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Article(id=1207271185100918966, tenantId=1146029695717560320, journalId=1205116964453384197, issueId=1207271180105499439, articleNumber=null, orderNo=null, doi=10.20040/j.cnki.1000-7709.2025.20242180, pmid=null, cstr=null, oa=null, hot=null, price=null, onlineType=0, articleFormat=0, articleType=null, articleTypeStr=research-article, receivedDate=1730995200000, receivedDateStr=2024-11-08, revisedDate=1733587200000, revisedDateStr=2024-12-08, acceptedDate=null, acceptedDateStr=null, onlineDate=1765765480542, onlineDateStr=2025-12-15, pubDate=1758729600000, pubDateStr=2025-09-25, doiRegisterDate=null, doiRegisterDateStr=null, onlineIssueDate=1765765480542, onlineIssueDateStr=2025-12-15, onlineJustAcceptDate=null, onlineJustAcceptDateStr=null, onlineFirstDate=null, onlineFirstDateStr=null, sourceXml=null, magXml=null, createTime=1765765480541, creator=13701087609, updateTime=1765765480541, updator=13701087609, issue=Issue{id=1207271180105499439, tenantId=1146029695717560320, journalId=1205116964453384197, year='2025', volume='43', issue='9', pageStart='1', pageEnd='220', issueExtLink='null', onlineDate='null', pubDate='null', beforeIssueId=null, nextIssueId=null, price=null, status=1, issueComplete=1, articleOrder=1, issueType=1, specialIssue=null, createTime=1765765479351, creator=13701087609, updateTime=1765765681303, updator=13701087609, preIssue=null, nextIssue=null, ext={EN=IssueExt(id=1207272027254247478, tenantId=1146029695717560320, journalId=1205116964453384197, issueId=1207271180105499439, language=EN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=), CN=IssueExt(id=1207272027254247479, tenantId=1146029695717560320, journalId=1205116964453384197, issueId=1207271180105499439, language=CN, specialIssueTitle=, coverIllustrator=null, specialIssueEditor=, specialIssueAbout=)}, issueFiles=null}, startPage=110, endPage=113, ext={EN=ArticleExt(id=1207271185293856957, articleId=1207271185100918966, tenantId=1146029695717560320, journalId=1205116964453384197, language=EN, title=Research on Identification Technology of Hydrodynamic Excitation Disease of Gate, columnId=null, journalTitle=Water Resources and Power, columnName=null, runingTitle=null, highlight=null, articleAbstract=

Affected by hydrodynamic excitation and other factors, the opening-closing operation of hydraulic gates exhibits multi-field coupling effects and complex nonlinear dynamic characteristics, leading to difficulties in identifying equipment safety states. Test data of gate operation demonstrate that artificial neural network algorithms can identify hydrodynamic excitation disease features and accurately predict its development trends. To address this, BP and GA-BP neural networks were employed to construct identification and prediction models for hydrodynamic excitation disease. These models were applied to identify and forecast the effective values of reel vibration, with model performance evaluated using metrics including Relative Error (RRE), Mean Absolute Percentage Error (MMAPE), and Root Mean Square Error (RRMSE). Compared to the BP model, the results indicate that the GA-BP model achieves reductions of 20.77% in RRE, 4.74% in MMAPE, and 6.27% in RRMSE, demonstrating superior fitting to measured samples and enhanced stability with extended prediction durations, thus providing critical technical support for engineering risk mitigation and hazard prevention.

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受水激振动等多种因素影响，闸门的启闭运行呈现多场耦合、复杂非线性动力学特征，造成设备安全性态辨识困难。闸门启闭运行的测试数据表明，人工神经网络算法可辨识水激振动病害特征和准确预测水激振动病害趋势。为此，通过BP神经网络和GA-BP神经网络，构建闸门水激振动病害辨识和预测模型，对卷筒振动有效值进行辨识与预测，并通过相对误差（RRE）、平均绝对误差率（MMAPE）、均方根误差（RRMSE）等指标评价模型辨识性能。结果表明，相对于BP神经网络的辨识模型，GA-BP神经网络模型的相对误差减少了20.77%，平均绝对误差率减少了4.74%，均方根误差减少了6.27%，GA-BP闸门水激振动病害辨识技术更好贴合实测样本集，且随预测时间增大表现更好稳定性，可为工程减害运行和防范重大险病提供关键技术支撑。

