Chinese Water Systems: Max Dohmann Martin Grambow Yonghui Song Paul Wermter Editors

Terrestrial Environmental Sciences
Max Dohmann
Martin Grambow
Yonghui Song
Paul Wermter Editors
Chinese
Water
Systems
Volume 4: Applied Water Management
in China
Series Editors
Olaf Kolditz, Helmholtz Centre for Environmental Resea, Leipzig, Germany
Hua Shao, and Natural Resources, Federal Institute for Geosciences, Hannover,
Germany
Wenqing Wang, UFZ, Environmental Informatics, Helmholtz Centre for
Environmental Resea, Leipzig, Germany
Uwe-Jens Görke, Environmental Informatics, Helmholtz Centre for Environmental
Resea, Leipzig, Germany
Sebastian Bauer, University of Kiel, Institute of Geosciences, Kiel, Germany
Understanding the function and evolution of terrestrial environmental systems is
fundamental to many environmental aspects investigated in the geo- and
hydrosciences. The terrestrial environmental systems under investigation here
range from the geosphere and its related water cycle to associated matter fluxes and
biogeochemical transformations. Modelling is important for system characterization
and understanding as well as describing potential paths of terrestrial environmental
systems. Benchmarking builds a bridge to experimental studies and provides a
methodology for model validation. Moreover, benchmarking and code comparison
foster community efforts. This book series invites contributions in fundamental and
applied aspects in terrestrial environmental sciences as well as in other related fields
to promote interdisciplinary approaches.
More information about this series at http://www.springer.com/series/13468

Max Dohmann Martin Grambow
• •
Yonghui Song Paul Wermter

•
Editors
Chinese Water Systems

Volume 4: Applied Water Management
in China
123
Editors
Max Dohmann Martin Grambow
Research Institute for Water and Waste Water Management and Soil Protection
Management at RWTH AC Bayerisches Staatsministerium für Umwel
Aachen, Germany Prien am Chiemsee, Bayern, Germany
Yonghui Song Paul Wermter

Chinese Research Academy of Ministry of Environment, Energy, Food
Environmental Sciences (CRAES) and Forestry of Rhineland-Palatinate
Anwai Beiyuan, Beijing, China Mainz, Germany
ISSN 2363-6181 ISSN 2363-619X (electronic)

ISBN 978-3-030-80233-2 ISBN 978-3-030-80234-9 (eBook)
https://doi.org/10.1007/978-3-030-80234-9
© The Editor(s) (if applicable) and The Author(s) 2022. This book is an open access publication.
Open Access This book is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing, adap-
tation, distribution and reproduction in any medium or format, as long as you give appropriate credit to
the original author(s) and the source, provide a link to the Creative Commons license and indicate if
changes were made.
The images or other third party material in this book are included in the book’s Creative Commons
license, unless indicated otherwise in a credit line to the material. If material is not included in the book’s
Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the
permitted use, you will need to obtain permission directly from the copyright holder.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this publi-
cation does not imply, even in the absence of a specific statement, that such names are exempt from the
relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in this
book are believed to be true and accurate at the date of publication. Neither the publisher nor the
authors or the editors give a warranty, expressed or implied, with respect to the material contained
herein or for any errors or omissions that may have been made. The publisher remains neutral with regard
to jurisdictional claims in published maps and institutional affiliations.
This Springer imprint is published by the registered company Springer Nature Switzerland AG
The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Introduction
For sustainable water management, China is facing triple challenges of water

resources, water environment, and water ecology. China’s per capita water
resources are only 2,300 cubic metres, which is only 1/4 of the world average.
Water resources are unevenly distributed in time and space, with more in the south
and less in the north, more in summer and less in winter, which has become a
restrictive factor for economic and social development. China is also facing the
challenge of water pollution. The seven major rivers, Songhuajiang, Liaohe, Haihe,
Yellow River, Huaihe, Yangtze River, and Pearl River, and the three regions of the
south-east, south-west, and north-west, all have different levels of water pollution
problems; especially, the Haihe, Liaohe, Yellow River, and Huaihe are more pol-
luted; lake eutrophication is more common, especially in Lake Taihu, Lake Chaohu,
and Lake Dianchi. Water pollution has exacerbated water shortages due to water
quality. The rapid economic and social development and the over-exploitation of
river and lake basins have also caused damage to the water ecology, increasing the
difficulty of non-point source pollution and water environment management.
In response to the water management challenges, China has continued to reform
and innovate, and put forward a strategy of “prioritizing water conservation, spatial
balance, systematic governance, and two-handed efforts” to manage water. In 2015,
the revised “Environmental Protection Law” was implemented. Increased penalties
and rigid constraints for environmental violations, and at the same time initiated the
implementation of the “Water Pollution Prevention and Control Action Plan”,
comprehensively considering water saving, water conservation, economic and
social development, management and sustainable use of water resources, with the
goal of comprehensively improving the safety level of water resources, water
environment and water ecology; in 2018, the revised “Water Pollution Prevention
and Control Law” was started to implement, and innovative systems such as the
River Chief System and the Lake Chief System have been established nationwide.
Scientific water management strategies require solid scientific and technological
support. The Major Science and Technology Program for “Water Pollution Control
and Governance” (hereinafter referred to as the “Major Water Programme”) cov-
ering three Five-Year Plans from 2007 to 2020 aims to solve the bottleneck
v
vi Introduction
technological problems of water pollution control and governance of China. The

technologies for industrial water pollution control, urban water pollution control,
agricultural and rural non-point source pollution control, drinking water safety
guarantee, basin water environmental management, water ecological restoration,
etc., have been developed, and technological engineering demonstrations in the
Taihu, Chaohu, Dianchi, Haihe, Liaohe, Huaihe basins, etc., have been carried out.
It is planned to build up two technological systems of China for water pollution
control and water environment management at basin level, so as to improve the
modernization level of China’s water governance and management.
During the implementation of the Major Water Programme, in addition to
independent innovation, attention was also paid to the international cooperation,
especially technical exchanges with Germany. In 2011, China and Germany signed
a joint statement on the “Clean Water Research and Innovation Programme”; on 7
May 2015, the Sino-German Water Cooperation Launch Meeting was held. The
Ministry of Science and Technology (MoST) of China and the German Federal
Ministry of Education and Research (BMBF) signed a “Major Water Programme”
cooperation declaration and officially launched three German–Chinese water
research cooperation projects: SIGN, “Drinking water quality assurance in the Lake
Taihu basin”; SINOWATER, “Good water governance, water resources manage-
ment and innovative technologies (Liaohe and Dianchi)”; and UrbanCatchments,
“Water resources management in urban watersheds”. These three projects initiated
by the German side have formed a good connection with the 12th Five-Year Plan
projects of the Chinese Major Water Programme. The German–Chinese coopera-
tion has provided a new approach and reference to solve the water pollution
problem in the main basins of China, and both sides have benefited from the
cooperation in terms of technology innovation, technology marketization, and
solutions for water challenges.
The SINOWATER project takes into account the large-scale heavy chemical
industry polluted river, “Liaohe”, and the plateau eutrophic lake, “Dianchi”,
focusing on the core city of the north-east old industrial base, “Shenyang”, and the
metropolis of the Dianchi basin, “Kunming”. In both basins and urban areas,
comprehensive research including good water governance technology, wastewater
treatment plant upgrading technology, pharmaceutical wastewater treatment tech-
nology, sustainable sludge treatment technology, etc., was carried out. These
research contents are exactly the urgent needs in the above basins and areas. In the
organization of the research team, for the Liaohe basin and Shenyang area, the
Research Institute for Water and Waste Management at RWTH Aachen (FiW) e.V.,
Bavarian State Ministry of the Environment and Consumer Protection, Technical
University of Munich, RWTH Aachen University and the related German industrial
partners, the Chinese Research Academy of Environmental Sciences, the Shenyang
Research Academy of Environmental Sciences, and the Guodian Northeast
Environmental Industry Group Co., Ltd. formed a German–Chinese cooperation
team with close integration of “Industry, university, and research institution”,
showing the advantages of collaborative innovation. Practice has shown that this
organizational method is essential for the output of innovative results, the
Introduction vii
construction of systematic water governance plans, and the application and trans-
formation of technologies. After several years of collaborative research, the projects
of both China and Germany have been successfully completed. The systematic
summary of SINOWATER’s research results by publishing a book would be of
great significance for the implementation of the ongoing second phase of the
German–Chinese cooperation project and the final accomplishment of the Chinese
Major Water Programme. As the coordinator of the Chinese side of the
SINOWATER project, I sincerely thank the researchers from both China and
Germany, especially Professor Dr.-Ing. Max Dohmann, Professor Dr.-Ing. Martin
Grambow, Dr.-Ing. Paul Wermter, and many other colleagues for their hard work
and sincere cooperation; I also sincerely thank the leaders and professional man-
agers of the related governmental agencies from both China and Germany, for their
strong support and enthusiastic help.
Yonghui Song
German–Chinese cooperation in the field of environmental research has a long
tradition and began over 30 years ago. This was based on agreements between the
German Federal Ministry of Education and Research (BMBF) and the Chinese
Ministry of Science and Technology (MoST). The main motives for this cooper-
ation were the adapted application of German environmental technologies in China
and the associated expectation of German economic benefits. From the very
beginning, the joint projects in water research were given special priority.
The German research programme “International Partnerships for Sustainable
Climate Protection and Environmental Technologies and Services (CLIENT)”
launched in 2010 and the signing of the Chinese–German “Clean Water Research
and Innovation Programme” by the research ministers of both countries in 2011 set
the course for intensified cooperation in bilateral water research.
In addition, the CLIENT II programme of the German Federal Ministry of
Education and Research (BMBF) was launched in 2015, which for the first time
also required coordination with the Chinese Ministries of Environment (MEP) and
Housing and Urban and Rural Development (MoHURD) as part of the Chinese
“Major Program of Science and Technology for Water Pollution Control and
Governance”, which has been running since the beginning of the 11th Chinese
Five-Year plan in 2006. This was important because the two ministries mentioned
above are responsible for implementing the results of the research projects in
Chinese practice.
The Chinese Major Water Programme focused on 10 major and particularly
polluted Chinese water resources, namely five major river basins and five major
lakes. The involvement of German research institutions and industrial partners in
improving the water management conditions for one of these river basins and for
three of the lakes resulted from three collaborative research projects started in 2015.
In line with the orientation of the Chinese Major Water Programme, these projects
included technological aspects as well as management and good governance
approaches. These three German–Chinese cooperation projects started with the
inauguration event held on 07.05.2015 in Beijing where a joint declaration between
viii Introduction
the Chinese Ministry of Science and Technology (MoST) and German Federal
Ministry of Education and Research (BMBF) was signed. On the Chinese side, the
Chinese Research Academy of Environmental Sciences in the person of its
Vice-President Prof. Yunghui Song played a coordinating role. Compared with
earlier German–Chinese research projects, the three joint projects had the advantage
that on the Chinese side, research groups had already proven themselves in the
Major Water Programme were established.
This volume reports on the joint project “SINOWATER Good Water
Governance, Management and innovative Technologies to improve Water Quality
in two important Chinese Waters”, one of the three joint projects mentioned above.
The SINOWATER joint project covered the Liao River and Dianchi Lake with the
metropolitan areas of Shenyang and Kunming. Using sustainable and innovative
German technologies and successful experience with applied conceptual approa-
ches, SINOWATER aimed to promote the river and lake resources of the Liao and
Dianchi areas and to develop and optimize improved water management.
One objective of SINOWATER was the development of modified structures and
organizational measures to improve analytical and decision-making capabilities in
the normative and operational management of the water sector on the basis of
cooperative, participatory, and specifically ecological research approaches.
A further objective was to reduce the pollution of the water bodies under consid-
eration by wastewater discharges. In addition, the aim was to contribute to the
continuation of a long-term master plan for the Dianchi area.
The joint project SINOWATER was supplemented in 2016 by two project parts
in the cities of Suzhou and Jiaxing. These were technological approaches to ensure
very low nutrient concentrations in the effluents of wastewater treatment plants with
a high industrial wastewater content and investigations with a new German
equipment for cleaning and inspection of sewers.
In 2018, the joint project SINOWATER was completed. This volume summa-
rizes the main results of the joint research project.
Max Dohmann
The Bavarian Water Administration supports since more than twenty years inter-
national projects. Why? There is no place, no way to learn fast and holistic about
water than in the dialog with experts from other countries and other climate and
cultural zones.
This approach is important for all stakeholders. The meaning of water for any
part of our life and out environment is widely underestimated: water seems to be the
most political resource. Water is the unique common, which has to be treated wisely
in the sense of present and future generations. Mismanagement of water resources is
jeopardizing the stability of any community, of any state. If there is a basic need of
good water management, then there is also a basic need in a good water
administration.
Introduction ix
In this respect, it must be the basic concern of every water administration to learn
together and from each other in order to fulfil this task in the best possible way. The
German–Chinese joint research project SINOWATER, whose results and findings
are published for the first time as a whole in this book, has taken this path.
Actually, we are in a situation of fundamental growth of knowledge about our
basic living conditions. We live in the age of the Anthropocene. Man is the
determining factor of this geological epoch. Due to our rapid technical and scientific
progress, we have intervened in the earth system and the water balance (e.g. dams
and hydroelectric power plants). This has partly brought us a great increase in
prosperity. On the other hand, there are increasing signs that unconsciously induced
side effects of our actions are endangering our prosperity. The decline in biodi-
versity, climate change, or ubiquitous chemical substances are unmistakable signs
of this. In addition, there are other challenges such as massive demographic
changes.
Water policy and water management will therefore be no less important in
future. They are permanent tasks that must be constantly developed further.
This also requires the further development of suitable indicators, not least in
order to make highly complex interdependences in the water sector accessible for
status description, control, and monitoring. Participation and communication are
also ultimately based on this.
Within the framework of the research project, we have therefore also intensively
dealt with the topic of indicators and have taken up the challenge of developing not
only purely technical indicators, but also non-technical ones, such as for the
description of the quality of life or for administrative structures itself. Ultimately,
this has resulted in a separate chapter in this book.
With this book, the SINOWATER research project is now finally concluded. We
hope that through this book we will succeed in generating the real added value of
our research work, namely the integration of the results into practical water man-
agement and the inspiration for future research activities.
Martin Grambow
Contents
1 Improving Water Management and the Water Management

System in the Liao River Basin and Lake Dian . . . . . . . . . . . . . . . . 1
Ke Chen and Markus Disse
2 Ecological Indicators for Surface Water Quality - Methodological
Approaches to Fish Community Assessments in China and
Germany . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Sebastian Beggel, Joachim Pander, and Jürgen Geist
3 Dianchi Shallow Lake Management . . . . . . . . . . . . . . . . . . . . . . . . . 69
Florian Rankenhohn, Tido Strauß, and Paul Wermter
4 New Technical Approaches for the Co-processing of
Pharmaceutical Wastewater in Municipal Wastewater Treatment
Plants in the Shenyang Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Yunbo Yun and Max Dohmann
5 The Planning, Management and Decision Support Systems
of Kunming’s Urban Drainage System . . . . . . . . . . . . . . . . . . . . . . . 169
Hailing Wang, Liu Dan Yu, Paul Wermter, and Florian Rankenhohn
6 Treatment of Wastewater with High Proportion of Industrial
Wastewater with Extreme Requirements on the Elimination
of Nutrients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Max Dohmann, Yunbo Yun, and Vivien Lee
7 Adaption and Introduction of German Sewer Inspection
Technology in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
Marc Jansen, Jan Echterhoff, Tobias Jöckel, and Sven Sturhann
xi
About the Editors
Yonghui Song is Professor and Vice-President of the

Chinese Research Academy of Environmental Sciences
(CRAES), which is affiliated to the Ministry of
Environmental Protection (MEP) of China. He obtained
his Ph.D. degree in environmental science from the
Research Center for Eco-Environmental Sciences of the
Chinese Academy of Sciences in 1999 and his Dr.-Ing.
in environmental engineering from the University of
Karlsruhe (TH), Germany, in 2003. His research
focuses on water pollution control technologies, and
regional- and basin-level water environment manage-
ment. He has undertaken over 20 national or
ministerial/provincial scientific research projects as
the principal investigator, published over 300 journal
papers, and obtained more than 20 patents. He received
the “Outstanding Research Team Award” of the “11th
Five-Year Plan” of the Ministry of Science and
Technology (MoST) of China in 2012 and the
“Award of MEP for Science and Technology” in
2016. He was selected as the Youth Innovation of
Science and Technology Leading Talent by MoST of
China in 2012 and was selected as the Innovation of
Science and Technology Leading Talent by
Organization Department of the CPC Central
Committee General Office of China in 2013.
xiii
xiv About the Editors
Max Dohmann is Professor Emeritus of the RWTH

Aachen University and Member of the Board of
Research Institute of Water and Waste Management
at RWTH Aachen University. His research interests
concern general environmental aspects and especially
urban drainage, wastewater treatment, water quality
management, waste, and waste management. After
studying civil engineering at the RWTH Aachen
University and several years of engineering work in a
water management association, he received his doctor-
ate from the University of Hanover in 1974. He then
continued his responsible practical work at the water
management association and became Professor at the
University of Essen in 1983. From 1987 to 2004, he
worked as Professor and Director of the largest German
institute for urban water management at the RWTH
Aachen University. For several years, he was Member
of the German Federal Government’s Council of
Experts on Environmental Issues and Long-standing
Member of the Governing Board of the International
Water Association (IWA). For many years, he is
Visiting Professor at Tsinghua University in Beijing
and at Sichuan University in Chengdu. In 2015, the
German Ministry of Research appointed him as German
spokesperson for the first three German collaborative
research projects in the Chinese Major Water
Programme.
Martin Grambow is Director General of “Water

Management and Soil Protection” at the Bavarian
Ministry of Environment and Consumer Protection. His
responsibilities comprise all aspects of stewardship for
the commons “water” and “soil”, including regulation,
monitoring, and management. In this respect, he also
represents the state Bavaria in national and international
bodies. Among others, he chairs the German River
Basin Management Community Danube and is delegate
in the International Lake Constance Conference and the
International Commission for the Protection of the
Danube River. In 2020 and 2021, he is Chairman of the
About the Editors xv
Federal/States Work Group on Water Issues (LAWA)

and the Work Group on Soil Protection (LABO).
In the late 90th, he founded the stat unit “Technology
Transfer Water (TTW)”. Via TTW, the Bavarian State
water administration supports the exchange of knowl-
edge in water administration and in water technologies.
He contributes to international activities carried out by
various institutions including World Bank, OECD,
European Union, or Deutsche Gesellschaft für interna-
tionale Zusammenarbeit (GIZ). The Asia Region is a
main focus of his international partnerships, dialogues,
and exchanges.
He is Member of several institutions and founda-
tions, notably the European Academy of Science and
Arts and their “International Expert Group on Earth
System Preservation” (IESP), and the “Bavarian Water
Foundation”. He is Member of the Managing Board
of the German Association for Water, Wastewater and
Waste (DWA), of the Bavarian Environment Cluster
(Umweltcluster Bayern), and specially notably since
2018 Member of the International Scientific Advisory
Committee (ISAC) for the Chinese Research Academy
of Environmental Sciences (CRAES).
He studied civil engineering at TUM Technische
Universität München. He graduated in 1986
(Diplom-Ingenieur), achieved his doctor’s degree in
2005, was appointed Honorary Professor in 2012, and
teaches International Waterpolicies and Waterrights at
TUM.
He is Author of various books and articles primarily
focusing on the application of concepts for sustainable
(water) resource management. He also has co-edited the
books “Sustainable Risk Management” and “Global
Stability through Decentralization?” in the Springer
series “Strategies fur Sustainability”.
xvi About the Editors
Paul Wermter received his diploma as Environmental

