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Current situation and trends in gate design for water

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conservancy and hydropower engineering in China
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Z. Xuecai   , W. Wenwu   , W. Fan   , W. Zhengzhong   , X. Zhang   
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Abstract: To address the contradiction between supply and demand of water resources in China,
mitigate ood and drought disasters, develop sustainable hydropower resources, realize the
transformation of the energy industry structure, and realize the Chinese dream of building a
beautiful China, the construction of high dams and large reservoirs is imperative. The gates of such
conservancy and hydropower structures play an important role in regulating water resources. Only
through the exible operation of gates can the high dams and large reservoirs be adjusted in real
time to meet the needs of ood control, power generation, and water resource allocation. The safety
of gates largely determines the security of the dams and the life and property of people residing
downstream. Therefore, the safety design of gates is of utmost importance. This paper presents a
comprehensive analysis of the status of development of water conservancy and hydropower
engineering gates; material selection, connection methods, classi cation, selection, design of gates;
as well as the design codes for gates in international engineering. This paper also elucidates the
emerging trends related to materials, structures, connection methods, and design methods of gates.

Key points: Water resources; Hydropower resources; Energy structure; High dams and large
reservoirs; Current situation and trend of gates

0 Introduction
Water resources are fundamental natural and strategic economic resources; with the rapid
socioeconomic development in China, the availability of water resources has become a major
challenge for sustainable development. China has extensive water resources, with more than 50,000
rivers within its borders, each covering a basin area of over 100 km2. The total annual precipitation is
618.89 billion m3; the average annual surface water resource is 2.7115 billion m3, while the average
groundwater resource is 888.8 billion m3. Deducting redundant data, the average annual water
resource is 281.2 billion m3(Zheng 2012). However, China’s vast territory and complex terrain makes
it strongly sensitive to monsoon precipitation, and the distribution of precipitation is extremely
unbalanced. In general, water resource distribution in north of China is considerably less compared
with that in south of China. The four catchments of the Yangtze River, the Pearl River, the
southeastern rivers, and the southwestern rivers in the south account for 36% and 54.4% of the
country’s cultivated land and population, respectively. Water resources in the South account for 81%
of that in the country. Precipitation is concentrated in the short rainy season, with usually 60%–70%
of the annual rainfall occurring from June to September. Rainfall in the ood season accounts for
60%–80% and 80% of the annual rainfall in the South and North, respectively. The characteristics of
water resources in China are uneven regional distribution, unbalanced land and water resources,
concentrated distribution during the year, and large inter annual variation. Moreover, continuous wet
and continuous dry years are prominent. Hence, China is prone to oods and droughts and thus
experiences extremes in the supply and demand of water. These aspects have necessitated the
arduous task of developing and utilizing sustainable water and hydropower resources in China.

Hydraulic engineering involves the control and deployment of surface water and groundwater in
nature such that the associated merits are promoted and detriments are mitigated. The presence of
water resources in the natural state is not adequate to fully meet the needs of humans; the
construction of water conservancy projects is inevitable to control, regulate, and allocate water;
develop and utilize water energy to meet the needs of the country’s economy; and maintain social
sustainable development. In the 20th century, developed western countries entered the peak period
of water conservancy and hydropower infrastructure construction; similar projects in China began to
gradually progress after 1949. Hydropower does not consume the limited mineral resources, is
recyclable, and is environment-friendly; in addition, hydropower stations and reservoirs can
contribute to the local climate and environment. Before 1949, China’s hydropower installed capacity
was merely 160 MW, and its annual power generation was only 700 million kWh. By 2017, China has
ranked rst in the world in this regard, with these values reaching 340 million kW and 1.1 trillion kWh,
respectively. China is the world leader in both the theoretical potentiality and actual technological
exploitation of hydropower resources. China holds about 1/6 of the world’s total hydropower
resources; currently, only approximately 30% is being used, meaning that there is huge potential for
development. The theoretical potentiality of the hydropower installed capacity is as high as 694,400
MW. In terms of the technological exploitation of hydropower resources, the three most proli c
Chinese provinces (districts) are Sichuan (1200040 MW), Tibet (110004 MW), and Yunnan (101939
MW), accounting for 22%, 20%, and 19% of the nation’s technologically exploitable volume,
respectively. The three highest levels of technological exploitation of river hydropower resources in
China are in the Yangtze River Basin (256273 MW), Brahmaputra River Basin (67850 MW), and Yellow
River Basin (37343 MW), which account for 47%, 13%, and 7% of the nation’s total technological
exploitation, respectively.