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郭建斌（1972-），男，博士、副教授，研究方向为水利机械安全与测试，E-mail：
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高建伟（1992-），男，工程师，研究方向为水工金属结构运行与安全，E-mail：

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高建伟（1992-），男，工程师，研究方向为水工金属结构运行与安全，E-mail：

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高建伟（1992-），男，工程师，研究方向为水工金属结构运行与安全，E-mail：

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figureFileSmall=dbH7ObiTa7nLJRmFDXBzaQ==, figureFileBig=gBY1wKPp+be4POF/9jovNQ==, tableContent=null), ArticleFig(id=1207271199466410877, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=EN, label=Tab. 1, caption=

Number of iterative steps and error of BP neural network with different number of hidden layer nodes

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隐藏节点数训练误差/%迭代步数隐藏节点数训练误差/%迭代步数
52.7855102.1431
62.0137112.6646
72.7238121.9645
81.8332131.9832
92.6331142.7232
), ArticleFig(id=1207271199583851396, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=CN, label=表1, caption=

不同隐含层节点数的BP神经网络迭代步数及误差

, figureFileSmall=null, figureFileBig=null, tableContent=
隐藏节点数训练误差/%迭代步数隐藏节点数训练误差/%迭代步数
52.7855102.1431
62.0137112.6646
72.7238121.9645
81.8332131.9832
92.6331142.7232
), ArticleFig(id=1207271199701291916, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=EN, label=Tab. 2, caption=

Training of the prediction model

, figureFileSmall=null, figureFileBig=null, tableContent=
BP神经网络GA-BP神经网络
网络结构最大训练次数目标误差学习率种群大小参数编码个数交叉概率变异概率进化终止迭代数
4-8-11 0000.0010.0120440.40.1100
), ArticleFig(id=1207271199793566611, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=CN, label=表2, caption=

预测模型训练情况

, figureFileSmall=null, figureFileBig=null, tableContent=
BP神经网络GA-BP神经网络
网络结构最大训练次数目标误差学习率种群大小参数编码个数交叉概率变异概率进化终止迭代数
4-8-11 0000.0010.0120440.40.1100
), ArticleFig(id=1207271199957144474, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=EN, label=Tab. 3, caption=

Parameters of predicted values of reel vibration trends and error assessment indicators

, figureFileSmall=null, figureFileBig=null, tableContent=
次序实测振动数值/μmBP神经网络预测振动GA-BP神经网络预测振动
预测数值/μmRRE/%MMAPE/%RRMSE/%预测数值/μmRRE/%MMAPE/%RRMSE/%
1261.33240.398.0112.3414.83266.552.007.608.56
2220.30242.4210.04  207.935.62  
3226.16202.1710.61  212.286.14  
4256.45275.357.37  282.9510.33  
5204.18220.608.04  193.195.38  
6202.72213.555.34  212.674.91  
7210.53231.8810.14  235.8512.03  
8270.61242.5510.37  280.203.54  
9280.38332.2018.48  240.5414.21  
10224.21302.6434.98  250.7311.83  
), ArticleFig(id=1207271200053613471, tenantId=1146029695717560320, journalId=1205116964453384197, articleId=1207271185100918966, language=CN, label=表3, caption=

卷筒振动趋势预测值及误差评估指标参数

, figureFileSmall=null, figureFileBig=null, tableContent=
次序实测振动数值/μmBP神经网络预测振动GA-BP神经网络预测振动
预测数值/μmRRE/%MMAPE/%RRMSE/%预测数值/μmRRE/%MMAPE/%RRMSE/%
1261.33240.398.0112.3414.83266.552.007.608.56
2220.30242.4210.04  207.935.62  
3226.16202.1710.61  212.286.14  
4256.45275.357.37  282.9510.33  
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闸门水激振动病害辨识技术研究
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高建伟 1 , 朱佳 1 , 黎军杰 2 , 沈文杰 1 , 何秋 1 , 陈勇 1 , 姜青林 2 , 郭建斌 2
水电能源科学 | 水利枢纽、水利建筑物 2025,43(9): 110-113
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水电能源科学 | 水利枢纽、水利建筑物 2025, 43(9): 110-113
闸门水激振动病害辨识技术研究
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高建伟1 , 朱佳1, 黎军杰2, 沈文杰1, 何秋1, 陈勇1, 姜青林2, 郭建斌2
作者信息
  • 1.华东桐柏抽水蓄能发电有限责任公司，浙江 杭州 310000
  • 2.河海大学电气与动力工程学院，江苏 南京 211100

