Predicting solid-state phase transformations during metal additive manufacturing: A case study on electron-beam powder bed fusion of Inconel-738

Predicting solid-state phase transformations during metal additive manufacturing: A case study on electron-beam powder bed fusion of Inconel-738

금속 적층 제조 중 고체 상 변형 예측: Inconel-738의 전자빔 분말층 융합에 대한 사례 연구

Nana Kwabena Adomako a, Nima Haghdadi a, James F.L. Dingle bc, Ernst Kozeschnik d, Xiaozhou Liao bc, Simon P. Ringer bc, Sophie Primig a


Metal additive manufacturing (AM) has now become the perhaps most desirable technique for producing complex shaped engineering parts. However, to truly take advantage of its capabilities, advanced control of AM microstructures and properties is required, and this is often enabled via modeling. The current work presents a computational modeling approach to studying the solid-state phase transformation kinetics and the microstructural evolution during AM. Our approach combines thermal and thermo-kinetic modelling. A semi-analytical heat transfer model is employed to simulate the thermal history throughout AM builds. Thermal profiles of individual layers are then used as input for the MatCalc thermo-kinetic software. The microstructural evolution (e.g., fractions, morphology, and composition of individual phases) for any region of interest throughout the build is predicted by MatCalc. The simulation is applied to an IN738 part produced by electron beam powder bed fusion to provide insights into how γ′ precipitates evolve during thermal cycling. Our simulations show qualitative agreement with our experimental results in predicting the size distribution of γ′ along the build height, its multimodal size character, as well as the volume fraction of MC carbides. Our findings indicate that our method is suitable for a range of AM processes and alloys, to predict and engineer their microstructures and properties.

Graphical Abstract



Additive manufacturing, Simulation, Thermal cycles, γ′ phase, IN738

1. Introduction

Additive manufacturing (AM) is an advanced manufacturing method that enables engineering parts with intricate shapes to be fabricated with high efficiency and minimal materials waste. AM involves building up 3D components layer-by-layer from feedstocks such as powder [1]. Various alloys, including steel, Ti, Al, and Ni-based superalloys, have been produced using different AM techniques. These techniques include directed energy deposition (DED), electron- and laser powder bed fusion (E-PBF and L-PBF), and have found applications in a variety of industries such as aerospace and power generation [2][3][4]. Despite the growing interest, certain challenges limit broader applications of AM fabricated components in these industries and others. One of such limitations is obtaining a suitable and reproducible microstructure that offers the desired mechanical properties consistently. In fact, the AM as-built microstructure is highly complex and considerably distinctive from its conventionally processed counterparts owing to the complicated thermal cycles arising from the deposition of several layers upon each other [5][6].

Several studies have reported that the solid-state phases and solidification microstructure of AM processed alloys such as CMSX-4, CoCr [7][8], Ti-6Al-4V [9][10][11]IN738 [6]304L stainless steel [12], and IN718 [13][14] exhibit considerable variations along the build direction. For instance, references [9][10] have reported that there is a variation in the distribution of α and β phases along the build direction in Ti-alloys. Similarly, the microstructure of an L-PBF fabricated martensitic steel exhibits variations in the fraction of martensite [15]. Furthermore, some of the present authors and others [6][16][17][18][19][20] have recently reviewed and reported that there is a difference in the morphology and fraction of nanoscale precipitates as a function of build height in Ni-based superalloys. These non-uniformities in the as-built microstructure result in an undesired heterogeneity in mechanical and other important properties such as corrosion and oxidation [19][21][22][23]. To obtain the desired microstructure and properties, additional processing treatments are utilized, but this incurs extra costs and may lead to precipitation of detrimental phases and grain coarsening. Therefore, a through-process understanding of the microstructure evolution under repeated heating and cooling is now needed to further advance 3D printed microstructure and property control.

It is now commonly understood that the microstructure evolution during printing is complex, and most AM studies concentrate on the microstructure and mechanical properties of the final build only. Post-printing studies of microstructure characteristics at room temperature miss crucial information on how they evolve. In-situ measurements and modelling approaches are required to better understand the complex microstructural evolution under repeated heating and cooling. Most in-situ measurements in AM focus on monitoring the microstructural changes, such as phase transformations and melt pool dynamics during fabrication using X-ray scattering and high-speed X-ray imaging [24][25][26][27]. For example, Zhao et al. [25] measured the rate of solidification and described the α/β phase transformation during L-PBF of Ti-6Al-4V in-situ. Also, Wahlmann et al. [21] recently used an L-PBF machine coupled with X-ray scattering to investigate the changes in CMSX-4 phase during successive melting processes. Although these techniques provide significant understanding of the basic principles of AM, they are not widely accessible. This is due to the great cost of the instrument, competitive application process, and complexities in terms of the experimental set-up, data collection, and analysis [26][28].

Computational modeling techniques are promising and more widely accessible tools that enable advanced understanding, prediction, and engineering of microstructures and properties during AM. So far, the majority of computational studies have concentrated on physics based process models for metal AM, with the goal of predicting the temperature profile, heat transfer, powder dynamics, and defect formation (e.g., porosity) [29][30]. In recent times, there have been efforts in modeling of the AM microstructure evolution using approaches such as phase-field [31], Monte Carlo (MC) [32], and cellular automata (CA) [33], coupled with finite element simulations for temperature profiles. However, these techniques are often restricted to simulating the evolution of solidification microstructures (e.g., grain and dendrite structure) and defects (e.g., porosity). For example, Zinovieva et al. [33] predicted the grain structure of L-PBF Ti-6Al-4V using finite difference and cellular automata methods. However, studies on the computational modelling of the solid-state phase transformations, which largely determine the resulting properties, remain limited. This can be attributed to the multi-component and multi-phase nature of most engineering alloys in AM, along with the complex transformation kinetics during thermal cycling. This kind of research involves predictions of the thermal cycle in AM builds, and connecting it to essential thermodynamic and kinetic data as inputs for the model. Based on the information provided, the thermokinetic model predicts the history of solid-state phase microstructure evolution during deposition as output. For example, a multi-phase, multi-component mean-field model has been developed to simulate the intermetallic precipitation kinetics in IN718 [34] and IN625 [35] during AM. Also, Basoalto et al. [36] employed a computational framework to examine the contrasting distributions of process-induced microvoids and precipitates in two Ni-based superalloys, namely IN718 and CM247LC. Furthermore, McNamara et al. [37] established a computational model based on the Johnson-Mehl-Avrami model for non-isothermal conditions to predict solid-state phase transformation kinetics in L-PBF IN718 and DED Ti-6Al-4V. These models successfully predicted the size and volume fraction of individual phases and captured the repeated nucleation and dissolution of precipitates that occur during AM.

In the current study, we propose a modeling approach with appreciably short computational time to investigate the detailed microstructural evolution during metal AM. This may include obtaining more detailed information on the morphologies of phases, such as size distribution, phase fraction, dissolution and nucleation kinetics, as well as chemistry during thermal cycling and final cooling to room temperature. We utilize the combination of the MatCalc thermo-kinetic simulator and a semi-analytical heat conduction model. MatCalc is a software suite for simulation of phase transformations, microstructure evolution and certain mechanical properties in engineering alloys. It has successfully been employed to simulate solid-state phase transformations in Ni-based superalloys [38][39], steels [40], and Al alloys [41] during complex thermo-mechanical processes. MatCalc uses the classical nucleation theory as well as the so-called Svoboda-Fischer-Fratzl-Kozeschnik (SFFK) growth model as the basis for simulating precipitation kinetics [42]. Although MatCalc was originally developed for conventional thermo-mechanical processes, we will show that it is also applicable for AM if the detailed time-temperature profile of the AM build is known. The semi-analytical heat transfer code developed by Stump and Plotkowski [43] is used to simulate these profile throughout the AM build.

1.1. Application to IN738

Inconel-738 (IN738) is a precipitation hardening Ni-based superalloy mainly employed in high-temperature components, e.g. in gas turbines and aero-engines owing to its exceptional mechanical properties at temperatures up to 980 °C, coupled with high resistance to oxidation and corrosion [44]. Its superior high-temperature strength (∼1090 MPa tensile strength) is provided by the L12 ordered Ni3(Al,Ti) γ′ phase that precipitates in a face-centered cubic (FCC) γ matrix [45][46]. Despite offering great properties, IN738, like most superalloys with high γ′ fractions, is challenging to process owing to its propensity to hot cracking [47][48]. Further, machining of such alloys is challenging because of their high strength and work-hardening rates. It is therefore difficult to fabricate complex INC738 parts using traditional manufacturing techniques like casting, welding, and forging.

The emergence of AM has now made it possible to fabricate such parts from IN738 and other superalloys. Some of the current authors’ recent research successfully applied E-PBF to fabricate defect-free IN738 containing γ′ throughout the build [16][17]. The precipitated γ′ were heterogeneously distributed. In particular, Haghdadi et al. [16] studied the origin of the multimodal size distribution of γ′, while Lim et al. [17] investigated the gradient in γ′ character with build height and its correlation to mechanical properties. Based on these results, the present study aims to extend the understanding of the complex and site-specific microstructural evolution in E-PBF IN738 by using a computational modelling approach. New experimental evidence (e.g., micrographs not published previously) is presented here to support the computational results.

2. Materials and Methods

2.1. Materials preparation

IN738 Ni-based superalloy (59.61Ni-8.48Co-7.00Al-17.47Cr-3.96Ti-1.01Mo-0.81W-0.56Ta-0.49Nb-0.47C-0.09Zr-0.05B, at%) gas-atomized powder was used as feedstock. The powders, with average size of 60 ± 7 µm, were manufactured by Praxair and distributed by Astro Alloys Inc. An Arcam Q10 machine by GE Additive with an acceleration voltage of 60 kV was used to fabricate a 15 × 15 × 25 mm3 block (XYZ, Z: build direction) on a 316 stainless steel substrate. The block was 3D-printed using a ‘random’ spot melt pattern. The random spot melt pattern involves randomly selecting points in any given layer, with an equal chance of each point being melted. Each spot melt experienced a dwell time of 0.3 ms, and the layer thickness was 50 µm. Some of the current authors have previously characterized the microstructure of the very same and similar builds in more detail [16][17]. A preheat temperature of ∼1000 °C was set and kept during printing to reduce temperature gradients and, in turn, thermal stresses [49][50][51]. Following printing, the build was separated from the substrate through electrical discharge machining. It should be noted that this sample was simultaneously printed with the one used in [17] during the same build process and on the same build plate, under identical conditions.

2.2. Microstructural characterization

The printed sample was longitudinally cut in the direction of the build using a Struers Accutom-50, ground, and then polished to 0.25 µm suspension via standard techniques. The polished x-z surface was electropolished and etched using Struers A2 solution (perchloric acid in ethanol). Specimens for image analysis were polished using a 0.06 µm colloidal silica. Microstructure analyses were carried out across the height of the build using optical microscopy (OM) and scanning electron microscopy (SEM) with focus on the microstructure evolution (γ′ precipitates) in individual layers. The position of each layer being analyzed was determined by multiplying the layer number by the layer thickness (50 µm). It should be noted that the position of the first layer starts where the thermal profile is tracked (in this case, 2 mm from the bottom). SEM images were acquired using a JEOL 7001 field emission microscope. The brightness and contrast settings, acceleration voltage of 15 kV, working distance of 10 mm, and other SEM imaging parameters were all held constant for analysis of the entire build. The ImageJ software was used for automated image analysis to determine the phase fraction and size of γ′ precipitates and carbides. A 2-pixel radius Gaussian blur, following a greyscale thresholding and watershed segmentation was used [52]. Primary γ′ sizes (>50 nm), were measured using equivalent spherical diameters. The phase fractions were considered equal to the measured area fraction. Secondary γ′ particles (<50 nm) were not considered here. The γ′ size in the following refers to the diameter of a precipitate.

2.3. Hardness testing

A Struers DuraScan tester was utilized for Vickers hardness mapping on a polished x-z surface, from top to bottom under a maximum load of 100 mN and 10 s dwell time. 30 micro-indentations were performed per row. According to the ASTM standard [53], the indentations were sufficiently distant (∼500 µm) to assure that strain-hardened areas did not interfere with one another.

2.4. Computational simulation of E-PBF IN738 build

2.4.1. Thermal profile modeling

The thermal history was generated using the semi-analytical heat transfer code (also known as the 3DThesis code) developed by Stump and Plotkowski [43]. This code is an open-source C++ program which provides a way to quickly simulate the conductive heat transfer found in welding and AM. The key use case for the code is the simulation of larger domains than is practicable with Computational Fluid Dynamics/Finite Element Analysis programs like FLOW-3D AM. Although simulating conductive heat transfer will not be an appropriate simplification for some investigations (for example the modelling of keyholding or pore formation), the 3DThesis code does provide fast estimates of temperature, thermal gradient, and solidification rate which can be useful for elucidating microstructure formation across entire layers of an AM build. The mathematics involved in the code is as follows:

In transient thermal conduction during welding and AM, with uniform and constant thermophysical properties and without considering fluid convection and latent heat effects, energy conservation can be expressed as:(1)��∂�∂�=�∇2�+�̇where � is density, � specific heat, � temperature, � time, � thermal conductivity, and �̇ a volumetric heat source. By assuming a semi-infinite domain, Eq. 1 can be analytically solved. The solution for temperature at a given time (t) using a volumetric Gaussian heat source is presented as:(2)��,�,�,�−�0=33�����32∫0�1������exp−3�′�′2��+�′�′2��+�′�′2����′(3)and��=12��−�′+��2for�=�,�,�(4)and�′�′=�−���′Where � is the vector �,�,� and �� is the location of the heat source.

The numerical integration scheme used is an adaptive Gaussian quadrature method based on the following nondimensionalization:(5)�=��xy2�,�′=��xy2�′,�=��xy,�=��xy,�=��xy,�=���xy

A more detailed explanation of the mathematics can be found in reference [43].

The main source of the thermal cycling present within a powder-bed fusion process is the fusion of subsequent layers. Therefore, regions near the top of a build are expected to undergo fewer thermal cycles than those closer to the bottom. For this purpose, data from the single scan’s thermal influence on multiple layers was spliced to represent the thermal cycles experienced at a single location caused by multiple subsequent layers being fused.

The cross-sectional area simulated by this model was kept constant at 1 × 1 mm2, and the depth was dependent on the build location modelled with MatCalc. For a build location 2 mm from the bottom, the maximum number of layers to simulate is 460. Fig. 1a shows a stitched overview OM image of the entire build indicating the region where this thermal cycle is simulated and tracked. To increase similarity with the conditions of the physical build, each thermal history was constructed from the results of two simulations generated with different versions of a random scan path. The parameters used for these thermal simulations can be found in Table 1. It should be noted that the main purpose of the thermal profile modelling was to demonstrate how the conditions at different locations of the build change relative to each other. Accurately predicting the absolute temperature during the build would require validation via a temperature sensor measurement during the build process which is beyond the scope of the study. Nonetheless, to establish the viability of the heat source as a suitable approximation for this study, an additional sensitivity analysis was conducted. This analysis focused on the influence of energy input on γ′ precipitation behavior, the central aim of this paper. This was achieved by employing varying beam absorption energies (0.76, 0.82 – the values utilized in the simulation, and 0.9). The direct impact of beam absorption efficiency on energy input into the material was investigated. Specifically, the initial 20 layers of the build were simulated and subsequently compared to experimental data derived from SEM. While phase fractions were found to be consistent across all conditions, disparities emerged in the mean size of γ′ precipitates. An absorption efficiency of 0.76 yielded a mean size of approximately 70 nm. Conversely, absorption efficiencies of 0.82 and 0.9 exhibited remarkably similar mean sizes of around 130 nm, aligning closely with the outcomes of the experiments.

Fig. 1

Table 1. A list of parameters used in thermal simulation of E-PBF.

Spatial resolution5 µm
Time step0.5 s
Beam diameter200 µm
Beam penetration depth1 µm
Beam power1200 W
Beam absorption efficiency0.82
Thermal conductivity25.37 W/(m⋅K)
Chamber temperature1000 °C
Specific heat711.756 J/(kg⋅K)
Density8110 kg/m3

2.4.2. Thermo-kinetic simulation

The numerical analyses of the evolution of precipitates was performed using MatCalc version 6.04 (rel 0.011). The thermodynamic (‘mc_ni.tdb’, version 2.034) and diffusion (‘mc_ni.ddb’, version 2.007) databases were used. MatCalc’s basic principles are elaborated as follows:

The nucleation kinetics of precipitates are computed using a computational technique based on a classical nucleation theory [54] that has been modified for systems with multiple components [42][55]. Accordingly, the transient nucleation rate (�), which expresses the rate at which nuclei are formed per unit volume and time, is calculated as:(6)�=�0��*∙�xp−�*�∙�∙exp−��where �0 denotes the number of active nucleation sites, �* the rate of atomic attachment, � the Boltzmann constant, � the temperature, �* the critical energy for nucleus formation, τ the incubation time, and t the time. � (Zeldovich factor) takes into consideration that thermal excitation destabilizes the nucleus as opposed to its inactive state [54]. Z is defined as follows:(7)�=−12�kT∂2∆�∂�2�*12where ∆� is the overall change in free energy due to the formation of a nucleus and n is the nucleus’ number of atoms. ∆�’s derivative is evaluated at n* (critical nucleus size). �* accounts for the long-range diffusion of atoms required for nucleation, provided that the matrix’ and precipitates’ composition differ. Svoboda et al. [42] developed an appropriate multi-component equation for �*, which is given by:(8)�*=4��*2�4�∑�=1��ki−�0�2�0��0�−1where �* denotes the critical radius for nucleation, � represents atomic distance, and � is the molar volume. �ki and �0� represent the concentration of elements in the precipitate and matrix, respectively. The parameter �0� denotes the rate of diffusion of the ith element within the matrix. The expression for the incubation time � is expressed as [54]:(9)�=12�*�2

and �*, which represents the critical energy for nucleation:(10)�*=16�3�3∆�vol2where � is the interfacial energy, and ∆Gvol the change in the volume free energy. The critical nucleus’ composition is similar to the γ′ phase’s equilibrium composition at the same temperature. � is computed based on the precipitate and matrix compositions, using a generalized nearest neighbor broken bond model, with the assumption of interfaces being planar, sharp, and coherent [56][57][58].

In Eq. 7, it is worth noting that �* represents the fundamental variable in the nucleation theory. It contains �3/∆�vol2 and is in the exponent of the nucleation rate. Therefore, even small variations in γ and/or ∆�vol can result in notable changes in �, especially if �* is in the order of �∙�. This is demonstrated in [38] for UDIMET 720 Li during continuous cooling, where these quantities change steadily during precipitation due to their dependence on matrix’ and precipitate’s temperature and composition. In the current work, these changes will be even more significant as the system is exposed to multiple cycles of rapid cooling and heating.

Once nucleated, the growth of a precipitate is assessed using the radius and composition evolution equations developed by Svoboda et al. [42] with a mean-field method that employs the thermodynamic extremal principle. The expression for the total Gibbs free energy of a thermodynamic system G, which consists of n components and m precipitates, is given as follows:(11)�=∑���0��0�+∑�=1�4���33��+∑�=1��ki�ki+∑�=1�4���2��.

The chemical potential of component � in the matrix is denoted as �0�(�=1,…,�), while the chemical potential of component � in the precipitate is represented by �ki(�=1,…,�,�=1,…,�). These chemical potentials are defined as functions of the concentrations �ki(�=1,…,�,�=1,…,�). The interface energy density is denoted as �, and �� incorporates the effects of elastic energy and plastic work resulting from the volume change of each precipitate.

Eq. (12) establishes that the total free energy of the system in its current state relies on the independent state variables: the sizes (radii) of the precipitates �� and the concentrations of each component �ki. The remaining variables can be determined by applying the law of mass conservation to each component �. This can be represented by the equation:(12)��=�0�+∑�=1�4���33�ki,

Furthermore, the global mass conservation can be expressed by equation:(13)�=∑�=1���When a thermodynamic system transitions to a more stable state, the energy difference between the initial and final stages is dissipated. This model considers three distinct forms of dissipation effects [42]. These include dissipations caused by the movement of interfaces, diffusion within the precipitate and diffusion within the matrix.

Consequently, �̇� (growth rate) and �̇ki (chemical composition’s rate of change) of the precipitate with index � are derived from the linear system of equation system:(14)�ij��=��where �� symbolizes the rates �̇� and �̇ki [42]. Index i contains variables for precipitate radius, chemical composition, and stoichiometric boundary conditions suggested by the precipitate’s crystal structure. Eq. (10) is computed separately for every precipitate �. For a more detailed description of the formulae for the coefficients �ij and �� employed in this work please refer to [59].

The MatCalc software was used to perform the numerical time integration of �̇� and �̇ki of precipitates based on the classical numerical method by Kampmann and Wagner [60]. Detailed information on this method can be found in [61]. Using this computational method, calculations for E-PBF thermal cycles (cyclic heating and cooling) were computed and compared to experimental data. The simulation took approximately 2–4 hrs to complete on a standard laptop.

3. Results

3.1. Microstructure

Fig. 1 displays a stitched overview image and selected SEM micrographs of various γ′ morphologies and carbides after observations of the X-Z surface of the build from the top to 2 mm above the bottom. Fig. 2 depicts a graph that charts the average size and phase fraction of the primary γ′, as it changes with distance from the top to the bottom of the build. The SEM micrographs show widespread primary γ′ precipitation throughout the entire build, with the size increasing in the top to bottom direction. Particularly, at the topmost height, representing the 460th layer (Z = 22.95 mm), as seen in Fig. 1b, the average size of γ′ is 110 ± 4 nm, exhibiting spherical shapes. This is representative of the microstructure after it solidifies and cools to room temperature, without experiencing additional thermal cycles. The γ′ size slightly increases to 147 ± 6 nm below this layer and remains constant until 0.4 mm (∼453rd layer) from the top. At this position, the microstructure still closely resembles that of the 460th layer. After the 453rd layer, the γ′ size grows rapidly to ∼503 ± 19 nm until reaching the 437th layer (1.2 mm from top). The γ′ particles here have a cuboidal shape, and a small fraction is coarser than 600 nm. γ′ continue to grow steadily from this position to the bottom (23 mm from the top). A small fraction of γ′ is > 800 nm.

Fig. 2

Besides primary γ′, secondary γ′ with sizes ranging from 5 to 50 nm were also found. These secondary γ′ precipitates, as seen in Fig. 1f, were present only in the bottom and middle regions. A detailed analysis of the multimodal size distribution of γ′ can be found in [16]. There is no significant variation in the phase fraction of the γ′ along the build. The phase fraction is ∼ 52%, as displayed in Fig. 2. It is worth mentioning that the total phase fraction of γ′ was estimated based on the primary γ′ phase fraction because of the small size of secondary γ′. Spherical MC carbides with sizes ranging from 50 to 400 nm and a phase fraction of 0.8% were also observed throughout the build. The carbides are the light grey precipitates in Fig. 1g. The light grey shade of carbides in the SEM images is due to their composition and crystal structure [52]. These carbides are not visible in Fig. 1b-e because they were dissolved during electro-etching carried out after electropolishing. In Fig. 1g, however, the sample was examined directly after electropolishing, without electro-etching.

Table 2 shows the nominal and measured composition of γ′ precipitates throughout the build by atom probe microscopy as determined in our previous study [17]. No build height-dependent composition difference was observed in either of the γ′ precipitate populations. However, there was a slight disparity between the composition of primary and secondary γ′. Among the main γ′ forming elements, the primary γ′ has a high Ti concentration while secondary γ′ has a high Al concentration. A detailed description of the atom distribution maps and the proxigrams of the constituent elements of γ′ throughout the build can be found in [17].

Table 2. Bulk IN738 composition determined using inductively coupled plasma atomic emission spectroscopy (ICP-AES). Compositions of γ, primary γ′, and secondary γ′ at various locations in the build measured by APT. This information is reproduced from data in Ref. [17] with permission.

γ matrix
Primary γ′
Secondary γ′

3.2. Hardness

Fig. 3a shows the Vickers hardness mapping performed along the entire X-Z surface, while Fig. 3b shows the plot of average hardness at different build heights. This hardness distribution is consistent with the γ′ precipitate size gradient across the build direction in Fig. 1Fig. 2. The maximum hardness of ∼530 HV1 is found at ∼0.5 mm away from the top surface (Z = 22.5), where γ′ particles exhibit the smallest observed size in Fig. 2b. Further down the build (∼ 2 mm from the top), the hardness drops to the 440–490 HV1 range. This represents the region where γ′ begins to coarsen. The hardness drops further to 380–430 HV1 at the bottom of the build.

Fig. 3

3.3. Modeling of the microstructural evolution during E-PBF

3.3.1. Thermal profile modeling

Fig. 4 shows the simulated thermal profile of the E-PBF build at a location of 23 mm from the top of the build, using a semi-analytical heat conduction model. This profile consists of the time taken to deposit 460 layers until final cooling, as shown in Fig. 4a. Fig. 4b-d show the magnified regions of Fig. 4a and reveal the first 20 layers from the top, a single layer (first layer from the top), and the time taken for the build to cool after the last layer deposition, respectively.

Fig. 4

The peak temperatures experienced by previous layers decrease progressively as the number of layers increases but never fall below the build preheat temperature (1000 °C). Our simulated thermal cycle may not completely capture the complexity of the actual thermal cycle utilized in the E-PBF build. For instance, the top layer (Fig. 4c), also representing the first deposit’s thermal profile without additional cycles (from powder heating, melting, to solidification), recorded the highest peak temperature of 1390 °C. Although this temperature is above the melting range of the alloy (1230–1360 °C) [62], we believe a much higher temperature was produced by the electron beam to melt the powder. Nevertheless, the solidification temperature and dynamics are outside the scope of this study as our focus is on the solid-state phase transformations during deposition. It takes ∼25 s for each layer to be deposited and cooled to the build temperature. The interlayer dwell time is 125 s. The time taken for the build to cool to room temperature (RT) after final layer deposition is ∼4.7 hrs (17,000 s).

3.3.2. MatCalc simulation

During the MatCalc simulation, the matrix phase is defined as γ. γ′, and MC carbide are included as possible precipitates. The domain of these precipitates is set to be the matrix (γ), and nucleation is assumed to be homogenous. In homogeneous nucleation, all atoms of the unit volume are assumed to be potential nucleation sitesTable 3 shows the computational parameters used in the simulation. All other parameters were set at default values as recommended in the version 6.04.0011 of MatCalc. The values for the interfacial energies are automatically calculated according to the generalized nearest neighbor broken bond model and is one of the most outstanding features in MatCalc [56][57][58]. It should be noted that the elastic misfit strain was not included in the calculation. The output of MatCalc includes phase fraction, size, nucleation rate, and composition of the precipitates. The phase fraction in MatCalc is the volume fraction. Although the experimental phase fraction is the measured area fraction, it is relatively similar to the volume fraction. This is because of the generally larger precipitate size and similar morphology at the various locations along the build [63]. A reliable phase fraction comparison between experiment and simulation can therefore be made.

Table 3. Computational parameters used in the simulation.

Precipitation domainγ
Nucleation site γ′Bulk (homogenous)
Nucleation site MC carbideBulk (Homogenous)
Precipitates class size250
Regular solution critical temperature γ′2500 K[64]
Calculated interfacial energyγ′ = 0.080–0.140 J/m2 and MC carbide = 0.410–0.430 J/m2 Precipitate phase fraction

Fig. 5a shows the simulated phase fraction of γ′ and MC carbide during thermal cycling. Fig. 5b is a magnified view of 5a showing the simulated phase fraction at the center points of the top 70 layers, whereas Fig. 5c corresponds to the first two layers from the top. As mentioned earlier, the top layer (460th layer) represents the microstructure after solidification. The microstructure of the layers below is determined by the number of thermal cycles, which increases with distance to the top. For example, layers 459, 458, 457, up to layer 1 (region of interest) experience 1, 2, 3 and 459 thermal cycles, respectively. In the top layer in Fig. 5c, the volume fraction of γ′ and carbides increases with temperature. For γ′, it decreases to zero when the temperature is above the solvus temperature after a few seconds. Carbides, however, remain constant in their volume fraction reaching equilibrium (phase fraction ∼ 0.9%) in a short time. The topmost layer can be compared to the first deposit, and the peak in temperature symbolizes the stage where the electron beam heats the powder until melting. This means γ′ and carbide precipitation might have started in the powder particles during heating from the build temperature and electron beam until the onset of melting, where γ′ dissolves, but carbides remain stable [28].

Fig. 5

During cooling after deposition, γ′ reprecipitates at a temperature of 1085 °C, which is below its solvus temperature. As cooling progresses, the phase fraction increases steadily to ∼27% and remains constant at 1000 °C (elevated build temperature). The calculated equilibrium fraction of phases by MatCalc is used to show the complex precipitation characteristics in this alloy. Fig. 6 shows that MC carbides form during solidification at 1320 °C, followed by γ′, which precipitate when the solidified layer cools to 1140 °C. This indicates that all deposited layers might contain a negligible amount of these precipitates before subsequent layer deposition, while being at the 1000 °C build temperature or during cooling to RT. The phase diagram also shows that the equilibrium fraction of the γ′ increases as temperature decreases. For instance, at 1000, 900, and 800 °C, the phase fractions are ∼30%, 38%, and 42%, respectively.

Fig. 6

Deposition of subsequent layers causes previous layers to undergo phase transformations as they are exposed to several thermal cycles with different peak temperatures. In Fig. 5c, as the subsequent layer is being deposited, γ′ in the previous layer (459th layer) begins to dissolve as the temperature crosses the solvus temperature. This is witnessed by the reduction of the γ′ phase fraction. This graph also shows how this phase dissolves during heating. However, the phase fraction of MC carbide remains stable at high temperatures and no dissolution is seen during thermal cycling. Upon cooling, the γ′ that was dissolved during heating reprecipitates with a surge in the phase fraction until 1000 °C, after which it remains constant. This microstructure is similar to the solidification microstructure (layer 460), with a similar γ′ phase fraction (∼27%).

The complete dissolution and reprecipitation of γ′ continue for several cycles until the 50th layer from the top (layer 411), where the phase fraction does not reach zero during heating to the peak temperature (see Fig. 5d). This indicates the ‘partial’ dissolution of γ′, which continues progressively with additional layers. It should be noted that the peak temperatures for layers that underwent complete dissolution were much higher (1170–1300 °C) than the γ′ solvus.

The dissolution and reprecipitation of γ′ during thermal cycling are further confirmed in Fig. 7, which summarizes the nucleation rate, phase fraction, and concentration of major elements that form γ′ in the matrix. Fig. 7b magnifies a single layer (3rd layer from top) within the full dissolution region in Fig. 7a to help identify the nucleation and growth mechanisms. From Fig. 7b, γ′ nucleation begins during cooling whereby the nucleation rate increases to reach a maximum value of approximately 1 × 1020 m−3s−1. This fast kinetics implies that some rearrangement of atoms is required for γ′ precipitates to form in the matrix [65][66]. The matrix at this stage is in a non-equilibrium condition. Its composition is similar to the nominal composition and remains unchanged. The phase fraction remains insignificant at this stage although nucleation has started. The nucleation rate starts declining upon reaching the peak value. Simultaneously, diffusion-controlled growth of existing nuclei occurs, depleting the matrix of γ′ forming elements (Al and Ti). Thus, from (7)(11), ∆�vol continuously decreases until nucleation ceases. The growth of nuclei is witnessed by the increase in phase fraction until a constant level is reached at 27% upon cooling to and holding at build temperature. This nucleation event is repeated several times.