Engineer at University of Rostock 1999. Shortly after,
he joined Planungsbüro Koenzen, one of Germany’s
leading consultants in the field of river rehabilitation.
Ever since, he was concerned with hydraulics and
especially with the hydrology of rivers in regard to river
typology. R&D took him to water quality as well as
point and non-point source pollution modelling and
control. Early 2006, he committed himself fully to
applied R&D at Research Institute of Water and Waste
Management at RWTH Aachen (FiW). His research
priorities comprised economic aspects of European
Water Framework Directive, financing/pricing of water
management, micro-pollutants within aquatic environ-
ment, and urban and climate impacts on the hydrology
and the flow regime of rivers. In 2009, he was
appointed Scientific Head of Integrated Water
Resources Management at FiW and in 2014 Head of
International Cooperation China. He was Coordinator
of national and international joint R&D projects funded
by BMBF like SINOWATER. Today, he is working at
the Ministry of Environment of Rhineland-Palatinate,
responsible for digitization in the water sector of that
federal state of Germany.
Chapter 1
Improving Water Management
and the Water Management System
in the Liao River Basin and Lake Dian
Ke Chen and Markus Disse
1.1 Structural Indicators
With increased political and academic concerns, the term “water governance” has
been debated that it responds to challenges of sustainable development [42]. The
Organization for Economic Co-operation and Development (OECD) defines water
governance as a “range of political, institutional and administrative rules, practices
and processes (formal and informal) through which decisions are taken and imple-
mented, stakeholders can articulate their interests and have their concerns considered,
and decision makers are held accountable for water management” [35]. Good water
governance thus depends on several significant factors, including strong legal, policy
and regulatory framework, effective administrative and institutional framework that
facilitates collaboration among various water organizations; civic determinations for
sustaining good water environment and adequate investments [10]. Actually, the term
of Integrated Water Resources Management (IWRM) can be described by technical
and management approaches, wherein the management approaches can be divided
into “Good Water Governance Structures, Water Rights, Financing, Communica-
tion, Human Factors and Cultural Impacts” [11]. Having a closer look to the Good
Water Governance Structure, it comes out that there in absolutely no common design
of water institutions but in the opposite any culture has developed very individual
ways to organize the water issue. This is remarkable, because the water issue itself
globally is not that different: water is needed by any life, is a typically regional or
temporally changing resource, from drought seasons to abundant up to floods and
water is running downhill, which connects needs of any living thing in the river
basin in a competitive way. So, the water governance is a result of an institutional,
legal and cultural organization of any existing state or society, which is at least
K. Chen · M. Disse (B)

Chair of Hydrology and River Basin Management, TUM Department of Civil, Geo and
Environmental Engineering, Technical University of Munich, Munich, Germany
e-mail: [email protected]
© The Author(s) 2022 1

M. Dohmann et al. (eds.), Chinese Water Systems, Terrestrial Environmental Sciences,
https://doi.org/10.1007/978-3-030-80234-9_1
2 K. Chen and M. Disse
complicated if not complex because it involves actually any form of state structure,
from the highest level (State) down to the lowest subsidiary level (communities,
clans, families) [12]. This factor water institutional framework (water governance
structure) plays a strong role in affecting the overall water governance performances.
While effective water institutional framework helps to shape the choices made within
water resource management, it reflects the stakeholders with their respective goals,
features the fractures and balances of powers, determines the controlling and collabo-
rative mechanism among water relevant organizations and ensures collective actions
against existing and new challenges [6, 38]. Thus, arguments have been made that
water resource governance depends strongly on placement of institutional arrange-
ments, and water institutional framework is of vital importance in ensuring water
security [14, 41]. Therefore, understanding the relevant organizations and their insti-
tutional dynamics could facilitate the stakeholders and decision makers to conduct
effective water management measures.
1.1.1 Development of Innovative 3D Water Governance

Models for Kunming City and Bavaria
1.1.1.1 Introduction
It has been recognized that any institutional framework, including water sector, could
reflect its several intrinsic dynamic aspects, such as the formal and informal scheme
of relationships, patterns and channels of communication and operating processes
for routine and exceptive management tasks [1, 19]. If taking the structure of the
organization of the society as the “hardware”, it also requires understanding the “soft-
ware”, meaning the written and unwritten rules of cooperating and teamworking to
understand the management. Thus, these management processes of various water
governance tasks are of great importance, while they are designed to resolve mani-
fold water relevant issues, respond appropriately against emergent and exceptive
situations and reflect concretely how water laws and regulations are implemented
in practical actions [6, 36], Saleth and Dinar 2013). A good way to describe this
cooperation is a “process-model”, which means describing the workflow shown in
a diagram. Therefore, it is crucial to systematically demonstrate different manage-
ment processes over all involved institutions, which might be a lot for reviewing their
competences on practical applications.
Practically, water institutional framework charts are usually drawn to understand
water governance structures for different nations or regions, study examples can be
seen from [8], Ministry of Water and Environment of Uganda (MWE n.d.), [34] and
[44]. Those charts are mostly drawn in various types of 2D layouts and commonly
place water relevant organizations at different positions, depending on their hierar-
chies and organizational functions. On the other hand, water management processes
are also commonly depicted in 2D layouts by different forms of flow charts, such
1 Improving Water Management and the Water Management System ... 3
examples can be seen from the studies of Bavarian Environment Agency (LfU) (LfU
n.d.a, 2010) and [31].
Although the 2D layouts of water institutional frameworks and management
processes provide adequate view and understanding of water governance structures
and procedures, essential drawbacks also exist. Firstly, since organizations always
communicate within the environment of other organizations at parallel and hier-
archically levels, namely horizontally and vertically, a 3D relationship thus exists
(Grambow et al. 2017). However, water institutional frameworks shown in 2D
formats intrinsically could not express such a characteristic. Secondly, water insti-
tutional frameworks in 2D layouts cannot fully present all relevant organizations,
thus the scale of water governance structures within a specific region could not be
viewed in accurate dimensions. Thirdly, regarding the display of water management
process charts, usually they are demonstrated statically out of the entire water insti-
tutional framework, and provide only limited descriptive information, thus essential
background and supportive information is not provided for optimized understanding.
Hence, the authors consider that conventional 2D approaches for exhibiting water
governance structures and management processes cannot fully express and compre-
hend the complexity of water institutional structures as well as the spatial dynamic
essence of management processes.
The authors have conducted extensive literature reviews to find if there is the
existence of previous studies that aimed at developing the 3D water institutional
framework (model), and resolved these above-mentioned drawbacks, however, no
similar studies have been discovered. In this study, the authors aim at developing
two integrative 3D Water Governance Models (3D-WGM) that enable to exhibit all
relevant water organizations for the study areas Kunming City, China and Bavaria,
Germany, and interactively demonstrate various representative water management
processes within the models. In addition, numerous functions are also intended to be
incorporated in the 3D-WGMs for facilitating the models’ operation.
1.1.1.2 Materials and Methods
Study Areas
With the formation of German research initiative International Partnerships for
Sustainable Technologies and Services for Climate Protection and the Environ-
ment (CLIENT), which is funded by the German Federal Ministry of Education and
Research (BMBF), several projects were launched to support China in solving water
resource management challenges in selected areas [9]. Within the CLIENT frame-
work, SINOWATER Project was initiated that aims at advancing Good Water Gover-
nance, management and innovative technologies for improving the water quality of
Dianchi Lake (falls in Kunming City) and Liao River Basins, where both basins
were selected while they are regarded as two of the most important and most
heavily polluted water bodies in China. On the other hand, the German experi-
ence from Bavarian water resource management and administration was selected in
SINOWATER Project to conduct comparative studies for providing water governance
strategies and executive suggestions. This study, as a contribution to SINOWATER

Project, then chooses the water governance system in Kunming City, China and
Bavaria, Germany as study areas.
Kunming City
The first study area where this research was conducted is Kunming City. As a capital
city of Yunnan Province, China, Kunming City is located at an altitude of 1,890 m
in southwest China, which covers a total area of 21,012 km2 [27]. The climate
of Kunming City is classified as subtropical highland climate (Köppen Cwb) and
characterised by warm and humid summers, and cool and dry winters. With one
of the mildest climate in China, Kunming City has an annual mean temperature of
15.52 °C and precipitation of 979 mm. The population of Kunming City has reached
6.626 million in which 4.575 million are resided in urbanized regions [45].
A large lake named Dianchi Lake is located at southwest within the jurisdiction
of Kunming City. Throughout history, Dianchi Lake has been important for the
economy and tourism development as well as many aspects of residents’ livelihood
in Kunming City. Ranked as the 6th largest freshwater lake in China, Dianchi Lake
covers an area of 309.5 km2 [15, 17]. Over last few decades of rapid economic and
population growth, and combined with significant increase of urbanization rate and
land use changes, continuous increased pollutant discharges from rural and urban
areas have caused severe water quality deterioration and eutrophication of Dianchi
Lake, in the meanwhile, ecosystem of Dianchi Lake Basin has been reported that
went through a tremendous degradation [15, 27–29].
Since 1980s, the severe water pollution condition in Kunming City, mainly arose
from Dianchi Lake Basin, has been widely recognized by national and local govern-
ments. Through years of implementing pollution control actions, central and local
governments have recognized that fundamental water environment enhancement
must be accompanied by strategies of Good Water Governance. Thus, lessons learned
regarding water management have been systematically reviewed, and plans in associ-
ation with water governance were revised and supplemented into existing and future
development polices, where the topic of comprehensive understanding and analysis
of current water administration systems was also regarded as one of the major future
tasks [29].
Bavaria
The second study area is targeted at Bavaria that locates in southeast of Germany. As
the largest state in Germany by land area, Bavaria covers a total area of 75,500 km2 .
With population amounts to 12,976 million [2], Bavaria is ranked as the second-most-
populous state in Germany. While lying in transitional area from Western Europe to
Eastern Europe, Bavaria receives climate patterns, which ranges from oceanic climate
(Köppen Cfb) to continental climate (Köppen Dfb) (LfU n.d.b). Precipitation also
varies greatly both regionally and temporally, on average the total annual precipitation
in Bavaria amounts to 933 mm, while in northern Bavaria, it reduces to 768 mm and
southern Bavaria reaches 1,058 mm (LfU n.d.c).
Bavaria is a relative water-rich state in Germany, in total 2% of its whole land

area, namely 1,446 km2 is covered by water resources. Approximately, the lengths
of all rivers and streams in Bavaria are added up to 100,000 km, where around
9,000 km water bodies are regarded with regional and supra-regional significances
[40]. Bavaria also forms parts of three international river basins, namely Danube,
Rhine and Elbe, and play important roles in their commissions for protecting river
basin environment with joint efforts. With respect to surface water quality in Bavaria,
at current stage, the chemical status is overall at good condition (nearly 95% of all the
surface water bodies) when not considering the ubiquitous substances, nevertheless,
on the other hand, only around 15% of all surface water bodies have reached the
ecological good status [26].
History of water management administration in Bavaria dates to 18th Century,
until today, steady governmental structures have been formed, which are responsible
for sustainable utilization and management of water resources [40]. As members of
various task forces (e.g. ARGE Alp, Arge Alpen-Adria) and international river basin
commissions (i.e. Rivers Danube, Rhine and Elbe), Bavaria takes further responsibil-
ities of securing healthy water environment in Europe. Furthermore, Bavarian water
management administration also extends international collaborations and commu-
nications at global scales. Through multiple international collaborative phases, it
has been noticeable that each nation or region administrates water resources with
its unique governmental and public institutional arrangements, thus it stimulates
Bavarian water management administration to systematically and in-depth under-
stand its own water administrative structure as well as the regions with partnerships,
such as China, India, Tunisia and Poland.
Establishment of 3D Water Governance Models
Selection of Modelling Software and Programming
Through a wide range of selections, the authors have chosen Unity, a popular interac-
tive 3D rendering engine, to build the 3D-WGMs. We have designed an appropriate
description format to encode the water institutional structures in regular Microsoft
Excel tables, which are capable of fast and batched data edition, and every time
when Unity software launches, it reads all the data into memory and produces the
corresponding 3D representation. In this way, meta-data of organizations appeared
in the models are separated from programming code to achieve independent editing
of organizational data. Hence, each single organization in the 3D-WGMs could be
assigned with different sizes in 3D shapes and collectively shown in one single model.
Since the 3D-WGMs are required to integrally exhibit abundant of organizations, we
have used GPU instancing technique [18], which enabled to render large amount of
3D units in different colours and sizes on one screen in 60 Hz (frame per second,
FPS).
Regarding the realization of demonstrating water management processes, we have
designed a novel data structure to describe their step-by-step action flows. With
this structure, the 3D-WGMs enables to exhibit the action flows as 3D animations
in real-time, interactively. In these animations, the models sequentially draw lines
connecting two specific units as a representation of actual workflow. When animation
encounters branches, a dialog window appears to allow users to choose different

options.
Model Construction
With the application of Unity Software, graphical User Interfaces (UI) and various
associated applicable functions were developed for both models in Kunming City
and Bavaria.
In the first place, each single unit, namely every relevant organization demon-
strated in the models, was inserted and assigned with specific 3D shape and colour
depending on its type and function. The function of displaying internal structure was
incorporated, which allows users to zoom into a specific organization to observe its
internal construction at different scales. Subsequently, map images with high resolu-
tion, which indicate administrative divisions at different hierarchies were vertically
placed with sequences in the models, afterwards, each organization (i.e. the equivalent
3D shape) was placed above the corresponding map for expressing itself as an official
organization in the specific area. In addition, each organization was programmed that
enables to be edited to provide supplementary literal information (text box placed
to display at top-left corner of UI, see model conception Fig. 1.1) for explaining its
properties and characteristics.
In the next phase, the function of illustrating the dynamic procedure flows of
various representative water management processes both for Kunming City and
Bavaria was designed. Every water management process was represented by an inter-
active button, which is located at top-right of the Model UI (Fig. 1.1). By clicking any
of those buttons, the model will initiate to dynamically illustrate this specific water
management process step by step, and each action step was realized by utilizing
a 3D arrow pointing from one organization to another. In addition, the full literal
Fig. 1.1 Interface conceptual design of 3D-WGMs

description of each action step was arranged to accompany throughout the illustra-
tive processes, which is placed at the bottom-left of the Model UI (Fig. 1.1). At the
end of dynamic illustration of process flows, each relevant action step was arranged
to be placed again in order on the Model UI (bottom-left corner, Fig. 1.1) for further
understanding, and every step was programmed to link with its corresponding action
arrow, which simultaneously shall be highlighted as well.
At later stage of model development, several significant auxiliary functions such
as hiding or displaying any 3D unit and map, changing UI background and searching
functions (Fig. 1.1), were embedded for facilitating its practical utilization.
Model Information Input

In order to understand and obtain background information to support the establish-
ment of 3D-WGMs, extensive literature reviews both for Kunming City and Bavaria
regarding the understanding of water management related institutional arrangements
and process descriptions were firstly conducted. During this process, various types
of literatures and documents, such as journal articles, official internet documents,
reports, statutes, and regulations were retrieved, analyzed and arranged.
Based on essential literature reviews, two rounds of systematic and semi-
structured interviews were subsequently conducted both in Kunming City and
Bavaria for gathering supplementary information of model establishment. All inter-
views were executed by the first author and were audio-taped and partially verbatim
transcribed. In the first round, according to necessities, interviews were conducted
within various representative water relevant organizations in Kunming City and
Bavaria. The first-round interviews aimed at clarifying water management structural
and institutional constructions. In the second round of interviews, it was designed
to explicitly determine the step-by-step description of each selected representative
water management process, every single process detail was verified with local water
management officers, who are closely involved within those procedures.
1.1.1.3 Results
Construction of 3D Water Governance Models

Graphical User Interface
As results of model development, two individual 3D-WGMs are built for Kunming
City and Bavaria respectively. By opening the designated executive file, the User
Interface (UI) of Bavarian model presents in the first place. While the model interface
integrates both models (Kunming City and Bavaria), it allows users to switch between
two models by clicking the appointed button. Since both models are designed with
similar UI, thus, in this section, the graphical user interface will be introduced and
explained with the example of Bavarian 3D-WGM (Fig. 1.1). The model is composed
of several zones, which are numbered and will be elaborated in sequence in the
following lines.
1. The first zone represents text boxes, which allows users to enter and edit literal
contents for any organization shown in the model. Within the text boxes, users
could attach various kinds of documents, such as PDFs, pictures, and video
files, for its extended explanation. The text box appears instantly when the
mouse cursor is pointed to a specific organization and could be closed manually
or replace contents, when the cursor is pointed to another organization.
2. The second zone is reserved for displaying another type of text box, which
consists of the description of each action step from any water management
process. It is only activated when the process is triggered (see number (5)).
3. The third zone exhibits the main body of the 3D-WGMs. The example in Fig. 1.2
is shown from a specific spatial angle and composed of three parts. In the
left part, all the water relevant official organizations are arranged according to
their hierarchies and geographical locations on maps. In the right part of this
zone, various social organizations, which are involved in water management
system, are adjacently displayed above an independent surface. In the middle
part, some organizations are placed temporarily, when further arrangement for
their positions are necessary.
4. In the fourth zone, namely at the top-middle area of the UI, a search bar is
inserted that allows user to search any specific organization, which exists in the
model.
5. A list of buttons, which indicates the selected water management processes,
is placed in the fifth zone. By clicking any of the buttons, it triggers the
dynamic procedure flow of that specific process. During the procedure flow, each
Fig. 1.2 Graphical user interface as the example of Bavarian 3D-WGM at default viewing angle
action step is shown in sequence, which is accompanied by the corresponding

explanation shown in the text box at second zone.
6. In the sixth zone, two options are situated for controlling the demonstration of
dynamic process flows. The “Step Time” adjusts the speed of flow procedure;
on the other hand, during the process flow, “Keep Lines” allows the users to
either retain all the action lines on the UI or enable the action line to disappear
before the display of the subsequent action line.
7. In the seventh zone, several interactive checkbox and buttons are designed,
which allows general or additional operations and will be explained in succes-
sion. Checkbox “Background”: it provides users the option to enable the display
of the background panoramic picture or uncheck to hide the background. Buttons
“Anim 1” & “Anim 2”: once activated, these two pre-made animations will
automatically rotate and zoom through the main body of the 3D-WGMs from
different angles, which gives comprehensive visual tour along and among the
3D constructions. Button “Switch Model”: this button simply allows users to
switch between the 3D-WGMs of Kunming City and Bavaria. Button “Sub-
catchment”: analogue to a “spotlight” function, when it is required to selec-
tively exhibit a specific group of organizations, and in the meanwhile hide
other irrelevant organizations, this button could help to realize the requirement
by appropriate pre-settings. In addition, more similar buttons could be added
based on further necessities. Button “Map”: by clicking this button, the window,
which contains a list of all displayed maps in the 3D constructions, will present.
At this moment, users have the possibility to separately keep or hide the desired
maps. Button “Save”: this button should be utilized when editing the position of
a single or several organizations. After the editing operations, the “Save” button
should be clicked to save the changes. Button “Pause”: during the procedure of
displaying water management processes or pre-made animations, pause button
could be used to suspend these actions. Button “Reset”: by clicking this button,
the model will automatically bring the users back to view the 3D constructions
at default angles.
8. The overall operation of the 3D-WGMs is realized by the combination of mouse
and keyboard. It has been programmed that the two main buttons of the mouse
are responsible for adjusting the viewing distance horizontally or vertically and
changing the viewing angles at all directions. In addition, the mouse wheel
button could be scrolled to zoom the 3D constructions at any depth. Thus, the
3D-WGMs could be observed at any level of details within the limitless 3D
space (see Appendix A and Appendix B).
Individual Organization and Internal Structure

