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Contents lists available at ScienceDirect

**Environmental Modelling & Software
**

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

**Assessment of the internal dynamics of the Australian Water Balance
**

Model under different calibration regimes

Li Li a, 1, Martin F. Lambert a, *, Holger R. Maier a, 2, Daniel Partington b, 3,

Craig T. Simmons b, 4

a

School of Civil, Environmental and Mining Engineering, The University of Adelaide, North Terrace, Adelaide, South Australia 5005, Australia

b

National Centre for Groundwater Research and Training and School of the Environment, Flinders University, GPO Box 2100, Adelaide,

South Australia 5001, Australia

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

Article history: Conceptual rainfall runoff models are used extensively in practice, as they provide a good balance be-

Received 1 August 2014 tween transparency and computational and data requirements. However, the degree to which they are

Received in revised form able to represent underlying physical processes is poorly understood. This is because the performance of

14 December 2014

such models is generally assessed based on their ability to match total streamﬂow, rather than

Accepted 15 December 2014

Available online 13 January 2015

component processes. In this paper, the ability of the Australian Water Balance Model (AWBM) to

represent baseﬂow and quickﬂow is assessed for 66 synthetic catchments with different physical char-

acteristics and hydrological inputs under seven calibration regimes utilising a shufﬂed complex evolution

Keywords:

Australian Water Balance Model

(SCE) algorithm. The “observed” total-, base- and quick-ﬂow hydrographs for these catchments are

Calibration generated using HydroGeoSphere. The results indicate that while AWBM is generally able to match total

Baseﬂow streamﬂow well, the same does not apply to baseﬂow and quickﬂow, suggesting that these processes are

Regression models not represented well by AWBM.

HydroGeoSphere © 2014 Elsevier Ltd. All rights reserved.

Virtual laboratory

Integrated surface water/groundwater

model

**1. Introduction Black box modelling approaches, such as artiﬁcial neural net-
**

works (Abrahart et al., 2012; Maier et al., 2010; Wu et al., 2014), are

Modelling approaches for estimating runoff from rainfall and at one end of the spectrum, while physically based approaches are

evapotranspiration (ET) can be traditionally classiﬁed into three at the other end. Black box models produce streamﬂow outputs

main groups: black box models, physical process based models and solely as a function of their inputs and transfer characteristics,

conceptual rainfall runoff (CRR) models (Beven, 2005). While all of without any knowledge or understanding of the underlying phys-

these approaches have been shown to be able to predict total ical processes. However, they are generally computationally efﬁ-

streamﬂow successfully, the degree to which they are able to cient and can be developed using limited data. Physically based

represent underlying streamﬂow generating mechanisms is highly approaches attempt to simulate the detailed mechanisms of the

variable (Chen and Adams, 2006; Ferket et al., 2010; Refsgaard and component physical processes within the hydrologic cycle using

Knudsen, 1996). well-established physical laws, with numerical solutions of the

mathematical representation of these processes (Jayatilaka et al.,

1998). Such approaches include fully integrated surface water/

groundwater (SW/GW) models, such as InHM (VanderKwaak and

* Corresponding author. Tel.: þ61 (0)8 8313 4320; fax: þ61 (0)8 83034359.

E-mail addresses: l.li@alumni.adelaide.edu.au (L. Li), martin.lambert@adelaide. Loague, 2001), MODHMS (HydroGeoLogic, 2000), HydroGeo-

edu.au (M.F. Lambert), holger.maier@adelaide.edu.au (H.R. Maier), daniel. Sphere (HGS) (Therrien et al., 2009) and SHE (Abbott et al., 1986).

partington@ﬂinders.edu.au (D. Partington), craig.simmons@ﬂinders.edu.au However, there are problems with the application of these models

(C.T. Simmons). in practice due to the difﬁculties and expense associated with

1

Tel.: þ61 0406745484; fax: þ61 (0)8 83034359.

2 obtaining the data required (e.g. due to limitations of existing

Tel.: þ61 (0)8 8313 4139; fax: þ61 (0)8 83034359.

3

Tel.: þ61 (0)8 8201 2648; fax: þ61 8 8201 7906. instrumentation and intrinsic uncertainty in measurements), as

4

Tel.: þ61 (0)8 8201 5509; fax: þ61 8 8201 7906. well as their high computational demands.

**http://dx.doi.org/10.1016/j.envsoft.2014.12.015
**

1364-8152/© 2014 Elsevier Ltd. All rights reserved.