Fig. 7

At the onset of partial dissolution, the nucleation rate jumps to 1 × 1021 m−3s−1, and then reduces sharply at the middle stage of partial dissolution. The nucleation rate reaches 0 at a later stage. Supplementary Fig. S1 shows a magnified view of the nucleation rate, phase fraction, and thermal profile, underpinning this trend. The jump in nucleation rate at the onset is followed by a progressive reduction in the solute content of the matrix. The peak temperatures (∼1130–1160 °C) are lower than those in complete dissolution regions but still above or close to the γ′ solvus. The maximum phase fraction (∼27%) is similar to that of the complete dissolution regions. At the middle stage, the reduction in nucleation rate is accompanied by a sharp drop in the matrix composition. The γ′ fraction drops to ∼24%, where the peak temperatures of the layers are just below or at γ′ solvus. The phase fraction then increases progressively through the later stage of partial dissolution to ∼30% towards the end of thermal cycling. The matrix solute content continues to drop although no nucleation event is seen. The peak temperatures are then far below the γ′ solvus. It should be noted that the matrix concentration after complete dissolution remains constant. Upon cooling to RT after final layer deposition, the nucleation rate increases again, indicating new nucleation events. The phase fraction reaches ∼40%, with a further depletion of the matrix in major γ′ forming elements. γ′ size distribution

Fig. 8 shows histograms of the γ′ precipitate size distributions (PSD) along the build height during deposition. These PSDs are predicted at the end of each layer of interest just before final cooling to room temperature, to separate the role of thermal cycles from final cooling on the evolution of γ′. The PSD for the top layer (layer 460) is shown in Fig. 8a (last solidified region with solidification microstructure). The γ′ size ranges from 120 to 230 nm and is similar to the 44 layers below (2.2 mm from the top).

Fig. 8

Further down the build, γ′ begins to coarsen after layer 417 (44th layer from top). Fig. 8c shows the PSD after the 44th layer, where the γ′ size exhibits two peaks at ∼120–230 and ∼300 nm, with most of the population being in the former range. This is the onset of partial dissolution where simultaneously with the reprecipitation and growth of fresh γ′, the undissolved γ′ grows rapidly through diffusive transport of atoms to the precipitates. This is shown in Fig. 8c, where the precipitate class sizes between 250 and 350 represent the growth of undissolved γ′. Although this continues in the 416th layer, the phase fractions plot indicates that the onset of partial dissolution begins after the 411th layer. This implies that partial dissolution started early, but the fraction of undissolved γ′ was too low to impact the phase fraction. The reprecipitated γ′ are mostly in the 100–220 nm class range and similar to those observed during full dissolution.

As the number of layers increases, coarsening intensifies with continued growth of more undissolved γ′, and reprecipitation and growth of partially dissolved ones. Fig. 8d, e, and f show this sequence. Further down the build, coarsening progresses rapidly, as shown in Figs. 8d, 8e, and 8f. The γ′ size ranges from 120 to 1100 nm, with the peaks at 160, 180, and 220 nm in Figs. 8d, 8e, and 8f, respectively. Coarsening continues until nucleation ends during dissolution, where only the already formed γ′ precipitates continue to grow during further thermal cycling. The γ′ size at this point is much larger, as observed in layers 361 and 261, and continues to increase steadily towards the bottom (layer 1). Two populations in the ranges of ∼380–700 and ∼750–1100 nm, respectively, can be seen. The steady growth of γ′ towards the bottom is confirmed by the gradual decrease in the concentration of solute elements in the matrix (Fig. 7a). It should be noted that for each layer, the γ′ class with the largest size originates from continuous growth of the earliest set of the undissolved precipitates.

Fig. 9Fig. 10 and supplementary Figs. S2 and S3 show the γ′ size evolution during heating and cooling of a single layer in the full dissolution region, and early, middle stages, and later stages of partial dissolution, respectively. In all, the size of γ′ reduces during layer heating. Depending on the peak temperature of the layer which varies with build height, γ′ are either fully or partially dissolved as mentioned earlier. Upon cooling, the dissolved γ′ reprecipitate.

Fig. 9
Fig. 10

In Fig. 9, those layers that underwent complete dissolution (top layers) were held above γ′ solvus temperature for longer. In Fig. 10, layers at the early stage of partial dissolution spend less time in the γ′ solvus temperature region during heating, leading to incomplete dissolution. In such conditions, smaller precipitates are fully dissolved while larger ones shrink [67]. Layers in the middle stages of partial dissolution have peak temperatures just below or at γ′ solvus, not sufficient to achieve significant γ′ dissolution. As seen in supplementary Fig. S2, only a few smaller γ′ are dissolved back into the matrix during heating, i.e., growth of precipitates is more significant than dissolution. This explains the sharp decrease in concentration of Al and Ti in the matrix in this layer.

The previous sections indicate various phenomena such as an increase in phase fraction, further depletion of matrix composition, and new nucleation bursts during cooling. Analysis of the PSD after the final cooling of the build to room temperature allows a direct comparison to post-printing microstructural characterization. Fig. 11 shows the γ′ size distribution of layer 1 (460th layer from the top) after final cooling to room temperature. Precipitation of secondary γ′ is observed, leading to the multimodal size distribution of secondary and primary γ′. The secondary γ′ size falls within the 10–80 nm range. As expected, a further growth of the existing primary γ′ is also observed during cooling.

Fig. 11 γ′ chemistry after deposition

Fig. 12 shows the concentration of the major elements that form γ′ (Al, Ti, and Ni) in the primary and secondary γ′ at the bottom of the build, as calculated by MatCalc. The secondary γ′ has a higher Al content (13.5–14.5 at% Al), compared to 13 at% Al in the primary γ′. Additionally, within the secondary γ′, the smallest particles (∼10 nm) have higher Al contents than larger ones (∼70 nm). In contrast, for the primary γ′, there is no significant variation in the Al content as a function of their size. The Ni concentration in secondary γ′ (71.1–72 at%) is also higher in comparison to the primary γ′ (70 at%). The smallest secondary γ′ (∼10 nm) have higher Ni contents than larger ones (∼70 nm), whereas there is no substantial change in the Ni content of primary γ′, based on their size. As expected, Ti shows an opposite size-dependent variation. It ranges from ∼ 7.7–8.7 at% Ti in secondary γ′ to ∼9.2 at% in primary γ′. Similarly, within the secondary γ′, the smallest (∼10 nm) have lower Al contents than the larger ones (∼70 nm). No significant variation is observed for Ti content in primary γ′.

Fig. 12

4. Discussion

A combined modelling method is utilized to study the microstructural evolution during E-PBF of IN738. The presented results are discussed by examining the precipitation and dissolution mechanism of γ′ during thermal cycling. This is followed by a discussion on the phase fraction and size evolution of γ′ during thermal cycling and after final cooling. A brief discussion on carbide morphology is also made. Finally, a comparison is made between the simulation and experimental results to assess their agreement.

4.1. γ′ morphology as a function of build height

4.1.1. Nucleation of γ′

The fast precipitation kinetics of the γ′ phase enables formation of γ′ upon quenching from higher temperatures (above solvus) during thermal cycling [66]. In Fig. 7b, for a single layer in the full dissolution region, during cooling, the initial increase in nucleation rate signifies the first formation of nuclei. The slight increase in nucleation rate during partial dissolution, despite a decrease in the concentration of γ′ forming elements, may be explained by the nucleation kinetics. During partial dissolution and as the precipitates shrink, it is assumed that the regions at the vicinity of partially dissolved precipitates are enriched in γ′ forming elements [68][69]. This differs from the full dissolution region, in which case the chemical composition is evenly distributed in the matrix. Several authors have attributed the solute supersaturation of the matrix around primary γ′ to partial dissolution during isothermal ageing [69][70][71][72]. The enhanced supersaturation in the regions close to the precipitates results in a much higher driving force for nucleation, leading to a higher nucleation rate upon cooling. This phenomenon can be closely related to the several nucleation bursts upon continuous cooling of Ni-based superalloys, where second nucleation bursts exhibit higher nucleation rates [38][68][73][74].

At middle stages of partial dissolution, the reduction in the nucleation rate indicates that the existing composition and low supersaturation did not trigger nucleation as the matrix was closer to the equilibrium state. The end of a nucleation burst means that the supersaturation of Al and Ti has reached a low level, incapable of providing sufficient driving force during cooling to or holding at 1000 °C for further nucleation [73]. Earlier studies on Ni-based superalloys have reported the same phenomenon during ageing or continuous cooling from the solvus temperature to RT [38][73][74].

4.1.2. Dissolution of γ′ during thermal cycling

γ′ dissolution kinetics during heating are fast when compared to nucleation due to exponential increase in phase transformation and diffusion activities with temperature [65]. As shown in Fig. 9Fig. 10, and supplementary Figs. S2 and S3, the reduction in γ′ phase fraction and size during heating indicates γ′ dissolution. This is also revealed in Fig. 5 where phase fraction decreases upon heating. The extent of γ′ dissolution mostly depends on the temperature, time spent above γ′ solvus, and precipitate size [75][76][77]. Smaller γ′ precipitates are first to be dissolved [67][77][78]. This is mainly because more solute elements need to be transported away from large γ′ precipitates than from smaller ones [79]. Also, a high temperature above γ′ solvus temperature leads to a faster dissolution rate [80]. The equilibrium solvus temperature of γ′ in IN738 in our MatCalc simulation (Fig. 6) and as reported by Ojo et al. [47] is 1140 °C and 1130–1180 °C, respectively. This means the peak temperature experienced by previous layers decreases progressively from γ′ supersolvus to subsolvus, near-solvus, and far from solvus as the number of subsequent layers increases. Based on the above, it can be inferred that the degree of dissolution of γ′ contributes to the gradient in precipitate distribution.

Although the peak temperatures during later stages of partial dissolution are much lower than the equilibrium γ′ solvus, γ′ dissolution still occurs but at a significantly lower rate (supplementary Fig. S3). Wahlmann et al. [28] also reported a similar case where they observed the rapid dissolution of γ′ in CMSX-4 during fast heating and cooling cycles at temperatures below the γ′ solvus. They attributed this to the γ′ phase transformation process taking place in conditions far from the equilibrium. While the same reasoning may be valid for our study, we further believe that the greater surface area to volume ratio of the small γ′ precipitates contributed to this. This ratio means a larger area is available for solute atoms to diffuse into the matrix even at temperatures much below the solvus [81].

4.2. γ′ phase fraction and size evolution

4.2.1. During thermal cycling

In the first layer, the steep increase in γ′ phase fraction during heating (Fig. 5), which also represents γ′ precipitation in the powder before melting, has qualitatively been validated in [28]. The maximum phase fraction of 27% during the first few layers of thermal cycling indicates that IN738 theoretically could reach the equilibrium state (∼30%), but the short interlayer time at the build temperature counteracts this. The drop in phase fraction at middle stages of partial dissolution is due to the low number of γ′ nucleation sites [73]. It has been reported that a reduction of γ′ nucleation sites leads to a delay in obtaining the final volume fraction as more time is required for γ′ precipitates to grow and reach equilibrium [82]. This explains why even upon holding for 150 s before subsequent layer deposition, the phase fraction does not increase to those values that were observed in the previous full γ′ dissolution regions. Towards the end of deposition, the increase in phase fraction to the equilibrium value of 30% is as a result of the longer holding at build temperature or close to it [83].

During thermal cycling, γ′ particles begin to grow immediately after they first precipitate upon cooling. This is reflected in the rapid increase in phase fraction and size during cooling in Fig. 5 and supplementary Fig. S2, respectively. The rapid growth is due to the fast diffusion of solute elements at high temperatures [84]. The similar size of γ′ for the first 44 layers from the top can be attributed to the fact that all layers underwent complete dissolution and hence, experienced the same nucleation event and growth during deposition. This corresponds with the findings by Balikci et al. [85], who reported that the degree of γ′ precipitation in IN738LC does not change when a solution heat treatment is conducted above a certain critical temperature.

The increase in coarsening rate (Fig. 8) during thermal cycling can first be ascribed to the high peak temperature of the layers [86]. The coarsening rate of γ′ is known to increase rapidly with temperature due to the exponential growth of diffusion activity. Also, the simultaneous dissolution with coarsening could be another reason for the high coarsening rate, as γ′ coarsening is a diffusion-driven process where large particles grow by consuming smaller ones [78][84][86][87]. The steady growth of γ′ towards the bottom of the build is due to the much lower layer peak temperature, which is almost close to the build temperature, and reduced dissolution activity, as is seen in the much lower solute concentration in γ′ compared to those in the full and partial dissolution regions.

4.2.2. During cooling

The much higher phase fraction of ∼40% upon cooling signifies the tendency of γ′ to reach equilibrium at lower temperatures (Fig. 4). This is due to the precipitation of secondary γ′ and a further increase in the size of existing primary γ′, which leads to a multimodal size distribution of γ′ after cooling [38][73][88][89][90]. The reason for secondary γ′ formation during cooling is as follows: As cooling progresses, it becomes increasingly challenging to redistribute solute elements in the matrix owing to their lower mobility [38][73]. A higher supersaturation level in regions away from or free of the existing γ′ precipitates is achieved, making them suitable sites for additional nucleation bursts. More cooling leads to the growth of these secondary γ′ precipitates, but as the temperature and in turn, the solute diffusivity is low, growth remains slow.

4.3. Carbides

MC carbides in IN738 are known to have a significant impact on the high-temperature strength. They can also act as effective hardening particles and improve the creep resistance [91]. Precipitation of MC carbides in IN738 and several other superalloys is known to occur during solidification or thermal treatments (e.g., hot isostatic pressing) [92]. In our case, this means that the MC carbides within the E-PBF build formed because of the thermal exposure from the E-PBF thermal cycle in addition to initial solidification. Our simulation confirms this as MC carbides appear during layer heating (Fig. 5). The constant and stable phase fraction of MC carbides during thermal cycling can be attributed to their high melting point (∼1360 °C) and the short holding time at peak temperatures [75][93][94]. The solvus temperature for most MC carbides exceeds most of the peak temperatures observed in our simulation, and carbide dissolution kinetics at temperatures above the solvus are known to be comparably slow [95]. The stable phase fraction and random distribution of MC carbides signifies the slight influence on the gradient in hardness.

4.4. Comparison of simulations and experiments

4.4.1. Precipitate phase fraction and morphology as a function of build height

A qualitative agreement is observed for the phase fraction of carbides, i.e. ∼0.8% in the experiment and ∼0.9% in the simulation. The phase fraction of γ′ differs, with the experiment reporting a value of ∼51% and the simulation, 40%. Despite this, the size distribution of primary γ′ along the build shows remarkable consistency between experimental and computational analyses. It is worth noting that the primary γ′ morphology in the experimental analysis is observed in the as-fabricated state, whereas the simulation (Fig. 8) captures it during deposition process. The primary γ′ size in the experiment is expected to experience additional growth during the cooling phase. Regardless, both show similar trends in primary γ′ size increments from the top to the bottom of the build. The larger primary γ’ size in the simulation versus the experiment can be attributed to the fact that experimental and simulation results are based on 2D and 3D data, respectively. The absence of stereological considerations [96] in our analysis could have led to an underestimation of the precipitate sizes from SEM measurements. The early starts of coarsening (8th layer) in the experiment compared to the simulation (45th layer) can be attributed to a higher actual γ′ solvus temperature than considered in our simulation [47]. The solvus temperature of γ′ in a Ni-based superalloy is mainly determined by the detailed composition. A high amount of Cr and Co are known to reduce the solvus temperature, whereas Ta and Mo will increase it [97][98][99]. The elemental composition from our experimental work was used for the simulation except for Ta. It should be noted that Ta is not included in the thermodynamic database in MatCalc used, and this may have reduced the solvus temperature. This could also explain the relatively higher γ′ phase fraction in the experiment than in simulation, as a higher γ′ solvus temperature will cause more γ′ to precipitate and grow early during cooling [99][100].

Another possible cause of this deviation can be attributed to the extent of γ′ dissolution, which is mainly determined by the peak temperature. It can be speculated that individual peak temperatures at different layers in the simulation may have been over-predicted. However, one needs to consider that the true thermal profile is likely more complicated in the actual E-PBF process [101]. For example, the current model assumes that the thermophysical properties of the material are temperature-independent, which is not realistic. Many materials, including IN738, exhibit temperature-dependent properties such as thermal conductivityspecific heat capacity, and density [102]. This means that heat transfer simulations may underestimate or overestimate the temperature gradients and cooling rates within the powder bed and the solidified part. Additionally, the model does not account for the reduced thermal diffusivity through unmelted powder, where gas separating the powder acts as insulation, impeding the heat flow [1]. In E-PBF, the unmelted powder regions with trapped gas have lower thermal diffusivity compared to the fully melted regions, leading to localized temperature variations, and altered solidification behavior. These limitations can impact the predictions, particularly in relation to the carbide dissolution, as the peak temperatures may be underestimated.

While acknowledging these limitations, it is worth emphasizing that achieving a detailed and accurate representation of each layer’s heat source would impose tough computational challenges. Given the substantial layer count in E-PBF, our decision to employ a semi-analytical approximation strikes a balance between computational feasibility and the capture of essential trends in thermal profiles across diverse build layers. In future work, a dual-calibration strategy is proposed to further reduce simulation-experiment disparities. By refining temperature-independent thermophysical property approximations and absorptivity in the heat source model, and by optimizing interfacial energy descriptions in the kinetic model, the predictive precision could be enhanced. Further refining the simulation controls, such as adjusting the precipitate class size may enhance quantitative comparisons between modeling outcomes and experimental data in future work.

4.4.2. Multimodal size distribution of γ′ and concentration

Another interesting feature that sees qualitative agreement between the simulation and the experiment is the multimodal size distribution of γ′. The formation of secondary γ′ particles in the experiment and most E-PBF Ni-based superalloys is suggested to occur at low temperatures, during final cooling to RT [16][73][90]. However, so far, this conclusion has been based on findings from various continuous cooling experiments, as the study of the evolution during AM would require an in-situ approach. Our simulation unambiguously confirms this in an AM context by providing evidence for secondary γ′ precipitation during slow cooling to RT. Additionally, it is possible to speculate that the chemical segregation occurring during solidification, due to the preferential partitioning of certain elements between the solid and liquid phases, can contribute to the multimodal size distribution during deposition [51]. This is because chemical segregation can result in variations in the local composition of superalloys, which subsequently affects the nucleation and growth of γ′. Regions with higher concentrations of alloying elements will encourage the formation of larger γ′ particles, while regions with lower concentrations may favor the nucleation of smaller precipitates. However, it is important to acknowledge that the elevated temperature during the E-PBF process will largely homogenize these compositional differences [103][104].

A good correlation is also shown in the composition of major γ′ forming elements (Al and Ti) in primary and secondary γ′. Both experiment and simulation show an increasing trend for Al content and a decreasing trend for Ti content from primary to secondary γ′. The slight composition differences between primary and secondary γ′ particles are due to the different diffusivity of γ′ stabilizers at different thermal conditions [105][106]. As the formation of multimodal γ′ particles with different sizes occurs over a broad temperature range, the phase chemistry of γ′ will be highly size dependent. The changes in the chemistry of various γ′ (primary, secondary, and tertiary) have received significant attention since they have a direct influence on the performance [68][105][107][108][109]. Chen et al. [108][109], reported a high Al content in the smallest γ′ precipitates compared to the largest, while Ti showed an opposite trend during continuous cooling in a RR1000 Ni-based superalloy. This was attributed to the temperature and cooling rate at which the γ′ precipitates were formed. The smallest precipitates formed last, at the lowest temperature and cooling rate. A comparable observation is evident in the present investigation, where the secondary γ′ forms at a low temperature and cooling rate in comparison to the primary. The temperature dependence of γ′ chemical composition is further evidenced in supplementary Fig. S4, which shows the equilibrium chemical composition of γ′ as a function of temperature.

5. Conclusions

A correlative modelling approach capable of predicting solid-state phase transformations kinetics in metal AM was developed. This approach involves computational simulations with a semi-analytical heat transfer model and the MatCalc thermo-kinetic software. The method was used to predict the phase transformation kinetics and detailed morphology and chemistry of γ′ and MC during E-PBF of IN738 Ni-based superalloy. The main conclusions are:

  • 1.The computational simulations are in qualitative agreement with the experimental observations. This is particularly true for the γ′ size distribution along the build height, the multimodal size distribution of particles, and the phase fraction of MC carbides.
  • 2.The deviations between simulation and experiment in terms of γ′ phase fraction and location in the build are most likely attributed to a higher γ′ solvus temperature during the experiment than in the simulation, which is argued to be related to the absence of Ta in the MatCalc database.
  • 3.The dissolution and precipitation of γ′ occur fast and under non-equilibrium conditions. The level of γ′ dissolution determines the gradient in γ′ size distribution along the build. After thermal cycling, the final cooling to room temperature has further significant impacts on the final γ′ size, morphology, and distribution.
  • 4.A negligible amount of γ′ forms in the first deposited layer before subsequent layer deposition, and a small amount of γ′ may also form in the powder induced by the 1000 °C elevated build temperature before melting.

Our findings confirm the suitability of MatCalc to predict the microstructural evolution at various positions throughout a build in a Ni-based superalloy during E-PBF. It also showcases the suitability of a tool which was originally developed for traditional thermo-mechanical processing of alloys to the new additive manufacturing context. Our simulation capabilities are likely extendable to other alloy systems that undergo solid-state phase transformations implemented in MatCalc (various steels, Ni-based superalloys, and Al-alloys amongst others) as well as other AM processes such as L-DED and L-PBF which have different thermal cycle characteristics. New tools to predict the microstructural evolution and properties during metal AM are important as they provide new insights into the complexities of AM. This will enable control and design of AM microstructures towards advanced materials properties and performances.

CRediT authorship contribution statement

Primig Sophie: Writing – review & editing, Supervision, Resources, Project administration, Funding acquisition, Conceptualization. Adomako Nana Kwabena: Writing – original draft, Writing – review & editing, Visualization, Software, Investigation, Formal analysis, Conceptualization. Haghdadi Nima: Writing – review & editing, Supervision, Project administration, Methodology, Conceptualization. Dingle James F.L.: Methodology, Conceptualization, Software, Writing – review & editing, Visualization. Kozeschnik Ernst: Writing – review & editing, Software, Methodology. Liao Xiaozhou: Writing – review & editing, Project administration, Funding acquisition. Ringer Simon P: Writing – review & editing, Project administration, Funding acquisition.

Declaration of Competing Interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.


This research was sponsored by the Department of Industry, Innovation, and Science under the auspices of the AUSMURI program – which is a part of the Commonwealth’s Next Generation Technologies Fund. The authors acknowledge the facilities and the scientific and technical assistance at the Electron Microscope Unit (EMU) within the Mark Wainwright Analytical Centre (MWAC) at UNSW Sydney and Microscopy Australia. Nana Adomako is supported by a UNSW Scientia PhD scholarship. Michael Haines’ (UNSW Sydney) contribution to the revised version of the original manuscript is thankfully acknowledged.

Appendix A. Supplementary material

Download : Download Word document (462KB)

Supplementary material.

Data Availability

Data will be made available on request.


Study on the critical sediment concentration determining the optimal transport capability of submarine sediment flows with different particle size composition

Study on the critical sediment concentration determining the optimal transport capability of submarine sediment flows with different particle size composition

Yupeng Ren abc, Huiguang Zhou cd, Houjie Wang ab, Xiao Wu ab, Guohui Xu cd, Qingsheng Meng cd


해저 퇴적물 흐름은 퇴적물을 심해로 운반하는 주요 수단 중 하나이며, 종종 장거리를 이동하고 수십 또는 수백 킬로미터에 걸쳐 상당한 양의 퇴적물을 운반합니다. 그것의 강력한 파괴력은 종종 이동 과정에서 잠수함 유틸리티에 심각한 손상을 초래합니다.

퇴적물 흐름의 퇴적물 농도는 주변 해수와의 밀도차를 결정하며, 이 밀도 차이는 퇴적물 흐름의 흐름 능력을 결정하여 이송된 퇴적물의 최종 퇴적 위치에 영향을 미칩니다. 본 논문에서는 다양한 미사 및 점토 중량비(미사/점토 비율이라고 함)를 갖는 다양한 퇴적물 농도의 퇴적물 흐름을 수로 테스트를 통해 연구합니다.

우리의 테스트 결과는 특정 퇴적물 구성에 대해 퇴적물 흐름이 가장 빠르게 이동하는 임계 퇴적물 농도가 있음을 나타냅니다. 4가지 미사/점토 비율 각각에 대한 임계 퇴적물 농도와 이에 상응하는 최대 속도가 구해집니다. 결과는 점토 함량이 임계 퇴적물 농도와 선형적으로 음의 상관 관계가 있음을 나타냅니다.

퇴적물 농도가 증가함에 따라 퇴적물의 흐름 거동은 흐름 상태에서 붕괴된 상태로 변환되고 흐름 거동이 변화하는 두 탁한 현탁액의 유체 특성은 모두 Bingham 유체입니다.

또한 본 논문에서는 퇴적물 흐름 내 입자 배열을 분석하여 위에서 언급한 결과에 대한 미시적 설명도 제공합니다.

Submarine sediment flows is one of the main means for transporting sediment to the deep sea, often traveling long-distance and transporting significant volumes of sediment for tens or even hundreds of kilometers. Its strong destructive force often causes serious damage to submarine utilities on its course of movement. The sediment concentration of the sediment flow determines its density difference with the ambient seawater, and this density difference determines the flow ability of the sediment flow, and thus affects the final deposition locations of the transported sediment. In this paper, sediment flows of different sediment concentration with various silt and clay weight ratios (referred to as silt/clay ratio) are studied using flume tests. Our test results indicate that there is a critical sediment concentration at which sediment flows travel the fastest for a specific sediment composition. The critical sediment concentrations and their corresponding maximum velocities for each of the four silt/clay ratios are obtained. The results further indicate that the clay content is linearly negatively correlated with the critical sediment concentration. As the sediment concentration increases, the flow behaviors of sediment flows transform from the flow state to the collapsed state, and the fluid properties of the two turbid suspensions with changing flow behaviors are both Bingham fluids. Additionally, this paper also provides a microscopic explanation of the above-mentioned results by analyzing the arrangement of particles within the sediment flow.


Submarine sediment flows are important carriers for sea floor sediment movement and may carry and transport significant volumes of sediment for tens or even hundreds of kilometers (Prior et al., 1987; Pirmez and Imran, 2003; Zhang et al., 2018). Earthquakes, storms, and floods may all trigger submarine sediment flow events (Hsu et al., 2008; Piper and Normark, 2009; Pope et al., 2017b; Gavey et al., 2017). Sediment flows have strong forces during the movement, which will cause great harm to submarine structures such as cables and pipelines (Pope et al., 2017a). It was first confirmed that the cable breaking event caused by the sediment flow occurred in 1929. The sediment flow triggered by the Grand Banks earthquake damaged 12 cables. According to the time sequence of the cable breaking, the maximum velocity of the sediment flow is as high as 28 m/s (Heezen and Ewing, 1952; Kuenen, 1952; Heezen et al., 1954). Subsequent research shows that the lowest turbidity velocity that can break the cable also needs to reach 19 m/s (Piper et al., 1988). Since then, there have been many damage events of submarine cables and oil and gas pipelines caused by sediment flows in the world (Hsu et al., 2008; Carter et al., 2012; Cattaneo et al., 2012; Carter et al., 2014). During its movement, the sediment flow will gradually deposit a large amount of sediment carried by it along the way, that is, the deposition process of the sediment flow. On the one hand, this process brings a large amount of terrestrial nutrients and other materials to the ocean, while on the other hand, it causes damage and burial to benthic organisms, thus forming the largest sedimentary accumulation on Earth – submarine fans, which are highly likely to become good reservoirs for oil and gas resources (Daly, 1936; Yuan et al., 2010; Wu et al., 2022). The study on sediment flows (such as, the study of flow velocity and the forces acting on seabed structures) can provide important references for the safe design of seabed structures, the protection of submarine ecosystems, and exploration of turbidity sediments related oil and gas deposits. Therefore, it is of great significance to study the movement of sediment flows.

The sediment flow, as a highly sediment-concentrated fluid flowing on the sea floor, has a dense bottom layer and a dilute turbulent cloud. Observations at the Monterey Canyon indicated that the sediment flow can maintain its movement over long distances if its bottom has a relatively high sediment concentration. This dense bottom layer can be very destructive along its movement path to any facilities on the sea floor (Paull et al., 2018; Heerema et al., 2020; Wang et al., 2020). The sediment flow mentioned in this research paper is the general term of sediment density flow.

The sediment flow, which occurs on the seafloor, has the potential to cause erosion along its path. In this process, the suspended sediment is replenished, allowing the sediment flow to maintain its continuous flow capacity (Zhao et al., 2018). The dynamic force of sediment flow movement stem from its own gravity and density difference with surrounding water. In cases that the gravity drive of the slope is absent (on a flat sea floor), the flow velocity and distance of sediment flows are essentially determined by the sediment composition and concentration of the sediment flows as previous studies have demonstrated. Ilstad et al. (2004) conducted underwater flow tests in a sloped tank and employed high speed video camera to perform particle tracking. The results indicated that the premixed sand-rich and clay-rich slurries demonstrated different flow velocity and flow behavior. Using mixed kaolinite(d50 = 6 μm) and silica flour(d50 = 9 μm) in three compositions with total volumetric concentration ranged 22% or 28%, Felix and Peakall (2006) carried out underwater flow tests in a 5° slope Perspex channel and found that the flow ability of sediment flows is different depending on sediment compositions and concentrations. Sumner et al. (2009) used annular flume experiments to investigate the depositional dynamics and deposits of waning sediment-laden flows, finding that decelerating fast flows with fixed sand content and variable mud content resulted in four different deposit types. Chowdhury and Testik (2011) used lock-exchange tank, and experimented the kaolin clay sediment flows in the concentration range of 25–350 g/L, and predicted the fluid mud sediment flows propagation characteristics, but this study focused on giving sediment flows propagate phase transition time parameters, and is limited to clay. Lv et al. (2017) found through experiments that the rheological properties and flow behavior of kaolin clay (d50 = 3.7 μm) sediment flows were correlated to clay concentrations. In the field monitoring conducted by Liu et al. (2023) at the Manila Trench in the South China Sea in 2021, significant differences in the velocity, movement distance, and flow morphology of turbidity currents were observed. These differences may be attributed to variations in the particle composition of the turbidity currents.

On low and gentle slopes, although sediment flow with sand as the main sediment composition moves faster, it is difficult to propagate over long distances because sand has greater settling velocity and subaqueous angle of repose. Whereas the sediment flows with silt and clay as main composition may maintain relatively stable currents. Although its movement speed is slow, it has the ability to propagate over long distances because of the low settling rate of the fine particles (Ilstad et al., 2004; Liu et al., 2023). In a field observation at the Gaoping submarine canyon, the sediments collected from the sediment flows exhibited grain size gradation and the sediment was mostly composed of silt and clay (Liu et al., 2012). At the largest deltas in the world, for instance, the Mississippi River Delta, the sediments are mainly composed of silt and clay, which generally distributed along the coast in a wide range and provided the sediment sources for further distribution. The sediment flows originated and transported sediment from the coast to the deep sea are therefore share the same sediment compositions as delta sediments. To study the sediment flows composed of silt and clay is of great importance.

The sediment concentration of the sediment flows determines the density difference between the sediment flows and the ambient water and plays a key role in its flow ability. For the sediment flow with sediment composed of silt and clay, low sediment concentration means low density and therefore leads to low flow ability; however, although high sediment concentration results in high density, since there is cohesion between fine particles, it changes fluid properties and leads to low flow ability as well. Therefore, there should be a critical sediment concentration with mixed composition of silt and clay, at which the sediment flow maintains its strongest flow capacity and have the highest movement speed. In other words, the two characteristics of particle diameter and concentration of the sediment flow determine its own motion ability, which, if occurs, may become the most destructive force to submarine structures.

The objectives of this work was to study how the sediment composition (measured in relative weight of silt and clay, and referred as silt/clay ratio) and sediment concentration affect flow ability and behavior of the sediment flows, and to quantify the critical sediment concentration at which the sediment flows reached the greatest flow velocity under the experiment setting. We used straight flume without slope and conducted a series of flume tests with varying sediment compositions (silt-rich or clay-rich) and concentrations (96 to 1212 g/L). Each sediment flow sample was tested and analyzed for rheological properties using a rheometer, in order to characterize the relationship between flow behavior and rheological properties. Combined with the particle diameter, density and viscosity characteristics of the sediment flows measured in the experiment, a numerical modeling study is conducted, which are mutually validated with the experimental results.

The sediment concentration determines the arrangements of the sediment particles in the turbid suspension, and the arrangement impacts the fluid properties of the turbid suspension. The microscopic mode of particle arrangement in the turbid suspension can be constructed to further analyze the relationship between the fluid properties of turbid suspension and the flow behaviors of the sediment flow, and then characterize the critical sediment concentration at which the sediment flow runs the fastest. A simplified microscopic model of particle arrangement in turbid suspension was constructed to analyze the microscopic arrangement characteristics of sediment particles in turbid suspension with the fastest velocity.

