Journal of Cleaner Production 195 (2018) 562e572

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Journal of Cleaner Production

journal homepage: www.elsevier.com/locate/jclepro

Deriving operating rules for a large-scale hydro-photovoltaic power

system using implicit stochastic optimization
Zhikai Yang a, b, Pan Liu a, b, *, Lei Cheng a, b, Hao Wang a, c, Bo Ming a, b, Wenting Gong a, b
a
State Key Laboratory of Water Resources and Hydropower Engineering Science, Wuhan University, Wuhan 430072, China
b
Hubei Provincial Collaborative Innovation Center for Water Resources Security, Wuhan 430072, China
c
China Institute of Water Resources and Hydropower Research, Beijing 100038, China

a r t i c l e i n f o a b s t r a c t

Article history: Complementary operation is a new effective way to simultaneously manage hydropower and photo-
Received 3 March 2018 voltaic (PV) power. With the integration of a PV power into an existing hydropower reservoir system, the
Received in revised form original operating rules need to be re-designed to improve operational performance. This study focuses
16 May 2018
on exploring long-term operating rules for such an integrated system using implicit stochastic optimi-
Accepted 19 May 2018
Available online 23 May 2018
zation, which can address uncertainties in reservoir inflow and PV power. First, a long-term multi-
objective optimization model for this system is established by maximizing the total energy production
and assurance rate (i.e., reliability) simultaneously. The model is then solved using a dynamic pro-
Keywords:
Renewable energy
gramming technique. Operating rules are derived from the obtained optimal trajectory using a linear
Hydro/photovoltaic hybrid power system fitting method. Finally, a simulation-based optimization framework is used to refine the parameters of
Operating rules these rules. Our case study based on China's Longyangxia hybrid power system shows that: (1) a sig-
Implicit stochastic optimization nificant linear correlation between available energy and reservoir storage at the end of each time period,
with fitting correlation coefficients above 0.9 for each month. Therefore, the available energy and
reservoir storage at the end of each time period are selected, respectively, as independent variables and
decision variables in the operating rules; (2) an improved average annual energy production and
assurance rate are obtained for the hybrid system when considering complementary operations; and (3)
the derived operating rules are effective in improving system benefits when compared with conventional
operation. These findings are helpful to offer guidelines for the effective operation of the hydro/PV hybrid
power system.
© 2018 Elsevier Ltd. All rights reserved.

1. Introduction conditions, and inherently stability in supply is poor. Therefore,

The global energy crisis is an international problem arising from
the rapid development of the world economy and its growing de-
mand for energy. The extensive use of fossil fuels has resulted in
environmental deterioration, threatening the sustainable devel-
opment of human society (Chen and Chen, 2015). Development of
clean renewable energy is therefore a global priority (Barbosa et al.,
2017; Farfan and Breyer, 2017). Solar energy is inexhaustible,
globally distributed, clean and environmentally friendly, making it
an ideal renewable energy resource (En, 2004; Kannan and
Vakeesan, 2016). However, solar energy depends on the weather
* Corresponding author. State Key Laboratory of Water Resources and Hydro-
power Engineering Science, Wuhan University, Wuhan 430072, China.
E-mail address: liupan@whu.edu.cn (P. Liu).
solar energy sources should be paired with alternative forms of
energy sources that can balance demand rapidly. Hydropower is
another source of renewable energy that not only provides stable
power supply but also provides peaking capabilities (Chang et al.,
2017; Kaldellis, 2007). Hydropower turbines can quickly start and
stop power production, enabling the hydropower plant to match
time-varying demand. Specifically, the ramp rate can be as high as
20%e30% per minute of plant's installed capacity, with the peaking
capacity close to the rated capacity of the plant (Feng et al., 2018;
Kong et al., 2017). Hydropower can therefore complement photo-
voltaic (PV) power generation, an opportunity that has led to the
recent construction of numerous hydro/PV hybrid power systems.
In a hydro/PV hybrid power system, hydropower can compen-
sate for PV power during periods of limited solar resources, and vice
versa with electricity during dry seasons (An et al., 2015). The hy-
dropower station acts as a fallback for the PV system; when PV

https://doi.org/10.1016/j.jclepro.2018.05.154
0959-6526/© 2018 Elsevier Ltd. All rights reserved.
 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572 563

Nomenclature Qin ðtÞ reservoir inflow (m3/s)