Finally. While the methodology is Among the different rainfallerunoff modelling approaches illustrated for a particular case study. As shown. 2012. It mance of CRR models using total streamﬂow time series (Ferket should be noted that while the AWBM is used as the CRR model in this study. baseﬂow quickﬂow. such as baseﬂow and means of quantifying the absolute volume of the ﬂow components (e. A methodology is given in Section 2. They conclude that no clear picture emerges of which processes explicitly. As part of the the lack of transparency of black-box models. AWBMs are developed for the same catchments by using the same cesses are modelled accurately. The parameters and production of generally acceptable results. Details of each step in the methodology are given in subsequent sections. very few attempts have been made to use baseﬂow or quickﬂow estimates for CRR model internal dynamic performance 2. baseﬂow and quickﬂow. due to the difﬁculty of accurately measuring baseﬂow The 66 synthetic catchments with different physical characteristics and hydro- or quickﬂow in the ﬁeld (Dukic. they provide the best number of additional states and ﬂuxes. Next.58 L. 1999). These catchments have drainage Recently. A unique feature is that multi-objective optimisation is used (e. such as hydraulic benchmark against which the internal dynamics of CRR models can be assessed (e. as they represent the assumed underlying that the MWARPE calibration algorithm and the HBV model lead to physical processes in a conceptual manner. into. CRR models are the most widely utilised in could easily be adapted and applied to other CRR models around practice.. Li et al.. for example. by comparing the rigorous representation of the underlying physical processes of hydrologic systems (Brookﬁeld et al. 2007. whether ﬂow components that make up total streamﬂow are predicted accu- While there have been many studies comparing the perfor. quick-ﬂow hydrograph prediction. Sulis et al. similar total stream.and series to be useful in water resources assessments. such as assessing (i) how well the Australian Water Balance Model. Therefore. 1991. 1982. SIMHYD (Chiew et al. which are measurable in theory. without consideration of the appropri- providing a means of assessing the performance of the internal dynamics of AWBM ateness of their quantities and dynamics. This is a reasonable assumption. Ranatunga et al. two optimisation algorithms (SCE-UA and MWARPE) are computationally efﬁcient and less data intensive than process used to calibrate the models by matching total streamﬂow to ob- based models... While it is acknowledged that fully integrated SW/GW models are in themselves total streamﬂow time series. at least when compared with the results obtained using the mathematical equations to conceptualise the movement of water Furey and Gupta ﬁlter (Furey and Gupta.. 2013. 2014). or an surface ﬂow with the Richards' equations.. modelled total streamﬂow time series with the corresponding Therrien and Sudicky. 2008. 2006. due to their relatively simple structure. 2009. in a directed towards obtaining a well-deﬁned optimal parameter set. as fully integrated SW/GW models provide a rameters are generally estimated by calibration. 1985). 2010. Ahmadi et al. its generic nature means it mentioned above. they can be used to obtain estimates of different ﬂow components for catchments with different characteristics (see Partington et al. Troutman. These models have been able to different calibration regimes that take internal model dynamics capture enough of the dynamics of rainfall runoff simulation time into account in different ways on the accuracy of total-. The remainder of this paper is organised as follows. obtain total streamﬂow. discussion in Section 3 and summary and conclusions in Section 4. 2005). / Environmental Modelling & Software 66 (2015) 57e68 CRR models represent a compromise between the high data and the internal dynamics of two CRR models (HBV and PDM) for a computational requirements of physical process based models and subcatchment of the Dender catchment in Belgium. has been obtained.1. base... McCallum et al. Venant equations. the performance of ﬂow time series can be obtained with very different combinations the AWBMs calibrated using the different methods is compared in terms of the ability to predict total-. difﬁcult to measure in practice. they are more transparent than model produces the best results of simulating total streamﬂow. there may be many combinations of parameter values and quickﬂow) currently available (see Partington et al. and is caused by problems such are able to provide the ﬁrst step towards being able to assess the internal dynamics as over-parameterisation of models. even though the structure of CRR The steps in the methodology adopted for assessing the internal dynamic per- models is based on a conceptual representation of underlying formance of AWBM are given in Fig. 2014. as a good match to total properties and hydrological inputs in order to ensure the results are as generic as streamﬂow does not necessarily mean that the component pro. 1. conductivity and porosity. physically realistic fashion (Therrien et al. 2012. generally in the form of the best baseﬂow estimates.g. are usually baseﬂow (see Partington et al. quickﬂow and of the catchment (e.. evaporation. rately). lakes and streams). although some The underlying premise of the proposed methodology for assessing the internal of the CRR model parameters. including overland ﬂow. the Soil Moisture and Accounting Model (SMAR) (Tuteja ﬂow for 66 synthetic catchments with different catchment char- and Cunnane. All of the governing ﬂow equations including local-type direct search optimisation methods and implemented by fully integrated SW/GW models are solved simultaneously to globally based optimisation methods (Duan et al. 1993). giving the best internal model dy- a number of interconnected storages that are linked with empirical namics. inﬁltration and recharge. that give similar objective function values. 2001). base.. as they do not attempt to represent all physical servations. same approach should also be used to test the internal dynamic performance of other CRR models. followed by the results and common feature of CRR models is that some of their model pa. base. 2012. there are some physical parameters. 1993. They are more study.and quick-ﬂow hydrographs accurately. They typically represent 3D variably saturated sub- observed data until an acceptable ﬁt to the objective function. 2010).g. 1992).. hydrological inputs. between the storages of and out of a catchment. 2014). 2009). while internally they calculate a an approximation of the actual processes in real catchments.. a commonly used CRR. streamﬂow. However. making them ideal candidates for because CRR models are usually calibrated using only observed assessing the internal dynamics of CRR models. Methodology physical processes are lumped together. but whether ﬂow components that make up total streamﬂow are predicted accurately). as shown in .g.and quick- 2004). 1996). Signiﬁcant research effort has been as subsurface discharge to surface water features (e. initially synthetic total streamﬂow physical processes.. the V-catchment test case. small number of the world. is able to represent total-.. catchment area. Furman. such CRR model pa. but different calibration methods.. Li et al. which is the Australian Water Balance Model (AWBM) (Boughton. For example. (e. how well these processes are represented by (qobs obs obs T ). In addition. Therefore they called ‘equiﬁnality’ (Beven.. Gibbs such models can simulate the partitioning of rainfall into different components. the et al. As a result.g. 2001) to validate surfaceesubsurface hydrology problem. baseﬂow (qB ) and quickﬂow (qQ ) hydrographs are generated using a fully integrated SW/GW model for a number of catchments with different physical calibrated models is generally unknown. as well et al. Many This study builds on the research by Ferket et al. possible. data limitations and structural of CRR models under a range of physical conditions in a controlled manner. Ferket et al. due to the fact that many complex catchment 2. representing the physical properties dynamics of CRR models is that fully integrated SW/GW models can be used to obtain reasonably accurate estimates of actual total streamﬂow. Post et al.g. Catchment characteristics and hydrological inputs assessment. Knapp et al. faults in the model. 2008). (2014) are used. 2002) and GR4J acteristics and hydrological inputs and (ii) the impact of seven (Oudin et al. 2013). surface slope). rameters have limited physical interpretation (Delleur. and 1D and 2D surface ﬂow with the acceptable trade-off between objective functions in cases where diffusion wave approximation to the St.g. thereby of baseﬂow and quickﬂow.. 2013. This phenomenon is In addition. logical inputs developed by Li et al. However.. (2010) by different CRR models have been proposed in the literature. 2012). Li et al. Partington et al. thereby providing a measurable. (2010) use baseﬂow estimated from a areas ranging from 6 to 192 km2 and are loosely based on a benchmarked integrated physically-based digital ﬁlter (Furey and Gupta. 2010.. but black-box models.