To better solve the mismatch between supply and demand of water resources in China, mitigate
ood and drought disasters, develop contained hydropower resources, realize the transformation of
the energy industry structure, and realize the Chinese dream of building a beautiful China , the
construction of high dams and large reservoirs is imperative, such as large-scale Gezhouba hydraulic
engineering (1988)， Longyangxia hydraulic engineering (1992), Tianshengqiao hydraulic engineering
(1998), Xiaolangdi hydraulic engineering (2001), Three Gorgeshydraulic engineering (2006), Shuibuya
hydraulic engineering (2007), Xiaowan hydraulic engineering (2010), Xiangjiaba hydraulic engineering
(2014), Xiluodu hydraulic engineering (2015), and Baihetan hydraulic engineering (2022) (Liu et al.
2016). Gates of hydraulic engineering projects play an important role in regulating water resources. A
gate, which is an important component of a hydraulic structure, fully or partially opens the ori ces of
the structure as required to regulate the upstream and downstream water levels, discharge ow,
power station operation, navigation, and other control functions. Flexible operation of reservoir gates
facilitates real-time ood control, power generation, and water resource allocation. Moreover, the
safety of gates largely determines the security of the dams and the life and property of people
residing downstream. Gates account for a large proportion of the total cost of hydraulic structures,
generally accounting for 10%–30% and as high as 50% in some projects (Anhui Survey and Design
Institute of Water Conservancy and Hydropower. 1980). Therefore, the safety design of gates is a
critical task. This study focuses on the development of reservoir gates, material selection, connection
methods, classi cation, selection, design process, design code for gates in international engineering
and discusses the emerging trends related to research on large hydraulic gates.

1 Current situation of gates

With the rapid development of water conservancy and hydropower engineering projects, by the end
of 2014, China had built more than 98000 reservoirs of various types, with a total storage capacity of
8.166 × 1011 m3. Twenty super-high dams (height 200 m or taller) have been constructed or are
under construction, of which two dams are over 300 m. China has the largest reservoirs and dams in
the world (Department of Construction and Management of the Ministry of Water Resources. 2012;
Wang et al. 2017). With the continued construction of high dams and large reservoirs and the
continual improvement of the manufacturing level of metal structures, hydraulic gates tend to have
higher water heads, larger ori ces, and greater discharging capacity than ever before; consequently,
the load and deadweight of the gates are continually increasing. The world’s largest gates are the
Bureya hydropower Tainter gate, which is 63 × 17.5 m2 in size (He 1993); Xiluodu Tainter gate, which
has a maximum weight of 702 tons; Inguri Tainter gate, which has a maximum head of 181 m; and
Rotterdam new waterway tidal gate, which has a maximum span of 360 m. Table 1 summarizes
details of the world’s large and high-head gates, and Table 2 summarizes the details of China’s large
and high-head gates, most of which are located in the Southwest.

The rst ship lock was built in the Cascades Canal, United States, in the 1880s. The rst steel gate was
constructed in the mid-1930s. The earliest known Tainter gates were four 8.75 m × 1.0 m (width ×
height) gates located on the Seine in Paris, built in the 1930s. In the United States, a three-curved-
bar–type wooden Tainter gate was built in 1810, and a drive chain was installed to control the
opening and closing of the upstream panel. A 12.0 m × 1.87 m (width × height) Tainter gate was built
in Germany around 1895; around the same time, a document describing the use of radial gates on
the Mississippi River was published in the United States. In 1976, about 28 Tainter gates were
installed in Bavaria, Germany. Since then, reservoir gates have seen rapid development and
widespread application and have been designed in various forms.

Table 1 Statistics of large and high-head gates in the world

Size of ori ce

Total water
No. Engineering Country Gate name （water head, width × height-water Gate type
pressure（kN）
head, m）

Rotterdam New
1 Netherlands Tide lock 360.0×22.0–17.0 700000 Tainter gate
Channel
Emergency Plane chain
6.8×9.0–120.0 73540
2 Tianshengtiao-I China gate wheel
Service gate 6.4×7.5–120.0 87350 Tainter gate
3 Serre Poncon France Emergency 6.2×11.0–124.0 84300 Plane chain
 gate wheel
Emergency Plane xed
4.0×9.0–132.0 48694
4 Laxiwa China gate wheel
Service gate 4.0×6.0–132.0 46096 Tainter gate
Emergency Plane sliding
5.0×12.0–133.0 87200
5 Jingping-I China gate gate
Service gate 5.0×6.0–133.0 52120 Tainter gate
Brazil
Plane xed
6 Itaipu Service gate 6.7×22.0–140.0 190150
Paraguay wheel

Plane xed
7 Tarbela Pakistan Service gate 4.1×13.7–141.0 75350
wheel
Emergency Plane xed
5.0×11.0–152.0 84530
8 Shuibuya China gate wheel
Service gate 6.0×7.0–154.0 102200 Tainter gate
Emergency Plane chain
5.0×12.0–160.0 106300
9 Xiaowan China gate wheel
Service gate 5.0×7.0–163.0 110000 Tainter gate
10 Enguri Georgia Bottom outlet φ4.35–181.0 32560 Paradox gate

Table 2 Statistics of large and high-head gates in China

Size of ori ce

No. Engineering Province Gate name Total water pressure（kN） Gate type
（width × height-water head, m）