Each single organization forms as the basic unit of the 3D-WGMs and is assigned
with its specific 3D shape. In general, most of the common organizations are designed
with cube or cuboid shapes, in addition, some special organizations are built with
cylinders and sphere shapes (Fig. 1.1, 1.2, 1.3). The size and proportion of each
organization refer to its best fit with the map, which lies underneath.
Fig. 1.3 Examples of individual organizations, which are assigned with cubic, cuboid, cylinder
and sphere shapes
Table 1.1 The attributes of colors and corresponding indicated functions for the establishment of
organizational shapes
Colour name Indicated function
Red Chinese Communist Party organizations
Yellow General political bodies
Blue/Light Blue General administrative bodies (two types of variations)
Green Water supply enterprises
Brown Wastewater treatment enterprises
Dark green Hybrid water supply and wastewater treatment enterprises
Light Orange Other types of enterprises
Black Organizations with temporary positions (need further adjustments)
Pink Technical institutions
White Social bodies
While each organization is established with its major purposes, it is thus necessary
to assign color attribute to indicate its type of function. Several different typical colors
are used to distinguish the most common organizational functions and is shown in
Table 1.1.
Due to the models’ 3D spatial characteristics, the internal structures could also be
built within the 3D shape of any specific organization. The construction of internal
structures could be extended to various scales, which is not only limited to two level
of details. If one organization’s internal structure has been designed, one simple click
will bring user into the organization’s internal view and conduct further observations.
Figure 1.1, 1.2,1.3,1.4 gives an example of one organization’s internal construction
in three levels.
Application of 3D Water Governance Models in Kunming City and Bavaria
3D Water Governance Model of Kunming City
As illustrated in Fig. 1.5, the front view of the Kunming City WGM illustrates
the Kunming water governance system in five official hierarchies, namely Yunnan
provincial level, Kunming City level, county (district) level, township (sub-district)
level and village (residential community) level. Although the model focuses on
Fig. 1.4 Regional Water Management Office Deggendorf (WWA-Deggendorf) in Bavarian 3D-
WGM as an example to demonstrate the construction of organizations’ internal structures. (a)
represents the WWA-Deggendorf itself; (b) represents the first level internal structures; (c) represents
the internal units of one specific department in WWA-Deggendorf
Fig. 1.5 The front view of Kunming City 3D-WGM
exhibiting the water governance model in Kunming City, the provincial organizations
also play significant roles in local water administrations, thus they have been also
incorporated in the model. In general, four major types of governmental groups,
namely Party Committees, governments, People’ Congresses (PC) and People’s
Political Consultative Conference (People’s PCC), are widely and similarly estab-
lished at each jurisdictional local region. While at lower hierarchies exceptions exist,
where PCs are not established at village level and People’s PCCs do not appear at
both township and village levels. Different governmental groups play respective roles
in governing all socioeconomic aspects, which include water resources.
In ordinary, local government is the highest administrative body in each region,
which plays fundamental roles in administrating various socio-economic affairs.
Local government should execute the resolutions from its corresponding PC and
implement orders from higher administrative bodies, in the meanwhile, it also leads
the administrative work of lower hierarchies within its jurisdictions. Local PC repre-
sents the highest power authority within its territory. Its major functions are formu-
lating and promulgating necessary local regulations; ensuring the implementation of
constitution, manifold laws and regulations; monitoring and examining the perfor-
mances of its corresponding government etc. Local People’s PPC serves as political
consultative body to its related PC and Party Committee in the same region. Regarding
the function and power of local Party Committee, it plays central and comprehen-
sive roles in leading and coordinating the overall performance of local governmental
groups. A local Party Committee is the prime organization in a given region to
discuss and adopt the resolutions on major issues and policies, in the meanwhile, it
is governed by a top-down approach, which is responsible to the Party Committee at
the next higher level.
As illustrated in Fig. 1.5, most of the organizations related to water administration
in Kunming City are displayed in 3D-WGM, which are based on their hierarchical
and geographical positions. From higher to lower hierarchies, each level’s major
functions regarding water administration are described in the following lines:
Provincial Level
Governmental organizations in provincial level involve in Kunming City water
administration by various approaches. Firstly, numerous significant water related
local statues and regulations are promulgated at provincial level, and essential central
policies are interpreted ahead in provincial level, which could further guide the imple-
mentations at lower hierarchies. Secondly, provincial government examines the water
administrative performances at city level. In addition, some further core involvement
mechanisms from provincial level also exist, such as financing broad range of projects
and campaigns; setting specific targets, which is required to be achieved by lower
hierarchies; and issue permissions for actions that have higher water environmental
impacts.
City Level
City governmental organizations play central roles in administrating water resources
in Kunming, especially for the urbanized regions. In the first place, amounts of water
relevant regulations are issued by Kunming City government and PC, which are
formulated for ensuring their applicability in Kunming. Secondly, essential concrete
water administrative tasks are performed by various bureaus and intuitions (arranged
as internal construction of Kunming City government in its 3D-WGM) in Kunming
City government, those tasks cover broad range of water administration, such as
issuing permissions for water extraction and wastewater discharge, conducting water
quality monitoring, legal controls against unauthorized activities, and flood risk
prevention. Furthermore, Kunming City also coordinates and supervises govern-
mental organizations in county level for implementing water related socio-economic
development plans and various local policies.
County Level
17 county level groups of governmental organizations are demonstrated in the 3D-
WGM. In general, county levels are also responsible for executing routine water
administrative tasks within their territories, while those tasks are either assigned by
city level or required by relevant regulations. As described in city level, county levels
are also responsible for fulfilling the assigned tasks of water planning and policies.
Township and Village Level

68 and 214 groups of respective township and village governmental organizations
(within Dianchi Lake Basin) are exhibited in the 3D-WGM. Regularly, governmental
organizations from both levels are not actively involved within significant water
administration processes. Their main responsibilities usually consist of ensuring
the functioning of water conservancy facilities, performing flood and drought risk
controls and executing necessarily assigned duties from higher levels.
3D Water Governance Model of Bavaria

As Fig. 1.2 captures the side view of Bavarian 3D water governance constructions.
In total, four governmental hierarchies, namely ministry level, administrative district
level (Regierungsbezirke), county or county-free city level (Landkreis or Kreis-
freie Stadt) and municipality level (Gemeinde) constitute the foundation of govern-
mental administration systems in Bavaria. Within each administrative region, govern-
mental organizations are composed of political bodies and administrative authorities.
Regarding the functionalities, each political body is in general the main organ of its
administrative region, it decides on all the significant regional affairs and establish
principles for the performance for its corresponding administrative authority. The
highest political body (Landtag of Bavaria) in Bavaria has the authority to issue
laws, while the other political bodies in lower hierarchies could only promulgate
statutes or legal provisions, which are below laws and formulated based on the
regional conditions. On the other hand, administrative authorities are responsible
for executing routine administrative tasks and resolutions from their parliaments or
councils. In the next lines, each governmental level will be described regarding their
major functions for Bavarian water administration.
Ministry Level
Exhibited in the 3D-WGM as one of the 11 state ministries in Bavaria, the Bavarian
State Ministry of the Environment and Consumer Protection (StMUV) functions as
the highest state authority for water resource management. Its major responsibili-
ties are firstly to operate as the sole legislative body that develops and implements
various water relevant state laws and provisions. Secondly, StMUV provides guid-
ance and monitors the overarching water administrative procedures in whole Bavaria,
it goes through most essential decisions on water administration, issue permissions
for substantial proposals and set management strategies for significant water envi-
ronmental events. In addition, it also plays roles in national and international water
resource and river basin commissions for transboundary cooperation.
Subordinate to StMUV, LfU is the central public authority for managing environ-
ment related scientific and technical issues in Bavaria. It specializes in gathering and
evaluating all aspects of water relevant data and further develops objectives, strate-
gies, and plans for water environment protection. As advisory agency, LfU provides
professional advices for public authorities and water management institutions, such
as StMUV, Regional State Offices for Water Management (WWAs), and county water
management offices. Equally important, it also bridges publics by providing raw or
compiled water data, research or monitoring reports and forecast or warning service
against hazards.
In addition, 17 WWAs are displayed in Bavarian 3D-WGM as special “expert”
authorities in between district and county levels. WWAs are also established as sub-
ordinate technical public authorities to StMUV, and evenly distributed in Bavaria for
executing local water tasks. They are by law “official experts” which means they are
responsible to offer the know-how of the integrated water management on the regional
level. In that meaning, they are independent official experts. In that role, the WWAs
provide essential guidance and technical advices for county administrative authori-
ties (which in legal meanings are responsible for the water management what means
e.g. permitting water extraction and wastewater discharge applications, allowance for
river construction and so on) and communities in terms of establishing and managing
sanitation, water supply and wastewater treatment facilities. On the other hand, they
are directly responsible for performing some delegated tasks from state, such as devel-
oping (e.g. flood protections, riparian restoration) and maintaining important state
water courses, constructing and maintaining water infrastructure facilities including
the associated properties, but especially the complete water monitoring system as
chemical and biological water qualities, hydrology, etc.
Administrative District Level

Classified as the upper public water authorities (exhibited as second hierarchy in
Bavarian 3D-WGM), seven district governments in Bavaria are mainly responsible
for supervising and coordinating various water relevant stakeholders within their
territories to realize a common solution or compromise, where issues could not be
fully accomplished by local administrative authorities.
County or County-Free City Level

Overall, governments of 71 counties (Landratsamt) and 25 county-free cities (Kreis-
freie Städte) are displayed at the third administrative level in the Bavarian 3D-WGM.
The water rights units (specialist departments) situated in governments at county
level are the offices responsible for ensuring water relevant laws and statues to be
universally obeyed within respective county region. They are regarded as official
authorities for water legal matters, thus, all water activities, which are required to
be permitted or certified, shall be firstly examined and approved by the water rights
units. In addition, they also make administrative decisions regarding illegal activities,
water hazardous accidents, etc.
Community Level
Ranked as the smallest administrative divisions in Bavaria, in total 2,031 communi-
ties are placed at the lowest level of Bavarian 3D-WGM. With the sovereign rights,
communities are empowered to manage several water activities on their own respon-
sibility, which include providing services for local water supply and wastewater treat-
ment and managing the 3rd order water courses (1st and 2nd order water courses are
regarded as important water bodies, which are managed by the states).
Water Management Processes

One of the major applications of the 3D-WGMs is dynamically and stepwise demon-
strating diverse water management processes. Since each water administrative system
comprises numerous water management processes from different aspects, such as
monitoring, water supply, wastewater treatment, and hydraulic construction, and not
every process could be investigated in detail within this study, thus, four representa-
tive water management processes were chosen both for Kunming City and Bavaria,
which are listed in Table 1.2. The table also indicates that some processes could
contain sub-processes, depending on the actual local situations. This section will only
select and elaborate one comparable process from each study area, namely issuing
wastewater discharge permission into public sewage system in Kunming City and
issuing permission for indirect wastewater discharge into public wastewater treat-
ment plants in Bavaria (sub-project), to demonstrate as examples for introducing the
displaying mechanism of water management processes in the 3D-WGMs.
Firstly, the management process issuing wastewater discharge permission into
public sewage system in Kunming City aims at ensuring the wastewater discharge
activities from different entities, such as industrial enterprises, individual businesses,
and hospitals in Kunming urbanized region, to comply with the connectivity require-
ments with sewage system. This permission mainly examines that whether the local
wastewater dischargers could safely transport their wastewater into public wastew-
ater treatment plants. With essential keywords, Fig. 1.6a exhibits the entire flow
diagram of this water management process, while the detailed stepwise description
is attached in the Table 1.3 (in sequence of numbers shown in Fig. 1.6b). On the other
hand, Fig. 1.6b displays the ending view of the same process, which is dynamically
demonstrated in its 3D-WGM.
Table 1.2 Selected representative water management processes in Kunming City and Bavaria for
the demonstration in 3D-WGMs. *N/A: Not applicable.
Region Process number Sub-process number Name of process
Kunming City 1 N/A* Process of issuing wastewater
discharge permission into public
sewage system
2 N/A Process of issuing permission for
general pollutant discharge
3 N/A Process of monitoring wastewater
treatment plants
(continued)
Table 1.2 (continued)

Region Process number Sub-process number Name of process
4 N/A Process of executing river ecological
compensation in Dianchi Catchment
Bavaria 1 1–1 Process of issuing permission for
direct wastewater discharge into
water bodies
1 1–2 Process of issuing permission for
indirect wastewater discharge into
private wastewater treatment plants
1 1–3 Process of issuing permission for
indirect wastewater discharge into
public wastewater treatment plant
2 2–1 Process of monitoring wastewater
treatment plants (routine
monitoring)
2 2–2 Process of wastewater treatment
plant yearly inspection
3 N/A Process of dealing with accidents by
water hazardous substances
4 N/A Process of constructing and
operating a water quality measuring
station
* Kunming DAB: Kunming Dianchi Administrative Bureau.

Secondly, the wastewater related permissions in Bavaria generally comprise three
sub-processes (see Table 1.2). Regarding the sub-process issuing permission for
indirect wastewater discharge into public wastewater treatment plants in Bavaria,
it is responsible for ensuring the wastewater discharge activities are in compliance
with the local corresponding sewage relevant regulations. Similarly, the entire flow
diagram of this process is shown by Fig. 1.7a and its detailed stepwise descriptions are
listed in Table 1.4 (in sequence of numbers shown in Fig. 1.7a). Additionally, Fig. 1.7b
exhibits the spatial process flow, which is illustrated in the Bavarian 3D-WGM.
1.1.1.4 Discussion
Strengths and Application Value of 3D Water Governance Models

The development of 3D-WGMs has provided new approaches for comprehending
local water governance systems. Several significant advantages of its application are
discussed in the following lines.
The first strength of the 3D-WGMs indicates its integrative capability, which
enables to display each single organization that is involved in local water gover-
nance system. Thus, this feature could give the model users the direct impressions
of the system’s dimension, regarding its layer of hierarchies, number of involved
Fig. 1.6 Illustrations of water management process of issuing wastewater discharge permission into
public sewage system in Kunming City. (a) 2D flow diagram of the entire processes; (b) exhibition
of the process by Kunming City 3D-WGM, where all the options are answered with “yes”
Fig. 1.6 (continued)
organizations and corresponding spatial location of each involved organization. On

the other hand, each organization is built with independent 3D shape, which enables
the users not only to observe the water governance system as a holistic structure, but
also to zoom into the internal construction of any specific organization for further
understandings. Hence, this feature allows to comprehend different water governance
systems from both macro and micro perspectives. Comparing to the conventional
2D displays of the water institutional framework from several previous alike studies
[8], MWE n.d.; [34, 44], the 3D-WGMs manifest their optimization of integrating
different dimensional and complete structural information into one single framework.
The second advantage of using the 3D-WGM is based on its 3D and interactive
characteristics. On one hand, the 3D essence of the models allows users to observe
the water governance systems from different angles and depths, which is adjusted to
the users’ preferences and requirements. On the other hand, with the programming
results from Unity engine, the 3D-WGMs enable users to conduct various interac-
tive operations, such as viewing institutional background information of different
organizations, searching for specific organizations, hiding or displaying preferred
institutions, generating observational animations, etc. Therefore, those interactive
operations permit users to comprehend water governance systems based on indi-
vidual requirements and focus on specific details. In comparison with previously
mentioned studies, those institutional frameworks could only provide knowledge
from one or several aspects, but not able to provide further interactive details from
users’ expectations.
The third significant feature of 3D-WGMs emphasizes that it combines the
dynamic display of various water management processes within the models. Again,
Table 1.3 Detailed step-wise description of the water management process issuing wastewater
discharge permission into public sewage system in Kunming City (based on Fig. 1.6)
Action step No. Action step content
1 At the first place, the wastewater discharger should consult the Kunming
Administrative Service Bureau for general aspects of wastewater discharge
issues, knowing about its service domain, guidelines and forms for applying
permissions
2 Kunming Administrative Service Bureau will then provide consultations to
wastewater discharger for answering common questions regarding preparing
documents and application procedures
3 According to standard procedure, wastewater discharger applies for a
required technical investigation regarding drainage connectivity, which is
conducted by the Kunming DAB urban drainage management office
4 After technical investigation, Kunming DAB urban drainage management
office organizes experts to evaluate the investigation results, this step
examines whether the aspects, such as connection of pipelines, separation of
storm water and wastewater, utilization of recycled water etc., are in
compliance with the city regulations and requirements
5 Kunming DAB urban drainage management office then starts to assign
experts to conduct the technical investigation on-site
6 Kunming DAB urban drainage management office officially accepts the
application for technical investigation
7 If the application does not fulfil the requirement of the investigation,
Kunming DAB urban drainage management office will reject the application
from wastewater discharger
8 If the application passes the investigation, Kunming DAB urban drainage
management office will provide the investigation report to wastewater
discharger for further arrangements
9 If the application needs to apply further investigations regarding drainage
connectivity (for new or extended projects), the wastewater discharger then
need to seek for approvals by Kunming City Planning Bureau, who is
responsible for granting permission of road and drainage construction
10 Once approved, the wastewater discharger can start the construction to
connect its drainage system
11 If the application is approved by the Kunming City Planning Bureau,
wastewater discharger will then go through formalities to obtain the
approvals
12 When receiving the application, Kunming City Planning Bureau will
conduct its investigation regarding construction issues
13 Once the construction is finished, the wastewater discharger should then
apply by Kunming DAB urban drainage management office again for
checking the construction results and seek for its acceptance
(continued)

Action step No. Action step content
14 Kunming DAB urban drainage management office further examines the
construction quality and gives comments back to wastewater discharger,
here inappropriate details should be changed and amended by wastewater
discharger
15 At this step, the wastewater discharger officially submits its application
documents to Kunming Administrative Service Bureau for standard
procedure of applying the permission. Here complete documents should be
submitted, which include application form, environmental impact
assessment report, business licenses, reports and assessment from previous
steps, etc
16 If the documents submitted cannot meet the requirements or not complete,
the Kunming Administrative Service Bureau can reject the application, or
ask for its re-submission
17 Once the Kunming Administrative Service Bureau receives the application
documents, it will start to examine the completeness and effectiveness of the
required documents
18 If the application is not approved Kunming City Planning Bureau, it can
reject the application from wastewater discharger or ask for amendments
and re-submission
19 If the received documents fulfil the requirements, the Kunming
Administrative Service Bureau will accept the application and give
confirmation documents to wastewater discharger
20 Kunming Administrative Service Bureau further transfers all the documents
to Kunming DAB for its final assessment
21 If the application is not approved, then Kunming Administrative Service
Bureau will inform the wastewater discharger about the decision of rejection
22 After assessment, Kunming DAB will make the final decision and deliver all
the necessary documents back to Kunming Administrative Service Bureau
23 When Kunming DAB receivers all the documents, it will conduct the final
assessment, which makes general examination by considering all relevant
aspects
24 If the application has been approved by the final assessment, then the
Kunming Administrative Service Bureau will issue the permission licence to
the wastewater discharger, and it can officially discharge wastewater
according to the requirement of permission
with application of the interactive functions from Unity engine, abundant water
management processes could be built for each 3D-WGMs, which indicate how each
single water management task is resolved by the communication and interactions
among different relevant organizations. The display of each management process is
designed with several key practical features, which are embedded within the models.
Firstly, when any specific management process is triggered, the model will automat-
ically hide the organizations, which are irrelevant to the process, this feature helps
users to distinguish which are the involved organizations and where are they located.
Fig. 1.7 Illustrations of water management process of issuing permission for indirect wastewater
discharge into public wastewater treatment plants in Bavaria. Here the example is made by including
Passau County Government, WWA Deggendorf and Aidenbach Community. (a) 2D flow diagram
of the entire processes; (b) exhibition of the process by Bavarian 3D-WGM, where all the options
are answered with “yes”
Table 1.4 Detailed stepwise description of the water management process issuing permission for
indirect wastewater discharge into public wastewater treatment plants in Bavaria (based on Fig. 1.7)
Action step no. Action step content
1 In the first place, the wastewater discharge applicant will need to hire engineering
office for helping to fill the necessary documents, which indicates the general
planning for its discharge activity
2 After the preparation of the general planning description together with the
engineering office, the wastewater discharger submits the documents to the
corresponding county government, here is Passau (County Government)
3 After receiving the descriptive documents, Passau (County Government) needs to
examine if the application should to be approved according to the relevant regulation,
namely the Waste Water Ordinance
4 Subsequently, the wastewater discharger submits its official application documents to
Passau (County Government)
5 After the application conference, ideally the wastewater discharger will hire the
engineering office again to prepare the official discharge application documents
6 If the approval is needed, then Passau (County Government) will initiate an
application conference, there it advises the wastewater discharger how to fill the
official application documents and inform about the contents and the extend of the
documents as well. When necessary, the Passau (County Government) will also invite
LfU and WWA Deggendorf to participate the application conference for consultation
7 After receiving the application documents, then the Passau (County Government)
checks their completeness and the sufficient effectiveness. If Passau (County
Government) finds that there are missing documents, then it will demand the
applicants to re-submit the corresponding documents. When necessary, LfU and
WWA Deggendorf should also get involved for helping Passau (County Government)
to check the received application documents
8 In the next step, Passau (County Government) sends all application documents to
WWA Deggendorf and invites the experts from WWA Deggendorf to conduct
professional assessment
9 Afterwards, the official WWA Deggendorf experts receive the documents, they
should start to evaluate the documents and formulate their expert opinions. This is
considered as the most significant step in the entire process, while their opinions
could significantly influence the decision of Passau (County Government). The
general task of the official experts is to investigate the facts and the associated effects
of the applications. According to the requirement of Administrative Procedure for the
Implementation of Water Law, the expert opinions should be created within a period
of three months. The experts should present the expected impacts of the application
on rights and the related legal interests of the involved parties, also including the
state. During the process, WWA Deggendorf experts should consider all the relevant
laws and regulations to formulate their proposals. The experts should also formulate
their opinions on their own responsibilities and not get other instructions. In order to
create this proposal, the experts need observe some guidelines for their work, for
example the expert report model and the information sheet from LfU. For their
participation in the processes, the official experts should be compensated for their
costs, as far as they could be charged from the wastewater discharger
(continued)