. fully integrated SW/GW models are used for assessing the in- physical catchment characteristics are represented using seven variables: catchment ternal dynamic performance of AWBM under a range of calibration approaches. Fully integrated SW/GW model be found in Li et al. SW/GW disconnection problems (Banks et al. Partington et al.2.. 2. which are assumed to represent characteristics considered are given in Table 1 and the characteristics of the hy- the “true” catchment physical processes. catchment hill slope (S1. Details of the different values of the physical catchment catchment characteristics and hydrological inputs. which includes Ks and van Genuchten parameters a and b. 2012). 2009). Schematic representation of tilted V-catchment ﬂow problem (adopted from Panday and Huyakorn. Brunner et al. This area (A). 2011. 2004).. catchment is because they provide the best possible approximation to the physical processes of channel slope (S2. 1. and water ﬂow within catchments and can therefore be used as an approximation to soil type. such as the characteristics and hydrological inputs. 2 (Panday and Huyakorn. Fig. 2004). from these catchment characteristics and hydrological inputs.. which is also used in this study by sampling comparison of baseﬂow estimation methods (Li et al. This is because HGS can be used to simulate drological inputs used are given in Table 2. Different As stated above. (2014) used Latin Hypercube hydrological processes within catchments in a physically based manner (Therrien Sampling (LHS) to generate the 66 catchments with different physical catchment et al. which are obtained from the Australian Bureau of Meteorology the 66 synthetic catchments' response to rainfall and ET inputs under different National Climate Centre. L. In this inputs are represented using the ratio of daily rainfall to ET from ﬁve Australian cities study. / Environmental Modelling & Software 66 (2015) 57e68 59 Fig. 2011. Li et al. thus only a brief overview is provided here. (2014). which is perpendicular to the channel). which is parallel to the channel). A detailed description of these catchments can 2. . Fig.. Li et al. Hydrogeosphere (HGS) is used as the fully integrated SW/GW model to model (Li et al. 2013. Schematic representation of steps in the proposed methodology. HGS has been applied successfully to various studies.. catchment aspect ratio (AR). The hydrological such processes subject to a variety of physical characteristics and forcings. 2009). 2014).