Section snippets

Equipment and materials

The sediment flows flow experiments were performed in a Perspex channel with smooth transparent walls. The layout and dimensions of the experimental set-up were shown in Fig. 1. The bottom of the channel was flat and straight, and a gate was arranged to separate the two tanks. In order to study the flow capacity of turbidity currents from the perspective of their own composition (particle size distribution and concentration), we used a straight channel instead of an inclined one, to avoid any

Relationship between sediment flow flow velocity and sediment concentration

After the sediment flow is generated, its movement in the first half (50 cm) of the channel is relatively stable, and there is obvious shock diffusion in the second half. The reason is that the excitation wave (similar to the surge) will be formed during the sediment flow movement, and its speed is much faster than the speed of the sediment flow head. When the excitation wave reaches the tail of the channel, it will be reflected, thus affecting the subsequent flow of the sediment flow.

Sediment flows motion simulation based on FLOW-3D

As a relatively mature 3D fluid simulation software, FLOW-3D can accurately predict the free surface flow, and has been used to simulate the movement process of sediment flows for many times (Heimsund, 2007). The model adopted in this paper is RNG turbulence model, which can better deal with the flow with high strain rate and is suitable for the simulation of sediment flows with variable shape during movement. The governing equations of the numerical model involved include continuity equation,


In this study, we conducted a series of sediment flow flume tests with mixed silt and clay sediment samples in four silt/clay ratios on a flat slope. Rheological measurements were carried out on turbid suspension samples and microstructure analysis of the sediment particle arrangements was conducted, we concluded that:

  • (1)The flow velocity of the sediment flow is controlled by the sediment concentration and its own particle diameter composition, the flow velocity increased with the increase of the

Declaration of Competing Interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.


This work was supported by the National Natural Science Foundation of China [Grant no. 42206055]; the National Natural Science Foundation of China [Grant no. 41976049]; and the National Natural Science Foundation of China [Grant no. 42272327].

References (39)

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Figure 2-15: Système expérimental du plan incliné

새로운 콘크리트의 유체 흐름 모델링

Sous la direction de :
Marc Jolin, directeur de recherche
Benoit Bissonnette, codirecteur de recherche

Modélisation de l’écoulement du béton frais


현재의 기후 비상 사태와 기후 변화에 관한 다양한 과학적 보고서를 고려할 때 인간이 만든 오염을 대폭 줄이는 것은 필수적이며 심지어 중요합니다. 최신 IPCC(기후변화에 관한 정부 간 패널) 보고서(2022)는 2030년까지 배출량을 절반으로 줄여야 함을 나타내며, 지구 보존을 위해 즉각적인 조치를 취해야 한다고 강력히 강조합니다.

이러한 의미에서 콘크리트 생산 산업은 전체 인간 이산화탄소 배출량의 4~8%를 담당하고 있으므로 환경에 미치는 영향을 줄이기 위한 진화가 시급히 필요합니다.

본 연구의 주요 목적은 이미 사용 가능한 기술적 품질 관리 도구를 사용하여 생산을 최적화하고 혼합 시간을 단축하며 콘크리트 폐기물을 줄이기 위한 신뢰할 수 있고 활용 가능한 수치 모델을 개발함으로써 이러한 산업 전환에 참여하는 것입니다.

실제로, 혼합 트럭 내부의 신선한 콘크리트의 거동과 흐름 프로파일을 더 잘 이해할 수 있는 수치 시뮬레이션을 개발하면 혼합 시간과 비용을 더욱 최적화할 수 있으므로 매우 유망합니다. 이러한 복잡한 수치 도구를 활용할 수 있으려면 수치 시뮬레이션을 검증, 특성화 및 보정하기 위해 기본 신 콘크리트 흐름 모델의 구현이 필수적입니다.

이 논문에서는 세 가지 단순 유동 모델의 개발이 논의되고 얻은 결과는 신선한 콘크리트 유동의 수치적 거동을 검증하는 데 사용됩니다. 이러한 각 모델은 강점과 약점을 갖고 있으며, 신선한 콘크리트의 유변학과 유동 거동을 훨씬 더 잘 이해할 수 있는 수치 작업 환경을 만드는 데 기여합니다.

따라서 이 연구 프로젝트는 새로운 콘크리트 생산의 완전한 모델링을 위한 진정한 관문입니다.

In view of the current climate emergency and the various scientific reports on climate change, it is essential and even vital to drastically reduce man-made pollution. The latest IPCC (Intergovernmental Panel on Climate Change) report (2022) indicates that emissions must be halved by 2030 and strongly emphasizes the need to act immediately to preserve the planet. In this sense, the concrete production industry is responsible for 4-8% of total human carbon dioxide emissions and therefore urgently needs to evolve to reduce its environmental impact. The main objective of this study is to participate in this industrial transition by developing a reliable and exploitable numerical model to optimize the production, reduce mixing time and also reduce concrete waste by using technological quality control tools already available. Indeed, developing a numerical simulation allowing to better understand the behavior and flow profiles of fresh concrete inside a mixing-truck is extremely promising as it allows for further optimization of mixing times and costs. In order to be able to exploit such a complex numerical tool, the implementation of elementary fresh concrete flow models is essential to validate, characterize and calibrate the numerical simulations. In this thesis, the development of three simple flow models is discussed and the results obtained are used to validate the numerical behavior of fresh concrete flow. Each of these models has strengths and weaknesses and contributes to the creation of a numerical working environment that provides a much better understanding of the rheology and flow behavior of fresh concrete. This research project is therefore a real gateway to a full modelling of fresh concrete production.

Key words

fresh concrete, rheology, numerical simulation, mixer-truck, rheological probe.

Figure 2-15: Système expérimental du plan incliné
Figure 2-15: Système expérimental du plan incliné
Figure 2-19: Essai d'affaissement au cône d'Abrams
Figure 2-19: Essai d’affaissement au cône d’Abrams


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Figure 1. US bath modified as an EC reactor

물에서 초음파를 이용한 전기화학적 스트론튬 제거에 대한 단시간 수치 시뮬레이션

전기화학 반응기에 대한 3D 수치 시뮬레이션 및 측정을 사용하여 동시 초음파 처리 유무에 관계없이 물에서 스트론튬 제거 효율을 분석했습니다. 초음파는 작동 주파수가 25kHz인 4개의 초음파 변환기를 사용하여 생성되었습니다. 반응기는 2개의 블록으로 배열된 8개의 알루미늄 전극을 사용했습니다.

1 Department of Hydroscience and Engineering, Faculty of Civil Engineering, University of Zagreb, Andrije Kačića-Miošića 26, 10000 Zagreb, Croatia
*corresponding author:

물 속의 스트론튬 이온은 3.2∙10-19C의 전하와 1.2∙10-8m의 직경을 특징으로 하는 입자로 모델링됩니다. 수치 모델은 기본 유체 역학 모듈, 정전기 모듈 및 일반 이동 객체 모듈을 사용하여 Flow-3D 소프트웨어에서 생성되었습니다.

수치 시뮬레이션을 통해 연구된 원자로 변형의 성능은 시뮬레이션 기간이 끝날 때 전극에 영구적으로 유지되는 모델 스트론튬 입자 수와 물 속의 초기 입자 수의 비율로 정의됩니다. 실험실 반응기의 경우 스트론튬 제거 효과는 실험 종료 시와 시작 시 물 내 균일한 스트론튬 농도의 비율로 정의됩니다.

결과는 초음파를 사용하면 수처리 180초 후에 스트론튬 제거 효과가 10.3%에서 11.2%로 증가한다는 것을 보여줍니다. 수치 시뮬레이션 결과는 동일한 기하학적 특성을 갖는 원자로에 대한 측정 결과와 일치합니다.

3D numerical simulations and measurements on an electrochemical reactor were used to analyze the efficiency of strontium removal from water, with and without simultaneous ultrasound treatment. Ultrasound was generated using 4 ultrasonic transducers with an operating frequency of 25 kHz. The reactor used 8 aluminum electrodes arranged in two blocks. Strontium ions in water are modeled as particles characterized by a charge of 3.2∙10-19 C and a diameter of 1.2∙10-8 m. The numerical model was created in Flow-3D software using the basic hydrodynamic module, electrostatic module, and general moving objects module. The performance of the studied reactor variants by numerical simulations is defined by the ratio of the number of model strontium particles permanently retained on the electrodes at the end of the simulation period to the initial number of particles in the water. For the laboratory reactor, the effect of strontium removal is defined by the ratio of the homogeneous strontium concentration in the water at the end and at the beginning of the experiments. The results show that the use of ultrasound increases the effect of strontium removal from 10.3% to 11.2% after 180 seconds of water treatment. The results of numerical simulations agree with the results of measurements on a reactor with the same geometrical characteristics.


numerical model, electrochemical reactor, strontium

Figure 1. US bath modified as an EC reactor
Figure 1. US bath modified as an EC reactor
Figure 2. Schematic view of the experimental set-up
Figure 2. Schematic view of the experimental set-up


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Fig. 7.Simulation results by single external force (left: rainfall, right: storm surge)

연안 지역의 복합 외력에 의한 침수 특성 분석

Analysis on inundation characteristics by compound external forces in coastal areas

연안 지역의 복합 외력에 의한 침수 특성 분석

Taeuk Kanga, Dongkyun Sunb, Sangho Leec*
강 태욱a, 선 동균b, 이 상호c*

aResearch Professor, Disaster Prevention Research Institute, Pukyong National University, Busan, Korea
bResearcher, Disaster Prevention Research Institute, Pukyong National University, Busan, Korea
cProfessor, Department of Civil Engineering, Pukyong National University, Busan, Korea
a부경대학교 방재연구소 전임연구교수
b부경대학교 방재연구소 연구원
c부경대학교 공과대학 토목공학과 교수
*Corresponding Author


연안 지역은 강우, 조위, 월파 등 여러가지 외력에 의해 침수가 발생될 수 있다. 이에 이 연구에서는 연안 지역에서 발생될 수 있는 단일 및 복합 외력에 의한 지역별 침수 특성을 분석하였다. 연구에서 고려한 외력은 강우와 폭풍 해일에 의한 조위 및 월파이고, 분석 대상지역은 남해안 및 서해안의 4개 지역이다. 유역의 강우-유출 및 2차원 지표면 침수 분석에는 XP-SWMM이 사용되었고, 폭풍 해일에 의한 외력인 조위 및 월파량 산정에는 ADCSWAN (ADCIRC와 UnSWAN) 모형과 FLOW-3D 모형이 각각 활용되었다. 단일 외력을 이용한 분석 결과, 대부분의 연안 지역에서는 강우에 의한 침수 영향보다 폭풍 해일에 의한 침수 영향이 크게 나타났다. 복합 외력에 의한 침수 분석 결과는 대체로 단일 외력에 의한 침수 모의 결과를 중첩시켜 나타낸 결과와 유사하였다. 다만, 특정 지역에서는 복합 외력을 고려함에 따라 단일 외력만을 고려한 침수모의에서 나타나지 않았던 새로운 침수 영역이 발생하기도 하였다. 이러한 지역의 침수 피해 저감을 위해서는 복합 외력을 고려한 분석이 요구되는 것으로 판단되었다.


연안 지역

침수 분석


폭풍 해일

복합 외력

The various external forces can cause inundation in coastal areas. This study is to analyze regional characteristics caused by single or compound external forces that can occur in coastal areas. Storm surge (tide level and wave overtopping) and rainfall were considered as the external forces in this study. The inundation analysis were applied to four coastal areas, located on the west and south coast in Republic of Korea. XP-SWMM was used to simulate rainfall-runoff phenomena and 2D ground surface inundation for watershed. A coupled model of ADCIRC and SWAN (ADCSWAN) was used to analyze tide level by storm surge and the FLOW-3D model was used to estimate wave overtopping. As a result of using a single external force, the inundation influence due to storm surge in most of the coastal areas was greater than rainfall. The results of using compound external forces were quite similar to those combined using one external force independently. However, a case of considering compound external forces sometimes created new inundation areas that didn’t appear when considering only a single external force. The analysis considering compound external forces was required to reduce inundation damage in these areas.


Coastal area

Inundation analysis


Storm surge

Compound external forces


1. 서 론

우리나라는 반도에 위치하여 삼면이 바다로 둘러싸여 있는 지리적 특성을 가지고 있다. 이에 따라 해양 산업을 중심으로 부산, 인천, 울산 등 대규모의 광역도시가 발달하였을 뿐만 아니라, 창원, 포항, 군산, 목포, 여수 등의 중․소규모 도시들도 발달되어 있다. 또한, 최근에는 연안 지역이 바다를 전망으로 하는 입지 조건을 가지고 있어 개발 선호도가 높고, 이에 따라 부산시 해운대의 마린시티, 엘시티와 같은 주거 및 상업시설의 개발이 지속되고 있다(Kang et al., 2019b).

한편, 최근 기후변화에 따른 지구 온난화 현상으로 평균 해수면이 상승하고, 해수면 온도도 상승하면서 태풍 및 강우의 강도가 커지고 있어 전 세계적으로 자연 재해로 인한 피해가 증가하고 있다(Kim et al., 2016). 실제로 2020년에는 최장기간의 장마가 발생하여 부산, 울산은 물론, 전국에서 50명의 인명 피해와 3,489세대의 이재민이 발생하였다1). 특히, 연안 지역은 강우, 만조 시 해수면 상승, 폭풍 해일(storm surge)에 의한 월파(wave overtopping) 등 복합적인 외력(compound external forces)에 의해 침수될 수 있다(Lee et al., 2020). 일례로, 2016년 태풍 차바 시 부산시 해운대구의 마린시티는 강우와 폭풍 해일에 의한 월파가 발생함에 따라 대규모 침수를 유발하였다(Kang et al., 2019b). 또한, 2020년 7월 23일에 부산에서는 시간당 81.6 mm의 집중호우와 약최고고조위를 상회하는 만조가 동시에 발생하였고, 이로 인해 감조 하천인 동천의 수위가 크게 상승하여 하천이 범람하였다(KSCE, 2021).

연안 지역의 복합 외력을 고려한 침수 분석에 관한 사례로서, 우선 강우와 조위를 고려한 연구 사례는 다음과 같다. Han et al. (2014)은 XP-SWMM을 이용하여 창원시 배수 구역을 대상으로 침수 모의를 수행하였는데, 연안 도시의 침수 모의에는 조위의 영향을 반드시 고려해야 함을 제시하였다. Choi et al. (2018a)은 경남 사천시 선구동 일대에 대하여 초과 강우 및 해수면 상승 시나리오를 조합하여 침수 분석을 수행하였다. Choi et al. (2018b)은 XP-SWMM을 이용하여 여수시 연등천 및 여수시청 지역에 대하여 강우 시나리오와 해수위 상승 시나리오를 고려한 복합 원인에 의한 침수 모의를 수행하여 홍수예경보 기준표를 작성하였다. 한편, 강우, 조위, 월파를 고려한 연구 사례로서, Song et al. (2017)은 부산시 해운대구 수영만 일원에 대하여 XP-SWMM으로 월파량의 적용 유무에 따른 침수 면적을 비교하였다. Suh and Kim (2018)은 부산시 마린시티 지역을 대상으로 태풍 차바 때 EurOtop의 경험식을 ADSWAN에 적용하여 월파량을 반영하였다. Chen et al. (2017)은 TELEMAC-2D 및 SWMM을 기반으로 한 극한 강우, 월파 및 조위를 고려하여 중국 해안 원자력 발전소의 침수를 예측하고 분석하기 위한 결합 모델을 개발한 바 있다. 한편, Lee et al. (2020)은 수리‧수문학 분야와 해양공학 분야에서 사용되는 물리 모형의 기술적 연계를 통해 연안 지역의 침수 모의의 재현성을 높였다.

상기의 연구들은 공통적으로 연안 지역에 대하여 복합 외력을 고려했을 때 발생되는 침수 현상의 재현 또는 예측을 목적으로 수행되었다. 이 연구는 이와 차별하여 복합 외력을 고려하는 경우 나타날 수 있는 연안 지역의 침수 특성 분석을 목적으로 수행되었다. 이를 위해 단일 외력을 독립적으로 고려했을 때 발생되는 침수 양상과 동시에 고려하는 경우의 침수 현상을 비교, 분석하였다. 복합 외력에 의한 지역적 침수 특성 분석은 우리나라 남해안과 서해안에 위치한 4개 지역에 대하여 적용되었다.

1) 장연제, 47일째 이어진 긴 장마, 50명 인명피해… 9년만에 최대, 동아닷컴, 2020년 8월 9일 수정, 2021년 3월 4일 접속,

2. 연구 방법

2.1 연안 지역의 침수 영향 인자

연안 지역의 침수는 크게 세 가지의 메카니즘으로 발생될 수 있다. 우선, 연안 지역은 바다와 인접하고 있기 때문에 그 영향을 직접적으로 받는다. Kim (2018)에 의하면, 연안 지역의 침수는 폭풍 해일에 의해 상승한 조위와 월파로 인해 발생될 수 있다(Table 1). 특히, 경상남도의 창원과 통영, 인천광역시의 소래포구 어시장 등 남해안 및 서해안 지역의 일부는 백중사리, 슈퍼문(super moon) 등 만조 시 조위의 상승으로 인한 침수가 발생하는 지역이 존재한다(Kang et al., 2019a). 두 번째는 강우에 의한 내수 침수 발생이다. ME (2011)에서는 도시 지역의 우수 관거를 10 ~ 30년 빈도로 계획하도록 지정하고 있고, 펌프 시설은 30 ~ 50년 빈도의 홍수를 배수시킬 수 있도록 정하고 있다. 하지만 최근에는 기후변화의 영향으로 도시 지역 배수시설의 설계 빈도를 초과하는 강우가 빈번하게 나타나고 있다. 실제로 2016년의 태풍 차바 시 울산 기상관측소에 관측된 시간 최대 강우량은 106.0 mm로서, 이는 300년 빈도 이상의 강우량에 해당하였다(Kang et al., 2019a). 따라서 배수시설의 설계 빈도 이상의 강우는 연안 도시 지역의 침수를 유발할 수 있다. 세 번째, 하천이 인접한 연안 도시에서는 하천의 범람으로 인해 침수가 발생할 수 있다. 하천의 경우, 기본계획이 수립되기는 하지만, 설계 빈도를 상회하는 강우의 발생, 제방, 수문 등 홍수 방어시설의 기능 저하, 예산 등의 문제로 하천기본계획 이행의 지연 등에 의해 범람할 가능성이 존재한다.

Table 1.

Type of natural hazard damage in coastal areas (Kim, 2018)

ItemRisk factor
Facilities damage∙ Breaking of coastal facilities by wave
– Breakwater, revetment, lighters wharf etc.
∙ Local scouring at the toe of the structures by wave
∙ Road collapse by wave overtopping
Inundation damage∙ Inundation damage by wave overtopping
∙ Inundation of coastal lowlands by storm surge
Erosion damage∙ Backshore erosion due to high swell waves
∙ Shoreline changes caused by construction of coastal erosion control structure
∙ Sediment transport due to the construction of artificial structures

상기의 내용을 종합하면, 연안 지역은 조위 및 월파에 의한 침수, 강우에 의한 내수 침수, 하천 범람에 의한 침수로 구분될 수 있다. 이 연구에서는 폭풍 해일에 의한 조위 상승 및 월파와 강우를 연안 지역의 침수 유발 외력으로 고려하였다. 하천 범람의 경우, 상대적으로 사례가 희소하여 제외하였다.

2.2 복합 외력을 고려한 침수 모의 방법

이 연구에서는 조위 및 월파와 강우를 연안 지역의 침수 발생에 관한 외력 조건으로 고려하였다. 따라서 해당 외력 조건을 고려하여 침수 분석을 수행할 수 있어야 한다. 이와 관련하여 Lee et al. (2020)은 Fig. 1과 같이 수리‧수문 및 해양공학 분야에서 사용되는 물리 기반 모형의 연계를 통해 조위, 월파, 강우를 고려한 침수 분석 방법을 제시하였고, 이 연구에서는 해당 방법을 이용하였다.
Fig. 1.

Connection among the models for inundation analysis in coastal areas (Lee et al., 2020)

우선, 태풍에 의해 발생되는 폭풍 해일의 영향을 분석하기 위해서는 태풍에 의해 발생되는 기압 강하, 해상풍, 진행 속도 등을 고려하여 해수면의 변화 양상 및 조석-해일-파랑을 충분히 재현 가능해야 한다. 이 연구에서는 국내․외에서 검증 및 공인된 폭풍 해일 모형인 ADCIRC 모형과 파랑 모형인 UnSWAN이 결합된 ADCSWAN (coupled model of ADCIRC and UnSWAN)을 이용하였다. 정수압 가정의 ADCSWAN은 월파량 산정에 단순 경험식을 적용하는 단점이 있지만 넓은 영역을 모의할 수 있고, FLOW-3D는 해안선의 경계를 고해상도로 재현이 가능하다. 이에 연구에서는 먼 바다 영역에 대해서는 ADCSWAN을 이용하여 분석하였고, 연안 주변의 바다 영역과 월파량 산정에 대해서는 FLOW-3D 모형을 이용하였다. 한편, 연안 지역의 침수 모의를 위해서는 유역에서 발생하는 강우-유출 현상과 우수 관거 등의 배수 체계에 대한 분석이 가능해야 한다. 또한, 배수 체계로부터 범람한 물이 지표면을 따라 흘러가는 현상을 해석할 수 있어야 하고, 바다의 조위 및 월파량을 경계조건으로 반영할 수 있어야 한다. 이 연구에서는 이러한 현상을 모의할 수 있고, 도시 침수 모의에 활용도가 높은 XP-SWMM을 이용하였다.

2.3 침수 분석 대상지역

연구의 대상지역은 조위 및 월파에 의한 침수와 강우에 의한 내수 침수의 영향이 복합적으로 발생할 수 있는 남해안과 서해안에 위치한 4개 지역이다. Table 2는 침수 분석 대상지역을 정리하여 나타낸 표이고, Fig. 2는 각 지역의 유역 경계를 나타낸 그림이다.

Table 2.

Target region for inundation analysis

ClassificationAdministrative districtTarget regionArea
Main cause of inundationPump
Number of
major outfall
The south
Haundae-gu, BusanMarine City area0.53Wave overtopping9
Haundae-gu, BusanCentum City area4.76Poor interior drainage at high tide level12
The west
GunsanJungang-dong area0.79Poor interior drainage at high tide level23
BoryeongOcheon Port area0.41High tide level5
Fig. 2.

Watershed area

남해안의 분석 대상지역 중 부산시 해운대구의 마린시티는 바다 조망을 중심으로 조성된 주거지 및 상업시설 중심의 개발지역이다. 마린시티는 2016년 태풍 차바 및 2018년 태풍 콩레이 등 태풍 내습 시 월파에 의한 해수 월류로 인해 도로 및 상가 일부가 침수를 겪은 지역이다. 부산시 해운대구의 센텀시티는 과거 수영만 매립지였던 곳에 조성된 주거지 및 상업시설 중심의 신도시 지역이다. 센텀시티 유역의 북쪽은 해발고도 El. 634 m의 장산이 위치하는 등 산지 특성도 가지고 있어 상대적으로 유역 면적이 넓고, 배수시설의 규모도 크고 복잡하다. 하지만 수영강 하구의 저지대 지역에 위치함에 따라 강우 시 내수 배제가 불량하고, 특히 만조 시 침수가 잦은 지역이다.

서해안 분석 대상지역 중 전라북도 군산시의 중앙동 일원은 군산시 내항 내측에 조성된 구도시로서, 금강 및 경포천 하구에 위치하는 저지대이다. 이에 따라 군산시 풍수해저감종합계획에서는 해당 지역을 3개의 영역으로 구분하여 내수재해 위험지구(영동지구, 중동지구, 경암지구)로 지정하였고, 이 연구에서는 해당 지역을 모두 고려하였다. 한편, 군산시 중앙동 일원은 특히, 만조 시 내수 배제가 매우 불량하여 2개의 펌프시설이 운영되고 있다. 충청남도 보령시의 오천면에 위치한 오천항은 배후의 산지를 포함한 소규모 유역에 위치한다. 서해안의 특성에 따라 조석 간만의 차가 크고, 특히 태풍 내습 시 폭풍 해일에 의한 침수가 잦은 지역이다. 산지의 강우-유출수는 복개된 2개의 수로를 통해 바다로 배제되고, 상가들이 위치한 연안 주변 지역에는 강우-유출수 배제를 위한 3개의 배수 체계가 구성되어 있다.

3. 연구 결과

3.1 침수 모의 모형 구축

XP-SWMM을 이용하여 분석 대상지역별 침수 모의 모형을 구축하였다. 적절한 침수 분석 수행을 위해 지역별 수치지형도, 도시 공간 정보 시스템(urban information system, UIS), 하수 관망도 등의 수치 자료와 현장 조사를 통해 유역의 배수 체계를 구성하였다. 그리고 2차원 침수 분석을 위해 무인 드론 및 육상 라이다(LiDAR) 측량을 수행하여 평면해상도가 1 m 이하인 고해상도 수치지형모형(digital terrain model, DTM)을 구성하였고, 침수 모의 격자를 생성하였다.

Fig. 3은 XP-SWMM의 상세 구축 사례로서 부산시 마린시티 배수 유역에 대한 소유역 및 관거 분할 등을 통해 구성한 배수 체계와 고해상도 측량 결과를 이용하여 구성한 수치표면모형(digital surface model, DSM)을 나타낸다. Fig. 4는 각 대상지역에 대해 XP-SWMM을 이용하여 구축한 침수 모의 모형을 나타낸다. 침수 분석을 위해서는 침수 모의 영역에 대한 설정이 필요한데, 다수의 사전 모의를 통해 유역 내에서 침수가 발생되는 지역을 검토하여 결정하였다.
Fig. 3.

Analysis of watershed drainage system and high-resolution survey for Marine City
Fig. 4.

Simulation model for inundation analysis by target region using XP-SWMM

한편, 이 연구에서는 월파량 및 조위의 산정 과정과 침수 모의 모형의 보정에 관한 내용 등은 다루지 않았다. 관련된 내용은 선행 연구인 Kang et al. (2019b)와 Lee et al. (2020)을 참조할 수 있다.

3.2 침수 모의 설정

3.2.1 분석 방법

복합 외력에 의한 침수 영향을 검토하기 위해서는 외력 조건에 대한 빈도와 지속기간의 설정이 필요하다. 이 연구에서는 재해 현상이 충분히 나타날 수 있도록 강우와 조위 및 월파의 빈도를 모두 100년으로 설정하였다. 이때, 조위와 월파량의 산정에는 만조(약최고고조위) 시, 100년 빈도에 해당하는 태풍 내습에 따른 폭풍 해일의 발생 조건을 고려하였다.

지역별 강우 발생 특성과 유역 특성을 고려하기 위해 MOIS (2017)의 방재성능목표 기준에 따라 임계 지속기간을 결정하여 대상지역별 강우의 지속기간으로 설정하였다. 이때, 강우의 시간 분포는 MLTM (2011)의 Huff 3분위를 이용하였다. 그리고 조위와 월파의 경우, 일반적인 폭풍 해일의 지속기간을 고려하여 5시간으로 결정하였다. 한편, 침수 모의를 위한 계산 시간 간격, 2차원 모의 격자 등의 입력자료는 분석 대상지역의 유역 규모와 침수 분석 대상 영역을 고려하여 결정하였다. 참고로 침수 분석에 사용된 수치지형모형은 1 m 급의 고해상도로 구성되었지만, 2차원 침수 모의 격자의 크기는 지역별로 3 ~ 4 m이다. 이는 연구에서 사용된 XP-SWMM의 격자 수(100,000개) 제약에 따른 설정이나, Sun (2021)은 민감도 분석을 통해 2차원 침수 분석을 위한 적정 격자 크기를 3 ~ 4.5 m로 제시한 바 있다.

Table 3은 이 연구에서 설정한 침수 모의 조건과 분석 방법을 정리하여 나타낸 표이다.

Table 3.

Simulation condition and method

ClassificationTarget regionSimulation conditionSimulation method
RainfallStorm surgeSimulation time interval2D
grid size
The south coastMarine City area100 yr1 hr3rd quartile
of Huff’s
1005 hr5 min10 sec1 sec3 m
Centum City area1 hr1005 min10 sec1 sec4 m
The west coastJungang-dong area2 hr1005 min10 sec1 sec3.5 m
Ocheon Port area1 hr1001 min10 sec1 sec3 m

3.2.2 복합 재해의 동시 고려

이 연구의 대상지역들은 모두 소규모의 해안가 도시지역이고, 이러한 지역에 대한 강우의 임계지속기간은 1시간 ~ 2시간이나, 이 연구에서 분석한 폭풍 해일의 지속기간은 5시간으로 강우의 지속기간과 폭풍 해일의 지속기간이 상이하다. 이에 이 연구에서는 서로 다른 지속기간을 가진 강우와 폭풍 해일 또는 조위를 고려하기 위해 강우의 중심과 폭풍 해일의 중심이 동일한 시간에 위치하도록 설정하였다(Fig. 5).

XP-SWMM은 폭풍 해일이 지속되는 5시간 전체를 모의하도록 설정하였고, 폭풍 해일이 가장 큰 시점에 강우의 중심이 위치하도록 강우 발생 시기를 결정하였다. 다만, 부산 마린시티의 경우, 폭풍 해일에 의한 피해가 주로 월파에 의해 발생되므로 강우의 중심과 월파의 중심을 일치시켰고(Fig. 5(a)), 상대적으로 조위의 영향이 큰 3개 지역은 강우의 중심과 조위의 중심을 맞추었다. Fig. 5(b)는 군산시 중앙동 지역의 복합 외력에 의한 침수 분석에 사용된 강우와 조위의 조합이다.

한편, 100년 빈도의 확률강우량만을 고려한 침수 분석에서는 유역 유출부의 경계조건으로 우수 관거의 설계 조건을 고려하여 약최고고조위가 일정하게 유지되도록 설정하였다.
Fig. 5.

Consideration of external force conditions with different durations

3.2.3 XP-SWMM의 월파량 고려

XP-SWMM에 ADCSWAN 및 FLOW-3D 모형에 의해 산정된 월파량을 입력하기 위해 해안가 지역에 절점을 생성하여 월파 현상을 구현하였다. XP-SWMM에서 월파량을 입력하기 위한 절점의 위치는 FLOW-3D 모형에서 월파량을 산정한 격자의 중심 위치이다.

Fig. 6(a)는 마린시티 지역에 대한 월파량 입력 지점을 나타낸 것으로서, 유역 경계 주변에 동일 간격으로 원으로 표시한 지점들이 해당된다. Fig. 6(b)는 XP-SWMM에 월파량 입력 지점들을 반영하고, 하나의 절점에 월파량 시계열을 입력한 화면을 나타낸다.
Fig. 6.

Considering wave overtopping on XP-SWMM

3.3 침수 모의 결과

3.3.1 단일 외력에 의한 침수 모의 결과

Fig. 7은 단일 외력을 고려한 지역별 침수 모의 결과이다. 즉, Fig. 7의 왼쪽 그림들은 지역별로 100년 빈도 강우에 의한 침수 모의 결과를 나타내고, Fig. 7의 오른쪽 그림들은 만조 시 100년 빈도 폭풍 해일에 의한 침수 모의 결과이다. 대체로 강우에 의한 침수 영역은 유역 중․상류 지역의 유역 전반에 걸쳐 발생하였고, 폭풍 해일에 의한 침수 영역은 해안가 전면부에 위치하는 것을 볼 수 있다. 이는 폭풍 해일에 의한 조위 상승과 월파의 영향이 상류로 갈수록 감소하기 때문이다.

한편, 4개 지역 모두에서 공통적으로 강우에 비해 폭풍 해일에 의한 침수 영향이 상대적으로 크게 분석되었다. 이러한 결과는 연안 지역의 경우, 폭풍 해일에 대비한 침수 피해 저감 노력이 보다 중요함을 의미한다.
Fig. 7.