1 Longyangxia Qinghai Service gate 5.0×7.0–120.0 42050 Tainter gate

2 Dongjiang Hu Nan Service gate 6.4×7.5–120.0 57670 Tainter gate
Emergency gate 6.8×9.0–120.0 73540 Plane chain wheel
3 Tianshengqiao-I Gui Zhou
Service gate 6.4×7.5–120.0 87350 Tainter gate
4 Nuozhadu Yun Nan Service gate 5.0×8.5–126.0 84800 Tainter gate
Emergency gate 7.0×9.0–124.0 84900 Plane chain wheel
5 Pubugou Si Chuan
Service gate 6.5×8.0–126.3 121870 Tainter gate
Emergency gate 4.0×9.0–132.0 48694 Plane xed wheel
6 Laxiwa Qing Hai
Service gate 4.0×6.0–132.0 46096 Tainter gate
Emergency gate 5.0×12.0–133.0 87200 Plane sliding gate
7 Jingping-I Si Chuan
Service gate 5.0×6.0–133.0 52120 Tainter gate
8 Xiaolangdi He Nan Service gate 4.8×4.8–140.0 42130 Tainter gate
Emergency gate 5.0×11.0–152.0 84530 Plane xed wheel
9 Shuibuya Hubei
Service gate 6.0×7.0–154.0 102200 Tainter gate
Emergency gate 5.0×12.0–160.0 106300 Plane chain wheel
10 Xiaowan Yun Nan
Service gate 5.0×7.0–163.0 110000 Tainter gate
2 Material selection and connection methods of gates

2.1 Material selection

The material used for gates of high dams and large reservoirs is mainly determined by the
technology, economic conditions, and the importance of the gate at that time. With socioeconomic
development, gate materials have also developed, from the initial wooden, cast-steel, cast-iron, and
reinforced-concrete gates to modern steel gates. The speci c principles underlying the determination
of the material for a gate are as follows:

1) For a small ori ce, the water head and the number of instances of gate opening and closing
are low, so wood can be used as the gate material. However, wood has poor durability in water
and would need to be replaced frequently. Therefore, wooden gates are no longer used.

2) For gates with a small ori ce or a complex shape, cast steel or cast iron can be used;
however, this material has disadvantages, including high labor requirement, casting process
workload, and cost as well as susceptibility to corrosion when the gate is kept closed or open
for a long time, when the gate is subject to abnormal operation of the hoisting equipment, and
when the gate has low bending strength. The cast-steel or cast-iron gates are rarely used in
present times.

3) Reinforced-concrete gates are no longer used due to their heavy weight, di culty of opening
and closing ori ces, and low ability to achieve water sealing.

4) Steel gates possess advantages such as relatively high strength, sti ness, and stability;
convenient processing; being light weight, which reduces the hoist capacity; e ective sealing
ability; and exible operation. Moreover, the steel output is high in China. Therefore, all water
conservancy and hydropower gates in China are made of steel. The cost of stainless steel is
generally four to eight times that of carbon steel, so in engineering structures, stainless-steel
gates are not used. However, with the continuous development of the economy and
manufacturing technology, high-performance stainless steel can be considered in future. This
paper [javascript:showjdsw('showjd_0','j_0') describe]s carbon steel gates (hereinafter, “steel
gates”).

2.2 Connection methods

The process of connecting gates to a reservoir structure can be generally classi ed into four types:
riveting, welding, casting, and mixed connection. Riveting gates were common before and after 1949,
but because of the high consumption of steel, labor intensity, and manufacturing costs, this method
has gradually been eliminated with the continuous improvement and popularization of welding
technology. Welding is currently the main method of connecting steel gates. In the past, manual arc
welding method was predominantly used; this approach is labor intensive and ine cient. With the
development of welding technology, automatic welding has become more prevalent; this approach
improves the quality of welding products and reduces production costs. Casting is a method suitable
for small-ori ce or complex-shaped gates. However, casting gates are generally expensive and entail
high process di culty and workload; hence, this approach is not used often. Mixed-connection steel
gates may be more advantageous in cases where, for example, the gate needs to be installed under
extremely low-temperature conditions, the eld lacks proper protective measures, and welding does
not guarantee quality. In such cases, welded gates with bolted joints can be used. In addition, for
reinforcing or rebuilding existing gates while accounting for the e ect of weight on the original
structure, mixed connection can be used.
3 Classi cation and composition of gates

Per their function, gates can be classi ed into service gates, emergency gates, bulkhead gates, and
construction diversion gates. A service gate is often used to adjust the ow through ori ces and
undertake the main work of the structure; it can be opened and closed under hydrodynamic action.
An emergency gate can be closed during a hydrodynamic situation, such as when an accident occurs
in the upstream or downstream facilities. A bulkhead gate can be opened and closed under
hydrostatic action when the associated facilities need to be repaired. A construction diversion gate
can close diversion holes under hydrodynamic action.

Per the position of the gate with respect to the ori ce, gates can be classi ed into surface gates and
submerged gates. For a surface gate, the upper edge of the gate panel is higher than the upstream
water level, whereas for a submerged gate, the upper gate edge is lower than the upstream water
level, as shown in Figures 1 and 2, respectively.

Per the design retaining water height of the gate, gates are classi ed into low-head gates (design
retaining water height < 25 m), mid-head gates (25–50 m), high-head gates (50–80 m), and super-
high-head gates (>80 m).