although a daily time step is used in this study. The method uses the ﬂuid mass balance from ability to account for baseﬂow when predicting streamﬂow by using a baseﬂow the fully integrated SW/GW model of each node at each model time step to calculate index (BFI). Catchment characteristic Unit Explanation Values considered Ks m/s Saturated hydraulic conductivity 2.1. respectively. Li et al. it becomes runoff and is divided between surface runoff ﬂuxes are correspondingly half of those expected when accounting for both sides of (quickﬂow) and baseﬂow. The AWBM is a typical lumped CRR model.. 2. conﬁguration of three different surface storages.078 Darwin 014015 1707.008.4.99 1005. it is a reasonable assumption that it should be able to reproduce As mentioned previously.. affect the separation of rainfall excess into quickﬂow/baseﬂow storage and the baseﬂow component of total streamﬂow. the fraction is determined using the modiﬁed mixing rule (Campana routed surface runoff recession constant (KSurf) are used to describe the daily and Simpson. 2. which is the ratio of the amount of baseﬂow to the total amount of the fraction of water in the cell that comes from different streamﬂow generation streamﬂow and determines the proportion of excess moisture at each time step that mechanisms (e. streamﬂow (qobs obs obs T ). model dynamics into account in different ways is investigated in this study. surface attenuation store. When combining the HMC capacity variation over the catchment is described by the combination of the surface method with the fully integrated SW/GW model. fjðkÞ 2. As a result.161.2 catchments (see Partington et al.029. 8. Moisture graphs (i. As the aim of the AWBM is to represent the underlying the HGS parameters can be found in Li et al.11 1004. 2. If there is example of the catchment conﬁgurations considered in Fig. rainfall is all simulations are conducted for only half of the catchment. 192 S1 e Hill slope (perpendicular to the channel) 0. Australian Water Balance Model (AWBM) which is referred to as quickﬂow in this study. 0. baseﬂow and quickﬂow hydrographs). C2 tained using the integrated SW/GW model.793.. City Gauge Average annual rainfall Rainfall data period for Average annual potential ET R/ET (average annual rainfall/average annual no.75 b e van Genuchten parameter 1.270 A km2 Catchment area 6. 1. 0.004. for modelling rainfallerunoff relation- permeability systems (Schwartz et al. At each time step. 2010).25. a calibration approach that does not take internal ical processes used to describe the movement of water into and out of storages. 2011.01 AR e Ratio of catchment width to length (x/y) 0. 48. 120. 2013). A number of software frameworks have been developed for hydrological modelling and are in active use.12 1004. The quickﬂow (qobs Q ) is taken as the difference between the total streamﬂow (qobs obs T ) and baseﬂow (qB ).556. A2 and A3.16 1999e2009 2056. Further description of the code and its ships. and quick-ﬂow hydrographs. and the reported any excess from any store. Details of the optimisation draulic information and is able to capture the storage effects and time lags within method and error measure used in the calibration methods are given Sections 2. C2 and C3.0025. (2011) as: AWBM parameters and their ranges used is given in Table 3. 0. In this study.97 0.3..e. as well Values of all of the eight parameters listed in Table 3 are obtained as part of the as the corresponding simulated total streamﬂow and baseﬂow hydrographs ob- different calibration methods investigated. 0.g.. 2013). with each surface storage.4. 2014).005. 4.02 S2 e Channel slope (along the channel) 0. ij denoting volume into cell j from cell i over As stated previously. model dynamics into account in different ways on the ability to predict total-. 2004. The baseﬂow hydrograph (qobs B ) is extracted from the model using the uses rainfall and actual evapotranspiration as inputs and principally consists of a Hydraulic Mixing-Cell (HMC) method (Partington et al. baseﬂow from fully integrated SW/GW models.008. 0 1 Pn N such as the Rainfall Runoff Library (RRL) and hydromad (Hydrological Model BV N1 Pm V N C N1 j¼1 Vji N1 fjðkÞ Assessment and Development) package (Andrews et al.16 1984e1994 1470. V denotes the volume with the superscript denoting time state and subscript i denoting the cell. each node in the surface domain of storages and the related fractional areas. (2014).0. 1. steps. 1.44 1005.4. 2.3.70 1004 a e van Genuchten parameter 0.net. 2. and KSurf affects the routed surface runoff. It also adopts the structure of transferring a fraction of the generated runoff numerical formulation can be found in Therrien et al. The depths of these storages The HMC method developed by Partington et al.811 .22 1997e2007 2077 1. A summary of the tion mechanism k at time N in cell i is given by Partington et al. 2014). correspond to the parameters C1.5 bank storage dynamic processes analysis (Doble et al.90 1.au/rrl). 2012) and the study of dual and spatial variability of the abstractions. 0. calibration methods are summarised in Section 2. groundwater discharge to the stream). AWBM N B i j¼1 ij N1 C N1 fiðkÞ ¼B N Cf þ @ V N Vi A iðkÞ Vi N is implemented using the RRL developed by the Cooperative Research Centre on i Catchment Hydrology (www. As can be seen.4.33 0.4. representing the impacts of antecedent wetness (Method 1). C1.576 Sydney 070062 1095.1.190 Brisbane 031011 2238. 2011). 3. Calibration methods The dataset of the 66 catchment characteristics and hydrological inputs. 3. physical processes. the HGS models are used to obtain the ‘observed’ the dynamics of the rainfallerunoff relationships generated synthetically using HGS.33 1968e1978 911. base- with interconnected storages and algorithms that mimic the underlying hydrolog. baseﬂow (qB ) and quickﬂow (qQ ) hydrographs for the 66 The detailed structure of the AWBM is given in Fig. the catchment used in this study is symmetrical. 1984). 5.. Calibration of Australian Water Balance Model (AWBM) in the neighbouring cell j.572.. The equation for each fraction f for each streamﬂow genera. model dynamics into account explicitly is used to provide a basis of comparison AWBM uses three surface stores. / Environmental Modelling & Software 66 (2015) 57e68 Table 1 Catchment characteristics considered (adopted from Li et al..toolkit. 3. and total streamﬂow is the sum of surface runoff and the stream. 2.347 Melbourne 086071 525.32. which provides a means of estimating and 2. A fraction of the total area is associated poral information of ﬂow generation mechanisms to obtain the component hydro.60 L. 9. 2004) and is now one of the most widely used CRR models in Australia (Marshall In order to be able to assess the impact of calibration methods that take internal et al. 2004). the AWBM catchments.016. 1. Details of the calibration methods are The AWBM is a saturation overland ﬂow model developed by Boughton (1993.5. 1. given in Table 4 and Fig. 11.370. N1 denotes fraction k at time N1 Where there are n sources and m sinks for cell i.012. 0. AWBM can be operated at either daily or hourly time As shown in Fig. discharge from baseﬂow and surface runoff (quickﬂow) storage. as shown for one added to each of the surface stores and evapotranspiration is subtracted. Detailed information of the catchment model with the selected values of baseﬂow (Boughton. as represented by the parameters A1. 0. can be downloaded as supplementary and C3) are related to the moisture capacity of the catchment. (2011) utilises the spatiotem.. 6. The daily baseﬂow recession constant (KBase) and daily streamﬂow.955.006. (mm/a) sampling (mm/a) potential ET) Adelaide 023011 510. the effectiveness of calibration methods that take internal the time step from N1 to N and ji denoting volume from neighbour j into i. (2009) and Brunner and direct to the baseﬂow store at the same time as the residual is transferred to the Simmons (2012). 0. An important feature of AWBM is the the model is treated as a mixing-cell. 1. 80. Ranatunga et al. 0. Five of these parameters (A1. For each component of is returned to the baseﬂow. The The HMC method extracts streamﬂow generation mechanisms using only hy. A2. 2008).37 0. two (BFI and KBase) material. Table 2 Hydrological inputs considered (adopted from Li et al.85 1982e1992 920.75.

in which BFI and KBase are calibrated to baseﬂow extracted from . shown in Fig. a two-step process is adopted as follows: method. In the second step. Fig. L. 2014). Method 1: of total streamﬂow. / Environmental Modelling & Software 66 (2015) 57e68 61 Fig. 3. Li et al. 5. an attempt is made to obtain the and that obtained using HGS (qobs T ) using the selected optimisation method. Consequently. 4. BFI and KBase. as best possible match to the baseﬂow hydrograph. In each (qsim obs T ) and that obtained using HGS (qT ) using the selected optimisation of these methods. In the ﬁrst step. are The methods used for obtaining values of BFI and KBase for Methods 2e7 from estimated. 1. Methods 2e4 belong to of rainfall excess into quickﬂow/baseﬂow storage and the baseﬂow component the ﬁrst category. BFI and KBase are selected for this step as they control the separation the above step 1 can be divided into three broad categories. all parameters are calibrated simultaneously so as to minimise the a direct effect on the baseﬂow hydrograph produced by AWBM. values of two of the model parameters. The aim of this calibration method is to provide the best possible ﬁt 2. BFI and KBase are ﬁxed at the values obtained in the ﬁrst step to total streamﬂow. and the remaining parameters are calibrated simultaneously so as to minimise As can be seen from Fig. without any consideration of internal model dynamics. six different methods (Methods 2e7) are used. selected error measure between the total streamﬂow obtained using AWBM (qsim T ) by estimating values of these parameters ﬁrst. 5. and are therefore the two parameters that have In Method 1. Structure of AWBM.. respectively. in order to take internal model dynamics into account the selected error measure between the total streamﬂow obtained using AWBM explicitly during calibration. An example of the 3D catchment model for the case study (adopted from Li et al.