Qfd ðtÞ average reservoir release passing through the
hydraulic turbines (m3/s)
Abbreviations Qqs ðtÞ water spillage (m3/s)
CORR correlation coefficient Q min ðtÞ Lower limits for downstream discharge (m3/s)
DP dynamic programming Q max ðtÞ upper limits for downstream discharge (m3/s)
Hydro Hydropower RðTÞ system generation reliability
PV photovoltaic Rt actual intensity of solar radiation (kW/m2)
PSO parameterization-simulation-optimization Rb intensity of solar radiation under standard test
conditions (1 kW/m2)
Indices SðtÞ stored energy potential at the beginning of the t th
k index of months (1, …,12) period
t index of time periods (1, …,672) Ss ðtÞ stored energy potential of hydropower
DTðtÞ time step (e.g., one month)
Parameters/Variables T total number of time periods
ak 、bk operating rules parameters Tc actual temperature of solar cell modules ( C)
E* ðtÞ½VðtÞ  maximum cumulative power output from 1st period Tb temperature of the solar cell modules under standard
to t th period test conditions (25  C)
EðTÞ system's total generation (kWh) VðtÞ reservoir storage (m3)
EðtÞ½VðtÞ; Qfd ðtÞ average output in t th period V min ðt þ 1Þ lower limits for reservoir storage (m3)
DHðtÞ net head (m) V max ðt þ 1Þ upper limits for reservoir storage (m3)
Hlose ðtÞ water head lose (m) b ðtÞ
X k independent variables
IðtÞ total system input of potential energy
Xp rated power output of PV station (kW)
P ps ðtÞ system's total power output (kW)
b ðt þ 1Þ
Y decision variables
P p ðtÞ power output of the PV (kW) k

P s ðtÞ power output of the hydropower (kW) Zup ðtÞ average fore-bay water level (m)
Zdown ðtÞ average tail-race water level (m)
P smin ðtÞ lower limits for hydropower output (kW)
a penalty coefficient
P smax ðtÞ upper limits for hydropower output (kW)
ap power output temperature coefficient of the solar cell
PA limit imposed by transmission system (kW)
ps modules (0.35%/ C)
Pfirm ðtÞ required output minimum (kW)

output is not stable or sufficient, the hydropower station can
rapidly adjust its power output to guarantee sufficient supply.
Hydropower generation capacity depends mainly on the amount of
runoff, which varies from year to year. The monsoonal climate of
China also creates seasonal variation, with higher runoff during the
summer flood season. In contrast, the inter-annual fluctuation of PV
power generation is small, this generation being higher in winter
and spring, Thus, PV and hydropower are complementary in their
electricity generation. Specifically, hydropower can compensate
short-term fluctuations in PV output, and PV can compensate for
long-term fluctuations in hydropower capacity/output.
Previous studies on the hydro/PV hybrid power system have
explored its feasibility in the planning stage. For example, Dujardin
et al. (2017) presented a set of calculations showing that hydro-
power can effectively complement intermittent energy sources.
Bekele and Tadesse (2012) studied the feasibility of small-scale
hydro/PV/wind-based hybrid electric supply systems in remote
areas of Ethiopia, where they identified the component size of
every energy source. For small hydropower plants, wind farms, and
PV panels in Brazil, de Oliveira Costa Souza Rosa et al. (2017)
assessed the potential of complementarity, using Pearson correla-
tion coefficients and linear programming to comprehend and
optimize the renewable mix. Daily complementarity was observed
among the energy sources considered, especially between hydro-
power and solar resources. Beluco et al. (2012) proposed a theo-
retical performance limit for power plants as well as a method for
the determination of this limit using computer simulations with
idealized energy availability functions. They also used the method
to study the effect over time of different degrees of
complementarity in energy resources on the performance of hydro/
PV plants. From observations, the smallest failure indexes indi-
cating the available energy supply to consumers are associated
with the best complementary indexes over time. To determine the
optimal size of a plant for integration, in Ming et al. (2017c), a
nesting model was developed that incorporated both long- and
short-term operating decisions in estimating delivered PV energy.
The model was applied to determine the optimal size of a utility-
scale PV plant for integration with a hydropower plant using
cost-benefit analysis and considering variations in downstream
water levels. Izadyar et al. (2016) proposed a list of potential areas
concerning techno-economic factors, to design and install best
combinations of hybrid renewable energy system.
An effective energy management scheme is highly desirable for
a hydro/PV hybrid power system. Conventionally, operating rules
are widely used for hydropower operations. Specify operational
decisions (e.g., power output, release) as a function of appropriate
available information that includes current power storage, reser-
voir inflow and other hydro-meteorological conditions (Liu et al.,
2006). Both single hydropower systems and single PV systems
have been widely researched. For hydropower systems, various
management schemes have been used to provide guidelines for
reservoir releases, such as the operating rules and rule curves, to
maintain the sustainability of reservoirs (Kaldellis, 2008; Ogayar
et al., 2009; Zhou et al., 2015) For PV systems, optimal dispatches
have been addressed in many studies using management models,
such as a systematic model and an optimization model (Aghay
Kaboli et al., 2017; Goroohi Sardou et al., 2018; Modiri-Delshad
et al., 2016). Several studies have focused on the management of
564 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572

