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Stability-Constrained Optimization for Modern
Power System Operation and Planning
IEEE Press
445 Hoes Lane
Piscataway, NJ 08854
IEEE Press Editorial Board
Sarah Spurgeon, Editor in Chief

Jón Atli Benediktsson Behzad Razavi Jeffrey Reed


Anjan Bose Jim Lyke Diomidis Spinellis
James Duncan Hai Li Adam Drobot
Amin Moeness Brian Johnson Tom Robertazzi
Desineni Subbaram Naidu Ahmet Murat Tekalp
Stability-Constrained Optimization
for Modern Power System Operation
and Planning

Yan Xu
Nanyang Technological University
Singapore

Yuan Chi
Chongqing University
China

Heling Yuan
Nanyang Technological University
Singapore
Copyright © 2023 by The Institute of Electrical and Electronics Engineers, Inc. All rights reserved.

Published by John Wiley & Sons, Inc., Hoboken, New Jersey.


Published simultaneously in Canada.

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Library of Congress Cataloging-in-Publication Data:


Names: Xu, Yan (Associate professor), author.
Title: Stability-constrained optimization for modern power system operation
and planning / Yan Xu, Nanyang Technological University, Singapore, Yuan
Chi, Chongqing University, China, Heling Yuan, Nanyang Technological
University, Singapore.
Description: Hoboken, NJ : Wiley-IEEE Press, [2023] | Series: IEEE Press
series on power and energy systems | Includes index.
Identifiers: LCCN 2023002456 (print) | LCCN 2023002457 (ebook) | ISBN
9781119848868 | ISBN 9781119848875 (adobe pdf) | ISBN 9781119848882
(epub)
Subjects: LCSH: Electric power system stability.
Classification: LCC TK1010 .X83 2023 (print) | LCC TK1010 (ebook) | DDC
621.319–dc23/eng/20230214
LC record available at https://lccn.loc.gov/2023002456
LC ebook record available at https://lccn.loc.gov/2023002457

Cover Design: Wiley


Cover Image: © Leo Pakhomov/Shutterstock

Set in 9.5/12.5pt STIXTwoText by Straive, Pondicherry, India


v

Contents

About the Authors xvii


Foreword xix
Preface xxi

Part I Power System Stability Preliminaries 1

List of Acronyms 3

1 Power System Stability: Definition, Classification, and Phenomenon 5


1.1 Introduction 5
1.2 Definition 6
1.3 Classification 6
1.4 Rotor Angle Stability 7
1.4.1 Large-Disturbance Rotor Angle Stability 8
1.4.2 Small-Disturbance Rotor Angle Stability 9
1.5 Voltage Stability 10
1.5.1 Large-Disturbance Voltage Stability 10
1.5.2 Small-Disturbance Voltage Stability 12
1.6 Frequency Stability 12
1.7 Resonance Stability 14
1.7.1 Torsional Resonance 14
1.7.2 Electrical Resonance 14
1.8 Converter-Driven Stability 16
1.8.1 Fast-Interaction Converter-Driven Stability 16
1.8.2 Slow-Interaction Converter-Driven Stability 16
References 18

2 Mathematical Models and Analysis Methods for Power System


Stability 19
2.1 Introduction 19
2.2 General Mathematical Model 19
vi Contents

2.3 Transient Stability Criteria 20


2.4 Time-Domain Simulation 21
2.5 Extended Equal-Area Criterion (EEAC) 23
2.6 Trajectory Sensitivity Analysis 26
2.6.1 Basic Concept 26
Nomenclature 29
References 30

3 Recent Large-Scale Blackouts in the World 33


3.1 Introduction 33
3.2 Major Blackouts in the World 33
3.2.1 Blackouts Triggered by Transmission Line Out-of-Service 33
3.2.1.1 U.S.–Canada Blackout (2003) 33
3.2.1.2 Europe Blackout (2006) 34
3.2.1.3 U.S. Blackout (2011) 35
3.2.1.4 South Australia Blackout (2016) 36
3.2.1.5 Venezuela Blackout (2019) 38
3.2.2 Blackouts Triggered by Equipment Faults 38
3.2.2.1 Brazil Blackout (2018) 38
3.2.2.2 Singapore Blackout (2018) 39
3.2.2.3 U.S. Blackout (2021) 39
3.2.3 Blackouts Triggered by Cyber Attack 40
3.2.3.1 Ukraine Blackout (2015) 40
References 43

Part II Transient Stability-Constrained Dispatch and


Operational Control 45

List of Acronyms 47

4 Power System Operation and Optimization Models 49


4.1 Introduction 49
4.2 Overview and Framework of Power System Operation 49
4.3 Mathematical Models for Power System Optimal Operation 51
4.3.1 Optimal Power Flow (OPF) 51
4.3.2 Security-Constrained Optimal Power Flow (SCOPF) 53
4.3.2.1 Preventive SCOPF 53
4.3.2.2 Corrective SCOPF 54
4.3.2.3 Preventive-Corrective SCOPF 54
4.3.3 Unit Commitment (UC) 55
Contents vii

4.3.4 Security-Constrained Unit Commitment (SCUC) 57


4.3.5 Solution Strategy for Security-Constrained UC/OPF 58
4.3.6 Renewable Energy Sources in UC and OPF 58
4.3.7 Smart Grid Elements 59
4.4 Power System Operation Practices 59
Nomenclature 61
References 62

5 Transient Stability-Constrained Optimal Power Flow (TSC-OPF): Modeling


and Classic Solution Methods 65
5.1 Mathematical Model 65
5.2 Discretization-based Method 66
5.3 Direct Method 68
5.4 Evolutionary Algorithm-based Method 70
5.5 Discussion and Summary 72
5.5.1 Numerical Simulation Results on Benchmark Systems 73
Nomenclature 74
References 75

6 Hybrid Method for Transient Stability-Constrained Optimal


Power Flow 79
6.1 Introduction 79
6.2 Proposed Hybrid Method 80
6.2.1 Mathematical Model 80
6.2.2 Computation Process 81
6.2.3 Remarks 81
6.3 Technical Specification 83
6.3.1 Application of TSI and TSA Tool 83
6.3.2 Solution Approach 84
6.4 Case Studies 85
6.4.1 New England 10-Machine 39-Bus System 85
6.4.2 39-Machine 120-Bus System 90
6.4.3 Discussion 92
6.4.4 Computation Efficiency Improvement 93
Nomenclature 93
References 94

7 Data-Driven Method for Transient Stability-Constrained Optimal


Power Flow 97
7.1 Introduction 97
7.2 Decision Tree-based Method 98
viii Contents

7.2.1 DT for Classification 98


7.2.2 Preventive Control Strategy Based on DT 100
7.2.2.1 Problem Description 100
7.2.2.2 Feature Space Selection-Critical Generators Identification 101
7.2.2.3 Generation Rescheduling Within OPF 103
7.2.2.4 Computation Process 103
7.3 Pattern Discovery-based Method 103
7.3.1 Pattern Discovery 104
7.3.1.1 Overview 104
7.3.1.2 Key Definition 104
7.3.1.3 PD by Residual Analysis and Recursive Partitioning 105
7.3.2 Preventive Control Strategy Based on PD 106
7.3.2.1 General Description 106
7.3.2.2 Feature Space Selection-Critical Generator Identification 107
7.3.2.3 Pattern-based Dynamic Secure/Insecure Regions 108
7.3.2.4 Computation Process 108
7.4 Case Studies 110
7.4.1 Test System and Simulation Software 110
7.4.2 Database Preparation 112
7.4.3 DT-based Method and Numerical Simulation Results 112
7.4.3.1 Database Generation 112
7.4.3.2 Critical Generators 113
7.4.3.3 DT and Rules 115
7.4.3.4 Single-contingency Controls 116
7.4.3.5 Multi-contingency Controls 117
7.4.3.6 Conclusive Remarks 119
7.4.4 PD-based Method and Numerical Simulation Results 120
7.4.4.1 Database Generation 120
7.4.4.2 Critical Generators 121
7.4.4.3 Pattern Discovery Results 122
7.4.4.4 Preventive Control Results 124
7.4.4.5 Multi-contingency Controls 125
7.4.4.6 Discussion 127
Nomenclature 128
References 129

8 Transient Stability-Constrained Unit Commitment (TSCUC) 133


8.1 Introduction 133
8.2 TSC-UC model 134
8.2.1 Steady-State Security Constraints 135
8.2.2 Transient Stability Constraints 135
8.3 Transient Stability Control 135
Contents ix