and quick-ﬂow hydrographs obs LHð0:925Þ produced by HGS. inputs than the corresponding ﬁlter parameter in the Boughton ﬁlter (Li et al. / Environmental Modelling & Software 66 (2015) 57e68 Table 3 Method 5: AWBM parameter description and ranges.. obs LHðoptÞ the “observed” baseﬂow is given by (qB ). (2014) used in Methods 6 and 7. a modiﬁed version of the procedure for improving baseﬂow esti- mation using RDFs suggested by Li et al. 4). except that Method 4 (Eckhart ﬁlter) is used RDFs. or by regression. 5 Estimate BFI and KBase based on regression relationships with catchment characteristics and hydrological inputs and then calibrate remaining parameters to total streamﬂow. BFI and KSurf are calibrated simultaneously so as to minimise the selected error Method 3: measure between the quickﬂow obtained using AWBM (qsim Q ) and that obtained Method 3 is identical to Method 2. KSurf.62 L. values of BFI and KBase are obtained directly (i. 2005) Model calibration is conducted using the shufﬂed complex evolution (SCE-UA) obs EckðoptÞ is used to obtain the hydrograph of “observed” baseﬂow (qB ). When people have actually tried to measure baseﬂow (although in (Benchmark 2). A1a Partial area 0e1 similar to the regression relationships for predicting ﬁlter performance and optimal A2a Partial area 0e1 ﬁlter parameters developed by Li et al.2. First. which determines the magnitude of the baseﬂow component within total an estimate of the optimal ﬁlter parameter as a function of catchment characteristics streamﬂow (Fig. use Method 3.e. the remaining parameters are set to the optimal values obtained Benchmark 2 (Quickﬂow): using Method 1. If the performance of the LH ﬁlter is comprised solely of baseﬂow. in which BFI predicted to be acceptable.0. as in Methods 2e4. including genetic algorithms (GAs) (Goldberg. 1999.0. accuracy of the RDF. 7 Identical to Method 6. 4 First calibrate BFI and KBase to baseﬂow obtained using Eckhart ﬁlter with optimal ﬁlter parameters and then calibrate remaining parameters to total streamﬂow. the regression total HGS streamﬂow using recursive digital ﬁlters (RDFs). Table 4 Summary of calibration methods.. However. In addition. Calibration Details method 1 Calibrate all parameters simultaneously to total streamﬂow. Method 3 is used to obtain estimates of BFI and KBase. Method 5 belongs to the second category. if this is not the case.9e0. Murphy et al. (2014) is used to determine whether the LH ﬁlter which determines the magnitude of the quickﬂow component within total can provide satisfactory estimates of baseﬂow for a particular catchment based on streamﬂow (Fig. 2004. in Method 7: which BFI and KBase are either estimated by calibration to baseﬂow extracted using Method 7 is identical to Method 6. Li et al.925. istics and hydrological inputs. the parameters that affect baseﬂow B ) and that obtained using the Lyne and Hollick (LH) RDF (Nathan and McMahon. (2014). 2014). without cali- bration) by developing regression models predicting KBase and BFI as a function of Parameter Description Parameter range the catchment characteristics (Table 1) and hydrologic inputs (Table 2) investigated. 0.98 are found to be reasonable for real catchments. as detailed below: only a few catchments). (2014) to determine whether the LH ﬁlter can provide satisfactory estimates of baseﬂow. 2 First calibrate BFI and KBase to baseﬂow obtained using LH ﬁlter with default ﬁlter parameter (0. based on the predicted instead of Method 3 (LH Filter).4. mated using the regression relationship developed by Li et al. except that the Eckhart ﬁlter (Eckhardt. 3 First calibrate BFI and KBase to baseﬂow obtained using LH ﬁlter with optimal ﬁlter parameters and then calibrate remaining parameters to total streamﬂow. estimated in step 1 of the procedure for obtaining the quickﬂow benchmark searchers since. The SCE-UA algorithm is based on the strengths of that can be estimated more easily from catchment characteristics and hydrological several existing search procedures. 2009). Details of the different methods for estimating BFI and KBase in In order to be able to assess the absolute performance of the different calibration the ﬁrst step of the two-step process described above are given below. only difference is in the way the parameters affecting baseﬂow (i. so that the total streamﬂow produced by AWBM is and hydrological inputs. comprised solely of quickﬂow. . relationship developed by Li et al. using the selected optimisation method. Methods 6 and 7 belong to the third category. The resulting C3 Surface storage capacity 0e500 regression equations and scatter plots are shown in Fig. is set as 1. In order to do this. 4). Values of BFI BFI Baseﬂow index 0e1 are calculated as the ratio of the volume of baseﬂow to the volume of total C1 Surface storage capacity 0e50 streamﬂow obtained from HGS and KBase is obtained by performing recession C2 Surface storage capacity 0e200 analysis on the total streamﬂow hydrographs obtained from HGS. In Method 5. using the selected optimisation method.and quick-ﬂow processes.925 is adopted are estimated in step 1 of the procedure for obtaining the baseﬂow benchmark by Nathan and McMahon (1990) based on comparison of the results of this ﬁlter (Benchmark 1) and the way the parameters affecting quickﬂow (BFI and KSurf) are with manual methods.e. and KBase are estimated using regression relationships with catchment character. Consequently. Franchini et al. If not. except that Method 4 is used instead of Method 3. because it has been proven to be both accurate and efﬁcient in previous the LH ﬁlter.and quick-ﬂow hydrographs.925 (qB ).. which provides KBase. BFI can be KBase Daily baseﬂow recession constant 0e1 predicted very well and KBase can be predicted reasonably well. 2014. using the selected optimisation method. (2014) is used in order to improve the baseﬂow estimates obtained using the LH ﬁlter in Method 5. Method 4: 2. rather than using the default value of 0. a value of the LH ﬁlter parameter of 0.98 is found to produce Benchmark 1 (Baseﬂow): a better ﬁt (CSIRO and SKM. Optimisation method Method 4 is identical to Method 3. 6 Use the regression relationship developed by Li et al. use calibration Method 5. so that the total streamﬂow produced by AWBM is catchment properties and hydrological inputs.and quick-ﬂow hydrographs Method 2: accurately. using Method 2. which has been recommended for the purposes of being one of the best search procedures for use in CRR modelling applications (Ajami estimating BFI for AWBM by Boughton (2004). as in Method 5. As can be seen..925 is the most measure between the baseﬂow obtained using AWBM (qsim B ) and that obtained with commonly accepted value in most published studies. 1998). and to be able to assess the degree to which the structure of AWBM is In Method 2. The LH ﬁlter is used to obtain the baseﬂow hydrograph as it is calibration methods. two benchmarks are developed. rather than algorithm. 1990). a A1 þ A2 must be less than or equal to 1. 6.. with and quickﬂow are calibrated to the “observed” base. 2001). Li et al.925) and then calibrate remaining parameters to total streamﬂow.0. In order to do this. except that the LH ﬁlter parameter is esti. using HGS (qqobs HGS ). which are also used to assess the performance of the different the ﬁlter parameter set to its default value of 0. Method 6: In Method 6. SCE-UA is widely recognised as Boughton ﬁlter (Boughton. BFI and KBase) It should be noted that the LH ﬁlter with a ﬁlter parameter value of 0. but has a ﬁlter parameter (BFImax) et al. 1989) and the Nelder & Mead Simplex downhill search scheme (Nelder and Mead. A two-step calibration process similar to that used for Methods one of the most widely used RDFs and has been found to give good results in a 2e4 is used in order to obtain the benchmark base. During the calibration process HGS (qBobs HGS ). BFI and KBase are calibrated simultaneously so as to minimise the able to represent base. If so. Although LH ﬁlter parameter values in the range BFI and KBase are calibrated simultaneously so as to minimise the selected error of 0. methods in terms of their ability to predict base. and this value has been widely adopted by a number of re. is set as 1. As selected error measure between the baseﬂow obtained using AWBM (qsim part of the benchmark development process. Method 5 is used. 2010). 1993). These results also KSurf Daily surface ﬂow recession constant 0e1 indicate that BFI and KBase are closely related to catchment characteristics and hydrological inputs. The number of case studies (Arnold and Allen.. The Eckhart ﬁlter is used as it is mathematically identical to the studies (Hapuarachchi et al.