Figure 1 Surface gate Figure 2 Submerged gate

Per their structural feature, gates can be classi ed into Tainter gates, plane gates, and miter gates, as
shown in Figures 3–5, respectively. The main components of a gate are as follows: 1) movable part:
this structure adjusts the extent of ori ce opening and is generally called the gate leaf; 2) gate buried
part: this structure mainly refers to the part embedded in the civil engineering structure, and it
transfers the load acting on the gate leaf; 3) hoisting equipment: it is the manipulation mechanism
for controlling the position of the gate leaf in the ori ce. The gate leaf consists of the following: i) gate
faceplate: it closes the ori ce and directly bears the water pressure; ii) frame: this structure, having
su cient strength and sti ness, supports the gate faceplate and transmits the water pressure from
the faceplate to the supporting parts; iii) supporting-walking part: these components can pass the
force transmitted from the frame to the structure and ensure a exible and reliable movement of the
gate leaf; iv) spreaders: these components are connected to the hoisting equipment; v) water seal:
this component is used to block the gap between the gate leaf and the buried part, preventing
leakage of water through the gate when the ori ce is closed.
 Figure 3 Tainter gate

Figure 4 Plane gate

Figure 5 Miter gate

4 Basis for selection of gates

From the engineering perspective, the appropriate selection of gate type is a delicate and complex
task that involves many determining factors. For the selection of the gate type, designers should
consider not only the various requirements of the hydraulic structure and the gate but also the
purpose and convenience of use as well as the available technology and economical rationality. In
addition, the gate must complement the design of the entire hydraulic structure. The speci c
requirements are as follows: 1) The gate should meet all operational requirements of the structure;
2) the hydraulic conditions of the gate should be good, the discharge capacity should be large, and
vibration and cavitation should not occur; 3) the gate structure should be simple and easy to
manufacture, install, and transport; 4) the hoisting capacity of the gate should be small, and the
operation should be simple and exible; 5) the gate should be easy to repair and maintain; 6) the
sealing characteristics of the gate should be e ective; and 7) the gate should be lightweight, and the
construction cost should be reasonable.
4.1 Selection of gate type

4.1.1 Tainter gate

Tainter gates have been widely used given their outstanding advantages as an “attractor” in the
development of water conservancy and hydropower projects in China. The current design codes
“Design code for steel gate in water resources and hydropower projects (SL74-2013)” (Ministry of
Water Resources of the People's Republic of China 2013) and “Design code for steel gate in
hydropower projects (NB35055-2015)” (National Energy Administration 2015) stipulate that service
gates in drainage systems should utilize Tainter gates. A Tainter gate requires a gate pier of low
height and thickness to ensure that no gate slot interferes with the water ow regime. Moreover, a
Tainter gate has a small hoisting capacity, fewer gate buried parts, smooth water ow behind the
gate, and good over ow condition. Therefore, Tainter gates are widely used in drainage structures
and are major hydraulic structures.

The load-bearing structure of a Tainter gate is composed of a radial plate, main beams, secondary
beams, vertical bracing systems or separators, gate arms, and gate hinges. The main frame is the
main loading-bearing structure of a Tainter gate; it bears the water pressure transferred from the
plate and the secondary beam and transfers it to the gate hinges; therefore, the main frame
determines the safety and economy of the entire Tainter gate structure. The main frame structure
can have either a horizontal beam frame structure or a vertical beam frame structure, depending on
the width–height ratio β of the ori ce. When β ≤ 0.6, a main vertical beam frame structure is more
suitable, whereas when β ≥ 1.4, a main horizontal beam frame structure is apt; when 0.6 < β < 1.4,
the arrangement form and number of main girders depend on the total water pressure (Liu et al.
2010). The main horizontal beam frame structure of a Tainter gate consists of a horizontally placed
main horizontal beam on gate arms, as shown in Figure 6. Figure 6(a) shows a straight gate arm
frame with a cantilever, and Figure 6(b) shows an inclined arm radial gate frame, where the gate arms
are inclined with the main beam. According to the design code, the length of the cantilever at both
ends of the main beam should be 0.2L (where L is the span of the main horizontal beam). Figure 6(c)
shows a straight gate arm frame without a cantilever. The main beam and gate arm are orthogonal to
each other, and the gate arm is located at both ends of the main beam. In fact, both (a) and (c) are
special cases of (b); when the length of the cantilever (c) is zero, (b) becomes (c) and when the gate
arm is perpendicular to the main beam, (b) becomes (a). From the perspective of civil construction
and whole structure safety and economy, (b) has comprehensive advantages. Given the continuous
improvement of modern manufacturing levels, manufacturing of the complex structure of the
articulated gate hinge is no longer a problem.

