基于UMAP、CNN的水工闸门安全评价指标体系降维  

Dimensionality reduction of hydraulic gate safety evaluation index system based on UMAP and CNN

作　　者：薛晨 刘东科 赵建平[3] 刘丰 徐超[4] 徐佳怡 张宇[3] XUE Chen;LIU Dongke;ZHAO Jianping;LIU Feng;XU Chao;XU Jiayi;ZHANG Yu(China Energy Science and Technology Research Institute Co.,Ltd.,Nanjing 210033,China;CHN Energy Dadu River Shaping Power Generation Co.,Ltd.,Leshan 614000,China;Nanjing Hydraulic Research Institute,Nanjing 210029,China;School of Water Resources and Hydropower Engineering,North China Electric Power University,Bejing 102206,China)

机构地区：[1]国家能源集团科学技术研究院有限公司,南京210033 [2]国能大渡河沙坪发电有限公司,四川乐山614000 [3]水利部交通运输部国家能源局南京水利科学研究院,南京210029 [4]华北电力大学水利与水电工程学院,北京102206

出　　处：《南水北调与水利科技（中英文）》2024年第5期997-1006,共10页South-to-North Water Transfers and Water Science & Technology

基　　金：国家自然科学基金项目(52209032);国家能源集团科学技术研究院院立科技项目(CD2023Y01)。

摘　　要：针对当前研究在处理复杂指标体系中指标间相关性不足以及指标筛选机制缺乏明确性的问题,从整体指标体系转化与逐个指标删减2个维度出发,采用统一流形逼近与投影(uniform manifold approximation and projection,UMAP)以及卷积神经网络(convolutional neural networks,CNN)技术,开展复杂水工闸门安全评价指标体系降维研究。构建水工闸门安全评价的初始指标体系,在分析指标相关性的基础上,使用UMAP对原始指标体系进行降维处理;提出一种基于指标值离散化的CNN训练样本生成方法,引入相对变化幅度和敏感度两个指标,以定量评估指标本身及其相对变化对闸门安全综合评价结果的影响,筛选关键评价指标;基于沙坪二级水电站中孔闸门的监测数据,对评价指标体系降维前后的结果进行对比验证,并从多角度探讨2种评价指标体系降维方法的差异及其各自的优缺点。提出的基于UMAP、CNN技术的2种方法不仅实现了复杂水工闸门安全评价指标体系的有效降维,而且为水工闸门安全综合评价与预警提供了重要的前置工具,为相关领域的研究提供了新的视角。The safety assessment of hydraulic gates is crucial for the regulatory capacity of hydropower stations,as it is closely related to factors such as water levels upstream and downstream of the station,structural stress,gate vibration,and the status of opening and closing mechanisms.Many of the hydraulic gates in operation in China were built in the 1960s and 1970s,and due to the harsh working environment,there are numerous safety risks.Therefore,conducting safety evaluations of hydraulic gates is essential to prevent potential accidents.However,existing studies on gate safety assessments have two main shortcomings in terms of indicator selection and system construction.Firstly,many studies overlook the impact of correlation between indicators in the evaluation system on the assessment results.High correlation between indicators can lead to redundant and interfering information,potentially distorting the evaluation results.This is especially evident in hydraulic systems like hydraulic gates,which have numerous parameters and complex structures.Additionally,as the number of measurement points increases,the scale of the indicator system also grows exponentially,complicating the evaluation process.Secondly,existing studies generally lack the identification and selection process of indicators'influence on the comprehensive safety assessment results.The impact of indicators on assessment results mainly lies in two aspects:the different magnitudes of changes in each indicator and the varying responses in comprehensive assessment values caused by relative changes in each indicator,indicating varying levels of sensitivity.Therefore,in conducting safety evaluations of hydraulic gates,both aspects need to be considered to ensure the rationality of the indicator selection process,the effectiveness of selected indicators,and the simplification of the indicator system.Two approaches,overall transformation and gradual reduction of indicators were employed in this study,utilizing uniform manifold approximation and projection(UMAP)

关 键 词：水工闸门 安全评价 指标体系 降维 UMAP CNN 

分 类 号：TV698[水利工程—水利水电工程]