au/rrl). equiﬁnality is a potential problem and to ensure near globally optimal solutions are obtained. Initial testing dem- gorithm. and therefore. Summary of AWBM calibration methods. daily streamﬂow.. A The length of streamﬂow data available for AWBM calibration is 10 years (Li detailed description of this method can be found in Duan et al. the models to account for residual water in the catchment by partially ﬁlling their tion parameters to reduce the chance of premature termination of the search al.net. In this study. Nonlinear regression models for the prediction of BFI and KBase. The ranges of all of the et al.net. Ef values are calculated by comparing the difference Fig. in which the The choice of an appropriate error measure is very important (e. Chrono- recommended values in Duan et al. the warm up period directly precedes the calibration period. but also introduces the concept of complex shufﬂing (Duan et al. each calibration run is repeated ten times. 2014). In order to check whether parameter logically. (1992).4.toolkit. storages. 5. . 6. 1965). which enables toolkit. is calibrated against In this study. The calibration period requires a warm up period. 2013).3. the NasheSutcliffe coefﬁcient (Ef) (Nash and Sutcliffe. see Bennett algorithm searches for the optimal parameter combination. (1994).. which primes the models for the calibration period. / Environmental Modelling & Software 66 (2015) 57e68 63 Fig.. AWBM runs on a daily time step. The number of complexes is set equal to the number of calibra. Li et al.g. SCE-UA is implemented using the Rainfall Runoff Library (www. measures in hydrology. as it is one of the most highly used performance Library (www. All of the other parameters are set to the onstrates that a 1 year warm up period is sufﬁcient for model calibration. as suggested by Kuczera (1997). Another important aspect in the 2. L. Error measure application of SCE-UA is that a parameter space needs to be deﬁned. 1992). eight AWBM parameters used are based on the suggestions in the Rainfall Runoff 1970) is chosen for this purpose. et al.au/rrl) and are listed in Table 3.