Action step no. Action step content
10 If no approval is needed, then Passau (County Government) just needs to have an
agreement with the local drainage rules by the local municipality, which will allow
the applicant to discharge into the wastewater treatment plant in that community, here
is Aidenbach (Community)
11 Depending on the proposal from WWA Deggendorf, the Passau (County
Government) makes final legal decisions, they should inform the wastewater
discharger if the permission is granted or not. This decision is then not open for
discussion and only can be challenged later by the administrative court
12 At the end of the evaluation, the official experts from WWA Deggendorf should
submit their final proposal to Passau (County Government) which could be used as
the basis for its final decision on the application. In this proposal, the experts should
indicate that if the impairment of the application to the well-being of the public is not
a general concern and applies to the content and subsidiary regulations. On the other
hand, if not, the experts should indicate that the welfare of the publics is not secured,
although the existence of some secondary appropriate measures, then they suggest
rejecting to give the permission for discharge according to Federal Water Act
13 The Passau (County Government) should advertise publicly the results
Secondly, each action step of the processes is exhibited with logical sequences and
accompanied by full literal explanations displayed parallel with the process flow.
Thus, it facilitates that users could go through a stepwise explanation of any specific
process and informed by rich description of each single step. It was also designed that
the dynamic process could be paused at any moment. Thirdly, when the management
processes are completely shown, all the previous action steps will be listed again,
and users could at this moment replay any of the steps to conduct in-depth learn-
ings, and in the meanwhile, this selected step will also be highlighted in the model.
Therefore, this function provides the advantages to fully understand a process by
post-learnings. While management processes are key elements of understanding the
administrative mechanisms, organizational relationships and information flow [6,
36], Saleth and Dinar 2013), the integration of the management processes in the
3D-WGMs has facilitated to understand the connections among different organiza-
tions. In many circumstances, different water management processes are normally
depicted by various kinds of 2D flowcharts, such as the examples that are existed by
LfU (n.d.a, 2010) and [31]. In comparison, the most significant benefits of applying
the management processes within the 3D-WGMs are that it is dynamically shown
and integrates numerous management processes within one single model.
The application value of 3D-WGMs could be potentially seen in several fields. In
the first place, water related governmental organizations at different hierarchies could
adopt the 3D-WGMs for understanding own water governance systems from different
perspectives. New ideas or improvement strategies could emerge, when governance
structures are comprehensively examined. In addition, governmental organization
could also utilize the 3D-WGMs as educative tool for training new employees and
as guidance tool for facilitating employees’ routine work. In the second place, 3D-
WGMs could also be provided to general publics for guiding citizens and different
public groups to handle water related activities, such as applying permission for
wastewater discharge, the requirements to construct and maintain small wastewater
treatment facilities, etc. On the other hand, by providing the 3D-WGMs, it also
indicates that local water administration respects the public relationships and governs
water with more transparency. Finally, general researches could also apply the 3D-
WGMs as auxiliary tool for conducting comparative studies of water governance
experience, further lessons could be learned when multiple 3D-WGMs are parallel
compared and investigated.
Limits of 3D Water Governance Models

The 3D-WGMs have been developed with various benefits that are possible for
potential practical applications, nevertheless, in this section some of their limited
aspects will also be addressed for an objective discussion.
The first limit of 3D-WGMs arises from their complexity. While the models are
developed analogous as a software, it instinctively would require a longer learning
curve to get familiar with their mode of operations, design of UI, functionalities
of various interactive fields, etc. In comparison with conventional 2D administra-
tive frameworks or organizational charts, 3D-WGMs appear to be less forthright
and more complicated, however, after investing adequate amount of learning time,
the 3D-WGMs can be mastered with their full range of capabilities. Secondly, the
maps utilized in the 3D-WGMs are currently represented by raster graphics, where
geographic information could not be stored by each single 3D shape in the model.
Thus, being lack of geographic attributes, limits exist that the models could not be
operated with more realistic simulations. However, although without added informa-
tion, the maps that are made from raster graphics could adequately fulfil the purposes
of the establishment of 3D-WGMs. Thirdly, the 3D-WGM is currently at the ending
phase of its development. While concerning to advance its practical applications in
local water governance systems, further effort should be devoted to promoting its
capabilities and persuading decision makers to integrate them into their management
systems.
Summary and Outlooks

In this study, a novel and integrative 3D Water Governance Model (3D-WGM)
was developed for demonstrating a complete local water governance system and
displaying representative dynamic water management processes. Throughout this
article, the model building tool was firstly introduced, and the model construc-
tion concept was explained. Subsequently, the functionalities of the model were
elaborated, and two 3D-WGMs developed for Kunming City and Bavaria were in
detail demonstrated for indicating the model’s practical application. At the end, the
strengths, application value and limits of 3D-WGMs were respectively discussed.
Regarding future work, several aspects could be considered to improve the func-
tionality and extend the applicability of the 3D-WGMs. In the first place, more
effective features could be integrated into the models, such as enabling vector-based
maps, allowing assigning different attributes to organizations or action step of water

management processes, and visualizing accountabilities among organizations. In the
second place, more example studies can be conducted beyond local water manage-
ment systems, such as at national and continental levels. In addition, with the facilita-
tion of 3D-WGMs, future studies can comparatively articulate the water governance
characteristics between Kunming City and Bavaria, and the 3D-WGMs could be
accordingly improved to optimize the water governance system in study areas.
1.1.2 Water Governance Structural Characteristics

of Kunming City and Bavaria and Their Comparison
1.1.2.1 Introduction
The remarkable growth in China’s economy and population over the past three
decades has caused tremendous degradation to the country’s water environment.
Since 1996, Chinese governments in different levels have begun to take actions
to treat polluted water bodies and enhance overall water governance performances,
those activities are closely embedded in the corresponding Five-Year-Plan and Major
Water Program [5], Ministry of Ecology and Environment of China n.d.).
In order to facilitate Chinese Major Water Program, Federal Ministry of Education
and Research of Germany (BMBF) and Ministry of Science and Technology of the
People’s Republic of China (MoST) has jointly initiated SINOWATER Project which
aims at promoting Good Water Governance, management and innovative technolo-
gies for improving the water quality of two Chinese prominent and heavily degraded
water bodies - Liao River Basin and Dianchi Lake Basin [9].
Designed as a contribution to water governance perspective of SINOWATER
Project, this study selects Kunming City, China and Bavaria, Germany as study areas
to systematically understand their respective water governance essential structural
characteristics. In this study, qualitative interview analytical approach will be the first
time parallel employed among water administrative systems in Kunming City and
Bavaria. The results of the study will provide in-depth elaborations and comparisons
of crucial water governance structural features from the study areas, which could
further bring inspirations for the optimization of both water governance systems.
1.1.2.2 Materials and Methods
Participants and Data Collection

The data collection process consists of two phases of qualitative interviews, which
both were conducted locally in our study areas – Kunming City and Bavaria.
The first phase of qualitive interviews was designed to collect data for system-
atically understanding the local water management fundamental structures and the
major responsibilities of the interviewed organizations. For both study areas, semi-
structured interview type was determined as suitable approach for the research, and
a purposeful snowball sampling strategy [30] was used to select most suitable inter-
viewees. During the interview procedure, pre-designed interview guide was always
employed for facilitating the entire process.
For Kunming City, the authors firstly established contacts with officers from
Kunming Academy of Environmental Sciences (KAES), after negotiations and
discussions, they have been fully informed with the purposes of the qualitative inter-
views and recommend 12 most representative water relevant organizations (Table 1.5)
for conducting interviews. In addition, official letters were transmitted from KAES
to those organizations for requesting cooperation. In the end, 7 individual interviews
and 9 focus group interviews were conducted within 12 official organizations in
2016, in total, 38 people participated the whole interview procedure. The durations
of individual interviews lasted around 1 h, and the lengths of focus group interviews
varied from 2 to 4 h.
As to Bavaria, the authors consulted several officers from Bavarian water admin-
istrative system, who are also members of SINOWATER Project, they recommended
4 representative organizations (Table 1.6) for executing qualitative interviews and
further helped to select suitable interviewees and arrange appointments. In the end, 5
Table 1.5 List of interviewed organizations in Kunming City

Kunming City interviewed organizations Kunming City interviewed organizations
(English name) (Chinese name)
Kunming Academy of Environmental 昆明市环境科学研究院
Sciences (KAES)
Kunming Dianchi Administration Bureau 昆明市滇池管理局
(KDAB)
Kunming Environmental Protection Bureau 昆明市环境保护局
(KEPB)
Kunming Appraisal Center for 昆明市环境工程评估中心
Environmental Engineering (KMACEE)
Kunming Dianchi Ecology Institute (KDEI) 昆明市滇池生态研究所
Kunming Water Resources Bureau (KWRB) 昆明市水务局
Kunming Dianchi Investment Co. Ltd (KDI) 昆明滇池投资有限责任公司总部
Kunming Dianchi Water Treatment Co. Ltd 昆明市滇池水务股份有限公司
(KDWT)
Kunming Dianchi Treatment and 昆明滇池湖泊治理开发有限公司
Development Co. Ltd (KDTD)
Kunming Dianchi Drainage Facilities 昆明排水设施管理有限责任公司
Management Company (KDDFMC)
Kunming Environmental Monitoring Center 昆明市环境监测中心
(KEMC)
Kunming Water Supply Group Co. Ltd 昆明自来水集团有限公司
(KWSG)
Table 1.6 List of interviewed organizations in Bavaria

Bavaria interviewed organizations (English Bavaria interviewed organizations (German
name) name)
Bavarian State Ministry of the Environment Bayerisches Staatsministerium
and Consumer Protection (StMUV) für Umwelt und Verbraucherschutz (StMUV)
Bavarian Environment Agency (LfU) Bayerisches Landesamt für Umwelt (LfU)
District Government of Oberbayern (ROB) Regierung von Oberbayern (ROB)
Regional State Offices for Water Management Wasserwirtschaftsamt München (WWA-M)
– Munich (WWA-M)
individual interviews and one focus group interview were conducted within 4 official
organizations in 2016, and in total 7 people participated the overall interview process.
The reason why number of interviewees is much fewer in Bavaria than Kunming City
is that much previous literature reviews have helped to identify significant amount
of fundamental interview questions. The durations of individual interviews varied
from 45 min to 1 h and the focus group interview lasted 1 h. For both study areas, all
participants’ information was anonymized. The authors took field notes and digitally
recorded the whole interview processes, afterwards all interviews were fully tran-
scribed in Chinese, English and German, depending on the languages which were
used during conversations.
Since understanding the characteristics of representative water management
processes within our study areas is one of our major research targets (see
Sect. 1.2.3.1.3), thus the second phase interviews were conducted both in Kunming
City and Bavaria. During this process, as listed in Table 1.2, 4 representative water
management processes were selected in each study area for in-depth investigation.
The authors firstly gathered available documents about those management processes,
then with the help of the previously contacted persons, corresponding experts and
officers who are indeed involved within those management processes were identi-
fied, and further contacts were made to request for conducting interviews. Finally,
adequate specific and more structured interviews were made with those experts
and officers, and each single detail of those selected management processes was
discussed and clarified. The lengths of those interviews varied from 1 to 2 h. The
information of those interviewees was consistently kept anonymous. During the inter-
views, the authors took field notes and organized them into detailed stepwise process
descriptions, which are demonstrated alike as the examples Figs. 1.6 and 1.7 have
shown.
Data Analysis
The authors read the transcripts and field notes numerous times, memos were written
about their general and specific impressions. Then the data was analyzed according to
the grounded theory approach, namely using constant comparative method to code it
and find patterns and potential theories throughout the overall coding procedure [30].
Following the guidelines, the first step of the analysis was open coding, where data
was examined line by line to identify the more detailed and specific characteristics
about the water governance structures of Kunming City and Bavaria. In this step,
authors got close to data and always allowed new ideas to emerge for formulating
codes, and codes were constantly compared. In the meanwhile, authors constantly
kept writing memos in order to record the emergence and transformation of various
codes. In the next step, method of focused coding was adopted to re-examine and sort
the initial codes (around 350 in total) in order to advance them into categories, which
were more abstract and could theoretically tell the common essence of the subsumed
codes. In the end, the most significant categories were selected for further elaboration
in the results and discussion section. Throughout the analysis path, qualitative data
software – Nvivo 12 was used to aid data analysis.
1.1.2.3 Results and Discussion
Water Governance Structural Characteristics of Kunming City

Extensive and Sophisticated Water Governance Constructions
As has been introduced already in Sect. 1.2.3.1.3, five official administrative hierar-
chies with their different types of governmental organizations play roles in managing
general water issues of Kunming City, where their basic functions on water gover-
nance have been shortly explained. Within those organizations, the interview study
found that city government has the most essential force in administrating and
managing concrete water management tasks, and the governmental information
portal has shown that Kunming City government consists of numerous bureaus,
offices and commissions, which jointly manage water resources (Kunming City
Government n.d., Fig. 1.8). Within those organizations, the interview analysis recog-
Kunming Environmental Protection Bureau

Kunming Dianchi Administration Bureau
Kunming Water Resources Bureau
Kunming Agricultural Bureau
Kunming Housing and Urban-Rural Development Bureau
Internal Bureaus
Kunming City Planning Bureau
and Commissions
Kunming Land Resources Bureau
Kunming Development and Reform Commission
Kunming State-owned Assets Supervision and Administration Commission
Kunming City Kunming Transportation Bureau
Government
Kunming Urban Management Bureau
Kunming Dianchi Lake Protection Commission
Special Kunming Dianchi Integrated Treatment Leading Group

Organizations Kunming Water and Soil Conservation Commission
Kunming Targets Achieving Management Office
Fig. 1.8 Water governance engaged internal organizations of Kunming City government
nized that KEPB, KDAB and KWRB could be regarded as the three most impor-
tant water related city bureaus, they are established at parallel administrative level
and function with different prime concerns. KEPB is mainly responsible for topics
about water quality assurance, water pollution treatment and reduction as well as
the corresponding legal and policy issues. KDAB is established as a bureau for
managing, monitoring, legally controlling and coordinating Dianchi Lake Basin
management and treatment issues. KWRB is then the bureau takes responsibility
for general water resource management in Kunming City, where hydraulic, water
supply, flood and drought risk issues are at focuses. Besides these three bureaus,
there are also other parallel ones, which are partially responsible for water issues,
for instances, Kunming Land Resource Bureau is responsible for partially managing
groundwater that has heat values; Kunming Agriculture Bureau targets at water
saving matters at agriculture sector; Kunming Transportation Bureau has rights to
manage related issues on waterways, such as legal controls, traffic safety assurance
and pollution emergency treatment, etc. Thus, we could relate that not only the central
government consists 9 dragons that jointly manage water resources [43], but also this
phenomenon can appear at local regions. One of the major reasons is that as in China,
top-down management principle guides the general administrative sections, where
local governmental constructions always have the tendency to imitate the settings
from central and higher hierarchies, in this way, the principle facilitates the task
breakdown, claims vertical leaderships and instructions. Evidences have also been
found during the interview analysis, for example, after the establishment of KDAB at
city level, the respective lower tier county governments also in succession established
their own Dianchi Administrative Officers in orders to better coordinate with city tier.
Of course, the internal constructions of lower tiers are not identical to higher tiers
governments, mild variations could exist. Thus, when looking back at the internal
constructions of Kunming City government, in comparison with the internal settings
of provincial and county tier governments, city government constructions are slightly
more specific, while more concrete tasks and management processes are assigned
at city level, and it results in more detailed divisions of related bureaus. In general,
when we see Kunming City government as whole, it is comprised of numerous inde-
pendent and interlinked bureaus, and ahead of those bureaus, the central office also
exists, which generally coordinates the working tasks of them.
Beneath city tier, there are three lower administrative levels existing in Kunming
City, which are counties, townships and villages, with significant decreasing degree of
involvement, each level’s administration participates water resource management in
its own practices. At these lower tiers, types and formations of their governments vary
parallel, these differences are generally due to the different formations of communi-
ties, density of population, lifestyles and economic strengths. Regarding county tier,
three different kinds of categories could be identified, which are 7 districts (more
urbanized with stronger economic strength), 7 counties (less urbanized with lower
economic strength) and 3 special districts (recently established for boosting develop-
ment paces by high technologies, tourisms and investment purposes), in comparison,
their governmental internal structures could vary at certain limited degrees, and in
general less sophisticated than city level. From the interview analysis, we found that
with respect to water resource management, county level is involved in some funda-
mental water administrations but with certain limitations. On one hand, county tier
is engaged in multiple water management tasks, such as monitoring water qualities
within their task ranges; conducting water legal controls; implementing central or
higher-level policies (such as Five-Year Plan, Major Water Program, and Water Ten
Items [4]) assigned projects, And providing services for water supply and wastew-
ater treatment, if required. On the other hand, due to the top-down administrative
principle, Kunming City government claims its leadership against county govern-
ments, thus, decisions and arrangements could be made that some fundamental water
management rights are held rather in hands of city government, for example, counties
could monitor quality of water bodies, only when city bureaus would not wish to
perform or have assigned to them. Further evidences were found during the interview
analysis, such as county tier does not have the rights to issue permissions for water
extraction; and county governments could not provide water supply and wastewater
treatment services if city government claims the responsibility already. In summary,
the engagement of county governments in water sector could be stated that they are
actively involved within wide aspects of water management tasks under the leader-
ship and instructions from Kunming city government. Regarding the township and
village levels, their degrees of involvement in water management are significantly
lower than county level, and in most circumstances, they are responsible for ensuring
the functioning of water conservancy facilities and fulfilling assigned duties from
county tier.
As local governments are executing concrete administrative tasks, the local party
committees besides are playing central roles in leading and coordinating their general
performances. Party committees are extensively established at each administrative
level and also govern strictly by the top-down principle, they form their own internal
structures and the personnel are interwoven with their corresponding government
settings. The analysis of the interviews found that at city level, multiple special orga-
nizations are formed together by Kunming City party committee and government,
such as Dianchi Lake Protection Commission, Kunming Water and Soil Conservation
Commission, and Dianchi Integrated Treatment Leading Group. Those organizations
are normally led by the top leaders of party committees and government, on one hand
they function to monitor the general performance of various management bureaus
at same or lower levels, and on the other hand they create the platform to set up
strategies, requirements and enhance communications among various water related
bureaus and departments.
Abundant Water Relevant Subordinate Authorities Scatteredly Exist