8.4 Decomposition-based Solution Approach 137


8.4.1 Decomposition Strategy 137
8.4.2 Master Problem 138
8.4.3 Subproblem 138
8.4.3.1 Network Steady-State Security Evaluation (NSE) 139
8.4.3.2 Transient Stability Assessment (TSA) 139
8.4.3.3 Solution Procedure 140
8.5 Case Studies 140
8.5.1 Implementation of the Approach 140
8.5.2 New England 10-Machine 39-Bus System 141
8.5.2.1 SCUC Results 141
8.5.2.2 TSCUC Results-Single-contingency Case 141
8.5.2.3 TSCUC Results-Multi-contingency Case 145
8.5.2.4 Computation Efficiency Analysis 145
8.5.3 IEEE 50-Machine System 146
Nomenclature 150
References 151

9 Transient Stability-Constrained Optimal Power Flow under


Uncertainties 155
9.1 Introduction 155
9.2 TSC-OPF Model with Uncertain Dynamic Load Models 157
9.2.1 Load Modeling 158
9.2.1.1 Complex Load Model 158
9.2.1.2 Uncertainty Modeling 158
9.2.1.3 Taguchi’s Orthogonal Array Testing (TOAT) 159
9.2.2 Mathematical Model 160
9.2.3 Critical Uncertain Parameter Identification 161
9.2.4 Solution Approach 161
9.2.4.1 Master Problem 162
9.2.4.2 Subproblem 162
9.2.4.3 Computation Process 163
9.3 Case Studies for TSC-OPF Under Uncertain Dynamic Loads 164
9.3.1 Simulation Settings 164
9.3.2 Transient Stability with Dynamic Loads 165
9.3.3 Single-contingency Case for New England 10-Machine
39-Bus System 165
9.3.4 Multi-contingency Case for New England 10-Machine
39-Bus System 167
9.3.5 Result Verification 169
9.3.6 Computation Efficiency Analysis 169
9.4 TSC-OPF Model with Uncertain Wind Power Generation 170
x Contents

9.4.1 Mathematical Model 171


9.4.2 Construction of Transient Stability Constraints 171
9.4.3 Robust Design of Wind Uncertainty 172
9.4.4 Solution Approach 172
9.4.4.1 Decomposition Scheme 172
9.4.4.2 Master Problem 174
9.4.4.3 Slave Problem 174
9.4.4.4 Computation Process 174
9.5 Case Studies for TSC-OPF Under Uncertain Wind Power 175
9.5.1 Simulation Settings 175
9.5.2 Base Dispatch for New England 10-Machine 39-Bus System 176
9.5.3 Single-contingency Case for New England 10-Machine
39-Bus System 177
9.5.4 Multi-contingency Case for New England 10-Machine
39-Bus System 180
9.5.5 Numerical Test on Nordic32 System 182
9.5.6 Computation Efficiency Analysis 186
9.6 Discussions and Concluding Remarks 189
Nomenclature 189
References 190

10 Optimal Generation Rescheduling for Preventive Transient Stability


Control 195
10.1 Introduction 195
10.2 Trajectory Sensitivity Analysis for Transient Stability 196
10.3 Transient Stability Preventive Control Based on Critical OMIB 198
10.3.1 Stability Constraint Construction 198
10.3.2 Mathematical Model 199
10.3.3 Computation Process 200
10.4 Case Studies of Transient Stability Preventive Control Based on the
Critical OMIB 202
10.4.1 Simulation Setup 202
10.4.2 New England 10-Machine 39-Bus System 202
10.4.2.1 System Trajectories 202
10.4.2.2 Trajectory Sensitivities 204
10.4.2.3 Stabilizing Results 206
10.4.2.4 Control Accuracy 206
10.4.3 285-Machine 1648-Bus System 209
10.4.3.1 System Trajectories 209
10.4.3.2 Trajectory Sensitivities 211
10.4.3.3 Stabilizing Results 211
10.4.4 Computation Efficiency Analysis 213
Contents xi

10.5 Transient Stability Preventive Control Based on Stability Margin 213


10.5.1 Stability Constraint Construction 213
10.5.2 Mathematical Model 215
10.5.3 Computation Process 216
10.6 Case Studies of Transient Stability Preventive Control Based on Stability
Margin 217
10.6.1 Simulation Setup 217
10.6.2 Single-contingency Case for New England 10-Machine
39-Bus System 219
10.6.3 Multi-contingency Case for New England 10-Machine
39-Bus System 225
10.6.4 Control Accuracy 225
10.6.5 Computation Efficiency Analysis 229
Nomenclature 229
References 230

11 Preventive-Corrective Coordinated Transient Stability-Constrained


Optimal Power Flow under Uncertain Wind Power 233
11.1 Introduction 233
11.2 Framework of the PC–CC Coordinated TSC-OPF 234
11.3 PC–CC Coordinated Mathematical Model 235
11.3.1 Risk Index 235
11.3.2 Uncertainty Modeling 236
11.3.3 Two-step Bi-level Compact Model 236
11.3.4 Upper Level 237
11.3.5 Lower Level 237
11.3.5.1 Preventive Control 237
11.3.5.2 Corrective Control 238
11.4 Solution Method for the PC–CC Coordinated Model 239
11.4.1 Trajectory Sensitivity-based Stabilization Constraints 239
11.4.2 Taguchi’s Orthogonal Array Testing (TOAT) 240
11.4.3 Golden Section Search 240
11.4.4 Computation Process 241
11.5 Case Studies 243
11.5.1 Simulation Settings 243
11.5.2 Base Case Simulation 243
11.5.3 Dispatch Results 244
11.5.3.1 Single-contingency Case for New England 10-Machine
39-Bus System 244
11.5.3.2 Multi-contingency Case for New England 10-Machine
39-Bus System 246
11.5.4 Stabilization Results and Discussions 246
11.5.5 Computation Efficiency Analysis 251
Nomenclature 251
References 253
xii Contents

12 Robust Coordination of Preventive Control and Emergency Control for


Transient Stability Enhancement under Uncertain Wind Power 255
12.1 Introduction 255
12.2 Mathematical Formulation 255
12.2.1 TSRO Compact Model 256
12.2.2 Detailed Model 257
12.2.3 Uncertainty Modeling 259
12.3 Transient Stability Constraint Construction 260
12.4 Solution Approach 261
12.4.1 Reformulation of the TSRO Model 261
12.4.2 Column-and-constraint Generation (C&CG) Framework 262
12.4.3 Proposed Solution Approach 263
12.5 Case Studies 264
12.5.1 Numerical Simulation on New England 10-Machine 39-Bus System 264
12.5.2 Numerical Simulation on Nordic32 System 272
12.5.3 Computation Efficiency Analysis 275
Nomenclature 277
References 278

Part III Voltage Stability-Constrained Dynamic VAR


Resources Planning 281

List of Acronyms 283

13 Dynamic VAR Resource Planning for Voltage Stability


Enhancement 285
13.1 Framework of Power System VAR Resource Planning 285
13.2 Mathematical Models for Optimal VAR Resource Planning 285
13.2.1 Single-objective Optimization 285
13.2.2 Single-stage Multi-objective Optimization 286
13.2.3 Multi-stage and Multi-objective Optimization 287
13.3 Power System Planning Practices 288
References 290

14 Voltage Stability Indices 293


14.1 Conventional Voltage Stability Criteria 293
14.1.1 P–V Curve Method 293
14.1.2 V–Q Curve Method and Reactive Power Reserve 293
14.1.3 Modal Analysis 295
14.1.4 Continuation Power Flow Method 296
Contents xiii

14.2 Steady-State and Short-term Voltage Stability Indices 297


14.2.1 Steady-State Voltage Stability Index 298
14.2.2 Short-term Voltage Stability Index 300
14.3 Time-Constrained Short-term Voltage Stability Index 301
14.3.1 TVSI r for Voltage Recovery Stage Assessment 302
14.3.2 TVSI s for Post-contingency Steady-State Assessment 305
Nomenclature 308
References 309

15 Dynamic VAR Resources 311


15.1 Fundamentals of Dynamic VAR Resources 311
15.2 Dynamic Models of Dynamic VAR Resources 314
References 318

16 Candidate Bus Selection for Dynamic VAR Resource Allocation 319


16.1 Introduction 319
16.2 General Framework of Candidate Bus Selection 320
16.3 Zoning-based Candidate Bus Selection Method 321
16.3.1 Performance Evaluation Indices for Candidate Bus Selection 322
16.3.2 Capacity Sensitivity Analysis 323
16.3.3 Fuzzy C-mean (FCM) Clustering 325
16.3.4 Computation Steps of the Zoning-based Candidate Bus Selection 327
16.4 Correlated Candidate Bus Selection Method 327
16.4.1 Dependent Operational Variable Sensitivity Analysis 327
16.4.2 Independent Capacity Sensitivity Analysis 333
16.4.3 Candidate Bus Selection 333
16.4.4 Index for Dependent Uncertainty Sensitivity Analysis 335
16.4.5 Index for Independent Capacity Sensitivity Analysis 335
16.4.6 Computation Steps of the Candidate Bus Selection Method 336
16.5 Case Studies 338
16.5.1 Case Study for Zoning-based Candidate Bus Selection 338
16.5.1.1 Case Study 1 (Without Wind Power Generation) 339
16.5.1.2 Case Study 2 (With Wind Power Generation) 341
16.5.2 Case Study for Correlated Candidate Bus Selection 346
Nomenclature 355
References 357

