)
Tianfu College, Southwestern University of Finance and Economics, Mianyang 621000, Sichun,
China
https://doi.org/10.1007/978-3-031-30233-6_24
260 X. Fan
mainly come from nuclear fuel cycle, nuclear weapon development and production
process and nuclear facility decommissioning. In addition, some radioactive waste
will also be produced in military, scientific research, medical treatment and industry.
High level radioactive waste contains nuclides with strong radioactivity, high calorific
value, high toxicity and long half-life, which need to be isolated from human living
environment for a long time and reliably (Zheng 2016). Some radionuclides with
long half-life and high toxicity, such as 90Sr and 137Cs, need hundreds of years or
even longer to decay to a harmless level. How to deal with it safely and effectively
and isolate it from the biosphere to the greatest extent has become an urgent problem
to be solved at present. After years of research, for the final disposal of high-level
radioactive waste, the currently widely accepted feasible scheme was deep geological
disposal, that was to bury high-level radioactive waste in a geological body about
500–1000 m deep below the surface, so as to permanently isolate it from human
living environment (Jiang 2021; Villar and Lloret 2008; Komine and Ogata 1994).
According to the conceptual model of the multi barrier system for deep geological
disposal, the barrier system from inside to outside is: solidified body, waste pack-
aging container, buffer backfill material (artificial barrier), granite and other natural
geological bodies (natural barrier). Among them, the backfill material is an impor-
tant artificial barrier. As the engineering barrier of the waste disposal repository, it
is filled between the waste container and the surrounding rock to seal the repository,
and filled the rock gap, which plays the dual role of chemical barrier and mechanical
barrier.
Therefore, in addition to good compaction and expansion and low water perme-
ability, the backfill material must also be compacted and processed into a certain
density and shape before it can be put into the high-level waste repository (Chen
2019). It has a certain mechanical strength and becomes a suitable buffer material.
Backfill materials need to be filled between waste and surrounding rock to buffer
the impact of rock on waste irrigation (Li 2018). In addition, at present, there are
many studies using single bentonite as backfill material in China and abroad (Ming
2019). However, using bentonite as buffer backfill material has two disadvantages.
That because the thermal conductivity of bentonite is low, which is not conducive to
the radiation heat of radioactive waste being emitted into the surrounding cavern
surrounding rock, which may cause the temperature of buffer layer to rise by
more than 100 °C, and excessive water vapor pressure will be generated after the
gasification of liquid water (Zhang 2010a).
As early as 2006, Aiban studied that palygorskite had good compressibility and
expansion characteristics (2006). Bag and Jadda had proposed that water content
and dry density had an impact on the pore size distribution and expansion pres-
sure of Bentonite (2021). Therefore, in this paper, Xinjiang Altai bentonite (Na+)
was used as the base material, and the palygorskit was added to the mixture in
different proportions to improve the engineering performance. And pyrite was added
to improve thermal conductivity of the mixture. The influence of the proportion of
palygorskite on the critical water content, maximum dry density, optimum water
content, and the influence of palygorskite content on other engineering parame-
ters such as compaction, expansion and permeability of the mixture were studied,
24 Engineering Performance Analysis of Palygorskite and Bentonite … 261
which provided some theoretical basis for the future industrial test of buffer backfill
materials and in-situ construction test in underground laboratory.
24.2 Selection of Test Samples
24.2.1 Raw Materials Used in the Experiment
The raw materials of Xinjiang Altai bentonite, Anhui palygorskite and the mixture
of ABP (A-palygorskite, B-bentonite, C-pyrite) were tested by X-ray diffractometer
and geotechnical test. The results showed that the main mineral of Xinjiang Altai
bentonite was Na+ montmorillonite and contained a small amount of α- quartz. Due
to its large cation exchange capacity (82 meq/100 g) and good adsorption, expan-
sion, plasticity and other properties, Xinjiang bentonite could be used as the base
material of this test mixture. However, a single bentonite had compaction properties
that were difficult to “adjust”, and palygorskite clay has excellent selective adsorp-
tion of 137Cs (Zhang 2010b). This test improved the compaction performance of
bentonite by adding Anhui Mingguang palygorskite which contains part of 15–21%
montmorillonite in different proportions. However, the thermal conductivity of the
mixture of bentonite and palygorskite was low. Adding pyrite (thermal conductivity
of 10.2 w/m °C) from Majiaoba, Jiangyou City, Sichuan Province to the mixture as
an additive could transfer the energy released by nuclear waste as soon as possible
and avoid excessive temperature in the waste tank. Therefore, combining the advan-
tages and disadvantages of the above three materials, it should make full use of the
advantages of various materials, and strive to obtain a group of mixed materials with
good engineering performance as the backfill material of the underground disposal
repository through experiments.
24.2.2 Sample Material Preparation
In the test, palygorskite, bentonite and pyrite were selected with particle sizes of
0.5–1.0 mm. In palygorskite and bentonite mixture was formed according to the
proportion of palygorskite dry weight of 0, 10, 20, 30, 50, 50, 60 and 100%, and then
10% pyrite was added as an additive. After full mixing, a certain amount of distilled
water was added by spray method to evenly humidify, and the soil sample was placed
in a moisturizing appliance to seal and wet overnight for standby. According to the
standard of geotechnical test method (GB/T50123-2019), the liquid and plastic limits
and other physical water indexes of palygorskite and bentonite mixture at different
proportions were measured three times by the system digital liquid and plastic limit
tester, which was produced by Nanjing Soil instrument factory. The results are shown
in the Table 24.1.
262 X. Fan
Table 24.1 Engineering performance indexes of palygorskite bentonite mixture

Sample Liquid Plastic Plasticity Air dried Specific Porosity Thermal
limit limit index (%) moisture gravity (%) conductivity
(%) (%) content (W/m °C)
(%)
PA0 B10 P 82.30 27.0 55.30 13.77 2.49 24.10 0.21
PA1 B9 P 83.58 28.11 55.47 13.46 2.53 25.10 –
PA2 B8 P 84.95 30.27 54.68 13.91 2.62 25.50 –
PA3 B7 P 85.25 31.14 54.11 14.07 2.46 26.25 –
PA4 B6 P 87.86 33.45 54.41 14.07 2.67 27.79 –
PA5 B5 P 90.17 37.09 53.08 14.16 2.41 28.22 –
PA6 B4 P 92.39 40.73 51.66 14.13 2.53 28.99 –
PA10 B0 P 106.4 58.12 48.28 16.45 2.61 31.51 0.25
Note In the above mixture, the number PA3 A7 P represented that palygorskite accounted for 30% and
bentonite accounted for 70% of the total mass of mixture. On this basis, 10% pyrite was added as an
additive. “Specific gravity” was mass ratio of unit volume mixture to unit volume water. “Porosity”
was the proportion of pores in the bulk material to the total volume in the apparent volume of the
material
According to Table 24.1, when there was only bentonite in the mixture, its liquid
limit was 82.30% and plastic limit was 27.0%. With the increase of palygorskite
content, the liquid limit, plastic limit and porosity of the mixture increased, which
showed that after adding palygorskite, the “granulation” tendency and uneven wetting
phenomenon in the process of adding water to prepare pure bentonite had been
significantly improved. When palygorskite accounted for 50% of the mixture, its
liquid limit was 90.17% and plastic limit was 38.73%.
24.3 Engineering Performance of Backfill Materials
24.3.1 Compaction Performance of Mixture
24.3.1.1 Influence of Palygorskite Content on Dry Density

and Optimum Water Content
Generally, heavy compaction was easier to obtain samples with larger dry density than
light compaction (Fan 2011). Therefore, in this paper, eight groups of samples with
palygorskite proportions of 0, 10, 20, 30, 40, 50, 60, 100% were prepared according
to the geotechnical test method standard GB/T50123-2019). The compaction test
was strictly carried out in accordance with our national standard for geotechnical
test methods (Ministry of Water Resources of the People’s Republic of China 2019)
(GB/T50123-2019), and the relationship between the maximum dry density and the
Table 24.2 Relationship between maximum dry density and optimum water content of palygorskite
and bentonite mixture
Sample Proportion of palygorskite in the Optimum water content Maximum dry density
mixture (%) (%) (g/cm3 )
PA0 B10 P 0 40.22 1.41
PA1 B9 P 10 38.12 1.44
PA2 B8 P 20 36.88 1.49
PA3 B7 P 30 34.97 1.57
PA4 B6 P 40 33.10 1.61
PA5 B5 P 50 32.75 1.64
PA6 B4 P 60 29.83 1.66
PA10 B0 P 100 23.47 1.72
optimum water content was measured in heavy compaction. The results are shown
in Table 24.2.
It was obvious from Table 24.2 that the higher the content of palygorskite in the
mixture, the greater the maximum dry density and the smaller the optimum water
content. Theoretically, due to the water absorption performance of bentonite, the more
bentonite content in the mixture, under the same compaction work, the molecular
expansion of expanded soil particles increased, the maximum dry density should be
reduced, and the optimum water content should be increased. It was indicating that
the more bentonite content, the more difficult it was to compact (Hu 2020). When
a certain amount of palygorskite was added in the test, the plasticity index of the
backfill material could be reduced. However, a larger maximum dry density and a
smaller optimum water content could be obtained in the compaction test.
24.3.1.2 Unconfined Compression Deformation of Palygorskite

and Bentonite Mixture
The backfill material must be compacted and processed into a certain density and
shape before it can be put into the high-level radioactive waste repository (Li 2019). It
has a certain compressive strength and ductility (elastic modulus). The relationship
between deformation and axial deformation (Poisson’s ratio) during compression
fixes the canister in a certain position to buffer the impact of surrounding rock pres-
sure on the waste canister. It is also one of the factors to be considered for buffer
backfill materials. In this paper, the samples were prepared by uniaxial compaction.
According to the dry density of 1.5, 1.7, 1.9 g/cm3 and the moisture content of about
10, 15, 20%, the proportion of palygorskite was 0, 10, 20, 30, 40, 50, 60, 100%,
etc. 144 groups of samples were prepared. Through self-made compacting tools, the
samples were compacted and formed in the hydraulic universal testing machine.
After demoulding, the diameter of the samples was 61.8 mm, and the height
was 50 mm. The formed specimen was subjected to uniaxial compression test on
264 X. Fan
the hydraulic universal testing machine according to the industrial standard of the
people’s Republic of China “rock test code for water resources and Hydropower
Engineering (SL264-2020)” (Yangtze River Water Conservancy Commission 2020),
and the loading rate was 0.1–0.5 mm/min. The foil gauge method was to connect
the strain gauge to the sample to measure the stress and strain change of the sample,
while the foil gauge method was installed on the surface of the sample or buried
with the aid of the strain gauge medium, and then the strain change was measured
through the strain gauge. The unconfined compression and deformation test results
are shown in Tables 24.3 and 24.4.
According to the test results in Tables 24.3 and 24.4, when palygorskite accounts
for 30% of the mixture the dry density was about 1.5–1.70 g/cm3 , the unconfined
compressive strength and elastic modulus of each mixture increased with the increase
of dry density. On the contrary, at the same dry density of the same mixture, the
unconfined compressive strength and elastic modulus decreased with the increase of
water content. That indicated that the compacted dry density was an important factor
in the compaction of backfill materials. However, it was difficult to prepare samples
with a dry density of 1.9 g/cm3 . So it was recommended that the dry density be
controlled at 1.7–1.8 g/cm3 in practice. And the moisture content was not easy to be
too large. When the moisture content was 15% and 20%, its unconfined compressive
strength and elastic modulus were higher. Poisson’s ratio was also very important
as a parameter to measure its axial and deformation. When the water content was
10%, the Poisson’s ratio of the mixture decreased with the increase of dry density,
while when the water content was 15% and 20%, the Poisson’s ratio increased with
the increase of dry density. It could be seen that the water content also affected the
deformation of backfill materials.
In the Tables 24.3 and 24.4, the unconfined compressive strength, elastic
modulus and Poisson’s ratio of palygorskite mixtures with different proportions
Table 24.3 The influence of water content and dry density on unconfined compressive strength
and deformation of mixture under strain gauge method
Sample Strain gauge method
Moisture content Dry density Unconfined compressive Modulus of elasticity
ω (%) pd (g/cm3 ) strength E (GPa)
σc (MPa)
PA3 B7 P-1 10 1.51 1.18 0.92
PA3 B7 P-2 15 1.53 1.62 1.25
PA3 B7 P-3 20 1.55 0.83 0.74
PA3 B7 P-4 10 1.70 2.55 1.89
PA3 B7 P-5 15 1.70 2.82 2.56
PA3 B7 P-6 20 1.75 1.61 1.32
PA3 B7 P-7 10 1.89 4.49 2.21
PA3 B7 P-8 15 1.90 4.88 2.78
PA3 B7 P-9 20 1.93 2.75 1.85
Table 24.4 The influence of water content and dry density on unconfined compressive strength
and deformation of mixture under foil gauge method
Sample Foil gauge method
Moisture Dry density Unconfined Modulus of Poisson’s ratio
content pd (g/cm3 ) compressive elasticity μ
ω (%) strength E (GPa)
σc (MPa)
PA3 B7 P-1 10 1.54 1.31 2.24 0.35
PA3 B7 P-2 15 1.52 1.59 2.48 0.38
PA3 B7 P-3 20 1.53 1.28 1.68 0.46
PA3 B7 P-4 10 1.72 1.64 3.58 0.25
PA3 B7 P-5 15 1.72 1.89 3.94 0.53
PA3 B7 P-6 20 1.73 2.22 2.19 0.60
PA3 B7 P-7 10 1.95 2.57 3.90 0.19
PA3 B7 P-8 15 1.92 2.96 4.29 0.64
PA3 B7 P-9 20 1.93 2.06 2.86 0.67
were measured when the moisture content was 15% and the dry density was 1.7 g/
cm3 . When the proportion of palygorskite was between 0 and 30%, its unconfined
compressive strength and elastic modulus were not different from that of a single
bentonite. However, when palygorskite exceeded 30%, its unconfined compressive
strength and elastic modulus increased greatly. In addition, it could be seen from the
table that the elastic modulus measured by the foil gauge method was larger than that
of the strain gauge, because the foil gauge was pasted in the middle of the sample,
and the deformation in the middle of the sample was the largest when there was
unconfined compression. The strain measured by the strain gauge was the average
strain of the whole sample.
24.3.2 Expansion Performance of Palygorskite and Bentonite

Mixture
In the test, palygorskite mixtures with different proportions were prepared according
to the optimum water content. After compaction with a heavy compactor, it could
use a ring knife to sample and quickly put them into the dilatometer, adjust the initial
reading of the meter, and then slowly injected distilled water to read the readings of
different schedules until the sample was no longer expanded. The results are shown
in Figs. 24.1 and 24.2.
It could be seen from Figs. 24.1 and 24.2 that the volume of the sample expanded
rapidly after adding water, and the volume growth rate was slow after 1300 min
until the volume remains unchanged. Under the same moisture content and the same
pressing load of 20 MPa, the higher the content of palygorskite in mixture, the
266 X. Fan
Fig. 24.1 Expansion rate of

palygorskite and bentonite
mixture with different
proportions
Fig. 24.2 Swelling force of

mixture of palygorskite and
bentonite in different
proportions
higher the expansion rate and expansion force. Compared with a single bentonite,
its expansion amount was weakened. Adding a certain amount of palygorskite was
beneficial to improve the expansion performance of bentonite. In addition, under the
condition of a certain initial water content, the expansion force test results showed that
for the same proportion of mixture, the expansion force increased with the increase
of dry density. Therefore, we should pay attention to the influence of dry density on
the expansion performance of backfill materials.
24.3.3 Gas Permeability of Palygorskite and Bentonite

Mixture
The permeability coefficients of palygorskite and bentonite two-component mixture

and 10% pyrite powder additive three component mixture were measured under
nitrogen pressure in this paper. Each sample was prepared under the air dried moisture
content, compacted on the jack, and the pressed at the 10 MPa. The pressure of
nitrogen was controlled at 1.0 MPa, and the permeability coefficient was calculated
by the constant head method in the pressure test.
In the Table 24.5, when there was no palygorskite in the mixture, the minimum
permeability coefficient was 1.88 × 10−12 cm/s. When the content of palygorskite
was 0–40%, the permeability coefficient of palygorskite Pengrun soil mixture grad-
ually increased. When the content of palygorskite 40% palygorskite, the perme-
ability coefficient was 2.81 × 10−10 cm/s. It could be seen that (Pan 2017) under
the same conditions, the permeability coefficient of each proportion of materials met
the permeability of ordinary backfill materials not more than K ≤ 7 × 10–10 m s−1 .
The higher the content of palygorskite, the greater the permeability coefficient. The
main reason affecting this change trend was that the addition of pyrite increases the
porosity between particle frameworks.
It could be seen from Fig. 24.3 that when 10% pyrite was added as an additive,
the permeability coefficient of the two-component integrated material composed of
pyrite powder was significantly smaller than that of the three components. Whether it
was two-component (palygorskite and bentonite mixture) or three-component inte-
grated materials (palygorskite bentonite and pyrite mixture), they basically satisfied
the permeability requirements of backfill materials. The content of palygorskite was
no more than 50%, and its permeability coefficient was within 10−10 cm/s, which
met the requirements of backfill materials for permeability coefficient.
Table 24.5 Permeability parameters of palygorskite and bentonite under pressure

Number Sample Moisture Wet density Dry density Porosity Permeability
height (cm) content (%) (g/cm3 ) (g/cm3 ) (%) coefficient
(10−10 cm/s)
PA0 B10 P 1.43 14.72 1.96 1.74 22.43 0.0188
PA2 B8 P 1.57 13.91 1.93 1.69 24.21 0.48
PA3 B7 P 1.48 14.01 2.15 1.88 11.32 1.13
PA4 B6 P 1.40 14.11 2.02 1.77 23.43 2.81
PA5 B5 P 1.30 14.21 1.87 1.63 24.38 3.14
268 X. Fan
Fig. 24.3 Effect of pyrite on

permeability coefficient of
attapulgite mixture
24.4 Conclusion
In order to solve the problem of resource shortage in the world today and realize
the sustainable development of resources, Xinjiang bentonite, Anhui Mingguang
palygorskite and Sichuan pyrite were mixed and integrated according to a certain
proportion in this paper. Through a series of simple geotechnical tests, the another
shortened the design of test cycle, and improved the device with simple operation, to
get the properties of palygorskite and bentonite mixture with high density, difficult to
compact, low permeability coefficient, and easy to expand when encountering water.
Through a large number of geotechnical tests, palygorskite with different propor-
tions of 0, 10, 20, 30, 40, 50, 60, 100% was added to bentonite. Under the same test
conditions, the maximum dry density, optimum water content, compaction expansion
performance and permeability of the mixture changed differently with the increase
of palygorskite. The results showed that when the proportion of palygorskite was
20–35%, its engineering properties such as compaction, expansion and permeability
were better, and met the requirements for buffer/backfill materials. When the propor-
tion of palygorskite was between 0 and 30%, its unconfined compressive strength
and elastic modulus were not much different from that of single bentonite. However,
when palygorskite exceeded 30%, its unconfined compressive strength and elastic
modulus increased greatly. Under the same moisture content and the same pressing
load of 20 MPa, the higher the content of palygorskite in bentonite, the higher the
expansion amount and expansion force. When the initial water content was constant,
the expansion force increases with the increase of dry density for the same propor-
tion of mixture. When the content of palygorskite was 0–40%, the permeability
coefficient of palygorskite Pengrun soil mixture gradually increases, but all meet the
requirements of permeability.
References
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China Nuclear Power 89–93
Chapter 25
Research on Investment Value
Evaluation of Chinese Certified Emission
Reduction Wind Power Projects Under
Different Substitution Mechanisms
Guobin Yuan, Ping Zhao, Tianyou Xie, Jian Fang, and Xinglei Jiang
Abstract Under the voluntary emission reduction mechanism, how to make scien-
tific and reasonable investment decisions for wind power projects is an urgent
problem to be solved. This paper fully measures the additional benefits brought
by the uncertainty of Chinese certified emission reduction (CCER) transaction price
to the project, and focuses on the impact of different alternative mechanisms on the
project investment value. Using the B-S pricing model theory, this paper constructs
the investment value evaluation model of CCER wind power project based on real
options. Through the actual application of a wind power project, the validity and
rationality of the model are tested, in order to provide reference for the investment
decision of enterprises and promote the healthy and orderly development of China’s
voluntary emission reduction mechanism.
Keywords Real option method · Wind power generation · Chinese certified

emission reduction (CCER) · Different substitution mechanisms · Actual value
assessment
25.1 Introduction
With the acceleration of global industrialization, a series of environmental problems

such as climate warming have gradually emerged. This makes people realize that
it is very important to balance the relationship between economic development and
environmental protection, and to develop a low-carbon economic model with low
emission, low pollution and low energy consumption as the goal is the best and
sustainable economic model (Yi et al. 2021; Ning et al. 2022; Liang et al. 2019).
G. Yuan (B) · P. Zhao · T. Xie · J. Fang · X. Jiang

Lishui Power Supply Company, State Grid Zhejiang Electric Power Co., Ltd., Lishui 323000,
China
e-mail: yuanguobin2022@126.com
https://doi.org/10.1007/978-3-031-30233-6_25
272 G. Yuan et al.
Wind power generation is a common type of renewable energy generation (Wang et al.
2020), and a new business model, CCER wind power project, has come into being
(Liang and Wang 2021). Under the new business model, how to make a scientific and
reasonable investment decision for CCER wind power project is an urgent problem to
be solved. In recent years, scholars began to pay attention to the study of this problem.
Based on multi-stage real options and dynamic recursion theory, literature (Zhao and
Li 2018) established a value evaluation model of wind power projects considering
carbon trading income, and used neural network model to predict the risk-free rate
of return in recent five years. The simulation results show that compared with the
traditional net present value method, the real option can reflect the intrinsic value
and risk of wind power projects more flexibly. In order to more accurately evaluate
the investment value of offshore wind power projects under uncertain environment,
literature (Liu et al. 2022) established the valuation model of offshore wind power
projects based on the real option theory. Geometric Brownian motion and learning
curve model are used to describe the uncertainty of electricity price, carbon trading
price and investment cost, and then least squares Monte Carlo method and variance
reduction technique of dual variables are used to solve the uncertainty. Although
these studies considered the impact of carbon trading on the investment value of wind
power projects, they did not consider the impact of different alternative mechanisms
on the investment value of wind power projects.
25.2 Construction of CCER Wind Power Project

Investment Value Evaluation Model Based on Real
Option
25.2.1 Model Hypotheses
The basis of CCER wind power project value evaluation is that, under the busi-
ness model of CCER, project investors have a clear understanding and grasp of the
uncertainty of the project. And uncertainty is to point to China’s voluntary reduction
mechanism for project, the uncertainty of the project and get the record issued by the
reduction possibility and voluntary emissions trading price uncertainty brings to the
project of the uncertainty of the potential value, this paper builds CCER wind power
project investment based on real option value evaluation model with the following
hypotheses (Agaton 2021; Agaton et al. 2020).
(1) Rational person hypothesis: that is, in any case, the behavior of the project
investment decision-making subject is rational, neither blindly follow, nor
emotional. Decision-making subjects follow the principle of maximizing their
own economic benefits, and then make decisions that benefit them.
25 Research on Investment Value Evaluation of Chinese Certified Emission … 273
(2) Risk-neutral principle hypothesis: that is, on the basis of no arbitrage opportu-
nities in the market, the value of options has nothing to do with investors’ risk
preferences. Investors will only require the risk-free rate of return as the rate of
return on investment in any related asset. In other words, under the condition of
risk neutrality, all cash flows can be discounted by the risk-free rate of return.
(3) Brownian motion hypothesis: The uncertainty of CCER wind power project, in
this paper, refers to the fluctuation of carbon emission reduction transaction price
in the later period of the project conforms to the Brownian motion (standard
Wiener) process.
25.2.2 Model Hypotheses
Under China’s voluntary emission reduction mechanism, considering the additional

revenue brought by the emission reduction transaction of the project, the revenue of
CCER wind power project mainly consists of three parts: electricity sales revenue,
government subsidies and CCER revenue from certifying emission reduction. In
addition, considering the option premium that can be brought to the project from
the perspective of real options, due to the uncertainty of the transaction price of
the project’s certified emission reduction. Therefore, this paper mainly considers the
composition of core investment value in four aspects of CCER wind power project,
as shown in Fig. 25.1.
(1) Income from electricity sales
The main revenue source of wind power projects is the sales revenue of on-grid
electricity. The on-grid electricity price of wind power generation varies from place
to place, but the overall range of change is small. Therefore, the feed-in tariff in the
value evaluation of the wind power CCER project below is fixed. At the same time,
in order to take into account the rationality of the model and the availability of data,
in the case demonstration, it is assumed that the annual electricity generation of the
Fig. 25.1 CCER wind Income from

power generation project electricity sales
investment value
composition
Government
subsidy
Investment value
composition of CCER
wind power project
CCER revenue
Option premium
274 G. Yuan et al.
project is fixed without considering the factors that may affect the project electricity
generation during the project operation.
(2) Government subsidy
The government subsidy benefits of wind power projects are generally included in
the feed-in price, which will not be described here.
(3) CCER revenue
If not considering the instability of carbon emissions benefits to the enterprise brought
the option value, the evaluation of CCER of wind power project investment value,
investors for each issue of carbon emissions trading price estimate there will be a Pn ,
because investors forecast fixed power generating capacity, according to the same
line and project boundaries, annual emission reductions is fixed Qn , Then the revenue
of carbon emission reduction in each period is Pn *Qn .
(4) Option premium
China’s unified carbon trading market has not yet been established, and the carbon
emission reduction market is faced with external unstable factors such as supply and
demand conditions, policy adjustments and the global economic environment. The
future carbon emission reduction trading price of wind power CCER project will
be affected by carbon trading market, quota market, emission reduction supply and
demand situation and other factors, and there will be certain uncertainties. Based on
the real option theory, uncertainty can give investors the option premium, namely give
investors in the present at a certain price (project investment) buy some underlying
assets, and because of the uncertainty of the future value of the asset (key factor is
the price of carbon emissions trading uncertainty), investors will have to get or the
right to choose how to get a better income, that’s the option premium.
In addition, under China’s voluntary emission reduction trading mechanism, it
takes a certain period of time for the carbon emission reduction of projects to be
issued and obtain profits, and whether the registered projects can be issued is uncer-
tain. Therefore, this paper introduced in CCER for wind power generation project
valuation an expected probability parameter μ, is the enterprise in making investment
decisions to wind power projects, the need for the project emission reductions can be
obtained on the prediction of the probability of issuing and trading, the probability of
μ depends on the size of the investment risk preference degree and the expectations
of future carbon trading market, and it will affect the decision-making behavior of
investors.
25.2.3 Model Design
Under China’s voluntary emission reduction mechanism, considering the additional

revenue brought by the emission reduction transaction of the project, the revenue of
CCER wind power project mainly consists of three parts: electricity sales revenue,
government subsidies and CCER revenue from certifying emission reduction. In

addition, considering the option premium that can be brought to the project from
the perspective of real options, due to the uncertainty of the transaction price of
the project’s certified emission reduction. Therefore, this paper mainly considers the
composition of core investment value in four aspects of CCER wind power project,
as shown in Fig. 25.1.
According to the above analysis and assumptions, the investment value ENPV of
the wind power CCER project based on real options is the NPV determined by the
net present value method plus the option premium, namely:

n
A n
Pn · Q n n
E N PV = N PV + O P = + μ − I + Cn · Q n
n=1
(1 + r1 )n n=1
(1 + r )n n=1
(25.1)
where ENPV is the extended project net present value, that is, the investment value
of the project; NPV is the project net present value calculated by the discounted cash
flow method; OP is the option premium of the project.
Set the total project investment cost as I. The annual revenue of the project of
electricity sales and government subsidies is A, the expected CCER price of each
period is Pn , the annual CCER is Qn , and the probability of emission reduction being
issued and traded is μ, then:

n
A n
Pn · Q n
N PV = + μ −I (25.2)
n=1
(1 + r )n n=1
(1 + r )n

n
OP = Cn Q n (25.3)
n=1
Cn = S × N (d1 ) − X e−r (Tn −t) × N (d2 ) (25.4)
+ (r + σ2 )(T − t)
2
S
ln
d1 = X
√ (25.5)
σ T −t
+ (r − σ2 )(T − t) √
2
S
ln
d2 = X
√ = d1 − σ T − t (25.6)
σ T −t
where C n is the option value of unit emission reduction in each period of the project
emission reduction period. S is the present price of the underlying asset, that is, the
present value of the emission reduction transaction price. X is the strike price of the
underlying asset, that is, the expected transaction price Pn of the emission reduction
in each period of the project. T n-t is the option expiration time, that is, the time from
the decision point for each period of emission reduction trading. σ is the volatility
of the underlying asset, that is, the volatility of the CCER transaction price of the
276 G. Yuan et al.
project in the future. R is the discounted rate of future cash flow of the underlying
asset, namely, the discounted rate of project cash flow. n indicates the running year
of the project and the value starts from 1. N is the standard normal distribution.
25.2.4 Model Parameter Determination
(1) Determination of annual revenue A from electricity sales and government

subsidies
A is the annual electricity sales revenue plus government subsidies, minus the cash
outflow, namely, the annual operating cost.
A = C It − C Ot = AE Pt × P + G S It − OCt (25.7)
where AEP is the annual power generation of the project; GSI is the government
subsidy income for wind power generation; OC is the annual operating costs of a
project.
(2) Determination of discount rate R
This is because the expected probability μ that emission reduction can be issued and
traded is introduced when calculating the project carbon emission reduction income.
It depends on investors’ appetite for risk and their forecasts of the carbon market.
In order to avoid the double calculation of risks and uniform standard, this paper
chooses the basic yield of national bonds issued in the beginning year of the project,
and the maturity is the same or similar to the running life of the project as the discount
rate of the model.
(3) Determination of the expected price Pn of carbon emission reduction in each
period
When evaluating the project value, investors need to have an expectation of the
carbon emission reduction transaction price, which can be used to discount the future
cash flow. Assuming that when project emission reduction is issued and traded,
the fluctuation of CCER price in the future market conforms to the general Wiener
process, with drift rate a and volatility σ, then the Wiener process of price fluctuation
is:
dp = adt + σ dz (25.8)
When making project investment decisions, it is necessary to predict the trans-

action price of carbon emission reduction in the future. This paper assumes that the
current CCER price is P0 and the expected price at the next moment is P:
P = a Pt (25.9)
As t → 0:
d P = a Pdt (25.10)
Namely:
dP
= adt (25.11)
P
Then, by integrating within [0, T ], we can get:
P = P0 eaT (25.12)
where suppose A is the expected transaction price growth rate of emission reduction
of investors; T is the time away from time P0 .
(4) Determination of the present value of the underlying asset S 0
In the process of calculating the project option value, the present value of the
underlying asset S 0 is the present value of the current CCER trading price.
(5) Determination of the strike price X
The option strike price is the agreed future strike price. In the value evaluation of
wind power CCER project, the option premium is brought by the uncertainty of the
future CCER transaction price. Therefore, this paper chooses the expected value Pn
of the carbon emission reduction transaction price of each period as the strike price
X.
(6) Determination of volatility σ of the underlying asset
The evaluation model in this paper only considers the uncertainty of carbon emission
reduction returns, and assumes that the annual emission reduction is a fixed value
Q. Therefore, the volatility of the underlying asset is the volatility of the transaction
price of carbon emission reduction. The volatility of the underlying asset is the most
important index parameter in the real option model. How to evaluate the volatility
more accurately directly affects the evaluation result of the option premium.
As China’s carbon emission reduction trading is still in its infancy, the available
historical trading data is limited, and the future development will face more uncer-
tainties. Therefore, the historical volatility method is not suitable for the calculation
of carbon trading price volatility in the current and future period. This paper uses set-
valued iteration method to determine the possible value of volatility of the underlying
asset price and its weight index. According to the prediction of the future trading price
volatility of carbon emission reduction by M investors or experts in related fields, the
subjective importance degree of the index is given a weight. Finally, the volatility of
CCER trading price is calculated by the index range and the corresponding weight.
The first step is to take the volatility index set as:
X = {σ1 , σ2 , σ3 , ..., σn } (25.13)

278 G. Yuan et al.
where n is the number of possible values of volatility.

The second step is to select M relevant industry experts or investors, and select
s values of volatility σ that he thinks are the most likely from the index set X, so
the index set result selected by the k-th investor or expert should be a subset of X,
namely:
X (k) = {σk1 , σk2 , σk3 , ..., σkn } (25.14)
where k takes values from 1 to m, so there will be m similar subsets.