Among general Chinese administrative systems, subordinate authorities exist as
very important governmental organizations that are widely established at each level
of government. Regarding water sector, those subordinate authorities are normally
responsible for conducting concrete technical and professional water tasks on behalf
of governmental bureaus, which are normally established attached to them. As with
Kunming City, water related subordinate authorities are also established among
different city bureaus, while the three most water relevant bureaus, namely KEPB,
KDAB and KWRB, manage many important ones. In this section, we will focus
on discussing the interviewed subordinate authorities that are in the field of water
research, development and monitoring, and we will use these examples to demon-
strate how those water related subordinate authorities function and coordinate with
each other.
Interview with Kunming Academy of Environmental Sciences (KAES) tells that
firstly, there are two levels of Academy of Environmental Sciences (AES) existing
in Yunnan Province, which is the single Yunnan Provincial Academy of Environ-
mental Sciences (YAES), and multiple city level AESs established nearly for each city
within Yunnan Province. For YAES, it is a subordinate authority of Yunnan Provin-
cial Environmental Protection Department, while KAES is attached to KEPB, and all
other city level AESs are also managed by their corresponding city Environmental
Protection Bureaus (EPB). As with KAES, its intrinsic functions are conducting
water related research tasks, such as investigating ecological restorations; pollution
carrying capacity of specific water bodies; and modeling hydrological situations. On
the other hand, due to the governmental characteristic, its primary responsibilities
also include providing professional services and consultations to city government for
facilitating management purposes, for example initiating and revising different kinds
of planning. Thus, comments have been made by the interviewees that KAES is more
functioning as an applied research institute, where limited fundamental research work
takes place. Another interesting characteristic of KAES indicates that in comparison
with other AESs from parallel cities of Yunnan Province, KAES is much well devel-
oped and organized than others, which is mainly due to the importance of Dianchi
Lake, and in result, KAES has received much more attention and duties regarding
Dianchi Lake treatment issues.
The interview with another important city level subordinate authority - Kunming
Environmental Monitoring Center (KEMC) revels that firstly, Environmental Moni-
toring Centers (EMC) are established at three levels, namely province, city and
county, and their primary responsibilities are conducting water quality related routine
and specific monitoring tasks. For all the different EMCs, they are always estab-
lished as subordinate authorities under their corresponding Environmental Protec-
tion Departments/Bureaus. For KEMC, it naturally conducts and coordinates the
general water quality monitoring issues in Kunming City, and in specific, it executes
routine water quality monitoring tasks for around 170 measuring points within city
territory, where they perform the standard methods that are required by national stan-
dards and requirements. With professional equipment and facilities, KEMC could
monthly produce monitored water environmental data, nevertheless, it is not able to
fully monitor all the 170 required monitoring points, thus the numerous county level
EMCs should act and help to fulfill the monitoring tasks if it is requested. In the
end, county EMCs need transfer their monitored data to KEMC for comprehensive
processing. With all the water quality monitored results, KEMC monthly reports
and transfers the necessary data to Yunnan Provincial EMC for further producing
reports to national government and general publics. Thus, here we could find that
EMCs at different tiers have their own connections and cooperative mechanism, in
fact, EMCs at higher level provide consultations, point out mistakes or areas for
improvement, request and delegate tasks to lower EMCs, nevertheless, they do not
hold the direct leadership to the lower ones, while this power belongs to the corre-
sponding management bureaus. Some further phenomena have been discovered from
the interviews at KEMC, for example, interviewees expressed that limited financial
and personnel resources have caused great burdens to KEMC’s over-saturated routine
tasks; automatic monitoring points exist with different management patterns; water
biological monitoring has not been maturely developed and only limited parameters
are currently been monitored; online released water environmental data is released
in very simple formats; and water quantity related monitoring tasks are performed
by other independent subordinate authorities.
In summary, across governmental tiers, subordinate authorities widely exist
and perform their required tasks, cooperative mechanisms exist among them for
accomplishing miscellaneous and concrete water management tasks.
Water Administrative Functions Spread Among Governance Constructions

Water administrative functions are understood as the water relevant official authori-
ties that hold the rights of explaining water related laws, policies and regulations and
making decisions as well as processing water management issues, such as authorizing
permissions, making punishment decisions, and rejecting water using applications.
Water administrative functions could be thus regarded as important contribution
for implementing water rights. In order to execute those administrative functions,
they should be designed and arranged within their corresponding water governance
constructions, and how those functions are performed is crucial for their effective
implementations. Our interview study has found some essential characteristics of
water administrative functions in Kunming City and will be introduced in this section.
In general, multiple interviewees from KEPB, KWRB and KDAB have empha-
sized that different administrative functions are spread among different water related
bureaus across governmental tiers. Representative examples could be illustrated here
that in the first place, there are water law and regulation related departments estab-
lished in each water related bureau from city and county tier government, and in prin-
ciple, they have the rights to design some essential local water regulations and policies
at the initial stage, then they should be further revised by higher authorities, thus,
those departments could work individually as well as cooperating to initiate various
policies and regulations, depending on the concrete tasks. The second example is
about issuing various water related permissions, which are regarded as essential
approaches to reasonably and sustainably regulate anthropogenic activities that could
cause adverse effect on water environment. three kinds of water related permissions
are regarded significant in Kunming City, which are wastewater discharge permis-
sions, waste discharge permissions and water drawing permissions. For wastewater
discharge permissions, they are designed to verify whether the wastewater discharge
activities are in accordance with the requirements to connect with existing drainage
facilities. The interview found that for 5 of the urbanized counties, the permissions
are together assessed and issued by KDAB, nevertheless, for other districts and
counties, these permissions are then not granted systematically, while some counties
issue them by other bureaus within their own governmental constructions, and some
counties even do not issues them but just combine with other different permissions,
for example city planning related permissions. Regarding waste discharge permis-
sions, they indicate how much amount of different pollutants, including wastewater
are granted to be discharged by specific entities. Depending on the types of waste
dischargers, the permission issuing tasks are divided among city and county tier
EPBs. In addition, the water drawing permissions are designed to ensure the reason-
able water extraction and utilization. Regarding these permissions, county govern-
ments have no rights to issues them, while this responsibility is shared by the KWRB
and provincial WRB, depending on the dimensions of the water extraction activi-
ties. The third example regarding scattered water administrative functions is about
executing water legal controls, which are concerned as imperative ways to fight
against illegal activities that bring harms to general water environment. In Kunming
City, the task forces for water legal controls are distributed among various manage-
ment bureaus, mainly include KEPB, KDAB, KWRB and their corresponding lower
county tier bureaus. At city level, each task force from the 3 mentioned bureaus has
its own focused task ranges to conduct water legal controls, for KEPB, it is more
responsible for water pollution related incidents, which happen in urbanized regions,
as with KWRB, its task force aims at fighting against activities that cause harm to
water resource distribution, consumption and allocations, regarding KDAB, its task
force has rights to handle comprehensive water legal issues within Dianchi Lake
Basin. In fact, besides their independent working patterns, those task forces have
their own interlinked mechanism that at necessity, they need to cooperate for inves-
tigating and processing more complicated water legal cases. As with county tiers,
they hold their major responsibilities to process legal issues independently when the
water cases are less significant and more rurally arisen, in addition, they also need
to highly cooperate with task forces from city tier to provide local consultation and
necessary assistances. Thus, water legal cases are normally resolved by single bureau
or joint task forces from water bureaus across management tiers.
Besides the above more in detail mentioned water administrative functions, further
examples have been found from the interview analysis and express that those func-
tions are widely performed by joint administrative efforts: KWRB and KEPB both
conduct studies on pollution carrying capacities of water bodies for guiding adminis-
trative decisions on pollution controls; KWRB and Kunming Land Resources Bureau
both manage groundwater by different categories; Kunming Industry and Informa-
tion Technology Bureau and KWRB both have rights to manage small scaled hydro-
power plants; various bureaus at different governmental tiers monitor and supervise
the wastewater treatment plants (WWTP) in Kunming City urbanized regions; and
with the example which has been mentioned in the above section that water moni-
toring tasks are executed and divided by numerous related subordinate authorities at
various governmental tiers.
Highly Integrated Core Water Service Pattern for Kunming Urbanized

Regions
In Kunming City, the two water core service tasks, namely water supply and wastew-
ater treatment are provided differently between urbanized and rural regions. In
urbanized regions, where five economically better developed counties sit, their core
water service tasks are centrally managed and served by large scale city controlled
and owned companies. More concretely, at current situation Kunming Dianchi
Water Treatment Co. Ltd (KDWT) manages 21 WWTPs that are distributed within
Kunming City urbanized regions, and their treatment capacity can satisfy 90% popu-
lation that settle there; on the other hand, Kunming Water Supply Group Co. Ltd
(KWSG) integrally provides water supply service by its 13 subordinate Water Supply
Enterprises (WSE), and its supply capacity has exceeded the overall demand from
the urbanized regions. Since the water service providing companies have very strong
political and governmental characteristics, they fully operate under the leadership
of city government and city party committee in means of receving supports, super-
visions and instructions. In fact, special commission, Kunming State-owned Assets
Supervision and Administration Commission (KSASAC), has been long established
to monitor the governmental controlled and managed companies, it aims at affecting
them by appointing important personnel, modifying corporate structures, planning
development directions, etc. Thus, in brief, core water services of Kunming City
urbanized regions are highly controlled by city government.
As with rural regions, although this study has not made interviews at counties
and lower levels in Kunming City, some interviewees have mentioned about the
general conditions of their water core services, which could be summarized here
after interview analysis. Firstly, core water services are not consistently managed
and planned in rural regions, the management patterns of WSEs and WWTPs could
vary, such as managed directly by local governmental bureaus, and private or semi-
private firms. Secondly, the scales and technology competence of water service firms
are smaller and less advanced in rural regions, especially in rural townships and
villages, it could happen that only very basic facilities are installed for water services
purposes.
Existing Water Management Processes Have Potentials for Further

Refinement
As has been introduced in Sect. 1.2.3.1.3, four representative water management
processes have been analyzed, although with these few study examples, some very
phenomenon process related characteristics could be identified and will be expressed
in this section.
We have found that all these four studied management processes did not have
previous ready-made comprehensive flow charts, thus it has required us to talk to
different involved officers to clarify stepwise each single detail of studied water
management process. After analyzing these collected process data, we firstly iden-
tified that fractional administrative functions of various bureaus could affect the
sequential logic of different water management process, for example, within the
process of WWTPs monitoring, continuous process has been split and interrupted
due to diverse management scopes of different authorities, thus multiple indepen-

dent small processes together can just tell the full mechanism of WWTPs monitoring.
Secondly, it has been recognized that flaws within one specific water management
process could be complemented by other similar or relevant process(es), the example
goes that when we parallel investigated through the wastewater discharge and waste
discharge permissions issuing processes, not one single process could entirely tackle
the issue of granting wastewater discharge permissions, nevertheless, some flaws
from both of the two related processes could be considerably complemented by
each other. In addition, it has also been noted that within each studied management
process, one or more executive steps of them were not thoughtfully designed or
elaborated, while those steps were either not well defined by its description of step
content or their logical sequences have not been clearly determined. Finally, from the
example of ecological compensation implementation process, we found that when
with primary governmental attentions, its action steps tend to be well designed in
terms of logic and depth of details.
With those identified water management process characteristics, we could at least
view that those required tasks have been executed in varied degrees of consum-
mations, in the meanwhile, multiple potentials for further refinement have been
recognized through their analysis.
Dianchi Lake Witnessed the Continuous Evolvement of Governmental

Constructions
Referring to water resource management in Kunming City, the Dianchi Lake (Basin)
has always played a very significant role in affecting the city’s actions and policies
for governing its water resource in general. Along history, Dianchi Lake has been
important for the economy, tourism development as well as many aspects of residents’
livelihood of Kunming City, and its severe pollution problem has attracted enormous
governmental attentions and induced abundant treatment actions since the beginning
of pollution (around 1986) till today. In fact, Dianchi Lake has witnessed some
essential evolvement of governmental constructions, which will be introduced in
this section.
Firstly, in 2002, KDAB was established in order to integrally resolve the severe
pollution problem of Dianchi Lake, at that time, it was a very vanguard act to create
a city bureau for managing a lake within the range of a city territory. Till today,
KDAB is one of the most important core governmental bureaus of Kunming City,
which plays significant roles in many aspects, including constantly coordinating with
other traditional established bureaus. Secondly, for the better pollution treatment
of Dianchi Lake, Dianchi Lake Protection Commission and the Dianchi Integrated
Treatment Leading Group have been successively established, both are made up of
city governmental and party committee high level leaders. With these two special
commissions, the speed and coordinative efficiencies for Dianchi Lake pollution
treatment has been greatly advanced. Thirdly, with the massive national policy River
Master Program [7] been widely implemented all over China, Kunming City also
created a special office named Dianchi Lake Basin River Master Program Office,
which aims at thoroughly implementing River Master Program for Dianchi Lake
Basin. In addition, as also mentioned above that due to the continuous treatment
demands for Dianchi Lake, KAES has received amount of treatment and remediation
related tasks along the historical stages, till today, the importance of Dianchi Lake
has greatly influenced the internal constructions of KAES that more employees have
been recruited, the department dealing with lake studies has internally become the
most important one, etc.
Water Governance Structural Characteristics of Bavaria
Systematically Designed Water Governance Constructions
As has been shown in Sect. 1.2.3.1.3 that the water governance system of Bavaria
generally consists of 4 governmental levels and 2 types of technical oriented orga-
nizations, namely LfU and WWAs (Figs. 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8, 1.9),
and their essential functions have been also briefly stated above. In this section,
further fundamental governance structural characteristics will be demonstrated after
interview analysis.
Beginning with StMUV, as the highest state authority for water resource manage-
ment in Bavaria, it governs and influences water administration at strategic and
diplomatic level. Internally, StMUV is comprised of multiple departments, and the
Department 5, namely Department of Water Resource Management and Soil Protec-
tion is established with 10 working units that tackle water governance from different
Bavarian State Ministry of the

Bavarian Nature
Protection
Environment and Consumer
Foundation Protection (StMUV)
Highest Management Level
Academy for Nature Bavarian Agency Bavarian Bayerischer

Berchtesgaden
and Landscape for Public Health Environment Wald National
National Park
Conservation and Food Security Agency (LfU) Park
7 District Governments
Executive and monitoring authorities
within the areas of nature
conservation, waste management,
pollution control, water resource
management, veterinary and
consumer protection
State Owned
State Power
96 County and County-Free City 17 Regional State
Special Waste Governments Offices for Water
Plants
Landfills Management (WWA)
Executive authorities within the fields of
nature protection, water and waste
management, pollution control and
contaminated sites management
2,031 Community Governments

Responsible for water supply,
wastewater treatment and managing
and protecting 3rd order water courses
Fig. 1.9 Brief illustration of highlighted Bavarian water administrative organizations among
general environmental protection governance system ( modified by authors, StMUV n.d.)
concrete water aspects, such as water laws, national and international river basins,
monitoring issues, water supply, and wastewater treatment. With this department
formation, the StMUV is responsible for several major concrete water governance
tasks. Firstly, it interprets and implements European and federal water legislations
at state level, in the meanwhile, it also initiates and releases state water laws, regula-
tions, policies and makes important administrative decisions for whole Bavaria. Thus,
in principle, StMUV conceptually forms central strategies regarding water manage-
ment in better and more holistic concepts. Secondly, since important water bodies (1st
and 2nd order water bodies (LfU n.d.d)) are managed at state level, StMUV is then
directly in charge of their development strategies, including generally regulating and
supervising hydraulic constructions as well as initiating water body protection plans.
In addition, StMUV oversees the management conditions of water supply, wastew-
ater treatment within whole state and provides financial support for those enterprises
on basis of necessity. Furthermore, StMUV actively involves within various national
and international river basin commissions and maintains steady relationships with
external and foreign bodies regarding sharing water resource management duties,
responsibilities and rights.
Beneath ministry level, 7 district governments act as upper public water admin-
istrative authorities in Bavaria. Internally, each district government is comprised of
multiple working branches, and the water administrative sector at district level is,
for each district, identically established as working unit “Water Resource Manage-
ment” under the working branch “Environment, Health and Consumer Protection”.
In general, water administration at district level is responsible for executing, autho-
rizing, coordinating and monitoring various water issues that connect higher and
lower tiers. More specifically, district water authorities at first directly supervise and
monitor the activities of WWAs that are situated in the same district territories, they
have the rights to apply funding from ministries for their WWAs and pre-examine
important projects and plans initiated from them. Secondly, district water authori-
ties monitor county governments at lower tiers for ensuring their water rights have
been appropriately performed. Thirdly, they also have rights to fulfill administra-
tive functions, when concerning more significant and cross-regional issues, at these
conditions, district governments play roles in providing coordination and finding
balanced resolutions. In addition, district water authorities should execute various
orders and requests from higher ministries.
Under district level, 71 county and 25 county-free city governments form admin-
istrative nets for water governance at county tier. Since each county enjoys its power
of self-administration, it has freedom to design its own suited governmental construc-
tions, and results in internal department settings in various styles. Nevertheless, water
rights unit is always built within each county government (normally under environ-
mental related department) for fulfilling its responsibility of processing water related
laws, statutes and legal matters, more details have been already introduced in the
Sect. 1.2.3.1.3.
Ranked as the smallest administrative divisions, 2,031 community govern-
ments are formed throughout Bavaria. Since communities enjoy much entitled
sovereign rights and administrate more independently than counties, their govern-
mental constructions also differ according to local management conditions. Usually,
different types of unions and firms are locally formed for providing communities
water supply and wastewater treatment services, and practical working units are
normally formed within community governments for the purpose of managing and
protecting 3rd order water courses (LfU n.d.d).
By knowing in depth about the water governance construction in Bavaria and in
combination with interview analysis, two prominent structural characteristics have
been found. In the first place, although water management authorities in Bavaria
are geographically distributed among several governmental tiers, they are usually
regarded collectively as within one water governance system, where their hierarchies
and functions have been officially illustrated and explained (StMUV n.d., Fig. 1.9).
On the other hand, Human Resource Management for water administration in Bavaria
is regarded as one independent system with its own rules on personnel mobility, it
keeps on concerning personnel statistics and executing management measures for
bringing personnel through diverse positions within Bavarian water administrative
system. The second discovered water governance structure feature tells that the water
governance style is uniform throughout Bavaria, it could be reveled from the facts that
water rights units are widely and equally established for parallel local governments,
although their respective governmental settings could vary to certain degrees, in
addition, standard management measures and processes have been created, which
are identically implemented at local conditions. Moreover, WWAs are distributed
in the entire state to ensure each local region could receive same quality of water
services.
Formation of Integrated Technical and Scientific Oriented Water Institutions

In Sect. 1.2.3.1.3, the functions of WWAs and LfU, namely Bavarian technical and
scientific oriented water institutions, have been briefly stated. In this section, their
organizational and more management patterns will be further illustrated.
Starting with WWAs, they exist with distinctive Bavarian characteristics, while
most of other states in Germany do not establish statewide official institutions that
only focus on conducting water management technical tasks. In total, 17 WWAs
are evenly distributed in Bavaria, which guarantees that each county or county-free
city could receive their equal consultative water management services, in addition,
the distribution of WWAs also ensure fundamental water tasks could be parallel
and locally executed. All WWAs are similarly formed in matrix styles, this special
type of internal constructions enables that on one hand, each county or county-free
city could have its own contact persons in its corresponding WWA, since the depart-
ments of WWAs are horizontally installed for providing service to one more multiple
counties. Under those departments, working units are formed to conduct different
categories of water tasks, namely water quality, quantity related and biological moni-
toring issues; water supply, groundwater and soil protection aspects; wastewater
treatment as well as hydraulic constructions and water body development. On the
other hand, based on those categorized tasks, vertical technical branches are set
up, which constantly provide internal professional consultations to those working
units at necessity. Besides resolving technical water tasks, WWAs are also in close
connection and communication with diverse relevant social and public entities, such
as Isar-Allianz (Isar-Allianz n.d.), Bund für Umwelt und Naturschutz Deutschland
(BUND n.d.), state and local fishery associations, etc. WWAs on one hand receive
complains, ideas and professional advices from those public entities, and on the other
hand, WWAs also inform them in time about the administrative decisions, which are
significant to their interest. In addition, WWAs are in first line having communication
with private citizens, when citizen address their complains, doubts and questions to
them and they should accordingly provide feedbacks to those citizens in a timely
manner.
On the other side, LfU is established as subordinate authority to StMUV and
stands as the integrated and highest water scientific institute for whole Bavaria, and
being as the only official environmental agency, no further similar ones are formed
at lower level governments. Internally, LfU consists of 10 departments tackling all
environmental aspects, and among them, 5 departments are fully or partially engaged
in numerous concrete water issues, ranging from water services, laboratory analysis
and evaluations to research and development. Functioning as knowledge hub for
water resource management in Bavaria, LfU firstly provides scientific consultations
to StMUV prior to develop water development goals and strategies; secondly, LfU
ensures the basis of WWAs’ technical performances by supporting them with guide-
lines, practical measures and instructions when confronting technical difficulties;
in addition, LfU is also available to water rights units in county governments for
assisting to make proper administrative decisions; moreover, LfU centrally obtains
and processes water data and further provides to publics for their own utilizing
purposes.
With in-depth knowing about Bavarian water technical and scientific institutions,
their establishment indicates the characteristic that without complicated institutional
arrangement, water scientific and technical tasks are centrally executed by two types
of institutions, namely WWAs and LfU, they broadly communicate with each other,
local governments at different tiers as well as social entities to resolve practical water
management issues.
Decentralized Core Water Service System