existing hydro/PV hybrid system. Meshram et al. (2013) proposed

an energy management system to improve hybrid system power
quality and to control the power distribution among the power
generating systems, resulting in an energy management system
control strategy that is suitable for implementation in remote or
rural areas. Li and Qiu (2016) proposed a multi-objective optimi-
zation model for a hydro/PV hybrid power system taking into ac-
count the smoothness of the power output process and the total
annual combined power generation. However, the study only
simulated the hydro/PV hybrid power system in five typical years
with deterministic inflow and PV inputs, and did not provide
operating rules to make operational decisions for the hybrid
system.
Reservoir long-term operating rules are often derived using
implicit stochastic optimization (ISO), which employs a determin-
istic optimization model to operate the system under different
inflow scenarios. It then develops the operating rules for the
reservoir based on the optimal trajectory (Celeste and Billib, 2009;
Liu et al., 2014; Rani and Moreira, 2009; Zhang et al., 2017b). ISO is
able to take the uncertainties of inflows into account in an implicit
way and provide operating rules in an arguably simpler way
(Celeste and Billib, 2009). For this reason, ISO has become one of the
Fig. 1. Outline of the methodology.
most reliable methods for deriving operating rules, which might be
more popular to operators who are skeptical to use complex opti-
mization approaches as a replacement to easier-to-understand
simulation procedures (Celeste and Billib, 2012).
With the construction of new large-scale hydro/PV hybrid po- 2.1. Deterministic hydro/PV hybrid power system optimization
wer systems, attention should focus on improving the operational model
efficiency. The original reservoir operating rules need to be re-
designed in pursuit of better operational performance, particu- For reservoir operations, optimal trajectory with deterministic
larly with the integration of PV power into the existing hydropower inflow is essential for the derivation of operating rules using a
reservoir system. Selecting the functional form for operating rules fitting method (Bhaskar and Elbert. Whitlatch, 1980; Zhang et al.,
has turned out to be a challenge to derive (Zhou et al., 2015). 2015). Similarly, optimal trajectory of a hydro/PV hybrid power
Effective forms of operating rules for a hydro/PV hybrid power system is used to derive the joint operating rules. Thus, in the
system are as yet unknown, and their independent and decision following, a deterministic optimization model is established using
variables are difficult to determine. Therefore, this paper uses ISO to objective functions and constraints. In what follows, “system” shall
investigate the operating rules related to complementary man- refer to hydro/PV hybrid power system unless otherwise stated.
agement of hydropower and PV power plants.
The remainder of this paper is organized as follows: Section 2
describes the deterministic optimization model of the hydro/PV
hybrid power system, a solution of the model, and the resulting
linear operating rules. Section 3 discusses the application of this 2.1.1. Objective functions
method in a case study based on the Longyangxia hydro/PV hybrid Economy and reliability are the twin goals of a system's opera-
power system. Section 4 derives the operating rules from the tion and management. The maximization of its total power gen-
optimal trajectory, and compares the six operating scenarios before eration is an important operational objective. At the same time, the
and after the implementation of complementary. Section 5 draws power output is expected to provide reliability over the power grid.
conclusions and discusses implications. Therefore, the dual objectives for optimization are the generation
and reliability of the system as a whole,

2. Methodology (1) Objective 1: maximize the total generation output of the

system
The proposed methodology for deriving hydro/PV hybrid power
system operating rules (Fig. 1) consists of three steps: X
T
EðTÞ ¼ max ½P ps ðtÞ  DTðtÞ
t¼1
(1) Developing an optimal hydro/PV hybrid power system T h  i (1)
X
model: in this regard, a deterministic optimization model is ¼ max P ðtÞ þ P S ðtÞ  DTðtÞ
p
established with two objective functions (Section 2.1). t¼1
(2) Solving the model: using a dynamic programming (DP)
technique to find a solution and its optimal trajectory is where EðTÞ denotes the system's total generation (kWh), T denotes
obtained (Section 2.2). the total number of time periods, P ps ðtÞ denotes the system's total
(3) Deriving linear operating rules: independent and decision power output in the tth period (kW), P p ðtÞ and P s ðtÞ denote the
variables are selected using a cross-correlation analysis, then power output (kW) of the PV and hydropower in the tth period,
the operating rules are derived using a linear fitting method respectively, and DTðtÞ denotes the time step (e.g., one month).
and parameterization-simulation-optimization (PSO) (Sec-
tion 2.3). (2) Objective 2: maximize the reliability of the system's output
 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572 565