Next, make the indicator weight indicator function:

1, δ j ∈ X (k)
Ak (δ j ) = (25.15)
0, δ j ∈ X (k)
Finally, note:
m
g δj = Ak (δ j ) ( j = 1, 2, ..., n) (25.16)
k=1
According to the selection results of m investors or experts, the following formula

is used as the weight coefficient wj of the possible index value σ j of volatility, namely:
n
wj = g δj / g(δ j ) (25.17)
j=1
According to the possible values of the indicators and their corresponding weights,
the most likely emission reduction transaction price volatility δ is calculated.
(7) Determination of T-t
T-t is the expiry time of the option, which is the expiry time of the project emission
reduction transaction. t is the project start time 0, and T is the effective issuance time
of project emission reductions.
25.2.5 Evaluation Process of CCER Wind Power Project

Investment Value Under Different Substitution
Mechanism
According to the value evaluation model constructed above and combined with
different substitution mechanisms, the investment value evaluation process of CCER
wind power project under different substitution mechanisms is designed, as shown
in Fig. 25.2.
Model hypotheses
Rational person Risk-neutral principle Brownian motion

hypothesis hypothesis hypothesis
Index selection of CCER wind power project

investment value evaluation model
Income from
Government subsidy CCER revenue Option premium
electricity sales
Investment value ENPV
NPV Option premium
Model parameter determination
Expected price
Present value Volatility of
Project annual of carbon
Discount rate of underlying Strike price the underlying T-t
revenue emission
asset asset
reduction
Different offset proportion

scenario design
Scenario 1 Scenario 2 Scenario 3
Evaluation results and analysis
Fig. 25.2 Evaluation process of CCER wind power project investment value under different
substitution mechanism
25.3 Empirical Analysis
A wind power project with an installed capacity of 50 MW in Lishui, Zhejiang, China,

is a voluntary emission reduction project developed using the methodology registered
by the National Development and Reform Commission. The methodology adopted
is CM-001-V02 Renewable Energy grid-connected Power Generation Methodology
(Second edition). The project uses local renewable wind energy resources to produce
clean electricity, with an estimated annual on-grid capacity of 120 million KWH,
280 G. Yuan et al.
which will be incorporated into the East China regional power grid through Zhejiang
Power Grid. In the East China regional power grid, fossil fuel power plants still
occupy a dominant position. The project will reduce greenhouse gas emissions by
replacing the equivalent power generated by fossil fuels in the East China regional
power grid with on-grid electricity, and the annual greenhouse gas emission reduction
is estimated to be 37,100 T CO2 e.
The project application report was submitted on January 13, 2022, and it is
expected that all units of the project will be connected to the grid at the same time
on December 31, 2022, which is the start time of the project inclusion period. Each
accounting period is 7 years and can be updated twice. The baseline needs to be
updated for each update. In the first accounting period, the annual total emission
reduction is 259,700 T CO2 e. According to the methodology CM-001-V02, project
emission and leakage are not considered in wind power projects, and the project
owner estimates the emission reduction in the first credited period in advance, as
shown in Table 25.1.
The financial parameters required for investment decision analysis of the project
are shown in Table 25.2.
Absorb carbon trading market of foreign experience and domestic carbon trading
pilot specifies the highest proportion of offset of CCER, combined with the design
rules of pilot of CCER offset the highest proportion, then starting from the design of
three kinds of offset mechanism to analyze the influence of CCER project investment
value: (1) the maximum offset amount does not exceed 10% of the enterprises that
initial quota; (2) The maximum offset amount shall not exceed 10% of the actual
quota amount of the enterprise in the current year; (3) The maximum offset should
not exceed 10% of the company’s actual emissions in that year. Table 25.3 shows the
mechanism scenario.
Table 25.1 Estimation of emission reduction during the first credited period
Year Baseline Project Leakage/104 Reduction
estimations/104 estimations/104 tCO2 e estimations/104
tCO2 e tCO2 e tCO2 e
2023.1.1–2023.12.31 3.71 0 0 3.71
2024.1.1–2024.12.31 3.71 0 0 3.71
2025.1.1–2025.12.31 3.71 0 0 3.71
2026.1.1–2026.12.31 3.71 0 0 3.71
2027.1.1–2027.12.31 3.71 0 0 3.71
2028.1.1–2028.12.31 3.71 0 0 3.71
2029.1.1–2029.12.31 3.71 0 0 3.71
Total value 25.97 0 0 25.97
Total time 7 years (including the first and last two days)
Annual average 3.71 0 0 3.71
Table 25.2 Economic parameter table of project investment decision

Economic parameter Value Unit
The installed capacity 50 MW
Estimated annual equivalent hours of power generation 2400 Hour
Initial project investment 31,135 104 CNY
Annual operating cost (excluding land rent) 3795 104 CNY per Year
Electricity price 0.4046 CNY per kWh
The government subsidies 0.1654 CNY per kWh
Project construction period 1 Year
Project operation period 20 Year
Income tax rates 25 %
Residuals rate 10 %
Table 25.3 Scenarios with different offset ratios

Scenario Offset Detailed description
proportion
Scenario 1 0.1A The maximum offset does not exceed 10% of the enterprise’s
initial quota
Scenario 2 0.1(A + X) The maximum offset does not exceed 10% of the actual quota of
the enterprise
Scenario 3 0.1(A + X + The maximum offset is no more than 10% of a company’s actual
CCER) emissions
In the value analysis of wind power CCER project, it is concluded that the project
is characterized by uncertainty, so it has a certain option value. The option charac-
teristics of the project are mainly caused by the uncertainty of CCER price in the
market. In the above paper, the B-S pricing model of options is constructed, and the
parameter σ in the model represents the uncertainty of CCER trading price, namely
price volatility. The determination of σ value is a key step when evaluating the option
value of a project using B-S model. Due to the insufficient historical data of CCER
transaction price in China, the historical analysis method cannot be used. In this
paper, the set-valued iteration method is used to determine the σ value. According to
the weights under different values of σ, σ = 7.56% is calculated.
According to the model established in this paper, the forecast price of CCER in
each period is obtained by prediction, as shown in Fig. 25.3.
According to the model constructed in this paper, the investment value of projects
under various scenarios can be obtained, as shown in Fig. 25.4.
Due to the low price of certified emission reductions, the carbon market main body
will choose to buy certified emission reductions, such scenario 3 given constraint
conditions, the most lenient certified emission reductions so scene 3 conditions,
282 G. Yuan et al.
Fig. 25.3 Expected CCER 60

prices in each period
47.39
45.69
42.93 43.56
41.01
40 38.21
Value (CNY/t)
36.72
20
0
P1 P2 P3 P4 P5 P6 P7
Price for each period
Fig. 25.4 The option value

22895
of the project under each
Project investment value (104 CNY)
scenario 20132
20000
18567
10000
0
Scenario 1 Scenario 2 Scenario 3
CCER highest volume, give CCER sellers—the benefits of wind power project
operation subject more, so that the higher the value of the project investment.
25.4 Conclusion
In conclusion, wind power projects, as a mainstream renewable energy project,

face both opportunities and challenges under China’s voluntary emission reduc-
tion trading mechanism, and the carbon emission reduction benefits of wind power
CCER projects are uncertain. Based on the analysis of the option characteristics of
wind power projects, combined with the real option theory, this study integrates the
objective factors of market supply and demand, quota system and policy direction of
the project and the subjective factors of investors. This paper build a new business
mode, value evaluation model of project investment, determine the parameters, and
a method for determining the design under the different alternative mechanisms of
CCER mechanism of wind power project investment evaluation process, and apply
it to a specific case, after verifying the model, on the basis of scientific and effective
to give investors a clear investment decisions.
Funding Resources The work is supported by the Science and Technology Project of State Grid
Zhejiang Electric Power Co., Ltd. (Grant No. 5211L322ZJ0V).
References
Agaton CB (2021) Application of real options in carbon capture and storage literature: valuation
techniques and research hotspots. Sci Total Environ 795(6):148683
Agaton CB, Guno CS, Villanueva RO (2020) Economic analysis of waste-to-energy investment in
the Philippines: a real options approach. Appl Energy 275:115265
Liang Y, Wang HC (2021) Using improved SPA and ICS-LSSVM for sustainability assessment of
PV industry along the belt and road. Energies 14:3420
Liang Y, Niu DX, Hong WC (2019) Short term load forecasting based on feature extraction and
improved general regression neural network model. Energy 166:653–663
Liu Q, Sun Y, Wu MC, Liu LY (2022) Value evaluation of offshore wind power projects in uncertain
environment based on LSMC method. In: Proceedings of the CSU-EPSA, pp 1–8
Ning QR, Gong XW, Li MY (2022) Differences in growth pattern and response to climate warming
between Larix olgensis and Pinus koraiensis in Northeast China are related to their distinctions
in xylem hydraulics. Agric for Meteorol 312:108724
Wang HC, Liang Y, Ding W (2020) The improved least square support vector machine based on
Wolf pack algorithm and data inconsistency rate for cost prediction of substation projects. Math
Probl Eng 6:1–14
Yi W, Feng Y, Liang S (2021) Increasing annual streamflow and groundwater storage in response
to climate warming in the Yangtze River source region. Environ Res Lett 16(8):084011
Zhao WH, Li R (2018) Research on value evaluation of wind power project considering carbon
transaction revenue. Ecol Econ 34(08):19–24
Chapter 26
Analysis of Runoff Generation
Mechanism of the Xun River Basin
Bin Yi, Lu Chen, Yizhuo Liu, Hexiang Guo, Siming Li, and Binlin Yang
Abstract The runoff generation is one of the important hydrological modelling

processes, and accurate runoff generation calculation is vital for the flood forecasting.
Dunne and Horton flow mechanisms have been developed and widely applied in
hydrological model to describe the process of runoff generation. A hybrid runoff
generation process pattern formed by more than one mechanism can often be identi-
fied in semi-arid or mountain watershed because of the heterogeneity of underlying
surface conditions and meteorological factors. The Xun River basin was selected
as a case study. The Xinanjiang model (XAJ), Green-Ampt model (GA), vertically
mixed runoff generation model (VMM) as well as XAJ-Green-Ampt model (XAJ-
GA) were chosen as the runoff generation methods and the performances were further
compared. The continuous flow and unique flood events forecasting results were eval-
uated with the Nash–Sutcliffe efficiency (E NS ), the Kling-Gupta efficiency (E KG ),
the relative flood peak error (Qp ), the relative flood volume error (W p ), the error
between simulated and observed times to peak (T p ) and the Root Mean Square Error
(RMSE). Results show that the Xun River basin was dominated by mixed runoff
generation mechanism. For continuous flow forecasting, the VMM model shown the
best performances among the four methods, followed by the XAJ-GA. While, for
flood events forecasting, the XAJ-GA model performed the best.
Keywords Mixed runoff generation · Excess rainfall · Flood forecasting ·

Xinanjiang model · Green-Ampt model
B. Yi · L. Chen (B) · Y. Liu · H. Guo · S. Li · B. Yang

School of Civil and Hydraulic Engineering, Huazhong University of Science and Technology,
Wuhan 430074, China
e-mail: chen_lu@hust.edu.cn
Hubei Key Laboratory of Digital Valley Science and Technology, Wuhan 430074, China
B. Yi
e-mail: yi_bin2020@hust.edu.cn
https://doi.org/10.1007/978-3-031-30233-6_26
286 B. Yi et al.
26.1 Introduction
Flood is a natural disaster with occurring suddenly and causing serious harm (Alfieri
et al. 2015). Accurate flood forecasts can serve as a decision-making basis for reser-
voir operation, flood control, and optimal allocation of water resources, which, in
turn, plays a significant role in water resources management, development and utiliza-
tion, as well as economic growth and reconstruction. Calculation of excess runoff
is the key process of hydrological models, which plays a significant role in runoff
forecasts.
It is well known that there are two major runoff generation mechanisms, including
saturation-excess runoff generation and infiltration-excess runoff generation (Liu
et al. 2020). Currently, single runoff generation mechanism was mostly adopted by
hydrological models, such as XAJ model (Zhao 1992), Tank model and Soil & Water
Assessment Tool (SWAT) model (Guan et al. 2001; Li et al. 2009). However, a catch-
ment often experiences more than one mechanism due to the spatial heterogeneity
of climate conditions and catchment properties (Li and Sivapalan 2014; Liang and
Xie 2001). Hydrological models with single runoff generation mechanism generally
have poor performances in mountain regions or semi-humid and semi-arid areas, indi-
cating that they have a limited ability to represent the flooding processes dominated
by hybrid runoff generation mechanism.
To overcome the weakness of single-mechanism runoff models, researchers estab-
lished and developed models with conceptualized hybrid runoff generation mecha-
nism based on the saturation-excess and infiltration-excess runoff generation mech-
anism. Several hybrid runoff generation models, such as the VMM model (Bao and
Wang 1997), XAJ-GA model (Li et al. 2005), and variable infiltration capacity (VIC)
land surface model considering hybrid runoff generation (Liang and Xie 2001; Shen
et al. 2020), were commonly used.
Hydrologists have proposed a variety of runoff generation models, but each has
different applicable conditions. Therefore, it is necessary to analyze the applicability
of runoff generation mechanisms according to specific watersheds. The objective
of this study was therefore to evaluate the applicability of each runoff generation
model in the Xun River basin. The saturation-excess runoff generation method (i.e.
XAJ model), infiltration-excess runoff generation method (Green and GA 1911) (i.e.
GA model), VMM model as well as XAJ-GA model were adopted to calculate the
excess rainfall, and the performances of the forecasting results were analyzed to
evaluate the applicability of each model in the study area. The remaining chapters
of this paper are arranged as follows: In section methods, the runoff generation
models are described, and the parameter calibration method and evaluation criteria
are introduced. In section study area and data, the data and study area are described. In
section results, the performances and results are demonstrated. In section discussion,
the ideas about mixed runoff generation were discussed and in section conclusions,
relevant conclusions are drawn.
26 Analysis of Runoff Generation Mechanism of the Xun River Basin 287
26.2 Methods
26.2.1 Runoff Generation Methods
Four runoff generation models, including XAJ model, GA model, VMM model as
well as XAJ-GA model, as shown in Fig. 26.1, were selected as the runoff generation
calculation approaches.
The XAJ model (Zhao 1992) is a conceptual model where the runoff generation is
dominated by saturation-excess mechanism. The major feature is that the XAJ model
is characterized by two parabolic curves, including tension water storage capacity
curves and free water storage capacity curves.
The GA model (Green and GA 1911) is a simplified representation of the infil-
tration process. It supposes that a sharp wetting front is generated resulting from
infiltration, and soil is split into wetting and drying zone by the sharp wetting front.
Wetting zone soil moisture is close to saturation while drying zone soil moisture
remains at the initial value.
The VMM model developed by Bao and Wang (Bao and Wang 1997) is a concep-
tual rainfall-runoff model, combining the mechanism of the runoff formation in
excess of infiltration at soil surface and the mechanism of the runoff formation on
repletion of storage at subsurface. It suggests that the two runoff generation mecha-
nisms could be produced simultaneously in the vertical direction. After the rainfall
in excess of evapotranspiration reaches the ground, it is separated into surface runoff
and infiltration flow based on the infiltration capacity distribution curve. In areas
where the soil water deficit is large, the infiltration flow only replenishes soil water
deficit without runoff generation, otherwise, subsurface runoff will be generated after
infiltration flow satisfies the deficiency below field capacity. This model has been
widely used all over the world.
The XAJ-GA model (Li et al. 2005) is a conceptual model designed to improve the
XAJ model for semi-arid and semi-humid basins. The hybrid mechanism described
Fig. 26.1 Schematic of four runoff generation mechanism. a Watershed storage capacity curve.
b Watershed infiltration capacity curve. c Schematic of the vertically mixed runoff generation
mechanism. d Schematic of the XAJ-Green-Ampt runoff generation mechanism
288 B. Yi et al.
the process of runoff generation is expressed by two generalized parabolic distribu-

tion curves, of witch, one is the infiltration capacity curve, while the other is the soil
moisture capacity curve. The saturation-excess surface runoff over saturated areas is
calculated as originally, while the infiltration-excess rainfall over a basin is param-
eterized using the Green-Ampt formula. It should be noted that the soil infiltration
capacity curve is superimposed on the soil moisture capacity curve at the horizontal
a, which means that the initial infiltration capacity corresponding to the initial mean
soil moisture of the catchment W t .
26.2.2 Parameter Calibration Method
For nonlinear, high dimension optimization issues, the Shuffled Complex Evolution
Algorithm (SCE-UA) technique was developed by the University of Arizona in 1992
(Duan et al. 1992). The technique has been used extensively for calibrating hydro-
logical models (Zhou et al. 2019). Consequently, the SCE-UA method was employed
in this study to optimize the parameters of the hydrological model.
A novel aggregated objective function made up of three measures and aimed at
maximizing flow characteristics was used for parameter calibration (Brunner et al.
2021; Yi et al. 2022). Particularly, the Kling-Gupta efficiency (E KG ) and the Nash–
Sutcliffe efficiency (E NS ) focus on high flows, the log(ENS ) efficiency emphasizes
low flows, and RSR quantifies volume errors, respectively. The aggregated objective
function and three metrics are expressed by
∑T || t t|
|
t=1 Q s − Q o
E NS = 1 − ∑T | | (26.1)
| t |
t=1 Q o − Q o
√ ( )2 ( )2
σs μs
E KG = 1 − (r − 1) +
2
−1 + −1 (26.2)
σo μo
┌
| ∑T ( t )
| t=1 Q o − Q s 2
√
= ∑ (
RSR
T )2 (26.3)
t=1 Q o − Q o
t
M = 0.5 × (1 − E NS ) + 0.25 × (1 − E KG ) + 0.15 × (1 − log(E NS )) + 0.1 × RSR

(26.4)
where Q to is observed discharge at time t; Q ts is simulated discharge at time t; Q o

is the mean of observed discharge; T is duration of the flood event; r is correlation
coefficient between the observed and simulated flood; σ s and σ o are the standard
deviation values for the simulated and observed responses, respectively; and μs and
μo are the corresponding mean values.
26.2.3 Performance Evaluation
The flow peak, flow volume, and the occurrence time of flow peak are three main
basic elements for describing the flow hydrograph. Thus, several criteria were used
for model performance evaluation, which included the E NS , E KG , the relative flood
peak error (Qp ), the relative flood volume error (Wp), and the error between simulated
and observed times to peak (T p ) and the Root Mean Square Error (RMSE).
Q sp − Q op
Qp = (26.5)
Q op
Ws − Wo
Wp = (26.6)
Wo
Tp = T s − T o (26.7)
┌
| T
|1 ∑( )2
RMSE = √ Q ts − Q to (26.8)
n t=1
where Q sp is the simulated flood peak discharge; Q op is the observed flood peak
discharge; W s is the simulated flood volume; W o is the observed flood volume; T s is
the simulated flood peak occurrence time; T o is the observed flood peak occurrence
time; n is duration of the observed flood.
26.3 Study Area and Data
The Xun River basin was selected a as case study watershed. The Xun River is a
tributary of the Han River, which originates from Shaanxi Province, China. The Xun
river is 218 km long with a basin area of 6703 km2 . The mean slope of the basin
is 2.9‰. There are 6 meteorological stations and 1 flow station (the Xiangjiaping
Station) in this area, as shown in Fig. 26.2.
The rainfall and evaporation data from meteorological stations was collected from
2010 to 2021. The simultaneous 6 hourly runoff data for the Xiangjiaping station
was collected as well. Flood processes in flood season of each year from 2010 to
2021 were selected to calibrate and verify the established model, of which, 4 years
were used as model calibration period, and the rest were used for model validation.
Moreover, to consider the initial condition of the hydrological model, the antecedent
precipitation was calculated based on the daily recession coefficient of water storage
in the basin.
290 B. Yi et al.
Fig. 26.2 Locations of meteorological stations and flow stations in the Xun River basin
26.4 Results
26.4.1 Calibrated Parameters
The Xinanjiang model was adopted as the hydrological model framework, and
the runoff generation module of which was improved by using various generation
methods discussed above. The other modules remain consistent with the XAJ model.
Four continuous flood process in 2010, 2012, 2017 and 2018 were used for model cali-
bration, and the rest were used to evaluate the modelling performances. The evalua-
tion index system in Sect. 2.3 was used to evaluate the performance of different runoff
generation mechanism. The optimized parameters of the four generation modes are
shown in the Table 26.1.
26.4.2 Comparisons of Continuous Floods
The forecast results of all flood events in the Xun River basin using the XAJ, GA,
VMM and the XAJ-GA method are presented in Table 26.2. It can be seen from Table
26.2 that the average E NS of the XAJ, GA, VMM and XAJ-GA method are 0.47, 0.38,
0.62, and 0.60; the average E KG are 0.62, 0.60, 0.72 and 0.70, and the average RMSE
are 153.26, 163.56, 130.38 and 130.38, respectively. The results of the evaluation
index demonstrated that the two mixed runoff generation modes outperformed the
Table 26.1 Calibrated parameters of the four runoff generation methods

Parameters Physical meaning Runoff generation methods
XAJ GA VMM XAJ-GA
WM Averaged soil moisture storage capacity 95.0 87.2 81.1 85.0
B Exponential of distribution of tension water 0.3 / 0.1 0.1
capacity
fc Watershed stable infiltration rate / 3.6 13.3 13.8
KF Conductivity at soil saturation / 4.2 2.1 2.5
BF Exponential of distribution of infiltration / 0.76 0.0 0.1
capacity
single mode. The results of the VMM model and the XAJ-GA model were relatively
similar.
The Fig. 26.3 shows part of the flow hydrographs of the four runoff generation
methods for continuous floods in 2010, 2017, 2018, 2019, 2020, and 2021, among
which, 2010, 2017 and 2018 are calibration results, and 2019, 2020, and 2021 are
validation results.
Figure 26.3 a to f show comparisons of flow hydrographs obtained by the four
methods. In can be seen form the results that the performances of the GA method
are poor, especially in low flow process. The performances of the saturation runoff
generation mode were overall good, but there is a problem of overestimating the
flood peak discharge during some major floods, such as flood peaks in flow events
No. 2020 and 2021. The VMM and XAJ-GA methods generally performed well.
However, in flow No.2010 and 2019, the forecast values were larger than those of
the observed. This could be due to a systematic bias in the hydrological model or
errors in the observational data. The performance of the XAJ-GA method was slightly
poorer than that of the VMM method.
26.4.3 Comparisons of Flood Events
The mixed runoff generation mechanism would be more inclined to happen in semi-
arid and semi-humid areas or mountain watershed during flood season, and major
floods attracts more attention. It can be seen from the above discussion in Sect. 4.2,
the forecasting accuracy of major flood events varies significantly from year to year.
Therefore, 12 major flood events were chosen from 2010 to 2021, and the evaluation
index were plotted with box-and-whisker to determine the optimal runoff generation
method in the Xun River basin. The box-and-whisker plots of evaluation index of all
methods for the 12 flood events are shown in Fig. 26.4.
For the 12 flood events, four criteria were used for model performance evaluation,
which included the E NS , Qp , W p , and T p . In contrast to the continuous flood process,
the XAJ-GA method showed the best performances among the four methods. The
292
Table 26.2 Comparison of four runoff generation methods for the Xun River basin
Continuous flood E NS E KG RMSE
XAJ GA VMM XAJ-GA XAJ GA VMM XAJ-GA XAJ GA VMM XAJ-GA
Calibration 2010 0.65 0.77 0.75 0.71 0.76 0.72 0.87 0.86 154.96 127.35 130.49 141.68
period 2012 0.67 0.58 0.7 0.72 0.75 0.9 0.84 0.87 98.06 206.21 94.05 168.34
2017 0.88 0.78 0.88 0.89 0.89 0.62 0.91 0.93 104.12 111.15 104.74 89.98
2018 0.76 0.36 0.78 0.81 0.69 0.41 0.87 0.88 75.23 112.4 71.65 111.94
Validation 2011 0.69 0.79 0.87 0.86 0.65 0.9 0.75 0.7 247.54 206.21 163.17 168.34
period 2013 0.14 −0.22 0.16 −0.2 0.49 0.62 0.39 0.2 94.89 111.15 93.47 89.98
2014 0.41 −0.1 0.34 0.29 0.53 0.41 0.44 0.39 267.64 112.4 283.55 111.94
2015 −0.27 −0.04 0.36 0.46 0.31 0.21 0.51 0.52 116.18 365.95 82.34 293.97
2019 0.54 0.44 0.59 0.61 0.65 0.45 0.69 0.66 174.72 104.94 165.48 75.66
2020 0.01 −0.03 0.6 0.65 0.35 −1.5 0.8 0.81 111.67 220.13 71.08 190.41
2021 0.72 0.8 0.85 0.85 0.82 0.83 0.87 0.91 240.8 141.45 174.13 100.19
B. Yi et al.
Fig. 26.3 Comparison of flow hydrographs obtained by the four methods. a Flow No.2010. b Flow
No.2017. c Flow No.2018. d Flow No.2019. e Flow No.2020. f Flow No.2021
Fig. 26.4 Distributions of evaluation index using different runoff generation methods. a Distribu-
tion of Nash–Sutcliffe efficiency. b Distribution of flood Peak error. c Distribution of flood volume
error. d Distribution of flood peak time error
294 B. Yi et al.
performances of the VMM method were generally good, sometimes exceeding that
of the XAJ-GA method. Therefore, it can be concluded that the Xun River basin is
mainly dominated by mixed runoff generation mode.
26.5 Discussion
The process of runoff generation is the redistribution of rainfall through the soils.
Three flows are commonly considered to be generated in the process of runoff gener-
ation: surface flow, interflow and subsurface flow. Correspondingly, several well
know mechanisms have been developed to describe the process of runoff genera-
tion. Besides the Dunne flow, Horton flow mechanism talked above, the interflow
mechanisms attracted much attention in the past years. In this study, the subsurface
flow mechanism was included in the water source separation module of the XAJ
hydrological model without additional consideration.
Additionally, the performance criteria and its dynamic processes of hydrolog-
ical simulation discussed above have shown that the mixed runoff mechanism
can clearly describe the hydrological process of runoff generation, although some
forecasting results still need improvement. The mixed runoff generation method
can help our understanding of physical hydrologic processes for improving water
resources management and drought analysis. However, different mixed flow gener-
ation methods have different simulation performance even in the same flood, indi-
cating that the current mixed runoff generation methods still need to be improved
by hydrologists. Meanwhile, how to choose a suitable flow generation method for a
watershed is also crucial, as it depended on your runoff forecasting purpose. For a
small- or medium- sized watershed in mountain areas, the flood peak is vital, while
for some large watersheds like the Yangtze River basin, high forecasting accuracy is
needed for floods throughout the year.
26.6 Conclusion
The XAJ, GA, VMM as well as XAJ-GA model were adopted to calculate the excess
rainfall. The Xun River basin was selected as a case study and we evaluated the
performances of four runoff generation methods for both continues flow processes
and flood events. The accuracy of the simulation results were analyzed to evaluate the
applicability of each model in the study area. The main conclusions are as follows:
(1) The Xun River basin was dominated by mixed runoff generation mechanism,
and performances of both VMM and XAJ-GA methods outperformed single
runoff generation mode.
(2) For continuous flow forecasting, the VMM model shown the best performances
among the four methods, followed by the XAJ-GA.
(3) For flood events forecasting, the XAJ-GA model performed the best.
Acknowledgements This research was supported by the National Key Research and Development
Program of China (2021YFC3200400), the Hubei Science Foundation for Distinguished Young
Scholars (2020CFA101) and the Science and Technology Plan Projects of Tibet Autonomous Region
(XZ202301YD0044C).
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Chapter 27
Ecological Architecture in the Steppe
Zone of Northern Kazakhstan
Semenyuk Olga , Malibekylu Zhandarbek , Zhanabergen ov Temirkhan,

Maslov Khalil , Dukombaiev Azamat , Arynov Kaldybay ,
and Kozybayeva Makhabbat
Abstract Research works are devoted to the architectural and urban planning
concept and construction in the desert regions of Kazakhstan. The Kazakh yurt is
the basis of the structural and planning solution of modern residential buildings for
the steppe climate of Kazakhstan, the optimal hemispherical form, the absence of
cold bridges, the use of environmentally friendly materials are taken into account
from the point of view of ecology and energy efficiency. In Kazakhstan, there is
a problem of uneven settlement in the steppe territory of the Republic. The archi-
tecture and infrastructure of small settlements, especially remote areas, is poorly
developed. Issues of prospective resettlement solved in mutual connection with the
development and deployment of productive forces, the formation of transport and
engineering infrastructure, taking into account the natural, economic and architec-
tural planning conditions of the territory. Green construction can solve the issues of
autonomous provision of civil and production facilities in territories remote from the
city.
Keywords Green architecture · Residential buildings · Yurt · Energy efficient

architecture · Green economy · Construction · Environment · Regional planning
S. Olga (B) · M. Zhandarbek · M. Khalil · D. Azamat · A. Kaldybay

L.N. Gumilyov, Eurasian National University, Nur-Sultan 010000, Kazakhstan
e-mail: ons_31@mail.ru
Z. Temirkhan
Buketov Karagandy University, Karaganda, Kazakhstan
K. Makhabbat
Ch. Valikhanov Institute of History and Ethnology, Almaty, Kazakhstan
https://doi.org/10.1007/978-3-031-30233-6_27
298 S. Olga et al.
27.1 Introduction
There are objective contradictions between nature and architecture. Any construc-
tion is an unconditional evil for the natural environment. In the process of produc-
tion of building materials and in the process of construction, natural resources are
used, energy and, therefore, hydrocarbon resources consumed, and the environment
polluted.
Even more resources used in the operation of buildings and the environment
polluted again. Finally, the disposal of buildings and structures is causing enor-
mous damage. About half of the world’s SO2 emissions come from the operation of
buildings; 25 to 50 percent of all landfill waste in developed countries is construc-
tion waste (Sartkozhaula 2014). When creating buildings and structures, the largest
and most valuable resource, space, is taken away from the natural environment—the
biosphere. It is necessary economically use land and resources during the construction
of facilities, to develop a rational architectural and urban planning concept.
27.2 Development of New Steppe Territories in the North

Kazakhstan Region and the Tasks of the District
Planning
27.2.1 Natural Complex in the Steppe of Kazakhstan
In Kazakhstan, a large space is occupied by the “Betpak Dala” oasis, the natural
complex is far from settlements, is an ecological reserve at the same time these lands
are rich in underground fossils.
In this region, it is necessary to develop a district planning for settlements, the main
purpose of which is the rational and interconnected placement of production enter-
prises, cities and towns, transport, engineering communications and places of mass
recreation of the population. The district planning developed based on a comprehen-
sive assessment of the capabilities of this territory, taking into account geograph-
ical, architectural, planning, engineering, technical and environmental factors and
conditions. The main tasks of developing district-planning schemes are:
– Identification of natural, territorial, labor and economic resources;
– Opportunities for development and placement of industrial, civil, agricultural,
transport and recreational construction within their limits.
The most important specific tasks of planning areas with the predominant
development of residential territory in them are:
– The most economical location of residential complexes and industrial production
areas in terms of construction and operation;
– Formation of an optimal settlement system;
27 Ecological Architecture in the Steppe Zone of Northern Kazakhstan 299
– Provision of reasonable regulation of growth and development of experi-

mental residential education, which depends on architectural and urban planning
solutions;
– Development of rational specialization, zoning and optimal organization of infras-
tructure and efficient use of the land fund, quality assurance of the construction
and economic fund;
– Integrated development of new land areas with new innovative technological
maps.
Mainly new architectural objects of new understanding (see Fig. 27.1) form the
development of the urban environment. The organization of a green belt around the
urban environment is an important element of environmental improvement.
For the development of new territories, it is inappropriate to use reinforced
concrete or brick building materials for the construction of old-style buildings.
Fig. 27.1 Residential planning structures