Simulation results by single external force (left: rainfall, right: storm surge)

3.3.2 복합 외력에 의한 침수 모의 결과

Fig. 8은 복합 외력을 고려한 지역별 침수 모의 결과이다. 즉, 강우 및 폭풍 해일을 동시에 고려함에 따라 발생된 침수 영역을 나타낸다. 복합 외력을 고려하는 경우, 단일 외력만을 고려한 분석 결과(Fig. 7)보다 침수 영역은 넓어졌고, 침수심은 깊어졌다.

복합 외력에 의한 침수 분석 결과는 대체로 단일 외력에 의한 침수 모의 결과를 중첩시켜 나타낸 결과와 유사하였고, 이는 일반적으로 예상할 수 있는 결과이다. 주목할만한 결과는 군산시 중앙동의 침수 분석에서 나타났다. 즉, 군산시 중앙동의 경우, 단일 외력만을 고려한 침수 모의 결과에서 나타나지 않았던 새로운 침수 영역이 발생하였다(Fig. 8(c)). 이와 관련된 상세 내용은 3.4절의 고찰에서 기술하였다.
Fig. 8.

Simulation results by compound external forces

3.4 결과 고찰

외력 조건별 침수의 영향을 정량적으로 비교하기 위해 침수 면적을 이용하였다. 이 연구에서는 강우만에 의해 유발된 침수 면적을 기준(기준값: 1)으로 하고, 폭풍 해일(조위+월파량)에 의한 침수 면적과 복합 외력에 의한 침수 면적의 상대적 비율로 분석하였다(Table 4).

Table 4.

Impact evaluation for inundation area by external force

ConditionMarine City, BusanCentum City, BusanJungang-dong area,
Ocheon Port area,
Inundation area
RateInundation area
RateInundation area
RateInundation area
external force
Rainfall (①)0.01641.00.07591.00.04571.00.01751.0
Storm surge (②)0.03632.210.06850.900.14633.200.04122.35
external forces

분석 결과, 부산 센텀시티를 제외한 3개 지역은 모두 폭풍 해일에 의한 침수 면적이 강우에 의한 침수 면적에 비해 2.2 ~ 3.2배 넓은 것으로 분석되었다. 한편, 복합 외력에 의한 침수 면적은 마린시티와 센텀시티의 경우, 각각의 외력에 의한 침수 면적의 합과 유사하게 나타났다. 이는 각각의 외력에 의한 침수 영역이 상이하여 거의 중복되지 않음을 의미한다. 반면에, 오천항에서는 각각의 외력에 의한 침수 면적의 합이 복합 외력에 의한 면적보다 크게 나타났다. 이는 오천항의 경우, 유역면적이 작고 배수 체계가 비교적 단순하여 강우와 폭풍 해일에 의한 침수 영역이 중복되기 때문인 것으로 분석되었다(Fig. 7(d)).

군산시 중앙동 일대의 경우, 복합 외력에 의한 침수 면적이 각각의 독립적인 외력 조건에 의한 침수 면적의 합에 비해 37.1% 크게 나타났다. 이러한 현상의 원인을 분석하기 위해 복합 외력 조건에서만 나타난 우수 관거(Fig. 8(c)의 A 구간)에 대하여 종단을 검토하였다(Fig. 9). Fig. 9(a)는 강우만에 의해 분석된 우수 관거 내 흐름 종단을 나타내고, Fig. 9(b)는 폭풍 해일만에 의한 우수 관거의 종단이다. 그림을 통해 각각의 독립적인 외력 조건 하에서는 해당 구간에서 침수가 발생되지 않은 것을 볼 수 있다. 다만, 강우만을 고려하더라도 우수 관거는 만관이 된 상태를 확인할 수 있다(Fig. 9(a)). 반면에, 만관 상태에서 폭풍 해일이 함께 고려됨에 따라 해수 범람과 조위 상승에 의해 우수 배제가 불량하게 되었고, 이로 인해 침수가 유발된 것으로 분석되었다(Fig. 9(c)). 따라서 이러한 지역은 복합 외력에 대한 취약지구로 판단할 수 있고, 단일 외력의 고려만으로는 침수를 예상하기 어려운 지역임을 알 수 있다.
Fig. 9.

A part of drainage profiles by external force in Jungang-dong area, Gunsan

4. 결 론

이 연구에서는 외력 조건에 따른 연안 지역의 침수 특성을 분석하였다. 연구에서 고려된 외력 조건은 두 가지로서 강우와 폭풍 해일(조위와 월파)이다. 분석 대상 연안 지역으로는 남해안에 위치하는 2개 지역(부산시 해운대구의 마린시티와 센텀시티)과 서해안의 2개 지역(군산시 중앙동 일원 및 보령시 오천항)이 선정되었다.

복합 외력을 고려한 연안 지역의 침수 모의를 위해서는 유역의 강우-유출 현상과 바다의 조위 및 월파량을 경계조건으로 반영할 수 있는 침수 모의 모형이 요구되는데, 이 연구에서는 XP-SWMM을 이용하였다. 한편, 조위 및 월파량 산정에는 ADCSWAN (ADCIRC와 UnSWAN) 및 FLOW-3D 모형이 이용되었다.

연안 지역별 침수 모의는 100년 빈도의 강우와 폭풍 해일을 독립적으로 고려한 경우와 복합적으로 고려한 경우를 구분하여 수행되었다. 우선, 외력을 독립적으로 고려한 결과, 대체로 폭풍 해일만 고려한 경우가 강우만 고려한 경우에 비해 침수 영향이 크게 나타났다. 따라서 연안 지역의 경우, 폭풍 해일에 의한 침수 피해 방지 계획이 상대적으로 중요한 것으로 분석되었다. 두 번째, 복합 외력에 의한 침수 분석 결과는 대체로 단일 외력에 의한 침수 모의 결과를 중첩시켜 나타낸 결과와 유사하였다. 다만, 특정 지역에서는 복합 외력을 고려함에 따라 단일 외력만을 고려한 침수 모의에서 나타나지 않았던 새로운 침수 영역이 발생하기도 하였다. 이러한 결과는 독립적인 외력 조건에서는 우수 관거가 만관 또는 그 이하의 상태가 되지만, 두 가지의 외력이 동시에 고려됨에 따라 우수 관거의 통수능 한계를 초과하여 나타났다. 이러한 지역은 복합 외력에 대한 취약지구로 판단되었고, 해당 지역의 적절한 침수 방지 대책 수립을 위해서는 복합적인 외력 조건이 고려되어야 함을 시사하였다.

현행, 자연재해저감종합계획에서는 침수와 관련된 재해 원인 지역을 내수재해, 해안재해, 하천재해 등으로 구분하고 있다. 하지만 이 연구에서 검토된 바와 같이, 연안 지역의 침수 원인은 복합적으로 나타날 뿐만 아니라, 복합 외력을 고려함에 따라 추가적으로 나타날 수 있는 침수 위험 지역도 존재한다. 따라서 기존의 획일적인 재해 원인의 구분보다는 지역의 특성에 맞는 복합적인 재해 원인을 검토할 필요가 있음을 제안한다.


본 논문은 행정안전부 극한 재난대응 기반기술 개발사업의 일환인 “해안가 복합재난 위험지역 피해저감 기술개발(연구과제번호: 2018-MOIS31-008)”의 지원으로 수행되었습니다.



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Intrusion of fine sediments into river bed and its effect on river environment – a research review

미세한 퇴적물이 강바닥에 침투하고 하천 환경에 미치는 영향 – 연구 검토

Intrusion of fine sediments into river bed and its effect on river environment – a research review

Nilav Karna,K.S. Hari Prasad, Sanjay Giri & A.S. Lodhi


Fine sediments enter into the river through various sources such as channel bed, bank, and catchment. It has been regarded as a type of pollution in river. Fine sediments present in a river have a significant effect on river health. Benthic micro-organism, plants, and large fishes, all are part of food chain of river biota. Any detrimental effect on any of these components of food chain misbalances the entire riverine ecosystem. Numerous studies have been carried out on the various environmental aspects of rivers considering the presence of fine sediment in river flow. The present paper critically reviews many of these aspects to understand the various environmental impacts of suspended sediment on river health, flora and fauna.


  1. Introduction
    The existence of fine sediment in a river system is a natural phenomenon. But in many cases it is exacerbated by the manmade activities. The natural cause of fines being in flow generally keeps the whole system in equilibrium except during some calamites whereas anthropogenic activities leading to fines entering into the flow puts several adverse impacts on the entire river system and its ecology. Presence of fines in flow is considered as a type of pollution in water. In United States,
    the fine sediment in water along with other non point source pollution is considered as a major obstacle in providing quality water for fishes and recreation activities (Diplas and Parker 1985).
    Sediments in a river are broadly of two types, organic and inorganic, and they both move in two ways either along the bed of the channel called bed load or in suspension called suspended load and their movements depend upon fluid flow and sediment characteristics. Further many investigators have divided the materials in suspension into two different types.
    One which originates from channel bed and bank is called bed material suspended load and another that migrates from feeding catchment area is called wash load. A general perception is that wash loads are very fine materials like clay, silt but it may not always be true (Woo et al. 1986). In general, suspended materials are of size less than 2 mm. The impact of sand on the various aspects of river is comparatively less than that of silt and clay. The latter are chemically active and good carrier of many contaminants and nutrients such as dioxins, phosphorous, heavy and trace metals, polychlorinated biphenyl (PCBs), radionuclide, etc. (Foster and Charlesworth 1996; Horowitz et al. 1995; Owens et al. 2001; Salomons and Förstner 1984; Stone and Droppo 1994; Thoms 1987). Foy and Bailey-Watt (1998) reported that out of 129 lakes in England and Wales, 69% have phosphorous contamination. Ten percent lakes, rivers, and bays of United States have sediment contaminants with chemicals as reported by USEPA. Several field and experimental studies have been conducted
    considering, sand, silt, and clay as suspended material. Hence, the subject reported herein is based on considering the fine sediment size smaller than 2 mm.
    Fine sediments have the ability to alter the hydraulics of the flow. Presence of fines in flow can change the magnitude of turbulence, it can change the friction resistance to flow. Fines can change the mobility and permeability of the bed material. In some extreme cases, fines in flow may even change the morphology of the river (Doeg and Koehn 1994; Nuttall 1972; Wright and Berrie 1987). Fines in the flow adversely affect the producer by increasing the turbidity, hindering the
    photosynthesis process by limiting the light penetration. This is ultimately reflected in the entire food ecosystem of river (Davis-Colley et al. 1992; Van Niewenhuyre and Laparrieve 1986). In addition, abrasion due to flowing sediment kills the aquatic flora (Edwards 1969; Brookes 1986). Intrusion of fines into the pores of river bed reduces space for several invertebrates, affects the spawning process (Petts 1984; Richards and Bacon 1994; Schalchli 1992). There are several other direct
    or indirect, short-term or long-term impacts of fines in river.
    The present paper reports the physical/environmental significance of fines in river. The hydraulic significance of presence of fines in the river has been reviewed in another paper (Effect of fine sediments on river hydraulics – a research review –


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The distribution of the computed maximum current speed during the entire duration of the NAMI DANCE and FLOW-3D simulations. The resolution of computational domain is 10 m

Performance Comparison of NAMI DANCE and FLOW-3D® Models in Tsunami Propagation, Inundation and Currents using NTHMP Benchmark Problems

NTHMP 벤치마크 문제를 사용하여 쓰나미 전파, 침수 및 해류에서 NAMI DANCE 및 FLOW-3D® 모델의 성능 비교

Pure and Applied Geophysics volume 176, pages3115–3153 (2019)Cite this article


Field observations provide valuable data regarding nearshore tsunami impact, yet only in inundation areas where tsunami waves have already flooded. Therefore, tsunami modeling is essential to understand tsunami behavior and prepare for tsunami inundation. It is necessary that all numerical models used in tsunami emergency planning be subject to benchmark tests for validation and verification. This study focuses on two numerical codes, NAMI DANCE and FLOW-3D®, for validation and performance comparison. NAMI DANCE is an in-house tsunami numerical model developed by the Ocean Engineering Research Center of Middle East Technical University, Turkey and Laboratory of Special Research Bureau for Automation of Marine Research, Russia. FLOW-3D® is a general purpose computational fluid dynamics software, which was developed by scientists who pioneered in the design of the Volume-of-Fluid technique. The codes are validated and their performances are compared via analytical, experimental and field benchmark problems, which are documented in the ‘‘Proceedings and Results of the 2011 National Tsunami Hazard Mitigation Program (NTHMP) Model Benchmarking Workshop’’ and the ‘‘Proceedings and Results of the NTHMP 2015 Tsunami Current Modeling Workshop”. The variations between the numerical solutions of these two models are evaluated through statistical error analysis.

현장 관찰은 연안 쓰나미 영향에 관한 귀중한 데이터를 제공하지만 쓰나미 파도가 이미 범람한 침수 지역에서만 가능합니다. 따라서 쓰나미 모델링은 쓰나미 행동을 이해하고 쓰나미 범람에 대비하는 데 필수적입니다.

쓰나미 비상 계획에 사용되는 모든 수치 모델은 검증 및 검증을 위한 벤치마크 테스트를 받아야 합니다. 이 연구는 검증 및 성능 비교를 위해 NAMI DANCE 및 FLOW-3D®의 두 가지 숫자 코드에 중점을 둡니다.

NAMI DANCE는 터키 중동 기술 대학의 해양 공학 연구 센터와 러시아 해양 연구 자동화를 위한 특별 조사국 연구소에서 개발한 사내 쓰나미 수치 모델입니다. FLOW-3D®는 Volume-of-Fluid 기술의 설계를 개척한 과학자들이 개발한 범용 전산 유체 역학 소프트웨어입니다.

코드의 유효성이 검증되고 분석, 실험 및 현장 벤치마크 문제를 통해 코드의 성능이 비교되며, 이는 ‘2011년 NTHMP(National Tsunami Hazard Mitigation Program) 모델 벤치마킹 워크숍의 절차 및 결과’와 ”절차 및 NTHMP 2015 쓰나미 현재 모델링 워크숍 결과”. 이 두 모델의 수치 해 사이의 변동은 통계적 오류 분석을 통해 평가됩니다.

The distribution of the computed maximum current speed during the entire duration of the NAMI DANCE and FLOW-3D simulations. The resolution of computational domain is 10 m
The distribution of the computed maximum current speed during the entire duration of the NAMI DANCE and FLOW-3D simulations. The resolution of computational domain is 10 m


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The authors wish to thank Dr. Andrey Zaytsev due to his undeniable contributions to the development of in-house numerical model, NAMI DANCE. The Turkish branch of Flow Science, Inc. is also acknowledged. Finally, the National Tsunami Hazard Mitigation Program (NTHMP), who provided most of the benchmark data, is appreciated. This research did not receive any specific grant from funding agencies in the public, commercial, or not-for-profit sectors.

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  1. Deniz Velioglu SogutPresent address: 1212 Computer Science, Department of Civil Engineering, Stony Brook University, Stony Brook, NY, 11794, USA

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  1. Middle East Technical University, 06800, Ankara, TurkeyDeniz Velioglu Sogut & Ahmet Cevdet Yalciner

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Correspondence to Deniz Velioglu Sogut.

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Velioglu Sogut, D., Yalciner, A.C. Performance Comparison of NAMI DANCE and FLOW-3D® Models in Tsunami Propagation, Inundation and Currents using NTHMP Benchmark Problems. Pure Appl. Geophys. 176, 3115–3153 (2019).

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  • Received22 December 2017
  • Revised16 May 2018
  • Accepted24 May 2018
  • Published07 June 2018
  • Issue Date01 July 2019
  • DOI


  • Tsunami
  • depth-averaged shallow water
  • Reynolds-averaged Navier–Stokes
  • benchmarking
  • FLOW-3D®
Figure 4.2 Protrusion length investigation under R1 regime Q=1 m³/s with non-constrained BC elevation, 3 cm, 4 cm, 5 cm, 6cm & 7 cm from up to down respectively (grid M3 is employed).

Mathematical Modelling of Air-water flow Structure in Circular Dropshafts

Alternate title: Dairesel Düşülü Bacalarda Hava-Su Karışımının Matematiksel Modellemesi
Uçar, Muhammed.   Necmettin Erbakan University (Turkey) ProQuest Dissertations Publishing,  2021. 28840631.


Citizens’ daily needs such as; transportation, communication, clean water and sewage are supplied with infrastructure systems. Horizontal and vertical expansion in the cities due to the increase in population leads to serious demand for infrastructural improvements. The infrastructure systems in developing cities are required to be designed in a satisfactory capacity to supply the increasing demand for residential and industrial constructions. The districts having insufficient infrastructure systems inevitably confront heavy traffic, flood, air pollution problems, and also having difficulties with the inadequacy of parking area, clear and potable water, communication. The problems may cause social and health problems over time. At this point, it is wished to emphasize that the primary factor of citycivilization development depends on infrastructural systems and it is meaningful to name the engineering field like civil engineering, literally leads civilization. Dropshafts, commonly used in the urban storm and sewage water systems produced generally circular are used for energy dissipation and flow direction control. Aeration is significant for the working principle of the flow in dropshaft and this study is made mainly for this two-phase (air-water) physics of dropshafts. Chanson showed that aeration and energy dissipation is directly linked to each other (2002), but the influencing factors and the action mechanisms of the factors on the phenomena are not discovered entirely. By the comprehension of the factors, more effective dropshafts will be able to design. This study aims to guide the more comprehensive investigation of design factors using Computational Fluid Dynamics-CFD programs. The reasons for the preference of the programs are the cost-effectiveness of material, workmanship and duration relative to hydraulic modelling. The competence of the inputs, outputs and solution system of the CFD code is validated by the comparison of previous hydraulic modelling results.


CFD, Dropshaft, Sewer system, Storm Water System, Two-Phase Flow

Figure 11. Sketch of scour mechanism around USAF under random waves.

Scour Characteristics and Equilibrium Scour Depth Prediction around Umbrella Suction Anchor Foundation under Random Waves

by Ruigeng Hu 1,Hongjun Liu 2,Hao Leng 1,Peng Yu 3 andXiuhai Wang 1,2,*

1College of Environmental Science and Engineering, Ocean University of China, Qingdao 266000, China

2Key Lab of Marine Environment and Ecology (Ocean University of China), Ministry of Education, Qingdao 266000, China

3Qingdao Geo-Engineering Survering Institute, Qingdao 266100, China

*Author to whom correspondence should be addressed.

J. Mar. Sci. Eng. 20219(8), 886;

Received: 6 July 2021 / Revised: 8 August 2021 / Accepted: 13 August 2021 / Published: 17 August 2021

(This article belongs to the Section Ocean Engineering)



A series of numerical simulation were conducted to study the local scour around umbrella suction anchor foundation (USAF) under random waves. In this study, the validation was carried out firstly to verify the accuracy of the present model. Furthermore, the scour evolution and scour mechanism were analyzed respectively. In addition, two revised models were proposed to predict the equilibrium scour depth Seq around USAF. At last, a parametric study was carried out to study the effects of the Froude number Fr and Euler number Eu for the Seq. The results indicate that the present numerical model is accurate and reasonable for depicting the scour morphology under random waves. The revised Raaijmakers’s model shows good agreement with the simulating results of the present study when KCs,p < 8. The predicting results of the revised stochastic model are the most favorable for n = 10 when KCrms,a < 4. The higher Fr and Eu both lead to the more intensive horseshoe vortex and larger Seq.


scournumerical investigationrandom wavesequilibrium scour depthKC number

1. Introduction

The rapid expansion of cities tends to cause social and economic problems, such as environmental pollution and traffic jam. As a kind of clean energy, offshore wind power has developed rapidly in recent years. The foundation of offshore wind turbine (OWT) supports the upper tower, and suffers the cyclic loading induced by waves, tides and winds, which exerts a vital influence on the OWT system. The types of OWT foundation include the fixed and floating foundation, and the fixed foundation was used usually for nearshore wind turbine. After the construction of fixed foundation, the hydrodynamic field changes in the vicinity of the foundation, leading to the horseshoe vortex formation and streamline compression at the upside and sides of foundation respectively [1,2,3,4]. As a result, the neighboring soil would be carried away by the shear stress induced by vortex, and the scour hole would emerge in the vicinity of foundation. The scour holes increase the cantilever length, and weaken the lateral bearing capacity of foundation [5,6,7,8,9]. Moreover, the natural frequency of OWT system increases with the increase of cantilever length, causing the resonance occurs when the system natural frequency equals the wave or wind frequency [10,11,12]. Given that, an innovative foundation called umbrella suction anchor foundation (USAF) has been designed for nearshore wind power. The previous studies indicated the USAF was characterized by the favorable lateral bearing capacity with the low cost [6,13,14]. The close-up of USAF is shown in Figure 1, and it includes six parts: 1-interal buckets, 2-external skirt, 3-anchor ring, 4-anchor branch, 5-supporting rod, 6-telescopic hook. The detailed description and application method of USAF can be found in reference [13].

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Figure 1. The close-up of umbrella suction anchor foundation (USAF).

Numerical and experimental investigations of scour around OWT foundation under steady currents and waves have been extensively studied by many researchers [1,2,15,16,17,18,19,20,21,22,23,24]. The seabed scour can be classified as two types according to Shields parameter θ, i.e., clear bed scour (θ < θcr) or live bed scour (θ > θcr). Due to the set of foundation, the adverse hydraulic pressure gradient exists at upstream foundation edges, resulting in the streamline separation between boundary layer flow and seabed. The separating boundary layer ascended at upstream anchor edges and developed into the horseshoe vortex. Then, the horseshoe vortex moved downstream gradually along the periphery of the anchor, and the vortex shed off continually at the lee-side of the anchor, i.e., wake vortex. The core of wake vortex is a negative pressure center, liking a vacuum cleaner. Hence, the soil particles were swirled into the negative pressure core and carried away by wake vortexes. At the same time, the onset of scour at rear side occurred. Finally, the wake vortex became downflow when the turbulence energy could not support the survival of wake vortex. According to Tavouktsoglou et al. [25], the scale of pile wall boundary layer is proportional to 1/ln(Rd) (Rd is pile Reynolds), which means the turbulence intensity induced by the flow-structure interaction would decrease with Rd increases, but the effects of Rd can be neglected only if the flow around the foundation is fully turbulent [26]. According to previous studies [1,15,27,28,29,30,31,32], the scour development around pile foundation under waves was significantly influenced by Shields parameter θ and KC number simultaneously (calculated by Equation (1)). Sand ripples widely existed around pile under waves in the case of live bed scour, and the scour morphology is related with θ and KC. Compared with θKC has a greater influence on the scour morphology [21,27,28]. The influence mechanism of KC on the scour around the pile is reflected in two aspects: the horseshoe vortex at upstream and wake vortex shedding at downstream.


where, Uwm is the maximum velocity of the undisturbed wave-induced oscillatory flow at the sea bottom above the wave boundary layer, T is wave period, and D is pile diameter.

There are two prerequisites to satisfy the formation of horseshoe vortex at upstream pile edges: (1) the incoming flow boundary layer with sufficient thickness and (2) the magnitude of upstream adverse pressure gradient making the boundary layer separating [1,15,16,18,20]. The smaller KC results the lower adverse pressure gradient, and the boundary layer cannot separate, herein, there is almost no horseshoe vortex emerging at upside of pile. Sumer et al. [1,15] carried out several sets of wave flume experiments under regular and irregular waves respectively, and the experiment results show that there is no horseshoe vortex when KC is less than 6. While the scale and lifespan of horseshoe vortex increase evidently with the increase of KC when KC is larger than 6. Moreover, the wake vortex contributes to the scour at lee-side of pile. Similar with the case of horseshoe vortex, there is no wake vortex when KC is less than 6. The wake vortex is mainly responsible for scour around pile when KC is greater than 6 and less than O(100), while horseshoe vortex controls scour nearly when KC is greater than O(100).

Sumer et al. [1] found that the equilibrium scour depth was nil around pile when KC was less than 6 under regular waves for live bed scour, while the equilibrium scour depth increased with the increase of KC. Based on that, Sumer proposed an equilibrium scour depth predicting equation (Equation (2)). Carreiras et al. [33] revised Sumer’s equation with m = 0.06 for nonlinear waves. Different with the findings of Sumer et al. [1] and Carreiras et al. [33], Corvaro et al. [21] found the scour still occurred for KC ≈ 4, and proposed the revised equilibrium scour depth predicting equation (Equation (3)) for KC > 4.

Rudolph and Bos [2] conducted a series of wave flume experiments to investigate the scour depth around monopile under waves only, waves and currents combined respectively, indicting KC was one of key parameters in influencing equilibrium scour depth, and proposed the equilibrium scour depth predicting equation (Equation (4)) for low KC (1 < KC < 10). Through analyzing the extensive data from published literatures, Raaijmakers and Rudolph [34] developed the equilibrium scour depth predicting equation (Equation (5)) for low KC, which was suitable for waves only, waves and currents combined. Khalfin [35] carried out several sets of wave flume experiments to study scour development around monopile, and proposed the equilibrium scour depth predicting equation (Equation (6)) for low KC (0.1 < KC < 3.5). Different with above equations, the Khalfin’s equation considers the Shields parameter θ and KC number simultaneously in predicting equilibrium scour depth. The flow reversal occurred under through in one wave period, so sand particles would be carried away from lee-side of pile to upside, resulting in sand particles backfilled into the upstream scour hole [20,29]. Considering the backfilling effects, Zanke et al. [36] proposed the equilibrium scour depth predicting equation (Equation (7)) around pile by theoretical analysis, and the equation is suitable for the whole range of KC number under regular waves and currents combined.


where, m = 0.03 for linear waves.



where, γ is safety factor, depending on design process, typically γ = 1.5, Kwave is correction factor considering wave action, Khw is correction factor considering water depth.


where, hw is water depth.


where, θ is shields parameter, θcr is critical shields parameter.


where, u is near-bed orbital velocity amplitude, uc is critical velocity corresponding the onset of sediment motion.


where, n is the 1/n’th highest wave for random waves

For predicting equilibrium scour depth under irregular waves, i.e., random waves, Sumer and Fredsøe [16] found it’s suitable to take Equation (2) to predict equilibrium scour depth around pile under random waves with the root-mean-square (RMS) value of near-bed orbital velocity amplitude Um and peak wave period TP to calculate KC. Khalfin [35] recommended the RMS wave height Hrms and peak wave period TP were used to calculate KC for Equation (6). References [37,38,39,40] developed a series of stochastic theoretical models to predict equilibrium scour depth around pile under random waves, nonlinear random waves plus currents respectively. The stochastic approach thought the 1/n’th highest wave were responsible for scour in vicinity of pile under random waves, and the KC was calculated in Equation (8) with Um and mean zero-crossing wave period Tz. The results calculated by Equation (8) agree well with experimental values of Sumer and Fredsøe [16] if the 1/10′th highest wave was used. To author’s knowledge, the stochastic approach proposed by Myrhaug and Rue [37] is the only theoretical model to predict equilibrium scour depth around pile under random waves for the whole range of KC number in published documents. Other methods of predicting scour depth under random waves are mainly originated from the equation for regular waves-only, waves and currents combined, which are limited to the large KC number, such as KC > 6 for Equation (2) and KC > 4 for Equation (3) respectively. However, situations with relatively low KC number (KC < 4) often occur in reality, for example, monopile or suction anchor for OWT foundations in ocean environment. Moreover, local scour around OWT foundations under random waves has not yet been investigated fully. Therefore, further study are still needed in the aspect of scour around OWT foundations with low KC number under random waves. Given that, this study presents the scour sediment model around umbrella suction anchor foundation (USAF) under random waves. In this study, a comparison of equilibrium scour depth around USAF between this present numerical models and the previous theoretical models and experimental results was presented firstly. Then, this study gave a comprehensive analysis for the scour mechanisms around USAF. After that, two revised models were proposed according to the model of Raaijmakers and Rudolph [34] and the stochastic model developed by Myrhaug and Rue [37] respectively to predict the equilibrium scour depth. Finally, a parametric study was conducted to study the effects of the Froude number (Fr) and Euler number (Eu) to equilibrium scour depth respectively.

2. Numerical Method

2.1. Governing Equations of Flow

The following equations adopted in present model are already available in Flow 3D software. The authors used these theoretical equations to simulate scour in random waves without modification. The incompressible viscous fluid motion satisfies the Reynolds-averaged Navier-Stokes (RANS) equation, so the present numerical model solves RANS equations:




where, VF is the volume fraction; uv, and w are the velocity components in xyz direction respectively with Cartesian coordinates; Ai is the area fraction; ρf is the fluid density, fi is the viscous fluid acceleration, Gi is the fluid body acceleration (i = xyz).

2.2. Turbulent Model

The turbulence closure is available by the turbulent model, such as one-equation, the one-equation k-ε model, the standard k-ε model, RNG k-ε turbulent model and large eddy simulation (LES) model. The LES model requires very fine mesh grid, so the computational time is large, which hinders the LES model application in engineering. The RNG k-ε model can reduce computational time greatly with high accuracy in the near-wall region. Furthermore, the RNG k-ε model computes the maximum turbulent mixing length dynamically in simulating sediment scour model. Therefore, the RNG k-ε model was adopted to study the scour around anchor under random waves [41,42].



where, kT is specific kinetic energy involved with turbulent velocity, GT is the turbulent energy generated by buoyancy; εT is the turbulent energy dissipating rate, PT is the turbulent energy, Diffε and DiffkT are diffusion terms associated with VFAiCDIS1CDIS2 and CDIS3 are dimensionless parameters, and CDIS1CDIS3 have default values of 1.42, 0.2 respectively. CDIS2 can be obtained from PT and kT.

2.3. Sediment Scour Model

The sand particles may suffer four processes under waves, i.e., entrainment, bed load transport, suspended load transport, and deposition, so the sediment scour model should depict the above processes efficiently. In present numerical simulation, the sediment scour model includes the following aspects:

2.3.1. Entrainment and Deposition

The combination of entrainment and deposition determines the net scour rate of seabed in present sediment scour model. The entrainment lift velocity of sand particles was calculated as [43]:


where, αi is the entrainment parameter, ns is the outward point perpendicular to the seabed, d* is the dimensionless diameter of sand particles, which was calculated by Equation (15), θcr is the critical Shields parameter, g is the gravity acceleration, di is the diameter of sand particles, ρi is the density of seabed species.


where μf is the fluid dynamic viscosity.

In Equation (14), the entrainment parameter αi confirms the rate at which sediment erodes when the given shear stress is larger than the critical shear stress, and the recommended value 0.018 was adopted according to the experimental data of Mastbergen and Von den Berg [43]. ns is the outward pointing normal to the seabed interface, and ns = (0,0,1) according to the Cartesian coordinates used in present numerical model.

The shields parameter was obtained from the following equation:


where, Uf,m is the maximum value of the near-bed friction velocity; d50 is the median diameter of sand particles. The detailed calculation procedure of θ was available in Soulsby [44].

The critical shields parameter θcr was obtained from the Equation (17) [44]


The sand particles begin to deposit on seabed when the turbulence energy weaken and cann’t support the particles suspending. The setting velocity of the particles was calculated from the following equation [44]:


where νf is the fluid kinematic viscosity.

2.3.2. Bed Load Transport

This is called bed load transport when the sand particles roll or bounce over the seabed and always have contact with seabed. The bed load transport velocity was computed by [45]:


where, qb,i is the bed load transport rate, which was obtained from Equation (20), δi is the bed load thickness, which was calculated by Equation (21), cb,i is the volume fraction of sand i in the multiple species, fb is the critical packing fraction of the seabed.



2.3.3. Suspended Load Transport

Through the following transport equation, the suspended sediment concentration could be acquired.


where, Cs,i is the suspended sand particles mass concentration of sand i in the multiple species, us,i is the sand particles velocity of sand iDf is the diffusivity.

The velocity of sand i in the multiple species could be obtained from the following equation:


where, u¯�¯ is the velocity of mixed fluid-particles, which can be calculated by the RANS equation with turbulence model, cs,i is the suspended sand particles volume concentration, which was computed from Equation (24).