 
ps
# P ps ðtÞ  Pfirm ðtÞ P smin ðtÞ  P s ðtÞ  P smax ðtÞ (9)
RðTÞ ¼ max (2)
T

where RðTÞ denotes the system generation reliability, and
ps
# ðP ps ðtÞ  Pfirm ðtÞÞ accounts the total number of time periods
during which the system power output P ps ðtÞ is equals or exceeds
ps
the required output minimum Pfirm ðtÞ.
2.1.2. Calculation of power generation
The power output is calculated as follows:
(1) hydropower generation: the hydropower output is calcu-
lated from
P s ðtÞ ¼ KQfd ðtÞDHðtÞ
where K denotes the comprehensive output coefficient of the hy-
dropower station (dimensionless), Qfd ðtÞ denotes the average
reservoir release passing through the hydraulic turbines in the tth
period (m3/s), and DHðtÞ denotes the net head of the hydropower
station in the tth period (m), which is obtained from
DHðtÞ ¼ Zup ðtÞ  Zdown ðtÞ  Hlose ðtÞ
where Zup ðtÞ denotes the average fore-bay water level in the tth
period (m), Zdown ðtÞ denotes the average tail-race water level in the
tth period (m), and Hlose ðtÞ denotes the water head lose in the tth
period (m).
(2) PV generation: the PV power output is calculated based on a
model developed by National Renewable Energy Laboratory (Li and
Qiu, 2016), using the formula
 
Rt  
P p ðtÞ ¼ Xp 1 þ ap ðTc  Tb Þ
Rb
where Xp denotes the rated power output of the PV station (kW), Rt
denotes the actual intensity of solar radiation (kW=m2 ), Rb denotes
the intensity of solar radiation under standard test conditions
(1kW=m2 ), ap denotes the power output temperature coefficient of
the solar cell modules (0.35%/ C), Tc denotes the actual temper-
ature of the solar cell modules ( C), and Tb denotes the temperature
of the solar cell modules under standard test conditions (25  C).
2.1.3. Constraints
The following operational constraints are taken into consider-
ation in the system's optimization model.
(1) Water balance equation:
h i
Vðt þ 1Þ ¼ VðtÞ þ Qin ðtÞ  Qfd ðtÞ  Qqs ðtÞ  DTðtÞ
(5) Transmission system constraints:
P ps ðtÞ  P A (10)
where VðtÞ and Vðt þ 1Þ denote the reservoir storage at the
beginning and end of the tth period, respectively (m3), Qin ðtÞ de-
notes the reservoir inflow in the tth period (m3/s), Qfd ðtÞ denotes
the average reservoir release passing through the hydraulic tur-
bines in the t th period (m3/s), Qqs ðtÞ denotes the water spillage in
the tth period (m3/s), V min ðt þ 1Þ and V max ðt þ 1Þ are the lower and
upper limits for reservoir storage in the tth period, respectively
(m3), Q min ðtÞ and Q max ðtÞ denote the lower and upper limits for
(3) downstream river discharge, respectively (m3/s), P smin ðtÞ and
P smax ðtÞ denote the lower and upper limits for hydropower output,
respectively (kW), and P A denotes the limit imposed by the trans-
mission system (kW).
2.2. Method of solution
(4)
A proper optimization method is important in resolving system-
operation problems (Ming et al., 2017a). As a multi-objective opti-
mization mathematical model, the model is solved more easily as a
single-objective problem by integrating Eqs. (1) and (2) (Liu et al.,
2011b),
X
T
EðTÞ ¼ max f½P ps ðtÞ þ gðP ps ðtÞÞ  DTðtÞg (11)
t¼1
where gðP ps ðtÞÞ is the penalty function defined as
(5)
8   
< a P s ðtÞ  P ps ðtÞ  P p ðtÞ ; P ps ðtÞ < P ps ðtÞ
ps firm firm
gðP ðtÞÞ ¼
: 0; P ps ðtÞ  P ps ðtÞ
firm
(12)
with a denotes the penalty coefficient, which is adjusted to ensure
that the assurance rate meets the specified requirement. Typically,
when the overall output is lower than the required minimum
output, the hydropower generation is used to compensate deficits
from the PV station so as to adjust the overall output of the system
needed to meet the output requirement. Therefore, the form of
penalty function is as above.
This deterministic operation model is a multi-stage problem,
which can be solved by DP (Labadie, 2004; Liu et al., 2006). Ac-
cording to the multi-stage decision-making principle, the recursive
(6) equations are

8 * h h i i
*
< E ðtÞ½VðtÞ  ¼ max EðtÞ VðtÞ; Qfd ðtÞ þ E ðt þ 1Þ½Vðt þ 1Þ 
Qfd 2DðtÞ
(2) Water storage capacity constraints:
: h i
Vðt þ 1Þ ¼ VðtÞ þ Qin ðtÞ  Qfd ðtÞ  Qqs ðtÞ  ΔTðtÞ
V min ðt þ 1Þ  Vðt þ 1Þ  V max ðt þ 1Þ (7)
(13)