300 S. Olga et al.
27.2.2 Construction of Environmentally Friendly Housing

Based on Centuries-Old Traditional
Dwelling—Kazakh Yurt
Efficient construction of environmentally friendly housing based on the centuries-old

traditional dwelling—Kazakh Yurt (Sartkozhaula 2014). Based on the yurt, spherical
domed buildings and structures of a new generation can erected, which correspond
to the climatic conditions of the Kazakhstan steppe (see Fig. 27.2). It is necessary to
investigate and use the structures and elements of the Kazakh yurt (see Fig. 27.3).
As the basis of the latest architectural formation, tent architectural forms are
multifunctional on the one hand; on the other hand, they characterize the national
traditions of the steppe region. Dome systems made of local structural materials
ensure the stability of the building and provide the necessary thermal loads (see
Fig. 27.4). For the development of "Betpaқ dala», it is also advisable to use world
architectural and technological achievements, reworking them in relation to local
conditions.
For many decades, the Kazakh yurt and its other varieties have been the topic of
research work. All of these works describe the external forms, historical aspects, or
artistic merits of the research object. It self, the technology of making yurt transferred
from generation to generation by artisans based on established canons in size, color
and materials used.
Unfortunately, until now, the scientific foundations of the architects of the yurt
have not created; there are no modern engineering solutions for life support, the use
of autonomous alternative energy sources. The research and creation of an experi-
mental yurt of a new type with the subsequent organization of industrial production
will create a new direction in architecture and urban planning of the Republic of
Kazakhstan.
Fig. 27.2 Architecture of

buildings based on the shape
of the yurt
Fig. 27.3 Architecture of

buildings based on the shape
of the yurt. Plan
Research work will make it possible to create modern solutions of mobile

dwellings based on the traditional historical Kazakh yurt using innovative technolo-
gies.
27.2.3 Mobile Yurt Project—Eco Housing
When developing a detailed design, the technological component plays an important

role. Over the past 15–20 years, the world has made amazing advances in technologies
302 S. Olga et al.
Fig. 27.4 Engineering communications. Circuits
to ensure the autonomy of housing for the purposes of living people away from the
main infrastructure.
In the development of the project, to use new innovative solutions for the
supporting frame and enclosing structure, as well as engineering systems for ensuring
the life of the yurt it is possible.
The purpose of this work is to preserve the identity of the nomadic people, as well
as to use the yurt as a unique achievement of the steppe civilization to create new
social and residential formations; this will help the formation of a new generation of
people.
The new solution must take into account the experience of many generations
of artisans and integrate it with modern technologies used in the construction of
residential and public buildings and structures.
An important aspect of the project is the use of alternative energy as a sustainable
energy source. The efficient use of wind, solar and biological waste energy in the
project will serve as our contribution to the development of the Kyoto Agreement.
The project will include solutions to ensure:
– Heating and ventilation, air conditioning,
– Water supply using ionizers,
– Biological neutralization of MSW and liquid waste disposal,
– Automatic control systems of all engineering systems,
– Creation of “smart” housing using “Smart” technologies.
The conceptual design of the mobile yurt and its model has no analogues in
the world, the project combines national traditions of architecture and innovative
technologies, composite materials, bio composite materials, new materials for frame
structures and fencing, which simultaneously ensure efficiency, as well as maximum
comfort and convenience.
Because of research work, design documentation of all systems and a modular
sample of a new generation yurt will created. The results of this work can used to
organize the serial production of a new type of mobile housing. It will be necessary
to certify modular products; obtain the relevant commissioning or implementation
certificates.
It is important to patent the results obtained and start concluding licensing agree-
ments on the intellectual property object; to carry out an economic assessment of the
socio-economic effect when selling the product by geographical, sectoral and other
characteristics, as well as the types of end consumers and potential customers.
27.2.4 Energy-Efficient Construction of Residential

Buildings
Based For energy efficient construction of residential buildings, the hemispherical

shape of the yurt is the most consistent in compositional, architectural, and planning
qualities. Shape streamlining reduces wind loads on the building. The absence of
cold corners and bridges at the points of connection of walls and roofs contributes to
high indicators of heat protection. For the harsh steppe climate of Kazakhstan with
cold windy winters, this form of buildings and structures is the most optimal. The
use of wind and solar energy will allow buildings to exist autonomously in any area.
Winds in Kazakhstan in the steppe zone reach 20 m per second and higher, there
are many sunny days a year to accumulate and store energy, and use its surplus for
various economic needs.
One form of energy efficient homes is the hemisphere. Application of this form
gives obvious advantages over traditional forms. Hemisphere has a minimum surface
area of enclosing structures at maximum useful area. Seismic resistance and wind
resistance of the form itself. Thanks to its spherical shape and materials used,
lightweight, and structural features, the shell of the house is able to withstand large
loads. The shape of the hemisphere allows you to abandon the arrangement roofing,
from the drainage system, which allows you to save from 25 to 30% the cost of the
whole house.
A hemisphere house can called a “passive house.” In single-storey, structures
with an efficient heating system there may be a small stove or fireplace installed
closer to the center domes. An additional heating can be a warm system of the sexes.
As the main heat source for heating and hot high-efficiency, solar water supply is
possible vacuum manifolds in combination with a boiler—accumulator heat. The
same boiler serves to prepare hot water for sanitary needs (GVS). Almost all year
except December and January, such a house will be able to dispense with “gift” heat
from direct and scattered solar radiation. During cloudy periods in addition to solar,
304 S. Olga et al.
heat can produce a small built-in electric boiler (about 1.5 kW) (Olshanchenko and
Shiryaeva 2017).
When designing a passive solar cell large the correct orientation of the house to
the cardinal points is important, and angle of inclination to the horizon line. It is
necessary to take into account the features landscape—neighboring buildings, trees,
relief that protect home from too bright sun in summer and cold winds in winter. Air
exchange in the dome house is 0.5–08 of the total volume of the building per hour.
Heat received from the heating system spreads due to natural convection. It is created
vertical airflows under the dome, and air conditioners in domes are not needed, a
natural convention and effect work for them Bernoulli.
Heat losses directly related to surface area, nor wall thickness, no number of
insulation used, no thickness window frames do not play a special role. On heat
loss, the room also affected by aerodynamic drag. Thanking streamlined shape of
the dome and the absence of front partitions wind flows slide freely on the surface
and blow the hemisphere with lower resistance (Faber 2001).
For clarity, it is worth turning to mathematical calculations. In as an example,
the dome house of the following design adopted. Home formed by two strong self-
supporting reinforced shells in the shape of a hemisphere. The inner self-supporting
shell of the house carries function of the heavy-duty structural framework. Material
base shells—water-resistant KGV (composite gypsum binder), which consists of
gypsum (about 75%), cement and mineral additives. This gypsum-based material is
environmentally friendly and has excellent performance to ensure biocompatibility.
Outer self-supporting shell at home combines the functions of a structural framework
and a strong enclosing structure. Between two self-supporting shells, heat-insulating
layer is poured—eco-friendly ultralight foam gypsum of the original formulation.
The calculation carried out for the climatic conditions of Astana; the design outside
air temperature was minus 32 °C, internal − 21 °C. The heat transfer coefficient
was determined in according the design standards. Calculation of transmission heat
loss carried out in according with regulations (2012). For comparison, a house of
traditional shape with walls and roofs, the structural layers of which are similar to
the composition of the external fences of a spherical house. The useful area of the
house was also 50 m2 . The following calculation results were obtained: for area,
external fences of a cubic house 161 m2 main heat losses amounted to 3460 W, and
for a spherical house—with an external area fences 100 m2 of heat loss amounted to
2290 W. Thus, the power of the heating system in a spherical house 1.5 times less
than in traditional.
27.2.5 New Approach to Creating Housing Conditions
Historically, previously, due to geographical and climatic conditions, people mainly

led a nomadic lifestyle. However, in the South of Kazakhstan, where the climate was
favorable for agriculture, there were cities in which there was their own developed
infrastructure and architecture. For example, we know that the city divided into two
parts, the interior, fortified with high walls and a moat, “Shahristan”, where there
were buildings such as a stake, spiritual buildings, a market, baths, etc. “Shahristan”
was home to noble people, rich people and traders; all the architecture that had value
was here. The outer wall-hardened part of the city called “Rabad”, and considered
the place of the poor and artisans (Argynbaev 1987).
Due to circumstances, these settled cities with their interesting organization of life
and their architecture have practically not survived to this day, since they built from
local raw materials of short-lived materials. Therefore, in the History of Architecture
of Kazakhstan, of the surviving buildings in most buildings and cities of the USSR.
These cities designed well for their time, but they have no national flavor. Now,
big cities are an aggressive environment for people from sparsely populated rural
areas, who are mostly conservatives, supporters of family values and family ties.
When forced to move to the city, their life changes radically, connections and the
previous way of life cut off, this is not good, it does not contribute to the preservation
of traditions and the original way of life. There was a need to develop sparsely
populated regions of Kazakhstan, build villages, their infrastructure, improve life
and living conditions in them. This will contribute to the preservation of ecology, the
preservation of local culture, traditions and identity.
The traditional Kazakh yurt is a founding principle of Kazakhstan architecture
(Malibekuly et al. 2020). In Southern Kazakhstan, the people have lived in mud-brick
houses deep in the ground and during seasonal migrations in yurts of light construc-
tion (Yussupov and Yussupova 2022). Sites, evidencing semi-sedentary lifestyle
(mid-19th to early twentieth century), are known as “ritual and housing complexes”
(Azhigali and Turganbayeva 2021).
The concept of “national character” has a deeper meaning than the external
architectural forms or decor (Semenyuk et al. 2017).
The construction boom after the collapse of the Soviet empire expressed in the
stylistic diversity of architecture of the present time (Truspekova and Sharipova
2022).
Thanks to small apartments, the unjustified construction of a large and high-rise
building for housing, where it is impossible to remember all the neighbors, human
disturbance, unfinished courtyards and streets, people are increasingly moving away
from each other. This is to the detriment of the entrenched urban population. In part,
a European approach is needed, where cities are compact, low-rise, perhaps in most
apartments they must be two-level, so that at least two generations of families live
in them, courtyards are equipped not only for children, but also for the leisure of the
elderly. In addition, in order for the neighbors to gather in the courtyard on holidays,
there must be an appropriate infrastructure for this (large gazebos, grill, Kazan for
cooking dishes for the entire courtyard, a specially allocated place for this). In order
for buildings and cities to correspond to our values and feel a national flavor in them,
it is not necessary to formally sculpt ornaments on facades or build domes. Vary the
architectural image of the city. It is enough that it is convenient for all segments of
the population to live in it, to create conditions so that people can interact more with
each other, more often spend leisure time together.
306 S. Olga et al.
Based on a new approach to design taking into account local traditions, design
principles can distinguished.
1. The division of the apartment into two parts: for the younger and older genera-
tions. The Kazakh people have an ancient tradition that the youngest or only son
remains to live and take care of elderly parents. Following this tradition, three
generations can live in one apartment, so both young and elderly members of a
large family may not get places and comfort. The long absence of personal space
negatively affects the human psyche, and entails a deterioration in interpersonal
relations. Therefore, for the convenience of all family members, it will be better
to divide the internal space of housing into a section for the elderly, and for the
young.
2. Large “shared” spaces for family gatherings and “gatherings.” Most families live
in apartments where there are small kitchens and no dining rooms. In this regard,
the meal can take place separately, which leads to a “break” of family ties. Indeed,
in our time of technology, where each family member is in his own gadget, a
joint meal is an important process when you can “break away” from the phone
and communicate with your parents, grandparents.
3. Recreation areas for the older generation. Unfortunately, a person, retiring,
remains on the sidelines of life, since all public entertainment and events are
aimed at young people, and the courtyards near residential buildings are given to
parking lots, playgrounds and sports grounds. Therefore, pensioners spend their
leisure time within four walls or in a leisure center for the elderly. The latter
option is less common, since not all cities have them. Even if there are such
institutions, then for most elderly people, it is difficult to get to these centers
both physically and financially. Based on this, it is necessary to design recre-
ation areas for pensioners at residential buildings so that each elderly person can
learn various skills, play board games, and communicate with their peers in the
courtyard of their residential complex.
27.3 Conclusions
Since the beginning of the twenty-first century, environmental projects have given
special importance in connection with the awareness of society of energy-saving
problems. Green architecture will become one of the directions of energy-efficient
doctrines.
“Green” architecture managed to go through many experiments that seemed scat-
tered and illusory. Now we can speak with good reason about the code of its principles,
professed by a considerable number of architects and actually being the basis of their
creative practice.
1. The principle of energy conservation is to minimize the need to use thermal
energy for heating or cooling.
2. The principle of reducing the volume of new construction involves the use of old
buildings or materials from them in new buildings.
3. The principle of cooperation with the sun offers the use of solar panels in the
building as a way to store energy for heating. In addition, in buildings built in
the style of green architecture, almost all windows face south.
4. The principle of respect for the inhabitants—the building becomes not just a
place to live, but also a property in which every inhabitant of the house must play
a huge role in maintaining order.
5. The principle of respect for the place provides for the view of Eastern philosophy
on nature—the unity and merger of man and his natural environment. Nature must
cease to be only a resource used for the benefit of humankind.
6. The principle of integrity expresses the ideal of eco-architecture. It provides for
an approach to the construction task in such a way that all of the above principles
can used.
The new approach to design and construction in Kazakhstan will create a
renewed environment of cities and towns—highly environmentally friendly, using
new technologies, at the same time corresponding to local traditions and local
lifestyle.
References
Argynbaev Kh (1987) Craft of the Kazakh people. Oner. Almaty

Azhigali S, Turganbayeva L (2021) Kainar: a late 18th to early 20th century Ritual and housing
complex in the Northern Ustyurt. Archaeol Ethnol Anthropol Eurasia 49(4):109–119
Faber TE (2001) Hydroaerodynamics. Translation from English edited by Pavelyev AA. Postmarket,
Moscow
Manual for calculation of heat loss of premises and heat loads on the system heating of residential
and public buildings: Recommendations of AVOK (2012) AVOKPRESS, Moscow
Malibekuly Z, Semenyuk O, Dyisebayev U, Kuc S (2020) Architecture of the yurt and its impact
on teaching young architects. World Trans Eng Techn Educ 18(2):225–230
Olshanchenko AA, Shiryaeva NP (2017) Provision of microclimate in domed Houses. Construction:
new technologies—new equipment (12):10–14
Sartkozhaula K (2014) Ethnic problems of the third Turkic Kaganate. Astana
Semenyuk O, Chernysh N, Khvan Y, Chekaeva R, Tkach O, Kassimova B, Bissenova Z, Otarbayev
A (2017) Trends in the development of national identity in architecture. Annales-Anali za Istrske
in Mediteranske Studije—Series Historia et Sociologia 27(3):517–528
Truspekova K, Sharipova D (2022) Architecture of post-Soviet Kazakhstan: key stylistic references
in public facilities. Civil Eng Arch 10(7):3185–3197
Yussupov A, Yussupova A (2022) Ecological houses of Southern Kazakhstan using renewable
energy sources. Smart Sustain Built Envir 11(3):593–607
Chapter 28
Study on Flocculation Treatment Effect
of Dredged Mud with Extremely High
Water Content
Xingsai Dang, Jingyu Xie, Zhao Hong, Haijun Yan, Kui Yang, and Yu Liu
Abstract 341 provincial highway Mashan to Yixing Zhoutie section YMA02

Zhushan Lake line area adopts the cofferdam open-cut method for construction.
The lake bottom contains a large amount of dredged silt, and the unreasonable treat-
ment of silt will cause huge environmental pressure on the surrounding area. The silt
itself is a natural resource, and it is also a waste of resources if it is directly trans-
ported for disposal. In view of this, this paper adopts flocculation test and particle
grading test to analyze the influence of flocculant type and content on slurry floc-
culation effect, and reveals the flocculation mechanism and particle size change law
of mud in the flocculation process. The research results show that the flocculation
effect of cationic polyacrylamide is better than that of anionic polyacrylamide and
non-ionic polyacrylamide; when cationic polyacrylamide is used and the content is
0.4‰, the amount of clear liquid is the largest; after the flocculation is completed, the
clay particles The content of pores is obviously reduced and the content of powder
particles increases.
Keywords Mud · Flocculation mechanism · Particle size · Particle gradation
28.1 Introduction
341 Provincial Road Masan to Yixing Zhoutie section YMA02 Zhushan Lake line
area using the cofferdam open dredging method of construction, its lake bottom
contains a large amount of dredged muck, the unreasonable treatment of mud will
cause huge environmental pressure on the surrounding.
X. Dang · J. Xie · Z. Hong · H. Yan

China Communications Construction Co., Ltd, Nanjing 211100, China
K. Yang
JSTI Group, Nanjing 210019, China
Y. Liu (B)
School of Civil Engineering and Transportation, Hohai University, Nanjing 210098, China
https://doi.org/10.1007/978-3-031-30233-6_28
310 X. Dang et al.
First of all, flocculation dehydration is the separation of mud and water by adding
one or some agents (usually called flocculants) to the mud to break the original
stable system in the mud, which causes the mud particles to settle under the action
of their own weight (Wenbin 2016; Huiyun et al. 2020). After flocculation and dehy-
dration and filtration of the supernatant, the water content of the mud can be effec-
tively reduced. Yao Pu et al. (2019) carried out a flocculation experimental study.
The results showed that it is extremely difficult to achieve mud-water separation of
waste slurry without adding any flocculant and only by spontaneous sedimentation.
Liu Linshuang et al. (2009) conducted flocculation tests on lake bottom sludge and
concluded that the fastest dewatering rate was achieved when the concentration of
slurry was between 18 and 22%. The results of Cheng Jinkang et al. (2019) showed
that inorganic flocculants had poor flocculation effect on dredged mud, while cationic
type polyacrylamide (CPAM) and anionic type polyacrylamide (APAM) produced
better flocculation effect through the adsorption of long molecular chains and electric
neutralization. In the research of composite flocculants, Xiao Zaozao et al. (2019)
prepared PAC, SPES and CPAM into composite flocculants for slurry treatment
according to certain ratios. According to their research results, when the compound
flocculant is mixed with 0.12‰ of the mud mass, it can make the water content of the
mud cake reduced to the lowest, and the waste mud with the initial mass fraction of
25% can be treated and its water content can be reduced to 34.9%. Sun Yuhan et al.
(2015) added CPAM with a small amount of AlCl3 to lower the moisture content of
the mud cake from 340.0–380.0% to 73.0–83.0%.
Chemical solidification is mainly done by adding certain curing agents, such as
cement, lime, fly ash, etc., to the slurry or mud to improve the physical properties.
And, in order to achieve for the slurry resource utilization which meant “turning
waste into treasure”, apply it to agricultural land use, landscaping, wetland and
habitat construction, restoration of severely disturbed soils, or production of haydite,
production of bricks, production of cement clinker, and use as fill material (Jingxuan
et al. 2016). Generally speaking, flocculation dehydration is a prerequisite for chem-
ical curing of slurry. The water content of the mud treated in actual engineering is
generally between 2.0–3.0 times the liquid limit after deposition and stabilization
(Wendong et al. 2015), while in some dredging projects, the water content of the
mud obtained by means of cutter-suction, pumping or hydraulicking is even as high
as 400.0–900.0% (Shaokai et al. 2018). When the initial water content of the mud
is relatively high, it is necessary to reduce its water content through flocculation
dehydration first, and then carry out chemical curing, which can not only ensure the
effect of curing, but also reduce the amount of curing agent, so that the treatment of
mud has a good economic and social benefits.
Thus, flocculation is a very critical part of sludge resource treatment. However,
due to the wide range of flocculants and different mechanisms of action, the choice
of flocculants and their optimal dose is not clearly defined by scholars, and there is
a lack of research on flocculation mechanism and particle size of dredged mud. In
this regard, through multiple groups of flocculation tests and particle size matching
tests, this paper comparatively studies the influence law and mechanism of the type
and dosage of flocculants on sludge flocculation. And based on a large number of
28 Study on Flocculation Treatment Effect of Dredged Mud … 311
test data, the flocculation mechanism and particle size of dredged silt are analyzed in
depth, so as to determine the selection of the best flocculant and its optimal dosage.
28.2 Laboratory Test Design
28.2.1 Test Soil
The in-situ dredged mud selected in this paper is from the dredged mud of Taihu
Lake in YMA02 Zhushan Lake line area of the section of Provincial Road 341 from
Mashan to Yixing Zhoutie, which has an initial moisture content of 316.0%, a liquid
limit of 43.8% and a plastic limit of 23.3%.
28.2.2 Test Plan
Flocculation test. The specific test protocol of the flocculation test is shown in Table
28.1.
According to the research results of scholars at home and abroad, the organic
flocculant polyacrylamide (PAM) has a better flocculation effect on mud and has
wider applicability, and the flocculant itself is relatively common in the market.
Therefore, in this paper, three different types of polyacrylamide (PAM) flocculants
were selected, and five different dosing levels were set for each flocculant, while a
blank control group was set as a comparison, and flocculation tests were conducted
to study the effects of flocculant type and dosing level on the flocculation effect.
Particle analysis test. The instrument used in the particle analysis test is a BT-
9300H laser particle size distribution analyzer, and the particle size range of its
measurement is 0–340 µm. For the blank control bentonite slurry, the unflocculated
slurry was added directly to the agitator of the laser particle size distributor; for the
slurry with flocculant added, take the bed mud after flocculation and filter out the
supernatant and add it to the agitator.
28.3 Analysis of Test Results
28.3.1 Analysis of Flocculation Test Results
Figure 28.1 shows the flocculation effect of each flocculant with 0.4‰ dosing. Other
components of the test photos are not listed in detail here. From the figure, it is
apparent that the precipitation of sludge clear liquid with cationic flocculant is higher
than that of anionic flocculant and non-ionic flocculant.
312 X. Dang et al.
Table 28.1 Flocculation test plan

Number Flocculant type Molecular weight of Flocculant dosage (‰,
flocculant (million) relative to the mass
fraction of the slurry)
CPAM-0 / / 0
CPAM-0.2 0.2
CPAM-0.4 Cationic type 0.4
CPAM-0.6 polyacrylamide (CPAM) 120 0.6
CPAM-0.8 0.8
CPAM-1.0 1.0
APAM-0.2 0.2
APAM-0.4 Anionic type 0.4
APAM-0.6 polyacrylamide (APAM) 120 0.6
APAM-0.8 0.8
APAM-1.0 1.0
NPAM-0.2 0.2
NPAM-0.4 Non-ionic type 0.4
NPAM-0.6 polyacrylamide (NPAM) 120 0.6
NPAM-0.8 0.8
NPAM-1.0 1.0
Note CPAM-0 is the blank control group
(a) CPAM-0.4 (b) APAM-0.4 (c) NPAM-0.4
Fig. 28.1 Mud flocculation effect diagram for 24 h when the dosage of each flocculant is 0.4‰
Figure 28.2 shows the variation curve of mud-water separation surface scale with
time for each flocculant at 0.4‰ admixture. With the growth of time, the speed of
sludge flocculation and sedimentation is first fast and then slow. Generally, the speed
of flocculation drops sharply after five hours.
Fig. 28.2 The scale of

mud-water separation liquid
level changes with time
when each flocculant is
added at 0.4‰
From Fig. 28.3, it can be seen that for the three flocculants, the precipitation of clear
liquor shows a trend of increasing and then decreasing with the increase of flocculant
dosage, and the precipitation of clear liquor of CPAM is the largest when the dosage
is 0.4‰, and the precipitation of clear liquor decreases gradually but not greatly
when the dosage continues to increase. For APAM, the clear liquid precipitation is
the largest when the dosing is 0.4 or 0.6‰, and the clear liquid precipitation decreases
obviously when the dosing is increased. For NPAM, the precipitation amount of clear
liquid increased continuously with the increase of doping amount until it slightly
decreased after the doping amount of 0.8‰. It can be seen that there is an optimal
dosing level of the organic flocculant added to the slurry at which the precipitation
of the clear liquid is maximum. For CPAM, the optimum dose is 0.4‰, for APAM
it is 0.4 or 0.6‰, and for NPAM it is 0.8‰.
Figure 28.4 is the 24 h flocculation effect diagram of the blank mud and of the
dredged mud when the dosage of each flocculant is 0.2, 0.4, 0.6, 0.8, and 1.0‰. It can
be seen from the comparison that the mud-water separation effect of the flocculant
mud is generally better than that of the blank one. Under different dosages, the floccu-
lation effect of cationic type polyacrylamide (CPAM) and non-ionic polyacrylamide
(NPAM) is generally better than that of anionic type polyacrylamide (APAM). For
CPAM and NPAM, the percentage of clear liquid precipitation was around 50% at
each dose, while for APAM, the percentage of supernatants was less than 40% at
each dose. When the dose of flocculant was 0.4‰, the clear liquid precipitation was
generally higher than that of other control groups.
In terms of clear liquid precipitation, CPAM was slightly better than NPAM and
significantly better than APAM, while the best flocculation effect was achieved at
0.4‰.
314 X. Dang et al.
Fig. 28.3 The relationship

between the percentage of
clear liquid precipitation of
each flocculant and the
content of flocculant
Fig. 28.4 Comparison of

the precipitation percentage
of mud clear liquid under the
same dosage of each
flocculant
28.3.2 Analysis of Particle Gradation Test Results
Effect of flocculant type on particle gradation. Figure 28.5 shows the particle
size distribution curves of each flocculant at different dosing levels. From the figure,
it can be seen that there is a significant difference in the particle size distribution
of the flocculant-doped mud compared with the blank control mud, and in general,
the content of clay particles decreases significantly and the content of silt particles
increases after the completion of flocculation. This indicates that the flocculation
effect of organic polymer flocculant polyacrylamide on the as-built soil mud is mainly
produced by gathering the mud particles and making them settle under their own
weight.
Fig. 28.5 The particle size distribution curve of different flocculants at the same dosage
From the viewpoint of flocculant types, APAM has the greatest influence on the
particle composition gradation of mud at the same admixture, NPAM is the second,
and CPAM has the least influence on the particle composition gradation, because the
flocculation mechanism of various flocculants for mud is not the same. For CPAM,
its relative molecular mass is small, and the adsorption bridging effect is not obvious,
and the group is mainly formed through adsorption and neutralization. Since the mud
solution itself is alkaline, the cationic groups in CPAM can fully play a role, so that
the mud particles are adsorbed and neutralized, forming smaller groups and causing
sedimentation. For NPAM, since it does not contain cationic or anionic groups, it
only plays the role of adsorption bridge, which is stronger than the adsorption and
316 X. Dang et al.
neutralization effect, so the particle size of the formed groups is also larger. For
APAM, its molecular chain is the longest and its relative molecular mass is the
largest, so it has the strongest adsorption bridging effect. Even if the anionic groups
are limited by the neutralization effect, they can still absorb more mud particles, form
larger particle size groups and cause sedimentation.
Although the particle size of the group formed by APAM is the largest, according
to the previous test results, the supernatant liquid of the mud precipitates faster under
the action of APAM, and the amount of precipitation is the smallest. This is because
large-scale groups can settle at the fastest speed due to the greatest gravity in the
early stage of flocculation. At this time, a large amount of clear liquid precipitated
quickly, but in the later stage of flocculation, the large-scale groups blocked the
drainage channels inside the mud, making it impossible for the remaining clear
liquid to be discharged, so the final clear liquid precipitation was the smallest.
Effect of flocculant dosing on particle gradation. Figure 28.1 is the particle
size distribution curve of mud under different dosages. It can be seen from the figure
that when the amount of flocculant is less than 0.6‰, the number of extremely small
particles (particle size less than 1 µm) in the mud is slightly reduced, and this part
is aggregated into larger particles under the action of flocculant molecules (Particle
size is 1-10 µm). However, because the amount of flocculant is not large, the number
of large particles (particle size greater than 10 µm) has not changed significantly
compared with the mud of the blank control group. From the perspective of soil
classification, the soil in the mud before and after flocculation is fine-grained soil.
When the flocculant dosage is 0.6‰, the clay content is only reduced by about 7%
compared with the blank control mud, and the change range is relatively small. This
indicates that the aggregation effect of cationic type polyacrylamide (CPAM) on
mud particles is more limited when the flocculant dosage is not large, and it only
eliminates particles with very small particle size.
When the amount of flocculant is greater than 0.6‰, the change of particle size
distribution composition is more obvious, the content of clay particles is greatly
reduced, and correspondingly, the content of powder particles is greatly increased.
When the amount of flocculant is 1.0‰, the clay content is reduced by about 20%
compared with the blank control mud.
Changes in particle composition are related to the mechanism of action of CPAM.
Because the mud is alkaline, when the amount of flocculant is small, the number
of cationic groups hydrolyzed is also small, which cannot fully exert the effect of
adsorption and neutralization, and can only make the mud particles aggregate initially.
When the dosage is large, the number of cationic groups also increases, and the
effect of adsorption and neutralization is more evident, so more fine particles can
be aggregated, reducing the number of clay particles and increasing the number of
powder particles (Fig. 28.6).
Fig. 28.6 Mud particle size distribution curve under different content
28.4 Conclusion
In this paper, through multiple sets of flocculation tests and particle grading tests,
supported by a large number of test data, the flocculation mechanism and particle
size variation of dredged sludge are analyzed in depth, and the selection of the best
flocculant and its optimal dosage is clarified. And got the following conclusions:
(a) With the amount of clear liquid precipitation, mud-water separation speed, floc-
culant dosage as the main evaluation basis, and combined with the mechanism
of mud flocculation, for the alkaline dredged mud, it is appropriate to choose
cationic polyacrylamide (CPAM) as the best flocculant, and its optimal dosing
is 0.4‰ (mud mass fraction).
(b) There is an optimum dosage of each flocculant, at which the precipitation of the
clear liquid is maximum. For CPAM, the optimum dose is 0.4‰, for APAM it
is 0.4 or 0.6‰, and for NPAM it is 0.8‰.
(c) From the perspective of soil classification, the soils in the slurry before and
after flocculation are all fine-grained soils, while the content of clay particles
in the slurry gradually decreases and the content of powder particles gradually
increases with the increase of each flocculant dosage.
318 X. Dang et al.
References
Cheng Jinkang (2019) Research on the effect of flocculation conditioning on the deposition law and
consolidation characteristics of silt (Slurry). Huazhong University of Science and Technology
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and its latest research progress. Concrete 12:85–89
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cement production. China Build Mater Sci Techn 25(02):22–25
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water content sludge fluidity by super absorbent materials. Rock Soil Mechan 36(S1):281–286
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sludge dewatering rate. South-to-North Water Diver Water Conserv Sci Technol 7(04):57–59
Tian Wenbin (2016) Joint test research on sedimentation consolidation of high water content
dredging mud. Southeast University
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osmotic dehydration of sludge with high moisture content. Sci Technol Eng 18(16):154–160
Wu, Xiao Zaozao, Jiaquan ZZ (2019) Research on the treatment of drilling waste mud with
composite flocculant. Fine Petrochem Ind 36(04):6–10
Yao Pu (2019) Research on adsorption characteristics and dehydration methods of engineering
waste mud. Chengdu University of Technology
Yuh S, Xiaopeng Z, Li, Yi et al (2015) Experimental study on slurry flocculation and dehydration
of coastal silt dredging fill. Shuidao Port 36(04):345–349
Chapter 29
Effect of Vertically-Layered Vegetation
on the Velocity of Open Channel Flow
Xiaonan Tang, Yutong Guan, Jiaze Cao, Hanyi Wang, Nanyu Xiao,
and Suyang Zhang
Abstract Widely-exiting aquatic vegetation in rivers and canals affects the velocity
structure and hydrodynamics characteristics of flow, due to the additional drag and
the interaction of vegetation with the flow. The change in velocity will affect flow and
ecological processes, drawing close attention to flood risk management, river reha-
bilitation and aquatic biodiversity. Previous studies have mainly focused on the effect
of single-layer vegetation, which is far less common in natural rivers, where vegeta-
tion of various heights often co-exists. The effect of such multilayered vegetation on
the flow structure remains very limited understanding. In this paper, we performed a
novel experiment in a flume covered with the vegetation of three heights (10, 15 and
20 cm) in a linear pattern and under submerged conditions. Velocities at different
positions behind the vegetation were measured using a micro propeller velocimeter,
showing that the streamwise velocity was strongly influenced by the height and
position of vegetation. The measured results also showed significant differences in
velocity in the regions of directly behind vegetation and behind the vegetation gap.
Generally, velocity profiles deviate significantly from the logarithmic law of flow
velocity without vegetation. More specifically, the velocity is relatively small and
almost constant from the bed until 0.4 h (h: short vegetation height) and then increases
continuously until 1.5 h (middle vegetation height), and the velocity increases rapidly
to the water surface. There are two distinct reflections occurring at about 0.4 times
the short vegetation and at the middle vegetation height. This finding would help
practitioners understand the role of complex riparian vegetation in ecological and
riverine environment management.
Keywords Riparian vegetation · Velocity profile · Multilayer vegetation · Open

channel flow · Submerged vegetation
X. Tang (B) · Y. Guan · J. Cao · H. Wang · N. Xiao · S. Zhang