(a) (b) (c)

Figure 6 Main framework type of a Tainter gate

Since 1949, most water conservancy and hydropower projects have adopted Tainter gates and have
withstood the trial of complex environments in China. At present, China’s large-scale water
conservancy projects are in the rapid development stage and most of them are large- or medium-
scale types (Zhang et al. 2018); for such projects, Tainter gates are particularly suitable and can be
appropriately modi ed according to the needs of the project. Tainter gates are the most promising
for service gates with high heads or large ori ces, and so they are used worldwide for such situations
(He 1991). In the past 20 years, China’s high dams and large reservoirs have developed rapidly, and
Tainter gates are more widely applied than are plane gates as they require gate piers with low height
and thickness and do not entail gate slots that a ect the water ow regime. In addition, their hoisting
capacity is small, they require fewer gate buried parts, the water ow is smooth before and behind
the gate, and the over ow condition is appropriate. The construction cost of a high-water-head
Tainter gate is also lower than that of a plane gate of the same size.

4.1.2 Plane gate

In the 1950s and 1960s, a period of economic slowdown in China, plane gates were widely used in
water conservancy and hydropower projects. Plane gates have such advantages as simple structure,
easy installation and maintenance, and interchangeability. However, these gates have such
disadvantages as large hoisting capacity, poor local opening conditions, presence of gate slots that
a ect water ow, and vulnerability to gate vibration and cavitation damage. In particular, with the
construction of high-water-head power stations and large-scale hydrojunctions, the application of
plane gates has been limited. Per the gate leaf structure, plane gates can be classi ed into vertical lift
gates, horizontal lift gates, horizontal pull gates, rotary gates, oat sinking gates, transverse stacking
gates, and vertical row gates. The main structure arrangement of a plane gate is determined on the
basis of the components that need to be set on the gate, the number of each type of components
needed, and the location of each component. Whether the structural arrangement is reasonable
relates directly to factors such as whether the gate is easy to use, safe, and durable; saves material;
requires simple construction method; and is easy to manufacture. The design must be considered in
overall consideration and arrangement. A plane gate is composed of three parts: the gate leaf
structure, buried parts of the gate slot, and the mechanical equipment for opening and closing the
gate. The gate leaf structure is a type of water-retaining structure, which is mainly composed of
panels, beam grillages, coupling systems, and other components.

Plane gates comprised of beam grillages can be classi ed as pure main beam-type, primary-
secondary beam-type, and ordinary-type plane gates. In the pure main beam type, no secondary
beam is installed between the main beams. The panel is directly supported on the main beam, and
the water pressure on the panel is transmitted directly to the side beams on both sides through the
main beam. It is simple to manufacture and involves a simple force transfer method. However, it
requires a thicker panel, so it is suitable only for gates with a small span and a large height. The
primary-secondary beam consists of vertical secondary beams arranged between the main beams to
increase the support of the panel. In this arrangement, the water pressure from the gate panel is
transmitted to the main beam through the secondary beam and then to the support side beam. This
beam system is suitable for medium-span gates. The ordinary type consists of horizontal secondary
beams set between the vertical secondary beams to maintain an economical panel thickness. This
type of beam system is most commonly used in engineering applications.

4.1.3 Miter gate

Miter gates are mainly used as service gates for large or medium ship locks because of their
reasonable arrangement structure and form, convenient and reliable operation, small raising force,
and low material requirement. A miter gate can be classi ed as plane miter gates and arched miter
gates, as shown in Figures 7 and 8, respectively. In the design of Chinese ship locks, the service gates
are subjected to medium or high water head and are opened and closed under static water
conditions. For example, the Three Gorges (with a maximum gate height of 38.5 m), Gezhouba, and
other projects have used miter gates as service gates.
A miter gate is composed of two gate leaves that rotate around a vertical axis. When the two gate
leaves are closed, they are supported on each other’s diagonal stanchion to form a three-hinged arch
such that the channel ori ce is closed. Upon opening, the two gate leaves are separated and hidden
in the threshold of the lock head’s side pier. The force condition of a miter gate is similar to that of a
three-hinged arch, and the gate is especially advantageous for high-head and long-span ship locks. A
miter gate is used as a service gate that opens and closes under a hydrostatic condition. Typically, it
cannot withstand inverted water pressure, and even a small water head can cause the gate to
suddenly open, causing an accident. Therefore, it is necessary to install a security device. The gate
leaf has low torsional rigidity, which leads to easy distortion and deformation of the gate leaf during
long-term operation.

Figure 7 Schematic of plane miter gates Figure 8 Schematic of arched miter gates

A miter gate mainly consists of the following components. 1) Panels: they connect with the vertical
beams, main beams, and secondary beams and directly withstand the water pressure. 2) Main
beams: they are the main load-bearing members of the gate and generally use solid-web I-shaped
sections. 3) Vertical beams: these components are set perpendicular to the direction of the main
beams and connect the main beam to increase the integral rigidity of the gate. They are mostly solid-
web I-shaped sections. 4) Horizontal secondary beams: these are placed between the main beams to
reduce the thickness of the panels. 5) Top hinges: they are the upper bearings that prevent the gate
from overturning and ensure the gate maintains its vertical position. 6) Bottom hinges: they are
important and complex components that bear the vertical dead weight of the gate and form the
theoretical axis together with the top hinges when the gate opens or closes. 7) Push–pull rods: they
are important components connecting the gate and the hydraulic hoist. During the opening process,
the push–pull rod bears the axial pull force, whereas during the closing process, it is in a pressured
state. 8) Back tie rods: they increase the sti ness of the entire gate, especially the back position to
prevent the gate from deformation. Push–pull rods are set as decussation rods on the negative side
water of the gate.