    • 高建伟（1992-），男，工程师，研究方向为水工金属结构运行与安全，E-mail：

通讯作者:

郭建斌（1972-），男，博士、副教授，研究方向为水利机械安全与测试，E-mail：
Research on Identification Technology of Hydrodynamic Excitation Disease of Gate
Jian-wei GAO1 , Jia ZHU1, Jun-jie LI2, Wen-jie SHEN1, Qiu HE1, Yong CHEN1, Qing-lin JIANG2, Jian-bin GUO2
Affiliations
  • 1.East China Tongbai Pumped Storage Power Generation Corporation Limited, Hangzhou 310000, China
  • 2.School of Electrical and Power Engineering, Hohai University, Nanjing 211100, China
出版时间: 2025-09-25 doi: 10.20040/j.cnki.1000-7709.2025.20242180
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摘要
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受水激振动等多种因素影响，闸门的启闭运行呈现多场耦合、复杂非线性动力学特征，造成设备安全性态辨识困难。闸门启闭运行的测试数据表明，人工神经网络算法可辨识水激振动病害特征和准确预测水激振动病害趋势。为此，通过BP神经网络和GA-BP神经网络，构建闸门水激振动病害辨识和预测模型，对卷筒振动有效值进行辨识与预测，并通过相对误差（RRE）、平均绝对误差率（MMAPE）、均方根误差（RRMSE）等指标评价模型辨识性能。结果表明，相对于BP神经网络的辨识模型，GA-BP神经网络模型的相对误差减少了20.77%，平均绝对误差率减少了4.74%，均方根误差减少了6.27%，GA-BP闸门水激振动病害辨识技术更好贴合实测样本集，且随预测时间增大表现更好稳定性，可为工程减害运行和防范重大险病提供关键技术支撑。

水工闸门  /  GA-BP神经网络  /  工程安全  /  卷扬启闭运行  /  水激振动病害

Affected by hydrodynamic excitation and other factors, the opening-closing operation of hydraulic gates exhibits multi-field coupling effects and complex nonlinear dynamic characteristics, leading to difficulties in identifying equipment safety states. Test data of gate operation demonstrate that artificial neural network algorithms can identify hydrodynamic excitation disease features and accurately predict its development trends. To address this, BP and GA-BP neural networks were employed to construct identification and prediction models for hydrodynamic excitation disease. These models were applied to identify and forecast the effective values of reel vibration, with model performance evaluated using metrics including Relative Error (RRE), Mean Absolute Percentage Error (MMAPE), and Root Mean Square Error (RRMSE). Compared to the BP model, the results indicate that the GA-BP model achieves reductions of 20.77% in RRE, 4.74% in MMAPE, and 6.27% in RRMSE, demonstrating superior fitting to measured samples and enhanced stability with extended prediction durations, thus providing critical technical support for engineering risk mitigation and hazard prevention.