3. Model Setup

The seabed-USAF-wave three-dimensional scour numerical model was built using Flow-3D software. As shown in Figure 2, the model includes sandy seabed, USAF model, sea water, two baffles and porous media. The dimensions of USAF are shown in Table 1. The sandy bed (210 m in length, 30 m in width and 11 m in height) is made up of uniform fine sand with median diameter d50 = 0.041 cm. The USAF model includes upper steel tube with the length of 20 m, which was installed in the middle of seabed. The location of USAF is positioned at 140 m from the upstream inflow boundary and 70 m from the downstream outflow boundary. Two baffles were installed at two ends of seabed. In order to eliminate the wave reflection basically, the porous media was set at the outflow side on the seabed.

Jmse 09 00886 g002 550

Figure 2. (a) The sketch of seabed-USAF-wave three-dimensional model; (b) boundary condation:Wv-wave boundary, S-symmetric boundary, O-outflow boundary; (c) USAF model.

Table 1. Numerical simulating cases.


3.1. Mesh Geometric Dimensions

In the simulation of the scour under the random waves, the model includes the umbrella suction anchor foundation, seabed and fluid. As shown in Figure 3, the model mesh includes global mesh grid and nested mesh grid, and the total number of grids is 1,812,000. The basic procedure for building mesh grid consists of two steps. Step 1: Divide the global mesh using regular hexahedron with size of 0.6 × 0.6. The global mesh area is cubic box, embracing the seabed and whole fluid volume, and the dimensions are 210 m in length, 30 m in width and 32 m in height. The details of determining the grid size can see the following mesh sensitivity section. Step 2: Set nested fine mesh grid in vicinity of the USAF with size of 0.3 × 0.3 so as to shorten the computation cost and improve the calculation accuracy. The encryption range is −15 m to 15 m in x direction, −15 m to 15 m in y direction and 0 m to 32 m in z direction, respectively. In order to accurately capture the free-surface dynamics, such as the fluid-air interface, the volume of fluid (VOF) method was adopted for tracking the free water surface. One specific algorithm called FAVORTM (Fractional Area/Volume Obstacle Representation) was used to define the fractional face areas and fractional volumes of the cells which are open to fluid flow.

Jmse 09 00886 g003 550

Figure 3. The sketch of mesh grid.

3.2. Boundary Conditions

As shown in Figure 2, the initial fluid length is 210 m as long as seabed. A wave boundary was specified at the upstream offshore end. The details of determining the random wave spectrum can see the following wave parameters section. The outflow boundary was set at the downstream onshore end. The symmetry boundary was used at the top and two sides of the model. The symmetric boundaries were the better strategy to improve the computation efficiency and save the calculation cost [46]. At the seabed bottom, the wall boundary was adopted, which means the u = v = w= 0. Besides, the upper steel tube of USAF was set as no-slip condition.

3.3. Wave Parameters

The random waves with JONSWAP wave spectrum were used for all simulations as realistic representation of offshore conditions. The unidirectional JONSWAP frequency spectrum was described as [47]:


where, α is wave energy scale parameter, which is calculated by Equation (26), ω is frequency, ωp is wave spectrum peak frequency, which can be obtained from Equation (27). γ is wave spectrum peak enhancement factor, in this study γ = 3.3. σ is spectral width factor, σ equals 0.07 for ω ≤ ωp and 0.09 for ω > ωp respectively.



where, X is fetch length, U is average wind velocity at 10 m height from mean sea level.

In present numerical model, the input key parameters include X and U for wave boundary with JONSWAP wave spectrum. The objective wave height and period are available by different combinations of X and U. In this study, we designed 9 cases with different wave heights, periods and water depths for simulating scour around USAF under random waves (see Table 2). For random waves, the wave steepness ε and Ursell number Ur were acquired form Equations (28) and (29) respectively



where, Hs is significant wave height, Ta is average wave period, k is wave number, hw is water depth. The Shield parameter θ satisfies θ > θcr for all simulations in current study, indicating the live bed scour prevails.

Table 2. Numerical simulating cases.


3.4. Mesh Sensitivity

In this section, a mesh sensitivity analysis was conducted to investigate the influence of mesh grid size to results and make sure the calculation is mesh size independent and converged. Three mesh grid size were chosen: Mesh 1—global mesh grid size of 0.75 × 0.75, nested fine mesh grid size of 0.4 × 0.4, and total number of grids 1,724,000, Mesh 2—global mesh grid size of 0.6 × 0.6, nested fine mesh grid size of 0.3 × 0.3, and total number of grids 1,812,000, Mesh 3—global mesh grid size of 0.4 × 0.4, nested fine mesh grid size of 0.2 × 0.2, and total number of grids 1,932,000. The near-bed shear velocity U* is an important factor for influencing scour process [1,15], so U* at the position of (4,0,11.12) was evaluated under three mesh sizes. As the Figure 4 shown, the maximum error of shear velocity ∆U*1,2 is about 39.8% between the mesh 1 and mesh 2, and 4.8% between the mesh 2 and mesh 3. According to the mesh sensitivity criterion adopted by Pang et al. [48], it’s reasonable to think the results are mesh size independent and converged with mesh 2. Additionally, the present model was built according to prototype size, and the mesh size used in present model is larger than the mesh size adopted by Higueira et al. [49] and Corvaro et al. [50]. If we choose the smallest cell size, it will take too much time. For example, the simulation with Mesh3 required about 260 h by using a computer with Intel Xeon Scalable Gold 4214 CPU @24 Cores, 2.2 GHz and 64.00 GB RAM. Therefore, in this case, considering calculation accuracy and computation efficiency, the mesh 2 was chosen for all the simulation in this study.

Jmse 09 00886 g004 550

Figure 4. Comparison of near-bed shear velocity U* with different mesh grid size.

The nested mesh block was adopted for seabed in vicinity of the USAF, which was overlapped with the global mesh block. When two mesh blocks overlap each other, the governing equations are by default solved on the mesh block with smaller average cell size (i.e., higher grid resolution). It is should be noted that the Flow 3D software used the moving mesh captures the scour evolution and automatically adjusts the time step size to be as large as possible without exceeding any of the stability limits, affecting accuracy, or unduly increasing the effort required to enforce the continuity condition [51].

3.5. Model Validation

In order to verify the reliability of the present model, the results of present study were compared with the experimental data of Khosronejad et al. [52]. The experiment was conducted in an open channel with a slender vertical pile under unidirectional currents. The comparison of scour development between the present results and the experimental results is shown in Figure 5. The Figure 5 reveals that the present results agree well with the experimental data of Khosronejad et al. [52]. In the first stage, the scour depth increases rapidly. After that, the scour depth achieves a maximum value gradually. The equilibrium scour depth calculated by the present model is basically corresponding with the experimental results of Khosronejad et al. [52], although scour depth in the present model is slightly larger than the experimental results at initial stage.

Jmse 09 00886 g005 550

Figure 5. Comparison of time evolution of scour between the present study and Khosronejad et al. [52], Petersen et al. [17].

Secondly, another comparison was further conducted between the results of present study and the experimental data of Petersen et al. [17]. The experiment was carried out in a flume with a circular vertical pile in combined waves and current. Figure 4 shows a comparison of time evolution of scour depth between the simulating and the experimental results. As Figure 5 indicates, the scour depth in this study has good overall agreement with the experimental results proposed in Petersen et al. [17]. The equilibrium scour depth calculated by the present model is 0.399 m, which equals to the experimental value basically. Overall, the above verifications prove the present model is accurate and capable in dealing with sediment scour under waves.

In addition, in order to calibrate and validate the present model for hydrodynamic parameters, the comparison of water surface elevation was carried out with laboratory experiments conducted by Stahlmann [53] for wave gauge No. 3. The Figure 6 depicts the surface wave profiles between experiments and numerical model results. The comparison indicates that there is a good agreement between the model results and experimental values, especially the locations of wave crest and trough. Comparison of the surface elevation instructs the present model has an acceptable relative error, and the model is a calibrated in terms of the hydrodynamic parameters.

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Figure 6. Comparison of surface elevation between the present study and Stahlmann [53].

Finally, another comparison was conducted for equilibrium scour depth or maximum scour depth under random waves with the experimental data of Sumer and Fredsøe [16] and Schendel et al. [22]. The Figure 7 shows the comparison between the numerical results and experimental data of Run01, Run05, Run21 and Run22 in Sumer and Fredsøe [16] and test A05 and A09 in Schendel et al. [22]. As shown in Figure 7, the equilibrium scour depth or maximum scour depth distributed within the ±30 error lines basically, meaning the reliability and accuracy of present model for predicting equilibrium scour depth around foundation in random waves. However, compared with the experimental values, the present model overestimated the equilibrium scour depth generally. Given that, a calibration for scour depth was carried out by multiplying the mean reduced coefficient 0.85 in following section.

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Figure 7. Comparison of equilibrium (or maximum) scour depth between the present study and Sumer and Fredsøe [16], Schendel et al. [22].

Through the various examination for hydrodynamic and morphology parameters, it can be concluded that the present model is a validated and calibrated model for scour under random waves. Thus, the present numerical model would be utilized for scour simulation around foundation under random waves.

4. Numerical Results and Discussions

4.1. Scour Evolution

Figure 8 displays the scour evolution for case 1–9. As shown in Figure 8a, the scour depth increased rapidly at the initial stage, and then slowed down at the transition stage, which attributes to the backfilling occurred in scour holes under live bed scour condition, resulting in the net scour decreasing. Finally, the scour reached the equilibrium state when the amount of sediment backfilling equaled to that of scouring in the scour holes, i.e., the net scour transport rate was nil. Sumer and Fredsøe [16] proposed the following formula for the scour development under waves


where Tc is time scale of scour process.

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Figure 8. Time evolution of scour for case 1–9: (a) Case 1–5; (b) Case 6–9.

The computing time is 3600 s and the scour development curves in Figure 8 kept fluctuating, meaning it’s still not in equilibrium scour stage in these cases. According to Sumer and Fredsøe [16], the equilibrium scour depth can be acquired by fitting the data with Equation (30). From Figure 8, it can be seen that the scour evolution obtained from Equation (30) is consistent with the present study basically at initial stage, but the scour depth predicted by Equation (30) developed slightly faster than the simulating results and the Equation (30) overestimated the scour depth to some extent. Overall, the whole tendency of the results calculated by Equation (30) agrees well with the simulating results of the present study, which means the Equation (30) is applicable to depict the scour evolution around USAF under random waves.

4.2. Scour Mechanism under Random Waves

The scour morphology and scour evolution around USAF are similar under random waves in case 1~9. Taking case 7 as an example, the scour morphology is shown in Figure 9.

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Figure 9. Scour morphology under different times for case 7.

From Figure 9, at the initial stage (t < 1200 s), the scour occurred at upstream foundation edges between neighboring anchor branches. The maximum scour depth appeared at the lee-side of the USAF. Correspondingly, the sediments deposited at the periphery of the USAF, and the location of the maximum accretion depth was positioned at an angle of about 45° symmetrically with respect to the wave propagating direction in the lee-side of the USAF. After that, when t > 2400 s, the location of the maximum scour depth shifted to the upside of the USAF at an angle of about 45° with respect to the wave propagating direction.

According to previous studies [1,15,16,19,30,31], the horseshoe vortex, streamline compression and wake vortex shedding were responsible for scour around foundation. The Figure 10 displays the distribution of flow velocity in vicinity of foundation, which reflects the evolving processes of horseshoe vertex.

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Figure 10. Velocity profile around USAF: (a) Flow runup and down stream at upstream anchor edges; (b) Horseshoe vortex at upstream anchor edges; (c) Flow reversal during wave through stage at lee side.

As shown in Figure 10, the inflow tripped to the upstream edges of the USAF and it was blocked by the upper tube of USAF. Then, the downflow formed the horizontal axis clockwise vortex and rolled on the seabed bypassing the tube, that is, the horseshoe vortex (Figure 11). The Figure 12 displays the turbulence intensity around the tube on the seabed. From Figure 12, it can be seen that the turbulence intensity was high-intensity with respect to the region of horseshoe vortex. This phenomenon occurred because of drastic water flow momentum exchanging in the horseshoe vortex. As a result, it created the prominent shear stress on the seabed, causing the local scour at the upstream edges of USAF. Besides, the horseshoe vortex moved downstream gradually along the periphery of the tube and the wake vortex shed off continually at the lee-side of the USAF, i.e., wake vortex.

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Figure 11. Sketch of scour mechanism around USAF under random waves.

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Figure 12. Turbulence intensity: (a) Turbulence intensity of horseshoe vortex; (b) Turbulence intensity of wake vortex; (c) Turbulence intensity of accretion area.

The core of wake vortex is a negative pressure center, liking a vacuum cleaner [11,42]. Hence, the soil particles were swirled into the negative pressure core and carried away by wake vortex. At the same time, the onset of scour at rear side occurred. Finally, the wake vortex became downflow at the downside of USAF. As is shown in Figure 12, the turbulence intensity was low where the downflow occurred at lee-side, which means the turbulence energy may not be able to support the survival of wake vortex, leading to accretion happening. As mentioned in previous section, the formation of horseshoe vortex was dependent with adverse pressure gradient at upside of foundation. As shown in Figure 13, the evaluated range of pressure distribution is −15 m to 15 m in x direction. The t = 450 s and t = 1800 s indicate that the wave crest and trough arrived at the upside and lee-side of the foundation respectively, and the t = 350 s was neither the wave crest nor trough. The adverse gradient pressure reached the maximum value at t = 450 s corresponding to the wave crest phase. In this case, it’s helpful for the wave boundary separating fully from seabed, which leads to the formation of horseshoe vortex with high turbulence intensity. Therefore, the horseshoe vortex is responsible for the local scour between neighboring anchor branches at upside of USAF. What’s more, due to the combination of the horseshoe vortex and streamline compression, the maximum scour depth occurred at the upside of the USAF with an angle of about 45° corresponding to the wave propagating direction. This is consistent with the findings of Pang et al. [48] and Sumer et al. [1,15] in case of regular waves. At the wave trough phase (t = 1800 s), the pressure gradient became positive at upstream USAF edges, which hindered the separating of wave boundary from seabed. In the meantime, the flow reversal occurred (Figure 10) and the adverse gradient pressure appeared at downstream USAF edges, but the magnitude of adverse gradient pressure at lee-side was lower than the upstream gradient pressure under wave crest. In this way, the intensity of horseshoe vortex behind the USAF under wave trough was low, which explains the difference of scour depth at upstream and downstream, i.e., the scour asymmetry. In other words, the scour asymmetry at upside and downside of USAF was attributed to wave asymmetry for random waves, and the phenomenon became more evident for nonlinear waves [21]. Briefly speaking, the vortex system at wave crest phase was mainly related to the scour process around USAF under random waves.

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Figure 13. Pressure distribution around USAF.

4.3. Equilibrium Scour Depth

The KC number is a key parameter for horseshoe vortex emerging and evolving under waves. According to Equation (1), when pile diameter D is fixed, the KC depends on the maximum near-bed velocity Uwm and wave period T. For random waves, the Uwm can be denoted by the root-mean-square (RMS) value of near-bed velocity amplitude Uwm,rms or the significant value of near-bed velocity amplitude Uwm,s. The Uwm,rms and Uwm,s for all simulating cases of the present study are listed in Table 3 and Table 4. The T can be denoted by the mean up zero-crossing wave period Ta, peak wave period Tp, significant wave period Ts, the maximum wave period Tm, 1/10′th highest wave period Tn = 1/10 and 1/5′th highest wave period Tn = 1/5 for random waves, so the different combinations of Uwm and T will acquire different KC. The Table 3 and Table 4 list 12 types of KC, for example, the KCrms,s was calculated by Uwm,rms and Ts. Sumer and Fredsøe [16] conducted a series of wave flume experiments to investigate the scour depth around monopile under random waves, and found the equilibrium scour depth predicting equation (Equation (2)) for regular waves was applicable for random waves with KCrms,p. It should be noted that the Equation (2) is only suitable for KC > 6 under regular waves or KCrms,p > 6 under random waves.

Table 3. Uwm,rms and KC for case 1~9.


Table 4. Uwm,s and KC for case 1~9.


Raaijmakers and Rudolph [34] proposed the equilibrium scour depth predicting model (Equation (5)) around pile under waves, which is suitable for low KC. The format of Equation (5) is similar with the formula proposed by Breusers [54], which can predict the equilibrium scour depth around pile at different scour stages. In order to verify the applicability of Raaijmakers’s model for predicting the equilibrium scour depth around USAF under random waves, a validation of the equilibrium scour depth Seq between the present study and Raaijmakers’s equation was conducted. The position where the scour depth Seq was evaluated is the location of the maximum scour depth, and it was depicted in Figure 14. The Figure 15 displays the comparison of Seq with different KC between the present study and Raaijmakers’s model.

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Figure 14. Sketch of the position where the Seq was evaluated.

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Figure 15. Comparison of the equilibrium scour depth between the present model and the model of Raaijmakers and Rudolph [34]: (aKCrms,sKCrms,a; (bKCrms,pKCrms,m; (cKCrms,n = 1/10KCrms,n = 1/5; (dKCs,sKCs,a; (eKCs,pKCs,m; (fKCs,n = 1/10KCs,n = 1/5.

As shown in Figure 15, there is an error in predicting Seq between the present study and Raaijmakers’s model, and Raaijmakers’s model underestimates the results generally. Although the error exists, the varying trend of Seq with KC obtained from Raaijmakers’s model is consistent with the present study basically. What’s more, the error is minimum and the Raaijmakers’s model is of relatively high accuracy for predicting scour around USAF under random waves by using KCs,p. Based on this, a further revision was made to eliminate the error as much as possible, i.e., add the deviation value ∆S/D in the Raaijmakers’s model. The revised equilibrium scour depth predicting equation based on Raaijmakers’s model can be written as


As the Figure 16 shown, through trial-calculation, when ∆S/D = 0.05, the results calculated by Equation (31) show good agreement with the simulating results of the present study. The maximum error is about 18.2% and the engineering requirements have been met basically. In order to further verify the accuracy of the revised model for large KC (KCs,p > 4) under random waves, a validation between the revised model and the previous experimental results [21]. The experiment was conducted in a flume (50 m in length, 1.0 m in width and 1.3 m in height) with a slender vertical pile (D = 0.1 m) under random waves. The seabed is composed of 0.13 m deep layer of sand with d50 = 0.6 mm and the water depth is 0.5 m for all tests. The significant wave height is 0.12~0.21 m and the KCs,p is 5.52~11.38. The comparison between the predicting results by Equation (31) and the experimental results of Corvaro et al. [21] is shown in Figure 17. From Figure 17, the experimental data evenly distributes around the predicted results and the prediction accuracy is favorable when KCs,p < 8. However, the gap between the predicting results and experimental data becomes large and the Equation (31) overestimates the equilibrium scour depth to some extent when KCs,p > 8.

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Figure 16. Comparison of Seq between the simulating results and the predicting values by Equation (31).

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Figure 17. Comparison of Seq/D between the Experimental results of Corvaro et al. [21] and the predicting values by Equation (31).

In ocean environment, the waves are composed of a train of sinusoidal waves with different frequencies and amplitudes. The energy of constituent waves with very large and very small frequencies is relatively low, and the energy of waves is mainly concentrated in a certain range of moderate frequencies. Myrhaug and Rue [37] thought the 1/n’th highest wave was responsible for scour and proposed the stochastic model to predict the equilibrium scour depth around pile under random waves for full range of KC. Noteworthy is that the KC was denoted by KCrms,a in the stochastic model. To verify the application of the stochastic model for predicting scour depth around USAF, a validation between the simulating results of present study and predicting results by the stochastic model with n = 2,3,5,10,20,500 was carried out respectively.

As shown in Figure 18, compared with the simulating results, the stochastic model underestimates the equilibrium scour depth around USAF generally. Although the error exists, the varying trend of Seq with KCrms,a obtained from the stochastic model is consistent with the present study basically. What’s more, the gap between the predicting values by stochastic model and the simulating results decreases with the increase of n, but for large n, for example n = 500, the varying trend diverges between the predicting values and simulating results, meaning it’s not feasible only by increasing n in stochastic model to predict the equilibrium scour depth around USAF.

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Figure 18. Comparison of Seq between the simulating results and the predicting values by Equation (8).

The Figure 19 lists the deviation value ∆Seq/D′ between the predicting values and simulating results with different KCrms,a and n. Then, fitted the relationship between the ∆S′and n under different KCrms,a, and the fitting curve can be written by Equation (32). The revised stochastic model (Equation (33)) can be acquired by adding ∆Seq/D′ to Equation (8).



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Figure 19. The fitting line between ∆S′and n.

The comparison between the predicting results by Equation (33) and the simulating results of present study is shown in Figure 20. According to the Figure 20, the varying trend of Seq with KCrms,a obtained from the stochastic model is consistent with the present study basically. Compared with predicting results by the stochastic model, the results calculated by Equation (33) is favorable. Moreover, comparison with simulating results indicates that the predicting results are the most favorable for n = 10, which is consistent with the findings of Myrhaug and Rue [37] for equilibrium scour depth predicting around slender pile in case of random waves.

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Figure 20. Comparison of Seq between the simulating results and the predicting values by Equation (33).

In order to further verify the accuracy of the Equation (33) for large KC (KCrms,a > 4) under random waves, a validation was conducted between the Equation (33) and the previous experimental results of Sumer and Fredsøe [16] and Corvaro et al. [21]. The details of experiments conducted by Corvaro et al. [21] were described in above section. Sumer and Fredsøe [16] investigated the local scour around pile under random waves. The experiments were conducted in a wave basin with a slender vertical pile (D = 0.032, 0.055 m). The seabed is composed of 0.14 m deep layer of sand with d50 = 0.2 mm and the water depth was maintained at 0.5 m. The JONSWAP wave spectrum was used and the KCrms,a was 5.29~16.95. The comparison between the predicting results by Equation (33) and the experimental results of Sumer and Fredsøe [16] and Corvaro et al. [21] are shown in Figure 21. From Figure 21, contrary to the case of low KCrms,a (KCrms,a < 4), the error between the predicting values and experimental results increases with decreasing of n for KCrms,a > 4. Therefore, the predicting results are the most favorable for n = 2 when KCrms,a > 4.

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Figure 21. Comparison of Seq between the experimental results of Sumer and Fredsøe [16] and Corvaro et al. [21] and the predicting values by Equation (33).

Noteworthy is that the present model was built according to prototype size, so the errors between the numerical results and experimental data of References [16,21] may be attribute to the scale effects. In laboratory experiments on scouring process, it is typically impossible to ensure a rigorous similarity of all physical parameters between the model and prototype structure, leading to the scale effects in the laboratory experiments. To avoid a cohesive behaviour, the bed material was not scaled geometrically according to model scale. As a consequence, the relatively large-scaled sediments sizes may result in the overestimation of bed load transport and underestimation of suspended load transport compared with field conditions. What’s more, the disproportional scaled sediment presumably lead to the difference of bed roughness between the model and prototype, and thus large influences for wave boundary layer on the seabed and scour process. Besides, according to Corvaro et al. [21] and Schendel et al. [55], the pile Reynolds numbers and Froude numbers both affect the scour depth for the condition of non fully developed turbulent flow in laboratory experiments.

4.4. Parametric Study

4.4.1. Influence of Froude Number

As described above, the set of foundation leads to the adverse pressure gradient appearing at upstream, leading to the wave boundary layer separating from seabed, then horseshoe vortex formatting and the horseshoe vortex are mainly responsible for scour around foundation (see Figure 22). The Froude number Fr is the key parameter to influence the scale and intensity of horseshoe vortex. The Fr under waves can be calculated by the following formula [42]


where Uw is the mean water particle velocity during 1/4 cycle of wave oscillation, obtained from the following formula. Noteworthy is that the root-mean-square (RMS) value of near-bed velocity amplitude Uwm,rms is used for calculating Uwm.


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Figure 22. Sketch of flow field at upstream USAF edges.

Tavouktsoglou et al. [25] proposed the following formula between Fr and the vertical location of the stagnation y


where e is constant.

The Figure 23 displays the relationship between Seq/D and Fr of the present study. In order to compare with the simulating results, the experimental data of Corvaro et al. [21] was also depicted in Figure 23. As shown in Figure 23, the equilibrium scour depth appears a logarithmic increase as Fr increases and approaches the mathematical asymptotic value, which is also consistent with the experimental results of Corvaro et al. [21]. According to Figure 24, the adverse pressure gradient pressure at upstream USAF edges increases with the increase of Fr, which is benefit for the wave boundary layer separating from seabed, resulting in the high-intensity horseshoe vortex, hence, causing intensive scour around USAF. Based on the previous study of Tavouktsoglou et al. [25] for scour around pile under currents, the high Fr leads to the stagnation point is closer to the mean sea level for shallow water, causing the stronger downflow kinetic energy. As mentioned in previous section, the energy of downflow at upstream makes up the energy of the subsequent horseshoe vortex, so the stronger downflow kinetic energy results in the more intensive horseshoe vortex. Therefore, the higher Fr leads to the more intensive horseshoe vortex by influencing the position of stagnation point y presumably. Qi and Gao [19] carried out a series of flume tests to investigate the scour around pile under regular waves, and proposed the fitting formula between Seq/D and Fr as following


where AB and C are constant.

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Figure 23. The fitting curve between Seq/D and Fr.

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Figure 24. Sketch of adverse pressure gradient at upstream USAF edges.

Took the Equation (37) to fit the simulating results with A = −0.002, B = 0.686 and C = −0.808, and the results are shown in Figure 23. From Figure 23, the simulating results evenly distribute around the Equation (37) and the varying trend of Seq/D and Fr in present study is consistent with Equation (37) basically, meaning the Equation (37) is applicable to express the relationship of Seq/D with Fr around USAF under random waves.

4.4.2. Influence of Euler Number

The Euler number Eu is the influencing factor for the hydrodynamic field around foundation. The Eu under waves can be calculated by the following formula. The Eu can be represented by the Equation (38) for uniform cylinders [25]. The root-mean-square (RMS) value of near-bed velocity amplitude Um,rms is used for calculating Um.


where Um is depth-averaged flow velocity.

The Figure 25 displays the relationship between Seq/D and Eu of the present study. In order to compare with the simulating results, the experimental data of Sumer and Fredsøe [16] and Corvaro et al. [21] were also plotted in Figure 25. As shown in Figure 25, similar with the varying trend of Seq/D and Fr, the equilibrium scour depth appears a logarithmic increase as Eu increases and approaches the mathematical asymptotic value, which is also consistent with the experimental results of Sumer and Fredsøe [16] and Corvaro et al. [21]. According to Figure 24, the adverse pressure gradient pressure at upstream USAF edges increases with the increasing of Eu, which is benefit for the wave boundary layer separating from seabed, inducing the high-intensity horseshoe vortex, hence, causing intensive scour around USAF.

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Figure 25. The fitting curve between Seq/D and Eu.

Therefore, the variation of Fr and Eu reflect the magnitude of adverse pressure gradient pressure at upstream. Given that, the Equation (37) also was used to fit the simulating results with A = 8.875, B = 0.078 and C = −9.601, and the results are shown in Figure 25. From Figure 25, the simulating results evenly distribute around the Equation (37) and the varying trend of Seq/D and Eu in present study is consistent with Equation (37) basically, meaning the Equation (37) is also applicable to express the relationship of Seq/D with Eu around USAF under random waves. Additionally, according to the above description of Fr, it can be inferred that the higher Fr and Eu both lead to the more intensive horseshoe vortex by influencing the position of stagnation point y presumably.

5. Conclusions

A series of numerical models were established to investigate the local scour around umbrella suction anchor foundation (USAF) under random waves. The numerical model was validated for hydrodynamic and morphology parameters by comparing with the experimental data of Khosronejad et al. [52], Petersen et al. [17], Sumer and Fredsøe [16] and Schendel et al. [22]. Based on the simulating results, the scour evolution and scour mechanisms around USAF under random waves were analyzed respectively. Two revised models were proposed according to the model of Raaijmakers and Rudolph [34] and the stochastic model developed by Myrhaug and Rue [37] to predict the equilibrium scour depth around USAF under random waves. Finally, a parametric study was carried out with the present model to study the effects of the Froude number Fr and Euler number Eu to the equilibrium scour depth around USAF under random waves. The main conclusions can be described as follows.(1)

The packed sediment scour model and the RNG k−ε turbulence model were used to simulate the sand particles transport processes and the flow field around UASF respectively. The scour evolution obtained by the present model agrees well with the experimental results of Khosronejad et al. [52], Petersen et al. [17], Sumer and Fredsøe [16] and Schendel et al. [22], which indicates that the present model is accurate and reasonable for depicting the scour morphology around UASF under random waves.(2)

The vortex system at wave crest phase is mainly related to the scour process around USAF under random waves. The maximum scour depth appeared at the lee-side of the USAF at the initial stage (t < 1200 s). Subsequently, when t > 2400 s, the location of the maximum scour depth shifted to the upside of the USAF at an angle of about 45° with respect to the wave propagating direction.(3)

The error is negligible and the Raaijmakers’s model is of relatively high accuracy for predicting scour around USAF under random waves when KC is calculated by KCs,p. Given that, a further revision model (Equation (31)) was proposed according to Raaijmakers’s model to predict the equilibrium scour depth around USAF under random waves and it shows good agreement with the simulating results of the present study when KCs,p < 8.(4)

Another further revision model (Equation (33)) was proposed according to the stochastic model established by Myrhaug and Rue [37] to predict the equilibrium scour depth around USAF under random waves, and the predicting results are the most favorable for n = 10 when KCrms,a < 4. However, contrary to the case of low KCrms,a, the predicting results are the most favorable for n = 2 when KCrms,a > 4 by the comparison with experimental results of Sumer and Fredsøe [16] and Corvaro et al. [21].(5)

The same formula (Equation (37)) is applicable to express the relationship of Seq/D with Eu or Fr, and it can be inferred that the higher Fr and Eu both lead to the more intensive horseshoe vortex and larger Seq.

Author Contributions

Conceptualization, H.L. (Hongjun Liu); Data curation, R.H. and P.Y.; Formal analysis, X.W. and H.L. (Hao Leng); Funding acquisition, X.W.; Writing—original draft, R.H. and P.Y.; Writing—review & editing, X.W. and H.L. (Hao Leng); The final manuscript has been approved by all the authors. All authors have read and agreed to the published version of the manuscript.


This research was funded by the Fundamental Research Funds for the Central Universities (grant number 202061027) and the National Natural Science Foundation of China (grant number 41572247).

Institutional Review Board Statement

Not applicable.

Informed Consent Statement

Not applicable.

Data Availability Statement

The data presented in this study are available on request from the corresponding author.

Conflicts of Interest

The authors declare no conflict of interest.


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Hu, R.; Liu, H.; Leng, H.; Yu, P.; Wang, X. Scour Characteristics and Equilibrium Scour Depth Prediction around Umbrella Suction Anchor Foundation under Random Waves. J. Mar. Sci. Eng. 20219, 886.

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Hu R, Liu H, Leng H, Yu P, Wang X. Scour Characteristics and Equilibrium Scour Depth Prediction around Umbrella Suction Anchor Foundation under Random Waves. Journal of Marine Science and Engineering. 2021; 9(8):886. Style

Hu, Ruigeng, Hongjun Liu, Hao Leng, Peng Yu, and Xiuhai Wang. 2021. “Scour Characteristics and Equilibrium Scour Depth Prediction around Umbrella Suction Anchor Foundation under Random Waves” Journal of Marine Science and Engineering 9, no. 8: 886.

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Design optimization of perforation on deflector for improved performance of vortex settling basin

와류 침전 수조의 성능 향상을 위한 디플렉터의 천공 설계 최적화*


Zhuoyun MuYiyi MaLin Li

First published: 18 August 2021

*Optimisation de la conception de la perforation sur le déflecteur pour une meilleure performance du bassin de décantation par vortex.

Funding information: Graduate Research and Innovation Project of Xinjiang Autonomous Region, Grant/Award Number: XJ2020G171; Xinjiang Agricultural University, Grant/Award Number: SLXK-YJS-2019-04; National Natural Science Foundation of China, Grant/Award Number: 52069028; Tianshan Youth Project, Grant/Award Number: 2018Q017; Department of Education, Xinjiang Uygur Autonomous Region, Grant/Award Number: XJEDU2018I010


For vortex settling basins (VSBs) installed with a deflector, perforation is an effective retrofit to reduce the self-weight of the deflector and sediment deposition on it. The current study investigated experimentally the performance of VSBs the deflector of which was perforated at different locations with various opening ratios. The results showed that perforating the outside overflow area of the deflector was the optimum for reducing sediment deposition. With an opening ratio of 8.67–13% in the outside overflow area of the deflector, the VSB exhibited similar sediment removal efficiency to the original design without any openings on the deflector. The current study provided the design optimization for deflector perforation in VSBs.