5 Gate design

The design of a gate is a systematic project. It is necessary to consider all aspects and ultimately
ensure that the design of a gate structure is convenient to use, advanced in technology, and
economically rational. The following information is essential for gate design: 1) The situation of the
hydraulic structure, such as the gate’s function, scale, importance, operational characteristics, and
speci c structural arrangements. 2) The condition of the gate ori ce, ori ce scale, number of ori ces,
and requirements for gate operating procedures. 3) The upstream and downstream water level
conditions of the gate. 4) Water quality of reservoirs, especially for reservoirs with large sediment
contents, considering the in uence of siltation on the gate and hoisting capacity. 5) The
meteorological and seismic data of the location of the reservoir, mainly including whether the
reservoir freezes in winter, whether discharge of ice is required, and whether the reservoir region is
susceptible to earthquakes. 6) Manufacturing and installation of gate. If the gates are manufactured
at a factory, the limited load and height of the roads along the way must be considered. In addition,
the gate should be placed at a position where the water ow is relatively smooth, which prevents
lateral ow and vortex in front of the gate; the out ow and back ow should be submerged behind
the gate; and the bottom and top of the gate should be lled with water simultaneously should be
avoided.

The gate design process is shown in Figure 8.

Figure 8 Design process ow of gates

5.1 Planar system method

The current gate design code of China is based on the structural mechanics method and allowable
stress method of a planar system. Although the calculation is simple and easy, it does not accurately
re ect the interrelationships between the components of the entire gate. The planar system method
divides the spatial structure into several independent planar structural systems and determines the
strength, sti ness, and stability on the basis of the actual most-likely unfavorable load combinations
under both basic and special load combination conditions, such as those related to panels, beams,
main beams, and arms. This method uses a clear and simple calculation concept and is accepted by
the majority of designers. For the longitudinal beams and panels of Tainter gates, the in uence of
curvature is ignored, and the loadings on these members are determined approximately assuming a
straight beam and plate. The loading component and connector  of a gate should be checked for
normal stress, shear stress, and reduced stress as well as for the components bearing normal stress
and shear stress. For bending, compression, and eccentric compression members, the overall and
local stability should be checked. However, the planar system method calculates the gate structure
separately, ignoring the coordination of the overall work of each component and thus does not
re ect the spatial e ect of the Tainter gate structure. The design is generally conservative, resulting
in excessive gate material (20%–40%), wastage of material, and increased hoisting capacity. The
speci c design ow of the planar system method is shown in Figure 9. The speci c structural
calculations mainly include those of panels, bottom beams, top crossbeams, small horizontal beams,
vertical separators, gate arms, internal forces of frameworks in the transient of gate opening, global
stability of arms, local stability of arms, side longitudinal beams, and raising forces.

5.2 Spatial system method

The spatial system method analyzes and calculates the gate as a whole spatial frame system.
Practically, a gate is a complete spatial structural system, with its components coordinated with each
other. The external force and load acting on the gate structure are shared by all the components.
When calculating the internal force of each component according to the plane system, irrespective of
how ne the assumption is, it does not fully re ect their true working conditions. The analysis of the
gate structure according to the spatial system formally started only after Vlazov’s theory of opening a
thin-walled frame structure was proposed (Anhui Survey and Design Institute of Water Conservancy
and Hydropower. 1980). The rapid development of the spatial nite element method has enabled
complete analysis and calculation of a gate structure in accordance with the spatial system, which
fully considers the integrity, spatial force characteristics, and deformation characteristics of the gate
as a spatial structure. The Soviet Union was one of the earliest countries to begin applying this spatial
structural analysis method. Chinese design companies, universities, and research institutions have
been utilizing the spatial structural analysis method to analyze and calculate Tainter gate structures.
Using the spatial nite element method to calculate the gate structure, the strong spatial e ect of the
gate is fully re ected and the stress and deformation of each component can be accurately
calculated. It can not only result in conservation of materials and weight reduction of the gate but
also improve the overall safety of the gate. The spatial system calculation method can be used as a
method for verifying the planar system calculation method in order to ensure safe operation of a
Tainter gate structure. Using the spatial nite element method to analyze the static and dynamic
characteristics of the gate structure has become the typical approach.