Civil Engineering, Xi’an Jiaotong-Liverpool University, Suzhou 215123, China
e-mail: Xiao.Tang@xjtlu.edu.cn
https://doi.org/10.1007/978-3-031-30233-6_29
320 X. Tang et al.
29.1 Introduction
In recent years, great interest have been drawn to studying the impact of vegetation
on hydraulic characteristics (Tang et al. 2021a), fluvial process (Rominger et al.
2010; Curran and Hession 2013) and biodiversity (Naiman et al. 1993; Rowiński
et al. 2018), which are essential parts of natural river ecosystems. The existence
of vegetation will reduce the velocity of flow due to additional drag generated by
vegetation, subsequently affecting the vertical and later distribution of velocity (Tang
et al. 2010; Tang and Ali 2013; Tang 2019a, 2019b; Singh et al. 2019), flow resistance
(Box et al. 2021; Shi et al. 2019), and turbulence structure (Huai et al. 2019; Anjum
and Ali 2022). These studies mainly focus on the flow with single-layered vegetation
using either experimental or analytical and numerical modelling methods.
In nature, many rivers and natural watercourses have various types of vegeta-
tion that differ in height and are under submerged or emergent flow conditions. For
example, plants (e.g. grasses and shrubs, small trees) are submerged in natural envi-
ronments during flooding. Due to the complex interaction of vegetation with flow
through upper less dense and low denser vegetated layers, studies have shown that
flow through doubly-layered vegetation is more complex than through single-layered
vegetation (Tang 2019b; Tang et al. 2018, 2021b; Rahimi et al. 2020a). Since the dense
difference of vegetation in vertical creates strong vortices in the mixing zone between
the vegetation of different heights, the vertical velocity distribution in channels with
multiple vegetation layers is affected. Tang et al. (Tang et al. 2022) experimen-
tally investigated the influence of partially-submerged three-layer vegetation on the
velocity distribution of open channel flows, showing different velocity profiles that
differ significantly from those in single-layered vegetation. The measured velocity
profiles in the two- or tree-layered vegetation under partially submerged conditions
showed clear turning points occurring around the top of the short or middle vegeta-
tion where the vegetation density changes suddenly (Tang et al. 2021a; Rahimi et al.
2020b).
Nevertheless, the study on partially flooded conditions by Tang et al. (Rahimi et al.
2020b) may not be appropriate for situations where riparian vegetation in lowland
or wetland rivers is inundated during flood flow. In addtion, Tang et al. (Tang et al.
2021c) concluded that higher submergence ratios had increased vertical velocity
gradients in the region with rapid changes in vegetation density. Due to the lack of
studies, there is a need to understand how multiple-layered vegetation interacts and
affects flow velocity distributions in submerged flow conditions.
In the present work, three heights of vegetation, mimicked by short, medium, and
tall dowels, were placed in a linear pattern at the bottom of an inclined rectangular
flume. The test was carried out at a flow depth of 26 cm with all dowels submerged.
Velocities at various locations along a cross-section were measured with a micro
propeller velocimeter. This study mainly focused on the velocity variation, which
is prerequired for studying channel bank or bed stabilization (Cotton et al. 2006),
habitat diversity (Naiman et al. 1993), and sediment transport (Armanini and Cavedon
2019).
29 Effect of Vertically-Layered Vegetation on the Velocity of Open Channel … 321
29.2 Experimental Setting
To represent the vertically multi-layered vegetation in the natural environment, the

vegetation was mimicked three different heights using plastic dowels at 10, 15 and
20 cm height. This experiment was undertaken in a 0.4 m (wide) × 0.5 m (high) x
20 m (long) titling flume at Xi’an Jiaotong Liverpool University (XJTLU), with a
4.3 m long vegetated section which is 8.4 m away from the entrance of the flume.
The flume was set as a bed slope of 0.003 (Tang et al. 2021b). Figure 29.1 shows
the schematic view of the test channel. The diameter of all dowels is 6.35 mm. The
dowels were arranged in a linear pattern, as shown in Fig. 29.2. Each row was set in
a staggered manner from short and tall or middle dowels. The distance between two
adjacent dowels was 31.75 mm.
Taking into account the almost symmetrical distribution of dowels, only half the
channel cross-section was measured in the area behind the row of the short and middle
vegetation, as indicated as 12 positions by the symbol cross (x) in Fig. 29.2. Points
labelled with odd numbers were directly behind short or middle dowels, whereas
even-numbered points were behind the gaps in the dowels. At each position, 23
points above the bed were measured with a micro propeller velocimeter to obtain the
vertical velocity distribution. For velocity measurements, 20 s sampling time was set
twice to maintain the accuracy of velocity. With the channel discharge of 27.15 l/s,
a flow depth of 26 cm was set; thereby, all short, middle, and tall dowels were fully
immersed.
Fig. 29.1 The schematized test flume with vegetation section

322 X. Tang et al.
Fig. 29.2 The layout of vegetation array and measurement locations in the downstream zone
29.3.1 Vertical Velocity Distribution Directly Behind

Vegetation
To reveal the impact of different-height vegetation, the vertical velocity profiles

directly behind the vegetation are compared in Fig. 29.3, where z is the vertical
distance above the bottom, h is the height of the short vegetation, u is the stream-
wise velocity, u* is the shear velocity. The notations are the same in all the subse-
quent figures. Based on the vegetation pattern, the positions are divided into two
groups. Group 1 (position 1, 5, 9) is directly behind short (10 cm) after tall vege-
tation (20 cm), whereas Group 2 (position 3, 7, 11) is directly behind middle (15
cm) after short vegetation (10 cm).
As can be seen in Fig. 29.3, the velocity in each group has a similar profile, but
two groups show a clear difference in velocity profile. For Group 1, the velocity is
relatively small and nearly constant from bed to 0.4 z/h, then slowly increases to 1 z/h
(i.e. the top of short vegetation). In layer 2 (between the upper edge of short and middle
vegetation), the velocity remains constant, which is similar to the finding in Tang
et al. 2021a; Rahimi et al. 2020b) for the flow with two-layer vegetation. The velocity
above the middle vegetation (i.e. layers 3 and 4) continuously increases towards the
water surface relatively quickly. For Group 2, the main difference in velocity between
the two groups is in layer 2, where the velocity increase in Group 2 is much faster
than in Group 1. Such a velocity difference indicates that the configuration of middle-
after-short vegetation (Group 2) has a smaller resistance to the flow. This result is
due to the front middle vegetation in Group 2 having a lesser shedding (blocking)
Fig. 29.3 Velocity profiles directly behind vegetation (P denotes the position)
effect on velocity. Above the top of the middle vegetation, the velocity of Groups 1
and 2 increases steadily up to the free water surface.
Further examination of the velocity profiles in each group shows that the velocity
increases as the position gets farther from the wall (for example, P1 versus P5 or
P6 in Group 1, P3 versus P7 or P9 in Group 2), which indicates the effect of wall
boundary on the velocity since the impact far from the wall is getting diminishing.
In addition, for Groups 1 and 2, the velocity at the depth 1.5z/h is about 40–
50% of the water surface velocity, showing that the three-layer vegetation creates
significant resistance to flow, decreasing velocity from the river bed to the top of the
middle vegetation. Compared to Group 2, Group 1 shows a lower velocity in layer 2,
suggesting that the configuration of short-after-tall vegetation has a larger resistance
than that of middle-after-short vegetation. However, the velocity difference in the
upper layer of tall vegetation becomes small. A possible reason is the low density of
vegetation within the layer despite the fast flow near the water surface. This result
implies that the three-layer vegetation has a limited influence on the flow velocity
near the upper layer of tall vegetation, regardless of where the position is.
29.3.2 Vertical Velocity Distribution Directly Behind

Vegetation Gap
To better understand the lateral changes in the vertical velocity distribution at different
positions behind vegetation gaps (P2, 4, 6, 8, 10, 12), the positions are divided into
324 X. Tang et al.
two groups. Group 3 (position 2, 6, 10) is at the gap behind and between the tall-short
and short-middle vegetation, while Group 4 (position 4, 8, 12) is at the gap behind
and between the short-middle and tall-short vegetation.
Based on the vertical velocity distributions of different positions within Group 3
(see Fig. 29.4), there exit distinct velocity profiles in different layers: The velocity
profiles have a similar tendency in layer 1, i.e. the velocity varies small vertically
in the lower layer close to the bed (from the bed to 0.4 z/h) and then increases
slowly to the top of the short vegetation at z/h = 1. Velocity is almost the same
in the upper layer (layers 3 & 4) from the top of middle vegetation to the water
surface, where velocities steadily increase with water depth. However, the velocity
increases differently, mainly in layer 2 (between short and middle vegetation), where
the velocity increases faster at P6 than at P2 and P10, which are almost the same.
This result indicates the retarding effect of the boundary, such as the effect of the
sidewall on P2 and the vegetation pattern of the other side (like a type of wall) on
P10.
As can be seen from the velocity distribution for Group 4 (also see Fig. 29.4), the
overall profiles are similar to those of Group 2, except in layer 2, where the velocities
are obviously influenced by the sidewall boundary. In the lower layer (i.e. layers 1 and
2), the velocity becomes smaller the further away from the sidewall, indicating that
the adjacent vegetation near the sidewall has relatively small resistance to the flow.
With increasing depth, the deceleration effect of the sidewall decreases, resulting in
relatively high velocity in the upper layer close to the water surface (layers 3 & 4),
such as at P12 versus P4 or P8.
Fig. 29.4 Velocity profiles directly behind vegetation gaps

29.3.3 Comparison of Averaged Velocities at Some Typical

Positions
In order to show the overall change in mean velocity at some typical locations, this
section aims to calculate the averaged velocity profiles of some typical locations that
represent the combined effects of a group of vegetation on velocity. The results are
compared in Fig. 29.5. BST denotes the averaged velocity of P1, 5 and 9 (directly
behind the shor-after-tall vegetation). BMS represent the averaged velocities of P3,
P7 and P11 (directly behind the middle-after-short vegetation). SM describes the
averaged velocity at P2, P4, P6, P8, and P10 (directly behind the gap between short
and middle vegetation), as indicated in Fig. 29.2.
Figure 29.5 demonstrates clear differences in the mean velocity profile at some
typical locations (BST, BMS and SM): The overall mean velocity profile of BMS
and SM is of ‘ ’ type, but the profile of BST has a significant reflection point at
1.5z/h, showing the large shedding effect of upstream tall vegetation on the velocity
in the lower layer. Further details are shown as follows:
In the lower layer (layer 1 with z/h < 1), the velocities of BST, BMS and SM
are almost the same, showing that they are are nearly constant from bed to about
0.4 z/h, followed by a steady increase in velocity. This result indicates that upstream
tall vegetation has a much larger impact on the velocity reduction than the middle
vegetation (see BMS and BST in the figure, respectively). However, the velocities
of the BST and SM are close, suggesting that the tall vegetation far upstream has a
Fig. 29.5 Velocity distribution averaged at some typical positions

326 X. Tang et al.
limited impact on the velocity at the far downstream (e.g. BST). In other words, the
velocity in this region is less influenced by the tall vegetation far upstream, thereby
showing a similar velocity between BST and SM.
In the middle layer (z/h = 1 − 1.5), the velocities of SM and BMS increase
rapidly up to 1.25 z/h where the velocity has a reflection, and then they continue to
increase but at a relatively small rate. However, the velocity of BST shows a different
variation, reflecting at z/h = 1 and increasing very slowly to 1.5 z/h (the top of the
middle vegetation). In general, the velocity of BST is lower than those of BMS and
SM in layer 2, indicating that the denser (BST) the vegetation, the slower the velocity.
In the upper layer (layers 3 and 4), the velocities of all three groups have a clear
reflection at the top of the middle vegetation (i.e. z/h = 1.5) and then increase rapidly
towards the water surface. As expected in this layer, the additional resistance caused
by vegetation is limited and has little impact at this depth where only tall vegetation
is present (i.e. scattered tall vegetation). It is noted that the velocity of BST is slightly
higher, which may be due to the edge effect of tall vegetation.
29.3.4 Layer-Average Velocity
Layer-averaged velocities can be computed based on the measured vertical velocity

distribution. The layer-averaged velocity (V ) at each layer is given in Fig. 29.6, where
U denotes the cross-sectional mean velocity.
Figure 29.6 shows that the layer-averaged velocity increased with increasing flow
depth, indicating that the highest velocity was found in the upper layer (layer 4) while
the lowest velocity was near the bed (layer 1). This result is to be expected since
the averaged velocity of each layer is directly related to the density of vegetation in
that layer. Layer 1 has the highest vegetation density, resulting in the lowest velocity.
Fig. 29.6 Velocity (V ) of each layer for the half channel

Layer 4, which is above the tall vegetation, behaves like a free-flowing layer and is
not directly influenced by any height vegetation, resulting in the maximum velocity.
29.4 Conclusion
Based on the measured vertical velocity distribution at different positions in a channel

covered with vegetation of three heights under fully submerged conditions, the overall
velocity profile has shown significantly different velocity profiles depending on the
positions behind the vegetation and between the gap. The streamwise velocity profile
generally shows two reflections at the tops of short and middle vegetation. Flow veloc-
ities were relatively small and almost constant near the channel bed up to 0.4 z/h,
and then slowly increased towards the top of the short vegetation (lower layer). The
velocities are also similar in the upper layer (above the middle vegetation), where the
velocity increases rapidly towards the water surface. However, the velocity increase
in the middle layer between the short and middle vegetation has a different rate,
depending on the positions, where the velocity increases much more slowly at BST
(behind the short-after-tall vegetation) than at BSM (behind the middle-after-short
vegetation) or BS (behind the gap between short and middle vegetation). In addition,
the layer-averaged velocity is decreased with increasing density of vegetation. The
result from this study suggests that the multilayered vegetation would have different
effects on momentum exchange between different layers, resulting in diverse biodi-
versity or pollutant transport vertically and laterally. Further experiments at other
depths would improve finding and understanding of the vertical interaction of layered
vegetation and flow.
Acknowledgements The author acknowledge the support by XJTLU via the fund (RDF-16-02-02,
REF-20-02-03, KSF-E-17, and PGRS2012007) and by the NSFC of China (11772270).
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vegetation in open channel flows. J Hydrol Eng 25(2):04019064
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coping with river management challenges: a brief review. Ecohydrol Hydrobiol 18(4):345–354
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stream hydrodynamics. J Hydr Eng 136:994–1002
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Chapter 30
Study on the Mechanism of Pore
Structure Change After Flocculation
of Very High Water Content Dredging
Slurry
Chunyuan Zhang, Jingyu Xie, Xingsai Dang, Zhao Hong, Kui Yang,
and Yu Liu
Abstract When using cationic polyacrylamide (CPAM) to flocculate dredged

sludge with extremely high water content, the pore structure change mechanism
of the flocculated slurry cannot be accurately judged only by the amount of super-
natant liquid in the particle gradation test and flocculation test. Therefore, this article
first carried out 6 groups of cationic polyacrylamide (CPAM) flocculation experi-
ments with different dosages, and obtained the fastest flocculation speed when the
dosage was 0.4‰ and the amount of clear liquid precipitated was relatively large.
The main parameters of the dredged mud before and after flocculation were analyzed
by adding mercury intrusion test to the sediment of CPAM-0.4 group, in order to
clarify the change mechanism of the pore structure of the mud in the flocculation
test. The results show that the volume of pores with a pore diameter in the range of
0.1–10 µm increases, while the volume of pores with pore diameters in other ranges
decreases; the skeleton structure inside the soil particles is more simplified, while
the pore structure is more complex and irregular.
Keywords Mercury intrusion test · Mud · Flocculation · Pore structure · Pore

volum
C. Zhang · J. Xie · X. Dang · Z. Hong

Wuxi City Key Construction Project Management Center, Wuxi, China
K. Yang
China Communications Construction Co., Ltd, Nanjing 211100, China
Y. Liu (B)
JSTI Group, Nanjing 210019, China
https://doi.org/10.1007/978-3-031-30233-6_30
330 C. Zhang et al.
30.1 Introduction
China is a vast country, and every year a large amount of silt is generated during
the dredging of lakes and rivers. According to the relevant data, the dredged silt
volume in the Pearl River Delta alone is 80 million cubic metres per year, and
the dredged silt volume in Taihu Lake is 35 million cubic metres per year (Liu
et al. 2015). For the treatment of dredged mud, scholars at home and abroad have
done a lot of research mainly from two directions, flocculation and dewatering and
chemical curing. The flocculation treatment of dredged mud is mainly studied from
two aspects: macroscopic effect and microscopic mechanism.
In the macroscopic aspect, Liu Zhifeng et al. (2015) selected five different floc-
culants, and carried out a flocculation test study. The results showed that APAM was
more effective than other flocculants and was able to separate 250 mL of supernatant
from 500 mL of slurry in a very short period of time. Liang Zhishui et al. (2016) Four
inorganic flocculants, PAC, PFS, PAFC and PAFSI, and three organic flocculants,
CPAM, APAM and NPAM, were selected as test materials. The results showed that,
in terms of the effect of mud-water separation, the supernatant volume obtained by
inorganic flocculants was significantly less than that of organic flocculants, while the
effect of the type of organic flocculants on the supernatant volume was smaller, but
the mud treated by APAM was more viscous, with larger floc particles and stronger
shear resistance, so its flocculation effect was the best. Zhan Yuzhu et al. (2013)
conducted a flocculation test study on environmentally friendly dredged mud. The
results showed that for polyacrylamide flocculants, the volume of clear liquor was
not positively correlated with the amount of flocculant. This is because flocculation
is a process in which the non-steady state and the steady state are transformed into
each other, and only at a specific flocculant dosage can the colloidal particles reach
a steady state.
At the microscopic level, there are a large number of fine suspended particles
in the slurry. After the addition of flocculant, the fine particles in the mud will
be subjected to compressive double layer effect, adsorption electric neutralization,
adsorption bridge effect and net trapping effect brought by the flocculant particles,
which will gradually gather into larger particles and form large flocs, which will
be deposited to the bottom of the mud under the action of self-weight to achieve
mud-water separation (Feng Huajun et al. 2008). According to the SEM test results,
without the addition of flocculants, there are a large number of pores between the
particles of the mud, so in addition to the adsorbed water on the upper surface of
the mud particles, there is also a large amount of interstitial water in these pores
(Xin 2017). Zhang Wei et al. (2018) suggest that after the addition of flocculants,
tiny spherical and flaky objects appear in the mud, which are alum-like substances
formed by the flocculant flocs, which adsorb onto the silt particles and even enter the
pores of the silt directly, squeezing out the interstitial water from the silt, reducing the
water content of the silt and reducing the repulsive force between the silt particles.
Current research is limited to the effects of flocculant type, dosing or environ-
mental factors on the flocculation effect at the macro level, while at the micro level
30 Study on the Mechanism of Pore Structure Change After Flocculation … 331
it is more concerned with the mechanism of flocculation or the mechanical reaction

between soil particles. The pore structure of the silt before and after flocculation is
still lacking. In this paper, based on obtaining the optimal flocculant and its incorpo-
ration, for this group of sludge and blank control group, mercury-pressure tests were
carried out to compare the mechanism of change of their pore structure before and
after flocculation according to the tests.
30.2 Indoor Experimental Design
30.2.1 Test Soil
The in-situ dredged mud selected for this paper was derived from the dredged silt
of Lake Taihu in YMA02 Zhushan Lake line area of the Mashan to Yixing Zhoutie
section of Provincial Road 341, which had an initial moisture content of 316.0%, a
liquid limit of 43.8% and a plastic limit of 23.3%. Sixteen sets of polyacrylamide
(PAM) flocculation tests with different dosing levels were conducted in the previous
period, as shown in Table 30.1 Flocculation test protocol. According to the results
of the tests, cationic polyacrylamide (CPAM) with a dose of 0.4‰ was the fastest
flocculation and the clear liquor precipitation was more, so this group was tested
with mercury compression.
30.2.2 Mercury Piezo Test
The mercury piezometric tests will be carried out on blank slurries and a represen-
tative group of flocculated bottom mud from the flocculation tests, for a total of 2
tests. The instrument used for the mercury piezometric tests is the AutoPore Iv 9510,
a high performance fully automatic mercury piezometer. The samples are usually
dried prior to the mercury piezo test. For soft soils with high water content, the more
suitable methods are displacement drying and freeze-drying (Liu et al. 2011), In
this paper, due to the limitations of the test conditions, the drying method was used
and its test results may be inaccurate in comparison (Zhang et al. 2015). Before the
test, a certain amount of CPAM-0.4 group flocculation test bottom slurry and blank
slurry were taken, put into the oven until the constant weight and then removed and
sealed, after weighing, vacuuming, mercury filling, mercury feeding and mercury
withdrawal steps to obtain the test results. The default pressure range for this test is
0.5 to 33,000 psi.
332 C. Zhang et al.
Table 30.1 Flocculation test protocol

No Types of Flocculant molecular Flocculant admixture (‰, mass
flocculants weight (million) fraction relative to slurry)
CPAM-0 / / 0
CPAM-0.2 Cationic 1200 0.2
CPAM-0.4 polyacrylamide 0.4
(CPAM)
CPAM-0.6 0.6
CPAM-0.8 0.8
CPAM-1.0 1.0
APAM-0.2 Anionic 1200 0.2
APAM-0.4 polyacrylamide 0.4
(APAM)
APAM-0.6 0.6
APAM-0.8 0.8
APAM-1.0 1.0
NPAM-0.2 Non-ionic 1200 0.2
NPAM-0.4 polyacrylamide 0.4
(NPAM)
NPAM-0.6 0.6
NPAM-0.8 0.8
NPAM-1.0 1.0
Note CPAM-0 is a blank control group
30.3 Analysis of Test Results
The main pore parameters of the blank mud and the CPAM-0.4 group of bottom mud
obtained from the mercury pressure test are listed in Table 30.2. As can be seen from
the table, at a pressure of 33,000 psi, both the blank slurry specimens and the CPAM-
0.4 group substrate specimens had some amount of mercury intruded into the pore
space of the specimens. The total amount of mercury intrusion per unit mass was
slightly higher in the CPAM-0.4 substrate compared to the blank slurry, indicating a
slight increase in the total volume of internal pores compared to the pre-flocculation
period. At the same time, the porosity of the CPAM-0.4 substrate was slightly greater
than that of the blank slurry, while the bulk density and apparent skeletal density (i.e.
apparent density) were both less than the latter. Combined with the results obtained
from the particle analysis tests, after the flocculant was added to the mud, the very
small particles gradually aggregated under the action of the polymer and formed
larger flocs, so that there were no longer enough small particles in the mud to fill
the pores between the large particles, and therefore the bulk density and apparent
bone density of the mud decreased after flocculation. On the other hand, the larger
flocs precipitate under their own weight, producing a similar “compaction” effect,
squeezing part of the original pore space, so that the porosity of the slurry increases
only slightly before and after flocculation.
Table 30.2 Comparison of main pore parameters between CPAM-0.4 group and blank slurry
Compare items Blank control slurry CPAM-0.4 group substrate
Sample mass (g) 1.0810 0.8587
Total mercury intrusion at 33,000 psi (mL/g) 0.2421 0.2629
Total pore area at 33,000 psi (m2 /g) 17.4120 15.8430
Average pore size (calculated at d = 4 V/A) 55.6200 66.3900
(nm)
Bulk density (g/mL) 1.5717 1.4852
Apparent bone density (g/mL) 2.5372 2.4368
Porosity (%) 38.0538 39.0516
Threshold pressure (psi) 0.7000 0.8000
Feature length (nm) 257,880.1000 224,852.3700
Curvature factor 1.8000 1.7890
Curvature 3.4724 3.5099
Penetration fractal dimension 2.8550 2.8880
Bone fractal dimension 2.6680 2.4430
In terms of the structure of the pores, the characteristic length of the bottom mud
in the CPAM-0.4 group was reduced compared to the blank mud, indicating a more
significant change in the structure of the pores. The total pore area (i.e. specific
surface area), curvature coefficient and bone fractal dimension of the flocculated
mud at 33,000 psi decreased compared to those before flocculation, while the average
pore size, curvature and permeability fractal dimension increased, indicating that the
internal skeleton of the flocculated mud was more simplified and anisotropy was
reduced, while the complexity of the pores, irregularity and length of connecting
channels increased and anisotropy This is due to the formation of larger flocs within
the slurry during flocculation, which only precipitate and accumulate under the action
of their own weight, and the lack of sufficient fine particles to fill them, making the
pore structure more disordered. The increase in threshold pressure after flocculation
indicates that it is more difficult for mercury to pass through the narrow internal
roaring channels than in the pre-flocculated mud, which also indicates that the pore
structure becomes more complex after flocculation.
Figure 30.1 shows the cumulative pore volume versus pressure curves (i.e., inlet
and outlet mercury curves) before and after flocculation of the dredged mud. In the
figure, the cumulative pore volume versus pressure for the blank mud is approxi-
mately linear, indicating that the distribution of internal pores is relatively uniform,
which is the result of the particles within the mud settling freely without the action of
flocculants to reach a steady state. The cumulative pore volume versus pressure curve
for the CPAM-0.4 group of bottom mud is "S" shaped, and the slope of the curve is
less than that of the blank mud at pressures less than 10 psia and greater than 120
psia, and in the pressure range of approximately 10–120 psia, the slope of the curve
is greater than that of the blank mud. The slope of the curve is greater than that of
334 C. Zhang et al.
Fig. 30.1 Curves of

cumulative pore volume and
pressure before and after
bentonite mud flocculation
the blank slurry in the pressure range of approximately 10–120 psia. This indicates
that the pore size distribution is more concentrated in the post-flocculation mud and
that at lower pressures it is more difficult for the mercury to enter the pores, while
at pressures up to about 10 psia the mercury enters the pores rapidly and remains
stable.
A similar conclusion can be drawn from Fig. 30.2 The slope of the curve for
the blank mud is greater than that for the CPAM-0.4 group of bottom mud for pore
diameters greater than approximately 28 µm and less than 1 µm, while the slope of
the curve for the pore diameter range of 1–28 µm is less than that for the CPAM-
0.4 group of bottom mud. According to Fig. 30.4, there is no obvious peak in the
pore size relationship between the percentage of mercury intrusion volume and total
intrusion volume in the blank mud, and the pore volume of each pore size is more
evenly distributed, with the volume of small and medium pore size pores accounting
for slightly more than that of large pore size pores. In contrast, in the CPAM-0.4
group of slurries, the percentage of mercury intrusion in the total intrusion volume
versus pore size curve showed a peak at approximately 4 µm pore size, and the pore
volume percentage for each pore size was no longer uniform. This also indicates that
the volume of larger pore sizes and the volume of smaller pore sizes as a percentage
of the total pore volume decreased in the mud after flocculation compared to the
pre-flocculation period, while the volume of medium pore sizes as a percentage of
the total pore volume increased.
Further, the pore volume distribution in the pore size range of the slurry before
and after flocculation was compiled as shown in Fig. 30.4. From the figure, it can be
seen that the pore volume in the particle size range of 0.001–0.1 µm, 10–100 µm and
above 100 µm accounted for a larger proportion of the total pore volume in the former
compared to the CPAM-0.4 group, while the pore volume in the particle size range
of 0.1–1 µm and 1–10 µ The pore volume in the particle size range of 0.1–1 µm and
1–10 µm is a larger proportion of the total pore volume. In contrast, from the point
Fig. 30.2 The pore size

distribution curve of
bentonite mud before and
after flocculation
of view of powder and viscous particles, the pore volume of the former is greater
in the range of viscous particle sizes, and the pore volume of the latter is greater in
the range of powder particle sizes. From the variation of pore volume distribution,
it can be seen that under the action of flocculant, there are two processes in the mud
simultaneously the aggregation of particles and the discharge of clear liquid.
At first, the particle size of the mud particles is small, their arrangement is also
more compact, and the pore diameter between the particles is also small, mostly
concentrated between 0.001–0.1 µm, on the other hand, there is a large amount of
free water in the mud, they occupy the larger pores, their diameter is mostly above
10 µm.
After the addition of flocculant, due to the influence of the adsorption electro-
neutralisation effect and the adsorption bridging effect brought about by the floccu-
lant polymer, the smaller slurry particles begin to gather and gradually form larger
particles, the spacing between the particles increases and the pores originally in the
range of 0.001–0.1 µm in diameter between them are partly transformed into pores
in the range of 0.1-10 µm in diameter. At the same time, as the particles gather, their
mass increases and the gravitational force on them increases, the particles begin to
sink and rearrange themselves, the original free water is thus squeezed and some of it
is discharged on top of the mud particles during the squeezing process, this part of the
free water becomes the supernatant later, and the volume of the pores they originally
occupied becomes smaller, which makes part of the pores with a diameter of 10 µm
The pores are transformed into pores with a diameter in the range of 0.1–10 µm.
Figure 30.5 shows a schematic diagram of the change in pore structure before
and after flocculation of the mud, from which it can also be seen that the change in
pore structure is the result of the combined effect of both the aggregation of mud
particles and the discharge of free water, which also directly leads to a decrease in
pore volume after flocculation for pore sizes in the range 0.001–0.1 and above 10 µm,
and an increase in pore volume after flocculation for pore sizes above 0.1–10 µm..
336 C. Zhang et al.
Fig. 30.3 The pore content

of a certain pore before and
after the flocculation of
bentonite mud
If the diameter of the pores is referred to as a criterion for differentiating between

sticky and powdery particles, then the volume of pores in the sticky particle size
range (<5 µm) decreases and the volume of pores in the powdery particle size range
(>5 µm) increases after flocculation.
In Figs. 30.1, 30.2 and 30.3, none of the mercury ejection curves return to the
starting point of the mercury intake curves. This is because some of the loose particles
are compacted under pressurised conditions, indicating that a significant proportion
of the mercury remains within the pores of the mud, which have a more complex
reticulation structure, as can also be seen visually in Fig. 30.5, where the connectivity
of the pores is more complex after flocculation.
Fig. 30.4 Pore volume distribution of bentonite mud before and after flocculation
Fig. 30.5 Schematic diagram of pore changes of bentonite mud before and after flocculation
338 C. Zhang et al.
30.4 Conclusion
This paper presents an in-depth analysis of the mechanism of change in the flocculated
pore structure of dredged mud through multiple sets of tests, supported by a large
amount of experimental data, and the following conclusions.
(1) The change in pore structure after flocculation of dredged mud is the result of
the combined effect of the aggregation of mud particles and the discharge of
free water.
(2) Compared to the dredged mud before flocculation, the total pore volume and
porosity of the bottom mud after flocculation slightly increased, while the bulk
density and apparent skeletal density slightly decreased, due to the fact that after
the flocculant was added to the mud, the very small particles in the mud gradually
gathered under the action of the flocculant molecules, forming larger flocs, and
there were no longer enough small particles in the mud to fill the pores between
the large particles. As a result, the number of smaller pore sizes in the mud
is reduced. The number of smaller pore sizes in the mud is therefore reduced.
In turn, there is a process of clearing the mud, which increases the number of
larger pore sizes. The result is that the volume of pores in the 0.1–10 µm range
increases, while the volume of pores in the other ranges decreases.
(3) Compared with the dredged mud before flocculation, the pore structure of the
flocculated bottom mud has changed significantly, with the total pore area,
curvature coefficient and bone fractal dimension decreasing compared to those
before flocculation, while the average pore size, curvature and permeability
fractal dimension have increased, indicating that the internal skeletal structure
is more simplified, while the pore structure is more complex and irregular.
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on soil samples for mercury-pressure testing of heavy plastic bentonite [J]. Chinese Society of
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433
Chapter 31
Study on Soil Pressure Distribution Law
Based on Model Test of Revetment
of Wave Sheet Pile
Yuedong Wu, Fan Yang, and Ziyu Zhao
Abstract The wave sheet pile has advantages in meeting the structural function,
safety and environmental protection of deep support engineering, so it has a good
application prospect in the field of waterway revetment. Through the indoor scaled
model test of wave sheet pile, the author studied the distribution and variation char-
acteristics of soil pressure of wave sheet pile under different excavation and loading
conditions.The research shows that compared with the traditional rectangular pile,
the lateral soil pressure on the excavation side of the wave sheet pile and the lateral
soil pressure at the peak of the filling side are about 0.6 to 0.8 times that of the rectan-
gular pile during the excavation stage. At the same time, the lateral soil pressure at the
side trough of the fill is about 1 to 1.2 times that of the rectangular sheet pile.During
the loading stage, the lateral earth pressure coefficient of the wave sheet pile at the
excavation side is smaller and the horizontal displacement at the bottom of the wave
pile is smaller and more stable.The soil pressure difference of wave sheet pile at
peak and trough is due to the influence of unloading soil arch.Due to the stiffness
difference between the sheet pile and the landfill, the soil deformation at the peak is
relatively large when the sheet pile is displaced.When the sheet pile is displaced, the
soil is easily squeezed into the trough because of the influence of the semi-circular
section of the wave sheet pile. The soil at the trough is subjected to the friction of
the soil on the adjacent sides, resulting in the formation of a stress soil arch and the
transfer of part of the earth pressure at the crest to the trough.
Keywords Wave sheet pile · Soil pressure · Peak · Trough · Soil arching
Y. Wu · F. Yang (B) · Z. Zhao