as discussed previously.g. / Environmental Modelling & Software 66 (2015) 57e68 between the ‘observed’ (e. However.64 L. whereas the results with parameters that result in poorer internal model dynamics (e. As can be seen in Fig. for baseﬂow.5). the pattern of baseﬂow obtained with param- eter set 1 is very similar to the pattern of quickﬂow obtained with parameter set 2). in the practical application of AWBM.e. the parameters of Set 2 can be avoided. 4. as indicated by signiﬁcantly better matches to the base. Ef values between 0. In Fig.0 indicating a model that can make predication of the same Overall. This is because there are two distinct sets of model parameters that result in similar model performance in terms of total streamﬂow during the 10 calibration trials conducted for some of the 66 catchments. Performance of AWBMs for the different calibration methods investigated.8 result in poor model performance (Fig. . 3. Ef values between 0. similar total streamﬂow can be ob- tained by exchanging parameter values for KBase and KSurf. Gupta and Kling (2011) indicate that high values of Ef can give poor model performance. The per- formance of models developed using the different calibration methods is assessed using Ef and by visual inspection. the internal dynamics are much better when parameter set 1 is used. there is no control on internal model dy- namics and the only objective is to ﬁnd a set of model parameters that provides the best match to the “observed” total streamﬂow hydrograph. The ability of AWBM to represent quickﬂow inspected following optimisation. An exact criterion of ranges of Ef values using all calibration methods investigated. the performance of the model can be judged as satisfactory when Ef values catchments (54%e68%) “good” performance is obtained.4. although more subjective than the use of statistical catchments and “good” performance for fewer than 20% of the measures of goodness-of-ﬁt. (qobs B and qobs Q )) (Fig. baseﬂow and quickﬂow from AWBM. with “poor” model indicting model performance does not exist in the literature. This is because experienced modellers would usually subjectively assess the values Fig. Consequently. For most of the indicate ‘acceptable’ model performance. cedure (i.5 show ‘acceptable’ model per.g.g. the performance of AWBM models calibrated using the different methods outlined in Section 2. the AWBM total streamﬂow is the sum of routed surface runoff and baseﬂow.7e0. as observed in the calibration re- sults for Method 1. as shown in Fig. 7(b)). 8(b)) are represented by Set 2.0 and 0. This is because when Method 1 is used. It can also be seen that two sets of results are presented for Method 1. 1). each with a single parameter (KBase for baseﬂow and KSurf for routed surface runoff). as in Fig. However. the results show that total streamﬂow is predicted well quality as the mean of the observations. where “poor” performance is obtained for more than formance and ‘poor’ model performance is represented by negative values of Ef. Results and discussion The performance of the AWBMs calibrated with the seven different methods investigated.and quick- ﬂow hydrographs. good overall model performance is obtained for both parameter sets in terms of matching total streamﬂow. 8.e. all of the results with parameters that result in better internal model dynamics (e. half (58%e74% (ignoring Method 1 with parameter set 2)) of the However. outputs from HGS simulations) and simulated time of the KBase and KSurf parameters based on the calibration pro- series for each time step for total streamﬂow. Chiew and Method 5 (Regression) is used. how well the AWBM generated baseﬂow (qsim sim B ) and quickﬂow (qQ ) hydrographs match the corre- sponding hydrographs obtained using HGS) (i. are greater than 0. Method 1) and only accept values that seem reasonable. except when empirical guidelines are given when implementing Ef as the metric. 7. with 0. although various performance for fewer than 10% of the catchments. Evaluation of model performance As mentioned previously.g.0 (perfect model performance). with good performance for 32%e41% of the catchments when the calibration methods that consider internal 2. while Moriasi et al. “acceptable” (0 Ef < 0. (2007) suggest.e. The Ef value ranges from ∞ (very bad model performance) to 1. as well as that of the two bench- marks. Consequently.5. An example of this is given in Fig. 8(a) and (b). In this study. Li et al. 7. However.1 is compared in terms of overall model predictive performance (i. resulting in model equiﬁnality. 8(a)) are represented by Set 1. in general. the results are presented in terms of the percentage of models developed for the 66 catchments resulting in “good” (Ef 0. for each of the total-. is slightly better.and quick-ﬂow hydrographs. It is clearly evident that the baseﬂow and quickﬂow patterns are reversed for the models with the different parameter sets (e. 7(a)). However. is summarised in Fig.5) and “poor” (Ef < 0) performance. both of which are modelled in an identical fashion. base. how well the total streamﬂow generated using AWBM (qsim obs T ) matches the corresponding streamﬂow generated using HGS (qT )) and the accuracy of the resulting internal model dynamics (i. plots of simulated and observed hydrographs are also catchments (Fig. in which case 15% of catchments McMahon (1993) and Ladson (2008) suggest that Ef values above about 0. especially model performance. 7.5 and 1.e.0 correspond to ‘good’ the internal model dynamics are not represented as well. As can be seen.5. as in Fig.

the catchments. As shown in Fig. Methods 2e7) are used and poor “poor” model performance. although Method 1 results in a signif- performance for fewer than 30% of the catchments (12%e29%) icantly smaller number of catchments with “good” performance (Fig. base.and quick-ﬂow hydrographs obtained for two distinct parameter sets obtained using Method 1 for one of the 66 catchments investigated. / Environmental Modelling & Software 66 (2015) 57e68 65 Fig. the performance is only obtained for 12% of catchments.e. base. (a) gives the total-. Set 2) by accepting the parameter set the method calibrates all of the model parameters simultaneously that seems reasonable. model dynamics explicitly (i. As discussed above. This indicates that the RDFs are able to produce reason- performance of Method 1 is comparable with that of the other ably accurate estimates of baseﬂow.g. experienced modellers could avoid an inap- of matching total streamﬂow (Fig. there is only a small percentage of catchments with baseﬂow produced by HGS. Methods 2-4) result in the best match to model performance for quickﬂow estimation. overall performance of the method is best in terms of total able” performance is achieved for the vast majority of the streamﬂow prediction and reasonable compared with that of the remaining catchments (71%). with poor performance for only 17% of other methods in terms of baseﬂow and quickﬂow prediction. This is because very in order to obtain the best match to total streamﬂow. “poor” per- is at the expense of internal model dynamics. the baseﬂow. the method results in the second highest percent. Li et al. Nevertheless. Example of total-. irrespective of the method used. However. as propriate parameter set (i. used. However. 7(c)). “good” compared with the other calibration methods.and quick-ﬂow hydrographs simulated using AWBM with the “good” set of parameters from calibration Method 1.e. the equiﬁnality problem requires careful attention.and quick-ﬂow hydrographs simulated using AWBM with the “bad” set of parameters from calibration Method 1. where BFI and KBase are calibrated to the estimation.e. 7. this poor internal model dynamics can be obtained (e. but “accept. 8. which is evidenced by the fact methods in terms of baseﬂow estimation. base. It should be noted that when Method 1 is used. which is the same baseﬂow used for . age of catchments with “poor” model performance for baseﬂow The methods that calibrate the BFI and KBase to the baseﬂow estimation and the lowest percentage of catchments with “good” extracted using RDFs (i. This is not surprising. L. (b) shows the total-. formance for 100% of the catchments in terms of baseﬂow predic- there is a potential problem with equiﬁnality as a result of the tion and for 50% of the catchments in terms of quickﬂow structure of AWBM. even if the results for Set 1 prediction) if the inappropriate parameter set (Method 1 (Set 2)) is are considered. as baseﬂow is estimated that the performance of Methods 2e4 is only slightly worse than poorly. Method 1 is the best-performing calibration approach in terms although in practice. In relation to quickﬂow that of Benchmark 1 (i. 7(a)). Consequently.e. as discussed above.