17 Multi-objective Dynamic VAR Resource Planning 361


17.1 Introduction 361
17.2 Multi-objective Optimization Model 362
17.2.1 Optimization Objectives 363
xiv Contents

17.2.2 Steady-State Constraints 364


17.2.3 Dynamic Constraints 364
17.3 Decomposition-based Solution Method 365
17.3.1 Pareto Optimality 365
17.3.2 Decomposition-based MOEA 366
17.3.3 Coding Rule 367
17.3.4 Computation Steps 367
17.4 Case Studies 368
17.4.1 Test System and Parameters 368
17.4.2 Numerical Simulation Results 369
Nomenclature 371
References 372

18 Retirement-Driven Dynamic VAR Resource Planning 375


18.1 Introduction 375
18.2 Equipment Retirement Model 376
18.2.1 Investment Cost 376
18.2.2 Operation Cost 377
18.2.3 Maintenance Cost 377
18.2.4 Failure Cost 377
18.2.5 Disposal Cost 378
18.3 Retirement-Driven Dynamic VAR Planning Model 378
18.3.1 Optimization Objectives 378
18.3.2 Constraints 379
18.4 Solution Method 380
18.4.1 Computation Steps 380
18.5 Case Studies 381
18.5.1 Test System and Parameters 381
18.5.2 Numerical Simulation Results 381
Nomenclature 385
References 387

19 Multi-stage Coordinated Dynamic VAR Resource Planning 389


19.1 Introduction 389
19.2 Coordinated Planning and Operation Model 390
19.2.1 Multi-stage Coordination Framework for Voltage Stability
Enhancement 390
19.2.1.1 Planning Stage 390
19.2.1.2 Operation Stage 392
19.2.2 Voltage Resilience Indices 393
19.2.2.1 Reactive Power Margin of DFIG 393
Contents xv

19.2.2.2 Wind Power Curtailment 396


19.2.2.3 Dynamic VAR Resource Margin 397
19.2.2.4 Load Shifting (Due to DR Program) 397
19.2.2.5 Steady-State Voltage Stability 398
19.2.2.6 Wind Turbine Voltage Violation 398
19.2.2.7 Short-term Voltage Stability 399
19.2.2.8 Rotor Angle Deviation 399
19.2.2.9 Load Loss 399
19.2.3 Compact Mathematical Model 400
19.2.4 Optimization Objectives 400
19.2.4.1 Total Planning Cost 400
19.2.4.2 Resilience Indices of Preventive Capability 403
19.2.4.3 Resilience Indices of Restorative Performance 403
19.2.4.4 Determination of Weighting Factors 404
19.2.5 Constraints 405
19.2.6 Candidate Bus Selection 406
19.2.7 Wind Power Uncertainty Modeling 407
19.3 Solution Method 408
19.3.1 Basics of NSGA-II 408
19.3.2 Coding Rules 409
19.3.3 Computation Steps 409
19.4 Case Studies 411
19.4.1 Test Systems and Parameter Settings 411
19.4.2 Numerical Simulation Results and Comparisons 412
19.4.3 Scalability and Computation Efficiency Discussion 420
Nomenclature 421
References 425

20 Many-objective Robust Optimization-based Dynamic VAR Resource


Planning 429
20.1 Introduction 429
20.2 Robustness Assessment of Planning Decisions 430
20.2.1 Acceptable Sensitivity Region (ASR) 431
20.2.2 Robust Optimality and Robust Pareto Front 432
20.2.3 Worst-case Sensitivity Region (WCSR) 434
20.2.4 Feasibility Sensitivity Region (FSR) 435
20.3 Many-objective Dynamic VAR Planning Model 436
20.3.1 Optimization Objectives 437
20.3.1.1 Total Planning Cost ( f1) 437
20.3.1.2 Time-Constrained TVSI ( f2) 437
20.3.1.3 Prioritized VCPI ( f3) 437
xvi Contents

20.3.1.4 Robustness Index ( f4) 438


20.3.2 Constraints 438
20.4 Many-objective Optimization Algorithm 439
20.4.1 Non-dominated Sorting Genetic Algorithm-III (NSGA-III) 439
20.4.1.1 Classification of Population 440
20.4.1.2 Determination of Reference Points 440
20.4.1.3 Normalization of the Population Members 440
20.4.1.4 Association Among Reference Points and Solutions 441
20.4.1.5 Niche Preservation Operation 441
20.4.1.6 Generation of Offspring 441
20.4.2 Adaptive NSGA-III 441
20.4.2.1 Fixed Mutation Rate 441
20.4.2.2 Random Sampling 441
20.4.2.3 Simulated Binary Crossovers (SBX) 442
20.4.2.4 An Adaptive Mutation Rate 442
20.4.2.5 Latin Hypercube Sampling 442
20.4.2.6 Differential Evolution (DE) Operator 443
20.4.3 Computation Steps 444
20.5 Case Studies 445
20.5.1 Test System and Parameters 445
20.5.2 Numerical Simulation Results and Comparisons 447
20.5.3 Scalability and Computation Efficiency Discussion 451
Nomenclature 452
References 455

Index 459
xvii

About the Authors

Yan Xu received the B.E. and M.E. degrees from South China University of
Technology, China, and the Ph.D. degree from University of Newcastle, Australia,
in 2008, 2011, and 2013, respectively. He conducted postdoctoral research with the
University of Sydney Postdoctoral Fellowship, and then joined Nanyang Techno-
logical University (NTU) with the Nanyang Assistant Professorship. He is now an
Associate Professor at School of Electrical and Electronic Engineering and a
Cluster Director at Energy Research Institute @ NTU (ERI@N). His research
interests include power system stability, microgrid, and data analytics for smart
grid applications. Dr Xu’s research in Singapore is funded by a range of funding
agencies (including Singapore NRF, EMA, MOE, HDB, etc.) and industry partners
(including Rolls-Royce Electrical, Singapore Power Group, Singtel, Infineon, EDF
Lab, Lite-On, etc.). Many of his research outcomes have been practically applied/
licensed to industry partners. Dr Xu has received 10 IEEE/IET paper contest and
conference best paper awards, the 2022 IET Premium Award (Best Paper), the
2021 IEEE Transactions on Smart Grid Outstanding Paper Award, and the 2018
Applied Energy Highly Cited Paper Award. His professional service roles include
Associate Editor for IEEE Trans. Smart Grid and IEEE Trans. Power Systems,
Chairman of the IEEE Power & Energy Society (PES) Singapore Chapter (2021
to 2022) and the General Co-Chair of the 11th IEEE ISGT-Asia Conference,
Nov. 2022.

Yuan Chi received the B.E. degree from Southeast University, Nanjing, China, in
2009, and the M.E. degree from Chongqing University, Chongqing, China, in 2012,
and the Ph.D. degree from Nanyang Technological University, Singapore, in 2021.
From 2012 to 2017, he worked as an Electrical Engineer of Power System Planning
consecutively with State Grid Chongqing Electric Power Research Institute and
Chongqing Economic and Technological Research Institute. He is currently a
Research Associate with Chongqing University. His research interests include
planning, resilience, and voltage stability of power systems. Dr Chi’s research in
xviii About the Authors

China is funded by a range of funding agencies and industry partners, including


Ministry of Finance of PRC, China Postdoctoral Science Foundation, State Grid
Corporation of China, China Southern Power Grid, etc.

Heling Yuan received the B.E., M.Sc., and Ph.D. degrees from North China
Electric Power University, Beijing, China, the University of Manchester, UK,
and Nanyang Technological University, Singapore, in 2016, 2017, and 2022,
respectively. She is currently a Research Fellow at Rolls-Royce @ NTU Corporate
Lab, Singapore. Her research interests include modeling, optimization, stability
analysis and control of power systems. Dr Yuan’s research in Singapore is funded
by Singapore NRF, MOE and Rolls-Royce Electrical.
xix

Foreword

The stability of a power system is defined by the IEEE as its ability “for a given
initial operating condition, to regain a state of operating equilibrium after being
subjected to a physical disturbance, with most system variables bounded so that
practically the entire system remains intact”. Recent years have seen significant
integration of renewable energy resources such as wind and solar power into
power grids globally. Yet, such renewable energy-based generators can signifi-
cantly complicate the power system’s dynamic behavior and introduce consider-
able operational uncertainties due to their power-electronic converter interface
and variable power output.
Practically, the stability of a power system can be maintained and enhanced
through three general approaches: (i) accurately modeling and analyzing the power
system’s dynamic characteristics, then designing and deploying real-time controllers
to make the system well behaved under disturbances; (ii) dispatching the power
system to a state that can better withstand the disturbances; (iii) reinforcing the
power grid with fast-responding resources such as FACTS (Flexible AC Transmis-
sion Systems) to support the power system dynamics to ride through the distur-
bances. While the first approach involves power system dynamics modeling,
stability analysis, and controller design, the latter two require advanced optimiza-
tion methods to optimally operate the power system and determine the optimal size
and site of such resources for maximum cost effectiveness.
While most existing books are focused on the first approach to power system
dynamics modeling, stability analysis, and controller design, very few address
the latter two approaches that require advanced optimization. This book fills this
gap by presenting a series of stability-constrained optimization methodologies for
power system operation and planning. Two major foci of the book are transient
stability enhancement through optimal power system dispatch and operational
control and voltage stability enhancement through optimally sizing and siting
dynamic VAR resources in the power grid, respectively. The book presents a series
xx Foreword

of corresponding mathematical models and solution methods to achieve the


these objectives.
This book is written by a dedicated research team with over 10 years of research
experience in this field, and the presented methodologies are based on their orig-
inal research outcomes and insights into these topics. With a balance between
theory and practice, this book serves as a timely reference and guidebook for
graduate students, researchers, and power system operation and planning
engineers in this field.