Key Laboratory of Geotechnical Mechanics and Dam Engineering, Ministry of Education, Hohai
University, Nanjing 210098, China
Institute of Geotechnical Engineering, Hohai University, Nanjing 210098, China
https://doi.org/10.1007/978-3-031-30233-6_31
342 Y. Wu et al.
31.1 Introduction
Sheet pile is widely used in revetment, foundation pit, wharf and other projects
because of its advantages of good retaining, anti-seepage and anti-scouring (Yang
2015; Day 1999; King 1995; Prastings et al. 2016; Yueping 2001).As a new type
of prestressed concrete sheet pile member, the cross-sectional shape of a single
pile of wave sheet piles is a half-ring shape.Compared with the traditional vertical
revetment forms such as gravity slurry masonry retaining wall and steel–concrete
structure retaining wall, the special section form of wave sheet pile improves the
bending stiffness of the section and the area of pile-soil contact, which makes it have
good stability.
Since the wave pile supporting structure has only begun to be popularized and
applied in recent years, there are few research results on its mechanical properties and
pile-soil effect.However, its similar structural form to sheet piles such as U-shaped
sheet piles makes it possible to draw on relevant research results when studying
it.Based on the field test(Liu 2014), it is pointed out that the compression zone of
the bottom surface of the U shaped sheet pile is larger than that of the top surface
of the sheet pile due to the earth pressure, and the top surface of the sheet pile is the
main bearing surface of the earth pressure. The side of the U shaped sheet pile is
not only affected by the soil, but also by the structural stress caused by the structural
deformation of the sheet pile itself. By studying the distribution of soil pressure on
U-shaped piles, Liu Fang(Fang et al. 2012) summarized the distribution law of soil
pressure behind piles and proved the existence of soil arching effect. Through field
monitoring, Tan(Tan and Paikowsky 2008) proved that the lateral earth pressure of U-
shaped sheet pile is different at concave and convex, and the reason for the difference
is related to the uneven displacement of soil. Tong(Tong et al. 2014) used centrifugal
model test to compare the distribution of soil pressure behind rectangular sheet
pile and U-shaped sheet pile, and further proved the distribution difference of soil
pressure behind U-shaped sheet pile in horizontal direction. Scholars have made some
achievements in the study of the shape of soil arching trace between piles, among
which the representative ones are catenary shape, parabolic shape and semi-circular
arc shape(Handy 1985; Yang and Zhang, 2014; Paik and Salgado 2003). However, the
above research is mainly aimed at the qualitative analysis of the formation mechanism
of the horizontal soil pressure difference of U-shaped sheet piles. At present, the
related research on the pile-soil interaction of wave sheet piles is still in the blank
stage. However, the above research is mainly aimed at the qualitative analysis of
the mechanism of the soil pressure difference in the horizontal direction of the U-
shaped sheet pile. At present, the research on pile—soil interaction of wave sheet
pile is still blank. The effect of the unique semi-annular section of the wave sheet pile
on the earth pressure distribution behind the pile is unknown. Through the indoor
scaled model test of wave sheet pile, the author studied the distribution and variation
characteristics of soil pressure of wave sheet pile under different excavation and
loading conditions.
31 Study on Soil Pressure Distribution Law Based on Model Test … 343
In this paper, the soil pressure distribution law of wave piles will be studied by
comparing with rectangular piles and studying the stress conditions in sand and silty
clay respectively, in order to provide theoretical basis for the design and engineering
application of wave piles.
31.2 Test Equipment and Specimens
The model test system is mainly composed of three parts: test area (model groove),
loading system and measurement system.
31.2.1 Composition of the Model Groove
Model groove: The model groove frame used in this test is made of organic glass,
size: 1000 mm (length) × 500 mm (width) × 1200 mm (height). In order to observe
the deformation of the soil, the upper part of the model groove has no cover, which
is convenient for the preparation and maintenance of the test soil. The model slot
diagram is shown in Fig. 31.1.
Fig. 31.1 Picture of model groove

344 Y. Wu et al.
Table 31.1 Parameters of soil for test

Parameter Water content Gravity Cohesion Angle of internal friction
(ω/%) (γ/kN·m−3 ) (cq /kPa) (ϕq /°)
Dry fine sand 0.0 17.9 0.0 27.4
Silty clay 16.3 20.2 20.1 18.6
31.2.2 Selection of Soil
The soil used in the test is divided into sandy soil and silty clay. The physical and
mechanical parameters of the test soil are shown in Table 31.1.
31.2.3 Model of Pile
Due to the small section size of the model sheet pile, it is difficult to accurately
control the structural size and molding quality by using reinforced concrete.
Considering that the reinforced concrete material and the organic glass material
can be approximately regarded as elastic materials, and the organic glass is easy to
be processed into the special section shape of the wave sheet pile, the organic glass
material can be used instead of the reinforced concrete material to make the model
member of the sheet pile revetment. At the same time, prestress is applied to sheet
piles by stretching with steel strands.
In order to compare the difference between the corrugated section sheet pile and
the conventional section form such as the rectangular section sheet pile, a set of
rectangular section sheet piles with the same cross-sectional area is set.
The rectangular sheet pile has a thickness of 12 mm and is made of the same
organic glass material to compare and analyze the effect of the sheet pile cross-
section shape on the stability of the revetment.In this test, one group of rectangular
sheet pile model and two groups of wave sheet pile model are set up. The geometric
dimensions and other parameters of sheet pile are shown in Tables 31.2, 31.3.
Table 31.2 The size design scheme of rectangular section sheet pile
Number of the model Length of section Thickness of pile Pile length Soil
(mm) (mm) (mm)
1 450 12 700 Sand
Table 31.3 The size design scheme of wave sheet pile

Number of the Outer diameter of Wall thickness Length of Pile length Soil
model section (mm) (mm) section (mm)
(mm)
2 80 8 450 700 Sand
3 80 8 450 700 silty clay
Fig. 31.2 Plane diagram of buried earth pressure box (unit: mm)
31.2.4 Arrangement of Measuring Points
Because the side of wave sheet pile is wave-shaped, we can define convex as peak
and concave as valley. Measuring points are arranged at peaks and troughs of fill
side and excavation side of sheet pile.Among them,PE is defined as the measuring
point at the peak of the excavation side of the wave sheet pile, TE is defined as the
measuring point at the trough of the excavation side of the wave sheet pile,PF is
defined as the measuring point at the peak of the filling side of the wave sheet pile,
TF is defined as the measuring point at the trough of the filling side of the wave sheet
pile.Because the side of the rectangular sheet pile is flat, only one measuring point
is arranged on the fill side and the excavation side.The detailed layout is shown in
Fig. 31.2.
31.2.5 Buried Position of Earth Pressure Box
Considering the symmetry of the wave sheet pile, this experiment only arranges the
earth pressure box on one side of the complete waveform.Measurement results of
earth pressure box reflect horizontal earth pressure of measuring point perpendicular
to surface.Sheet piles will be slightly inclined during the test, but the angle is relatively
small, so the impact on the error is also small.In the horizontal direction of the same
346 Y. Wu et al.
Fig. 31.3 Vertical layout of buried earth pressure box (unit: mm)
elevation, we buried the earth pressure box at the peak position and the trough position
respectively, and laid four layers on the fill side along the elevation direction, and laid
two layers on the excavation side. The distance between two adjacent earth pressure
boxes is 15 cm.The buried scheme is shown in Fig. 31.3.
31.3 Analysis of Experimental Results
Draw the soil pressure curve of the front and back of the pile under different condi-
tions with the change of excavation depth and loading size.Due to the limitation of
displacement range, the loading stops after reaching 60 kg in the test of rectangular
sheet pile.
31.3.1 Soil Pressure of Rectangular Pile
The soil pressure measuring points of rectangular piles are arranged four layers
in front of and behind the pile and each layer is 15 cm away. The soil pressure
measurement results are shown in Fig. 31.4.
Fig. 31.4 Test results of lateral earth pressure on rectangular sheet pile
Before excavation, the sheet pile is in an equilibrium state in the filling soil without
any displacement. At this time, both sides of the sheet pile are mainly subjected to
static earth pressure. Because the fill is sand, the static lateral pressure coefficient is
approximately determined by the effective internal friction angle ϕ of the fill: K0 =
1−sinϕ = 0.54.According to the test results, in the initial state, the lateral earth pres-
sure on both sides of the sheet pile is basically consistent with the theoretical calcu-
lation value of the static earth pressure, and increases linearly with the increase of the
filling depth. The measured value is slightly smaller than the theoretical calculation
value.
In the excavation stage, the sheet pile on the excavation side is mainly subjected
to passive earth pressure, and the lateral earth pressure value is smaller than the
Coulomb passive earth pressure value. The filling on the excavation side has not
yet reached the limit stable state.When excavating 30 cm, the lateral earth pressure
coefficient is 2.34 at 15 cm from the excavation face and 0.99 at 30 cm from the
excavation face.The lateral earth pressure coefficient at the bottom of the excavation
side of the sheet pile is smaller than that near the excavation face, which is consistent
with the displacement characteristics of the sheet pile. The displacement of the sheet
348 Y. Wu et al.
pile bottom is small, and the displacement near the excavation face is large. The
passive earth pressure is positively correlated with the displacement of the pile body,
so the lateral earth pressure coefficient at the bottom of the excavation side of the
sheet pile is smaller than that near the excavation face.On the filling side, the sheet
pile is mainly subjected to active earth pressure. The lateral earth pressure near the top
of the sheet pile is greater than the Coulomb active earth pressure value, reaching the
limit stable state. Below the excavation face, the lateral earth pressure on the fill side
is smaller than the Coulomb ‘s active earth pressure, indicating that the displacement
of sheet pile below the excavation face is small and has not yet reached the limit
stable state.When the excavation is 30 cm, the lateral earth pressure coefficient at
the buried depth of 30 cm is 0.36, and the lateral earth pressure coefficient at 60 cm
from the excavation surface is 0.52.It can be found that as the buried depth increases,
the displacement of the pile body decreases, and the active earth pressure coefficient
gradually increases. The active lateral earth pressure near the bottom of the sheet
pile is close to the static earth pressure value.
In the stage of loading, with the increase of loading, the displacement of sheet pile
is mainly the whole displacement of sheet pile.On the excavation side, because the
horizontal displacement of the sheet pile gradually decreases along the excavation
face, the lateral earth pressure coefficient at 15 cm from the excavation face is signif-
icantly larger than that at 30 cm from the excavation face.When the load is 60 kg, the
lateral earth pressure of the rectangular sheet pile at 15 cm from the excavation face
is greater than the Coulomb passive earth pressure value, the lateral earth pressure
coefficient is 3.47, and the filling reaches the limit stable state.On the fill side, the
lateral earth pressure of rectangular sheet pile is smaller than the Coulomb active
earth pressure. The lateral earth pressure coefficient is between 0.20 and 0.26, which
is smaller than the Coulomb active earth pressure coefficient of 0.34. When the pile
load is 60 kg, the whole sheet pile has a large displacement towards the excavation
side, reaching the ultimate stable state.
31.3.2 Soil Pressure of Wave Sheet Pile
31.3.2.1 In Sand Fill
The measurement results of lateral earth pressure of prestressed wave sheet pile in
the initial state of sand filling, excavation 30 cm and surcharge 60 kg are shown in
Figs. 31..5, 31.6, 31.7 respectively.
Before excavation, the wave sheet pile is in equilibrium in the filling soil. In the
initial state, the lateral earth pressure on both sides of the sheet pile is basically
consistent with the theoretical calculation value of the static earth pressure, which is
consistent with the rectangular sheet pile, and increases linearly with the increase of
the buried depth of the filling soil. The measured value is slightly smaller than the
theoretical calculation value.
Fig. 31.5 Distribution of earth pressure at initial state of prestressed wave sheet piles (sand)
During the excavation phase, when the sand fill was excavated for 30 cm, the test
results showed: (1) The lateral earth pressure of wave sheet pile is less than that of
rectangular sheet pile. This is related to the pile displacement at the completion of
excavation.When excavation is completed, the maximum displacement at the top of
the rectangular sheet pile is 4.5 mm and the wave sheet pile is 3.3 mm.Assuming that
the bottom of the pile is completely immobile and the pile body is not deformed and
the sheet pile rotates around the bottom of the pile, the horizontal displacement of the
wave pile below the excavation face is 0.73 times that of the rectangular sheet pile,
so the passive earth pressure coefficient is smaller than that of the rectangular sheet
pile.When the pile length is the same and the filling soil is sand, the passive earth
pressure at the peak of the wave pile at 15 cm and 30 cm below the excavation surface
is 0.79 times and 0.75 times that of the rectangular sheet pile, respectively.At the same
time, 15 cm below the excavation surface, the passive earth pressure at the valley of
the wave pile is 0.75 times that of the rectangular seet pile, and 0.60 times at 30 cm
below the excavation surface.It can be found that the lateral earth pressure at the
peak is larger than that at the trough at the same height of the excavation side. At the
same time, because the horizontal displacement of the sheet pile gradually decreases
350 Y. Wu et al.
Fig. 31.6 Distribution of earth pressure on prestressed wave sheet piles during excavation of 30 cm
(sand)
along the excavation surface, the lateral earth pressure coefficient at 15 cm from
the excavation surface is significantly larger than that at 30 cm from the excavation
surface.(2) The lateral earth pressure at the trough of wave sheet pile is greater than
that of rectangular sheet pile, but the lateral earth pressure at the peak of wave sheet
pile is slightly smaller than that of rectangular sheet pile.The active earth pressure
at the trough of the wave sheet pile 30 cm below the fill surface is 1.14 times that of
the rectangular sheet pile, and 1.04 times at 60 cm below the fill surface.At the same
time, the active earth pressure at the peak of the wave sheet pile at 30 cm and 60 cm
below the fill surface is 0.66 times and 0.77 times that of the rectangular sheet pile,
respectively. The active earth pressure at the trough of the wave sheet pile at 60 cm
below the filling surface is 1.35 times that of the wave peak.
From the above results, it can be seen that even at the same height, there are some
differences in the lateral earth pressure values at the peak and trough of the wave
sheet pile. Combined with the relevant literature research results, the mechanism of
this difference is shown below.When the sheet pile moves far away from the fill (as
shown in Fig. 31.8), due to the stiffness difference between the sheet pile and the fill,
Fig. 31.7 Distribution of earth pressure on prestressed wave sheet piles under loading of 60 kg
(sand)
the soil (zone 2) at the peak of the sheet pile fill has a large deformation.Affected
by the semi-circular cross-sectional shape, the soil here is easy to squeeze out to the
trough, and the direction of the relative velocity is pointing to the sheet pile, so it is
affected by the friction f of the soil in the adjacent area 1 (the direction is far away
from the sheet pile), resulting in a decrease in lateral earth pressure behind the pile in
area 2.On the contrary, the soil at the trough of the sheet pile fill (zone 1) is subjected
to the friction force of the soil on both sides of the adjacent side pointing to the
sheet pile, resulting in the formation of a stress soil arch, so that the earth pressure
at the peak is partially transferred to the trough and the earth pressure at the trough
increases.Therefore, when the sheet pile is far away from the filling movement, the
soil pressure at the trough of the sheet pile filling side is greater than the peak, that
is, pa1 > pa2. On the contrary, when the sheet pile moves towards the filling soil (as
shown in Fig. 31.9), the soil pressure behind the pile at the trough is less than that
at the peak, that is, pa1 < pa2.The analysis shows that the earth pressure at the peak
and trough of the filling side of the wave sheet pile depends on the displacement of
the sheet pile relative to the filling.
352 Y. Wu et al.
Fig. 31.8 When the sheet pile moves away from the soil
Fig. 31.9 When the sheet pile moves towards the soil
In the loading stage, the distribution law of lateral earth pressure of prestressed
wave pile is similar to that of prestressed rectangular sheet pile:(1) On the excavation
side, because the horizontal displacement of the sheet pile gradually decreases along
the excavation surface, the lateral earth pressure coefficient at 15 cm from the exca-
vation surface is greater than that at 30 cm from the excavation surface.When the
loading is 60 kg, the lateral earth pressure at the crest and trough of the wave pile at
15 cm from the excavation face is close to the Coulomb passive earth pressure. The
lateral earth pressure coefficients are 2.64 and 2.38 respectively, which are smaller
than those of the prestressed rectangular sheet pile, and the filling is close to the
limit stable state.The lateral earth pressure at the crest and trough of the wave pile
at 30 cm from the excavation face is much smaller than that of the Coulomb passive
earth pressure. The lateral earth pressure coefficients are 0.90 and 0.67, respectively,
which are smaller than those of the prestressed rectangular sheet pile. It also reflects
that the horizontal displacement at the bottom of the wave pile sheet pile is small.At
the same time, the passive earth pressure at the peak of wave sheet pile is larger
than that at the trough.The passive earth pressure at the peak 15 cm away from the
excavation face is 1.11 times that at the trough, and the passive earth pressure at the
peak 30 cm away from the excavation face is 1.34 times that at the trough.(2) On the
filling side, the active earth pressure values at the peak and trough of the wave pile
are smaller than the Coulomb active earth pressure value. The lateral earth pressure
coefficients at the peak and trough at the depth of 60 cm below the fill surface are 0.22
and 0.32 respectively, which are smaller than the Coulomb ‘s active earth pressure
coefficient.
It can be found that pile displacement and active earth pressure coefficient decrease
with the increase of buried depth. At the same time, the lateral earth pressure at the
trough is greater than that at the peak, and the former is between 1.16 and 1.51 of the
latter. With the increase of surcharge load, under the action of lateral earth pressure,
the filling behind the pile has a tendency to slip towards the excavation side. Because
there is a certain relative displacement between the filling at the trough and the peak,
the unloading soil arch is formed, thus reducing the earth pressure at the peak position
between adjacent troughs.
31.3.2.2 In Silty Clay
The measured results of lateral earth pressure of prestressed wave pile in the initial
state of silty clay, excavation 30 cm and surcharge 60 kg are shown in Figs. 31.10,
31.11, 31.12 respectively.
Fig. 31.10 Distribution of earth pressure at initial state of prestressed wave sheet piles (silty clay)
354 Y. Wu et al.
Fig. 31.11 Distribution of earth pressure on prestressed wave sheet piles during excavation of
30 cm (silty clay)
Before the excavation, the wave sheet pile is in an equilibrium state in the filling
soil. Under the initial state, the distribution law of the lateral earth pressure on both
sides of the sheet pile is consistent with that of the sand filling soil. The lateral
earth pressure increases linearly with the increase of the depth of the filling soil.
Because the weight of the clay filling soil is greater than that of the sand soil, and
it is more dense, it is more closely contacted with the micro earth pressure box, and
the measured value is greater than the initial state lateral earth pressure value in the
sand soil.
In the excavation stage, the lateral earth pressure on the filling side of sheet pile is
smaller in the upper part of sheet pile. At the same depth, the difference of lateral earth
pressure between peak and trough of wave sheet pile is obvious.On the excavation
side, the difference between the passive earth pressure at the peak and trough of the
wave pile at the same height is small. The lateral earth pressure coefficients at the
trough and peak of the wave pile at 15 cm below the excavation surface are 2.22 and
2.06, respectively. The lateral earth pressure coefficients at the trough and peak of
the wave pile at 30 cm below the excavation surface are 1.34 and 1.45, respectively.
Fig. 31.12 Distribution of earth pressure on prestressed wave sheet piles under loading of 60 kg
(silty clay)
The reason is that the strength of silty clay is lower than that of sand. Under the
lateral extrusion of sheet pile, silty clay is easy to squeeze into the trough position from
the adjacent peak, which leads to the weakening of soil arching effect and the close
value of lateral earth pressure transmitted at the peak and trough.The distribution of
lateral earth pressure on the excavation side in the clay filling is different from that
in the sand filling, showing the characteristics of ‘ small in the upper and large in the
lower ‘.Under the action of self-weight stress in the early stage, the bottom of the fill
is denser than the upper part, and the earth pressure is greater. After the excavation
is completed, the stress in the sand is released rapidly. However, the stress release
of silty clay is relatively slow under the action of cohesion. At the same time, the
excavation is completed in a short time, and the bottom is still at a large stress level,
so it shows the characteristics of ‘ small in the upper and large in the lower ‘.
In the stage of loading, the distribution of earth pressure is generally consistent
with the completion of excavation. Under the action of loading, the earth pressure
increases, the soil arching effect is more obvious, and the difference of earth pressure
between crest and trough increases.
356 Y. Wu et al.
31.4 Conclusion
Compared with rectangular piles, the passive earth pressure on the excavation side
of wave sheet piles is much smaller. At the same time, the lateral earth pressure of
the filling side trough is greater than that of the rectangular sheet pile, but the lateral
earth pressure of the filling side crest is slightly smaller than that of the rectangular
sheet pile.
Due to its special section form, the earth pressure at the peak and trough of the
wave sheet pile is obviously different. The earth pressure at the peak and trough
depends on the relative displacement of the sheet pile and the filling. Under the
action of excavation or loading, there will be a certain relative displacement between
the fillings at the peak and trough, thus forming an unloading soil arch, which reduces
the soil pressure at the peak position between adjacent troughs. At the same time,
with the increase of loading, the soil arch effect will become more obvious.
When the filling soil is sand, because the horizontal displacement of the wave pile
decreases with the increase of the buried depth, the lateral earth pressure coefficient
of the excavation side decreases when it is close to the pile bottom. In silty clay, the
stress release is slow when the excavation is completed, the bottom is at a large stress
level and the earth pressure on the excavation side increases when it is close to the
pile bottom.
References
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pile wall[J]. Transp Geotech 7:1–12
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tion[J]. Sci Technol Innov Appl 17:190–190
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Eng 1:20–24
Chapter 32
Analysis of Rainfall Characteristics
of East Kalimantan Province
Zuhdi Yahya, Puji Astuti, Zikri Azham, Maya Preva Biantary,

Lisa Astria Milasari, and Akas Pinaringan Sujalu
Abstract This research was conducted in the region of East Kalimantan province.
It aims to identify conditions of precipitation each period of 10 years as long as
40 years. The analysis is done using a linear Equation using auto correlation. Test
the trend of precipitation data is done using Cox-test- Stuart t. Based on the Binomial
Distribution Table at 5% unreal levels indicate precipitation data during 40 years used
in this research was not significant, which means it does not have a trend, the pattern
of the relationship between precipitation and the time of forming the open curves
upwards, with the equation Y = 2,645.44 + 31.26 X. Changes in forest cover are
synchronize with changes in average monthly rainfall.
Keywords Climate · Rainfall · Forest · Plantation
32.1 Introduction
The most important climatic element in Indonesia is rainfall, which is highly variable
both in time and place. Hence, climate studies are more directed towards rainfall.
The Indonesia region is located in the tropics which affects the amount of rainfall
received. The Indonesian average rainfall is high at > 2,000 mm/year. The amount
of rainfall received causes the atmosphere of the Indonesian region to contain a lot
of water vapour. Because of this, Indonesia’s climate is ealizingd as a humid tropical
climate. Rainfall variability in Indonesia is very complex and is a chaotic part of
the seasonal variability associated with annual and semi-annual rainfall variations in
Indonesia (Elias 2012; Aldrian and Susanto 2013).
There have been many studies conducted to analysis the trend of rainfall
phenomena. The changes in annual average rainfall have occurred in many coun-
tries especially in the tropics (Aragao et al. 2008; Avissar et al. 2012; Batool et al.
Z. Yahya · P. Astuti · Z. Azham · M. P. Biantary · L. A. Milasari · A. P. Sujalu (B)

Faculty of Agriculture-The University of 17 Agustus 1945 Samarinda, Jl. Ir. H. Juanda 80,
Samarinda City, East Kalimantan, Indonesia 75124
e-mail: pinaringan_b@yahoo.co.id
https://doi.org/10.1007/978-3-031-30233-6_32
358 Z. Yahya et al.
2015). For the most part, Indonesia’s average rainfall has decreased significantly in
all seasons, with an average rate of 7.8 mm per month (3.6%) per decade since 1975.
By the year 2000 the decline in rainfall varied between 7.5–8.9 mm or 3.3–3.6%
per month per decade. Nevertheless, using various climate model simulations in the
twenty-first century, it is estimated that Indonesia as a whole will experience changes
in rainfall that vary between (–28) and (+53) mm or –12% to + 20% per month (Elias
2012).
In the tropics, large-scale loss of forest cover is generally associated with less rain
and weakening monsoons, although the full impact of a dryer climate is not yet fully
understood by scientists (Aragao et al. 2008; Kumagai et al. 2013; Muluneh et al.
2014). This requires critical thinking and a reorientation of the vision of development
by considering more environmental factors and the sustainability of development, so
that preventive steps can be taken to withstand the rate of climate change (Lawrence
2014), including to ealizing the government’s motto “one man five trees” (Sujalu
2015). Based on the description above, it is necessary to conduct research of obser-
vational data to pinpoint impact of land cover change on local rainfall is difficult due
to multiple environmental factors that cannot be strictly controlled. In this study we
use a statistical approach to identify the relationship between removal of tree cover
and rainfall with data for > 40 years (1977–2020) from best available sources for
large areas in Kalimantan.
32.2 Methods
The used data is historical (long-term) rainfall data, derived from 76 climate observa-
tion station in East Kalimantan. This research uses a descriptive quantitative method
with comparative analysis techniques from the exploration of regional data and char-
acteristics of climatic elements, especially rainfall. The analysis is generally carried
out using the Free Linear Method, as follows: Y = a + bX. Furthermore, the Cox-
Stuart test was carried out at the 5% level on the Binomial probability distribution to
determine the existence of an upward trend or a downward trend in a group of data
(Spiegel et al. 2014; Sujalu 2015)
32.3.1 Result
The Province of East Kalimantan with the capital city of Samarinda before the divi-
sion of the region has an area of 20,865,774 hectares with a land area of 19,844,117
hectares (95.1%), the Inland waters reached 2,184,523 hectares and marine waters
as far as 12 nautical miles from the coastline of the outermost region of 1,021,657
32 Analysis of Rainfall Characteristics of East Kalimantan Province 359
400
mm
350
300
250
200
150
100
50
1977-1980 1981-1990
0
1 2 3 4 5 6 7 8 9 10 11 12
month
Fig. 32.1 Rainfall periode 1975–1980 and 1981–1990
hectares (4.9%) located between 113º44’- 119º00 ‘East and between 4º24 ‘LU and
2º25 ‘LS. The land area of East Kalimantan Province has an undulating topography
with a slope that is from steep to highest, with land elevations ranging from 0–1,000 m
above sea level.
The long-term rainfall conditions in East Kalimantan Province as a tropical region
as a whole generally have 3 patterns with high and low trends influenced by the move-
ment of monsoon winds (Sujalu 2015), while cumulative annual rainfall in the long
term does not experience uptrend or downtrend. Although, based on observations of
40 years of rainfall can be grouped into 4 trends, namely:
a. During the first decade, there was a trend of high rainfall decreasing sharply
between 1981–1990. The highest rainfall occurred in 1980 at 3,521 mm per year
and the lowest rainfall occurred in 1990 at 1,972 mm per year.
b. During the second decade, The occurrence of high rainfall tends to be low and
tends to decrease, because between the period 1991–2000 there was a period of
strengthening El-Nino. The highest rainfall occurred in 1999 at 2,328 mm per
year and the lowest rainfall occurred in 1992 at 1,889 mm per year.
c. In the third decade, the occurrence of high rainfall tends to increase, which is
between the period 2001–2010. The highest rainfall was in 2009 at 3,237 mm
per year and the lowest rainfall was in 2002 at 1,889 mm per year.
d. The decade IV. high rainfall tends to increase, namely between the period 2011–
2020 The highest rainfall occurred in 2019 at 3,335 mm per year and the lowest
rainfall occurred in 2012 at 2,163 mm per year (Figs. 32.1, 32.2).
32.3.2 Discussion
Converting forests (deforestation) to become agricultural fields, logging, and clearing

forest land for various purposes causes the release of CO2 into the atmosphere, FAO
360 Z. Yahya et al.
mm
400
350
300
250
200
150
100
50
1975-1980 1991-2000
0
1 2 3 4 5 6 7 8 9 10 11 12
month
Fig. 32.2 Rainfall periode 1975–1980 and 1991–2000
experts estimate in 2008 that tropical deforestation worldwide ranges from 3.3–
20 million hectares each year (Gaveau 2015). The Province of East Kalimantan is
among the highest contributors to deforestation and forest degradation. The rate of
movement of deforestation and forest degradation is increasing very significantly
(Seizarwati 2011). The rate of decline in forest cover on the island of Kalimantan
from 2001 to 2020 was 1.12% (± 0.36 million hectares) per year.
The models of current climate research do not seem to take into account the impact
of forest vegetation on rainfall patterns, as they are more focused on potential land
cover change and increasing global temperatures. As Sheil and Murdiyarso (2009);
Dias et al. (2012) and Spracklen et al. (2018) have argued, forest cover change is also a
factor in the eastward shift of rainfall zones in Southeast Asia, with both regional and
global impacts. For the tropics, large-scale forest cover loss is commonly associated
with reduced rainfall and a weakened monsoon season.
However, based on the assumption of an average annual rate of forest loss, each
province has a different rate of forest cover loss. From 89 000 hectares per year in
2001 to 157 000 hectares per year in 2020, almost double the increase or an average
of 95,878.17 hectares per year (GFW 2021). Such a process directly has been a
seasonal shift as well as changes in rainfall patterns, including increasingly frequent
occurrences of high rainfall intensity albeit with shorter periods, while the summer
season occurs in a longer period (Lawrence 2014),
Large-scale changes in forest cover and land use can alter rainfall patterns
hundreds to thousands of kilometres away from the deforested area (Spracklen
et al. 2018). It also affects local thermodynamic circulation, resulting in reduced
potential for cooling effects to the atmosphere (Avissar et al. 2012). Forests absorb
more moisture from the soil than other types of vegetation. These moisture trans-
fers through the trees and evaporation from the leaves into the atmosphere cool the
air through latent heat transfer. These mechanisms cause moisture to rise above the
forest, which in turn promotes cloud formation and rainfall. Forests also form aero-
dynamic roughness surfaces which will increase turbulence and reduce wind speed
and can further increase convection, cloud formation and rainfall (Meier et al. 2021;
Muluneh et al. 2014; Sheil and Murdiyarso 2009).
The forest cover change in various studies has been found to contribute posi-
tively to the decreasing rainfall in various regions (including the Sahel, West Africa,
Cameroon, Central Amazonia, and India), as well as the weakening of monsoon
winds (Avissar et al. 2012). It has also been observed that extensive deforestation
often reduces cloud formation and rainfall, and accentuates seasonality (Kumagai
et al. 2013). Clear-cutting of forests can lead to a different convection-driven mech-
anism, the “vegetation wind” in which moist air is drawn out of the forest (Lawrence
2014). There are many correlations that have yet to be unravelled with specifics,
especially about the influence of evaporation, convection, cloud development, and
aerosols and land cover, and how changes in cloud cover get translated into changes
in rainfall (Aragao et al. 2008).
BMKG (Meteorological, Climatological and Geophysics Agency) recorded 6 El-
Nino events which occurred with strong intensity, which are in 1957/1958, 1965/
1966, 1972/1973, 1982/1983, 1987/1988 and 1997/1998. The 1982/1983 and 1997/
1998 el-Ninos have been the two greatest el-Nino events that have occurred in the
modern era with impacts felt globally. Borneo’s native forest cover decreased by
37.1% between 1980 and 2015 with large areas being replaced by oil palm and
a mosaic of plantations and regrowth vegetation. Boosted by the 1997/98 ENSO
phenomena, uncontrolled fires have destroyed huge areas of rainforest and bush land
in the province of East Kalimantan. The total burned area of the site is estimated
to be 1.3 million hectares out of 1.85 million hectares (71%) (Siegert and Hoffman
2000; Gaveau 2015; Sujalu 2015).
The devastating forest fires in many parts of Sumatra and Kalimantan were not
directly caused by the El-Nino phenomenon (Hermawan 2010). Nevertheless, the dry
air conditions and the lack of rainfall have made the fires easy to ignite and spread and
also difficult to control. The relationship between forest loss and rainfall presented
here is correlational, this relationship is significantly greater than a potentially reverse
causal effect. This has been illustrated in the results of the comparative analysis of
rainfall between the 1975- 1980 period and the 1991–2000, 2001–2010 and 2011–
2020 periods which show lower and significantly different at the 5% level.
The researchers have proven that smoke from forest fires inhibits rain. An exten-
sive analysis of Tropical Rainfall Measurement Mission (TRMM) data showed that
the “warm rain” process that often makes it rain in tropical forests practically “dies”
when clouds are polluted by thick smoke from forest fires (Wahdianty et al. 2016);
Sheil and Murdiyarso (2009) showed that aerosols—small polluting air particles
found in smoke from wildfires—have a “semi- direct” effect on climate, causing a
reduction in cloud cover and warming of the land surface. During forest fires these
aerosol particles have a higher latent heat than normal, so they require more water
vapour molecules to reach saturation point. The same is true for aerosol particles of
bare forest or bare soil, as degradation and deforestation of primary tropical forests
causes the cooling effect of the forest atmosphere to be reduced or even lost.
For the tropics, the extensive loss of forest cover is generally associated with erratic
rainfall, rainfall tends to decrease and monsoon atmospheric circulation weakens.
362 Z. Yahya et al.
Indeed, Webb et al. (2015) and Avissar et al. (2012) predict that deforestation activity
across Southeast Asia causes rainfall to decrease by 1 mm/day in the following
year. Tropical rainforest reduction in Sulawesi by 15% represents a 2% decrease in
monthly evapotranspiration and a 21% increase in soil evaporation, as well as a 1 °C
increase in temperature in areas of total deforestation. Within a 100 km radius, forest
areas have experienced severe deforestation and change, suggesting that minor forest
change has resulted in annual rainfall reductions of between 2–8%. Nevertheless, the
maximum daily rainfall at the beginning of the rainy season has increased, causing
flooding to occur more frequently. The observations of Avissar et al. (2012) on a
forest area of about 250 km × 250 km showed that deforestation of > 30% of the
study area resulted in a high decrease in rainfall by 30–40%. During the wet season,
more clouds formed in deforested areas.
A study in Sabah-Malaysia covering an area of 10,000 km2 also showed similar
results, with a decrease in evapo-transpiration and rainfall receipts mostly occurring
(85%) in the area of forest logging. Boochabun et al.‘s (2008) study was conducted
in the Chi River Basin-Thailand covering an area of 49,500 km2 for 30 years (1973–
2003). Most forested areas in the area were converted into agricultural and plantation
areas. Research results show that rainfall tends to decrease in the range of 10–20%,
evapotranspiration also shows a decrease in the range of 15–25%. There was a weak
and insignificant correlation between changes in forest cover and changes in rainfall
and evapotranspiration.
The Climate Policy Initiative/Pontifical Catholic University of Rio de Janeiro
(CPI/PUC-Rio) shows that Amazon deforestation affects rainfall in the state of Mato
Grosso. As a case study, CPI/PUC-Rio found that deforestation in the Xingu River
region can cause 7% decrease in the annual historical average rainfall in the state
of Mato Grosso. This impact varies greatly across the state and across seasons.
Estimated declines in the wet season due to deforestation could be as high as 8%
of the average seasonal rainfall. Over the course of the dry season, the estimated
impact of deforestation can result in a 15% decrease from this seasonal. Tropical
deforestation leads to reduced evapotranspiration, increasing surface temperatures
by 1–3 K and causing boundary layer circulations, which in turn increase rainfall
over some regions and reduce it elsewhere. On larger scales, deforestation leads to
reductions in moisture recycling, reducing regional rainfall by up to 40% (Spracklen
2018).
There has been an increase in the area of oil palm plantations in East Kalimantan
from 1,115,415 hectares in 2013 and in 2020 it increased to an area of 2,889,435
hectares, oil palm plantations that have been in production reached 1,287,449 hectares
or 7.86 per cent of the total area of national oil palm plantations. Other than Palm
oil plantations, East Kalimantan also experienced an increase in rubber plantations
from 101,156 hectares in 2013 to 123,460 hectares in 2020. The change in forest
cover seems to correlate with the increase in rainfall, as can be seen in Figs. 32.3,
32.4.
Planting more trees brings rain because plants transpire. Transpiration is a process
by which aerial parts of the plants lose water as water vapor during photosynthesis.
This water is added to the normal moisture of the air thus making the air saturated
400 mm
350
300
250
200
150
100
50
1977-1980 2001-2010
0
1 2 3 4 5 6 7 8 9 10 11 12
month
Fig. 32.3 Rainfall Periode 1975–1980 and 2001–2010
400 mm
350
300
250
200
150
100
50
1980-1990 2011-2020
0
1 2 3 4 5 6 7 8 9 10 11 month12
Fig. 32.4 Rainfall Periode 1975–1980 and 2011–2020
faster and bringing rain (Kumagai et al. 2013; Spracklen et al. 2018; Wulfmeyer
et al. 2017). A new study suggests that planting 20% more trees in Europe could also
increase rainfall (Meier et al 2021). It would boost local rainfall, especially in winter
and with greater impacts in coastal regions. Planting trees would also cause impacts
down wind of the reforested areas, as the rainfall in these locations was increased
especially in the summer months. The research found that converting agricultural
land into forests can have a “substantial” impact on dry conditions associated with
climate change and could boost rainfall by 7.6% in the summer (Meier et al. 2021).
Trees and forests increase rainfall intensity through the fungal spores, pollen,
bacterial cells and other particles they release into the atmosphere. Atmospheric
moisture condenses when the air becomes sufficiently saturated with water and does
so much more readily when these particles are present (Ellison et al. 2017; Sheil
364 Z. Yahya et al.
and Murdiyarso 2009; Webb et al. 2015). Over the plantations, the mean temper-
ature decreased as a result of non-linear changes of the diurnal cycle caused by
less warming during the day than cooling during the night (Wulandari et al. 2018).
Moreover, the plantations caused an increase in vertical instability and a modifica-
tion of the horizontal flow leading to the development of convergence zones (Sheil
and Murdiyarso 2009). During several isolated cases in summer, this process led to
convection initiation and precipitation with an enhancement of about 30 mm in both
areas, respectively. These convection-permitting simulations lend confidence that an
increase in precipitation could be induced at the meso-scale by the introduction of
vegetation (Wulfmeyer et al. 2017).
A simulation with 4 different forest cover conditions in East Kalimantan Province
shows changes in surface climate parameters. The resulting deforestation will affect
an increase in surface temperature, a decrease in surface evaporation, and changes
in rainfall patterns and intensity. Change that occurs in convective rainfall parame-
ters is spatially not homogeneous in all regions, there are areas that experience an
increase and some that experience a decrease in rainfall intensity (Seizarwati 2011).
Researched by Iswati et al. (2013) in Kubu Raya Regency, West Kalimantan, changes
in land cover patterns also had an impact on increasing rainfall in the third decade
of this study. During the third decade there was an increase in rainfall patterns that
tended to increase linearly. An increase at the end of the third decade almost matched
the rainfall pattern before the first decade or the 1970s era. Rainfall peaks have shifted
to earlier. Rainfall intensity tends to increase, especially in the third decade period
of the study.
32.4 Conclusion
Changes in natural forest cover conditions in East Kalimantan show changes in