(3) Water release constraints: where E* ðtÞ½VðtÞ  denotes the maximum cumulative power output
from the 1st period to the tth period (kWh), EðtÞ½VðtÞ; Qfd ðtÞ de-
Q min ðtÞ  Qfd ðtÞ þ Qqs ðtÞ  Q max ðtÞ (8) notes the average output in the tth period (kWh). The objective
function is calculated from the Tth period to the 1st period by the
DP technique using the above equation, from which the optimal
(4) Power output constraints: trajectory is obtained.
566 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572
2.3. Operating rules derivation
Independent and decision variables constitute the basic frame-
work of operating rules. Depending on the selected variables, these
rules can be divided into those related to energy and those related
to water. Their proper selection is of great importance for model
accuracy (Chang-Ming et al., 2010; Zhou et al., 2015). In a hydro/PV
hybrid power system, energy inputs consists of those related to
hydropower generation and PV generation. To enable the direct
comparison of different quantities, the inflow and water storage
capacity of the hydropower station can be expressed in the form of
their energy potential.
2.3.1. Transformation to potential energy
(1) The input of potential energy during the time period
Assuming other water uses are negligible, the total system input
of potential energy during the tth period can be written as
IðtÞ ¼ KQin ðtÞDHðtÞDTðtÞ þ P p ðtÞDTðtÞ (14)
The first term on the right side of this equation is the total po-
tential energy that is theoretically generated by the hydropower
plant, whereas the second term refers to the input of energy during
the tth period of the PV plant.
(2) The initial total potential energy stored at the beginning of
the time period
The system can only store hydropower energy potential, in the
form of a water reservoir; the PV power cannot be stored with large
scale. The stored energy potential at the beginning of the tth period
depends on the amount of water stored in the hydropower reser-
voir at the beginning of the time period and is calculated using
h i
SðtÞ ¼ Ss ðtÞ ¼ K VðtÞ  V min ðtÞ DH0 ðtÞ (15)
2.3.2. Cross-correlation analysis of variables
According to the optimal trajectory, variables that affect system
operation need to be identified. Variables that were considered are:
available energy, available water, reservoir storage, water release,
power output, reservoir water level. A correlation analysis of vari-
ables was performed to select independent variables and identify
decision variables for the operating rules. To quantify the correla-
tion between variables mathematically, a statistical measure called
the correlation coefficient (CORR) was calculated. In this study,
CORR uses the Pearson correlation coefficient. To analyze efficiently
the correlation between multivariate, a cross-correlation analysis of
variables was used to select independent and decision variables of
operating rules.
2.3.3. Fitting operating rules
The operating rules can be derived by a fitting method (Soltani
et al., 2010; Wang et al., 2011), and is used here because of its ease
of implementation. Widely used linear operating rules for a single
reservoir are adopted (Liu et al., 2014; Stedinger, 1984); these are
the simplest and effective in improving reservoir performance
(Feng et al., 2017; Liu et al., 2011a). In addition, linear operating
rules are as good as or even better than nonlinear operating rules in
many cases (Bhaskar and Elbert. Whitlatch, 1980; He et al., 2018).
Therefore, the initial form of the operating rules is expressed as
Y b ðtÞ þ b ; k ¼ 1; 2; /; 12
b ðt þ 1Þ ¼ a  X (16)
k k k k
where k indexes the month; ak and bk denote the operating rules
parameters to be determined in the above regression equation by
b ðt þ 1Þ denotes the decision variables at the
the fitting method; Y k
end of the time period t, which may be the power output, water
release during the time period, the reservoir storage or water level
at the end of each time period; X b ðtÞ denotes the independent
k
variables at the beginning of the time period t, and correspond to
the available energy or available water. The appropriate decision
variables and independent variables can be determined by the
above cross-correlation analysis of variables.
2.3.4. Refining operating rules
The parameterization-simulation-optimization, PSO, is an effi-
cient method by which to refine the operating rules of the reservoir
(Koutsoyiannis and Economou, 2003; Ming et al., 2017b). In this
study, the parameters to be optimized are the coefficients, ak and bk
of the operating rules. The above objective functions and con-
straints are used to build a simulation-based optimization model
(Chang et al., 2005; Liu et al., 2015). In the optimization part, many
optimization methods can used to optimize the parameters, such as
the Complex method, artificial cooperative search algorithm, gene
expression programming, particle swarm optimization or other
methods (Kaboli et al., 2016, 2017; Rafieerad et al., 2016, 2017;
Sebtahmadi et al., 2017; Zhang et al., 2015). As the model is
nonlinear, a nonlinear optimization technique, namely the Complex
method, is used to maximize the objective function (Xie et al., 2017;
Zhang et al., 2016). Complex method is an optimization algorithm
to search for extreme values of a n-dimensional problem having
equality and inequality constraints (Zhang et al., 2017a), which is a
popular algorithm for multidimensional constrained optimization.
The Complex method is based on a comparison of function values at
the vertices, followed by the replacement of the worst point by
another point. This method is widely used in the field of hydrology
and water resources management, such as the calibration of
hydrological-model parameters (Liu et al., 2006; Zhang et al., 2015,
2017a). A set of initialization of the parameters (i.e., ak and bk) is
obtained from either the fitting method or a randomly generated
scheme. Then, the optimal parameters are ultimately determined
using the Complex method. Fig. 2 shows the main steps of the
Complex method.
3. Case study
3.1. Overview
The Longyangxia hydro/PV hybrid power system is located in
eastern Qinghai province, China (Fig. 3) and is currently the world's
largest of its type. The plant comprises the Longyangxia hydro-
power station and a nearby PV power station. Built in 1989, the
hydropower station was the first cascade hydropower station on
the upper reaches of the Yellow River. The station was originally
built to generate power, control flooding, provide irrigation, and
supply water. The reservoir's normal water level is 2600 m, corre-
sponding to a capacity of 24.7 billion m3; the regulation capacity is
19.35 billion m3, and the storage capacity adjustment coefficient is
0.94. The hydropower station contains a total of four turbines, each
with a capacity of 320 MW, resulting in a total capacity of 1280 MW.
The huge adjustment capacity ensures it has a good multi-year
adjustment performance.
Located nearby is the PV power plant in the western part of the
Gonghe County PV power generation park. Its total installed
 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572 567