David John Hill, PhD


Professor of Power and Energy Systems, Monash University, Australia
Emeritus Professor, University of Sydney, and University of Hong Kong
Fellow of IEEE, IFAC, SIAM,
Australian Academy of Science,
Australian Academy of Technological Sciences and Engineering
Hong Kong Academy of Engineering Sciences
Foreign Member of Royal Swedish Academy of Engineering Science
xxi

Preface

The electrical power system is essential to a modern society, and its stability is
a fundamental requirement during both online operation and offline planning
studies. In general, the stability of a power system refers to its ability to regain
a state of operating equilibrium after experiencing a physical disturbance, such
as a short-circuit fault. In practice, the stability of the power system mainly
depends on both its inherent dynamic characteristics, i.e. how the system responds
to disturbances, and its steady-state operating conditions, i.e. how the system is
dispatched.
In recent years, renewable energy sources such as solar photovoltaic and wind
power have rapidly penetrated modern power systems, which have inherently
stochastic and intermittent power output and are connected to the grid through
power electronic converters. Consequently, both the static and dynamic behaviors
of the power system have become much more complex, creating a series of chal-
lenges for maintaining system stability. These challenges include long-distance
power transmission from renewable power stations to load centers, reduced syn-
chronous inertia in the power systems, complex dynamics of power electronic
interfaced devices, lack of reactive power resources, and fast fluctuation of
magnitude and direction of power flows through the transmission network.
Recent large-scale blackout events, e.g. the September 2016 South Australia black-
out and the August 2019 UK blackout, have clearly demonstrated the adverse
impact of these challenges on power system stability.
This book focuses on two power system stability problems, namely transient sta-
bility and voltage stability. Transient stability, also known as large-disturbance
rotor angle stability, is the most stringent requirement for a power system because
instability can develop rapidly within several cycles after a disturbance. Voltage
stability is becoming increasingly critical since poor dynamic voltage performance
of the power system could lead to the failure of wind and solar power generators
riding through disturbances. This book presents a series of optimization methodol-
ogies that we have originally proposed to (i) optimally dispatch the power system
xxii Preface

to an operating state that can maintain transient stability in the event of a large
disturbance and (ii) optimally allocate dynamic VAR resources, including STAT-
COM and SVC, in the power grid to reinforce the grid’s capability to counteract
voltage instability.
The book consists of 20 chapters, which are organized into three parts:

• Part I (Chapters 1–3) provides an overall introduction to power system stability,


including fundamental concepts, definitions, mathematical models, metrics,
and analysis methods, as well as presents a review of major large-scale blackout
events in recent years.

• Part II (Chapters 4–12) focuses on transient stability-constrained (TSC) power


system dispatch and operational control. The problems are generally modeled as
TSC-optimal power flow (TSCOPF) and TSC-unit commitment (TSCUC), and a
series of mathematical formulations are presented in this part. The formulations
cover deterministic, stochastic, and robust optimization models with uncertain-
ties arising from dynamic load components and renewable power generation,
and two-stage optimization models for coordinating preventive and corrective
control actions. To solve these problems, a set of computationally efficient meth-
ods have been correspondingly presented, which are based on quantitative tran-
sient stability assessment, trajectory sensitivity analysis, linear transient stability
constraint construction, machine learning-based stability constraint extraction,
hybrid computation, and decomposition-based solution frameworks. The pro-
posed methodologies are numerically tested on IEEE benchmark testing sys-
tems, showing their effectiveness with simulation results.

• Part III (Chapters 13–20) focuses on voltage stability enhancement through


dynamic VAR resource allocation in the power system. This part first intro-
duces the general framework and mathematical models for optimal VAR
resource planning in the power grid, then presents several quantitative volt-
age stability indices, followed by an overview of the fundamentals and the
mathematical models of the dynamic VAR resources. To reduce the size of
the optimization model, two methods for candidate bus selection are pre-
sented afterward. After that, a series of different mathematical formulations
and solution methods for optimal dynamic VAR resource allocation are pre-
sented, including multi-objective optimization model, retirement-driven pla-
nning model, multi-stage coordinated planning model, and many-objective
robust optimization model. The proposed methodologies are numerically
demonstrated on IEEE benchmark testing systems with simulation results.

The book is targeted at scholars, researchers, and postgraduate students who are
seeking optimization methodologies for power system stability enhancement.
Additionally, it provides practical solutions to operational dispatch and network
Preface xxiii

reinforcement planning for power system operators, planners, and optimization


algorithm developers in the power industry.
We would like to express our sincere gratitude to the funding supports for the
research presented in this book, including the Hong Kong Research Grant Council
(RGC) GRF Grant, the Australia Research Council (ARC) Linkage Project, the
University of Newcastle Faculty Strategic Pilot Grant, the University of Sydney
Postdoctoral Fellowship (USYD-PF), the Nanyang Assistant Professorship
(NAP) and PhD scholarships from Nanyang Technological University, and the
Singapore Ministry of Education (MOE) Tier-1 Grants.

Yan Xu
Nanyang Technological University
Singapore

Yuan Chi
Chongqing University
China

Heling Yuan
Nanyang Technological University
Singapore
1

Part I

Power System Stability Preliminaries


3

List of Acronyms

ACC alternative current control


CCT critical clearing time
CIG converter interfaced generation
CMs critical machines
COI center of inertia
DAE differential algebraic equations
DFIG doubly-fed induction generators
EEA energy emergency alert
EEAC extended equal-area criterion
ERCOT electric reliability council of texas
FE first energy
IGE induction generator effect
LPB-G low pressure turbine B to generator
LVRT low voltage ride through
MISO midwest independent system operator
NMs non-critical machines
PLL phase-locked loop
SA South Australia
SIME single machine equivalence
SOL system operational limits
SSR subsynchronous resonance
T&D transmission and distribution
TDS time domain simulation
TEF transient energy function
TSA transient stability assessment

Stability-Constrained Optimization for Modern Power System Operation and Planning,


First Edition. Yan Xu, Yuan Chi, and Heling Yuan.
© 2023 The Institute of Electrical and Electronics Engineers, Inc.
Published 2023 by John Wiley & Sons, Inc.
4 List of Acronyms

TSC transient stability control


TSIs transient stability indexes
TSO transmission system operator
UCTE Union for the Co-ordination of Transmission of Electricity
5

Power System Stability: Definition, Classification,


and Phenomenon

1.1 Introduction

An electrical power system is a fundamental infrastructure of a society. As a large-


scale time-varying dynamic system, maintaining its stability is a basic and essential
requirement during its operation and planning decision-making process. In gen-
eral, the stability of a power system refers to its ability to regain a state of operating
equilibrium after being subjected to a physical disturbance (such as a short-circuit
fault) [1]. In practice, the stability of the power system depends on both its
dynamic characteristics, i.e. how the system would behave in response to distur-
bances, and its steady-state operating conditions, i.e. how the power system is
dispatched.
In recent years, modern power systems have started to integrate high shares
of renewable energy sources, such as solar photovoltaic and wind power,
which are inherently stochastic and intermittent in their power outputs
and are interfaced with the power grid through power electronic converters.
While these renewable energy-based converter interfaced generators (CIGs)
are environmentally beneficial, they significantly complicate the power grid’s
static and dynamic characteristics. As a result, the dynamic behaviors of the
power system become much more complex, which introduces a series of chal-
lenges to the control, operation, and planning for maintaining system
stability.
In a nutshell, this chapter gives a brief introduction to the modern power system
stability, including its definition, classification, and phenomenon.