surface climate parameters. Mainly affecting the increase in surface temperature,
changes in rainfall patterns and intensity. The characteristics of rainfall during the
1975–2020 period fluctuate, namely in the 1981–1990 period annual rainfall tends to
decrease, the 1991–2020 period annual rainfall tends to increase. Changes in forest
cover indicate that they are in line with changes in average monthly rainfall.
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Chapter 33
Study on Influence of Geological
Conditions of Complex Layered Soil
Layer on Seepage Characteristics
of Embankment
Zongchun Li, Yongyao Wei, and Yiduo Wang
Abstract With the development of dam structures, safety problems also occur from
time to time. The seepage problem is the main factor related to the safe operation of
the reservoir dam. The on-site monitoring is only the monitoring of the water level
of the local piezometric tube in the section, which has certain limitations. According
to the on-site monitoring results of the Dafangying Reservoir Dam Project in Hefei
City, the numerical simulation is used to expand the on-site monitoring data. The
change of the seepage field inside the dam under different working conditions can
be simulated, and the influence of different geological conditions on the seepage and
stability of the dam can be analyzed. The results show that compared with the homo-
geneous soil layer dam foundation, the pore water pressure at the dam foundation
survey line of the layered soil layer decreases, the elevation of the saturation line
decreases by 0.3 m, and the stability safety factor of the upstream and downstream
dam slopes increases by 9.3% and 10.9% respectively. In the upper layer of the dam
foundation, the hydraulic gradient increases with the increase of elevation, and the
greater the thickness of the underlying water-resistive layer, the greater the increase
of the hydraulic gradient. In the unsaturated area, the flow velocity decreases with
the increase of elevation. In the saturated area, the change trend of flow velocity is
mainly affected by hydraulic gradient and permeability coefficient of different soil
layers.
Keywords Layered soil layer · Reservoir dam · Three-dimesional · Numerical

simulation · Seepage
Z. Li
East China Exploration and Development Bureau, Nanjing 210007, China
Y. Wei
Geological Survey of Jiangsu Province, Nanjing 210049, China
Y. Wang (B)
https://doi.org/10.1007/978-3-031-30233-6_33
368 Z. Li et al.
33.1 Introduction
With the development of dam structures, more and more attention has been paid to
the study of dam seepage and stability (Youfen 2018). After the reservoir is built
and impounded, under the action of upstream and downstream water levels, seepage
will occur in the dam body and foundation, which will affect the stability of the dam
slope (Ayansa 2021). Han Wenjuan (Wenjuan 2006) established a homogeneous
dam model, and studied the variation law of seepage line and seepage gradient of
upstream escape point of dam materials with different permeability coefficients under
the condition of water level drop. Yue Qinghe et al. (Qinghe 2008) deeply analyzed
the influence of permeability coefficient of dam materials and anisotropy of perme-
ability coefficient on dam seepage and stability under the condition of water level
drop. Li Ziyang (Ziyang et al. 2019) considered the nonlinear relationship between
permeability coefficient and matrix suction based on saturated–unsaturated seepage
theory. To study the variation law of the unsteady seepage field and seepage stability
of the dam, the permeability coefficient of dam materials and the anisotropy of perme-
ability coefficient will affect the seepage and stability of the dam to varying degrees.
For this reason, Zhong Xuemei (Xuemei 2016) made a sensitivity analysis of the
two influencing factors. On this basis, Wang Ning (Ning 2018) studied the influence
of dam soil parameters on dam seepage and stability, including soil permeability
coefficient and strength parameters.
In practical engineering, the geological conditions of the dam foundation are not
single and homogeneous. Many scholars above (Wenjuan 2006; Qinghe 2008; Ziyang
et al. 2019; Xuemei 2016; Ning 2018; Bingshun and Liuqian 2006; Xushu et al. 2020;
Yayue 2014) only consider the dam foundation as the same material when studying
the dam seepage analysis model, ignoring the complex geological conditions of the
dam foundation. Taking Dafangying Reservoir in Hefei as an example, the length of
the project along the dam axis is long, and the distribution of soil layers along the dam
axis also changes. The geological conditions of different sections are different, such
as the types of layered soil layers, the thickness of soil layers and the fluctuation of
soil layers. Due to the difference of permeability of different soil layers, different soil
layers will have different influences on dam seepage. Therefore, the establishment
of complex dam foundation quality condition model is more in line with the actual
situation. In this paper, based on the Dafangying Reservoir Dam in Hefei, based on
the field monitoring results, the influence of complex geological conditions on dam
seepage and stability at different reservoir levels is studied by numerical simulation.
In this paper, saturated–unsaturated seepage simulation analysis is adopted, and
according to saturated–unsaturated seepage theory, two-dimensional finite element
numerical simulation is carried out. Through two-dimensional numerical simulation,
the general law of the influence of complex geology on dam seepage is obtained.
33 Study on Influence of Geological Conditions of Complex Layered Soil … 369
(a) silty clay 21m (unit: m) (b) silty clay 5m sandy loam 10m (unit:m)
(c) Silty clay 10m and sandy loam 5m (unit: m)
Fig. 33.1 Two-dimensional geometric model (unit: m)
33.2 Simulation Geometry Model
Figure 33.1 shows the calculation model of the embankment of Dafangying Reservoir
in Hefei. The height of the dam is 13 m, the ratio of upstream dam to slope is 1:3,
the ratio of downstream dam to slope is 1:2.5, and the extension length of upstream
and downstream dam toe is 20 m, and the extension length of downstream dam toe is
20 m and 30 m, respectively, to study the influence of model size on seepage results.
The results show that the seepage field changes the same when the extension length
of downstream dam toe is 20 m and 30 m, so the minimum extension of downstream
dam toe is adopted without affecting the dam seepage field.
33.3 Soil Parameters
The dam is a rolling earth dam, and the anisotropy ratio of dam material is 4, that is,
the ratio of horizontal permeability coefficient to vertical permeability coefficient of
dam body fill is 4, that of old dam foundation fill is 1.1, and the horizontal permeability
coefficient and vertical permeability coefficient of other soil layers in dam foundation
are the same. See Table 33.1 for physical and mechanical properties of soil in each
soil layer of Dafangying Reservoir Dam.
According to the longitudinal profile of the main dam and the physical and
mechanical properties of each soil layer, the soil layers above the ground line of
Dafangying Reservoir dam, that is, part of the dam body, are relatively consistent,
and all the soil layers below the ground line contain old fill layers, and their perme-
ability coefficients are larger than those of the fill layers, while the soil layers below
370 Z. Li et al.
Table 33.1 Soil layer division and main parameters of Dafangying Reservoir
Soil Soil Cohesion Internal Natural Void Coefficient of
strata properties c(kPa) friction density ratio e infiltration (m/s)
angle ϕ (°) ρ kx = kz kv
(g/cm3 )
Dam Heavy silt 36.1 10.2 1.97 0.43 7.6e-8 1.9e-8
body loam
➂1 Silty clay 25.3 12.6 1.99 0.42 1.26e-8 1.26e-8
➂2 Sandy loam 5.9 24.9 2.07 0.45 1.22e-6 1.22e-6
soil
(including
silty clay)
➃1 Arenaceous 7.8 22 2.06 0.35 6.69e-9 6.69e-9
sediment
the old fill layers are more complex. The complexity of dam foundation conditions is
reflected in that the dam foundation contains ➁1 ~ ➂2 soil layers, and the positions
and thicknesses of each soil layer are different, so their permeability coefficients
are quite different. To sum up, this complex soil layer can be simplified into three
sections for calculation.
33.4 Boundary Conditions
Two-dimensional boundary conditions are shown in Fig. 1a, in which ab is the water
head boundary condition, de is the downstream slope, which is set as the free surface
of seepage, hg at the bottom of the dam foundation and both sides of the dam
foundation are set as impermeable boundary conditions, the flow at this boundary is
zero, and the downstream boundary ef is the free surface of seepage, which is set as
the flow boundary condition.
33.5 Analysis of Simulation Results
33.5.1 Variation of Dam Saturation Line
The saturation line of dam body under different conditions of dam foundation is
shown in Fig. 33.2. The dotted line in the figure indicates the location of the dam
center line, that is, the survey line. Simulation No.1 dam foundation is homogeneous
silty clay 21 m, simulation No.2 dam foundation is silty clay 5 m sandy loam 10 m
layered soil, simulation No.3 dam foundation is silty clay 10 m sandy loam 5 m
Fig. 33.2 Location of dam saturation line under different working conditions of dam foundation
layered soil. There is a certain difference between the seepage line of dam founda-
tion in homogeneous soil layer and layered soil layer, and the seepage line of dam
foundation in homogeneous silty clay is the highest. In layered soil layer, the seepage
line of dam foundation with 10 m thicker than upper silty clay is higher than that
with 5 m thicker silty clay. It can be seen from the change of pore water pressure at
the survey line in Fig. 33.3 that the saturation line elevation of homogeneous silty
clay dam foundation at the survey line is higher, followed by that of silty clay dam
foundation with a thickness of 10 m, and that of silty clay dam foundation with a
thickness of 5 m is the lowest. Specifically, the elevation of dam saturation line of
homogeneous silty clay at survey line is 0.14 m higher than that of dam saturation
line of 10 m thick silty clay in layered soil foundation; In layered dam foundation,
the saturation line of dam body with silty clay thickness of 10 m is 0.16 m higher than
that of dam body with silty clay thickness of 5 m. The results show that, compared
with the foundation in homogeneous soil, the saturation line elevation of the foun-
dation in layered soil is about 0.3 m lower. In layered soil, the thickness of the lower
water-resisting layer increases, the thickness of the lower water-conducting layer
decreases, and the saturation line of the dam increases. When the thickness of the
lower water-resisting layer increases by 5 m and the thickness of the lower water-
conducting layer decreases by 5 m, the saturation line of the dam body increases by
0.16 m.
33.5.2 Change of Hydraulic Gradient
Figure 33.3 shows the distribution laws of hydraulic gradients of homogeneous silty
clay dam foundation, silty clay dam foundation with 5 m thickness and silty clay
dam foundation with 10 m thickness. The maximum values of hydraulic gradients are
located at the foot of the slope, which is smaller than the critical hydraulic gradient,
so seepage failure will not occur.
The variation of hydraulic gradient at the survey line with elevation under different
working conditions of the dam foundation is shown in Fig. 33.4. The dotted line in the
figure is at the elevation of 21 m, that is, the boundary between the dam body and the
372 Z. Li et al.
(a) simulation No.1 (silty clay 21m) (b) Simulation No.2 (silty clay 5m and sandy
loam 10m)
(c) Simulation number 3 (silty clay 10m and

sandy loam 5m)
Fig. 33.3 Nephogram of hydraulic gradient of dam foundation under different working conditions
dam foundation. The distribution of hydraulic gradient in homogeneous soil layer,

layered soil layer and dam foundation with different thickness is different. Under
different working conditions, the hydraulic gradient at the survey line of the dam
foundation does not exceed the critical hydraulic gradient of each soil layer, and the
maximum hydraulic gradient at the survey line of the homogeneous silty clay dam
foundation is 0.083. Among the layered soil layers, the maximum hydraulic gradient
at the survey line of the dam foundation with a thickness of 5 m silty clay is 0.0671, and
that at the survey line of 10 m silty clay is 0.0713. The results show that the maximum
hydraulic gradient at the survey line of homogeneous silty clay dam foundation is
the largest, and the greater the thickness of the lower water-resisting layer of the
dam foundation is, the greater the hydraulic gradient is. When the thickness of the
lower water-resisting layer increases by 5 m, the maximum hydraulic gradient at the
survey line increases by 6.3%. For the layered soil foundation, within the soil layer
of the dam body, the hydraulic gradient increases at first and then decreases with the
elevation increasing. The concrete performance is as follows: The hydraulic gradient
with the thickness of 10 m in silty clay foundation increases from 0.065 to 0.0713 and
then gradually decreases to 0.0573; The hydraulic gradient of 5 m thick silty clay in
the dam foundation increases from 0.061 to 0.0671 and then gradually decreases to
0.0575. Within the scope of dam foundation soil layer, the change trend of hydraulic
gradient of layered soil layer dam foundation is different from that of homogeneous
soil layer dam foundation, and the change trend of hydraulic gradient is two-stage.
In the lower layer of dam foundation, that is, completely weathered sandstone and
sandy loam layer, the hydraulic gradient is unchanged, but in the upper layer of
dam foundation, that is, silty clay layer, the hydraulic gradient increases with the
increase of elevation. For the dam foundation with 5 m lower water layer thickness,
the hydraulic gradient increases by 0.0423, and for the dam foundation with 10 m
lower water layer thickness.
Fig. 33.4 Changes of

hydraulic gradient of survey
line with elevation
33.5.3 Flow Rate Change
The variation of velocity at survey line with elevation under different conditions of
dam foundation is shown in Fig. 33.5, where the dotted line is the boundary between
saturated and unsaturated areas. For the layered soil foundation, in the upper silty clay
layer of the foundation, the permeability coefficient of the soil remains unchanged,
and the hydraulic gradient increases with the elevation, so the flow velocity also
increases. However, in the lower layer of the dam foundation, i.e., sandy loam and
completely weathered sandstone soil, the hydraulic gradient and permeability coeffi-
cient remain unchanged, and the water velocity in each soil layer remains unchanged.
However, due to the influence of the change of permeability coefficient in different
soil layers, the velocity will suddenly change at the junction of different soil layers.
The concrete performance is as follows: for the foundation of the layered soil layer
with a thickness of 10 m in silty clay, the velocity remains unchanged in the saturated
areas of 0 m-6 m and 6 m-11 m, and the velocity changes abruptly at 6 m because of
the increase of soil permeability coefficient. In the silty clay layer with a thickness
of 11 m-21 m, the velocity increases with the increase of hydraulic gradient, and the
velocity changes abruptly at 21 m because of the increase of soil permeability coef-
ficient. For the foundation of layered soil layer with 5 m thick silty clay, the velocity
remains unchanged in the saturated areas of 0 m-6 m and 6 m-16 m, and the velocity
changes abruptly at 16 m because of the increase of soil permeability coefficient.
In 16 m-21 m silty clay layer, the velocity increases with the increase of hydraulic
gradient and changes abruptly at 21 m because of the increase of soil permeability
coefficient. For the layered soil foundation with different thickness, the velocity of
10 m thicker than the upper silty clay is slightly larger than that of 5 m thicker, which
indicates that the thicker the underlying water barrier layer is, the greater the velocity
at the survey line. When the thickness of the underlying water barrier layer increases
to 10 m, the maximum velocity at the survey line is 2.35 e-8 m/s.
374 Z. Li et al.
Fig. 33.5 Changes of

velocity of survey line with
elevation
33.6 Conclusion
According to the saturated–unsaturated seepage theory, this paper carries out two-
dimensional finite element numerical simulation to study the changes of dam satura-
tion line, hydraulic gradient and velocity vector of two-dimensional dam in complex
geology under the condition of constant reservoir water level. At the same time,
the numerical simulation results are compared with the field piezometer water level
data, and the influence of different geological conditions on dam slope stability is
analyzed. The main conclusions are as follows:
(a) Compared with the foundation in homogeneous soil, the pore water pressure at
the survey line of the foundation in layered soil is 3 kPa ~ 4 kPa, the elevation of
saturation line is 0.3 m lower, and the stability safety factors of the upstream and
downstream dam slopes are increased by 9.3% and 10.9% respectively; For the
layered soil foundation with different thickness, the thicker the dam foundation
is compared with the upper and lower waterproof layer, the higher the dam
saturation line is, and the worse the stability of the dam slope is. When the
thickness of the lower water-resisting layer increases by 5 m and the thickness
of the lower water-conducting layer decreases by 5 m, the elevation of the dam
saturation line increases by 0.16 m, and the safety factors of the upstream and
downstream dam slopes decrease by 6% and 8.3% respectively.
(b) There are obvious differences in the hydraulic gradient within the soil layer
of the dam foundation, and the change trend of the hydraulic gradient of the
concrete layered dam foundation is two-stage. The hydraulic gradient in the
lower layer of the dam foundation is unchanged, and the hydraulic gradient in
the lower water barrier layer of the upper layer of the dam foundation increases
with the elevation. The greater the thickness of the lower water barrier layer, the
greater the increase of the hydraulic gradient. When the thickness of the lower
water barrier layer increases 5 m, the maximum hydraulic gradient at the survey
line increases by 6.3%.
(c) For the layered soil foundation, in the upper silty clay layer of the foundation, the
soil permeability coefficient is unchanged, and the hydraulic gradient increases
with the elevation, so the flow velocity also increases. In the saturated area,
the change trend of the velocity is mainly influenced by the hydraulic gradient
and the permeability coefficient of different soil layers. When the permeability
coefficient of soil layers changes, the velocity suddenly changes at the boundary
of soil layers. For the layered soil foundation with different thickness, the thick-
ness of the lower water-resisting layer of the foundation increases, so does the
velocity at the survey line. When the thickness of the lower water-resisting layer
increases to 10 m, the maximum velocity at the survey line is 2.35e-8 m/s.
References
Ayansa GA (2021) Embankment dam seepage and slope stability analysis: The case of arjo-dedessa
dam, ethiopia. J Civ, Constr Environ Eng 6(4):104–109
He Bingshun, Ding Liuqian (2006) Effect of hydraulic seepage anisotropy on the stability of earth
dams. J China Inst Water Resour Hydropower Res (04):277-281
Han Wenjuan (2006) Analysis on isotropic earth dam of unsteady seepage when the reservoir water
falling. Yangzhou University
Li Ziyang, Ma Fuheng, Zhang Zhan, Hu Jiang, Zhang Lei (2019) Unsteady seepage and stability
analysis of earth-rock dam under the rapid changes of reservoir level. Yellow River, 41(01):106-
110
Wang Yayue (2014) Drawdown of homogeneous earth dam slope stability analysis of the impact.
Shihezi University
Wang Ning (2018) Study on seepage factors and slope stability of earth rock dam. Xihua University
Xushu S, Jiadeng L, Chao C et al (2020) Numerical simulation of orthotropy seepage field of
homogeneous earth-rock dam. Water Sci Eng Technology 06:7–10
Youfen Y (2018) Analysis of phreatic line of earth-rockfill dam with central core for Shuanglong
hydropower station. Water Resour & Hydropower Northeast China 36(12):11–12
Yue Qinghe (2008) Seepage and stabilization study with ANSYS on earth rock-fill dam. Shandong
Agricultural University
Zhong Xuemei (2016) Analysis and application research of seepage stability of earth rock-fill dam
under the condition of reservoir water level rising and falling. Xihua University
Chapter 34
Construction and Performance of Foam
Drainage Corrosion Inhibition Integral
Agent
Chao Huang, Shiyong Li, Degang Wang, Biao Zhao, Xiangzhe Jin,
and Yan Xue
Abstract In this paper, the foaming and foam stabilizing abilities of different
amphoteric surfactants were determined, and lauramide propyl betaine was selected
as the main agent of the corrosion inhibition foaming system, and the composite
system with sodium dodecyl sulfate (SDS) as the auxiliary agent was obtained
by compounding with anionic surfactant; Tween 80 and hydrazine hydrate were
preliminarily selected as corrosion inhibitors with a high-speed agitator, after that,
the corrosion inhibition rate of the corrosion inhibition foaming system was deter-
mined by hanging piece weight loss method. It was finally determined that 400 mg/
L hydrazine hydrate was used as the corrosion inhibitor, and the corrosion inhibition
rate reached 93.64%, thus the corrosion inhibition foaming system was obtained,
that is, 1% lauramide propyl betaine, 0.6% sodium dodecyl sulfate and 400 mg/L
hydrazine hydrate, so that it can be used for foam drainage and also for reducing
the corrosion of gas well fluid on the wellbore, achieving the role of one agent with
multiple effects. The related research can provide a reference for the research and
development of multifunctional new type gas well bubble drainage fluid.
Keywords Gas well · Foaming agent · Foam deliquification · Corrosion

inhibition · Dual function
C. Huang · S. Li (B) · X. Jin · Y. Xue

CNPC Chuanqing Drilling Engineering Company Ltd., Xi’an, China
e-mail: shiyong566@cnpc.com.cn
D. Wang
The 10th Oil Production Plant, Petro China Changqing Oilfield Company, Qingyang, China
B. Zhao
The 9th Oil Production Plant, Petro China Changqing Oilfield Company, Yan’an, China
https://doi.org/10.1007/978-3-031-30233-6_34
378 C. Huang et al.
34.1 Introduction
In the process of natural gas production, the heterogeneity of the reservoir and other
factors would lead to the production of water in the natural gas wells (Liu et al. 2020a,
2020b; Yan et al. 2020). In China, a considerable number of natural gas reservoirs
have been in the middle and late stages of exploitation. Most natural gas wells contain
accumulated liquid phase at the bottom of the gas well, which seriously affects the
normal production of gas wells, and even causes the blockage of the production
(Bai et al. 2020). Therefore, gas well deliquification is important to promote the
production of the gas wells (Gao et al. 2020a, 2020b, 2021; Bai et al. 2021). At
present, many gas well deliquification methods have been reported including foam
drainage, gas lift drainage, etc. (Wu et al. 2022; Gao et al. 2019). Among them, foam
drainage gas production is the first choice for gas well drainage gas production due
to its simple construction process and low-cost measures.
The downhole environment of natural gas wells in northern Shaanxi is gener-
ally harsh (such as formation temperature up to 110 °C, formation water salinity up
to 200,000 mg/L, etc.) Most of the existing conventional foam drainage agents in
China are suitable for the formation environment with a temperature of no more than
90 °C and a salinity of about 100,000 mg/L. Therefore, under the harsh environ-
ment of high temperature and high salinity of natural gas wells in northern Shaanxi
province, conventional foam drainage agents generally become in-effect, which
severely restricts the efficiency of foam drainage. Although some of the existing
commercial foam drainage agents have good temperature-resistance, salt-resistance,
and condensate-resistance properties, they are not suitable for large-scale promotion
due to cost factors. Therefore, the development of a new foam drainage agent system
suitable for the harsh conditions (temperature, salinity, condensate, etc.) of Yanbei
section, and the optimization and application of the foam drainage techniques are of
great practical significance to promote the exploitation of gas fields in the northern
part of Shaanxi province.
At the same time, it should also be noted that natural gas wells will not only
face the problem of liquid build-up, but also problems such as corrosion and scaling
in the production process. In some natural gas wells with high salt and acid gas,
liquid build-up and corrosion may occur at the same time. If a multifunctional foam
drainage agent can be used, the purpose of liquid drainage and corrosion inhibition
can be achieved through one construction operation, which will greatly improve
the efficiency and cost of on-site construction. Therefore, the development of an
integrated agent with dual functions of foam drainage and corrosion inhibition can
not only promote the gas field development but also inhibit the corrosion of gas well
fluid on the wellbore, achieving the role of one agent with multiple effects, which
has important research value and application prospects.
For this reason, Waring Blender method and static weight-loss method are
proposed to screen the foaming agent corrosion inhibition system and evaluate its
foaming, foam stability and corrosion inhibition ability.
34 Construction and Performance of Foam Drainage Corrosion Inhibition … 379
34.2 Experimental
34.2.1 Materials
Lauramidopropyl betaine, oleic acid amidopropyl betaine, dodecyl dimethyl betaine,

alcohol ethoxysulphates (AES) and alpha olefin sulphonate (AOS) Surfactant were
brought from Huajun New Material Tech. Co., Ltd. Sodium dodecyl benzene
sulfonate (SDBS), sodium Dodecyl Sulfonate (SDS), sodium lauryl sulfate (SLS), α-
sodium alkenylsulfonate were provided by Sinopharm Chemical Reagent Co., Ltd.
Hexamethylene tetramine, imidazoline and hydrazine hydrate were from Fuchen
(Tianjin) Chemical Reagent Co., Ltd.
34.2.2 Experimental Methods
Selection of single foaming agent. In this section, the foaming agents were screened
to find the foaming surfactants with high foaming properties using the Waring Blender
method described in the papers (Gao et al. 2020a; Bai et al. 2021) that were published
by our group. Each foaming surfactant was evaluated at 0.2%, 0.4%, 0.6%, 0.8%,
and 1.0% respectively to find its foaming volume (V0 ) and half-life time (t1/2 ) at
room temperature.
Optimization of foaming agent compound system. In this section, solutions with
each single selected anionic surfactant at 0.2%, 0.4%, 0.6%, 0.8%, and 1.0% were
firstly prepared, and then 1.0 mL lauramide propyl betaine was added into each solu-
tion to form each foaming agent with compounded surfactants. Then each solution
was tested to find the V0 and t1/2 with the same method in Sect. 2.2.1.
Preliminary screening of corrosion inhibitors. The weight-loss method described
in the standard of SY/T5405-1996 was used to screen the corrosion inhibitors that
will be compounded with the foaming agents. Q235 steel sheets (50 × 10 × 3 mm)
were used. The corrosion rates and corrosion inhibition rates at 60 °C within 72 h
were tested to find the performance of each corrosion inhibitor at concentrations
ranging from 50 mg/L to 500 mg/L respectively in the presence of 1.0% lauramide
propyl betaine and 0.6% sodium dodecyl sulfate. The corrosion rate (Vcorr ), corrosion
inhibition rate (η) were obtained using the equations listed below:
8.76 × 104 × (m0 − m1 )

Vcorr =
Stρ
m0 − m1
η=
m0
380 C. Huang et al.
where, Vcorr is the uniform corrosion rate, mm/a. m0 and m1 were the mass of steel
sheet before and after each measurement, g. S is the area of a steel sheet, cm2. T
is the length of testing time, h. ρ is the density of each steel, g/cm3. m0 is mass
change of each plate in a blank test, g. m1 is the mass change of a sheet with a
corrosion inhibitor, g.
34.3.1 Selection of Single Foaming Agent
It is found from Fig. 34.1a that the foaming properties of lauryl amido propyl betaine
increase with the increase of volume percentage. When its volume percentage is 1.0%,
the maximum foaming volume is 400 mL, and the half-life of liquid separation is
6.02 min. From Fig. 34.1b, the foaming volume of oleic amido propyl betaine is
the highest when the volume percentage is 0.2% and 0.6%, which is 350 mL. The
half-life is the highest at 0.8%, which is 17.00 min. In Fig. 34.1c, with 0.8% dodecyl
dimethyl betaine, the foam volume is 380 mL, which is the highest level and the
half-life is the largest, 5.87 min, at the dosage of 0.6%.
Fig. 34.1 Relationship between volume percentage and foam volume and drainage half-life with
lauramidopropyl betaine (a), oleamide propyl betaine (b) and dodecyl dimethyl betaine (c)
It can be seen from Fig. 34.1a, c that although oleic amidopropyl betaine has strong
foam stability, its foaming ability is not as good as the other two, while lauramide
propyl betaine has high foaming ability and good foam stability. Therefore, based
on comprehensive analysis, lauramide propyl betaine with a volume percentage of
1.0% is selected as the main agent of foaming agent.
34.3.2 Selection of Foaming Agent Auxiliary
Based on the analysis of Fig. 34.2, 34.3, 34.4, 34.5, 34.6, when sodium dodecyl
benzene sulfonate, sodium dodecyl sulfonate and AOS are used as additives, the
half-life has significantly increased, but the initial foam volume has not increased
significantly, and the effect is general; When AES is used as auxiliary agent, the half-
life increases significantly, and the initial foam volume also increases significantly.
When the volume percentage of AES is 1.0%, the initial foam volume reaches the
maximum of 560 mL. It is found from Fig. 34..4 that sodium dodecyl sulfate with
a volume percentage of 0.6% or 0.8% is selected as the auxiliary agent, and the
foaming performance increases significantly. The foam volume and the half-life
time are fine. In conclusion, the foaming properties of the compound system is
improved compared with that of the single agent, and the stability is good. Based on
cost considerations, 0.6% sodium dodecyl sulfate is selected as the auxiliary agent
through comprehensive analysis. The initial foam volume and half-life were 600 mL
and 8.10 min, respectively.
Fig. 34.2 Relationship 420 7.30

between foam volume and Initial foam volume
415 7.25
half-life with sodium Half life
410
Initial foam volumeV/mL
dodecyl benzene 7.20