디플렉터와 함께 설치된 와류 침전 분지(VSB)의 경우 천공은 디플렉터의 자체 중량과 침전물 증착을 줄이기 위한 효과적인 개조입니다. 현재 연구는 다양한 개방 비율로 다른 위치에서 디플렉터가 천공된 VSB의 성능을 실험적으로 조사했습니다. 결과는 디플렉터의 외부 오버플로 영역을 천공하는 것이 침전물 퇴적을 줄이는 데 최적임을 보여주었습니다. 디플렉터의 외부 오버플로 영역에서 8.67-13%의 개구부로 VSB는 디플렉터에 개구부가 없는 원래 설계와 유사한 침전물 제거 효율을 나타냈습니다. 현재 연구는 VSB의 디플렉터 천공에 대한 설계 최적화를 제공했습니다.

Influence of crest geometric on discharge coefficient efficiency of labyrinth weirs

Influence of crest geometric on discharge coefficient efficiency of labyrinth weirs

Erick Mattos-Villarroel a, Jorge Flores-Velázquez b, Waldo Ojeda-Bustamante c, Carlos Díaz-Delgado d, Humberto Salinas-Tapia dShow moreAdd to MendeleyShareCite

aMexican Institute of Water Technology, Mexico
bPostgraduate College, Hydrosciences, Carr. Mex-Tex Km 36.5, Texcoco, Mexico State, 56230, Mexico
cAgricultural Engineering Graduate Program, University of Chapingo, Mexicod
Inter-American Institute of Water Science and Technology, Mexico rights and content


  • •Optimizing the geometric design of weirs can improve hydraulic performance.
  • •Labyrinth type weirs allow the discharge capacity to be increased compared to linear weirs.
  • •Hydraulic heads with ratio HT/P > 0.5 generated sub-atmospheric pressures on the side walls of the weir.
  • •Numerical simulation it is a strong tool to analyze and get optimized the weir function.


Labyrinth type weirs are structures that, due to their geometry, allow the discharge capacity to be increased compared to linear weirs. They are a favorable option for dam rehabilitation and upstream level control. There are various geometries of labyrinth type weirs such as trapezoidal, triangular or piano key as well as different types of crest profiles. Geometric changes are directly related to hydraulic efficiency. The objective of this work was to analyze the hydraulic performance of a labyrinth type weir, by simulating several geometries of the apex and of the crest using Computational Fluid Dynamics (CFD). For model validation, experimental studies reported in the literature were used. Tests were carried out with trapezoidal and circular apexes and four types of crest profiles: sharp-crest, half-round, quarter-round and Waterways Experiment Station (WES). The results revealed a determination coefficient of R2 = 0.984 between experimental and simulated data with CFD, which provides statistical agreement. Simulations showed that circular-apex weirs are more efficient than those with trapezoidal apex, because they have a higher discharge coefficient (4.7% higher). Of the four types of crest profiles analyzed, the half-round and the WES crest profiles had similar discharge coefficients and were generally greater than those of the sharp-crest and the quarter-round (5.26% y 8.5% higher) profiles. Nevertheless, to facilitate a practical construction process, it is recommended to use a half-round profile. For hydraulic heads with HT/P > 0.5 ratio, all profiles generated sub-atmospheric pressures on the side walls of the weir. However, when HT/P ≈ 0.8 ratio the half-round crest generated a higher negative pressure (−1500 Pa), while the sharp-crest profile managed to increase the pressure by 76% (−350 Pa), but with a greater area of negative pressure. On the other hand, the WES profile reduced the negative-pressure area by 50%.


Labyrinth weir

Computational fluids dynamics (CFD)

Discharge coefficient

Apex shape

Crest profile

Figures (12)

  1. Fig. 1. Geometric parameters of a labyrinth weir
  2. Fig. 2. Crest profiles: (A) sharp-crest, (B) half-round, (C) quarter-round, (D) WES
  3. Fig. 3. Apex shapes
  4. Fig. 4. Weir and boundary conditions
  5. Fig. 5. Hydraulic head approach an asymptotic zero-grid spacing value
  6. Fig. 6. Percentage relative error of the discharge coefficient as a function of HT/P
  7. Fig. 7. Comparison of the discharge coefficients obtained numerically against the…
  8. Fig. 8. Pressure distribution in the downstream side walls of the labyrinth weir
  9. Fig. 9. Comparison of the discharge coefficient in trapezoidal apex labyrinth weirs
  10. Fig. 10. Comparison of the discharge coefficient in circular apex labyrinth weirs
  11. Fig. 11. Local drowning at the upstream apex
  12. Fig. 12. Ratio of the discharge coefficient of the circular apex weir with the…
Figure 1. Photorealistic view of an inclined axis TAST (photo A. Stergiopoulou).

CFD Simulations of Tubular Archimedean Screw Turbines Harnessing the Small Hydropotential of Greek Watercourses

Alkistis Stergiopoulou1, Vassilios Stergiopoulos2
1Institut für Wasserwirtschaft, Hydrologie und Konstruktiven Wasserbau, B.O.K.U. University,
Muthgasse 18, 1190 Vienna, (actually Senior Process Engineer at the VTU Engineering in Vienna,
Zieglergasse 53/1/24, 1070 Vienna, Austria).
2 School of Pedagogical and Technological Education, Department of Civil Engineering Educators,
ASPETE Campus, Eirini Station, 15122 Amarousio, Athens, Greece.
Received 4 Jan. 2021; Received in revised form 8 Aug. 2021; Accepted 8 Aug. 2021; Available online 14 Aug. 2021


This paper presents a short view of the first Archimedean Screw Turbines CFD modelling results, which
were carried out within the recent research entitled “Rebirth of Archimedes in Greece: contribution to the
study of hydraulic mechanics and hydrodynamic behavior of Archimedean cochlear waterwheels, for
recovering the hydraulic potential of Greek natural and technical watercourses”. This CFD analysis, based
to the Flow-3D code, concerns typical Tubular Archimedean Screw Turbines (TASTs) and shows some
promising performances for such small hydropower systems harnessing the important unexploited
hydraulic potential of natural and technical watercourses of Greece, of the order of several TWh / year and of a total installed capacity in the range of thousands MWs.

이 논문은 최초의 아르키메데스 나사 터빈 CFD 모델링 결과에 대한 간략한 견해를 제시하며, 이는 “그리스에서 아르키메데스의 부활: 수리 역학 및 아르키메데스 달팽이관 물레방아의 유체역학적 거동 연구에 대한 기여”라는 제목의 최근 연구에서 수행되었습니다. 그리스 자연 및 기술 수로의 수력 잠재력”. Flow-3D 코드를 기반으로 하는 이 CFD 분석은 일반적인 TAST(Tubular Archimedean Screw Turbines)에 관한 것이며 그리스의 자연 및 기술 수로의 중요한 미개발 수력 잠재력을 활용하는 이러한 TWh/년 및 수천 MW 범위의 총 설치 용량인 소규모 수력 발전 시스템에 대한 몇 가지 유망한 성능을 보여줍니다.
Copyright © 2021 International Energy and Environment Foundation – All rights reserved.


CFD; Flow-3D; TAST; Small Hydro; Renewable Energy; Greek Watercourses.

Figure 1. Photorealistic view of an inclined axis TAST (photo A. Stergiopoulou).
Figure 1. Photorealistic view of an inclined axis TAST (photo A. Stergiopoulou).


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screw hydro turbine, Ph.D. Thesis, NTUA, 2017.
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Betriebsoptimierung von Wasserkraftschnecken, Research Project, BOKU University, Vienna,
[3] G. Müller, J. Senior, Simplified theory of Archimedean screws, Journal of Hydraulic Research 47
(5) (2009) 666-669.
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Engineering, 80 (2000) 72-80.
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spirals the hydraulic potential of the Greek watercourses, in: Proceedings of the Conference for
Climate Change, Thessaloniki, 2009.
[6] A. Stergiopoulou, V. Stergiopoulos, from the old Archimedean screw pumps to the new
Archimedean screw turbines for hydropower production in Greece, in: Proceedings of CEMEPE
Conference, Mykonos, June 21-26, 2009.
International Journal of Energy and Environment (IJEE), Volume 12, Issue 1, 2021, pp.19-30
[7] V. Stergiopoulos, A. Stergiopoulou, E. Kalkani, Quo Vadis Archimedes Nowadays in Greece?
Towards Modern Archimedean Turbines for Recovering Greek Small Hydropower Potential, in:
Proceedings of 3rd International Scientific “Energy and Climate Change” Conference, Athens, 2010.
[8] A. Stergiopoulou, V. Stergiopoulos, E. Κalkani, Greece beyond the horizon of the era of transition:
Archimedean screw hydropower development terra incognita, International Journal of Energy and
Development, v.6, Issue 6, pp. 627-536, 2015.
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innovative horizontal axis Archimedean screw turbines, Journal of Energy and Development, v.6,
Issue 5, pp. 471-478, 2015.
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screws as modern turbines for harnessing Greek small hydropower potential, in: Proceedings of the
Third International Conference CEMEPE 2011 & SECOTOX, Skiathos, 2011.
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Pico Hydropower Generation, Modern Environmental Science and Engineering, v.4, No.5, pp. 439-
445, May 2018.
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Pico Hydropower Generation, Modern Environmental Science and Engineering, v.4, No.5, pp. 439-
445, May 2018.
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Volume 11, Issue 2, 2020 pp.137-144.
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SECOTOX Conference, Mykonos island, Greece, pp.454-460 June 24-28, 2013.
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Graphic Solid Model of Archimedean Screw Turbines, Fresenius Environmental Bulletin, vol.23-
No1, 2014.
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Figure 2 Modeling the plant with cylindrical tubes at the bottom of the canal.

Optimized Vegetation Density to Dissipate Energy of Flood Flow in Open Canals

열린 운하에서 홍수 흐름의 에너지를 분산시키기 위해 최적화된 식생 밀도

Mahdi Feizbahr,1Navid Tonekaboni,2Guang-Jun Jiang,3,4and Hong-Xia Chen3,4
Academic Editor: Mohammad Yazdi


강을 따라 식생은 조도를 증가시키고 평균 유속을 감소시키며, 유동 에너지를 감소시키고 강 횡단면의 유속 프로파일을 변경합니다. 자연의 많은 운하와 강은 홍수 동안 초목으로 덮여 있습니다. 운하의 조도는 식물의 영향을 많이 받기 때문에 홍수시 유동저항에 큰 영향을 미친다. 식물로 인한 흐름에 대한 거칠기 저항은 흐름 조건과 식물에 따라 달라지므로 모델은 유속, 유속 깊이 및 수로를 따라 식생 유형의 영향을 고려하여 유속을 시뮬레이션해야 합니다. 총 48개의 모델을 시뮬레이션하여 근관의 거칠기 효과를 조사했습니다. 결과는 속도를 높임으로써 베드 속도를 감소시키는 식생의 영향이 무시할만하다는 것을 나타냅니다.


Vegetation along the river increases the roughness and reduces the average flow velocity, reduces flow energy, and changes the flow velocity profile in the cross section of the river. Many canals and rivers in nature are covered with vegetation during the floods. Canal’s roughness is strongly affected by plants and therefore it has a great effect on flow resistance during flood. Roughness resistance against the flow due to the plants depends on the flow conditions and plant, so the model should simulate the current velocity by considering the effects of velocity, depth of flow, and type of vegetation along the canal. Total of 48 models have been simulated to investigate the effect of roughness in the canal. The results indicated that, by enhancing the velocity, the effect of vegetation in decreasing the bed velocity is negligible, while when the current has lower speed, the effect of vegetation on decreasing the bed velocity is obviously considerable.

1. Introduction

Considering the impact of each variable is a very popular field within the analytical and statistical methods and intelligent systems [114]. This can help research for better modeling considering the relation of variables or interaction of them toward reaching a better condition for the objective function in control and engineering [1527]. Consequently, it is necessary to study the effects of the passive factors on the active domain [2836]. Because of the effect of vegetation on reducing the discharge capacity of rivers [37], pruning plants was necessary to improve the condition of rivers. One of the important effects of vegetation in river protection is the action of roots, which cause soil consolidation and soil structure improvement and, by enhancing the shear strength of soil, increase the resistance of canal walls against the erosive force of water. The outer limbs of the plant increase the roughness of the canal walls and reduce the flow velocity and deplete the flow energy in vicinity of the walls. Vegetation by reducing the shear stress of the canal bed reduces flood discharge and sedimentation in the intervals between vegetation and increases the stability of the walls [3841].

One of the main factors influencing the speed, depth, and extent of flood in this method is Manning’s roughness coefficient. On the other hand, soil cover [42], especially vegetation, is one of the most determining factors in Manning’s roughness coefficient. Therefore, it is expected that those seasonal changes in the vegetation of the region will play an important role in the calculated value of Manning’s roughness coefficient and ultimately in predicting the flood wave behavior [4345]. The roughness caused by plants’ resistance to flood current depends on the flow and plant conditions. Flow conditions include depth and velocity of the plant, and plant conditions include plant type, hardness or flexibility, dimensions, density, and shape of the plant [46]. In general, the issue discussed in this research is the optimization of flood-induced flow in canals by considering the effect of vegetation-induced roughness. Therefore, the effect of plants on the roughness coefficient and canal transmission coefficient and in consequence the flow depth should be evaluated [4748].

Current resistance is generally known by its roughness coefficient. The equation that is mainly used in this field is Manning equation. The ratio of shear velocity to average current velocity  is another form of current resistance. The reason for using the  ratio is that it is dimensionless and has a strong theoretical basis. The reason for using Manning roughness coefficient is its pervasiveness. According to Freeman et al. [49], the Manning roughness coefficient for plants was calculated according to the Kouwen and Unny [50] method for incremental resistance. This method involves increasing the roughness for various surface and plant irregularities. Manning’s roughness coefficient has all the factors affecting the resistance of the canal. Therefore, the appropriate way to more accurately estimate this coefficient is to know the factors affecting this coefficient [51].

To calculate the flow rate, velocity, and depth of flow in canals as well as flood and sediment estimation, it is important to evaluate the flow resistance. To determine the flow resistance in open ducts, Manning, Chézy, and Darcy–Weisbach relations are used [52]. In these relations, there are parameters such as Manning’s roughness coefficient (n), Chézy roughness coefficient (C), and Darcy–Weisbach coefficient (f). All three of these coefficients are a kind of flow resistance coefficient that is widely used in the equations governing flow in rivers [53].

The three relations that express the relationship between the average flow velocity (V) and the resistance and geometric and hydraulic coefficients of the canal are as follows:where nf, and c are Manning, Darcy–Weisbach, and Chézy coefficients, respectively. V = average flow velocity, R = hydraulic radius, Sf = slope of energy line, which in uniform flow is equal to the slope of the canal bed,  = gravitational acceleration, and Kn is a coefficient whose value is equal to 1 in the SI system and 1.486 in the English system. The coefficients of resistance in equations (1) to (3) are related as follows:

Based on the boundary layer theory, the flow resistance for rough substrates is determined from the following general relation:where f = Darcy–Weisbach coefficient of friction, y = flow depth, Ks = bed roughness size, and A = constant coefficient.

On the other hand, the relationship between the Darcy–Weisbach coefficient of friction and the shear velocity of the flow is as follows:

By using equation (6), equation (5) is converted as follows:

Investigation on the effect of vegetation arrangement on shear velocity of flow in laboratory conditions showed that, with increasing the shear Reynolds number (), the numerical value of the  ratio also increases; in other words the amount of roughness coefficient increases with a slight difference in the cases without vegetation, checkered arrangement, and cross arrangement, respectively [54].

Roughness in river vegetation is simulated in mathematical models with a variable floor slope flume by different densities and discharges. The vegetation considered submerged in the bed of the flume. Results showed that, with increasing vegetation density, canal roughness and flow shear speed increase and with increasing flow rate and depth, Manning’s roughness coefficient decreases. Factors affecting the roughness caused by vegetation include the effect of plant density and arrangement on flow resistance, the effect of flow velocity on flow resistance, and the effect of depth [4555].

One of the works that has been done on the effect of vegetation on the roughness coefficient is Darby [56] study, which investigates a flood wave model that considers all the effects of vegetation on the roughness coefficient. There are currently two methods for estimating vegetation roughness. One method is to add the thrust force effect to Manning’s equation [475758] and the other method is to increase the canal bed roughness (Manning-Strickler coefficient) [455961]. These two methods provide acceptable results in models designed to simulate floodplain flow. Wang et al. [62] simulate the floodplain with submerged vegetation using these two methods and to increase the accuracy of the results, they suggested using the effective height of the plant under running water instead of using the actual height of the plant. Freeman et al. [49] provided equations for determining the coefficient of vegetation roughness under different conditions. Lee et al. [63] proposed a method for calculating the Manning coefficient using the flow velocity ratio at different depths. Much research has been done on the Manning roughness coefficient in rivers, and researchers [496366] sought to obtain a specific number for n to use in river engineering. However, since the depth and geometric conditions of rivers are completely variable in different places, the values of Manning roughness coefficient have changed subsequently, and it has not been possible to choose a fixed number. In river engineering software, the Manning roughness coefficient is determined only for specific and constant conditions or normal flow. Lee et al. [63] stated that seasonal conditions, density, and type of vegetation should also be considered. Hydraulic roughness and Manning roughness coefficient n of the plant were obtained by estimating the total Manning roughness coefficient from the matching of the measured water surface curve and water surface height. The following equation is used for the flow surface curve:where  is the depth of water change, S0 is the slope of the canal floor, Sf is the slope of the energy line, and Fr is the Froude number which is obtained from the following equation:where D is the characteristic length of the canal. Flood flow velocity is one of the important parameters of flood waves, which is very important in calculating the water level profile and energy consumption. In the cases where there are many limitations for researchers due to the wide range of experimental dimensions and the variety of design parameters, the use of numerical methods that are able to estimate the rest of the unknown results with acceptable accuracy is economically justified.

FLOW-3D software uses Finite Difference Method (FDM) for numerical solution of two-dimensional and three-dimensional flow. This software is dedicated to computational fluid dynamics (CFD) and is provided by Flow Science [67]. The flow is divided into networks with tubular cells. For each cell there are values of dependent variables and all variables are calculated in the center of the cell, except for the velocity, which is calculated at the center of the cell. In this software, two numerical techniques have been used for geometric simulation, FAVOR™ (Fractional-Area-Volume-Obstacle-Representation) and the VOF (Volume-of-Fluid) method. The equations used at this model for this research include the principle of mass survival and the magnitude of motion as follows. The fluid motion equations in three dimensions, including the Navier–Stokes equations with some additional terms, are as follows:where  are mass accelerations in the directions xyz and  are viscosity accelerations in the directions xyz and are obtained from the following equations:

Shear stresses  in equation (11) are obtained from the following equations:

The standard model is used for high Reynolds currents, but in this model, RNG theory allows the analytical differential formula to be used for the effective viscosity that occurs at low Reynolds numbers. Therefore, the RNG model can be used for low and high Reynolds currents.

Weather changes are high and this affects many factors continuously. The presence of vegetation in any area reduces the velocity of surface flows and prevents soil erosion, so vegetation will have a significant impact on reducing destructive floods. One of the methods of erosion protection in floodplain watersheds is the use of biological methods. The presence of vegetation in watersheds reduces the flow rate during floods and prevents soil erosion. The external organs of plants increase the roughness and decrease the velocity of water flow and thus reduce its shear stress energy. One of the important factors with which the hydraulic resistance of plants is expressed is the roughness coefficient. Measuring the roughness coefficient of plants and investigating their effect on reducing velocity and shear stress of flow is of special importance.

Roughness coefficients in canals are affected by two main factors, namely, flow conditions and vegetation characteristics [68]. So far, much research has been done on the effect of the roughness factor created by vegetation, but the issue of plant density has received less attention. For this purpose, this study was conducted to investigate the effect of vegetation density on flow velocity changes.

In a study conducted using a software model on three density modes in the submerged state effect on flow velocity changes in 48 different modes was investigated (Table 1).

Table 1 

The studied models.

The number of cells used in this simulation is equal to 1955888 cells. The boundary conditions were introduced to the model as a constant speed and depth (Figure 1). At the output boundary, due to the presence of supercritical current, no parameter for the current is considered. Absolute roughness for floors and walls was introduced to the model (Figure 1). In this case, the flow was assumed to be nonviscous and air entry into the flow was not considered. After  seconds, this model reached a convergence accuracy of .

Figure 1 

The simulated model and its boundary conditions.

Due to the fact that it is not possible to model the vegetation in FLOW-3D software, in this research, the vegetation of small soft plants was studied so that Manning’s coefficients can be entered into the canal bed in the form of roughness coefficients obtained from the studies of Chow [69] in similar conditions. In practice, in such modeling, the effect of plant height is eliminated due to the small height of herbaceous plants, and modeling can provide relatively acceptable results in these conditions.

48 models with input velocities proportional to the height of the regular semihexagonal canal were considered to create supercritical conditions. Manning coefficients were applied based on Chow [69] studies in order to control the canal bed. Speed profiles were drawn and discussed.

Any control and simulation system has some inputs that we should determine to test any technology [7077]. Determination and true implementation of such parameters is one of the key steps of any simulation [237881] and computing procedure [8286]. The input current is created by applying the flow rate through the VFR (Volume Flow Rate) option and the output flow is considered Output and for other borders the Symmetry option is considered.

Simulation of the models and checking their action and responses and observing how a process behaves is one of the accepted methods in engineering and science [8788]. For verification of FLOW-3D software, the results of computer simulations are compared with laboratory measurements and according to the values of computational error, convergence error, and the time required for convergence, the most appropriate option for real-time simulation is selected (Figures 2 and 3 ).

Figure 2 

Modeling the plant with cylindrical tubes at the bottom of the canal.

Figure 3 

Velocity profiles in positions 2 and 5.

The canal is 7 meters long, 0.5 meters wide, and 0.8 meters deep. This test was used to validate the application of the software to predict the flow rate parameters. In this experiment, instead of using the plant, cylindrical pipes were used in the bottom of the canal.

The conditions of this modeling are similar to the laboratory conditions and the boundary conditions used in the laboratory were used for numerical modeling. The critical flow enters the simulation model from the upstream boundary, so in the upstream boundary conditions, critical velocity and depth are considered. The flow at the downstream boundary is supercritical, so no parameters are applied to the downstream boundary.

The software well predicts the process of changing the speed profile in the open canal along with the considered obstacles. The error in the calculated speed values can be due to the complexity of the flow and the interaction of the turbulence caused by the roughness of the floor with the turbulence caused by the three-dimensional cycles in the hydraulic jump. As a result, the software is able to predict the speed distribution in open canals.

2. Modeling Results

After analyzing the models, the results were shown in graphs (Figures 414 ). The total number of experiments in this study was 48 due to the limitations of modeling.










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Figure 4 

Flow velocity profiles for canals with a depth of 1 m and flow velocities of 3–3.3 m/s. Canal with a depth of 1 meter and a flow velocity of (a) 3 meters per second, (b) 3.1 meters per second, (c) 3.2 meters per second, and (d) 3.3 meters per second.

Figure 5 

Canal diagram with a depth of 1 meter and a flow rate of 3 meters per second.

Figure 6 

Canal diagram with a depth of 1 meter and a flow rate of 3.1 meters per second.

Figure 7 

Canal diagram with a depth of 1 meter and a flow rate of 3.2 meters per second.

Figure 8 

Canal diagram with a depth of 1 meter and a flow rate of 3.3 meters per second.










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Figure 9 

Flow velocity profiles for canals with a depth of 2 m and flow velocities of 4–4.3 m/s. Canal with a depth of 2 meters and a flow rate of (a) 4 meters per second, (b) 4.1 meters per second, (c) 4.2 meters per second, and (d) 4.3 meters per second.

Figure 10 

Canal diagram with a depth of 2 meters and a flow rate of 4 meters per second.

Figure 11 

Canal diagram with a depth of 2 meters and a flow rate of 4.1 meters per second.

Figure 12 

Canal diagram with a depth of 2 meters and a flow rate of 4.2 meters per second.

Figure 13 

Canal diagram with a depth of 2 meters and a flow rate of 4.3 meters per second.










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Figure 14 

Flow velocity profiles for canals with a depth of 3 m and flow velocities of 5–5.3 m/s. Canal with a depth of 2 meters and a flow rate of (a) 4 meters per second, (b) 4.1 meters per second, (c) 4.2 meters per second, and (d) 4.3 meters per second.

To investigate the effects of roughness with flow velocity, the trend of flow velocity changes at different depths and with supercritical flow to a Froude number proportional to the depth of the section has been obtained.

According to the velocity profiles of Figure 5, it can be seen that, with the increasing of Manning’s coefficient, the canal bed speed decreases.

According to Figures 5 to 8, it can be found that, with increasing the Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of the models 1 to 12, which can be justified by increasing the speed and of course increasing the Froude number.

According to Figure 10, we see that, with increasing Manning’s coefficient, the canal bed speed decreases.

According to Figure 11, we see that, with increasing Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of Figures 510, which can be justified by increasing the speed and, of course, increasing the Froude number.

With increasing Manning’s coefficient, the canal bed speed decreases (Figure 12). But this deceleration is more noticeable than the deceleration of the higher models (Figures 58 and 1011), which can be justified by increasing the speed and, of course, increasing the Froude number.

According to Figure 13, with increasing Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of Figures 5 to 12, which can be justified by increasing the speed and, of course, increasing the Froude number.

According to Figure 15, with increasing Manning’s coefficient, the canal bed speed decreases.

Figure 15 

Canal diagram with a depth of 3 meters and a flow rate of 5 meters per second.

According to Figure 16, with increasing Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of the higher model, which can be justified by increasing the speed and, of course, increasing the Froude number.

Figure 16 

Canal diagram with a depth of 3 meters and a flow rate of 5.1 meters per second.

According to Figure 17, it is clear that, with increasing Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of the higher models, which can be justified by increasing the speed and, of course, increasing the Froude number.

Figure 17 

Canal diagram with a depth of 3 meters and a flow rate of 5.2 meters per second.

According to Figure 18, with increasing Manning’s coefficient, the canal bed speed decreases. But this deceleration is more noticeable than the deceleration of the higher models, which can be justified by increasing the speed and, of course, increasing the Froude number.

Figure 18 

Canal diagram with a depth of 3 meters and a flow rate of 5.3 meters per second.

According to Figure 19, it can be seen that the vegetation placed in front of the flow input velocity has negligible effect on the reduction of velocity, which of course can be justified due to the flexibility of the vegetation. The only unusual thing is the unexpected decrease in floor speed of 3 m/s compared to higher speeds.








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Figure 19 

Comparison of velocity profiles with the same plant densities (depth 1 m). Comparison of velocity profiles with (a) plant densities of 25%, depth 1 m; (b) plant densities of 50%, depth 1 m; and (c) plant densities of 75%, depth 1 m.

According to Figure 20, by increasing the speed of vegetation, the effect of vegetation on reducing the flow rate becomes more noticeable. And the role of input current does not have much effect in reducing speed.








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Figure 20 

Comparison of velocity profiles with the same plant densities (depth 2 m). Comparison of velocity profiles with (a) plant densities of 25%, depth 2 m; (b) plant densities of 50%, depth 2 m; and (c) plant densities of 75%, depth 2 m.

According to Figure 21, it can be seen that, with increasing speed, the effect of vegetation on reducing the bed flow rate becomes more noticeable and the role of the input current does not have much effect. In general, it can be seen that, by increasing the speed of the input current, the slope of the profiles increases from the bed to the water surface and due to the fact that, in software, the roughness coefficient applies to the channel floor only in the boundary conditions, this can be perfectly justified. Of course, it can be noted that, due to the flexible conditions of the vegetation of the bed, this modeling can show acceptable results for such grasses in the canal floor. In the next directions, we may try application of swarm-based optimization methods for modeling and finding the most effective factors in this research [27815188994]. In future, we can also apply the simulation logic and software of this research for other domains such as power engineering [9599].








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Figure 21 

Comparison of velocity profiles with the same plant densities (depth 3 m). Comparison of velocity profiles with (a) plant densities of 25%, depth 3 m; (b) plant densities of 50%, depth 3 m; and (c) plant densities of 75%, depth 3 m.

3. Conclusion

The effects of vegetation on the flood canal were investigated by numerical modeling with FLOW-3D software. After analyzing the results, the following conclusions were reached:(i)Increasing the density of vegetation reduces the velocity of the canal floor but has no effect on the velocity of the canal surface.(ii)Increasing the Froude number is directly related to increasing the speed of the canal floor.(iii)In the canal with a depth of one meter, a sudden increase in speed can be observed from the lowest speed and higher speed, which is justified by the sudden increase in Froude number.(iv)As the inlet flow rate increases, the slope of the profiles from the bed to the water surface increases.(v)By reducing the Froude number, the effect of vegetation on reducing the flow bed rate becomes more noticeable. And the input velocity in reducing the velocity of the canal floor does not have much effect.(vi)At a flow rate between 3 and 3.3 meters per second due to the shallow depth of the canal and the higher landing number a more critical area is observed in which the flow bed velocity in this area is between 2.86 and 3.1 m/s.(vii)Due to the critical flow velocity and the slight effect of the roughness of the horseshoe vortex floor, it is not visible and is only partially observed in models 1-2-3 and 21.(viii)As the flow rate increases, the effect of vegetation on the rate of bed reduction decreases.(ix)In conditions where less current intensity is passing, vegetation has a greater effect on reducing current intensity and energy consumption increases.(x)In the case of using the flow rate of 0.8 cubic meters per second, the velocity distribution and flow regime show about 20% more energy consumption than in the case of using the flow rate of 1.3 cubic meters per second.


n:Manning’s roughness coefficient
C:Chézy roughness coefficient
f:Darcy–Weisbach coefficient
V:Flow velocity
R:Hydraulic radius
g:Gravitational acceleration
y:Flow depth
Ks:Bed roughness
A:Constant coefficient
:Reynolds number
y/∂x:Depth of water change
S0:Slope of the canal floor
Sf:Slope of energy line
Fr:Froude number
D:Characteristic length of the canal
G:Mass acceleration
:Shear stresses.

Data Availability

All data are included within the paper.

Conflicts of Interest

The authors declare that they have no conflicts of interest.


This work was partially supported by the National Natural Science Foundation of China under Contract no. 71761030 and Natural Science Foundation of Inner Mongolia under Contract no. 2019LH07003.


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Numerical simulation on molten pool behavior of narrow gap gas tungsten arc welding

좁은 간격 가스 텅스텐 아크 용접의 용융 풀 거동에 대한 수치 시뮬레이션

Numerical simulation on molten pool behavior of narrow gap gas tungsten arc welding

The International Journal of Advanced Manufacturing Technology (2023)Cite this article


As a highly efficient thick plate welding resolution, narrow gap gas tungsten arc welding (NG-GTAW) is in the face of a series of problems like inter-layer defects like pores, lack of fusion, inclusion of impurity, and the sensitivity to poor sidewall fusion, which is hard to be repaired after the welding process. This study employs numerical simulation to investigate the molten pool behavior in NG-GTAW root welding. A 3D numerical model was established, where a body-fitted coordinate system was applied to simulate the electromagnetic force, and a bridge transition model was developed to investigate the wire–feed root welding. The simulated results were validated experimentally. Results show that the molten pool behavior is dominated by electromagnetic force when the welding current is relatively high, and the dynamic change of the vortex actually determines the molten pool morphology. For self-fusion welding, there are two symmetric inward vortices in the cross-section and one clockwise vortex in the longitudinal section. With the increasing welding current, the vortices in the cross-section gradually move to the arc center with a decreasing range, while the vortex in the longitudinal section moves backward. With the increasing traveling speed, the vortices in the cross-section move toward the surface of the molten pool with a decreasing range, and the horizontal component of liquid metal velocity changes in the longitudinal section. For wire–feed welding, the filling metal strengthens the downward velocity component; as a result, the vortex formation is blocked in the cross-section and is strengthened in the longitudinal section.