Stability-Constrained Optimization for Modern Power System Operation and Planning,


First Edition. Yan Xu, Yuan Chi, and Heling Yuan.
© 2023 The Institute of Electrical and Electronics Engineers, Inc.
Published 2023 by John Wiley & Sons, Inc.
6 1 Power System Stability: Definition, Classification, and Phenomenon

1.2 Definition

In this book, the definition of power system stability given in [1] is adopted. Con-
forming to definitions from system theory, the definition is based in physics, thus
easily understood and readily applied by power system engineering practitioners:

Power system stability is the ability of an electric power system, for a given
initial operating condition, to regain a state of operating equilibrium after
being subjected to a physical disturbance, with most system variables
bounded so that practically the entire system remains intact.

The definition is applied to interconnected power systems at large while also


concerning the stability of a single generator or a group of generators. When a
power system is subjected to a disturbance, its stability depends on its initial oper-
ating point and the nature of the disturbance. In practice, a power system can suf-
fer from various disturbances regardless of small or large. A small disturbance can
be a continuous load change that will not alter the system topologies. A large dis-
turbance is one which may result in structural changes due to the isolation of the
faults, such as a short circuit on the transmission line or losses of a large generator.
After small or large disturbances, the system must be capable of riding through the
disturbances and returning to a viable equilibrium.
It should be noted that, at an initial operating point, a power system may be sta-
ble for a given large disturbance but become unstable for another. It is in general
not practical or economical to ensure stability against all possible disturbances. It
is more reasonable to select contingencies that show a high probability of occur-
rence and criticality based on historical data and system topology information.
Large-disturbance stability is generally validated under a set of specified distur-
bances. A stable equilibrium has a finite region of attraction; the larger the region,
the more robust the system is against large disturbances. However, it should be
noted that the region of attraction changes with the operating point of the power
system. Though the power system continually fluctuates with small magnitudes, it
is usually acceptable to assume that the system is initially in a steady-state operat-
ing point when assessing its stability after being subjected to a specific disturbance.

1.3 Classification

Stability is a condition of equilibrium between opposing forces undergoing contin-


uous imbalance, which results in different forms of instability subject to the net-
work topology, system operating point, and the type of disturbance. The different
1.4 Rotor Angle Stability 7

Power system
stability

Resonance Converter- Rotor angle Voltage Frequency


stability driven stability stability stability stability

Fast Slow Small Large Small


Electrical Torsional Transient
interaction interaction disturbance disturbance disturbance

Short term Long term Short term Long term


Concentration of this book

Figure 1.1 Classification of power system stability.

forms of instabilities need to be properly analyzed. To facilitate the analysis of sta-


bility problems which are in nature of high dimension and complexity, it is nec-
essary to firstly classify the stability into appropriate categories.
Figure 1.1 shows the overall picture of the power system stability classification
with its categories and subcategories. Traditionally, the power system stability
was classified into three categories: rotor angle stability, voltage stability, and fre-
quency stability [1]. The power system stability primarily dealt with fairly slow
electromechanical phenomena, which are typically caused by synchronous
machines and induction machines. Given the increased penetration of CIGs
in modern power systems and their substantial impacts on system dynamic
behavior, two new stability categories have been added [2], i.e. resonance stabil-
ity and converter-driven stability, to deal with faster dynamics within electro-
magnetic time scales.
The focus of this book is on the rotor angle stability and voltage stability, which
are the two most stringent stability requirements for the power system operation
and planning. Rotor angle stability and voltage stability can be approached by
optimization-based operating point dispatches and network reinforcement
(dynamic reactive power device deployment).

1.4 Rotor Angle Stability

Rotor angle stability is the ability of synchronous generators to remain in synchro-


nism after being subjected to a disturbance. It depends on the ability of each syn-
chronous generator to maintain equilibrium between electromagnetic torque and
8 1 Power System Stability: Definition, Classification, and Phenomenon

mechanical torque. Instability will occur when the rotor angles of some generators
increase continuously with regard to other generators. Namely, the generators lose
synchronism with others. The loss of synchronism can occur between one
machine and the rest of the system, or between groups of machines, with synchro-
nism maintained within each group after separating from each other. The possible
outcome of the instability is generator tripping and/or separation of the power
systems.
As presented in Figure 1.1, the rotor angle stability can be divided into
large-disturbance rotor angle stability (also called transient stability) and
small-disturbance rotor angle stability, based on the severity of the disturbance.

1.4.1 Large-Disturbance Rotor Angle Stability


For transient stability, it is always relative to a severe disturbance, such as a short
circuit on a transmission line, which will result in large excursions of rotor angles
and is involved by the nonlinear power–angle relationship. Transient stability
depends on both the initial operating point and the severity of the disturbance.
Instability is usually in the form of aperiodic angular separation due to insufficient
synchronizing torque, indicating first-swing instability. Figures 1.2 and 1.3 indicate

80

60

40
Rotor angle (°)

20

–20

–40

–60

–80
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Time (s)

Figure 1.2 Simulated rotor angles of a transient stable case. Source: Xu [3].
1.4 Rotor Angle Stability 9

500

400

300
Rotor angle (°)

200

100

–100

–200
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6
Time (s)

Figure 1.3 Simulated rotor angles of a transient unstable case. Source: Xu [3].

the simulated post-disturbance rotor angle trajectories of a real large power grid for
a stable case and an unstable case, respectively. From the two figures, the stable
case corresponds to keeping the synchronism of all the generators, while the unsta-
ble case corresponds to the loss of synchronism of some generators after the
disturbance.

1.4.2 Small-Disturbance Rotor Angle Stability


Small-disturbance rotor angle stability refers to the ability of the power system
to maintain synchronism under small disturbances. The disturbances are con-
sidered to be sufficiently small that linearization of system equations is per-
missible for purposes of analysis, e.g. the sudden variation of the load
demands and/or the change of generation output. Small-disturbance rotor
angle stability usually depends on the initial operating point. Instability is
often in two forms: (i) non-oscillatory increment of rotor angle due to lack
of synchronizing torque; or (ii) rotor oscillations of amplitude due to lack
of damping torque. For modern power systems, small-disturbance rotor angle
stability is usually associated with insufficient damping torque. The illustra-
tion of the small-disturbance stability problem due to the lack of damping tor-
que is presented in Figure 1.4.
10 1 Power System Stability: Definition, Classification, and Phenomenon

0.73

0.72
Active power (pu)

0.71

0.7 P of interconnector

0.69

0.68

0.67
0 5 10 15 20
Time (s)

Figure 1.4 Active power oscillation due to the small-disturbance instability. Source: Xu [3].

1.5 Voltage Stability

Voltage stability is the ability of the power system to maintain steady voltages at all
buses after being subjected to a disturbance. It depends on the ability to maintain
equilibrium between load demand and load supply from the power system. Insta-
bility will occur in the form of a successive fall or rise of voltage in some buses.
A possible outcome of instability is loss of load in an area or transmission lines
and other elements tripping by their protective systems, leading to cascading
outages. It should be noted that a progressive drop in bus voltage may be associated
with rotor angle instability.
The driving force for voltage instability is usually the loads. A run-down situa-
tion causing voltage instability occurs when load dynamics attempt to restore
power consumption beyond the capability of the transmission network and the
connected generation.
As in the case of rotor angle stability, classifying voltage stability into large-
disturbance voltage stability and small-disturbance voltage stability is applicable.

1.5.1 Large-Disturbance Voltage Stability


Large-disturbance voltage stability refers to the system’s ability to maintain steady
voltages following large disturbances such as system faults, loss of generation,
1.5 Voltage Stability 11

or circuit contingencies. This ability is determined by the system and load charac-
teristics, and the interactions of both continuous and discrete controls and
protections.
The simulated post-disturbance voltage trajectories of the New England
10-machine 39-bus system are indicated in Figures 1.5 and 1.6 for a stable and unsta-
ble case, respectively. In the stable case, all voltage trajectories fluctuate and return

1.4

1.2

1
Voltage (pu)

0.8

0.6

0.4

0.2

0
0 1 2 3 4 5
Time (s)

Figure 1.5 Simulated voltage trajectories of the large-disturbance voltage stable case.

1.2

1
Voltage (pu)

0.8

0.6

0.4

0.2

0
0 0.5 1 1.5 2 2.5 3 3.5 4
Time (s)

Figure 1.6 Simulated voltage trajectories of the large-disturbance voltage unstable case.
12 1 Power System Stability: Definition, Classification, and Phenomenon

0.8
Voltage (pu)

0.6

VBus 4 VBus 5 VBus 6


0.4

0.2

0
0 0.5 1 1.5 2 2.5 3 3.7115
Loading parameter λ (pu)

Figure 1.7 Simulated power–voltage (PV) curve. Source: Xu [3].

to the nominal level finally, while in the unstable case, the voltage trajectories fluc-
tuated dramatically without recovery.

1.5.2 Small-Disturbance Voltage Stability


Small-disturbance voltage stability refers to the system’s ability to maintain steady
voltages when subjected to small perturbations, such as incremental changes in
system load. Under this case, the system voltage will drop continuously with
the load increment until a critical point is reached. After the critical point, the sys-
tem voltage will drop dramatically and finally collapse.
A simulated power–voltage curve is presented in Figure 1.7, where the loading
parameter means the load-increasing rate. When it increases to 3.7115 times the
initial operating point, voltage instability will occur.