405
7.15
Half life/min
400
7.10
395
7.05
390
385 7.00
380 6.95
375 6.90
0.2 0.4 0.6 0.8 1.0
Concentration/%
382 C. Huang et al.
Fig. 34.3 Relationship

410 100
between foam volume and
half-life with sodium Initial foam volume

408 Half life 80
dodecyl sulfonate
Half life/min
406 60
404 40
402 20
400 0
0.2 0.4 0.6 0.8 1.0

Concentration/%
Fig. 34.4 The relationship 20

drainage half-life with 600
sodium dodecyl sulfate 15

Initial foam volume
Half life
Half life/min
400
10
200
5
0 0
0.2 0.4 0.6 0.8 1.0
Concentration/%
Fig. 34.5 The relationship 500 20

half-life with AES 400
15
Initial foam volume

Half life/min
300
Half life
10
200
5
100
0 0
0.2 0.4 0.6 0.8 1.0
Concentration/%
Fig. 34.6 The relationship 600

between foam volume and 100
half-life with AOS
Initial foam volume

80
Half life
400
Half life/min
60
40
200
20
0
0
0.2 0.4 0.6 0.8 1.0
Concentration/%
Table 34.1 Effect of

Corrosion inhibitor Foam volume /mL Half-life/min
corrosion inhibitors on the
foaming properties of the Tween 80 515 7.97
foaming agents imidazoline 395 7.63
Hexamethylenetetramine 465 8.42
Hydrazine hydrate 520 8.00
34.3.3 Corrosion Inhibitor Screening
Firstly, the influence of various corrosion inhibitors on the performance of the foam
with the mixed foaming agent was tested. In Table 34.1, we can find that imida-
zoline has a greater impact on the composite system than the other three corrosion
inhibitors, the foam volume and half-life have significantly decreased, so imidazo-
line is excluded. Compared with imidazoline and hexamethylenetetramine, Tween
80 and hydrazine hydrate have less influence on the foaming and foam stability of
the composite system. Therefore, Tween 80 and hydrazine hydrate can be considered
as corrosion inhibitors.
34.3.4 Preliminary Screening of Corrosion Inhibitors
From Figs. 34.7, 34.8, the hexamethylenetetramine has a significant influence on

the composite system, has a strong defoaming ability, and has a small difference
in the half-life of liquid separation. When hydrazine hydrate and Tween 80 are
used as corrosion inhibitors, the foam volume is ~ 550 mL and the half-life is ~
8 min. Therefore, hydrazine hydrate and Tween 80 are initially selected as corro-
sion inhibitors to evaluate the corrosion inhibition ability of the foaming corrosion
inhibition composite system.
384 C. Huang et al.
Fig. 34.7 Relationship of 20

Tween 80 concentration with
initial foam volume and 600

drainage half-life 15
Initial foam volume
Half life/min
Half life
400
10
200
5
0 0
0 200 400 600
Concentration/%
Fig. 34.8 Relationship of 20

hydrazine hydrate
600
concentration with initial
foam volume and drainage 15

half-life
Half life/min
400
10
200 Initial foam volume

half life 5
0 0
0 200 400 600
Concentration/%
In Table 34.2 we can find that Tween 80 and hydrazine hydrate can effectively
reduce corrosion, and the corrosion inhibition rate of the same corrosion inhibition
bubble drainage system shows an increasing trend in the whole temperature range;
400 mg/L hydrazine hydrate is the best corrosion inhibitor with a corrosion inhibition
rate of 93.64%. Therefore, 400 mg/L hydrazine hydrate is selected as the corrosion
inhibitor to prepare a corrosion inhibition foaming system.
Table 34.2 Corrosion inhibition rate data of different types of corrosion-inhibiting foaming agents
Type of corrosion Concentration / Corrosion rate/ Corrosion Average corrosion
inhibitor (mg/L) (mm/a) inhibition rate/% inhibition rate/%
Blank test / 0.1041 -1.73 /
0.1006 1.73
Twain 80 50 0.1324 -29.48 0
0.0726 29.48
Twain 80 100 0.0744 27.17 23.70
0.0817 20.23
Twain 80 200 0.0955 6.36 13.29
0.0816 20.23
Twain 80 300 0.0650 36.42 35.26
0.0675 34.10
Twain 80 400 0.0736 28.32 36.99
0.0558 45.66
Twain 80 500 0.0673 34.10 34.68
0.0667 35.26
Hydrazine hydrate 100 0.0236 76.88 77.46
0.0225 78.03
0.0095 90.75
0.0035 96.53
0.0012 98.84
Blank test / 0.0751 26.01 21.39
0.0853 16.76
34.4 Conclusion
This chapter mainly used Waring Blender method and coupon weight-loss method to
screen the foaming agent corrosion inhibition system, and the following conclusions
were obtained:
(1) Compared with hexamethylenetetramine and imidazoline, hydrazine hydrate
and Tween 80 have little effect on the foaming properties of the compounded
system.
(2) The corrosion inhibition performance of the foaming agent increases with the
hydrazine hydrate and Tween 80 concentration measured by hanging weight
method and calculated.
386 C. Huang et al.
(3) Hydrazine hydrate has a better corrosion inhibition effect than Tween 80. At
400 mg/L, the corrosion inhibition rate reached 93.64%.
(4) The corrosion inhibition foaming system was finally determined to be 1.0%
lauramide propylbetaine, 0.6% sodium dodecyl sulfate and 400 mg/L hydrazine
hydrate.
References
Bai Y, Zhang J, Dong S, Li J, Zhang R, Pu C, Chen G (2020) Synthesis and interface activity of a
series of carboxylic quaternary ammonium surfactants. Desalin Water Treat 188:202–211
Bai Y, Zhang J, Dong S, Li J, Wang M, Wu Y, Pu C, Chen G (2021) The effect of halide counter ions
and methanol on the foaming activity of cationic surfactants and a mechanism study. Tenside,
Surfactants, Deterg 58:278–286
Gao M, Lei F, Liu Q, Zhang J, Song Z, Zhang R, Chen G (2019) The effect of alkyl of quaternary
ammonium cationic surfactants on the foaming properties. Russ J Phys Chem A 93:2735–2743
Gao M, Chen G, Bai Y, Zhang R, Zhang J, Zhu S, Dong S (2020a) Modification of sodium dodecyl
sulfate and the evaluation of the foaming activity. C R Chim 23:551–561
Gao M, Bai Y, Dong S, Zhang R, Zhang J, Pu C, Chen G (2020b) Synthesis and properties of sodium
dodecyl sulfate-derived multifunctional surfactants. Russ J Phys Chem A 94:1455–1467
Gao M, Ma Z, Tian W, Dong S, Zhu S, Zhang J, Chen G (2021) Research of a surfactant gel with
potential application in oilfield. Tenside, Surfactants, Deterg 58:360–370
Liu Q, Gao M, Zhao Y, Li J, Qu C, Zhang J, Chen G (2020a) Synthesis and interface activity of a
new quaternary ammonium surfactant as an oil/gas field chemical. Tenside, Surfactants, Deterg
57:90–96
Liu Q, Gao M, Qu C, Zhang R, Song Z, Li J, Chen G (2020b) Synthesis and interface activity of
cetyltrimethylammonium benzoate. Russ J Phys Chem B 14:73–80
Wu Y, Zhang J, Dong S, Li Y, Slaný M, Chen G (2022) Use of betaine-based gel and its potential
application in enhanced oil recovery. Gels 8:351
Yan J, Liu Q, Du W, Qu C, Song Z, Li J, Zhang J, Chen G (2020) Synthesis and properties of octadecyl
trimethyl ammonium polyacrylic surfactants. Tenside, Surfactants, Deterg 57:122–128
Chapter 35
Study of the Performance of Foam
Drainage Corrosion Inhibition Integral
Agent
Hai Lin, Jun Xu, Xiaoming Wang, Xiaolei Guo, Liang Guo, Huaibing Chen,
and Jianqiang Zhang
Abstract Through the comprehensive evaluation and analysis of a natural gas well
corrosion inhibition foaming integrated dual function agent (1% lauryl amidopropyl
betaine +0.6% sodium dodecyl sulfate +400 mg/L hydrazine hydrate), the scope
of application of the integrated dual function agent was determined. A Ross-Miles
foam instrument was used to evaluate the temperature resistance, oil resistance and
methanol resistance of the corrosion inhibition foaming integrated dual-function
agent, and a high-speed mixer was used to evaluate its salt resistance. The results
showed that the integrated dual-function agent had strong stability at lower temper-
atures such as 30 °C and 40 °C. With the increase of ion concentration, the stability
of foam increases, indicating that the integrated dual-function agent has strong salt
resistance. In addition, the foam height of the system with a petroleum ether dosage
of 10% reached 45.7 cm at 20 min, so the integrated dual-function agent is also
highly applicable to gas wells containing condensate. In the solution containing
methanol, the change of foam height is not obvious, which indicates that methanol
has little influence on the integrated dual-function agent and has strong applicability.
The related research can provide a reference for the research and development of
multifunctional new type gas well bubble drainage fluid.
Keywords Natural gas well · Foaming agent · Corrosion inhibitor · Dual

function · Integrated agent · Comprehensive performance
H. Lin · J. Xu (B) · L. Guo · H. Chen · J. Zhang

CNPC Chuanqing Drilling Engineering Company Ltd., Xi’an, China
e-mail: xujun_gcy@cnpc.com.cn
X. Wang · X. Guo
The 11Th Oil Production Plant, PetroChina Changqing Oilfield Company, Qingyang, China
https://doi.org/10.1007/978-3-031-30233-6_35
388 H. Lin et al.
35.1 Introduction
In China, a considerable number of natural gas reservoirs have entered the middle and
late stages of exploitation. Most natural gas wells have accumulated liquid phases,
which seriously affects the normal production of gas wells, and even causes produc-
tion stoppage. Therefore, removing bottom-hole liquid accumulation is the key to
ensuring stable production and increasing the production of gas wells (Yan et al.
2020; Gao et al. 2020a). At present, foam drainage gas production has become the
first choice for gas well drainage gas production due to its simple construction tech-
niques and low-cost measures. The key point of foam drainage gas production is the
selection of a foaming agent (Liu et al. 2020a).
At present, most foam agents are prepared by the combination of anionic surfac-
tant and anionic surfactant, and the combination of anionic surfactant and ampho-
teric surfactant. Foaming agents are mainly divided into four categories: (1) Anionic
foaming agents (such as α-Olefin sulfonate, alcohol ether sulfate, etc.), with excellent
foaming performance, but poor resistance to high valence salt ions, easy to precip-
itate, corrosive hydrolysate, and slightly limited applicability. (2) Cationic foaming
agent, usually a modified quaternary ammonium salt, has a certain foaming perfor-
mance, and there are few reports of application examples. (3) Nonionic foaming
agents (such as polyoxyethylene ether, fatty acid alcohol amide, alkyl polyglyco-
sides, etc.) are commonly used as foaming synergists, which are less affected by
salinity and pH, but some non-ionic foaming agents have cloud point problems and
limited temperature resistance. (4) Amphoteric ion foaming agent with good water
solubility, low biological toxicity, good salt resistance and strong foaming ability.
The common zwitterionic foaming agent is betaine, containing a quaternary ammo-
nium group, in which the carboxyl betaine foam with carboxylate radical at the tail
has outstanding performance and good application prospects. Therefore, this topic
plans to choose betaine amphoteric surfactant as a part of the main agent of foam
drainage agent to enhance the salt resistance of the foam drainage agent system (Gao
et al. 2020b; Bai et al. 2020; Liu et al. 2020b; Wu et al. 2022).
In addition, the natural gas well will also face many problems such as corrosion
and scaling in the production process. In some natural gas wells with high salinity,
acid gas and other harsh conditions, liquid build up and corrosion may occur at the
same time. If a multifunctional foam drainage agent can be used, the purpose of
liquid drainage and corrosion inhibition can be achieved through one construction
operation, which will greatly improve the efficiency and cost of on-site construc-
tion. Therefore, the development of an integrated agent with dual functions of foam
drainage and corrosion inhibition can not only play the role of foam drainage for
gas production but also inhibit the corrosion of gas well fluid to the wellbore, while
resisting the interference of methanol, condensate and other factors to achieve the
purpose of smooth drainage and corrosion inhibition, which has important research
value and application prospects (Gao et al. 2019, 2021; Bai et al. 2021).
Therefore, this paper plans to use the Ross-Miles foam instrument method and
static hanging piece weight-loss method to systematically evaluate a natural gas well
35 Study of the Performance of Foam Drainage Corrosion Inhibition … 389
corrosion inhibition foaming integrated dual function agent (1% lauramide propyl
betaine + 0.6% sodium dodecyl sulfate + 400 mg/L hydrazine hydrate), and judge
its foaming, foam stability and corrosion inhibition ability.
35.2.1 Materials
Lauramidopropyl betaine was purchased from Linyi Lvsen Chemical Co., Ltd;
Sodium dodecyl sulfate and sodium chloride were purchased from Tianjin Damao
Chemical Reagent Factory, and sodium chloride was analytically pure; Hydrazine
hydrate, purchased from Fuchen (Tianjin) Chemical Reagent Co., Ltd; 30–60 °C
petroleum ether, analytical pure, purchased from Tianjin Fuyu Fine Chemical Co.,
Ltd; Both magnesium chloride, chlorine and calcium chloride are analytically pure
and purchased from Tianjin Kemio Chemical Reagent Co., Ltd; Potassium chlo-
ride, analytical reagent, purchased from Tianjin Kemio Chemical Reagent Co., Ltd;
Methanol, analytically pure, was purchased from Mulan Industrial Development
Zone, Xindu District, Chengdu.
35.2.2 Experimental Methods
Evaluation of foaming and stability (Ross-Miles foam instrument method). The

prepared foam discharge agent test solution. Under certain temperature conditions,
pour 200 mL of test solution into the surface of 50 mL of the same test solution
vertically from the top of the scale measuring tube to the bottom 90 cm with a
customized foam meter drip tube, and record the scale value at this time, which is
the initial foam height of the foam discharge agent. Observe and record the scale of
the foam meter at 5 min, 10 min, 15 min and 20 min.
Evaluation of temperature resistance. The foam height and stability of the corro-
sion inhibition foaming system at 30 °C, 40 °C, 50 °C, 60 °C and 70 °C were measured
by Roche foam instrument, and the foam height at 5 min, 10 min, 15 min and 20 min
was recorded.
Salt resistance evaluation. Since formation water contains a variety of ions, such
as Na+ , K+ , Mg+ , Ca+ , etc., which will affect their foaming and foam stability after
contact with surfactants, it is necessary to discuss the impact of different ions on the
corrosion inhibition foam drainage system, and use a high-speed stirrer to measure
the initial foam volume and half-life of liquid evolution at different ions and different
volume percentages (2.5%, 5%, 7.5%, 10%, 12.5%).
390 H. Lin et al.
Performance evaluation of anti-condensate oil. Because of the composition of

condensate oil in each gas well is very different, the formation of bubbles in the
oil–water medium depends on the two competitive processes of bubble formation
in the water phase and bubble rupture in the oil phase. When there is condensate,
the foam-producing medium changes, and the foam stability also changes. In the
selection of the foaming agent, to ensure the accuracy and repeatability of the test,
this test uses petroleum ether as raw material, and uses a Ross-Miles foam meter
to test the foaming height and stability of the petroleum ether system with volume
percentages of 5%, 10% and 15%, and records the foam height every 5 min, a total
of 5 times.
Evaluation of methanol resistance. In the process of gas well exploitation, a certain
amount of methanol is often added to achieve the effect of antifreeze, and can also
prevent the blockage of natural gas hydrates. Simulate the field conditions of gas
wells, use Roche foam meter to measure the foaming height and foam stability
of methanol systems with a volume percentage of 5%, 10% and 15% at room
temperature, and record the foam height every 5 min for 5 times in total.
35.2.3 Evaluation of Corrosion Inhibition Capacity
Hanging piece weight-loss method: according to SY/T5405-1996 acid corrosion

inhibitor performance test method and evaluation index, it was evaluated. The test
material is Q235 steel sheet with a size of 50 mm × 10 mm × 3 mm.
(1) Select Q235 steel hanging piece, and grind the test steel piece with 200 mesh,
600 mesh and 1200 mesh sandpaper in turn. After being polished to bright, clean
it with petroleum ether and anhydrous ethanol in turn, place the test piece on
the quantitative filter paper, dry it with cold air, and then weigh the initial mass
m0, length, width, height and inner diameter of the steel piece after it is dry.
(2) Thread the steel sheet with cotton thread and put it into the corrosive medium
in two groups. Remember not to make the steel sheet touch the cup wall,
Corrosion medium is a corrosion inhibitor solution with volume percentages
of 50 mg/L, 100 mg/L, 200 mg/L, 300 mg/L, 400 mg/L, 500 mg/L respec-
tively +1.0% lauramide propylbetaine +0.6% sodium dodecyl sulfate; The
volume percentage of hydrazine hydrate corrosion inhibitor solution is 100 mg/
L, 200 mg/L, 300 mg/L and 400 mg/L respectively +1.0% lauramide propyl
betaine +0.6% sodium dodecyl sulfate; The control test and blank test were
designed, that is, the corrosion medium was 1.0% lauramide propyl betaine +
0.6% sodium dodecyl sulfate and water, a total of 12 bottles of solution.
(3) Put 12 bottles of samples to be tested into the incubator, adjust the temperature
to 60 °C, and keep the constant temperature for 72 h.
(4) After 72 h, take out the steel sheet and measure its mass m1 after corrosion.
(5) According to the Evaluation Method of Corrosion Inhibitor Performance for

Oilfield Produced Water (SY/T5273-2000), the corrosion rate Vcorr and corro-
sion inhibition rate of Q235 steel sheet are measured by static coupon weight
loss method:
8.76 × 104 × (m 0 − m 1 )
Vcorr =
Stρ
Δm 0 − Δm 1
η=
Δm 0
where Vcorr is the uniform corrosion rate (mm/a); m0 is the mass of the test
piece before the test (g); m1 is the mass of the test piece after the test (g); S
is the total area of the test piece (cm2 ); t is the test time (h); ρ is the material
density (g/cm3 ); is the corrosion inhibition rate, %; Δm is the mass loss of test
piece in blank test (g); is the mass loss of the test piece in the corrosion inhibitor
test (g).
35.3.1 Evaluation of Foaming and Stability
Temperature resistance. It can be seen from Table 35.1 that at 0 min, since the
activity of surfactant solution gradually increases with the increase of temperature,
the number of bubbles also increases. At 30 °C and 40 °C, the bubble height decreases
with time. This is mainly because at low temperatures, the liquid in the liquid film
flows slowly and the gas in the bubble diffuses slowly in the bubble, so the bubble
is relatively stable. Under high temperature conditions, the height of foam decreases
with time, and its stability decreases.
Salt resistance. According to the analysis in Tables 35.2, 35.3, 35.4, and 35.5 with
the increase of salt solution content in the system, the initial foam height shows a
trend of first decreasing and then increasing. When the salt volume percentage is
Table 35.1 Effect of temperature on corrosion inhibition foaming system

Temperature/°C Foam height/cm
0 min 5 min 10 min 15 min 20 min
30 19.5 19.4 19.2 19.2 19.1
40 21.2 21.0 21.0 18.0 14.3
50 22.4 21.5 11.3 7.6 5.9
60 22.2 17.0 6.3 4.7 3.7
70 23.0 12.0 4.2 2.9 1.9
392 H. Lin et al.
5%, the initial foam volume gradually increases with the increase of the volume
percentage, and the half-life continues to increase with the increase of the ionic
volume percentage. In conclusion, the stability of foam gradually increases with the
increase of the ionic volume percentage, At the same time, the corrosion inhibition
foaming system has a strong salt resistance. Compared with the other three salt
solutions, the CaCl2 solution has a greater impact on the corrosion inhibition foaming
system, and the initial foam volume and half-life decrease significantly.
Performance of anti-condensate oil. It can be seen from the analysis in Table
35.6 that the initial foam height is high after adding petroleum ether into the corro-
sion inhibition foaming system. When the volume percentage of petroleum ether is
10%, the initial foam height reaches 27.9 cm. As time goes on, the foam gradually
expands, and the foam height increases significantly. In 20 min, the foam height of
the system with 10% of petroleum ether volume percentage reaches 45.7 cm, so the
corrosion inhibition foaming system has strong applicability to gas wells containing
condensate.
Methanol resistance. It can be seen from the analysis in Table 35.7 that when the
methanol volume percentage is 5%, the foam height is the highest and the stability is
strong. The foam height of the corrosion inhibition foaming system decreases with
Table 35.2 Effect of KCl on corrosion inhibition foaming system

KCl/% 0 2.5 5 7.5 10 12.5
Initial foam volume/mL 575 300 345 350 350 355
Half life/min 8.48 11.02 11.13 12.17 14.87 16.98
Table 35.3 Effect of NaCl on corrosion inhibition foaming system

NaCl/% 0 2.5 5 7.5 10 12.5
Half life/min 8.48 9.60 11.20 11.35 11.78 12.02
Table 35.4 Effect of MgCl2 on corrosion inhibition foaming system

MgCl2 /% 0 2.5 5 7.5 10 12.5
Half life/min 8.48 11.25 14.47 15.05 16.2 15.93
Table 35.5 Effect of CaCl2 on corrosion inhibition foaming system

CaCl2 /% 0 2.5 5 7.5 10 12.5
Half life/min 8.48 1.35 1.75 1.67 1.97 2.20
Table 35.6 Effect of condensate on corrosion inhibition foaming ability

Volume percentage of petroleum ether/% Foam height/cm
5 24.1 30.5 31.5 31.4 32.5
10 27.9 39.7 43.7 45.7 45.7
15 24.8 38.3 43.1 44.9 45.5
Table 35.7 Effect of methanol on corrosion inhibition foaming ability

Methanol volume percentage/% Foam height/cm
5 19.6 19.5 19.5 19.5 19.5
10 17.0 16.7 16.5 16.5 16.3
15 17.6 17.5 16.9 16.8 16.8
time under different methanol volume percentages, but the decline speed is slow and
the stability is strong.
35.3.2 Corrosion Inhibition Performance
The Corrosion inhibition rate data of different types of corrosion-inhibiting foaming

agents was shown in Table 35.8.
It can be seen from the analysis in Table 35.8 that the addition of hydrazine
hydrate inhibitor can effectively reduce corrosion, and with the increase of concen-
tration, the inhibition rate of the same corrosion inhibition bubble drainage system
shows an increasing trend; 400 mg/L hydrazine hydrate has the best corrosion inhi-
bition performance as a corrosion inhibitor, and the corrosion inhibition rate reaches
93.64%, so 400 mg/L hydrazine hydrate has good corrosion inhibition performance.
35.4 Conclusions
This paper mainly evaluates a natural gas well corrosion inhibition foaming integrated
dual function agent, evaluates the applicability of this system, and draws the following
conclusions: adding salt solution into the corrosion inhibition foaming system has
a great impact on its foaming ability. When the volume percentage of salt solution
is 5%, the initial foam volume is the lowest, and then the foam volume gradually
increases with the increase of the volume percentage. The half-life of liquid sepa-
ration increases with the increase of volume percentage; In the solution containing
394 H. Lin et al.
Table 35.8 Corrosion inhibition rate data of different types of corrosion-inhibiting foaming agents
Type of corrosion Concentration/ corrosion rate Corrosion Average
inhibitor (mg/L) (mm/a) inhibition rate % corrosion
inhibition rate%
Blank water – 0.1041 −1.73 0.00
sample 0.1006 1.73
0.0225 78.03
0.0095 90.75
0.0035 96.53
0.0012 98.84
Control group – 0.0751 26.01 21.39
0.0853 16.76
petroleum ether, the height of foam is higher, and the increased speed is faster with
the change of time, so the applicability is stronger; The addition of methanol has
little effect on the corrosion inhibition foaming system. With the change of time, the
foam height changes little, and the stability is good; The well corrosion inhibition
foaming integrated dual function agent shows good corrosion inhibition capacity for
steel. The corrosion inhibition rate reaches 93.64% under the condition of 60 °C and
72 h at constant temperature.
References
Yan J, Liu Q, Du W, Qu C, Song Z, Li J, Zhang J, Chen G (2020) Synthesis and properties of octadecyl
trimethyl ammonium polyacrylic surfactants. Tenside, Surfactants, Deterg 57:122–128
Gao M, Bai Y, Dong S, Zhang R, Zhang J, Pu C, Chen G (2020a) Synthesis and properties of sodium
dodecyl sulfate-derived multifunctional surfactants. Russ J Phys Chem A 94:1455–1467
Liu Q, Gao M, Qu C, Zhang R, Song Z, Li J, Chen G (2020a) Synthesis and interface activity of
cetyltrimethylammonium benzoate. Russ J Phys Chem B 14:73–80
Gao M, Chen G, Bai Y, Zhang R, Zhang J, Zhu S, Dong S (2020b) Modification of sodium dodecyl
sulfate and the evaluation of the foaming activity. C R Chim 23:551–561
Bai Y, Zhang J, Dong S, Li J, Zhang R, Pu C, Chen G (2020) Synthesis and interface activity of a
series of carboxylic quaternary ammonium surfactants. Desalin Water Treat 188:202–211
Liu Q, Gao M, Zhao Y, Li J, Qu C, Zhang J, Chen G (2020b) Synthesis and interface activity of a
new quaternary ammonium surfactant as an oil/gas field chemical. Tenside, Surfactants, Deterg
57:90–96
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application in enhanced oil recovery. Gels 8:351
Gao M, Lei F, Liu Q, Zhang J, Song Z, Zhang R, Chen G (2019) The effect of alkyl of quaternary
ammonium cationic surfactants on the foaming properties. Russ J Phys Chem A 93:2735–2743
Bai Y, Zhang J, Dong S, Li J, Wang M, Wu Y, Pu C, Chen G (2021) The effect of halide counter ions
and methanol on the foaming activity of cationic surfactants and a mechanism study. Tenside,
Surfactants, Deterg 58:278–286
Gao M, Ma Z, Tian W, Dong S, Zhu S, Zhang J, Chen G (2021) Research of a surfactant gel with
potential application in oilfield. Tenside, Surfactants, Deterg 58:360–370
Chapter 36
Preparation of Green Low-Carbon
Baking-Free Bricks from Iron Tailings
with Metallurgical Slag-Cementing
Materials
Qingping Chai, Changqing Chu, Shiping Wang, Yunyun Li, Xinying Chen,
Abstract The large amount of iron tailings stored in the Anshan region of China
brings many problems of environmental pollution, health issues and land scarcity,
making it a major challenge for industry owners and local governments to deal with
the waste. The best way to solve the iron tailings problem is to develop large-scale
utilization technologies that can reduce the quantity of such waste. In this paper, iron
tailings were used to prepare baking-free bricks in synergy with solid wastes such as
granulated blast furnace slag (GBFS), steel slag (SS), desulfurization gypsum (DG)
and desulfurization ash (DA). The results showed that the compressive strength of the
baking-free brick at 28 d was 31.30 MPa for the cementitious material composed of
GBFS-SS-DG with the fitting ratio of GBFS: SS: DG = 63.8%:21.2%:15%, water-
cement ratio of 0.68 and cement-sand ratio of 3:7. The cementitious material GBFS:
SS: DG: DA = 63.8%:21.2%:6%:9%, cement-sand ratio of 3:7, water-cement ratio
of 0.63, and compressive strength of 28d of the baking-free brick was 28.69 MPa. It is
believed that the use of iron tailings for the preparation of baking-free bricks, which
not only solves the difficulties associated with the disposal of tailings and metallur-
gical slag, but also saves raw materials for these building and construction materials.
In addition, the preparation of baking-free bricks is not only low in production costs
from an economic point of view, but also reduces CO2 emissions by eliminating the
baking process.
Q. Chai · C. Chu · S. Wang

Ansteel Group Mining Corporation Limited, Liaoning 114000, China
Y. Li (B) · X. Chen · W. Ni
School of Civil and Resource Engineering, University of Science and Technology, Beijing,
Beijing 100083, China
e-mail: lyyustb@163.com
X. Cui
https://doi.org/10.1007/978-3-031-30233-6_36
398 Q. Chai et al.
Keywords Iron tailings · Desulfurization ash · Orthogonal test · Baking-free

bricks
36.1 Introduction
Iron tailings are the waste of iron ore after crushing, grinding and beneficiation, which
is the largest amount of industrial solid waste stockpiled and generated, hazardous
to ecological environment and difficult to use (Meng et al. 2010). According to the
statistics, for every 1 ton of iron ore output, there is a total of 1 ton of iron ore tailings.
According to statistics, every 1 ton of iron ore concentrate will produce about 3 tons
of tailings (Ren et al. 2022). The Since China’s iron ore resources are character-
ized by many poor ores, multi-component coexistence and fine embedded particle
size, the generated tailings are characterized by extremely fine particles and great
quantity. The utilization of iron ore tailings is difficult, which brings great pressure
to the enterprise and ecological environment. At present, iron tailings are mainly
used for the recovery of valuable elements, preparation of construction materials,
filling materials, chemical products and agricultural products (Ren et al. 2022; Xu
et al. 2007; Wang and Liu 2008; Pourghahramani et al. 2008; Shettima et al. 2016).
However, these methods can hardly solve the problem of increasing iron tailings
stockpiles, and there is an urgent need for a way to utilize iron tailings in bulk.
The data released by the National Bureau of Statistics 2021 shows that China’s
crude steel production has exceeded 1 billion tons in 2020. With 100 ~ 140 kg of
steel slag generated per ton of crude steel, the amount of steel slag generated in
China in 2020 is about 120 million tons (Wang et al. 2020; Wang 2019). Cui et al.
(2017, 2018), Chou et al. (2014) used steel slag, blast furnace slag and desulfurization
gypsum as the main raw materials to prepare cementitious materials and studied their
hydration mechanism, and Liu et al. (2016), Xu et al. (2020), Du et al. (2020), Li
et al. (2017) prepared cementitious materials from metallurgical slag and investigated
their effects on the strength of concrete. Because of its preparation process without
sintering, and with fly ash, cinder, coal gangue, tailings slag and other waste cheap
and easily available industrial waste as raw materials, the baking-free brick can
not only solve the problem of pollution of the environment by the accumulation
of bulk solid waste. Therefore, this project proposes the preparation of baking-free
bricks from iron tailings with GBFS-SS-DG based cementitious materials, seeking
a good way for the effective utilization of iron tailings. Desulfurization ash (DA) is
the by-product of desulfurization of sintered flue gas by dry and dry method, with
dry state, fine particle size and other characteristics (Su et al. 2016).It has become
the third largest solid waste in the steel industry after granulated blast furnace slag
and steel slag (Shao et al. 2022). The third largest solid waste in the steel industry
after granulated blast furnace slag and steel slag. Due to the presence of CaSO3 ·1/
2H2 O and Ca(OH)2 in the DA, it is characterized by instability and swelling after
hydration. Also formally because of the presence of Ca2+ , OH− , SO3 2− , SO4 2− in
desulfurization ash, there is a possibility of replacing steel slag and desulfurization
36 Preparation of Green Low-Carbon Baking-Free Bricks from Iron … 399
gypsum in the GBFS-SS-DG system, so this study is a preliminary investigation

on the preparation of GBFS-SS-DG-DA-based cementitious materials in synergistic
tailings for the preparation of baking-free bricks by replacing SS and DG with DA.
Taking the compressive strength of the baking-free brick as the index, the baking-
free brick ratio was optimized through the experiment to provide a way for the
comprehensive utilization of iron tailings and solid wastes such as metallurgical slag
and desulfurization ash.
This paper presents a preliminary discussion on the preparation of baking-free
bricks from multi-solid waste synergistic tailings, and the matching ratio of baking-
free bricks is optimized through orthogonal experiments to provide a way for the
comprehensive utilization of solid waste such as iron tailings and metallurgical slag
and desulfurization ash.
36.2 Raw Materials and Test Methods
36.2.1 Test Raw Materials
In this test, iron tailings from Daguoshan processing plant of Ansteel Group Mining
Corporation Limited were used. The particle size distribution is shown in Table 36.1,
and the particle size was mainly distributed between 200 and 400 mesh. GBFS, SS
and DG are produced by Anshan Steel Group, with specific surface area of 400 m2 /
kg, 380 m2 /kg and 400 m2 /kg respectively. DA is produced by Dagushan Sintering
Plant of Ansteel Group. The chemical composition of all raw materials is shown in
Table 36.2.
Table 36.1 Particle size