China. Most of the generated power is accommodated by the power

grid. Research is still needed to determine the optimal medium-and
long-term operations for complementary energy production.

3.2. Simulation data and setup

The primary input data for this study included monthly reser-
voir runoff and hourly PV power output. The Longyangxia reservoir
inflow was measured over a 56-year period from 1956 to 2011 at
Tangnaihe hydrological station (Ming et al., 2017c). Hourly PV po-
wer output data were obtained from the 320-MW PV arrays for all
of 2014 (Fang et al., 2017). For this study, the PV power output was
calculated using a scaling from the hourly power output data from
the 320-MW PV arrays, which assumes that the annual solar ra-
diation is relatively stable.
This study optimized the system on a monthly time base, the
entire simulation covering a 672 month period. The time interval of
the reservoir inflow is monthly. To match the time scale, the time
base of the PV power output data is for a 1-h basis and is used to
aggregate the monthly time scale data. In addition, the initial and
final water levels for the entire 56-year simulation were set at
Fig. 2. Steps in the Complex method framework.
2560 m.

4. Results and discussion

4.1. Operational results obtained from DP

A DP algorithm is used to find the optimal trajectory for the

system. Fig. 4 shows an optimal trajectory in the reservoir water

Fig. 3. Location of the Longyangxia hydro-PV plant.

capacity is 850 MW, with a planned production operation period of

25 years. The first phase of the project was completed in 2013, with
an installed capacity of 320 MW. The second phase of the project,
which was completed in 2015, created the world's largest grid-
connected PV power plant at 850 MW capacity. The system gen-
erates electricity at a voltage of 330 KV, which is transmitted to the
grid through the Longyangxia hydropower station transmission
lines. The parameters regarding the hydro-PV plant are given in
Table 1.
The Longyangxia hydro/PV hybrid power system was the first b
large-scale, grid-connected hydro/PV hybrid power system built in

Table 1
Relevant parameters for the Longyangxia hydro/PV hybrid power system.

Hydropower reservoir
Average annual inflow 580 m3/s
Minimum release requirement 300 m3/s
Normal pool level 2600 m
Storage capacity 24.7 billion m3
Installed capacity 1280 MW
Firm output 589.9 MW
Power coefficient 8.3
PV arrays
Installed capacity 850 MW
Expected life-span 25 years
Fig. 4. Seasonal statistical results: (a) optimized water level, and (b) optimized system
Occupied area 24.33 km2
power output.
568 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572

level and system power output. For both, the median value and the
interquartile range (25% and 75%) for every month are shown.
Moreover, the variational range is also drawn using the trajectories
of minimum and maximum values.
The results for the optimal water level of the reservoir (Fig. 4(a))
show the filling of the reservoir is earlier and faster in refill periods
and the emptying of the reservoir is later and faster in drawdown
periods, thereby increasing the duration during which the water
head remains high. Also, the interquartile range of the monthly
water level and the profile of each value are indicated in Fig. 4(a).
The optimal trajectory of the water level can be used to derive
operating rules for the system.
Fig. 4(b) shows the monthly variation in the system's optimal
power output during the entire operating period. This output re-
mains mostly close to the firm output, except for the flood season
when there is more rainfall.
4.2. Operating rules
4.2.1. Cross-correlation analysis of variables
The operating rules were derived from the optimal trajectory.
Before deriving them, the appropriate decision variables and cor-
relation factors need selecting using the cross-correlation analysis
of variables. Fig. 5 shows the result for the cross-correlation co-
efficients among the six variables extracted from the optimal tra-
jectory. The six variables are: available energy, available water,
reservoir storage, water release, power output, and reservoir water
level. In detail, Fig. 5(a) and (b) presents the cross correlations for a
part of non-flood season; Fig. 5(c) and (d) presents similar results
for the flood season. The diagonals of the diagrams indicate the self-
correlations for the six variables and are always equal to 1.
The decision variables may be the power output, the water
release during the time period, the reservoir storage or the water
level at the end of each time period. From the diagrams (Fig. 5) and
a comparison of the CORR values of the six variables, the direct
correlation between the reservoir storage at the end of each time
period and available energy is very strong. Moreover, the available
water was also good correlated the former. Therefore, the reservoir
storage at the end of each time period was selected as the decision
variables. Concerning the operating rules involving the PV power
output, the study chose the energy correlation factors, the available
energy as the independent variables to better reflect PV output in
the operating rules and improve the practicality of these rules.
Therefore, their form may be expressed as