1.6 Frequency Stability

Frequency stability refers to the ability of a power system to maintain steady


frequency following a severe system upset resulting in a significant imbalance
between generation and load. It depends on the ability to maintain/restore
equilibrium between system generation and load, with minimum unintentional
1.6 Frequency Stability 13

loss of load. The instability that may result occurs in the form of sustained
frequency swings, leading to the tripping of generating units and/or loads.
Figures 1.8 and 1.9 indicate the simulated post-disturbance frequency trajectory
for a stable and unstable case.

50

49.8
System frequency (Hz)

49.6

49.4

49.2

49
0 2 4 6 8 10 12 14 16 18 20
Time (s)

Figure 1.8 Simulated post-disturbance frequency trajectory of a frequency stable case.


Source: Xu [3].

50
System frequency (Hz)

49.5

49

48.5

48

47.5
0 2 4 6 8 10 12 14 16 18 20
Time (s)

Figure 1.9 Simulated post-disturbance frequency trajectory of a frequency unstable case.


Source: Xu [3].
14 1 Power System Stability: Definition, Classification, and Phenomenon

1.7 Resonance Stability

Generally, resonance instability may occur when the oscillatory magnitude of


voltage/current/torque exceeds specified thresholds due to insufficient dissipation
of energy in the flow path. The term resonance stability encompasses subsynchro-
nous resonance (SSR) and can be indicated in two forms: (i) due to a resonance
between series compensation and the mechanical torsional frequencies of the tur-
bine-generator shaft; (ii) due to a resonance between series compensation and the
electrical characteristics of the generator. Thus, the resonance stability has been
divided into two categories shown in Figure 1.1.

1.7.1 Torsional Resonance


Torsional resonance is the SSR due to torsional interactions between the series
compensated line(s) and a turbine-generator mechanical shaft, particularly as it
pertains to conventional synchronous generation.
Figure 1.10a indicates the torsional torque in low-pressure turbine B to gener-
ator 1 (LPB-G1) shaft section with 70% and 30% compensation levels. The dark
blue shade shows the torsional torque with a 70% compensation level, and the
gray shade shows the torque with a 30% compensation level. From the figure,
the torque is growing slowly for the dark blue shade, which means that the
70% compensation level leads the system unstable. While for the gray shade,
the torque is decaying. It represents the system becomes stable with the 30% com-
pensation level. It can be found that the higher the compensation level, the
weaker the damping.

1.7.2 Electrical Resonance


As the variable-speed DFIG generator is an induction generator connected to the
grid, the electrical resonance between the generator and series compensation may
exist, which would be highly susceptible to IGE-self-excitation type SSR. In this
case, the self-excitation type SSR occurs when the series capacitor forms a resonant
circuit, at subsynchronous frequencies, with the effective inductance of the induc-
tion generator.
The phenomena can be realized by the IGE simulation performed with the tor-
sional system disabled. Figure 1.10b indicates the dynamic responses with various
wind speeds and a constant 75% compensation level. From the figure, it can be
found that the higher the wind speed, the better the SSR damping for the
doubly-fed induction generator (DFIG) system.
Another random document with
no related content on Scribd:
In the Prosobranchiata, symmetrically paired branchiae occur only
in the Fissurellidae, Haliotidae, and Pleurotomariidae, in the former
of which two perfectly equal branchiae are situated on either side of
the back of the neck. These three families taken together form the
group known as Zygobranchiata.[268] In all other families the
asymmetry of the body has probably caused one of the branchiae,
the right (originally left), to become aborted, and consequently there
is only one branchia, the left, in the vast majority of marine
Prosobranchiata, which have been accordingly grouped as
Azygobranchiata. Even in Haliotis the right branchia is rather smaller
than the left, while the great size of the attachment muscle causes
the whole branchial cavity to become pushed over towards the left
side. In those forms which in other respects most nearly approach
the Zygobranchiata, namely, the Trochidae, Neritidae, and
Turbinidae, the branchia has two rows of filaments, one on each side
of the long axis, while in all other Prosobranchiata there is but one
row (see Fig. 79, p. 169).
Fig. 62.—Bullia laevissima
Gmel., showing
branchial siphon S; F,
F, F, foot; OP,
operculum; P, penis;
Pr, proboscis; T, T,
tentacles. (After Quoy
and Gaimard.)
In the great majority of marine Prosobranchiata the branchia is
securely concealed within a chamber or pouch (the respiratory
cavity), which is placed on the left dorsal side of the animal,
generally near the back of the neck. For breathing purposes, water
has to be conveyed into this chamber, and again expelled after it has
passed over the branchia. In the majority of the vegetable-feeding
molluscs (e.g. Littorina, Cerithium, Trochus) water is carried into the
chamber by a simple prolongation of one of the lobes or lappets of
the mantle, and makes its exit by the same way, the incoming and
outgoing currents being separated by a valve-like fringe depending
from the lobe. In the carnivorous molluscs, on the other hand, a
regular tube, the branchial siphon, which is more or less closed, has
been developed from a fold of the mantle surface, for the special
purpose of conducting water to the branchia. After performing its
purpose there, the spent water does not return through the siphon,
but is conducted towards the anus by vibratile cilia situated on the
branchiae themselves. In a large number of cases, this siphon is
protected throughout its entire length by a special prolongation of the
shell called the canal. Sometimes, as in Buccinum and Purpura, this
canal is little more than a mere notch in the ‘mouth’ of the shell, but
in many of the Muricidae (e.g. M. haustellum, tenuispina, tribulus)
the canal becomes several inches long, and is set with formidable
spines (see Fig. 164, p. 256). In Dolium and Cassis the canal is very
short, but the siphon is very long, and is reflected back over the
shell.
The presence or absence of this siphonal notch or canal forms a
fairly accurate indication of the carnivorous or vegetarian tendencies
of most marine Prosobranchiata, which have been, on this basis,
subdivided into Siphonostomata and Holostomata. But this
classification is of no particular value, and is seriously weakened by
the fact that Natica, which is markedly ‘holostomatous,’ is very
carnivorous, while Cerithium, which has a distinct siphonal notch, is
of vegetarian tendencies.
In the Zygobranchiata the water, after having aerated the blood in
the branchiae, usually escapes by a special hole or holes in the
shell, situated either at the apex (Fissurella) or along the side of the
last whorl (Haliotis). In Pleurotomaria the slit answers a similar
purpose, serving as a sluice for the ejection of the spent water, and
thus preventing the inward current from becoming polluted before it
reaches the branchiae (see Fig. 179, p. 266).
In Patella the breathing arrangements are very remarkable. In
spite of their apparent external similarity, this genus possesses no
such symmetrically paired plume-shaped branchiae as Fissurella,
but we notice a circlet of gill-lamellae, which extends completely
round the edge of the mantle. It has been shown by various
authorities that these lamellae are in no sense morphologically
related to the paired branchiae in other Mollusca, but only
correspond to them functionally. The typical paired branchiae, as has
been shown by Spengel, exist in Patella in a most rudimentary form,
being reduced to a pair of minute yellow bodies on the right and left
sides of the back of the ‘neck.’ A precisely similar abortion of the true
branchiae, and special development of a new organ to perform their
work, is shown in Phyllidia and Pleurophyllidia (see below under
Opisthobranchiata). This circlet of functional gills in Patella has
therefore little systematic value, being only developed in an unusual
position, like the eyes on the mantle in certain Pelecypoda, to supply
the place of the true organs which have fallen into disuse.
Accordingly Cuvier’s class of Cyclobranchiata, which included
Patella and Chiton, has no value, and has indeed long been
discarded. In Chiton the gills never extend completely round the
animal, but are always more or less interrupted at the head and
anus. They are the true gills, the plumes being serially repeated in
the same way as the shell plates.