From the perspective of accurate structural calculation and safety checking, it is necessary to use a
structural nite element method to analyze the gate structure. Most of the design institutes and
universities in China have applied the spatial nite element method for analyzing the gate structure
since the 1970s. In the past forty years, the method has been increasingly applied; for example,
Lanzhou University et al. (Lanzhou University Department of mathematics and mechanics 1977) ,
Zhang Yulin et al. (Zhang et al. 1978) , Liu Lihua et al. (Liu et al. 2004), Guo Guizhen et al. (Guo 2011),
Hu Jianjie et al. (Hu et al. 2014), Lian Ziyi et al. (Lian 2017), and Li Sangjun et al. (Li et al. 2018). In
addition, commercial nite element software packages have advanced and already incorporate the
conditions for structural calculation. Although the nite element method is used to analyze the
structural strength, sti ness, and stability of a gate, there are di erences to be compared with the
current allowable stress method. Although how to deal with the problems of stress concentration in
the analysis requires further research, these problems can be addressed by taking as reference
relevant speci cations and scienti c research results, thus not a ecting the application of the nite
element method. Therefore, under the premise of using the planar system method for structural
type selection and initial selection of member sections, the three-dimensional nite element method
should be used for structural calculation and safety veri cation.

Gate vibration is a special hydraulic problem involving ow conditions, gate structures, and their
interactions and is a category of uid elastic theory. Although there are di erent explanations for the
external cause of gate vibration, the natural vibration frequency of the gate is its internal cause. The
natural frequency of the gate is an inherent parameter of the gate structure, which is determined by
the structural rigidity, mass distribution, and material properties of the gate. In the current analysis
of gate dynamics, most of the work is done by calculating the natural vibration frequency of the gate
and comparing it with the excitation frequency of the force. When the excitation frequency of the
force is close to or equal to the natural frequency of the gate system, the amplitude of vibration will
gradually increase and the gate will resonate; this is regardless of whether the excitation frequency is
intrinsic to the external force or it is a secondary frequency caused by the coupling of the structure
and the water ow. Due to the damping e ect, the amplitude does not increase inde nitely but will
reach a large value, resulting in the intensive local or holistic vibration of the gate. Therefore, unusual
stresses and strains occur in the gate structure, causing damage to the gate. Thus, in the designing of
a gate, the self-vibration frequency of the gate structure can be set such that it is far from the high-
energy uctuating frequency region of the water ow by adjusting the rigidity, mass distribution, and
material properties of the gate structure to ensure the safety of the gate structure. The following
studies have used the spatial system method to analyze the dynamic characteristics of gates: Zhou
Jianfang (Zhou et al. 1995), Xu Zhendong et al. (Xu et al. 2001), Cao Qing et al. (Cao et al. 2001), Liu
Yakun et al. (Liu et al. 2005) , Niu Zhiguo et al. (Niu et al. 2008), Lan Wengai et al. (Lan et al. 2011),
Zhao Lanhao et al. (Zhao et al. 2017), and Chang Fu et al. (Chang et al. 2018) .

5.3 Probabilistic limit state design method based on reliability

In the United States, the “Hydraulic Steel Structure Design”(Design of hydraulic steel structures 2014)
stipulates that the structural design can be carried out using the load resistance factor method and
the allowable stress method. The “Spillway Tainter Gate Design” standard (Design of spillway tainter
gates 2000) and “Plane Gate Design” standard (Vertical lift gates 1997) stipulate that the structural
design must use the load resistance factor method. In addition, the American Steel Structure
Association, American Highway and Transportation Association, and the American Welding Society
also require that the structure be designed using the load resistance factor method. In China, the
“Design Code for the Steel Structures” (Ministry of Construction of the People's Republic of China
2003)stipulates that, with the exception of fatigue calculation, a limit state design method based on
probability theory should be adopted, and the design expression of the partial coe cient is nearly
the same as that of the United States. Many scholars have conducted relevant research on the
reliability of hydraulic gates. Fan Chongren (Fan et al. 1992) and Zhou Jianfang et al. (Zhou 1995) have
discussed the reliability of the gate design code, and Wang Zhengzhong (Wang et al. 1998) proposed
a series and parallel model and calculation method for the reliability calculation of a Tainter gate
spatial frame system. Li et al. proposed(Li et al. 2003) a life prediction method based on the reliability
theory for active steel gate structural members. Li (Li 2016) evaluated the fatigue reliability of steel
gates on the basis of Bayes’ theorem, and Yan Genhua and Yan Shiwu (Yan et al. 1996) proposed an
expression suitable for calculating the ow-induced vibration dynamic reliability of a gate on the
basis of an overtaking mechanism. However, the lack of statistical data of hydraulic gate loads and
the unclear failure criterion are the bottlenecks hindering the application of the probabilistic limit
state method. This is mainly attributed to the harsh working environment of hydraulic gates, complex
operating conditions, various forms of damage, and complex mechanisms. It is di cult to accurately
calculate the load and resistance indicators in the limit state equation. Consequently, in the current
design of China’s water conservancy and hydropower gates codes, the allowable stress method is still
being used.

The basis of the probabilistic limit state design method is a large number of statistical parameters.
Therefore, it is necessary to continue with the observation of gate prototypes, collect statistical data
of various types of gate ow loads under various operating conditions, and determine the
probabilistic and statistical characteristic parameters of the load and various partial coe cients. In
addition, it is necessary to study the parametric vibration and dynamic instability mechanisms of
gates during the discharge process, explore structural dynamic failure criterion, and lay the
foundation for the application of the hydraulic gate probabilistic limit state method.