b ðt þ 1Þ ¼ a  b
V S ðtÞ þ bI ðtÞ þ b ; k ¼ 1; 2; /; 12 (17)
k k k k k
4.2.2. Fitted operating rules
Next, the monthly operating results were used to derive the

a b

c d

Fig. 5. Cross-correlation coefficients among the six variables: available energy (AE), available water (AW), reservoir storage (ST), water release (WR), power output (PO), reservoir
water level (WL): (a) January; (b) February; (c) August; (d) October.
 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572
operating rules. Specifically, the reservoir storage at the end of each
month, the input energy during the month, and the energy storage
at the beginning of the month were used for the derivation of these
rules using the linear fitting method. The fitting result of the
operating rules (Figs. 6 and 7) are presented as scatter plots of the
optimal reservoir storage at the end of each month versus the
available energy. These points represent optimal decisions and the
linear lines correspond to the monthly operating rules for the non-
flood (Fig. 6) and flood (Fig. 7) seasons.
From Figs. 6 and 7, several observations and implications follow:
(1) The optimal decision can be fitted using linear operating
rules, which are constrained by water storage capacity con-
straints. When the value of the month's final reservoir stor-
age is greater than 24.698 million m3, its decision variable is
set at 24.698 million m3; similarly, when the value of the
month's final reservoir storage is less than 5.343 million m3,
its decision variable is set at 5.343 million m3.
(2) A significant linear correlation exists between the available
energy and reservoir storage at the end of each time period.
The deterministic coefficient for each operating rule is
greater than 0.9 suggesting that the fitting accuracy of the
operating rules is adequate. That apart, the fitting accuracy of
the non-flood season is generally higher than that of the
flood season. This is because during flood seasons than for
non-flood seasons rainfall varies and the range of runoff is
greater.
(3) To use these operating rules, the energy stored at the
beginning of the time period can be calculated first using Eq.
(15), and, with the forecast inflow and PV data, the input
energy during the time period then can be calculated. The
sum of these quantities is the available energy. Specific
operational decisions (i.e., reservoir storage at the end of
each time period) as a function of appropriate available in-
formation (i.e., available energy), reservoir storage at the end
of each time period can be calculated easily every month
based on the function, and operational decisions can be
made. Therefore, the operating rules can provide expedient
guidelines for operating decisions.
Fig. 6. Operating rules for the non-flood season: (a) January; (b) February; (c) March;
(d) April; (e) November; and (f) December.
569
Fig. 7. Monthly operating rules for the flood season: (a) May; (b) June; (c) July; (d)
August; (e) September; and (f) October.
4.2.3. Refined operating rules
From the foregoing analysis, the form of the operating rules of
the hydro/PV hybrid power system have been identified. Never-
theless, the operational performance may be further improved
using the PSO. The operation results of the refined operating rules
are listed in Table 2.
4.3. Comparison of different operating scenarios
The superiority of the hydro/PV hybrid power system and the
effectiveness of the operating rules are revealed by comparing the
six operating scenarios, the first three and the last three relate,
respectively to after and before the implementation of
complementary:
Scenario 1: an integrated system complementary optimal
operation, Scenario 2: an integrated system operation using refined
operating rules, Scenario 3: an integrated system operation using
fitted operating rules, Scenario 4: a hydropower station conven-
tional operation plus directly PV station output, Scenario 5: a hy-
dropower station conventional operation optimal operation plus
directly PV station output, Scenario 6: a hydropower station using
operating rules plus directly PV station output.
For each scenario, the annual average generation and assurance
rate were calculated and compared (see Table 2).
Table 2 shows that of the six scenarios. By considering the
conventional operation with added PV operations, this scenario
yields poor benefits as the operation scheme has not considered
complementary operations in managing hydropower and PV po-
wer, simultaneously. As expected, an optimal complementary
operation is superior to other operation scenarios as it has the
highest annual generation and assurance rates, with values of 7.850
billion kWh and 76.04%, respectively. This scenario increases power
generation by 0.053 billion kWh, and the assurance rate by 8.33%
compared with the optimal operation of a single reservoir plus PV.
The enhancement arises because PV power can compensate for the
hydropower with the electricity. It enables less electricity to be
generated and more water stored during the dry season, and more
electricity to be generated and less water stored during the flood
season. Hence, the water head of the hydropower station increases
570 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572

Table 2
Comparison of annual average generation and assurance rates for the six operating scenarios.