Fig. 63.—Patella vulgata L., seen


from the ventral side: f, foot;
g.l, circlet of gill lamellae; m.e,
edge of the mantle; mu,
attachment muscle; sl, slits in
the same; sh, shell; v, vessel
carrying aerated blood to the
heart; v´, vessel carrying blood
from the heart; ve, small
accessory vessels.
Fig. 64.—Patella vulgata L.,
seen from the dorsal side
after the removal of the
shell and the black pigment
covering the integument;
the anterior portion of the
mantle is cut away or
turned back: a, anus; br, br,
remains of the true
branchiae (ctenidia); i,
intestine; k, k´, kidneys;
k.ap, their apertures on
each side of the anus; l,
liver; m, m, mantle; mu,
attachment muscles,
severed in removal of shell;
t, t, tentacles.
In the land Prosobranchiata (Cyclostomatidae, Cyclophoridae,
Aciculidae, Helicinidae) which, having exchanged a marine for an
aerial life, breathe air instead of water, the branchia has completely
disappeared, and breathing is conducted, as in the Pulmonata, by a
lung-cavity. In certain genera of land operculates, e.g. Pupina,
Cataulus, Pterocyclus, a slight fissure or tube in the last whorl (see
Fig. 180, p. 266) serves to introduce air into the shell, which is
perhaps otherwise closed to air by the operculum. In Aulopoma,
which has no tube, the operculum admits free circulation of air. In
certain other Cyclostomatidae the apex is truncated, and air can
enter there. De Folin closed with wax the aperture of Cycl. elegans,
and found that on placing it in a pneumatic machine, the shell gave
off air through its whole surface. On the other hand, Cylindrella and
Stenogyra decollata, on being submitted to the same test, showed
that the truncated part alone was permeable by air.
Fischer and Bouvier have made some interesting observations on
the breathing of a species of Ampullaria (insularum Orb.). The
species has, in common with all Ampullaria, two siphons, but while
the right siphon is but slightly developed, the left is very long, almost
twice as long as the shell (see Fig. 65). The animal, when under the
water, lengthens its siphon, brings the orifice to the surface, and by
alternately raising and depressing its head produces in the
pulmonary sac movements of ex- and inspiration; these are repeated
about ten or fifteen times at regular intervals of from six to eight
seconds, a method of respiration strongly resembling that of the
Cetacea. At the same time, branchial respiration takes place. If
powdered carmine is added to water, the particles are seen to enter
the branchial cavity by the siphon and pass out by the short right
siphon. Sometimes the animal remains under water for hours without
rising to the surface to inspire air. In Valvata (Fig. 66) the branchia is
very large, and projects like a leaf or fan above the shell on the left
side; on the corresponding position on the right side is a long filiform
appendage, which some have regarded as representing the other
branchia.
Fig. 65.—Ampullaria insularum
Orb.: A, breathing water;
B, breathing air; Si,
siphon; T, upper; t, lower
tentacles; X, pallial
expansion, performing the
part of excurrent siphon.
(After Fischer and Bouvier,
x ⅓.)
Opisthobranchiata.—A true branchia occurs only in the
Tectibranchiata and the Ascoglossa. It lies on the right side, and is
usually more or less external, being partly covered sometimes by the
shell (as in Umbrella, Fig. 5), sometimes by a fold of the mantle. In
the Pteropoda (which are probably derived from the Tectibranchiata),
all the Thecosomata, with the exception of Cavolinia, have no
specialised branchia, but probably respire through portions or the
whole of the integument. In the Gymnosomata an accessory
branchia has in many cases been developed at the posterior end of
the body. Pneumodermon alone has both lateral and posterior
branchiae well developed, Clione and Halopsyche are destitute of
either, while the four remaining families have one branchia,
sometimes lateral, sometimes posterior.[269]

Fig. 66.—Valvata
piscinalis Müll.: br,
branchia; fi, filament;
f.l, foot lobes. (After
Boutan.)

Fig. 67.—Doris
(Archidoris)
tuberculata L., Britain:
a, anus; br, branchiae,
surrounding the anus;
m, male organ; rh, rh,
rhinophores. × ⅔.
Fig. 68.—Pleurophyllidia
lineata Otto,
Mediterranean: a,
anus; br, secondary
branchiae; m, mouth;
s.o, sexual orifice.
Certain of the Nudibranchiata possess no special breathing
organs, and probably respire through the skin (Elysia, Limapontia,
Cenia, Phyllirrhoë). The majority, however, have developed
secondary branchiae, in the form of prominent lobes or leaf-like
processes (the cerata), which are carried upon the back, without any
means of protection. These cerata are, as a rule, of extreme beauty
and variety of form, consisting sometimes of long whip-like
tentaculae, in other cases of arborescent plumes of fern-like leafage,
in others of curious bead-like appendages of every imaginable shape
and colour. In Doris they lie at the posterior end of the body, in a sort
of rosette, which is generally capable of retraction into a chamber. In
Phyllidia and Pleurophyllidia these secondary branchiae lie, as in
Patella, on the lateral portions of the mantle.
The Scaphopoda in all probability possess neither true nor
secondary branchiae.
Pulmonata.—When we use the term ‘lung,’ it must be
remembered that this organ in the Mollusca does not correspond,
morphologically, with the spongy, cellular lung of vertebrates; it
simply performs the same functions. The ‘lung,’ in the Mollusca, is a
pouch or cavity, lined with blood-vessels which are disposed over its
vaulted surface in various patterns of network. The pulmonary sac or
cavity is therefore a better name by which to denote this organ.

Fig. 69.—Geomalacus maculosus Allm., S. Ireland: P.O, pulmonary orifice.


It seems probable, as has been already shown (pp. 18–22), that
all Pulmonata are ultimately derived from marine forms which
breathed water by means of branchiae. Thus we find intermediate
forms, such as Siphonaria, possessed of both a branchia and a
pulmonary sac, the former being evanescent, while in Gadinia and
Amphibola it has quite disappeared. In the vast majority of
Pulmonata no trace of a branchia remains; its function is performed
by a chamber, always situated at the right side of the animal, and
generally more or less anterior, admitting air by a narrow aperture
which is rhythmically opened and closed. In Arion and Geomalacus
(Fig. 69) this aperture is in the front of the right side of the ‘shield,’ in
Limax (Fig. 71) in the hinder part, in Testacella (Fig. 20) it is near the
extremity of the tail, under the spire of the shell; in Janella it is on the
middle of the right edge of the shield (Fig. 70). If a specimen of Helix
aspersa, or better, of H. pomatia, is held up to the light, the beautiful
arborescent vessels, with which the upper part of the pulmonary
chamber is furnished, can be clearly seen by looking through the
aperture as it dilates. It is only in the Auriculidae that an actual
spongy mass of lung material appears to exist. When in motion, a
Helix inspires air much more frequently than when at rest.
Temperature, too, seems to affect the number of inspirations; it
appears doubtful whether, during hibernation, a snail breathes at all.
In any case, the amount of air required to sustain life must be small.
Fig. 70.—Janella hirudo
Fisch., N. Caledonia:
G, generative orifice;
P, pulmonary orifice;
T, T, tentacles. (After
Fischer.)

Fig. 71.—Limax maximus L.: PO, pulmonary


orifice. × ⅔.
With regard to the respiration of fresh-water Pulmonata there
appears to be some difference of opinion. It is held, on the one hand,
that the Limnaeidae only respire air, making periodic visits to the
surface to procure it, and that they perish, if prevented from doing
so, by asphyxiation. If, we are told,[270] as a Limnaea is floating on
the surface of the water in a glass jar, a morsel of common salt be
dropped upon its outstretched foot, it will sink heavily to the bottom,
emitting a stream of air from its pulmonary orifice. On recovering
from the shock, it will anxiously endeavour to regain the surface, but
will have some difficulty in doing so, owing to its now much greater
specific gravity. When it succeeds, it creeps almost out of the water,
and exposes its respiratory orifice freely to the air. If the experiment
is repeated several times on the same individual, it becomes so
much weakened that it has to be taken out of the water to save its
life. Moquin-Tandon, on the other hand, is strongly of opinion[271]
that there is no absolute necessity for Limnaea to obtain air by rising
to the surface, and that, if prevented from emerging, it can obtain air
from the water. When covered in by a roof of ice, Limnaea has not
been observed to suffer any inconvenience. Moquin-Tandon kept L.
glabra and Planorbis rotundatus in good health under 20 mm. of
water for eighteen and nineteen days, and relates a case in which
Physa was kept alive under water for four days, and Planorbis for
twelve. Young specimens, both of Limnaea and Planorbis, do not
rise to the surface for a supply of air; they are hatched with the
pulmonary cavity full of water.
It is probable, therefore, that Limnaeidae are capable, on
occasion, of respiration through the skin. Some authorities are of
opinion that certain long and narrow lamellae, situated within the
pulmonary sac, are employed for the purpose of aqueous
respiration. Ancylus, which never makes periodic excursions to the
surface, perhaps respires by receiving into its pulmonary chamber
the minute quantities of oxygen given off by the vegetation on which
it feeds.
Limnaeidae taken from a great depth of water, e.g. from 130
fathoms in the lake of Geneva, have been examined by Forel.[272]
The pulmonary sac is full of water, but there is no transformation of
organs, no appearance of a branchia, to meet the changed
circumstances of their environment. Doubtless a good deal of
respiration is done by the skin; being soft and vascular, it respires
the air dissolved in the water. Forel cites cases of Limnaea living at
much shallower depths, which come to the surface once, and then
remain below for months. The oxygen of this supply must soon have
become exhausted, and the animals, discontinuing for a time the use
of the pulmonary chamber, must have respired through the skin.
Shallow-water Limnaea, according to the same authority, remain
beneath the surface during cold weather; when warm weather
returns they rise to the surface to take in a supply of air. Since the
water at great depths is always very cold, there is no need for the
Limnaea living there to rise to the surface at all.
It is a curious fact that Limnaea, which have been respiring by the
skin for the whole winter, should suddenly, on the first warm days of
summer, take to rising to the surface and breathing air. But exactly
the same phenomenon is shown in the case of Limnaea from great
depths. Placed in an aquarium, they immediately begin rising to the
surface and inspiring air; in other words, they experience
instantaneously a complete transformation of their respiratory
system.
In Onchidium, a land pulmonate which has retrogressed to an
amphibious or quasi-marine mode of life, there is no organ which
represents the pulmonary or branchial cavity, the so-called lung
being only a cavity of the kidney. Respiration is, however, conducted
by the skin as well, and by the dorsal papillae.[273]
Land Mollusca can sustain, for a considerable time, complete
deprivation of atmospheric air. Helices placed in an exhausted
receiver show no signs of being inconvenienced for about 20 hours,
and are able to survive for about two or three days. If detained under
water, they are very active for about 6 hours, then become
motionless, the body swells, owing to the water absorbed, and death
ensues in about 36 hours. Immersion for only 24 hours is generally
followed by recovery. In the latter case, the cause of death is not so
much deprivation of air as compulsory absorption of water by the
skin. The amount of water thus taken up is surprising. Spallanzani
found that a Helix which weighed 18 grammes increased in weight
by 13½ grammes after a prolonged immersion. Even slugs enclosed
in moist paper gained more than 2 grammes in the course of half an
hour. Experiment has shown that the amount of carbonic acid gas
produced by respiration stands in direct relation to the amount of
food consumed. Four pairs of snails were taken which had recently
awakened from their winter sleep and had eaten heartily, and an
equal number, under the same circumstances, which had been
prevented from eating. It was found that the first four pairs produced,
in consuming a given amount of oxygen, 11, 9, 10, and 13 parts
respectively of carbonic acid, while the second set produced, in
consuming the same amount of oxygen, only 4, 8, 7, and 9 parts of
carbonic acid.[274] Hibernating Helices, if weighed in December and
again in April, will be found to have lost weight, due to the expiration
of carbonic acid. Owing to the difficulty of experiment, opinions vary
as to the absolute temperature of snails. It appears to be established
that several snails, if placed together in a tube, raise the temperature
one or two degrees C., but as a rule, the temperature of a solitary
Helix differs very slightly from that of the surrounding air. Increased
activity, whether in respiration or feeding, is found to raise the
temperature.