hydraulic gate  /  GA-BP neural network  /  engineering safety  /  winch opening and closing operation  /  hydrodynamic excitation disease
高建伟, 朱佳, 黎军杰, 沈文杰, 何秋, 陈勇, 姜青林, 郭建斌. 闸门水激振动病害辨识技术研究. 水电能源科学, 2025 , 43 (9) : 110 -113 . DOI: 10.20040/j.cnki.1000-7709.2025.20242180
Jian-wei GAO, Jia ZHU, Jun-jie LI, Wen-jie SHEN, Qiu HE, Yong CHEN, Qing-lin JIANG, Jian-bin GUO. Research on Identification Technology of Hydrodynamic Excitation Disease of Gate[J]. Water Resources and Power, 2025 , 43 (9) : 110 -113 . DOI: 10.20040/j.cnki.1000-7709.2025.20242180
正文
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1 引言
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水工闸门和启闭机是水利水电工程实现调蓄、发电和航运的关键设备，受水激振动等多因素影响，闸门的启闭呈现复杂非线性动力学问题，导致设备安全性态辨识困难，极易发生水激振动病害甚至工程失事[1-2]。因此，加强水激振动病害的趋势预测研究[3]对于工程减害运行和防范重大险病具有重要的现实意义。YE F等[4]结合BP神经网络和PID控制器，提出了一种风力发电系统功率跟踪技术，为缓解风电波动性提供了新思路；CHEN Y[5]利用BP神经网络进行建筑结构极限承载力的多要素辨识，以确保结构安全可靠；WAN X Y等[6]应用BP神经网络建立煤矿安全风险的多维辨识与预测模型，提高生产安全性和效率。BP神经网络作为一种自适应误差修正的多层前馈神经网络，能够有效适应工程中的多特征辨识和趋势预测。因此，利用该算法提取水激振动病害特征可为闸门的启闭运行提供关键技术支撑。近年来，作为模拟自然界遗传、进化的遗传算法（GA）大量应用于工程复杂问题的辨识和迭代计算[7-9]，使人工神经网络的并行计算得到更好优化解析。为此，本文通过BP神经网络和GA-BP神经网络，构建闸门水激振动病害辨识和预测模型，以期为工程减害运行和防范重大险病发生提供关键技术支持和决策保障。
2 启闭力性态辨识模型
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2.1 BP神经网络原理
BP神经网络通过调整输入层与隐含层节点的联接强度以及隐含层与输出层节点的联接强度、阈值，使实际输出值与期望输出值的误差均方差最小，从而实现误差逆向传播的多层前馈神经网络算法（图1）。BP神经网络输出值与目标值之间的误差E可用下式确定：
式中，N为输出层节点数量；为第k个输出层节点的预测输出值；yk为第k个输出层节点的真实目标值。
隐含层和输出层的权值按下式来修正：
式中，为第t次迭代时输入层第i个神经元到隐含层第j个神经元的权重；η为学习率；δj为隐含层第j个神经元的误差项；xi为输入层第i个神经元的输入值；为第t次迭代时隐含层第j个神经元到输出层第k个神经元的权重；δk为输出层第k个神经元的误差项；f'（zj）为隐含层激活函数的导数；zj为隐含层第j个神经元的加权输入；Oj为隐含层第j个神经元的输入值；f'（zk）为输出层激活函数的导数；zk为输出层第k个神经元的加权输入。
2.2 GA-BP神经网络原理
GA-BP神经网络将“适者生存”的生物准则引入到并行神经网络算法[10]，通过适应度函数调整神经网络的权值和阈值对种群样本数据优选（选择、交叉和变异），从而提高模型的全局搜索能力和预测准确性（图2）。
2.3 神经网络的隐含层节点数影响
通常神经网络隐含层节点数未知，对隐含层节点数5~14的神经网络预测模型进行训练，相关网络迭代步数及误差结果见表1。由表1可知，当隐含层节点数为8、9、10、13、14时模型迭代步数相对较少，当节点数为8时训练误差最小，因此可知神经网络的隐含层节点数设定为8较为合适。
2.4 神经网络辨识和预测模型
选取对闸门水激病害有重要影响的过闸流量、闸前水压力、闸后水压力及启闭功率等因素作为输入层变量，将卷筒主轴振动值作为输出层变量，构建闸门水激振动病害辨识和预测模型（图3）。
（1）BP神经网络模型。对中间隐含层结构、神经元权值等参数初始化，结合训练样本对网络训练，建立输出值与实测值的误差反馈，对神经元权值和阈值进行修正，直到网络输出误差满足要求。
（2）GA-BP神经网络模型。对BP网络的初始权值和阈值编码随机生成初始种群，并按预测值与实际值误差绝对值之和作为适应度函数，参考轮盘法设定0.4~0.9交叉概率进行个体互换更新，并取0.01~0.1变异概率生成新的种群个体，得到最优个体的权值和阈值，传递给BP神经网络进行网络训练。
3 闸门水激振动病害辨识误差分析
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3.1 样本数据预处理
选取对闸门启闭运行安全性态有重要影响的卷筒竖直振动作为模型输出量对象，按下式进行无量纲归一化处理：
式中，xl、yl分别为参数归一化前、后的数值；xmin、xmax分别为归一化前的最小值、最大值。
3.2 辨识性能评价
通过相对误差（RRE）、平均绝对误差率（MMAPE）和均方根误差（RRMSE）等指标获取模型辨识性能。