Operating scenarios Power generation (billion kWh) Assurance rate (%)

Complementary optimal operation 7.850 76.04

Complementary operation using refined operating rules 7.454 74.85
Complementary operation using fitted operating rules 7.303 63.54
Single reservoir conventional operation & PV 7.283 66.96
Single reservoir optimal operation & PV 7.797 67.71
Single reservoir operation using operating rules & PV 7.420 68.01

and water consumption rate decreases thereby improving the

performance index values. a
Moreover, the operational performance of the complementary
operation using operating rules has improved after being refined
using the PSO framework. The annual generation increased from
7.303 billion kWh to 7.454 billion kWh, along with an 8.33% in-
crease in the assurance rate. Therefore, the PSO scheme (i.e.,
Complex method) can be used to refine the operating rules
effectively.
The performance of this complementary system using operating
rules derived from the complementary optimal trajectory, while
better than the conventional operation with added PV operations,
is worse than that for the complementary optimal operation. From
Table 2, the index values of the complementary implementation
have increased with the annual generation and assurance rate
increasing by 0.171 billion kWh and 7.89%, respectively. Therefore,
with efficient complementary operating rules, the complementary
operation is an effective way to manage a combined hydropower
and PV power simultaneously. b
To further explore the effectiveness of the proposed operating
rules, using the observed inflow and PV data, the operating rules
were used to provide guideline of the system operation. The
operation results for the 56-year period from 1956 to 2011 are
presented in Fig. 8.
The box plot shows the distribution of monthly water level. The
top and bottom boundaries of the boxes represent the 25th and
75th percentiles, the central red line represents the median, and
red crosses indicate the remaining outliers. Therefore, the monthly
water level median, tail length, outliers, distribution intervals, and
other shape information are contained in this box representation.
In comparing Fig. 8(a) and (b), we find that the shape of the boxes
for each month's water level are similar, indicating that the corre-
sponding eigenvalues are similar. Therefore, operating rules can be
used as guidelines to hydro/PV hybrid power system operations.
Fig. 8 shows that the length of boxes during flood seasons is longer Fig. 8. Box plot of monthly water levels of the operation results: (a) optimal water
level, and (b) water level using operating rules.
than that in non-flood season, indicating that the water levels
during flood seasons have the larger variability. Hence the fitting
accuracy of the operating rules in non-flood seasons is generally
higher than that of flood seasons, suggesting that parameter opti- framework was used to optimize the parameters of the operating
mization of the operating rules during flood season are particularly rules. The proposed method was applied to the Longyangxia hydro/
important. These findings demonstrate that operating rules are PV hybrid power system, and three main conclusions can be drawn:
efficient and reliable for hydro/PV hybrid power system operation.
(1) The available energy and reservoir storage at the end of each
time period are effective as independent variables and de-
5. Conclusions
cision variables in the operating rules. Because there exists a
significant linear correlation between the available energy
This study focused on exploring the long-term operating rules
and reservoir storage at the end of each time period, the
for an integrated hydro/PV hybrid power system using implicit
fitting correlation coefficient for each month is greater than
stochastic optimization. A deterministic optimization model of the
0.9.
system was established with two objective functions, which
(2) The complementary optimal operation of the whole system
considered both total power generation and assurance rate simul-
is superior to other operation scenarios, because PV power
taneously. The DP technique was used to obtain the optimal tra-
can compensate shortfalls in hydroelectric power supply
jectory, and a linear fitting method was used to fit the operating
during the dry season. Specifically, the complementary
rules from the obtained optimal trajectory. Based on the integrated
operation can optimize the generation process by increasing
objective, the parameterization-simulation-optimization
 Z. Yang et al. / Journal of Cleaner Production 195 (2018) 562e572
water use efficiency, thereby improving the operational
performance.
(3) The derived operating rules are able to improve the hybrid
system's performance compared with the conventional
operation, because they consider the complementary oper-
ation of hydropower and PV power. Meanwhile, the PSO
framework was proven to be an effective tool to derive
operating rules of such hybrid systems.
Therefore, the resulting operating rules can be used as a
guideline in the operations of the hydro/PV hybrid power system.
Further work is still needed on short-term optimization, as well as
operational optimization under climate change.
Acknowledgments
This study was supported by the National Key Research and
Development Program (Grant No. 2016YFC0400907), the Innova-
tive Research Groups of the Natural Science Foundation of Hubei,
China (Grant No. 2017CFA015) and the National Natural Science
Foundation of China (Grant No. 51579810). Our sincere gratitude is
extended to the editor and anonymous reviewers for their profes-
sional comments and corrections, which greatly improved the
presentation of the paper.
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