6 Design basis of gate in international projects

The quality of water conservancy and hydropower projects in China has reached international
standards. With the continuous reduction of the stock of hydropower resources under construction
in China (Han et al. 2014), internationalization has become a trend; however, international practice is
based on the seamless connection between design codes and international standards. At the core of
engineering design lies the code; therefore, systematic research and mastering of international codes
is the starting point for taking the country toward overseas markets; it is also the key to
strengthening international competitiveness. China’s current codes are “Design Code for Steel Gate in
Water Resources and Hydropower Projects (SL74-2013)” and ”Design Code for Steel Gate in
Hydropower Projects (NB35055-2015).” The current U.S. codes are “Hydraulic Steel Structure Design”
(2014), “Spillway Tainter Gate Design” (2000), and “Plane Gate Design” (1997). The current European
code is “Hydraulic Steel Structure Design (Hydraulic steel structures—Part 1 2014; Hydraulic steel
structures—Part 2 2014; Hydraulic steel structures—Part 3 2014). The U.S. codes and the European
codes use the limit state design theory and partial coe cient design based on the probabilistic limit
theory, but the Chinese speci cations adopt the allowable stress method. Therefore, the Chinese
gate design codes are lagging behind the U.S. speci cations and the European speci cations. To
ensure that gates designed using Chinese gate design codes are safe and economical as well as can
better integrate with international speci cations and participate in international water conservancy
and hydropower projects, China should accelerate the research and application of the probabilistic
limit state method for design speci cations of hydraulic gates. When designing international water
conservancy and hydroelectric engineering gates, the design speci cations should be selected
according to the requirements of the owner's engineers. The internationally accepted design codes
are generally American and European speci cations.

7 Development trend of gates

Since the rst use of gates in hydropower projects, they have developed in tandem with the
socioeconomic advancement and progress of science and technology. To meet the needs of the
construction of the high dams and large reservoirs, gates have continuously developed in terms of
large span, high gates, high head, large scale, light weight, and esthetic value. The calculation theories
and methods for gates are constantly evolving through integration of modern computing technology
and information technology, speci cally the integration of structural calculation, structural
optimization, structural design, structural manufacturing, CAD(Computer Aided
Design)/CAE(Computer Aided Manufacturing)/BIM(Building Information Modeling), as well as 3D
printing. Regarding materials, structures, connection methods, and design methods of gate, the
application of super-strength steel in the construction industry, the bionic technology in the
engineering structure, the plastic welding technology in the automotive industry ( Chang D et al.
1974; Wang et al. 2013 ), and the international advanced design methods are expected to become
trends.

Use of high-strength or super-strength steel: With the continuous construction of large-scale projects
such as high dams and large reservoirs, large or super-large hydraulic gates will be required to bear
immense water thrust. Conventional steels will be ine cient in terms of operational exibility as well
as would pose di culties in manufacturing, transportation, and installation. To reduce deadweight,
especially with the continuous improvement of China’s super-strong steel technology and industrial
production (He et al. 2017), using super-strong steel for large or super-large gates will become a
trend.

Use of bionic structure: To solve the problem of buckling instability of the gate arm, the method of
biomimetic mechanics is used. The methods simulating the “universal hinge” of an animal’s long
bones and the honeycomb structure are used to solve the problem of instability of gates, because it
is mostly caused by the buckling of the arm under the action of hydrodynamic load. Using this
method of simulating the universal joint, the bending moment generated by the dynamic load of a
gate leaf cannot be transmitted to the arm, thus ensuring axial compression of the arm and
improving its static and dynamic stability. Similarly, applying a layer of damping material on the
surface of the arm in the form of simulating an animal’s long bone can reduce the vibration e ect of
the gate leaf load on the arm and thus improve the stability of gates.
Use of adhesive bonding technology: Chang et al. (Chang et al. 1974) found that super-light adhesive
connection has the advantages of simple construction, nonresidual stress, signi cant reduction of
stress concentration, high bonding strength, and reliable connection characteristics of dissimilar
materials; these features can increase the rigidity, strength, and durability of a structure. Wang
Laiyong et al. (Wang et al. 2013) invented structural adhesive for bonded steel, which has good
adhesive properties; this steel imparts uniform stress distribution, high shear strength, and good
mechanical toughness to the structure. In addition, the adhesive bonding technology has the
advantages of both adhesive bonding and welding. The fatigue resistance of a soldered joint is better
than that of a welded joint. Using this new and developing adhesive bonding technology in the
connection of gate structures, many problems of structural welding and bolting can be solved.

Use of international advanced gate design methods: To ensure that gates designed using Chinese
gate design standards are safe and economical and can be integrated with international standards as
well as to better participate in the design and construction of international water conservancy and
hydropower projects, China’s relevant gate design codes should adopt a limit state design theory and
multi-partial coe cient design based on probability limit theory.

Acknowledgments

The authors wish to acknowledge the nancial support provided by the Ministry of science and
technology of People's Republic of China. The authors would like to express their special thanks the
chief editor of the Journal, who assisted with the good suggestions for revision.

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KEYWORDS

Water resources; Hydropower resources; Energy structure; High dams and large reservoirs; Current
situation and trend of gates

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