In Bavaria, there are currently around 2,300 WSEs, 3,250 water protection zones,
9,000 groundwater abstraction sites, 2,640 public WWTPs and 100,000 small scaled
WWTPs distributed throughout the entire state territory [40]. Endowed with high
power of self-administration, municipalities in Bavaria enjoy the sovereign rights of
managing their own water supply and wastewater treatment services. In principle, it
has been kept that core water services in Bavaria are decentrally and locally provided,
since multiple advantages are believed to be gained by adopting this type of manage-
ment pattern. In the first place, WSEs could be formed to adapt local environmental
and socio-economic conditions, thus those enterprises, usually organized at small
to medium sizes, could be more flexible to optimize themselves for fulfilling local
requirements. Secondly, with local services, water is supplied with short distances
thus could be delivered fresh to consumers, on the other hand, wastewater could also
be swiftly transferred to WWTPs. In addition, source water could be better protected

and easier to be traced, regarding WWTPs, risks could be reduced when confronting
incidents.
Depending on local conditions, namely types and sizes of municipalities, popu-
lation as well as industrial and residential settlements, water enterprises are orga-
nized in different ways. For larger cities, public firms are often established to handle
water service tasks, those firms could be fully operated by local governments or
managed with mixed type of business modes; in other conditions, those tasks could
be undertaken by private companies, which should operate under the supervision
of their corresponding governments. Regarding smaller sized communities, special
purposed associations are usually formed to provide water services for single or
multiple adjacent communities, where cooperation is recognized at necessity among
them.
In order to enhance the operation performance of those abundant and scattered
water service enterprises, special “neighborhood” program was officially launched
[40], which provides professional communicating and training platforms for water
enterprise employees from neighbor communities. Under this program, routine meet-
ings are held to covey technical knowledge, resolve common difficulties and further
train their personnel. Thus, performance qualities of the overall water enterprises
could be considerably maintained even without great amount of administrative
efforts.
Maturely Designed Water Management Processes

Alike the water management process study for Kunming City, we have also inves-
tigated 4 representative processes (see Sect. 1.2.3.1.3) for Bavaria, the analysis has
identified several phenomenon characteristics and will be illustrated in this section.
In the first place, we have learned that numerous water management processes,
including the 4 studied ones, have been previously designed within Bavarian water
governance system, those processes are illustrated in form of 2D flow charts, which
not only stepwise demonstrate the process sequences, but also identify each action
step’s responsible authority. Several interviewees in our study have expressed and
believed that those standard designed process flow charts could provide solid guid-
ance during practical implementations, and managers could quickly and clearly
monitor the performance quality of those processes at operation. Secondly, the
representative studies recognized that the action steps of each management process
are usually in detail described, especially for those on-site activities, for example,
working aids are concretely and in detail formulated by LfU for those Private Water
Management Experts (PSW), who are engaged in officially authorized practical tasks,
such as on-site monitoring WWTPs, and conducting laboratory evaluations. Besides,
when the management processes are relevant to general publics, the corresponding
information is usually released online or in other forms, which could be reached by
public stakeholders for their preparation and better engagement, for example, leaflets
are produced by LfU for guiding social entities and firms to apply for wastewater
discharge permissions. Thirdly, it has been further noted that executive steps within
water management processes are usually reflections of relevant laws and regulations.
On one hand, the general goals, namely keeping water bodies in good ecological
and chemical status, are often considered and reflected by concerned management
processes, for example, when WWAs are evaluating the wastewater discharge appli-
cations from wastewater discharges, they heavily consider how those activities could
adversely affect the water bodies regarding their current and target natural condi-
tions; further example from the process of handling accidents with water hazardous
substances require that the identified polluters should take actions to remedy pollu-
tions for returning the affected water bodies as close to their previous natural statues.
One the other hand, there are specific laws and regulations already existing, such as
Bavarian Administrative Procedures Act (BayVwVfG), and Administrative Proce-
dure for the Implementation of Water Law (VVWas), which specify the designed
water management processes should adequately reflect their requirements. Lastly,
our study found that continuous discussions and debates are held to optimize the
outdated or controversial executive steps, for example, there are discussions regarding
whether it is appropriate to inform the WWTPs’ operators shortly prior to their on-site
monitoring practice.
Challenges of Bavarian Water Governance Requires Long Term Efforts

In this study, besides the effective water management measures were broadly iden-
tified, we have also learned multiple prominent challenges that Bavarian water
governance system is confronting.
Although much effort has been devoted to advancing and optimizing its water
governance construction, several aspects, such as non-point source pollutions,
groundwater contamination and treatment, micropollutants and new water hazardous
substances in water bodies, reclamation of energy and materials, and climate change
induced issues are continuously bringing challenges to Bavarian water management
system. Since those aspects could not be resolved at once and always evolve at
different historical stages, official authorities thus should always invest to develop
and equip refined professional knowledge and technical measures to bring better
answers and solutions.
Challenges also exist when there is necessity to negotiate with private entities
for advancing water protection and development measures. Very typical example
was given by the discussion with WWAs that in order to further implement natural
restoration plans, considerable lands should be obtained and purchased from private
owners, during this process, general doubts, objections as well as increasing prices
of real estate are very typical obstacles that slow down those management plans.
In Bavaria, there are long-lasting conflicts existing between water and agriculture
sections. One on hand, increasing and intensified agricultural activities constantly
bring considerable amount of contaminations to groundwater and surface water,
although efforts from water administrative authorities were devoted to intervening,
limited success was achieved. The reason lies in that agriculture is regarded as crucial
industry in Bavaria, their social unions together with administrative authorities thus
possess very strong political voices, various special regulations were formulated in
favor of their economic growth. The Bavarian water authorities consider that the
breakthrough of effectively controlling pollution from agriculture sector not only
requires stronger water administrative interference, but it also counts on the self-
awareness from agriculture governance sections. On the other hand, in order to
maintain reliable biological monitoring performance in Bavaria, fish data is very
essential to the reach of water sectors, nevertheless, significant fish data is primarily
held in hands of agriculture authorities, additional efforts are normally required to
obtain those data by water institutions.
Furthermore, the recent personnel reform at Bavarian administrative system has
greatly reduced the number of civil servants at water sector, which resulted in difficul-
ties to reassign tasks on limited personnel for maintaining reliable water governance
performances.
Comparison of Water Governance Structural Characteristics Between

Kunming City and Bavaria
Essential water governance structural characteristics of Kunming City had Bavaria
have been in detail illustrated in sections above. In this section, their fundamental
features will be further summarized and compared in Table 1.7. Under different
political and administrative systems, Kunming City and Bavaria also govern water
resources differently in terms of management philosophies as well as concrete
management measures. Nevertheless, it could not be claimed that any local water
governance system is fully well established, which does not require further opti-
mizations. Therefore, from our study, those comparisons between Kunming City
and Bavaria could be used to bring inspirations for their further respective water
governance optimizations.
Table 1.7 Essential water governance structural characteristics comparison between Kunming City
and Bavaria
Comparison keywords Kunming city Bavaria
General governance Top-down governance principle The subsidiarity principle
principle prevails, which indicates central prevails, which indicates
and higher-level governments governance tasks should be
generally lead administrative distributed with all their rights
affairs of lower ones and obligations at the lowest
possible efficient level, thus it
ensures local
self-administration power
Internal structures of local Internal structures of local Internal structures of local
parallel governments parallel governments are parallel governments vary with
constructed with great larger differences (besides
similarity but could differ at district level governments) due
varying degrees due to defined to self-administration rights
types and economic strengths
(continued)

Alikeness of cross-tier Lower tier governments Local governments design their
governmental constructions significantly imitate the internal own internal structures, no
structures of higher tiers specific cross-tier imitation
patterns have been found
Water authority at each local Multiple water related bureaus Only one water
government exist at each local government department/rights unit is
and jointly administrate formed at each local
miscellaneous water issues government for administrating
water issues
Distribution of water Water administrative functions Water administrative functions
administrative functions are distributed among numerous are separately held in hands of
water related governmental water rights units from
departments/bureaus across corresponding local
hierarchies governments
Political influence on water Party committees set strategies Bavarian water governance
administration for local water development and system appreciates professional
play central roles in leading and and technical administrative
coordinating significant water foundation, which accepts
governance issues limited and necessary influence
from political field
Water technical and Numerous water technical and Two types of water technical
scientific authorities scientific authorities are and scientific institutions
organized as subordinated (WWAs and LfU) support and
authorities attached to various provide services and
governmental bureaus across consultations to cross-tier local
administrative tiers, which governments, and together
independently or jointly execute execute integral technical and
technical and scientific water scientific water tasks
tasks
Core water service patterns Water resource is centrally Water resource is in principle
supplied, treated in urbanized locally, namely within the reach
regions and less systematically of respective municipalities,
organized in rural regions utilized, treated and protected
Water service enterprises City owned state companies Ensured with power to locally
centrally provide water service provide their own water
for urbanized regions, while services, municipalities have
governmental controlled established abundant
enterprises at lower tiers self-controlled small to middle
provide services for rural sized water service enterprises
regions, which could be
organized in different business
forms
(continued)

Pre-designed water Significant water management Significant water management
management processes processes are less processes are systematically
systematically designed in pre-designed in flow charts,
various forms of charts which in detail indicate action
steps and each step’s
responsible authority
Correlative water Correlative water management Water management processes
management processes processes generally exist, which are usually designed more
complement each other and comprehensively for resolving
could also result in task independent water tasks
overlapping
Public participation Public participation is Public participation is well
adequately recognized, while recognized and treated by
some water related information Bavarian water administration
is released to public in less
concrete forms
1.1.3 Conclusion
In this study, qualitative interviews were conducted among water governance internal
systems of Kunming City and Bavaria, those interviews were aimed at in-depth
learning about their respective water governance constructions, concrete manage-
ment duties, performance strengths as well as confronting challenges. By adopting
grounded theory analytical methodology, their most essential water governance char-
acteristics were in detail demonstrated and discussed, in addition, fundamental water
governance features of Kunming City and Bavaria were comprehensively compared.
References
1. Ahmady GA, Mehrpour M, Nikooravesh A (2016) Organizational Structure. Procedia Soc

Behav Sci 230:455–462
2. Bayerisches Landesamt für Statistik (2017) Bevölkerungsstand. https://www.statistik.bayern.
de/statistik/bevoelkerungsstand/. Accessed 27 July 2018
3. BUND (n.d.) Wir über uns. https://www.bund.net/ueber-uns/. Accessed 24 June 2019
4. China Water Risk (2015) New ‘Water Ten Plan’ to Safeguard China’s Waters. http://www.
chinawaterrisk.org/notices/new-water-ten-plan-to-safeguard-chinas-waters/. Accessed 24 June
2019
5. China Water Risk (2016) China’s 13th Five-Year Plan for Ecological & Environmental
Protection (2016–2020). http://www.chinawaterrisk.org/notices/chinas-13th-five-year-plan-
2016-2020/. Accessed 24 June 2019
6. Correia FN (2003) Institutional water issues in Europe. World Water Congress 11
7. Dai L (2015) A new perspective on water governance in China: Captain of the River. Water
International 40:87–99
8. Das Gupta A, Singh Babel M, Albert X, Mark O (2005) Water sector of bangladesh in the context
of integrated water resources management: a review. Int J Water Resour Dev 21:385–398
9. Dohmann M, et al (2016) German contributions to the Major Water Program in China:
“Innovation Cluster–Major Water”. Environmental Earth Sciences 75
10. Evans JW, et al (2006) Environment matters at the World Bank: 2006 annual review (English),
Washington, DC
11. Grambow M (2008) Wassermanagement: Integriertes Wasser-Ressourcenmanagement von der
Theorie zur Umsetzung, 1st edn. Friedr. Vieweg & Sohn Verlag, Wiesbaden
12. Grambow M (ed) (2013) Nachhaltige Wasserbewirtschaftung: Konzept und Umsetzung eines
vernünftigen Umgangs mit dem Gemeingut Wasser. Vieweg+Teubner Verlag, Wiesbaden
13. Grambow M, Disse M, Chen K, Patalong H, Uhl H-D (2019) Sustainable Water Resource
Management in China – Reflections from a Comparative Governance Perspective. In: Köster
S, Reese M, Zuo J’e (eds) Urban Water Management for Future Cities, vol 12. Springer
International Publishing, Cham, pp 283–301. doi: https://doi.org/10.1007/978-3-030-01488-
9_13
14. Hassenforder E, Barone S (2018) Institutional arrangements for water governance. Int J Water
Resour Dev 21:1–25
15. He J, Xu X, Yang Y, Wu X, Wang L, Li S, Zhou H (2015) Problems and effects of comprehensive
management of water environment in Lake Dianchi. J Lake Sci 27(2):195–199
16. Isar-Allianz (n.d.) Grundsatzpapier, Ziele und Organisation der Isar-Allianz. http://www.isar-
allianz.de/aufgaben.htm. Accessed 24 June 2019
17. Jin X, Wang L, He L (2006) Lake Dianchi. Experience and Lessons Learned Brief:159–178
18. Kilgariff E, Fernando R (2005) The GeForce 6 series GPU architecture. In: Fujii J (ed) ACM
SIGGRAPH 2005 Courses on - SIGGRAPH ‘05. ACM Press, New York, USA, p 29
19. Koohborfardhaghighi S, Altmann J (2017) How organizational structure affects organizational
learning. J Integr Des Process Sci 21:43–60
20. Kunming City Government (n.d.) Kunming City Government Official Internet Portal. http://
www.km.gov.cn/. Accessed 24 June 2019
21. LfU (n.d.d) Allgemeine Daten zur Wasserwirtschaft. https://www.lfu.bayern.de/wasser/allgem
eine_daten_wasserwirtschaft/index.htm. Accessed 24 June 2019
22. LfU (n.d.a) Amtliche Festsetzung von Überschwemmungsgebieten. https://www.lfu.bayern.
de/wasser/hw_ue_gebiete/amtliche_festsetzung/index.htm. Accessed 27 July 2018
23. LfU (n.d.b) Das weiß-blaue Klima. https://www.lfu.bayern.de/wasser/klima_wandel/bayern/
index.htm. Accessed 27 July 2018
24. LfU (n.d.c) Mittelwerte des Gebietsniederschlags. https://www.lfu.bayern.de/wasser/klima_
wandel/bayern/niederschlag/index.htm. Accessed 27 July 2018
25. LfU (2010) Wasserschutzgebiete für die öffentliche Wasserversorgung
26. LfU (2017) Flüsse, Seen und Grundwasser in Bayern - Gewässer auf dem Weg zum guten
Zustand
27. Liu J, Li J, Li L, Wang Z, Chen S (2017) Comprehensive analysis on spatial pattern of water
resources shortage in Kunming City. J Yangtze River Sci Res Inst 34:6–10
28. Liu R, Cao X (2017) Pollution treatment of practices of Dianchi Lake in the past twenty years.
Environ Sci Surv 36:31–37
29. Meng T (2016) Application of integrated river basin management in Dianchi basin. Chin J
Environ Manage 3:53–59
30. Merriam SB (2009) Qualitative research: A guide to design and implementation / Sharan B.
Merriam, Rev. ed. Jossey-Bass, San Francisco, Calif.
31. Ministry for the Environment of New Zealand (2009) How Does the National Environmental
Standard Apply to Water and Discharge Consents? http://www.mfe.govt.nz/publications/
rma/draft-users-guide-national-environmental-standard-sources-human-drinking-water/4.
Accessed 27 July 2018
32. Ministry of Ecology and Environment of China (n.d.) Major Science and Technology for Water
Pollution Control and Treatment. http://nwpcp.mep.gov.cn/. Accessed 24 June 2019
33. Ministry of Water and Environment of Uganda (n.d.) Institutional Framework for
Water and Environment. http://www.mwe.go.ug/mwe/institutional-framework-water-and-env
ironment. Accessed 27 July 2018
34. OECD (2014) Water Governance in the Netherlands. OECD Publishing
35. OECD (2015) OECD Principles on Water Governance
36. Pahl-Wostl C, Conca K, Kramer A, Maestu J, Schmidt F (2013) Missing Links in Global Water
Governance: A Processes-Oriented Analysis. Ecology and Society 18
37. Saleth RM, Dinar A (2013) The Institutional Economics of Water: A Cross-Country Analysis
of Institutions and Performance. World Bank and Cheltenham, UK: Edward Elgar, Washington,
DC
38. Sengupta PK (2018) Industrial water resource management: Challenges and opportunities for
corporate water stewardship. Challenges in Water Management. John Wiley & Sons, Ltd,
Chichester, West Sussex, Hoboken, NJ
39. StMUV (n.d.) Organisation im Bereich Wasserwirtschaft. https://www.stmuv.bayern.de/the
men/wasserwirtschaft/wasserwirtschaft_in_bayern/organisation.htm. Accessed 24 June 2019
40. StMUV (2014) Bavaria, Land of Water: Sustainable Water Management in Bavaria.
Bayerisches Staatsministerium für Umwelt und Verbraucherschutz, Munich
41. Wang Y (2018) Assessing Water Rights in China. Water Resources Development and
Management. Springer Singapore, Singapore
42. Woodhouse P, Muller M (2017) Water governance - an historical perspective on current debates.
World Dev 92:225–241
43. Yan F, Daming H, Kinne B (2006) Water resources administration institution in China. Water
Policy 8:291–301
44. Yu X, Geng Y, Heck P, Xue B (2015) A review of China’s rural water management.
Sustainability 7:5773–5792
45. Yunnan Provincial Bureau of Statistics (2015) Yunnan statistical yearbook. China Statistics
Press, Beijing
Open Access This chapter is licensed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits use, sharing,
adaptation, distribution and reproduction in any medium or format, as long as you give appropriate
credit to the original author(s) and the source, provide a link to the Creative Commons license and
indicate if changes were made.
The images or other third party material in this chapter are included in the chapter’s Creative
Commons license, unless indicated otherwise in a credit line to the material. If material is not
included in the chapter’s Creative Commons license and your intended use is not permitted by
statutory regulation or exceeds the permitted use, you will need to obtain permission directly from
the copyright holder.
Chapter 2
Ecological Indicators for Surface Water
Quality - Methodological Approaches
to Fish Community Assessments in China
and Germany
Sebastian Beggel, Joachim Pander, and Jürgen Geist
2.1 Introduction
This chapter provides an overview about the implemented water quality assessment
regulations and methods with a special focus on Germany and China. In the first part,
the general situation and the currently used ecological indicators are presented. In
the second part, we exemplarily discuss the fish community assessment by different
methodological approaches. Specifically active and passive fishing techniques are
compared, which both, single or in combination, are used in Chinese or European
fish monitoring surveys.
2.1.1 The Need for Ecosystem Health Assessment
Human activities and consequently the impact on freshwater ecosystems has

increased significantly within the past decades, resulting in an unneglectable decline
in biodiversity and ecosystem integrity worldwide [13]. As a matter of fact, aquatic
habitats associated with 65% of continental discharge have been recently classified
as moderately to highly threatened [52, 60, 61], which demonstrates that aquatic
ecosystems have become highly dysfunctional due to high anthropogenic pressure.
As summarized by Maloney [35], there has been a 81% global decrease in freshwater
S. Beggel (B) · J. Pander · J. Geist