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Data availability

The raw/processed data required cannot be shared at this time as the data also forms part of an ongoing study.


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Fig. 2. Design of the grate inlet types studied: (a) R1, (b) R2, (c) R3, (d) R4, (e) R5, (f) R6, (g) R7 (source: based on geometries of Chaparro Andrade and Abaunza Tabares, 2021)

Three-dimensional Numerical Evaluation of Hydraulic Efficiency and Discharge Coefficient in Grate Inlets

쇠창살 격자 유입구의 수리효율 및 배출계수에 대한 3차원 수치적 평가

Melquisedec Cortés Zambrano*, Helmer Edgardo Monroy González,
Wilson Enrique Amaya Tequia
Faculty of Civil Engineering, Santo Tomas Tunja University. Address Av. Universitaria No. 45-202.
Tunja – Boyacá – Colombia


홍수는 지반이동 및 이동의 원인 중 하나이며, 급속한 도시화 및 도시화로 인해 이전보다 빈번하게 발생할 수 있다. 도시 배수 시스템의 특성은 집수 요소가 결정적인 역할을 하는 범람의 발생 및 범위를 정의할 수 있습니다. 이 문서는 7가지 유형의 화격자 유입구의 수력 유입 효율 및 배출 계수에 대한 수치 조사를 제시합니다. FLOW-3D® 시뮬레이터는 Q = 24, 34.1, 44, 100, 200 및 300 L/s의 유속에서 풀 스케일로 격자를 테스트하는 데 사용되며 종방향 기울기가 1.0인 실험 프로토타입의 구성을 유지합니다. %, 1.5% 및 2.0% 및 고정 횡단 경사, 총 126개 모델. 그 결과를 바탕으로 종류별 및 종단경사 조건에 따른 수력유입구 효율곡선과 토출계수를 구성하였다. 결과는 다른 조사에서 제안된 경험적 공식으로 조정되어 프로토타입의 물리적 테스트 결과를 검증하는 역할을 합니다.

Floods are one of the causes of ground movement and displacement, and due to rapid urbanization and urban growth may occur more frequently than before. The characteristics of an urban drainage system can define the occurrence and extent of flooding, where catchment elements have a determining role. This document presents the numerical investigation of the hydraulic inlet efficiency and the discharge coefficient of seven types of grate inlets. The FLOW-3D® simulator is used to test the gratings at a full scale, under flow rates of Q = 24, 34.1, 44, 100, 200 and 300 L/s, preserving the configuration of the experimental prototype with longitudinal slopes of 1.0%, 1.5% and 2.0% and a fixed cross slope, for a total of 126 models. Based on the results, hydraulic inlet efficiency curves and discharge coefficients are constructed for each type and a longitudinal slope condition. The results are adjusted with empirical formulations proposed in other investigations, serving to verify the results of physical testing of prototypes.


grate inlet, inlet efficiency, discharge coefficient, computational fluid dynamic, 3D modelling.

Fig. 1. Physical model of the experimental campaign (source: Chaparro Andrade and Abaunza Tabares, 2021)
Fig. 1. Physical model of the experimental campaign (source: Chaparro Andrade and Abaunza Tabares, 2021)
Fig. 2. Design of the grate inlet types studied: (a) R1, (b) R2, (c) R3, (d) R4, (e) R5, (f) R6, (g) R7 (source: based on geometries of Chaparro Andrade
and Abaunza Tabares, 2021)
Fig. 2. Design of the grate inlet types studied: (a) R1, (b) R2, (c) R3, (d) R4, (e) R5, (f) R6, (g) R7 (source: based on geometries of Chaparro Andrade and Abaunza Tabares, 2021)
Fig. 4. Comparison between the results obtained during physical experimentation in prototype 7 and simulation results with FLOW-3D® (source:
made with FlowSight® and photographic record by Chaparro Andrade and Abaunza Tabares, 2021)
Fig. 4. Comparison between the results obtained during physical experimentation in prototype 7 and simulation results with FLOW-3D® (source: made with FlowSight® and photographic record by Chaparro Andrade and Abaunza Tabares, 2021)
Fig. 6. Example of the results of flow depth and velocity vectors in the xy plane, for a stable flow condition in a grate inlet type and free surface
configuration and flow regime, of some grating types (source: produced with FlowSight®)
Fig. 6. Example of the results of flow depth and velocity vectors in the xy plane, for a stable flow condition in a grate inlet type and free surface configuration and flow regime, of some grating types (source: produced with FlowSight®)


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Numerical Modeling of Self-Aeration in High-Speed Flows over Smooth Chute Spillways

Smooth Chute 여수로 위의 고속 흐름에서 자체 폭기의 수치 모델링

Numerical Modeling of Self-Aeration in High-Speed Flows over Smooth Chute Spillways


Mohmmadreza Jalili Ghazizadeh

Associate Professor, Faculty of Civil, Water and Environmental Engineering, Shahid Beheshti Univ., Tehran 177651719, Iran (corresponding author). ORCID: Email:

Amir R. Zarrati

Professor, Dept. of Civil and Environmental Engineering, Amirkabir Univ. of Technology (Tehran Polytechnic), Tehran 1591634311, Iran. ORCID: Email:

Mohammad J. Ostad Mirza Tehrani

Assistant Professor, Faculty of Civil Engineering, K. N. Toosi Univ. of Technology, Tehran 1996715433, Iran; formerly, Postdoctoral Research Fellow, Dept. of Civil and Environmental Engineering, Amirkabir Univ. of Technology (Tehran Polytechnic), Tehran 1591634311, Iran. ORCID: Email:

Received: May 15, 2021

Accepted: September 30, 2022

Published online: December 21, 2022Journal of Hydraulic Engineering

Vol. 149, Issue 3 (March 2023)

© 2022 American Society of Civil Engineers


chute 여수로에서는 난류 경계층 가장자리가 충분히 길면 자유 표면에 접근하는 시작점의 하류에서 자체 통기가 발생합니다. 시작 지점의 하류에서 공기-물 혼합물을 포함하는 층이 팽창 효과와 함께 흐름을 통해 점진적으로 확장됩니다.

유동 벌킹은 측벽 건현 설계 측면에서 필수적입니다. 또한 고체 경계 근처에 충분한 양의 공기를 도입하면 캐비테이션 손상을 방지할 수 있습니다. 현재 연구에서, 매끄러운 chute 을 따라 유동 벌킹과 함께 깊이와 자유 표면 위치에 걸쳐 자체 폭기 및 공기 농도 프로파일을 예측하기 위해 2D 수치 모델이 개발되었습니다.

개발된 모델은 혼합물 연속성, 기단 및 공기-물 혼합물 운동량 보존의 일방향 포물선 방정식의 해를 다룹니다. 이러한 방정식은 행진 기법과 Prandtl의 혼합 길이 난류 모델을 활용하여 자유 표면에 대한 동적 방정식과 함께 해결됩니다.

프로토타입 측정 및 실험실 테스트를 통해 얻은 실험 데이터를 사용하여 수치 모델의 정확도를 평가했습니다. 관련 결과는 경계층 발달의 유도된 시작점, 자체 유입 흐름 내의 공기 농도 프로파일 및 그에 따른 흐름의 벌킹 측면에서 비교되었습니다.

실용적인 목적을 위한 수치 모델의 기능은 상당히 정확한 결과에 따라 의미가 있으며 추가 연구를 위한 새로운 지평을 밝힙니다.

In chute spillways, self-aeration occurs downstream of the inception point, where the turbulent boundary layer edge approaches the free surface, if they are long enough. Downstream of the inception point, a layer containing an air–water mixture extends gradually through the flow with the bulking effect. Flow bulking is essential in terms of sidewall freeboard design. In addition, the introduction of enough air quantity near the solid boundaries prevents cavitation damage. In the present work, a 2D numerical model was developed for the prediction of self-aeration and air concentration profiles across the depth and the free-surface location, together with flow bulking along the smooth chutes. The developed model deals with the solution of the one-way direction parabolic equations of mixture continuity, air mass, and air–water mixture momentum conservation. These equations are solved accompanied by the dynamic equation for the free surface, utilizing the marching technique and Prandtl’s mixing length turbulent model. The experimental data obtained by prototype measurements and laboratory tests were used to assess the accuracy of the numerical model. The relevant results were compared in terms of the induced inception point of the boundary layer development, air concentration profiles within self-entrained flows, and the consequent bulking of the flow. The capability of the numerical model for practical purposes is signified in accordance with the fairly accurate obtained results, shedding light on new horizons for further research.

Figure 3. Different parts of a Searaser; 1) Buoy 2) Chamber 3) Valves 4) Generator 5) Anchor system

데이터 기반 방법을 활용한 재생 가능 에너지 변환기의 전력 및 수소 생성 예측 지속 가능한 스마트 그리드 사례 연구

Fatemehsadat Mirshafiee1, Emad Shahbazi 2, Mohadeseh Safi 3, Rituraj Rituraj 4,*
1Department of Electrical and Computer Engineering, K.N. Toosi University of Technology, Tehran 1999143344 , Iran
2Department of Mechatronic, Amirkabir University of Technology, Tehran 158754413, Iran
3Department of Mechatronic, Electrical and Computer Engineering, University of Tehran, Tehran 1416634793, Iran
4 Faculty of Informatics, Obuda University, 1023, Budapest, Hungary

  • Correspondence:


본 연구는 지속가능한 에너지 변환기의 전력 및 수소 발생 모델링을 위한 데이터 기반 방법론을 제안합니다. 파고와 풍속을 달리하여 파고와 수소생산을 예측합니다.

또한 이 연구는 파도에서 수소를 추출할 수 있는 가능성을 강조하고 장려합니다. FLOW-3D 소프트웨어 시뮬레이션에서 추출한 데이터와 해양 특수 테스트의 실험 데이터를 사용하여 두 가지 데이터 기반 학습 방법의 비교 분석을 수행합니다.

결과는 수소 생산의 양은 생성된 전력의 양에 비례한다는 것을 보여줍니다. 제안된 재생 에너지 변환기의 신뢰성은 지속 가능한 스마트 그리드 애플리케이션으로 추가로 논의됩니다.

This study proposes a data-driven methodology for modeling power and hydrogen generation of a sustainable energy converter. The wave and hydrogen production at different wave heights and wind speeds are predicted. Furthermore, this research emphasizes and encourages the possibility of extracting hydrogen from ocean waves. By using the extracted data from FLOW-3D software simulation and the experimental data from the special test in the ocean, the comparison analysis of two data-driven learning methods is conducted. The results show that the amount of hydrogen production is proportional to the amount of generated electrical power. The reliability of the proposed renewable energy converter is further discussed as a sustainable smart grid application.

Key words

Cavity, Combustion efficiency, hydrogen fuel, Computational Fluent and Gambit.

Figure 1. The process of power and hydrogen production with Searaser.
Figure 1. The process of power and hydrogen production with Searaser.
Figure 2. The cross-section A-A of the two essential parts of a Searaser
Figure 2. The cross-section A-A of the two essential parts of a Searaser
Figure 3. Different parts of a Searaser; 1) Buoy 2) Chamber 3) Valves 4) Generator 5) Anchor system
Figure 3. Different parts of a Searaser; 1) Buoy 2) Chamber 3) Valves 4) Generator 5) Anchor system
Figure 4. The boundary conditions of the control volume
Figure 4. The boundary conditions of the control volume
Figure 5. The wind velocity during the period of the experimental test
Figure 5. The wind velocity during the period of the experimental test


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Numerical Simulation of Local Scour Around Square Artificial Reef

사각 인공어초 주변 국지세굴 수치모의


인공어초(Artificial Reef, ARs)는 연안 어업 자원을 복원하고 생태 환경을 복원하기 위한 핵심 인공 구조물 중 하나입니다. 그러나 많은 AR이 세굴로 인해 안정성과 기능을 상실한 것으로 밝혀졌다. 

AR의 기능적 효과를 보장하기 위해서는 서로 다른 흐름 조건에서 세굴로 인한 매장과 같은 AR의 불안정성을 연구하는 것이 매우 중요합니다.

FLOW-3D에 의해 확립된 3차원 수치 모델은 정상류에서 AR 주변의 국부 세굴 특성을 연구하는 데 사용됩니다. RNG k-ε 난류 모델로 닫힌 RANS 방정식은 하나의 AR 주변의 안정적인 유동장을 시뮬레이션하기 위해 설정됩니다. 

시뮬레이션 결과는 이전 실험 결과와 비교되었으며 좋은 일치를 보여줍니다. 그 다음에, 세굴 특성, 평형 세굴 깊이 및 최대 세굴 체적에 대한 AR의 개구수 및 입사각의 영향을 조사하였다. 결과는 개구수가 증가함에 따라 세굴 깊이와 세굴 부피가 감소함을 나타냅니다. 

또한 수치적 결과를 바탕으로 AR의 개구수가 평형 세굴깊이와 최대 세굴량에 미치는 영향에 대한 실증식을 제시하였다. 입사각의 변화는 AR의 가장 상류 코너에서 베드 전단 응력의 변화에 ​​영향을 미칠 것입니다. 베드 전단 응력이 클수록 세굴이 더 강해집니다. 

본 연구는 증강현실의 최적화된 공학적 설계 및 구축을 위한 이론적 지원과 실질적인 지침을 제공할 것이다. 결과는 개구수가 증가함에 따라 세굴 깊이와 세굴 부피가 감소함을 나타냅니다. 또한 수치적 결과를 바탕으로 AR의 개구수가 평형 세굴깊이와 최대 세굴량에 미치는 영향에 대한 실증식을 제시하였다. 

입사각의 변화는 AR의 가장 상류 코너에서 베드 전단 응력의 변화에 ​​영향을 미칠 것입니다. 베드 전단 응력이 클수록 세굴이 더 강해집니다. 본 연구는 증강현실의 최적화된 공학적 설계 및 구축을 위한 이론적 지원과 실질적인 지침을 제공할 것이다. 

결과는 개구수가 증가함에 따라 세굴 깊이와 세굴 부피가 감소함을 나타냅니다. 또한 수치적 결과를 바탕으로 AR의 개구수가 평형 세굴깊이와 최대 세굴량에 미치는 영향에 대한 실증식을 제시하였다. 입사각의 변화는 AR의 가장 상류 코너에서 베드 전단 응력의 변화에 ​​영향을 미칠 것입니다. 

베드 전단 응력이 클수록 세굴이 더 강해집니다. 본 연구는 증강현실의 최적화된 공학적 설계 및 구축을 위한 이론적 지원과 실질적인 지침을 제공할 것이다. 입사각의 변화는 AR의 가장 상류 코너에서 베드 전단 응력의 변화에 ​​영향을 미칠 것입니다. 

베드 전단 응력이 클수록 세굴이 더 강해집니다. 본 연구는 증강현실의 최적화된 공학적 설계 및 구축을 위한 이론적 지원과 실질적인 지침을 제공할 것이다. 입사각의 변화는 AR의 가장 상류 코너에서 베드 전단 응력의 변화에 ​​영향을 미칠 것입니다. 베드 전단 응력이 클수록 세굴이 더 강해집니다. 

본 연구는 증강현실의 최적화된 공학적 설계 및 구축을 위한 이론적 지원과 실질적인 지침을 제공할 것이다.

Numerical Simulation of Local Scour Around Square Artificial Reef
Numerical Simulation of Local Scour Around Square Artificial Reef

Artificial reefs (ARs) are one of the key man-made constructs to restore the offshore fishery resources and recover the ecological environment. However, it is found that many ARs lost their stability and function due to scour. In order to ensure the functional effect of ARs, it is of great significance to study the instability of ARs, like burying caused by scour in different flow conditions. The three-dimensional numerical model established by FLOW-3D is used to study the local scour characteristics around the AR in steady currents. The RANS equations, closed with the RNG k-ε turbulence model, are established for simulating a stable flow field around one AR. The simulation results are compared with previous experimental results and shows good agreement. Then, the effect of the opening number and the incident angles of ARs on the scour characteristics, the equilibrium scour depth and maximum scour volume are investigated. The results indicate that the scour depth and scour volume decrease with the increasing opening number. Moreover, the empirical equations of the effect of the opening number of the AR on the equilibrium scour depth and maximum scour volume are proposed based on the numerical results. The change of the incident angles will affect the change of bed shear stress at the most upstream corner of the AR. The greater bed shear stress results in a more intense scour. This study will provide theoretical support, and practical guidance for the optimized engineering design and construction of ARs.

Mingda Yang,Yanli Tang,Fenfang Zhao,Shiji Xu,Guangjie Fang


인공 어초 수치 시뮬레이션 로컬 세굴 세굴 부피 개방 수 공격 각도,컴퓨터 시뮬레이션

Figure 3: Wave pattern at sea surface at 20 knots (10.29 m/s) for mesh 1

Flow-3D에서 CFD 시뮬레이션을 사용한 선박 저항 분석

Ship resistance analysis using CFD simulations in Flow-3D


Deshpande, SujaySundsbø, Per-ArneDas, Subhashis


선박의 동력 요구 사항을 설계할 때 고려해야 할 가장 중요한 요소는 선박 저항 또는 선박에 작용하는 항력입니다. 항력을 극복하는 데 필요한 동력이 추진 시스템의 ‘손실’에 기여하기 때문에 추진 시스템을 설계하는 동안 선박 저항을 추정하는 것이 중요합니다. 선박 저항을 계산하는 세 가지 주요 방법이 있습니다:

Holtrop-Mennen(HM) 방법과 같은 통계적 방법, 수치 분석 또는 CFD(전산 유체 역학) 시뮬레이션 및 모델 테스트, 즉 예인 탱크에서 축소된 모델 테스트. 설계 단계 초기에는 기본 선박 매개변수만 사용할 수 있을 때 HM 방법과 같은 통계 모델만 사용할 수 있습니다.

수치 해석/CFD 시뮬레이션 및 모델 테스트는 선박의 완전한 3D 설계가 완료된 경우에만 수행할 수 있습니다. 본 논문은 Flow-3D 소프트웨어 패키지를 사용하여 CFD 시뮬레이션을 사용하여 잔잔한 수상 선박 저항을 예측하는 것을 목표로 합니다.

롤온/롤오프 승객(RoPax) 페리에 대한 사례 연구를 조사했습니다. 선박 저항은 다양한 선박 속도에서 계산되었습니다. 메쉬는 모든 CFD 시뮬레이션의 결과에 영향을 미치기 때문에 메쉬 민감도를 확인하기 위해 여러 개의 메쉬가 사용되었습니다. 시뮬레이션의 결과를 HM 방법의 추정치와 비교했습니다.

시뮬레이션 결과는 낮은 선박 속도에 대한 HM 방법과 잘 일치했습니다. 더 높은 선속을 위한 HM 방법에 비해 결과의 차이가 상당히 컸다. 선박 저항 분석을 수행하는 Flow-3D의 기능이 시연되었습니다.

While designing the power requirements of a ship, the most important factor to be considered is the ship resistance, or the sea drag forces acting on the ship. It is important to have an estimate of the ship resistance while designing the propulsion system since the power required to overcome the sea drag forces contribute to ‘losses’ in the propulsion system. There are three main methods to calculate ship resistance: Statistical methods like the Holtrop-Mennen (HM) method, numerical analysis or CFD (Computational Fluid Dynamics) simulations, and model testing, i.e. scaled model tests in towing tanks. At the start of the design stage, when only basic ship parameters are available, only statistical models like the HM method can be used. Numerical analysis/ CFD simulations and model tests can be performed only when the complete 3D design of the ship is completed. The present paper aims at predicting the calm water ship resistance using CFD simulations, using the Flow-3D software package. A case study of a roll-on/roll-off passenger (RoPax) ferry was investigated. Ship resistance was calculated at various ship speeds. Since the mesh affects the results in any CFD simulation, multiple meshes were used to check the mesh sensitivity. The results from the simulations were compared with the estimate from the HM method. The results from simulations agreed well with the HM method for low ship speeds. The difference in the results was considerably high compared to the HM method for higher ship speeds. The capability of Flow-3D to perform ship resistance analysis was demonstrated.

Figure 1: Simplified ship geometry
Figure 1: Simplified ship geometry
Figure 3: Wave pattern at sea surface at 20 knots (10.29 m/s) for mesh 1
Figure 3: Wave pattern at sea surface at 20 knots (10.29 m/s) for mesh 1
Figure 4: Ship Resistance (kN) vs Ship Speed (knots)
Figure 4: Ship Resistance (kN) vs Ship Speed (knots)


International Society of Multiphysics


Deshpande SR, Sundsbø P, Das S. Ship resistance analysis using CFD simulations in Flow-3D. The International Journal of Multiphysics. 2020;14(3):227-236


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Figure 7. Comparison of Archimedean screw power performances P(W) for Q = 0.15 m3 /s and 0.30m3 /s and angles of orientation 22ο & 32ο .

CFD Simulations of Tubular Archimedean Screw Turbines Harnessing the Small Hydropotential of Greek Watercourses

Alkistis Stergiopoulou 1, Vassilios Stergiopoulos 2
1 Institut für Wasserwirtschaft, Hydrologie und Konstruktiven Wasserbau, B.O.K.U. University, Muthgasse 18, 1190 Vienna, (actually Senior Process Engineer at the VTU Engineering in Vienna, Zieglergasse 53/1/24, 1070 Vienna, Austria).2 School of Pedagogical and Technological Education, Department of Civil Engineering Educators, ASPETE Campus, Eirini Station, 15122 Amarousio, Athens, Greece.


이 논문은 최초의 아르키메데스 나사 터빈 CFD 모델링 결과에 대한 간략한 견해를 제시하며, 이는 “그리스에서 아르키메데스의 부활: 수리 역학 및 아르키메데스 달팽이관 물레방아의 유체역학적 거동 연구에 대한 기여”라는 제목의 최근 연구에서 수행되었습니다.
그리스 자연 및 기술 수로의 수력 잠재력”. Flow-3D 코드를 기반으로 하는 이 CFD 분석은 일반적인 TAST(Tubular Archimedean Screw Turbines)와 관련이 있으며 몇 TWh 정도의 그리스 자연 및 기술 수로의 중요한 미개발 수력 잠재력을 활용하는 연간 및 수천 MW 범위의 총 설치 용량인 소규모 수력 발전 시스템에 대한 몇 가지 유망한 성능을 보여줍니다.

This paper presents a short view of the first Archimedean Screw Turbines CFD modelling results, which were carried out within the recent research entitled “Rebirth of Archimedes in Greece: contribution to the study of hydraulic mechanics and hydrodynamic behavior of Archimedean cochlear waterwheels, for recovering the hydraulic potential of Greek natural and technical watercourses”. This CFD analysis, based to the Flow-3D code, concerns typical Tubular Archimedean Screw Turbines (TASTs) and shows some promising performances for such small hydropower systems harnessing the important unexploited hydraulic potential of natural and technical watercourses of Greece, of the order of several TWh / year and of a total installed capacity in the range of thousands MWs.


CFD; Flow-3D; TAST; Small Hydro; Renewable Energy; Greek Watercourses.

Figure 1. Photorealistic view of an inclined axis TAST (photo A. Stergiopoulou).
Figure 1. Photorealistic view of an inclined axis TAST (photo A. Stergiopoulou).
Figure 3. The spectrum of all the screw axis orientation cases.
Figure 3. The spectrum of all the screw axis orientation cases.
Figure 4. Creation of the 3bladed Archimedean Screw with Solidworks
Figure 4. Creation of the 3bladed Archimedean Screw with Solidworks
Figure 6. “Meshing & Geometry” tab Operations (Flow 3-D).
Figure 6. “Meshing & Geometry” tab Operations (Flow 3-D).
Figure 7. Comparison of Archimedean screw power performances P(W) for Q = 0.15 m3
/s and 0.30m3
and angles of orientation 22ο & 32ο
Figure 7. Comparison of Archimedean screw power performances P(W) for Q = 0.15 m3 /s and 0.30m3 /s and angles of orientation 22ο & 32ο .
Figure 12. Various performances of the Archimedean Screw (MKE/Mean Kinetic Energy, Torque,
Turbulent Kinetic Energy, Turbulent Dissipation) for flow discharge Q = 0.45 m3
/s and an angle of
orientation θ = 32ο
Figure 12. Various performances of the Archimedean Screw (MKE/Mean Kinetic Energy, Torque, Turbulent Kinetic Energy, Turbulent Dissipation) for flow discharge Q = 0.45 m3 /s and an angle of orientation θ = 32ο


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Figure 5. Schematic view of flap and support structure [32]

Design Optimization of Ocean Renewable Energy Converter Using a Combined Bi-level Metaheuristic Approach

결합된 Bi-level 메타휴리스틱 접근법을 사용한 해양 재생 에너지 변환기의 설계 최적화

Erfan Amini a1, Mahdieh Nasiri b1, Navid Salami Pargoo a, Zahra Mozhgani c, Danial Golbaz d, Mehrdad Baniesmaeil e, Meysam Majidi Nezhad f, Mehdi Neshat gj, Davide Astiaso Garcia h, Georgios Sylaios i


In recent years, there has been an increasing interest in renewable energies in view of the fact that fossil fuels are the leading cause of catastrophic environmental consequences. Ocean wave energy is a renewable energy source that is particularly prevalent in coastal areas. Since many countries have tremendous potential to extract this type of energy, a number of researchers have sought to determine certain effective factors on wave converters’ performance, with a primary emphasis on ambient factors. In this study, we used metaheuristic optimization methods to investigate the effects of geometric factors on the performance of an Oscillating Surge Wave Energy Converter (OSWEC), in addition to the effects of hydrodynamic parameters. To do so, we used CATIA software to model different geometries which were then inserted into a numerical model developed in Flow3D software. A Ribed-surface design of the converter’s flap is also introduced in this study to maximize wave-converter interaction. Besides, a Bi-level Hill Climbing Multi-Verse Optimization (HCMVO) method was also developed for this application. The results showed that the converter performs better with greater wave heights, flap freeboard heights, and shorter wave periods. Additionally, the added ribs led to more wave-converter interaction and better performance, while the distance between the flap and flume bed negatively impacted the performance. Finally, tracking the changes in the five-dimensional objective function revealed the optimum value for each parameter in all scenarios. This is achieved by the newly developed optimization algorithm, which is much faster than other existing cutting-edge metaheuristic approaches.


Wave Energy Converter


Hydrodynamic Effects

Geometric Design

Metaheuristic Optimization

Multi-Verse Optimizer


The increase in energy demand, the limitations of fossil fuels, as well as environmental crises, such as air pollution and global warming, are the leading causes of calling more attention to harvesting renewable energy recently [1][2][3]. While still in its infancy, ocean wave energy has neither reached commercial maturity nor technological convergence. In recent decades, remarkable progress has been made in the marine energy domain, which is still in the early stage of development, to improve the technology performance level (TPL) [4][5]and technology readiness level (TRL) of wave energy converters (WECs). This has been achieved using novel modeling techniques [6][7][8][9][10][11][12][13][14] to gain the following advantages [15]: (i) As a source of sustainable energy, it contributes to the mix of energy resources that leads to greater diversity and attractiveness for coastal cities and suppliers. [16] (ii) Since wave energy can be exploited offshore and does not require any land, in-land site selection would be less expensive and undesirable visual effects would be reduced. [17] (iii) When the best layout and location of offshore site are taken into account, permanent generation of energy will be feasible (as opposed to using solar energy, for example, which is time-dependent) [18].

In general, the energy conversion process can be divided into three stages in a WEC device, including primary, secondary, and tertiary stages [19][20]. In the first stage of energy conversion, which is the subject of this study, the wave power is converted to mechanical power by wave-structure interaction (WSI) between ocean waves and structures. Moreover, the mechanical power is transferred into electricity in the second stage, in which mechanical structures are coupled with power take-off systems (PTO). At this stage, optimal control strategies are useful to tune the system dynamics to maximize power output [10][13][12]. Furthermore, the tertiary energy conversion stage revolves around transferring the non-standard AC power into direct current (DC) power for energy storage or standard AC power for grid integration [21][22]. We discuss only the first stage regardless of the secondary and tertiary stages. While Page 1 of 16 WECs include several categories and technologies such as terminators, point absorbers, and attenuators [15][23], we focus on oscillating surge wave energy converters (OSWECs) in this paper due to its high capacity for industrialization [24].

Over the past two decades, a number of studies have been conducted to understand how OSWECs’ structures and interactions between ocean waves and flaps affect converters performance. Henry et al.’s experiment on oscillating surge wave energy converters is considered as one of the most influential pieces of research [25], which demonstrated how the performance of oscillating surge wave energy converters (OSWECs) is affected by seven different factors, including wave period, wave power, flap’s relative density, water depth, free-board of the flap, the gap between the tubes, gap underneath the flap, and flap width. These parameters were assessed in their two models in order to estimate the absorbed energy from incoming waves [26][27]. In addition, Folly et al. investigated the impact of water depth on the OSWECs performance analytically, numerically, and experimentally. According to this and further similar studies, the average annual incident wave power is significantly reduced by water depth. Based on the experimental results, both the surge wave force and the power capture of OSWECs increase in shallow water [28][29]. Following this, Sarkar et al. found that under such circumstances, the device that is located near the coast performs much better than those in the open ocean [30]. On the other hand, other studies are showing that the size of the converter, including height and width, is relatively independent of the location (within similar depth) [31]. Subsequently, Schmitt et al. studied OSWECs numerically and experimentally. In fact, for the simulation of OSWEC, OpenFOAM was used to test the applicability of Reynolds-averaged Navier-Stokes (RANS) solvers. Then, the experimental model reproduced the numerical results with satisfying accuracy [32]. In another influential study, Wang et al. numerically assessed the effect of OSWEC’s width on their performance. According to their findings, as converter width increases, its efficiency decreases in short wave periods while increases in long wave periods [33]. One of the main challenges in the analysis of the OSWEC is the coupled effect of hydrodynamic and geometric variables. As a result, numerous cutting-edge geometry studies have been performed in recent years in order to find the optimal structure that maximizes power output and minimizes costs. Garcia et al. reviewed hull geometry optimization studies in the literature in [19]. In addition, Guo and Ringwood surveyed geometric optimization methods to improve the hydrodynamic performance of OSWECs at the primary stage [14]. Besides, they classified the hull geometry of OSWECs based on Figure 1. Subsequently, Whittaker et al. proposed a different design of OSWEC called Oyster2. There have been three examples of different geometries of oysters with different water depths. Based on its water depth, they determined the width and height of the converter. They also found that in the constant wave period the less the converter’s width, the less power captures the converter has [34]. Afterward, O’Boyle et al. investigated a type of OSWEC called Oyster 800. They compared the experimental and numerical models with the prototype model. In order to precisely reproduce the shape, mass distribution, and buoyancy properties of the prototype, a 40th-scale experimental model has been designed. Overall, all the models were fairly accurate according to the results [35].

Inclusive analysis of recent research avenues in the area of flap geometry has revealed that the interaction-based designs of such converters are emerging as a novel approach. An initiative workflow is designed in the current study to maximizing the wave energy extrication by such systems. To begin with, a sensitivity analysis plays its role of determining the best hydrodynamic values for installing the converter’s flap. Then, all flap dimensions and characteristics come into play to finalize the primary model. Following, interactive designs is proposed to increase the influence of incident waves on the body by adding ribs on both sides of the flap as a novel design. Finally, a new bi-level metaheuristic method is proposed to consider the effects of simultaneous changes in ribs properties and other design parameters. We hope this novel approach will be utilized to make big-scale projects less costly and justifiable. The efficiency of the method is also compared with four well known metaheuristic algorithms and out weight them for this application.

This paper is organized as follows. First, the research methodology is introduced by providing details about the numerical model implementation. To that end, we first introduced the primary model’s geometry and software details. That primary model is later verified with a benchmark study with regard to the flap angle of rotation and water surface elevation. Then, governing equations and performance criteria are presented. In the third part of the paper, we discuss the model’s sensitivity to lower and upper parts width (we proposed a two cross-sectional design for the flap), bottom elevation, and freeboard. Finally, the novel optimization approach is introduced in the final part and compared with four recent metaheuristic algorithms.

2. Numerical Methods

In this section, after a brief introduction of the numerical software, Flow3D, boundary conditions are defined. Afterwards, the numerical model implementation, along with primary model properties are described. Finally, governing equations, as part of numerical process, are discussed.