Fig. 72.—Cardium edule L.: A, anal; B, branchial


siphon; F, foot. (After Möbius.)

W. H. Dall, writing of the branchia in Pelecypoda, remarks[275] that


there can be no doubt that its original form was a simple pinched-up
lamella or fold of the skin or mantle. This, elongated, becomes a
filament. Filaments united by suitable tissue, trussed, propped, and
stayed by a chitinous skeleton, result in the forms, wonderful in
number and complexity, which puzzle the student to describe, much
more to classify.

Fig. 73.—Scrobicularia piperata Gmel., in its


natural position in the sand: A, efferent or anal
siphon; B, afferent or branchial siphon. (After
Möbius.)
In Pelecypoda the branchiae are placed on each side of the body,
between the mantle and the visceral mass. They lie in a chamber
known as the branchial cavity. Leading into this cavity, and behind it,
are, as a rule, two tubes or siphons, one of which conducts water to
the branchiae, while the other carries it away after it has passed over
them. The lower is known as the branchial or afferent siphon, the
upper as the anal or efferent siphon (see Figs. 72 and 73). The
action of these siphons can readily be observed by placing a little
carmine in water, near to the siphonal apertures of an Anodonta or
Unio. In many cases (e.g. Psammobia, Tellina, Mya, genera which
burrow deeply in sand) both the siphons are exceedingly long,
sometimes considerably longer than the whole shell. In some cases
the two tubes are free throughout their entire length, in others they
become fused together before their entrance within the shell (Fig.
74). In other genera, which do not burrow (e.g. Ostrea, Pecten, Arca,
Mytilus), the siphons are rudimentary or altogether absent (Fig. 75).
Fig. 74.—Solecurtus
strigillatus L., Naples:
s.af, afferent siphon;
s.ef, efferent siphon,
the two uniting in SS
externally to the shell,
× ½.
Fig. 75.—Mytilus edulis L., attached by its
byssus (By) to a piece of wood: F, foot; S,
anal siphon, the branchial siphon being
below it and not closed. (After Möbius.)
The number and arrangement of the branchiae varies
considerably. It appears probable that the different degrees of
complication of the gill indicate degrees of specialisation in the
different groups of Pelecypoda, in other words, assuming that a
simpler form of gill precedes, in point of development, a more
complicated form, the nature of the gill may be taken as indicating
different degrees of removal from the primitive form of bivalve.
1. The simplest form of gill (Nucula, Leda, Solenomya, etc.) is that
which consists (Fig. 76, A, compare Fig. 100, p. 201) of two rows of
very short, broad, not reflected filaments, the rows being placed in
such a way that they incline at right angles to one another from a
common longitudinal axis. The filaments are not connected with one
another, nor are the two leaves of each gill united at any point.
(Protobranchiata.)
Fig. 76.—Morphology of the branchiae of Pelecypoda, seen
diagrammatically in section: A, Protobranchiata; B,
Filibranchiata; C, Eulamellibranchiata; D, Septibranchiata; e, e,
external row of filaments; i, i, internal row of filaments; e´,
external row or plate folded back; i´, internal row folded back; f,
foot; m, mantle; s, septum; v, visceral mass. (From A. Lang.)

Fig. 77.—Four gill


filaments of Mytilus,
highly magnified; cj,
ciliary junctions; f,
filament. (After
Peck.)
2. In the Anomiidae, Arcadae, Trigoniidae, and Mytilidae each gill
consists of two plates or rows of much longer filaments, which
consequently occupy a much larger space in the mantle cavity (Fig.
76, B). Unable to extend beyond the limits of the mantle, filaments
are reflected or doubled back upon one another, those of the
external plate being reflected towards the outside, those of the
internal plate towards the inside. Each separate filament is not
connected with the filament next adjacent, except by surface cilia
situated on small projections on the sides of the filaments, and
interlocking with the cilia of the adjacent filament. The two
superposed plates or leaves of the gill may or may not be united by
cords running between the two parts of a filament. (Filibranchiata.)
3. In the Pectinidae, Aviculidae, and Ostreidae a further
development takes place. The filaments of each gill are reflected in
the same way as in the Filibranchiata, but the part thus reflected may
become completely united or ‘concresce’ with the mantle on the
exterior and with the base of the foot on the interior side. The leaves
of each gill plate, which have thus become doubled (the gills being
apparently two instead of one on each side), are folded or crumpled,
and the filaments are modified at the re-entrant angles of the fold.
(Pseudolamellibranchiata.)
4. In all the remaining Pelecypoda, except class 5, in other words,
in the very large majority of families, the filaments are either
reflected, as in (3), or simple; but the process of concrescence is so
far advanced that the adjacent filaments are always intimately
connected with one another in such a way as to admit the passage
of the blood; and the leaves of each gill-plate (Fig. 76, C) are united
by cross channels in a similar way. (Eulamellibranchiata.)
5. In certain of the Anatinacea alone (Cuspidaria, Lyonsiella,
Poromya, Silenia) the gills are transformed into a more or less
muscular partition, extending from one adductor muscle to the other
(Fig. 76, D), and separating off the pallial chamber into two distinct
divisions, which communicate by means of narrow slits in the
partition. (Septibranchiata.)
Fig. 78.—Transverse section of
portion of an outer gill plate of
Anodonta, highly magnified: il,
inner lamella; il´, outer lamella;
ilj, interlamellar junctions; v,
large vertical vessels. (After
Peck.)
Thus the process of gill development in the Pelecypoda appears
to lead up from a simple to a very complex type. In its original form,
at all events in the most primitive form known to us, the gill is a
series of short filaments, quite independent of one another, strung in
two rows; then the filaments become longer and double back, while
at the same time they begin to show signs of adhesion, as yet only
superficial, to one another. In a further stage, the reflected portions
become fused to the adjacent surfaces of the foot and mantle, while
the interlamellar junctions serve to lock the two gill-plates together;
finally, the mere ciliary junction of adjacent filaments is exchanged
for intimate vascular connection, while the gill-plates as a whole
become closely fused together in a similar manner.
This theory of origin is strengthened by closer observation of the
phenomena of a single group. Taking the Septibranchiata as an
instance, we find that in Lyonsiella the branchiae unite with the
mantle in such a way as to form two large pallial chambers, the
structure of the branchiae being preserved, and their lamellae
covering the partition. A further stage is observed in Poromya.
There, a similar partition exists, but it has become muscular,
preserving, however, on each side two groups of branchial lamellae,
separated one from the other by a series of slits, which form a
communication between the two pallial chambers. A further stage

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