Aquatic Systems Biology Unit, TUM School of Life Sciences, Technical University of Munich,
Mühlenweg 22, 85354 Freising, Germany
J. Pander
J. Geist

https://doi.org/10.1007/978-3-030-80234-9_2
48 S. Beggel et al.
vertebrate populations over the last 30 years (see also [36]) and an average of 60%
of protected species and 77% of habitat types are considered to be in unfavourable
conservation status in Europe, with an even higher proportion in rivers, lakes and
wetlands [19]. Furthermore, as the human population grows, human contact with and
impacts on aquatic ecosystems increase. At present, more than 50% of the human
population lives within 3 km of a freshwater system [26]. This has raised concerns
over the impacts of anthropogenic activities on aquatic environments [59]. During
the past centuries, the requirements for human economic development were often
prioritized, sometimes neglecting negative impacts of human activities on aquatic
ecosystems and the services they provide. Progress to align both, development and
protection of freshwater resources was made during the last decades and the urgent
necessity to preserve and restore a good ecological status of aquatic habitats has been
recognized [19]. Various monitoring programs to determine water quality status and
need for action were developed and implemented worldwide, with the USA and also
European countries such as Germany. Recently, countries with a rapid economic
development, such as China, are increasingly implementing monitoring tools for
ecosystem health status assessment for environmental protection and to preserve
biodiversity.
2.1.2 Current Situation in China and Germany
China’s rapid economic and social development during the last decades resulted
in increasing anthropogenic pressure on freshwater resources. Therefore already in
the 11th Five Years Plan (2006–2010) China consistently improved its measures to
control pollution and protect the environment within their major watersheds. Major
threats to aquatic ecosystems in China are mainly caused by large scale hydromor-
phological modifications, water scarcity and severe water pollution from industrial,
agricultural and municipal emissions. According to the 2017 Report on the State of
the Ecology and Environment in China, 23.8% of 1,940 monitored surface water
sections were rated with grade IV and V –utilizable for industry, agriculture and
recreation without skin contact only– whereas 8.3% did not meet grade V standards
–not suitable for human contact or any use- (Table 2.1; [38]). As a developmental
goal it was legally implemented in China to improve surface water quality until 2020,
with less than 5% classified as grade V or worse, and more than 70% shall meet grade
III or better [42].
Historically, European countries such as Germany had a long history of water
management and protection. European countries were facing similar environmental
problems during their rapid economic development in the 20th century. In the 1970s,
when those countries’ surface waters were highly polluted, measures were imple-
mented to improve the environmental conditions sustainably, e.g. by improving
waste water treatment and regulating emissions into surface waters. A Europe-wide
approach was finally implemented in 2000 by the European Union, the EU Water
Framework Directive (WFD) [16], where the good ecological status or potential
2 Ecological Indicators for Surface Water Quality … 49
Table 2.1 Chinese water quality grades and respective water uses (Source: [38])
Grade Use
I–II First-class protection zones for drinking water resources; habitats of rare aquatic
species; fish and shrimp spawning grounds
III Second-class protection zones for drinking water resources; fish and shrimp
overwintering ground; migration channels; aquaculture areas; swimming sites
IV Industrial use; recreational purpose (without skin contact)
V Irrigation (agri-/horticulture, landscape)
V+ Hardly any function except regulating local climate
for surface water bodies was defined as overall goal to be reached by the year 2015.
Nevertheless, European countries have largely failed to reach the initial goals in water
quality status of surface waters by today. Only 7.7% of Germany’s rivers reached
the European Water Framework Directive’s binding environmental objective of good
ecological and chemical status by 2015. 34.4% of the 8,995 monitored sites exhib-
ited a poor ecological status–major deviations from surface water body type-specific
values of biological quality elements and biological communities. Further 19.9%
were classified as bad–severe alterations to surface water body, type-specific values
of biological quality elements and absence or strong degradation of the ecological
integer biological communities.
While Germany utilizes biological, hydromorphological and physico-chemical
metrics to determine water quality since the early nineties of the last century, China’s
water monitoring is predominantly based on physico-chemical variables using a
dense net of automated monitoring stations covering the main river basins. Those
analyses are the most direct approach to define chemical water quality, but on the other
hand they are of limited use to allow predictions about aquatic organisms’ responses
to pollution nor pollution-related influences on ecosystem level [50]. Biological
monitoring can provide insights into the organism-habitat relationship by means
of indicator species. The presence or absence of such species enables the detec-
tion of pollution and the evaluation of biological threats to ecosystem health [23].
Since aquatic organisms cope with chemical, physical and biological habitat alter-
ations over their entire lifecycle, they additionally allow identification of the long-
term ecological status of environments. Furthermore, steep pollution and disturbance
gradients are appropriately determined by biological data [21]. Acknowledging the
relevance of ecological methodologies for water quality assessment, China launched
a pilot national monitoring program to assess ecological integrity in 2010.
2.1.3 Ecological Indicators of Ecosystem Integrity
The biological integrity of freshwater ecosystems, here river or lotic systems, is typi-
cally considered by separately assessing so-called biological quality elements (QEs)
50 S. Beggel et al.
such as fish, macroinvertebrates, macrophytes and algae. In combination these quality

elements are used to create a comprehensive picture of the current status of the respec-
tive system with the component of the worst assessment determining the status class
(one-out-all-out principle). Each of these biological groups can be utilized to derive
structural indicators according to their presence or absence in the assessed ecosystem
[45]. This allows to draw conclusions about the systems current condition, e.g. good,
bad or poor, and additionally facilitates the comparison of the current status with
past and future conditions for monitoring purposes. Structural indicators are used
to determine ecosystem integrity and allow to draw conclusions about the stability
of the ecosystem, e.g. the capacity of an ecosystem to maintain its organization, in
rivers mostly linked to river dynamic processes such as sediment relocation or dead-
wood dynamics. From a scientific point of view, most commonly used indicators
are, for example, species richness and diversity, characteristic species assemblage
or trophic structure [35]. For monitoring purposes these attributes are especially
useful since their assessment can be realized by point-in-time measurements within
the respective habitats [43]. Diversity for instance is measured by sampling organ-
isms from a specific community (e.g., fish, aquatic invertebrates, macrophytes) and
considering the number of unique taxonomic groups and the number of organisms
per group. By applying a standardized sampling design following pre-determined
methodological protocols a spatial and temporal comparability is warranted. In river
ecosystem assessment, the fish species diversity at a representative site is a structural
metric that reflects ecosystem integrity and availability of typical habitats as well as
habitat connectivity. Variations in diversity are identified by comparing the current
abundance and density of aquatic species in an ecosystem with that of a reference
site or historical ecosystem state. Furthermore, this metric can be used to determine
potential risks to ecosystem integrity if significant changes in biological structure
are detected or specific taxa are missing [31], or on the contrary to measure restora-
tion success [45]. Other commonly used structural metrics include biomass, species
richness or dominance or presence or absence of indicator species. Hydromorpho-
logical and water physico-chemical criteria are additionally used to aid the biological
metrics.
2.1.4 Biological River Assessment Approaches Applied

in China and Germany
Legal and institutional frameworks as described in the previous Chapter 1 highlight

that management, protocols, analyses and reports of river monitoring results vary
between states, commissions, districts and municipalities. Therefore, the comparison
of quality elements (QEs) used in river assessments in Germany and China is based
on surveys carried out nation-wide. This includes China’s Environmental Quality
Standards for Surface Water [39] and river monitoring under the WFD in Germany.
2.1.4.1 China
China’s rivers are assessed according to the national Environmental Quality Stan-
dards for Surface Water [39]. This standard lists 109 chemical and physical parame-
ters of which 24 are classified as basic parameters, five as supplementary parameters,
and 80 as specific parameters. Basic parameters are implemented for rivers, lakes,
channels, and reservoirs, whereas supplementary and specific parameters are applied
to drinking water resources. The standard’s basic parameters comprise heavy metals,
nutrients, water temperature, pH value, dissolved oxygen, chemical oxygen demand
(COD), and biochemical oxygen demand (BOD). For each of the basic parame-
ters, the standard sets thresholds, pursuant to the standard’s surface water quality
grades (Table 2.1). The grade is attributed on basis of the one-out-all-out principle.
Thus, the worst grade attained by any considered parameter represents the final water
quality grade. Grade I and II are generally in agreement with the WHO-Drinking
Water Guideline values and most recent Chinese Drinking Water Standards [18]. The
standard further provides general guidelines pertinent to monitoring procedures and
mandate local WRABs to implement and supervise its adaption.
The research process on river health in China was initiated in 1992, when [67]
described water quality of Jiuhua River using the Ephemeroptera, Trichoptera,
Plecoptera (EPT) and the Family Biotic Index (FBI). Since the early 2000s,
researchers in China [62, 63, 70] started to focus on urban river health assessments in
relation to China’s fast urbanization process. Furthermore, the administrative agen-
cies responsible for the Yellow River, Yangtze River and Pearl River Basin suggested
concepts to promote river health [22, 30, 69]. Broader studies on the ecological status
and water quality of rivers based on macroinvertebrates were conducted and pilot
schemes for monitoring and assessment of those were implemented. These include,
amongst others, [28, 44] and [64]. Evidently, the biological assessment of rivers is
gradually brought to attention of Chinese river management. Up until the year 2019,
no nation-wide assessment program exists, but this is supposed to be changed in
the future. The utilized structural metrics for biological quality elements, currently
applied mainly for academic purposes, include aquatic macroinvertebrates, fish and
benthic algae. For macroinvertebrates the calculation of “family richness”, “macroin-
vertebrate BMWP score” and “EPT family richness” is used. For fish communities
the “fish species index”, “fish biotic index” and “fish Berger Parker index” are used
and for benthic algae the “algal biotic index” and “algal Berger Parker index“.
2.1.4.2 Germany
For several years, Germany has been monitoring its running waters according to the
demands of the WFD, requiring the assessment of QEs as described below. Hydro-
morphological and physico-chemical QEs support biological QEs, but cannot replace
them. The river status class (Table 2.2) is obtained from a ratio, which represents the
relationship between the values of biological parameters observed for a given stream
or river and the values of these parameters in the undisturbed reference condition
52 S. Beggel et al.
Table 2.2 General definition of rivers’ ecological quality in Germany (adapted from: EC 2000)
Status Normative definition
High Physico-chemical/hydromorphological quality elements
No, or only very minor, anthropogenic alterations to river type-specific
undisturbed reference conditions
Biological quality elements
Values reflect river type-specific undisturbed reference conditions, and show no,
or only very minor, evidence of distortion; river type-specific conditions and
communities
Good Biological quality elements
Low levels of distortion resulting from human activity are evident, but deviate
only slightly river type-specific undisturbed conditions
Moderate Biological quality elements
Moderate deviations from river type-specific undisturbed reference conditions;
moderate signs of distortion resulting from human activity; significantly more
disturbed than under good status condition
Poor Biological quality elements
Major deviations from river type-specific undisturbed reference conditions;
relevant biological communities deviate substantially from those of river-type
specific undisturbed reference conditions
Bad Biological quality elements
Severe alterations from river type-specific undisturbed reference conditions;
absence of large proportions of relevant biological communities of river-type
specific undisturbed reference conditions
pursuant to the river or stream type. Reference conditions have been defined for 25
stream and river types [51]: four types for the eco-region of the Alps and Alpine
foothills, eight types for the Central German Highlands, nine types for the North
German Lowlands and four ecoregion-independent types. The worst assessment
result of a biological QE determines the overall assessment result (one-out-all-out
principle).
Aquatic macroinvertebrates are indicators of local environmental conditions.
Since 1991, the method of assessing water quality and the organic impact in running
waters based on macroinvertebrates has been regulated by the German standard DIN
38 410 [8]. It is based on one of the traditional saprobic procedures [47]. Samples
are taken accordingly to the international standard DIN-EN-ISO 10870 [9]. Calcu-
lation, classification and presentation are also standardized. The ecological status
can be determined with the assessment system PERLODES [37]. More detailed
information for the asessment of running waters using macroinvertebrates as passive
indicators is given in [23].
The analysis of macrophytes is a particularly well-suited tool for monitoring
long-term trends in trophic conditions [53]. Nationally, the multi-habitat-sampling of
macrophytes follows a standardized protocol. Besides coverage, vitality, and socia-
bility of each species, environmental data such as shading, flow velocity, average
water depths and substrate type are recorded. In Germany, the assessment of the
subcomponent macrophytes is enabled by the assessment system PHYLIB [2]. Alter-

natively, the NRW-procedure [57] can be used for the assessment of rivers based on
macrophytes. Both assessment methods define states of potentially natural vegeta-
tion by means of a community approach. The determination of river water quality
stems from the occurrence of non-typical vegetation units. PHYLIB is also applied
to the subcomponent phytobenthos. Sampling and microscopy follow standardized
protocols. During sampling, species coverage and substrate types are recorded. The
microscopy protocol requires the determination of taxonomic unit and each unit’s
frequency of occurrence.
The establishment of a nationwide classification and assessment system of streams
using phytoplankton was firstly initiated by the adoption of the WFD. Standardized
methods for sampling, handling of samples, and analysis are described in the manual
by [40]. It is restricted to medium-sized and major rivers. For the assessment of
plankton-dominated streams, the software PhytoFluss is available.
Fish are sensitive to modifications of river morphology and lateral as well as
longitudinal river channel connectivity. The survey of fish population characteristics
is performed by electrofishing. Six QEs are standardized recorded: species and guilds
inventory, species abundance and guilds distribution, age structure, migration (index-
based), fish region (index-based), and dominant species (index-based). Those QEs
(metrics) are compared to a priori defined river-type reference fish biocenosis which
is based on expert knowledge. Depending on the deviation of observed values of QEs
from values of the reference, scores are achieved. The average score determines the
status classification. The methodology in Germany is based on [15]. The assessment
of the subcomponent fish is performed by application of the assessment system fiBS
[14].
In contrast to biological elements, hydro-morphological QEs are not primarily
decisive for assessing the status of a river, but are determining the distribution as
well as habitat heterogeneity, availability and niches for biotic communities. Hydro-
morphological QEs of the WFD are morphology, hydrological regime and continuity.
The quality element morphology does not only focus on the riverbed (course devel-
opment, longitudinal profile, bed structure), but also on the banks (cross-section,
bank profile) and the floodplain [6]. Rivers are assigned to five structural classes.
The allocation to the classes is based on the extent by which a river’s morphology
deviates from river-type-specific reference condition. A river’s hydrology is classi-
fied using the parameters connection to groundwater bodies, discharge, and discharge
dynamics. On the basis of data and expert knowledge, the intensity of given pres-
sures, such as water abstractions or engineering measures, are related to the potential
natural status. The classification into five classes (Table 2.2) is based on the one-out-
all-out principle [7]. The procedure is currently undergoing practical trials [20]. A
method to classify the continuity of watercourses is being developed by LAWA [20].
According to Annex V of the WFD, five physico-chemical quality elements of
running waters need to be monitored: visibility, temperature, oxygen, conductivity,
acidification, and nutrient conditions. Water body type-specific background values
(very good status) and threshold values (good status/good ecological potential) are
listed in Annex 7 to the Ordinance on Surface Waters. Measured values determine
54 S. Beggel et al.
the allocation to quality classes. High status is achieved if measured values adhere to
river-type-specific background values. If measured values are within a range which
guarantees river-type-specific correct functioning, a good status is achieved.
2.2 Methodological Comparison of Fish Community

Assessment
As described previously, there are several advantages when biological metrics are
complementary considered in surface water health assessment and monitoring. Since
fish assemblages are considered to be a highly suitable metric for assessing river
health [1, 24, 25], there are ongoing activities in China, predominantly on the
academic level, to further develop and adjust fish-based indices for Chinese surface
waters. Example applications in China using the “index of biological integrity” (IBI)
for river health assessment were reported for the Yangtze River [33], the Liao River
[48], and some local small rivers [22, 32]. Structural metrics such as the IBI demand
a predetermined sampling strategy and the proper choice of methods to be applied.
The choice of efficient sampling techniques is thereby a crucial factor for the success
of sampling strategies [5, 41, 45].
The following section of this chapter provides a methodological comparison of
fish communities along a 70 km stretch of the Fan River, Lioaning province in China.
Specific objectives are the comparison of (i) Active vs. Passive sampling methods,
(ii) German vs. Chinese sampling approach and techniques, (iii) Determination of
fishing technique effectivity for overall community characterization.
2.2.1 Methodology
2.2.1.1 Choice of Sampling Methods
In contrast to less mobile organisms such as plants and some macroinvertebrates,

the assessment of fish communities relies on efficient and non-selective sampling
techniques [4, 5]. Since fishing techniques are applied from the early development
of human societies on, there is a great variety of different active and passive fishing
methods. Today applied standardized methods include electrofishing [27, 41, 49],
hook-and-line methods, net-based methods and the use of traps [4, 5, 34, 46, 68].
Catch rates, selectivity patterns and species specificity may differ strongly, however,
depending on the sampling method chosen. Thus, an accurate characterization of
populations can be difficult [11]. Additionally, the efficiency of the respective fishing
method most likely varies with the change of stream size as well as turbidity, current
velocity and conductivity [24, 41, 54]. Assessment methods currently applied in
China comprise electrofishing for wadeable [22] or gill-netting for non-wadeable

streams [17], as well as casting nets and seining [29]. Standardization of assessment
is often not reported or impossible when investigations include catches from local
fishermen [29].
2.2.1.2 Area of Experimental Investigation
For the methodological comparison, 6 characteristic sites within the Fan River were
chosen together with the Chinese project partners (N 42.10826, E 12.448.517 – N
42.257.50, E 12.360.941). The selection of the sampling area was based on the bilat-
eral workshops held between the German and Chinese partners of the SINOWATER
project at the Chair of Aquatic Systems Biology in Freising, Germany in 2016. The
Fan River is a tributary to the Liao River, one of the seven major river basins in
China. Fan River is a well suited model stream, since within less than 100 km the
headwater region and the confluent to the Liao River main stem can be reached. The
sampling area covers a gradient from wadeable sections with low-flow conditions at
the most upstream site to non-wadeable conditions at the confluent and an elevation
gradient from 51 to 370 m above sea level (upper sites dominated by agriculture in
the catchment, lower sites with influence of the city of Tieling and water abstraction
for irrigation + large reservoir in-between). Site ID and pictures are given in Table
2.3. Sites 3–6 are characterized by a major increased discharge from Zhenziling
Reservoir above site 3.
2.2.1.3 Description of Sampling Methods and Design
Herein three active and three passive methods were used for fish community assess-
ment. The survey was conducted in May 2017, at this time of the year typically
no extreme flood or drought events occur, which would have hampered sampling
activities. Active methods comprised single-pass electrofishing as typically applied
in Germany and China as well as seining. As passive methods common minnow traps
were used as well as gill-netting and longline-fishing. Specifications of the respective
methods are listed in Table 2.4.
The sampling design used in this investigation allowed to simultaneously apply
the different fishing methodologies within the same section of the river, including
replication of each of the methods and coverage of structural variation. Sampling
sections were chosen to represent a wide range of environmental conditions from fast-
flowing upstream sections to slow-flowing downstream sections. At each sampling
site, a 500 m stretch was selected and divided into three main replicate sections
of 150 m each, Within these 150 m sections, there were 30 m assigned for each
of the active methods (electrofishing German (EG), electrofishing China (EC) and
seining (SN)). Passive fishing methods, longline-fishing (L) and traps (T) were spaced
56 S. Beggel et al.
Table 2.3 Sampling sections for the methodological comparison in Fan River, Liaoning province,
China
Sitete 1 - JiaHeChang Site 2 - BaiQiZhai
Site 3 - XiaoTun Site 4 - LaoBianTai
Site 5 – FanheBridge (City of Tieling) Site 6 - HuangHeZi
in between the active fishing sections as well as at the most upstream and most
downstream end of the whole sampling site resulting in 5 replicates per method. Gill-
netting was only applicable at the most downstream site 6. A graphical representation
of the sampling design is given in Fig. 2.1. At the most upstream part a 50 m section
for time-based electrofishing was located. For each specimen, the total length (TL)
was measured to the nearest 0.1 cm, total weight (WT) was measured with 1 g
accuracy on a representative subsample of fish.
Table 2.4 Specification of applied active and passive fishing methods

Method type Specification
Active
Electrofishing Ger- Graßl ELT62, 3 kW (300 V) engine-powered
man (EG) backpack-electrofisher connected to 1
handheld anode with a 30cm dipnet and a
passive braided wire copper cathode. Fish
were collected by an assistant person with a
dipnet and transferred to a bucket.
Electrofishing Chi- Two copper electrodes on telescope handles,

nese (EC) one equipped with a 20 cm dipnet, powered
by a 24V battery. Fish were collected by the
operator and collected by a second person
carrying a bucket.
Electrofishing Chi- Same equipment as EC. Sampling was con-

nese - time based ducted by fishing a zigzag route across the
(EC30) sampling section for 30 minutes.
Seining 15 m net, mesh-size 10 mm, lead-bottomline.