3.3 模型训练
从某抽蓄电站实测数据中选取357组历史监测数据，经过相空间重构后共产生了348组样本，将前338组样本用于模型神经网络的训练集，后10组样本作为待验证的测试样本集。模型训练情况见表2，模型训练的收敛误差情况见图4。由表2、图4可知，BP神经网络预测模型经过31步迭代后的收敛误差小于0.001 84，GA-BP神经网络预测模型经过19步迭代后的收敛误差小于0.001 05，说明两种预测模型均具有较高的预测精度。
3.4 闸门水激振动病害模型性能对比
通过BP神经网络和GA-BP神经网络预测模型，对未来10期的卷筒振动有效值进行辨识与预测分析试验，获得模型辨识目标的相对误差（RRE）、平均绝对误差率（MMAPE）和均方根误差（RRMSE）等指标见表3。并建立卷筒受水激振动的实测样本集与神经网络辨识预测值的关联特性曲线，直观表达神经网络模型的辨识和预测的差异特性，见图5。
由表3、图5可看出：①相对于卷筒主轴受水激振动的实测样本集，BP神经网络模型和GA-BP神经网络模型的预测均方根误差（RRMSE）分别为14.83%、8.56%，人工神经网络算法对水激振动病害特征的辨识性能整体较好，水激振动病害的特征信息辨识和趋势预测均呈现较好同步回归特性。②相对于BP神经网络的辨识模型，GA-BP神经网络辨识模型的相对误差（RRE）减少了20.77%，平均绝对误差率（MMAPE）减少了4.74%，均方根误差（RRMSE）减少了6.27%。可知，GA-BP闸门水激振动病害辨识技术表现出更好的工程适应性和辨识准确性。③相较于卷筒受水激振动的实测样本集，BP神经网络辨识模型的预测值偏差较显著，其相对误差（RRE）随着预测时间的增大也表现出明显的增大趋势，表现辨识信息的反馈迟钝，甚至信息预测超调引起数据发散、波动失准；GA-BP神经网络辨识模型的预测值更好贴合实测样本集，且相对误差（RRE）随着预测时间的增大表现稳定，呈现较好的辨识信息灵敏度和趋势预测准确性。
4 结论
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a. 相较于卷筒主轴受水激振动的实测样本集，人工神经网络算法对水激振动病害特征的辨识性能整体较好，水激振动病害的特征信息辨识和趋势预测均呈现较好的同步回归特性。
b. 相对于BP神经网络模型，GA-BP神经网络模型的预测值能够更好贴合实测样本集，且相对误差（RRE）随着预测时间的增大表现稳定，呈现较好的辨识信息灵敏度和趋势预测准确性，具备更好的工程适应性，可为工程减害运行和防范重大险病提供关键技术支撑。
基金
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  • 国网新源控股有限公司科技项目(SGXYKJ-2023-0155)
文献
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参考文献 引证文献
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2025年第43卷第9期
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doi: 10.20040/j.cnki.1000-7709.2025.20242180
  • 接收时间：2024-11-08
  • 首发时间：2025-12-15
  • 出版时间：2025-09-25
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  • 收稿日期：2024-11-08
  • 修回日期：2024-12-08
基金
国网新源控股有限公司科技项目(SGXYKJ-2023-0155)
作者信息
    1.华东桐柏抽水蓄能发电有限责任公司，浙江 杭州 310000
    2.河海大学电气与动力工程学院，江苏 南京 211100

通讯作者:

郭建斌（1972-），男，博士、副教授，研究方向为水利机械安全与测试，E-mail：
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https://castjournals.cast.org.cn/joweb/sdnykx/CN/10.20040/j.cnki.1000-7709.2025.20242180
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2种不同金属材料的力学参数
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Family		 属数
Number of
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Number of
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鹅膏菌科Amanitaceae 2 11 5.26 鹅膏菌属 Amanita 10 4.78
小菇科 Mycenaceae 2 12 5.74 丝盖伞属 Inocybe 5 2.39
多孔菌科 Polyporaceae 8 14 6.70 蜡蘑属 Laccaria 5 2.39
红菇科 Russulaceae 3 23 11.00 小皮伞属 Marasmius 6 2.87
小菇属 Mycena 11 5.26
光柄菇属 Pluteus 5 2.39
红菇属 Russula 17 8.13
栓菌属 Trametes 5 2.39
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