Granularity Productivity Is accumulating
distribution of iron tailings in
Daguoshan processing plant +100 mesh 2.49 2.49
(%) −100 to +200 mesh 12.56 15.05
−200 to +400 mesh 67.99 83.04
−400 mesh 16.97 100.00
Table 36.2 Chemical composition of main raw materials (wt%)

Raw SiO2 Fe2 O3 CaO MgO Al2 O3 K2 O SO3 Na2 O MnO P2 O5 TiO2
materials
Tailings 71.68 12.57 5.47 4.81 3.31 0.71 0.40 0.30 0.29 0.25 0.12
GBFS 24.76 2.53 46.16 8.94 15.43 0.32 – 0.48 0.26 0.05 0.92
SS 17.05 22.33 38.49 6.00 5.78 0.06 0.29 0.11 3.63 1.12 0.93
DG 2.03 0.78 30.01 1.04 0.78 0.15 44.97 0.06 0.03 0.06 –
400 Q. Chai et al.
36.2.2 Test Method
Weigh the proportion of cementitious materials required for the test raw materials,
mix well and pour into the cement cement mixing pot, add iron tailings and water
according to a certain cement-sand ratio, water-cement ratio, mix according to the
automatic procedure, mix well and then place the slurry in a 40 mm × 20 mm × 10 mm
pressed after mixing well, and take off the mold for maintenance. The maintenance
conditions are set to 40°C and ≥ 90% humidity. After the maintenance age reaches 3d,
7d and 28d, the compressive strength test method of concrete brick with reference to
GB/T 21,144–2007 < concrete solid brick > concrete brick compressive strength test
method is tested separately and taken as the main assessment index of the performance
of baking-free brick.
36.3.1 GBFS-SS-DG Ternary System Cementitious Material

Baking-Free Brick
The method of orthogonal test was used to study the matching ratio used for low-
cost baking-free bricks. The finely ground slag, steel slag and desulfurization gypsum
were used as cementing materials, and the tailings of Anshanshan Steel Mining were
used as aggregates, and the water-cement ratio was 0.68. Determination of test factors
and levels: 3 factors were used in the experiment, and the orthogonal test design was
carried out according to 3 levels. The three factors of the orthogonal test were slag
to steel slag mass ratio (A), desulfurization gypsum admixture (B) and cementitious
sand ratio (C). Each factor was taken as three levels according to the experimental
results of the previous basis, and the orthogonal test design was carried out with three
factors and three levels, and the factors and corresponding levels are shown in Table
36.3. The orthogonal test scheme is shown in Table 36.4.
Table 36.5 shows the results of compressive strength of orthogonal test, and Table
36.6 shows the analysis of polar difference of orthogonal test of baking-free brick.
According to the calculation in Table 36.6, the relationship between the extreme
difference R value and the age of the baking-free brick is plotted, as shown in
Table 36.3 Table of

Level Factors
influencing factors and levels
of orthogonal experiments on A (GBFS: SS) B (DA) C (rubber sand ratio)
baking-free bricks 1 3:1 10% 1:4
2 2:1 15% 1:3
3 1:1 20% 3:7
Table 36.4 Orthogonal test scheme for the preparation of slag-steel slag-desulfurization gypsum
gelling material for baking-free bricks
Number Column number Experimental protocol
1 (Factor A) 2 (Factor B) 3 (Factor C)
A-1 1 1 1 A1 B1 C1
A-2 1 2 2 A1 B2 C2
A-3 1 3 3 A1 B3 C3
A-4 2 1 2 A2 B1 C2
A-5 2 2 3 A2 B2 C3
A-6 2 3 1 A2 B3 C1
A-7 3 1 3 A3 B1 C3
A-8 3 2 1 A3 B2 C1
A-9 3 3 2 A3 B3 C2
Table 36.5 Results of

Number 3d/MPa 7d/MPa 28d/MPa
orthogonal test for
baking-free bricks A-1 9.27 14.05 23.47
A-2 11.47 16.91 25.57
A-3 13.75 19.42 28.5
A-4 12.14 15.37 23.84
A-5 12.81 17.28 27.22
A-6 10.15 14.42 21.45
A-7 9.18 12.68 25.71
A-8 9.5 13.42 16.58
A-9 8.78 10.53 17.03
Fig. 36.1. It can be seen in Fig. 36.1, especially at the ages of 3d and 7d, which
are the highest R-values among the three factors. At 28d of hydration, the highest
R value of cement-sand ratio (factor C) indicates that the biggest factor affecting
the compressive strength of the baking-free brick is the cement-sand ratio when the
hydration reaction proceeds to the later stage.
In addition, with the increase of cement-sand ratio, the average size of C factors
in the order of‾K3 > ‾K2 > ‾K1 , which indicates that the larger the cement-
sand ratio the higher the 28d compressive strength of the baking-free brick. This
is because the increase of the cement-sand ratio makes the amount of sand in the
unit cubic mortar decrease and the amount of cementitious material increase, which
not only improves the thickness of the cementitious material slurry film including
sand particles, but also reduces the area of the interfacial transition zone between
the cementitious material and sand particles. The interfacial transition zone is the
most easily damaged part of the internal structure of the mortar under stress. It can
be seen that the increase of the thickness of the cementitious material slurry film and
402 Q. Chai et al.
Table 36.6 Analysis of extreme differences of orthogonal test for baking-free bricks
Age Factors K̄1 K̄2 ‾K̄3 R
3d A 11.5 11.7 9.2 2.5
B 10.2 11.3 10.9 0.4
C 9.6 10.8 11.9 2.3
7d A 16.8 15.7 12.2 4.6
B 14.0 15.9 14.8 1.8
C 14.0 14.3 16.5 2.5
28d A 25.8 24.2 19.8 6.1
B 23.3 24.1 22.3 2.0
C 20.5 22.1 27.1 6.6
Fig. 36.1 Relationship

7
between R-value and age A
C
6 D
4
R
0
3d 7d 28d
Days
the decrease of the area of the interfacial transition zone will increase the strength
of the mortar. Taking 28d compressive strength as the assessment index, according
to the‾K values of A, B and C factors, it can be determined that the main order of
factors affecting 28d compressive strength is C > A > B, and the optimal matching
ratio is A1 B2 C3 .
The optimized proportion obtained from the orthogonal test is A1 B2 C3 , GBFS to
SS mass ratio of 3:1, desulfurization gypsum dosing of 15%, and cement to sand
ratio of 3:7. Since the proportion A1 B2 C3 is not in the orthogonal test scheme, this
proportion is coded as A-10 and verified by the test. Table 36.7 shows the optimized
ratio of baking-free bricks with water-cement ratio of 0.68 calculated according to
the conclusion of the orthogonal test. Using this ratio scheme for the validation test,
the result of compressive strengths of baking-free bricks in group A-10 at 3d, 7d and
28d age were shown in Fig. 36.2, which fully satisfied the expected target of the test
and the compressive strength was significantly higher than that of the orthogonal test
group.
Table 36.7 Verification test ratio

Number Gelling material Sand ratio Water to glue ratio
Slag Steel slag Desulfurization gypsum
A-10 63.8% 21.2% 15% 3:7 0.68
Fig. 36.2 Strength of 35
baking-free bricks at each 31.3

age of the verification test 30
Compressive strength/MPa 25
21.29
20
15.63
15
10
0
3d 7d 28d
Days
36.3.2 GBFS-SS-DG-DA System Cementitious Material

Combined with Tailings for the Preparation
of Baking-Free Bricks
In this study, GBFS-SS-DG-DA cementitious material was tested for the preparation
of baking-free bricks in cooperation with iron tailings. The experiment ratio design
is shown in Table 36.8. Based on the optimized ratio obtained from the orthogonal
test, the DA was replaced with 3%, 6%, 9%, 12% and 15% of DG.
It can be seen from Table 36.9. compressive strength of baking-free brick at
different ages that with the increase of DA admixture, the compressive strength of
Table 36.8 DA instead of DG preparation of baking-free bricks experimental ratio

Number Gelling material Sand ratio Water to glue ratio
GBFS SS DG DA
D-1 63.8% 21.2% 15% – 3:7 0.63
D-2 12% 3%
D-3 9% 6%
D-4 6% 9%
D-5 3% 12%
D-6 0 15%
404 Q. Chai et al.
Table 36.9 Test results of

Number 3d/MPa 7d/MPa 28d/MPa
preparation of baking-free
bricks by DA instead of DG D-1 12.18 17.08 26.51
D-2 12.61 15.24 23.24
D-3 12.38 15.39 19.65
D-4 15.21 22.07 28.69
D-5 12.41 14.38 26.52
D-6 11.05 18.4 24.27
baking-free brick samples showed a gradually decreasing trend. The compressive

strength of the samples of D-3 group reached the lowest value, and the 28d compres-
sive strength was only 19.65 MPa. when the DA completely replaced the DG, the
compressive strength of the baking-free bricks at all ages decreased again.
The reason for the decrease in the strength of D-1 to D-3 may be that the main
mineral phase of DG is CaSO4 ·2H2 O and the main mineral phase in DA is Ca(OH)2 .
When the amount of DA replacing FG increases, the SO4 2− content within the GBFS-
SS-DG-DA cementitious material system decreases and the content of ettringite
generated by the hydration reaction decreases, making the hydration reaction process
gradually slower.
DA is a nano-scale powder material with small density and large specific surface
area, while the CaSO4 in it turns into CaSO4 ·2H2 O when it meets water, thus requiring
more water. This may be the reason for the increased strength of D-3 to D-4. With
the increasing amount of DA blending, the actual water-cement ratio in the system
keeps decreasing, and the water-cement ratio is the main factor affecting the strength
of the baking-free bricks, so the compressive strength of the baking-free bricks keeps
increasing. The strength of D-4 to D-6 decreases again because although the actual
water-cement ratio in the system is still decreasing, the SO4 2− content also decreases
to the minimum, and the amount of generated hydration products decreases.
From the results of this batch of tests, it can be seen that the quaternary system
consisting of DA from Anshan Mining with GBFS, SS and DG is feasible. The
optimized ratio of GBFS-SS-DG-DA cementitious material is GBFS: SS: DG: DA
= 63.8%: 21.2%: 6%: 9%.
36.3.3 Microstructure Analysis of GBFS-SS-DG-DA System

Cementitious Material Baking-Free Bricks
The SEM photographs of the GBFS-SS-DG-DA gelling material baking-free bricks

are shown in Fig. 36.3. The tailings particles are tightly wrapped by the cementitious
material and its hydration products as seen in Fig. 36.3a and Fig. 36.3b. The dense
network-like hydration product C-S–H gel is generated inside the baking-free brick as
seen in Fig. 36.3c. The C-S–H gel is the main product of the hydration process of the
(a) (b) (c)

Fig. 36.3 SEM photo of baking-free brick
cementitious material and can characterize the macroscopic mechanical properties

of concrete on its microscopic level.
36.4 Conclusion
(1) The orthogonal test for the preparation of baking-free bricks with GBFS-SS-
DG system cementitious materials in cooperation with tailings shows that the
cement-sand ratio can be used as the main control factor to regulate the compres-
sive strength of the baking-free bricks with solid waste-based cementitious
materials.
(2) From the orthogonal test, the optimized ratio of solid waste-based cementitious
material baking-free brick was obtained as follows: 63.8% of GBFS, 21.2% of
SS, 15% of DG, and 3:7 of cement-sand mass ratio. The compressive strengths
of baking-free brick at 3 d, 7 d and 28 d were 15.63 MPa, 21.29 MPa and
31.30 MPa, respectively.
(3) DA can partially replace desulfurization gypsum in cementing material, and the
28d compressive strength of the baking-free brick is the highest when GBFS:
SS: DG: DA = 63.8%:21.2%:6%:9%, which is 28.69 MPa.
References
Chou XJ, Ni W, Wang SJ (2014) Strength development of steel & lron slag cement without clinker
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Chapter 37
Study on the Preparation of Green
Low-Carbon Baking-Free Bricks
from Iron Tailings Co-granulated Blast
Furnace Slag-Desulfurization Ash
Chun Yang, Dawei Pan, Wenduo Xue, Yunyun Li, Xinying Chen,
Abstract In order to improve the comprehensive utilization rate of iron tailings, iron
tailings from Ansteel Group Mining Corporation Limited were used as the main raw
material, in collaboration with blast furnace slag and desulfurization ash, and the press
molding method was used to prepare baking-bricks, and the hydration mechanism
was studied. The results show that when the ratio of granulated blast furnace slag,
desulfurization ash and iron tailings is 12:8:80, the mixing water consumption is 10%,
the molding pressure is 10 MPa, and the 28 d compressive strength is 13.4 MPa. With
the help of XRD, FTIR, SEM and TG–DTA tests, the hydration hardening mechanism
is studied. The study shows that the desulfurization ash excites the potential activity
of granulated blast furnace slag, the cementing material gels densely with the surface
of tailings particles, and the main hydration product is C–S–H gel and AFt.
Keywords Iron tailings · Desulfurization ash · Baking-free bricks · Hydration

mechanism
C. Yang · D. Pan · W. Xue

Ansteel Group Mining Corporation Limited, Liaoning 114000, China
Y. Li (B) · X. Chen · W. Ni
School of Civil and Resource Engineering, University of Science and Technology Beijing,
Beijing 100083, China
e-mail: lyyustb@163.com
X. Cui
https://doi.org/10.1007/978-3-031-30233-6_37
408 C. Yang et al.
37.1 Introduction
Iron tailings are solid wastes generated after iron ore has been processed and selected
for valuable components. With the development of the iron and steel industry, the
amount of iron tailings generated has been accumulating, and it is reported that as of
2021, the national stock of tailings has exceeded 20.7 billion t, of which more than
39.3%, or about 8.14 billion t, is iron tailings (Wang 2019). At present, the utilization
rate of tailings in China is 18.9%, and the utilization rate of iron tailings is less than
7%, which is still a big gap compared with foreign countries (Yao et al. 2020). A
large amount of iron tailings accumulation not only occupies a large amount of land,
but also brings pollution to the surrounding environment and threatens the property
and life safety of the surrounding residents. With the progress of science and tech-
nology, the resourceful and high value-added utilization of tailings has received more
and more attention from enterprises and institutions. At present, the comprehensive
utilization of tailings is mainly focused on making construction materials, recovering
valuable elements from iron tailings, and filling the mining area and strengthening
the road base (Tong and Wang 2021; Piao et al. 2016; Fan 2018). In recent years,
some scholars have also tried to use iron tailings to produce high value-added prod-
ucts, using them as raw materials for the preparation of microcrystalline glass, foam
ceramics and so on (Sui et al. 2014; Ma 2019, 2017; Wang 2020). However, all
these utilization methods have certain limitations of high energy consumption and
high cost. Therefore, how to solve the problem of mine tailings stockpiles with high
quality and efficient resource utilization of iron tailings will definitely become the
top priority for the sustainable development of mining enterprises in China.
The iron ore resources in Anshan region of Liaoning province are rich and have
a long history of mining. In this study, the magnetite quartzite type iron tailings
from Anshan area were used as the main raw material for the preparation of building
materials, and the iron and steel metallurgical solid waste slag and desulfurization
ash were used as the cementing materials to prepare baking-free bricks by pressing
and molding and wet gas maintenance in order to further reduce the utilization cost
of iron tailings and broaden their application scope, and provide a new method for
the comprehensive utilization of iron tailings.
37.2 Test
37.2.1 Test Materials and Their Properties
The raw materials used in the experiment are mainly iron tailings, granulated blast
furnace slag (GBFS) and desulfurization ash (DA). The iron tailings are from Dagu-
oshan beneficiation plant of Ansteel Group Mining Company, and the main mineral
phases are quartz, feldspar, mica, amphibole, chlorite, etc. The granulated blast
furnace slag powder is provided by Ansteel Green Resources Technology Co. The
37 Study on the Preparation of Green Low-Carbon Baking-Free Bricks … 409
Table 37.1 Analysis results of the main chemical composition of the raw materials (wt%)
Raw materials SiO2 Fe2 O3 CaO MgO Al2 O3 K2 O SO3 Na2 O MnO
Tailings 71.68 12.57 5.47 4.81 3.31 0.71 0.40 0.30 0.29
GBFS 24.76 2.53 46.16 8.94 15.43 0.32 – 0.48 0.26
DA 2.24 32.70 40.66 0.71 1.43 0.21 4.47 0.21 0.03
1400
1000 16000
1 1-Ca(OH)2 1-Quartz
(a) 1 (b) (c) 1
2-Albite
900 1-SiO2 1200 2-Fe2O3 14000
3-Microcline
3-MgO 4-Muscovite
800 12000
1000 4-Ca(CO)3 5-Ferrotschermakite
5-CaSO4 6-Clinochlore
700
1 10000 7-Hematite
Intensity/ a.u.
800
Intensity/a.u.
Intensity/a.u.
8-Ankerite
600
8000 9-Calcite
600 10-Talc
500
1 11-Sepiolite
6000
400
400
1 1
2 4000
300 1
2 1
200 4 3 1
1 1
200 25 2 2 2000
11 2 1 2
11 5 3 5 4 2 7 29 8 7 3 6 3
10
0 0
100
10 20 30 40 50 60 70 10 20 30 40 50 60 70 10 20 30 40 50 60 70
2θ ̸ (°) 2θ ( ) 2θ ̸ (°)
(A) (B) (C)
Fig. 37.1 XRD spectrum of raw material. a GBFS, b DA, c iron tailings
Table 37.2 Particle size

Granularity Productivity Is accumulating
distribution of iron tailings
(%) +100 mesh 2.49 2.49
−100 to +200 mesh 12.56 15.05
−200 to +400 mesh 67.99 83.04
−400 mesh 16.97 100.00
granulated blast furnace slag powder is provided by Anshan Green Resources Tech-
nology Co., Ltd. and is mainly in glass phase with a specific surface area of 400 m2 /kg.
The desulfurization ash is provided by Daguoshan Pelletizing Plant of Ansteel Group
Mining Corporation Limited and its main mineral phases are calcium hydroxide and
iron oxide, as well as calcium carbonate and calcium sulfate, with a specific surface
area of 650 m2 /kg. The chemical compositions of iron tailings, GBFS and DA are
shown in Table 37.1, and the XRD patterns are shown in Fig. 37.1.
As can be seen from the size distribution of iron tailings in Table 37.2, the size of
iron tailings is fine, and the size of tailings is mainly from −200 to +400 mesh, with
a yield of about 68%. Among them, the cumulative yield of +400 mesh or above is
about 80% or more.
37.2.2 Baking-Free Brick Preparation
GBFS and DA according to the mass ratio of 6:4 and after the test small mill mixed
grinding 50 min ready for use. Mix the cementing material and tailings in a certain
410 C. Yang et al.
proportion for 2−3 min, then add the appropriate amount of water (water–solid ratio
0.1) and continue to mix for 1 min, mix well and place the slurry in a 40 mm ×
20 mm × 10 mm pressing mold, vibrate and then put it into the press for pressing
and molding, and take off the mold for maintenance. Cultivation conditions are set
at 40 °C and humidity ≥90%. After the age of maintenance reaches 3, 7 and 28 d,
the compressive strength of baking-free bricks test block is tested respectively, and
it is taken as the main assessment index of the performance of baking-free bricks.
And take the center part of each age sample broken pieces with anhydrous ethanol
termination of hydration, the termination of hydration samples for XRD, SEM, FTIR
and other analysis.
37.2.3 Test Method
A Rigaku Ultima_IV X-ray diffractometer was used to determine the phase compo-
sition of the hydrated hardened slurry with a Cu target at a wavelength of 15.406 nm,
an operating current of 40 Ma, an operating voltage of 40 kV, a scanning range of
5–90°, and a step size of 0.02°. The chemical structure of the hydration products was
analyzed by NEXU-670 FTIR infrared spectrometer (FTIR) with a wave number
range of 350–7000 cm−1 and a resolution of 3 cm−1 . The microscopic morphology
of the hydration-hardened slurry of baking-free bricks was observed by a scanning
electron microscope S250 from Cambridge, UK.
37.3.1 Effect of Cement-Sand Ratio on the Compressive

Strength of Baking-Free Bricks
The admixture of iron tailings is an important influencing factor on the mechanical

properties of the baking-free bricks, which determine their application fields. In this
study, under the fixed ratio of 6:4 of GBFS and DA, the influence of cement-sand
ratio on the mechanical properties of baking-free bricks was investigated by changing
the admixture of iron tailings and setting the r cement-sand ratio to 3:7, 2:8 and 1:9,
and the compressive strength of baking-free bricks at 3, 7 and 28 d was taken as the
index. The compressive strengths of baking-free bricks with different cement-sand
ratio at various ages are shown in Fig. 37.2.
As can be seen from Fig. 37.2, the compressive strength of the baking-free bricks
decreases continuously as the amount of iron tailings increases from 70 to 90%. This
is because as the amount of iron tailing gradually increases, the cement-sand ratio
gradually decreases, and the content of gel material is not enough to completely
bond the iron tailing as well as the unreacted components together. The excess iron
Fig. 37.2 Influence of 18

cement-sand ratio on the 1:9
performance of baking-free 16
2:8
bricks 3:7
Compressive strength/MPa
14
12
10
2
3d 7d 28d
Days/d
tailings prevented the parts of the material from bonding together, which had a
negative impact on the compressive strength of the baking-free bricks. When the
iron tailing is mixed with 80%, the compressive strength of the burn-free brick at
28 d is 15.72 MPa, which can meet the requirement of MU15 strength grade in
GB/T 21144-2007 “Solid Concrete Brick”. Therefore, considering the maximum
utilization of iron tailings, the iron tailings admixture was determined to be 80%.
37.3.2 Influence of Forming Pressure on the Performance

of Baking-Free Bricks
Compression molding can make the components of the cementitious material in close
contact to ensure the efficient reaction between the components, and at the same time
provide a certain initial strength for the bricks. Under the condition of 6:4 GBFS:DA
and 1:4 cement-sand ratio, the press molding was controlled at different pressures
of 10, 20, 30 and 40 MPa, respectively, to investigate the effect of different press
molding on the compressive strength of baking-free bricks.
From Fig. 37.3, it can be seen that the compressive strength of the burn-free
brick increases rapidly with the increase of the molding pressure first, and the rate
of increase is slow when the molding pressure increases from 30 to 40 MPa. The
compressive strength of the baking-free bricks at 28 d can be seen that the compressive
strength at 30 MPa increased by 123.1% compared with that at 10 MPa, but the
compressive strength of the baking-free bricks increased by 3.73% compared with
that at 30 MPa by continuing to increase the molding pressure to 40 MPa, and the rate
of increase was slow. Therefore, the suitable molding pressure for the baking-free
bricks in this study is 30 MPa.
412 C. Yang et al.
45
40
3d
7d
Compressive strength/MPa
35
28d
30
25
20
15
10
10MPa 20MPa 30MPa 40MPa

Forming Pressure
Fig. 37.3 Influence of forming pressure on the performance of baking-free bricks
37.3.3 Microscopic Characterization of Baking-Free Bricks
In order to further investigate the strength formation mechanism of iron tailings

baking-free bricks, mineral phase and group properties were analyzed for the free
bricks prepared under the conditions of GBFS:DA of 6:4, cement-sand ratio of 1:4,
mixing water quantity of 10% and molding pressure of 10 MPa.
37.3.3.1 XRD Analysis
Figure 37.4 shows the XRD spectrum of the baking-free bricks at the age of 28 d.
The main mineral phases of the baking-free bricks at the age of 28 d are similar to
those of the iron tailings in the raw material. It is noteworthy that the diffraction
peaks of Ca(OH)2 and CaSO4 do not appear in the XRD pattern of the baking-free
bricks, which indicates that Ca(OH)2 and CaSO4 in the DA are completely involved
in the hydration reaction during the reaction process. Compared with the diffraction
peaks of iron tailings, the diffraction peaks of ettringite (AFt) appear near 2θ =
10° in the baking-free bricks, in addition to the diffuse diffraction peaks near 2θ =
30°, which indicates the generation of ettringite and amorphous C–S–H gel in the
GBFS-FA-iron tailings system.
Fig. 37.4 XRD spectrum of 1

1-Quartz 6-Hematite
baking-free bricks with iron 2-Albite 7-Ankerite
tailings at 28 d age 3-Muscovite 8-Calcite
4-Ferrotschermakite 9-Talc
5-Clinochlore 10-AFt
1 1 Baking-free bricks
9 1
1 1
4 5 10 2 87 1
1 6 1 1
3 5 1
Iron tailings
10 20 30 40 50 60 70
2θ/º
37.3.3.2 FTIR Analysis
Figure 37.5 shows the FTIR spectra of the baking-free bricks at 28 d of age. The broad
absorption band at 3422.1 cm−1 characterizes the asymmetric stretching vibration
of the hydroxyl group (X–OH) in the hydration product (Liu et al. 2016). The band
at 1635.5 cm−1 is the bending vibration of the crystalline H2 O in the hydration
product (Zhao 2010). The absorption peaks at 1635.5 cm−1 indicate that a large
amount of crystalline water-rich material was produced during the hydration of the
baking-free bricks. 1427.3 cm−1 is the asymmetric vibrational band of CO3 2− (Dong
2010). 1082.0 and 609.5 cm−1 are the characteristic absorption peaks of SO4 2−
in the molecular structure of AFt. 1010.6 and 462.9 cm−1 are the characteristic
peaks of asymmetric stretching and bending vibrations of the Si–O–Si bond of the
C–S–H gel [SiO4 ]4− tetrahedron (Ren et al. 2021). The weak absorption peak at
875.6 cm−1 is caused by the solid solution of Fe in the hydration product AFt, and
the small substitution of Al by Fe leads to the decrease of symmetry of AFt and
the displacement and splitting of the spectral band (Jiang 2001). This indicates that
part of the active Fe2 O3 in the desulfurization ash replaces the active Al2 O3 into
the AFt to produce hydrated calcium sulfate (Ca6 Fe2 (SO4 )3 (OH)12 ·26H2 O) (Liu
et al. 2016). From the FTIR analysis results, it can be seen that C–S–H gel, AFt
and hydrated calcium thiosulfate were produced during the hydration process of the
mineral powder—FGD ash—tailings system baking-free bricks.
37.3.3.3 SEM Analysis of the Baking-Free Bricks
Figure 37.6 shows the SEM pictures and surface scans of the baking-free brick at 28 d
of age. From Fig. 37.6, it can be seen that there are a large number of gel-like hydration
products attached and wrapped on the surface of tailings particles. It is judged that the
GBFS-DA system generates hydrated calcium silicate and calcium aluminosilicate
414 C. Yang et al.
Fig. 37.5 FTIR spectrum of 1874.2

609.5
2850.6
28 d age baking-free bricks
2513.1
2918.1 1795.6
694.3
1635.5 777.2
875.6
462.9
3433.1
1427.3
1082.0
1010.6
4000 3500 3000 2500 2000 1500 1000 500
Wavenumber/cm-1
gel, which wraps the tailings particles and fills in the gaps to bond the tailings particles
closely together to form a dense microstructure, thus forming a high mechanical
property. From the results of XRD, FTIR and TG–DTA analyses, it was found that
C–S–H gels and AFt were produced inside the baking-free bricks, while AFt was not
directly observed in SEM. In metallurgical slag-cementing materials, AFt is produced
in large quantities in the early stage of hydration, and AFt interpenetrates and opens
into a skeletal structure, which contributes to the early strength development of the
hardened body of cementitious materials (Liu et al. 2016; Li et al. 2020). It indicates
that as the hydration reaction continues, the AFt is gradually encapsulated by the
hydration products such as C–S–H gels, and the internal structure of the system
becomes more dense and the strength is further improved.
Fig. 37.6 SEM photo and

EDS energy spectrum at 28 d
of age of baking-free bricks
37.3.4 Analysis of the Hydration Mechanism of Baking-Free

Bricks
The chemical reaction processes occurring inside the samples during the maintenance
period are mainly: (1) the hydration reaction between the components in the GBFS
and the water film on the surface of the particles to produce various gel substances;
(2) Ca(OH)2 , CaCO3 , CaSO4 in the DA as the calcium source for the hydration
reaction, which increases the alkalinity of the slurry after hydration; (3) under the
alkaline environment, the silica-oxygen tetrahedra and aluminum-oxygen tetrahedra
in the GBFS depolymerize re-polymerization to generate AFt and C–S–H gel; (4)
there are a large number of silica (aluminum)-oxygen broken bonds on the surface of
tailings silicate properties, and in the GBFS-DA cementitious material system, the
silica (aluminum)-oxygen broken bonds are re-bonded to form new silica-oxygen or
aluminum-oxygen tetrahedra and generate C-S–H gel. Under the synergistic effect
of the four processes the internal micropores of the baking-free brick are filled, the
micropore structure is improved, and the strength of the brick increases, with GBFS
and FA hydration playing a major role.
37.4 Conclusion
(1) The iron tailings in Anshan area can be used to make baking-free tailings bricks
after proper proportioning. When the mass ratio of GBFS:DA is 6:4, the cement-
sand ratio is 1:4 and the molding pressure is 10Mpa, the pressed tailings bricks
have good outline dimensions, high surface flatness and compressive strength
index meets the requirements of MU15 standard.
(2) The compressive strength of baking-free brick increases rapidly with the
increase of molding pressure, and increases slowly when the molding pressure
increases from 30 to 40 MPa.
(3) The hydration process of GBFS and DA in the baking-free brick generates
hydration products such as AFt and C–S–H gel, and these hydration products
themselves have dense structure, on the other hand, they closely wrap the tailing
particles and contribute to the strength growth of the burn-free brick.
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Environmental Science and Engineering

Proceedings of the 9th

ISSN 1863-5520 ISSN 1863-5539 (electronic)

Program Committee Chairs

Prof. Kuo-Lin Huang, National Pingtung University of Science and Technology,

Technical Program Committees

Prof. Gordon Huang, University of Regina, Canada

Asst. Prof. Xiaolei Zhang, Shenzhen Graduate School of Harbin Institute of

Assoc. Prof. Zuoyu Sun, Beijing Jiaotong University, China

Dear Distinguished Authors and Guests,

Beijing, China Zuoyu Sun

1 Production Performance Characteristics of Horizontal Well

8 Supercritical CO2 Enhanced Shale Gas Production

18 Noise Reduction and Sound Intelligibility Improvement

27 Ecological Architecture in the Steppe Zone of Northern

36 Preparation of Green Low-Carbon Baking-Free Bricks

Lifeng Liu, Yuxiang Xiao, Zhongbao Wu, and Xin Wang

Keywords Unconventional hydrocarbon resources · Shale oil · Lacustrine ·

L. Liu (B) · Y. Xiao · Z. Wu

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 1

nano-CT, nuclear magnetic resonance and high-pressure mercury injection shows

1.2 Basic Characteristics of Shale Oil Well Production

Fig. 1.1 Production performance curve of well G1

1.3 Production Performance Analysis of Shale Oil Well

1.3.1 Flow Pattern Analysis Based on Log–Log Curve

1.3.2 Time Square Root Curve Analysis

Fig. 1.2 Log–log curve of well G1

Fig. 1.3 Time square root curve of well G1

1.3.3 Blasingame Curve Analysis

1.4 Analysis of Oil Well Production Performance Based

1.4.1 Seepage Mode in Which Only the Reservoir in SRV

Fig. 1.7 Underground micro-seismic monitoring results of well G1

Fig 1.8 Production dynamic fitting results of model 1

Fig. 1.9 Fitting result of time square root curve of model 1

1.4.2 Seepage Mode of SRV Outer Reservoir Participating

Keywords Air-foam flooding · Recovery factor · Low permeability reservoir

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 13

2.2 Principle of Air-Foam Flooding

Fig. 2.1 LTO reaction

2.3 Analysis of Influencing Factors on Air-Foam Flooding

2.3.1 Influences of Core Permeability

2.3.2 Effect of Oil Saturation

2.3.3 Influence of the Gas–Liquid Ratio

2.3.4 Effect of Alternating Slug

2.3.5 The Injection Pressure of Air Foam

2.4 Recent Developments in Air-Foam Flooding

2.5 Future Challenges

2.5.1 Foam Formula Optimization

2.5.2 Monitoring of Oxygen Content

the deepening of technological progress and technological innovation, it is believed

Zhao J, Li P, Du J (2017) Experimental study on displacement efficiency of air foam flooding in

Keywords Look-up table method · MC method · Fueling performance · Dynamic

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 23

Fig. 3.1 Structure of hydrogen fueling system

3.2 Model of the Hydrogen Fueling System

3.2.1 System Overview

3.2.2 Models of the Control Volume Inside the Tank

Q̇ i = Q̇ i−1 + Q̇ i+1 (3.6)