e.e. methods investigated. This study offers an analysis of seven calibration methods under hart ﬁlter (Method 7) overall. might Eckhart ﬁlter performs slightly better. prediction of quickﬂow is much formance and second highest percentage of catchments with better.66 L. the LH method with optimal ﬁlter parameter values produces the 4. then internal model dynamics are likely a non- worst. The stances. This improvement is compromise in terms of performing reasonably well on all three particularly signiﬁcant in terms of producing “good” estimates of hydrographs (i. previously. the impact of seven different calibration methods method compared with Method 2 is that information on catchment on the ability of AWBM to predict total-. Which calibration that they are more complex to apply than the other methods. as discussed above. the improvements ob- method in each case. dicting total streamﬂow over short time periods (days to weeks) Of the three methods considered. the regression equations for predicting ﬁlter performance. / Environmental Modelling & Software 66 (2015) 57e68 performance assessment). a disadvantage of this In this paper. perform better. black-box models. total-. the suggestion by Boughton (2004) that the Boughton ﬁlter. (Method 6) provides the best overall trade-offs in terms of In relation to total streamﬂow. which uses the LH within the bounds (minimum and maximum ﬂow) for which it has ﬁlter with its default ﬁlter parameter value of 0. The use of Methods 2e4 results in a signiﬁcant increase in the per. their performance is more consistent than that of any methods. there is also a slight with optimal ﬁlter parameters and the regression approach increase in the percentage of catchments with “bad” performance. performs been calibrated. This supports This highly difﬁcult challenge is strived for where the model use is. Method 2. indicate that total streamﬂow can generally be predicted to an The regression method (Method 5) results in the best perfor. as method should be used is based which component of the ﬂow is of they require baseﬂow extraction using a RDF.997. base. total streamﬂow prediction is the most . However. slight reduction in performance compared with Method 1. If the model purpose requires the model to be “right centage of catchments with “good” performance and a slightly for the right reasons”. it is also the worst-performing 88%. AWBM represents internal physical processes could be improved by drological inputs is needed in order to apply the regression equa. Li et al. with the percentage of catchments for which good the best-performing methods for any of the three hydrograph performance is obtained increasing from ~10% to ~40% for most components. using additional information about the catchment. smaller percentage with “poor” model performance. The results making it more difﬁcult to apply. “poor” performance for 57% of the catchments) tends to catchment characteristics and hydrological inputs using AWBM. It also indicates that there is some catchment characteristics and hydrological inputs in order to apply beneﬁt in terms of improving internal model dynamics by con. in such in- Eckhart ﬁlters with optimal ﬁlter parameters) is very similar.and quick-ﬂow properties and hydrological inputs is needed in order to apply the hydrographs is assessed for 66 synthetic catchments with regression equations used to obtain optimal ﬁlter parameter values.and quick-ﬂow). Overall. with acceptable performance levels ranging from 71% to “good” performance. with a slightly larger per. due to problems imposed by the con. However. Median BFI ¼ 0. while the performance of the other two methods (i. Of the methods investigated. acceptable level for more than 90% of the 66 synthetic catchments. the changes in performance are due to the calibration method or Overall. as part of which While use of Methods 2e4 is able to produce the best results in BFI and KBase are calibrated to the baseﬂow obtained using the LH terms of baseﬂow estimation. calibration process. baseﬂow.and quick-ﬂow among Methods 2e4. the method using the LH tained by using Methods 2-7 are only small (generally < 5%). Summary and conclusions best trade-offs in performance between matching total-. performing only slightly In contrast.925. The relatively poor performance for Bench. This raises questions about the way the processes asso- straints of the model structure in AWBM preventing simulation of ciated with these streamﬂow components are conceptualised in the whole range of baseﬂow dynamics resulting from the complex AWBM. Generally. A disadvantage of these methods is which model internal consistency is assessed. This disparity in performance between baseﬂow and quick- method in terms of matching total. is well suited to use with AWBM. different physical properties and hydrological inputs. ﬁlter (Method 6) performs better than the method using the Eck. as shown in tions used to obtain values of BFI and KBase as part of the calibration Methods 2e7. base. While they are not quickﬂow. such as artiﬁcial neural networks. base. Of the two methods.e. The method mance levels ranging from 26% to 41% for the different calibration results in the smallest percentage of catchments with “poor” per. as AWBM is unable to provide good predictions of the other methods and not far from that of the best-performing of baseﬂow in general. Even though performance in terms of baseﬂow hydrograph prediction. obtain- straining BFI and KBase to ensure that baseﬂow is matched as well ing the optimal ﬁlter parameters and obtaining direct estimates of as possible. However. However. However. An advantage ﬂow prediction is despite the fact that the hydrographs for the 66 of the method is that it does not require estimates of baseﬂow synthetic catchments consist of a wide range of BFI values hydrographs (only total streamﬂow hydrographs are needed). the benchmarks are used to test how much poor. streamﬂow can be predicted very well over a wide range of mark 1 (i. but a (0. mance in terms of matching quickﬂow. If the model purpose is only pre- and depletion. as mentioned simulating ﬂows outside of the calibration range.53). the results quantitatively demonstrate that while total the model structure. baseﬂow is predicted poorly. which for example: aiding catchment behaviour understanding and/or is mathematically identical to the Eckhart ﬁlter. LH and issue and it is just a curve ﬁtting exercise.and quick-ﬂow. provide the best the ability to match total streamﬂow and quickﬂow. then process representation is important. the suggest that the improvement that is possible by adopting this component hydrographs are not modelled very well. particularly approach is rather limited. The pertinence of such questions is dependent on the underlying physical processes associated with baseﬂow generation purpose of the model though. regression method (Method 5) provides the best match to the centage of catchments with “good” performance in terms of quickﬂow hydrographs and the hybrid method using the LH ﬁlter quickﬂow prediction compared with Method 1. BFI and KBase in the case where predicted ﬁlter performance is As stated previously. use of Methods 2e4 also results in a matching all three hydrographs. suggesting that the way disadvantage is that information on catchment properties and hy. Methods 3 and 4. as well as data on most interest. there are some trade-offs in terms of and Eckhart ﬁlters with optimal ﬁlter parameters. Use of the calibration methods that take internal model dy- The two methods combining aspects of the ﬁlter (Methods 2-4) namics into account explicitly (Methods 2-7) results in improved and regression (Method 5) methods (Methods 6-7) provide a good prediction of the component hydrographs. with acceptable perfor- worse than the quickﬂow benchmark (Benchmark 2).006 < BFI < 0.

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