2.1Model Setup

FLOW-3D is a powerful and comprehensive CFD simulation platform for studying fluid dynamics. This software has several modules to solve many complex engineering problems. In addition, modeling complex flows is simple and effective using FLOW-3D’s robust meshing capabilities [36]. Interaction between fluid and moving objects might alter the computational range. Dynamic meshes are used in our modeling to take these changes into account. At each time step, the computational node positions change in order to adapt the meshing area to the moving object. In addition, to choose mesh dimensions, some factors are taken into account such as computational accuracy, computational time, and stability. The final grid size is selected based on the detailed procedure provided in [37]. To that end, we performed grid-independence testing on a CFD model using three different mesh grid sizes of 0.01, 0.015, and 0.02 meters. The problem geometry and boundary conditions were defined the same, and simulations were run on all three grids under the same conditions. The predicted values of the relevant variable, such as velocity, was compared between the grids. The convergence behavior of the numerical solution was analyzed by calculating the relative L2 norm error between two consecutive grids. Based on the results obtained, it was found that the grid size of 0.02 meters showed the least error, indicating that it provided the most accurate and reliable solution among the three grids. Therefore, the grid size of 0.02 meters was selected as the optimal spatial resolution for the mesh grid.

In this work, the flume dimensions are 10 meters long, 0.1 meters wide, and 2.2 meters high, which are shown in figure2. In addition, input waves with linear characteristics have a height of 0.1 meters and a period of 1.4 seconds. Among the linear wave methods included in this software, RNGk-ε and k- ε are appropriate for turbulence model. The research of Lopez et al. shows that RNGk- ε provides the most accurate simulation of turbulence in OSWECs [21]. We use CATIA software to create the flap primary model and other innovative designs for this project. The flap measures 0.1 m x 0.65 m x 0.360 m in x, y and z directions, respectively. In Figure 3, the primary model of flap and its dimensions are shown. In this simulation, five boundaries have been defined, including 1. Inlet, 2. Outlet, 3. Converter flap, 4. Bed flume, and 5. Water surface, which are shown in figure 2. Besides, to avoid wave reflection in inlet and outlet zones, Flow3D is capable of defining some areas as damping zones, the length of which has to be one to one and a half times the wavelength. Therefore, in the model, this length is considered equal to 2 meters. Furthermore, there is no slip in all the boundaries. In other words, at every single time step, the fluid velocity is zero on the bed flume, while it is equal to the flap velocity on the converter flap. According to the wave theory defined in the software, at the inlet boundary, the water velocity is called from the wave speed to be fed into the model.


In the current study, we utilize the Schmitt experimental model as a benchmark for verification, which was developed at the Queen’s University of Belfast. The experiments were conducted on the flap of the converter, its rotation, and its interaction with the water surface. Thus, the details of the experiments are presented below based up on the experimental setup’s description [38]. In the experiment, the laboratory flume has a length of 20m and a width of 4.58m. Besides, in order to avoid incident wave reflection, a wave absorption source is devised at the end of the left flume. The flume bed, also, includes two parts with different slops. The flap position and dimensions of the flume can be seen in Figure4. In addition, a wave-maker with 6 paddles is installed at one end. At the opposite end, there is a beach with wire meshes. Additionally, there are 6 indicators to extract the water level elevation. In the flap model, there are three components: the fixed support structure, the hinge, and the flap. The flap measures 0.1m x 0.65m x 0.341m in x, y and z directions, respectively. In Figure5, the details are given [32]. The support structure consists of a 15 mm thick stainless steel base plate measuring 1m by 1.4m, which is screwed onto the bottom of the tank. The hinge is supported by three bearing blocks. There is a foam centerpiece on the front and back of the flap which is sandwiched between two PVC plates. Enabling changes of the flap, three metal fittings link the flap to the hinge. Moreover, in this experiment, the selected wave is generated based on sea wave data at scale 1:40. The wave height and the wave period are equal to 0.038 (m) and 2.0625 (s), respectively, which are tantamount to a wave with a period of 13 (s) and a height of 1.5 (m).

Two distinct graphs illustrate the numerical and experi-mental study results. Figure6 and Figure7 are denoting the angle of rotation of flap and surface elevation in computational and experimental models, respectively. The two figures roughly represent that the numerical and experimental models are a good match. However, for the purpose of verifying the match, we calculated the correlation coefficient (C) and root mean square error (RMSE). According to Figure6, correlation coefficient and RMSE are 0.998 and 0.003, respectively, and in Figure7 correlation coefficient and RMSE are respectively 0.999 and 0.001. Accordingly, there is a good match between the numerical and empirical models. It is worth mentioning that the small differences between the numerical and experimental outputs may be due to the error of the measuring devices and the calibration of the data collection devices.

Including continuity equation and momentum conserva- tion for incompressible fluid are given as [32][39]:(1)

where P represents the pressure, g denotes gravitational acceleration, u represents fluid velocity, and Di is damping coefficient. Likewise, the model uses the same equation. to calculate the fluid velocity in other directions as well. Considering the turbulence, we use the two-equation model of RNGK- ε. These equations are:

(3)��t(��)+����(����)=����[�eff�������]+��-��and(4)���(��)+����(����)=����[�eff�������]+�1�∗����-��2��2�Where �2� and �1� are constants. In addition, �� and �� represent the turbulent Prandtl number of � and k, respectively.

�� also denote the production of turbulent kinetic energy of k under the effect of velocity gradient, which is calculated as follows:(5)��=�eff[�����+�����]�����(6)�eff=�+��(7)�eff=�+��where � is molecular viscosity,�� represents turbulence viscosity, k denotes kinetic energy, and ∊∊ is energy dissipation rate. The values of constant coefficients in the two-equation RNGK ∊-∊ model is as shown in the Table 1 [40].Table 2.

Table 1. Constant coefficients in RNGK- model


Table 2. Flap properties

Joint height (m)0.476
Height of the center of mass (m)0.53
Weight (Kg)10.77

It is worth mentioning that the volume of fluid method is used to separate water and air phases in this software [41]. Below is the equation of this method [40].(8)����+����(���)=0where α and 1 − α are portion of water phase and air phase, respectively. As a weighting factor, each fluid phase portion is used to determine the mixture properties. Finally, using the following equations, we calculate the efficiency of converters [42][34][43]:(9)�=14|�|2�+�2+(�+�a)2(�n2-�2)2where �� represents natural frequency, I denotes the inertia of OSWEC, Ia is the added inertia, F is the complex wave force, and B denotes the hydrodynamic damping coefficient. Afterward, the capture factor of the converter is calculated by [44]:(10)��=�1/2��2����gw where �� represents the capture factor, which is the total efficiency of device per unit length of the wave crest at each time step [15], �� represent the dimensional amplitude of the incident wave, w is the flap’s width, and Cg is the group velocity of the incident wave, as below:(11)��=��0·121+2�0ℎsinh2�0ℎwhere �0 denotes the wave number, h is water depth, and H is the height of incident waves.

According to previous sections ∊,����-∊ modeling is used for all models simulated in this section. For this purpose, the empty boundary condition is used for flume walls. In order to preventing wave reflection at the inlet and outlet of the flume, the length of wave absorption is set to be at least one incident wavelength. In addition, the structured mesh is chosen, and the mesh dimensions are selected in two distinct directions. In each model, all grids have a length of 2 (cm) and a height of 1 (cm). Afterwards, as an input of the software for all of the models, we define the time step as 0.001 (s). Moreover, the run time of every simulation is 30 (s). As mentioned before, our primary model is Schmitt model, and the flap properties is given in table2. For all simulations, the flume measures 15 meters in length and 0.65 meters in width, and water depth is equal to 0.335 (m). The flap is also located 7 meters from the flume’s inlet.

Finally, in order to compare the results, the capture factor is calculated for each simulation and compared to the primary model. It is worth mentioning that capture factor refers to the ratio of absorbed wave energy to the input wave energy.

According to primary model simulation and due to the decreasing horizontal velocity with depth, the wave crest has the highest velocity. Considering the fact that the wave’s orbital velocity causes the flap to move, the contact between the upper edge of the flap and the incident wave can enhance its performance. Additionally, the numerical model shows that the dynamic pressure decreases as depth increases, and the hydrostatic pressure increases as depth increases.

To determine the OSWEC design, it is imperative to understand the correlation between the capture factor, wave period, and wave height. Therefore, as it is shown in Figure8, we plot the change in capture factor over the variations in wave period and wave height in 3D and 2D. In this diagram, the first axis features changes in wave period, the second axis displays changes in wave height, and the third axis depicts changes in capture factor. According to our wave properties in the numerical model, the wave period and wave height range from 2 to 14 seconds and 2 to 8 meters, respectively. This is due to the fact that the flap does not oscillate if the wave height is less than 2 (m), and it does not reverse if the wave height is more than 8 (m). In addition, with wave periods more than 14 (s), the wavelength would be so long that it would violate the deep-water conditions, and with wave periods less than 2 (s), the flap would not oscillate properly due to the shortness of wavelength. The results of simulation are shown in Figure 8. As it can be perceived from Figure 8, in a constant wave period, the capture factor is in direct proportion to the wave height. It is because of the fact that waves with more height have more energy to rotate the flap. Besides, in a constant wave height, the capture factor increases when the wave period increases, until a given wave period value. However, the capture factor falls after this point. These results are expected since the flap’s angular displacement is not high in lower wave periods, while the oscillating motion of that is not fast enough to activate the power take-off system in very high wave periods.

As is shown in Figure 9, we plot the change in capture factor over the variations in wave period (s) and water depth (m) in 3D. As it can be seen in this diagram, the first axis features changes in water depth (m), the second axis depicts the wave period (s), and the third axis displays OSWEC’s capture factor. The wave period ranges from 0 to 10 seconds based on our wave properties, which have been adopted from Schmitt’s model, while water depth ranges from 0 to 0.5 meters according to the flume and flap dimensions and laboratory limitations. According to Figure9, for any specific water depth, the capture factor increases in a varying rate when the wave period increases, until a given wave period value. However, the capture factor falls steadily after this point. In fact, the maximum capture factor occurs when the wave period is around 6 seconds. This trend is expected since, in a specific water depth, the flap cannot oscillate properly when the wavelength is too short. As the wave period increases, the flap can oscillate more easily, and consequently its capture factor increases. However, the capture factor drops in higher wave periods because the wavelength is too large to move the flap. Furthermore, in a constant wave period, by changing the water depth, the capture factor does not alter. In other words, the capture factor does not depend on the water depth when it is around its maximum value.

3Sensitivity Analysis

Based on previous studies, in addition to the flap design, the location of the flap relative to the water surface (freeboard) and its elevation relative to the flume bed (flap bottom elevation) play a significant role in extracting energy from the wave energy converter. This study measures the sensitivity of the model to various parameters related to the flap design including upper part width of the flap, lower part width of the flap, the freeboard, and the flap bottom elevation. Moreover, as a novel idea, we propose that the flap widths differ in the lower and upper parts. In Figure10, as an example, a flap with an upper thickness of 100 (mm) and a lower thickness of 50 (mm) and a flap with an upper thickness of 50 (mm) and a lower thickness of 100 (mm) are shown. The influence of such discrepancy between the widths of the upper and lower parts on the interaction between the wave and the flap, or in other words on the capture factor, is evaluated. To do so, other parameters are remained constant, such as the freeboard, the distance between the flap and the flume bed, and the wave properties.

In Figure11, models are simulated with distinct upper and lower widths. As it is clear in this figure, the first axis depicts the lower part width of the flap, the second axis indicates the upper part width of the flap, and the colors represent the capture factor values. Additionally, in order to consider a sufficient range of change, the flap thickness varies from half to double the value of the primary model for each part.

According to this study, the greater the discrepancy in these two parts, the lower the capture factor. It is on account of the fact that when the lower part of the flap is thicker than the upper part, and this thickness difference in these two parts is extremely conspicuous, the inertia against the motion is significant at zero degrees of rotation. Consequently, it is difficult to move the flap, which results in a low capture factor. Similarly, when the upper part of the flap is thicker than the lower part, and this thickness difference in these two parts is exceedingly noticeable, the inertia is so great that the flap can not reverse at the maximum degree of rotation. As the results indicate, the discrepancy can enhance the performance of the converter if the difference between these two parts is around 20%. As it is depicted in the Figure11, the capture factor reaches its own maximum amount, when the lower part thickness is from 5 to 6 (cm), and the upper part thickness is between 6 and 7 (cm). Consequently, as a result of this discrepancy, less material will be used, and therefore there will be less cost.

As illustrated in Figure12, this study examines the effects of freeboard (level difference between the flap top and water surface) and the flap bottom elevation (the distance between the flume bed and flap bottom) on the converter performance. In this diagram, the first axis demonstrates the freeboard and the second axis on the left side displays the flap bottom elevation, while the colors indicate the capture factor. In addition, the feasible range of freeboard is between -15 to 15 (cm) due to the limitation of the numerical model, so that we can take the wave slamming and the overtopping into consideration. Additionally, based on the Schmitt model and its scaled model of 1:40 of the base height, the flap bottom should be at least 9 (cm) high. Since the effect of surface waves is distributed over the depth of the flume, it is imperative to maintain a reasonable flap height exposed to incoming waves. Thus, the maximum flap bottom elevation is limited to 19 (cm). As the Figure12 pictures, at constant negative values of the freeboard, the capture factor is in inverse proportion with the flap bottom elevation, although slightly.

Furthermore, at constant positive values of the freeboard, the capture factor fluctuates as the flap bottom elevation decreases while it maintains an overall increasing trend. This is on account of the fact that increasing the flap bottom elevation creates turbulence flow behind the flap, which encumbers its rotation, as well as the fact that the flap surface has less interaction with the incoming waves. Furthermore, while keeping the flap bottom elevation constant, the capture factor increases by raising the freeboard. This is due to the fact that there is overtopping with adverse impacts on the converter performance when the freeboard is negative and the flap is under the water surface. Besides, increasing the freeboard makes the wave slam more vigorously, which improves the converter performance.

Adding ribs to the flap surface, as shown in Figure13, is a novel idea that is investigated in the next section. To achieve an optimized design for the proposed geometry of the flap, we determine the optimal number and dimensions of ribs based on the flap properties as our decision variables in the optimization process. As an example, Figure13 illustrates a flap with 3 ribs on each side with specific dimensions.

Figure14 shows the flow velocity field around the flap jointed to the flume bed. During the oscillation of the flap, the pressure on the upper and lower surfaces of the flap changes dynamically due to the changing angle of attack and the resulting change in the direction of fluid flow. As the flap moves upwards, the pressure on the upper surface decreases, and the pressure on the lower surface increases. Conversely, as the flap moves downwards, the pressure on the upper surface increases, and the pressure on the lower surface decreases. This results in a cyclic pressure variation around the flap. Under certain conditions, the pressure field around the flap can exhibit significant variations in magnitude and direction, forming vortices and other flow structures. These flow structures can affect the performance of the OSWEC by altering the lift and drag forces acting on the flap.

4Design Optimization

We consider optimizing the design parameters of the flap of converter using a nature-based swarm optimization method, that fall in the category of metaheuristic algorithms [45]. Accordingly, we choose four state-of-the-art algorithms to perform an optimization study. Then, based on their performances to achieve the highest capture factor, one of them will be chosen to be combined with the Hill Climb algorithm to carry out a local search. Therefore, in the remainder of this section, we discuss the search process of each algorithm and visualize their performance and convergence curve as they try to find the best values for decision variables.

4.1. Metaheuristic Approaches

As the first considered algorithm, the Gray Wolf Optimizer (GWO) algorithm simulates the natural leadership and hunting performance of gray wolves which tend to live in colonies. Hunters must obey the alpha wolf, the leader, who is responsible for hunting. Then, the beta wolf is at the second level of the gray wolf hierarchy. A subordinate of alpha wolf, beta stands under the command of the alpha. At the next level in this hierarchy, there are the delta wolves. They are subordinate to the alpha and beta wolves. This category of wolves includes scouts, sentinels, elders, hunters, and caretakers. In this ranking, omega wolves are at the bottom, having the lowest level and obeying all other wolves. They are also allowed to eat the prey just after others have eaten. Despite the fact that they seem less important than others, they are really central to the pack survival. Since, it has been shown that without omega wolves, the entire pack would experience some problems like fighting, violence, and frustration. In this simulation, there are three primary steps of hunting including searching, surrounding, and finally attacking the prey. Mathematically model of gray wolves’ hunting technique and their social hierarchy are applied in determined by optimization. this study. As mentioned before, gray wolves can locate their prey and surround them. The alpha wolf also leads the hunt. Assuming that the alpha, beta, and delta have more knowledge about prey locations, we can mathematically simulate gray wolf hunting behavior. Hence, in addition to saving the top three best solutions obtained so far, we compel the rest of the search agents (also the omegas) to adjust their positions based on the best search agent. Encircling behavior can be mathematically modeled by the following equations: [46].(12)�→=|�→·��→(�)-�→(�)|(13)�→(�+1)=��→(�)-�→·�→(14)�→=2.�2→(15)�→=2�→·�1→-�→Where �→indicates the position vector of gray wolf, ��→ defines the vector of prey, t indicates the current iteration, and �→and �→are coefficient vectors. To force the search agent to diverge from the prey, we use �→ with random values greater than 1 or less than -1. In addition, C→ contains random values in the range [0,2], and �→ 1 and �2→ are random vectors in [0,1]. The second considered technique is the Moth Flame Optimizer (MFO) algorithm. This method revolves around the moths’ navigation mechanism, which is realized by positioning themselves and maintaining a fixed angle relative to the moon while flying. This effective mechanism helps moths to fly in a straight path. However, when the source of light is artificial, maintaining an angle with the light leads to a spiral flying path towards the source that causes the moth’s death [47]. In MFO algorithm, moths and flames are both solutions. The moths are actual search agents that fly in hyper-dimensional space by changing their position vectors, and the flames are considered pins that moths drop when searching the search space [48]. The problem’s variables are the position of moths in the space. Each moth searches around a flame and updates it in case of finding a better solution. The fitness value is the return value of each moth’s fitness (objective) function. The position vector of each moth is passed to the fitness function, and the output of the fitness function is assigned to the corresponding moth. With this mechanism, a moth never loses its best solution [49]. Some attributes of this algorithm are as follows:

  • •It takes different values to converge moth in any point around the flame.
  • •Distance to the flame is lowered to be eventually minimized.
  • •When the position gets closer to the flame, the updated positions around the flame become more frequent.

As another method, the Multi-Verse Optimizer is based on a multiverse theory which proposes there are other universes besides the one in which we all live. According to this theory, there are more than one big bang in the universe, and each big bang leads to the birth of a new universe [50]. Multi-Verse Optimizer (MVO) is mainly inspired by three phenomena in cosmology: white holes, black holes, and wormholes. A white hole has never been observed in our universe, but physicists believe the big bang could be considered a white hole [51]. Black holes, which behave completely in contrast to white holes, attract everything including light beams with their extremely high gravitational force [52]. In the multiverse theory, wormholes are time and space tunnels that allow objects to move instantly between any two corners of a universe (or even simultaneously from one universe to another) [53]. Based on these three concepts, mathematical models are designed to perform exploration, exploitation, and local search, respectively. The concept of white and black holes is implied as an exploration phase, while the concept of wormholes is considered as an exploitation phase by MVO. Additionally, each solution is analogous to a universe, and each variable in the solution represents an object in that universe. Furthermore, each solution is assigned an inflation rate, and the time is used instead of iterations. Following are the universe rules in MVO:

  • •The possibility of having white hole increases with the inflation rate.
  • •The possibility of having black hole decreases with the inflation rate.
  • •Objects tend to pass through black holes more frequently in universes with lower inflation rates.
  • •Regardless of inflation rate, wormholes may cause objects in universes to move randomly towards the best universe. [54]

Modeling the white/black hole tunnels and exchanging objects of universes mathematically was accomplished by using the roulette wheel mechanism. With every iteration, the universes are sorted according to their inflation rates, then, based on the roulette wheel, the one with the white hole is selected as the local extremum solution. This is accomplished through the following steps:

Assume that


Where ��� represents the jth parameter of the ith universe, Ui indicates the ith universe, NI(Ui) is normalized inflation rate of the ith universe, r1 is a random number in [0,1], and j xk shows the jth parameter of the kth universe selected by a roulette wheel selection mechanism [54]. It is assumed that wormhole tunnels always exist between a universe and the best universe formed so far. This mechanism is as follows:(17)���=if�2<���:��+���×((���-���)×�4+���)�3<0.5��-���×((���-���)×�4+���)�3≥0.5����:���where Xj indicates the jth parameter of the best universe formed so far, TDR and WEP are coefficients, where Xj indicates the jth parameter of the best universelbjshows the lower bound of the jth variable, ubj is the upper bound of the jth variable, and r2, r3, and r4 are random numbers in [1][54].

Finally, one of the newest optimization algorithms is WOA. The WOA algorithm simulates the movement of prey and the whale’s discipline when looking for their prey. Among several species, Humpback whales have a specific method of hunting [55]. Humpback whales can recognize the location of prey and encircle it before hunting. The optimal design position in the search space is not known a priori, and the WOA algorithm assumes that the best candidate solution is either the target prey or close to the optimum. This foraging behavior is called the bubble-net feeding method. Two maneuvers are associated with bubbles: upward spirals and double loops. A unique behavior exhibited only by humpback whales is bubble-net feeding. In fact, The WOA algorithm starts with a set of random solutions. At each iteration, search agents update their positions for either a randomly chosen search agent or the best solution obtained so far [56][55]. When the best search agent is determined, the other search agents will attempt to update their positions toward that agent. It is important to note that humpback whales swim around their prey simultaneously in a circular, shrinking circle and along a spiral-shaped path. By using a mathematical model, the spiral bubble-net feeding maneuver is optimized. The following equation represents this behavior:(18)�→(�+1)=�′→·�bl·cos(2��)+�∗→(�)


X→(t+ 1) indicates the distance of the it h whale to the prey (best solution obtained so far),� is a constant for defining the shape of the logarithmic spiral, l is a random number in [−1, 1], and dot (.) is an element-by-element multiplication [55].

Comparing the four above-mentioned methods, simulations are run with 10 search agents for 400 iterations. In Figure 15, there are 20 plots the optimal values of different parameters in optimization algorithms. The five parameters of this study are freeboard, bottom elevations, number of ribs on the converter, rib thickness, and rib Height. The optimal value for each was found by optimization algorithms, naming WOA, MVO, MFO, and GWO. By looking through the first row, the freeboard parameter converges to its maximum possible value in the optimization process of GWO after 300 iterations. Similarly, MFO finds the same result as GWO. In contrast, the freeboard converges to its minimum possible value in MVO optimizing process, which indicates positioning the converter under the water. Furthermore, WOA found the optimal value of freeboard as around 0.02 after almost 200 iterations. In the second row, the bottom elevation is found at almost 0.11 (m) in all algorithms; however, the curves follow different trends in each algorithm. The third row shows the number of ribs, where results immediately reveal that it should be over 4. All algorithms coincide at 5 ribs as the optimal number in this process. The fourth row displays the trends of algorithms to find optimal rib thickness. MFO finds the optimal value early and sets it to around 0.022, while others find the same value in higher iterations. Finally, regarding the rib height, MVO, MFO, and GWO state that the optimal value is 0.06 meters, but WOA did not find a higher value than 0.039.

4.2. HCMVO Bi-level Approach

Despite several strong search characteristics of MVO and its high performance in various optimization problems, it suffers from a few deficiencies in local and global search mechanisms. For instance, it is trapped in the local optimum when wormholes stochastically generate many solutions near the best universe achieved throughout iterations, especially in solving complex multimodal problems with high dimensions [57]. Furthermore, MVO needs to be modified by an escaping strategy from the local optima to enhance the global search abilities. To address these shortages, we propose a fast and effective meta-algorithm (HCMVO) to combine MVO with a Random-restart hill-climbing local search. This meta-algorithm uses MVO on the upper level to develop global tracking and provide a range of feasible and proper solutions. The hill-climbing algorithm is designed to develop a comprehensive neighborhood search around the best-found solution proposed by the upper-level (MVO) when MVO is faced with a stagnation issue or falling into a local optimum. The performance threshold is formulated as follows.(20)Δ����THD=∑�=1�����TH��-����TH��-1�where BestTHDis the best-found solution per generation, andM is related to the domain of iterations to compute the average performance of MVO. If the proposed best solution by the local search is better than the initial one, the global best of MVO will be updated. HCMVO iteratively runs hill climbing when the performance of MVO goes down, each time with an initial condition to prepare for escaping such undesirable situations. In order to get a better balance between exploration and exploitation, the search step size linearly decreases as follows:(21)��=��-����Ma�iter��+1where iter and Maxiter are the current iteration and maximum number of evaluation, respectively. �� stands for the step size of the neighborhood search. Meanwhile, this strategy can improve the convergence rate of MVO compared with other algorithms.

Algorithm 1 shows the technical details of the proposed optimization method (HCMVO). The initial solution includes freeboard (�), bottom elevation (�), number of ribs (Nr), rib thickness (�), and rib height(�).

5. Conclusion

The high trend of diminishing worldwide energy resources has entailed a great crisis upon vulnerable societies. To withstand this effect, developing renewable energy technologies can open doors to a more reliable means, among which the wave energy converters will help the coastal residents and infrastructure. This paper set out to determine the optimized design for such devices that leads to the highest possible power output. The main goal of this research was to demonstrate the best design for an oscillating surge wave energy converter using a novel metaheuristic optimization algorithm. In this regard, the methodology was devised such that it argued the effects of influential parameters, including wave characteristics, WEC design, and interaction criteria.

To begin with, a numerical model was developed in Flow 3D software to simulate the response of the flap of a wave energy converter to incoming waves, followed by a validation study based upon a well-reputed experimental study to verify the accuracy of the model. Secondly, the hydrodynamics of the flap was investigated by incorporating the turbulence. The effect of depth, wave height, and wave period are also investigated in this part. The influence of two novel ideas on increasing the wave-converter interaction was then assessed: i) designing a flap with different widths in the upper and lower part, and ii) adding ribs on the surface of the flap. Finally, four trending single-objective metaheuristic optimization methods

Empty CellAlgorithm 1: Hill Climb Multiverse Optimization
01:procedure HCMVO
04:Initialize parameters�ER,�DR,�EP,Best�,���ite��▹Wormhole existence probability (WEP)
06:��=Normalize the inflation rate��
07:for iter in[1,⋯,���iter]do
13:White HoleIndex=Roulette�heelSelection(-��)
14:�(Black HoleIndex,�)=��(White HoleIndex,�)
15:end if
24:end if
25:end if
26:end for
27:end for
31:ifΔBestTHD<��then▹Perform hill climbing local search
33:end if
34:end for
35:return�,BestTHD▹Final configuration
36:end procedure

The implementation details of the hill-climbing algorithm applied in HCMPA can be seen in Algorithm 2. One of the critical parameters isg, which denotes the resolution of the neighborhood search around the proposed global best by MVO. If we set a small step size for hill-climbing, the convergence speed will be decreased. On the other hand, a large step size reinforces the exploration ability. Still, it may reduce the exploitation ability and in return increase the act of jumping from a global optimum or surfaces with high-potential solutions. Per each decision variable, the neighborhood search evaluates two different direct searches, incremental or decremental. After assessing the generated solutions, the best candidate will be selected to iterate the search algorithm. It is noted that the hill-climbing algorithm should not be applied in the initial iteration of the optimization process due to the immense tendency for converging to local optima. Meanwhile, for optimizing largescale problems, hill-climbing is not an appropriate selection. In order to improve understanding of the proposed hybrid optimization algorithm’s steps, the flowchart of HCMVO is designed and can be seen in Figure 16.

Figure 17 shows the observed capture factor (which is the absorbed energy with respect to the available energy) by each optimization algorithm from iterations 1 to 400. The algorithms use ten search agents in their modified codes to find the optimal solutions. While GWO and MFO remain roughly constant after iterations 54 and 40, the other three algorithms keep improving the capture factor. In this case, HCMVO and MVO worked very well in the optimizing process with a capture factor obtained by the former as 0.594 and by the latter as 0.593. MFO almost found its highest value before the iteration 50, which means the exploration part of the algorithm works out well. Similarly, HCMVO does the same. However, it keeps finding the better solution during the optimization process until the last iteration, indicating the strong exploitation part of the algorithm. GWO reveals a weakness in exploration and exploitation because not only does it evoke the least capture factor value, but also the curve remains almost unchanged throughout 350 iterations.

Figure 18 illustrates complex interactions between the five optimization parameters and the capture factor for HCMVO (a), MPA (b), and MFO (c) algorithms. The first interesting observation is that there is a high level of nonlinear relationships among the setting parameters that can make a multi-modal search space. The dark blue lines represent the best-found configuration throughout the optimisation process. Based on both HCMVO (a) and MVO (b), we can infer that the dark blue lines concentrate in a specific range, showing the high convergence ability of both HCMVO and MVO. However, MFO (c) could not find the exact optimal range of the decision variables, and the best-found solutions per generation distribute mostly all around the search space.

Empty CellAlgorithm 1: Hill Climb Multiverse Optimization
01:procedure HCMVO
03:Initialize the constraints��1�,��1�
04:�1�=Mi�1�+���1�/�▹Compute the step size,�is search resolution
07:Main loop
08:for iter≤���ita=do
13:t = t+1
14:end while
18:end for
20:end procedure

were utilized to illuminate the optimum values of the design parameters, and the best method was chosen to develop a new algorithm that performs both local and global search methods.

The correlation between hydrodynamic parameters and the capture factor of the converter was supported by the results. For any given water depth, the capture factor increases as the wave period increases, until a certain wave period value (6 seconds) is reached, after which the capture factor gradually decreases. It is expected since the flap cannot oscillate effectively when the wavelength is too short for a certain water depth. Conversely, when the wavelength is too long, the capture factor decreases. Furthermore, under a constant wave period, increasing the water depth does not affect the capture factor. Regarding the sensitivity analysis, the study found that increasing the flap bottom elevation causes turbulence flow behind the flap and limitation of rotation, which leads to less interaction with the incoming waves. Furthermore, while keeping the flap bottom elevation constant, increasing the freeboard improves the capture factor. Overtopping happens when the freeboard is negative and the flap is below the water surface, which has a detrimental influence on converter performance. Furthermore, raising the freeboard causes the wave impact to become more violent, which increases converter performance.

In the last part, we discussed the search process of each algorithm and visualized their performance and convergence curves as they try to find the best values for decision variables. Among the four selected metaheuristic algorithms, the Multi-verse Optimizer proved to be the most effective in achieving the best answer in terms of the WEC capture factor. However, the MVO needed modifications regarding its escape approach from the local optima in order to improve its global search capabilities. To overcome these constraints, we presented a fast and efficient meta-algorithm (HCMVO) that combines MVO with a Random-restart hill-climbing local search. On a higher level, this meta-algorithm employed MVO to generate global tracking and present a range of possible and appropriate solutions. Taken together, the results demonstrated that there is a significant degree of nonlinearity among the setup parameters that might result in a multimodal search space. Since MVO was faced with a stagnation issue or fell into a local optimum, we constructed a complete neighborhood search around the best-found solution offered by the upper level. In sum, the newly-developed algorithm proved to be highly effective for the problem compared to other similar optimization methods. The strength of the current findings may encourage future investigation on design optimization of wave energy converters using developed geometry as well as the novel approach.

CRediT authorship contribution statement

Erfan Amini: Conceptualization, Methodology, Validation, Data curation, Writing – original draft, Writing – review & editing, Visualization. Mahdieh Nasiri: Conceptualization, Methodology, Validation, Data curation, Writing – original draft, Writing – review & editing, Visualization. Navid Salami Pargoo: Writing – original draft, Writing – review & editing. Zahra Mozhgani: Conceptualization, Methodology. Danial Golbaz: Writing – original draft. Mehrdad Baniesmaeil: Writing – original draft. Meysam Majidi Nezhad: . Mehdi Neshat: Supervision, Conceptualization, Writing – original draft, Writing – review & editing, Visualization. Davide Astiaso Garcia: Supervision. Georgios Sylaios: Supervision.

Declaration of Competing Interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.


This research has been carried out within ILIAD (Inte-grated Digital Framework for Comprehensive Maritime Data and Information Services) project that received funding from the European Union’s H2020 programme.

Data availability

Data will be made available on request.