Spreading of the net in 90° angle to the river
bank towards the middle of the river, then
pushing the net back in a half-cirlce towards
the bank
Passive
Trapping (T) Minnow trap, diameter 30cm, length 60 cm.
Commercial cat-food used as bait. Placed in
deeper sections with the whole trap being
submerged.
Longline (L) 5 m fishing line -3 types barbed hooks (#1,

#6, #10) replicated 5 times. Each hook size
was equipped with different bait: fish filet,
mussel meat or worms, and maggot.
Gillnet 20 m long, 1 m wide, 2 cm mesh. Brought

into a stagnant deep area by boat.
58 S. Beggel et al.
Fig. 2.1 Schematic representation of the sampling design applied. EG: Electrofishing German,
EC: Electrofishing China, EC30: 30 min Electrofishing china, SN: Seining, L: Longline fishing, T:
Trapping, 1–3: replicate sections, MI: additional zone for macroinvertebrate sampling
2.2.1.4 Calculated Metrics
For comparison of the method-dependent catch, the following metrics are reported:
Species abundance, Species richness (d), Shannon diversity index (H’), Eveness (J’)
Condition indices for each species (BMI), species biomass. To express the effective-
ness of each method, the Catch per Unit Effort (CPUE) was calculated. For compa-
rability the CPUE per 10 min is presented. Richness was calculated by counting all
the taxa for each site, specific calculations are given below.
S
H= − Pi log2 Pi (2.1)
i=1
where S is the total number of taxa, Pi is the relative abundance of species i.
(WT × 100)
BMI = (2.2)
L 3T
WT: Total weight (nearest g); LT: Total length (nearest 0.1 cm).
Ni
C PU E = (2.3)
ti
Ni: Number of individuals per replicate section i; ti: time of fishing at replicate
section i
S−1
d= (2.4)
loge N
H
J = (2.5)
loge S
{i N i(N i−1)}
1 − λ = 1 − (2.6)
{N (N −1)}
S: Total number of taxa; N: Total number of individuals.
2.2.2 Results
2.2.2.1 Fish Community
A total of 33 fish species from 10 different families comprising 7799 specimen were
collected by all methods (and sites) combined. Most of the sampling sites within the
Fan River system showed to be dominated by Cyprinidae, comprising up to 85%
of all fish specimen caught, followed by Nemacheilidae, Cobitidae and Gobiidae.
The fish community was generally characterized by generalists like Rhynchocypris
lagowskii, Barbatula nuda and Zacco platypus. These first two species represented
21.9% and 23.7% of the total fish biomass, respectively. They were found at every
site except the most downstream site 6, HuangHeZi, where the fish assemblage was
dominated by Carassius auratus and Abbottina rivularis, most likely due to the
vicinity of the Liao River main stem. In general, no apex predators or fish larger
16 cm (total length) were caught by the methods applied or are simply missing in
Fan River. A full list of the Fan River fish community is presented in Table 2.5. Cobitis
granoei, Pseudorasbora parva and Zacco platypus were detected at all sites. Some
species such as Aphyocypris chinensis (site 2), Chanodichthys erythropterus (site 6),
Hypomesus olidus (site 6), Opsariichthys bidens (site 2), Romanogobio tenuicorpus
(site 6) were only detected at single sites. In site 6 three of the species exclusively
occurred, indicating a strong influence of the Liao River on the fish community.
For 9 species less than 10 individuals were found (Chanodichthys erythropterus,
Gymnogobius urotaenia, Tachysurus fulvidraco, Hypomesus olidus, Pungitius
sinensis, Misgurnus mohoity, Silurus asotus, Oryzias sinensis, Opsariichthys bidens).
In terms of metrics the German electrofishing method resulted in the highest value
for α-diversity with H’ = 2.35 in contrast to seining (1.65), Table 2.6. The catch from
trapping resulted in the highest values for species richness with d = 3.936.
2.2.2.2 Method Efficiency
In comparison of overall method efficiency, none of the methods turned out to be

suitable to cover the full species range detected at each site compared to all methods
combined. The electrofishing methods, however, detected always at least >50% of
the species, while seining detected less than 40%. The results using the German
electrofishing method (EG) had the greatest overall coverage in terms of number of
taxa and biomass, and was suited to detect 56–100% of the species present at the
specific sites. This result is further corroborated by the comparison of the catch per
unit effort (CPUE). The electrofishing methods in general was the most effective
method to characterize fish assemblages. The calculated CPUE generally revealed
60 S. Beggel et al.
Table 2.5 List of fish species

Species name Sum N Proportion [%] Biomass [kg]
in the Fan River system. Total
number of individuals (N), Rhynchocypris 2484 31.8 4.56
percentage of total catch lagowskii
(Proportion) and biomass is Barbatula nuda 1683 21.6 3.00
given
Abbottina 481 6.17 1.49
rivularis
Carassius auratus 377 4.8 4.94
Cobitis granoei 374 4.8 0.39
Pseudorasbora 340 4.4 0.66
parva
Rhinogobius 337 4.3 0.52
giurinus
Misgurnus 298 3.8 0.58
anguillicaudatus
brunneus
Zacco platypus 195 2.5 0.52
cliffordpopei
Rhodeus lighti 187 2.4 0.19
Microphysogobio 164 2.1 0.27
chinssuensis
Gobio 107 1.4 0.31
cynocephalus
Acanthorhodeus 91 1.2 0.22
chankaensis
Micropercops 60 0.8 0.10
swinhonis
Paramisgurnus 55 0.7 0.15
dabryanus
Aphyocypris 29 0.4 0.05
chinensis
Romanogobio 23 0.3 0.03
tenuicorpus
Rhodeus lighti 21 0.3 0.02
Hemiculter 20 0.3 0.01
leucisculus
Lefua costata 17 0.2 0.02
Oryzias sinensis 9 0.1 < 0.01
Opsariichthys 9 0.1 0.44
bidens
Silurus asotus 8 0.1 0.31
(continued)

Species name Sum N Proportion [%] Biomass [kg]
Misgurnus 5 <0.1 0.03
mohoity
Pungitius sinensis 4 <0.1 <0.01
Hypomesus olidus 3 <0.1 <0.01
Gymnogobius 2 <0.1 <0.01
urotaenia
Tachysurus 2 <0.1 0.24
fulvidraco
Chanodichthys 1 <0.1 0.05
erythropterus
Table 2.6 Diversity indices of fish community in Fan River based on the result of the different
sampling methods
Method Total species Total Species Eveness Shannon Simpson
S individuals richness J’ diversity diversity
N D H’ 1-Lambda
EC 24 1954 3.03 0.67 2.15 0.81
EC 30 27 1714 3.49 0.52 1.74 0.64
EG 28 3570 3.30 0.70 2.35 0.84
SN 11 125 2.07 0.69 1.65 0.69
T 24 345 3.93 0.74 2.37 0.83
L 0 0 - - - -
significant differences between all methods (KW, H(3) = 33.7, p < 0.001)1 . Within
the active methods, the seining resulted in a significant lower CPUE compared to
electrofishing methods (p < 0.05) and the passive method trapping showed signif-
icant lower CPUE compared to each other method (p < 0.001). Seining indicated
to be the least efficient method of the active methodologies, however still yielded
a higher CPUE compared to passive methods. Longline fishing never yielded any
catch, regardless the site in which this method was applied. The method efficiency
comparison is presented in Table 2.7.
Gill-netting was not applicable in the upstream parts of the river with higher flow-
velocities and shallow water depths. In the most downstream, deep and low flowing
reaches, results from the gill-net differed in terms of species composition from all the
other methods applied, presumably caused by being more selective towards pelagic
species such as Carassius auratus or Hypomesus olidus which were hardly caught
with the active fishing methods applied from the river bank as used in this comparison.
1Statistical comparisons to test for differences between groups were performed by using the
Kruskal–Wallis rank-sum test, with Mann–Whitney U pairwise comparisons (Bonferroni corrected).
Significance was accepted at p < 0.05.
62 S. Beggel et al.
Table 2.7 Method efficiency comparison. Total number of taxa detected for each method and site.
Values in brackets represent percentage of taxa detected in relation to total number of taxa by all
methods combined
Site N species EC EC30 EG G L SN T
1 9 5 (56%) 7 (78%) 5 (56%) N/A 0 2 (22%) 2 (22%)
2 19 15 (79%) 16 (84%) 16 (84%) N/A 0 5 (26%) 10 (53%)
3 15 13 (87%) 11 (73%) 15 (100%) N/A 0 5 (33%) 11 (73%)
4 16 11 (69%) 11 (69%) 13 (81%) N/A 0 0 (0%) 10 (63%)
5 19 10 (53%) 12 (63%) 17 (89%) N/A 0 7 (37%) 9 (47%)
6 21 9 (42%) 12 (57%) 15 (71%) 11 (52%) 0 5 (24%) 6 (29%)
Some of the species that were only detected by method EG comprise bottom-dwelling
species or “rare” species with overall specimen <10 at all sites combined.
2.3 Discussion
The results of this study highlight potential benefits of integrating standardized

biological monitoring tools of fish community assessments that can be combined
with existing Chinese standards for physico-chemical metrics used to rank surface
water bodies into water quality grades I to V+. The grading system stems from
the perspective of water usage purposes, such as suitability for drinking or irriga-
tion purposes. This is in contrast to the European system that primarily focusses on
the alterations of the ecological status of its aquatic systems including the multiple
impacts on them. With respect to the recent rapid economic development, impacts
on aquatic ecosystems in China have heavily increased. In the year 2014 overall
water quality did not meet the criteria for the general public and fishery use (at least
Grade III) from 28.8% of the monitoring sections in major rivers [66]. In 2017, the
physico-chemical water quality of rivers showed for 23.8% of the monitoring sections
a quality grade IV and V, while 8.3% failed to meet the grade V standard [38]. Investi-
gations by Chinese researchers have previously identified physical habitat alterations
and chemical pollutants as key factors influencing fish communities in the Liao River
Basin [17, 65]. They also reported that, compared with the historical data, almost half
of the fish species have disappeared and some local species were replaced by invasive
ones. To meet the goal to restore biological integrity in the Liao River system and
other watersheds in China, it becomes obvious that monitoring tools should consider
biological quality elements such as fish. Since biomonitoring methods are already
regionally tested, it can be anticipated that China’s national assessment approach
changes in the near future and suitable protocols will be developed soon. Euro-
pean monitoring programs (including Germany) comprise various types of quality
elements. Biological water QEs are thereby primarily decisive for assessing a river’s
actual status. Physico-chemical and hydromorphological QEs support the biolog-

ical QEs. Hereby, a large spectrum of the complexity of different biological and
ecological characteristics as well as the large variety of pressures and impacts can
be covered. One strength of this approach is the general comparability over space
and time, which allows to detect deviations between the observed conditions and
the respective reference conditions. Specific metrics, as applied in the European
WFD cannot be used for a direct comparison here. For Chinese Rivers there is so
far limited information on guilds distribution, migration (index-based), fish region
(index-based), and dominant species (index-based) as used in Europe.
For a representative assessment not only the choice of methods is crucial, but also
the consideration of site-specific characteristics [4, 5, 41]. Depending on present
fish communities either passive or active bioindication methods [45] might be suit-
able, ideally comprising a combination of different methods. In the method compar-
ison presented here, the differences between the applied sampling strategies could
exemplarily be shown. However, no method was suitable to detect all the species
present at a given site. Only a combination of active and passive sampling tech-
niques provides a best-case coverage. Electrofishing-based methods showed to be
most effective, regarding range, efficiency and the potential to detect rare species. In
this direct comparison the German electrofishing method revealed to be more suit-
able in comparison to the other applied methods in terms of efficiency and CPUE.
In general it can be stated that active methods such as electrofishing should prefer-
entially be used for fish community assessment in running waters [10]. There were
minor differences between the Chinese and the German electrofishing, however, most
likely this is rather a function of the established voltage by the different power sources
used. Ideally the power of the electrofishing gear is adequately chosen, based on the
river-specific size, discharge, depth and conductivity [41]. This approach is already
applied in European fish stock assessments like the European Water Framework
directive monitoring programs [10]. For headwater areas and small wadeable rivers,
the Chinese electrofishing gear proved to be sufficient to characterize the present fish
community. However, when species richness (or age structure) is the target of the
fish assessment, this method increases the risk of missing species (or size classes).
Thereby the time-based approach EC30 provided a broader spectrum compared to
the single-pass fishing approach. In contrast, the estimation of the ecological status
does not require the determination of absolute fish densities, but relative species
composition and abundance [58]. During electric fish sampling, species composi-
tion and relative abundance are likely to be biased because of differences in the
catchability of different species and fish sizes [3, 11, 56], which demands sufficient
efficiency of the methods. Based on the difficulty of detecting rare species, random
sampling should be conducted in conjunction with targeted sampling of rare species
or passive methods such as trapping (see also [55]). Methods such as the Longline
fishing showed to be not suitable for fish community characterization in this study.
No historic data is available for the Fan River, however, the increasing anthro-
pogenic pressure and resulting aquatic species decline is indicated by many experts.
This highlights the overall value of biological monitoring for aquatic health status
64 S. Beggel et al.
assessment. More detailed information on biological integrity is urgently needed,

especially for monitoring of the future status of these river systems.
References
1. Angermeier PL, Karr JR (1986) Applying an index of biotic integrity based on stream-fish
communities: considerations in sampling and interpretation. N Am J Fish Manag 6:418–429.
https://doi.org/10.1577/1548-8659(1986)6%3c418:AAIOBI%3e2.0.CO;2
2. Bayerisches Landesamt für Umwelt, LfU (2005) Bewertungsverfahren Makrophyten and
Phytobenthos Fließgewässer- und Seen-Bewertung in Deutschland nach EG-WRRL, Infor-
mationsheft 1/05. LfU München, Germany
3. Bohlin T, Hamrin S, Heggberget TG, Rasmussen G, Saltveit SJ (1989) Electrofishing–theory
and practice with special emphasis on salmonids. Hydrobiologia 173:9–43. https://doi.org/10.
1007/BF00008596
4. Bonar SA, Contreras-Balderas S, Iles AC (2009) Introduction to standardized sampling. In:
Bonar SA, Hubert WA, Willis DW (eds) Standard methods for sampling North American
freshwater fishes. American Fisheries Society, Bethesda, pp 1–12
5. Brandner J, Pander J, Mueller M, Cerwenka A, Geist J (2013) Effects of sampling techniques
on population assessment of invasive round goby. J Fish Biol 82:2063–2079. https://doi.org/
10.1111/jfb.12137
6. Bund/Länder-Arbeitsgemeinschaft Wasser, LAWA (2011). Überarbeitung der Verfahrens-
beschreibung der Gewässerstrukturkartierung in der Bundesrepublik Deutschland. Verfahren
für kleine bis mittelgroße Fließgewässer. Berlin, Germany: Kulturbuchverlag GmbH
7. Bund/Länder-Arbeitsgemeinschaft Wasser, LAWA (2014). Klassifizierung des Wasser-
haushalts von Einzugsgebieten und Wasserkörpern – Verfahrensempfehlung. a) Handlungsan-
leitung. https://www.gewaesser-bewertung.de/files/lawa_wh_verfahrensempfehlung.pdf
8. DIN EN ISO 38410-1. German standard methods for the examination of water, waste water
and sludge - Biological-ecological analysis of water (group M) - Part 1: Determination of the
saprobic index in running waters (M 1)
9. DIN EN ISO 10870. Water quality - Guidelines for the selection of sampling methods and
devices for benthic macroinvertebrates in fresh waters (ISO 10870:2012); German version EN
ISO 10870:2012
10. CEN EN 14011 8 (2003) Water quality–sampling of fish with electricity, 18 pp. European
Committee for Standardization, Brussels
11. Daulwater DC, Fisher WL (2007) Electrofishing capture probability of smallmouth bass in
streams. N Am J Fish Manag 27:162–171. https://doi.org/10.1577/M06-008.1
12. DIN EN ISO 10870 Water quality - Guidelines for the selection of sampling methods and
devices for benthic macroinvertebrates in fresh waters (ISO 10870:2012); German version EN
ISO 10870:2012
13. Dudgeon D et al (2006) Freshwater biodiversity: importance, threats, status and conservation
challenges. Biol Rev 81(2):163–182. https://doi.org/10.1017/S1464793105006950
14. Dußling U (2009) Handbuch zu fiBS–Schriftenreihe des Verbandes Deutscher Fischereiver-
waltungsbeamter und Fischereiwissenschaftler e.V., Heft 15. www.gewaesser-bewertung.de/
files/fibs-handbuch_2009.pdf
15. Dußling U, Berg R, Klinger H, Wolter C (2004) Assessing the ecological status of river systems
using fish assemblages. Handbuch Angewandte Limnologie 20. Erg.Lfg. 12/04, pp 1–84
16. European Parliament and Council of the European Union (2000) Directive 2000/60/EC of the
European Parliament and the Council of 23 October 2000 establishing a framework for Commu-
nity action in the field of water policy. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=
CELEX:32000L0060
17. Gao X, Zhang Y, Ding S, Zhao R, Meng W (2015) Response of fish communities to environ-
mental changes in an agriculturally dominated watershed (Liao River Basin) in northeastern
China. Ecol Eng 76:130–141. http://dx.doi.org/10.1016/j.ecoleng.2014.04.019
18. GB 5749-2006 Standards for Drinking Water Quality (2006) National Standard of the People’s
Republic of China. Ministry of Health
19. Geist J (2015) Seven steps towards improving freshwater conservation. Aquat Conserv 25:447–
453. https://doi.org/10.1002/aqc.2576
20. German Environment Agency, UBA (2017) Waters in Germany: status and assessment. Dessau-
Roßlau, Germany: UBA. https://www.umweltbundesamt.de/publikationen/waters-in-germany
21. Jähnig SC, Qinghua C (2010) River water quality assessment in selected Yangtze tributaries:
background and method development. J Earth Sci 21(6):876–881. https://doi.org/10.1007/s12
583-010-0140-y
22. Jia YT, Sui XY, Chen YF (2013) Development of a fish-based index of biotic integrity for
wadeable streams in Southern China. Environ Manag 52:995–1008. https://doi.org/10.1007/
s00267-013-0129-2
23. Johnson RK, Wiederholm T, Rosenberg DM (1993) Freshwater biomonitoring using individual
organisms, populations, and species assemblages of benthic macroinvertebrates. In: Rosenberg
DM, Resh VH (eds) Freshwater biomonitoring and benthic macroinvertebrates, pp 40–158.
Chapman & Hall, New York
24. Karr JR (1981) Assessment of biotic integrity using fish communities. Fisheries 6:21–27
25. Karr JR, Chu EW (1999) Restoring life in running waters: better biological monitoring. Island
Press, Washington
26. Kummu M, De Moel H, Porkka M, Siebert S, Varis O, Ward PJ (2002) Lost food, wasted
resources: global food supply chain losses and their impacts on freshwater, cropland, and
fertiliser use. Sci Total Environ 438:477–489. https://doi.org/10.1016/j.scitotenv.2012.08.092
27. Lapointe NWR, Corkum LD, Mandrak NE (2006) Point sampling by boat electrofishing: a test
of the effort required to assess fish communities. N Am J Fish Manag 26:793–799. https://doi.
org/10.1577/M06-007.1
28. Li F, Cai Q, Ye L (2010) Developing a benthic index of biological integrity and some rela-
tionships to environmental factors in subtropical Xiangxi river. China. Int Rev Hydrobiol
95(2):171–189. https://doi.org/10.1002/iroh.200911212
29. Li T, Huang X, Jiang X, Wang X (2018) Assessment of ecosystem health of the Yellow River
with fish index of biotic integrity. Hydrobiologia 814:31–43. https://doi.org/10.1007/s10750-
015-2541-5
30. Li G-Y (2004) Keeping healthy life of the yellow river - an ultimate aim of taming the Yellow
river. Yellow River 26:1–3
31. Liess M, Von der Ohe PC (2005) Analyzing effects of pesticides on invertebrate communities
in streams. Environ Toxicol Chem 24:954–965. https://doi.org/10.1897/03-652.1
32. Liu K, Zhou W, Li FL, Lan JH (2010) A fish-based biotic integrity index selection for rivers
in Hechi prefecture, Guangxi and their environmental quality assessment. Dongwuxue Yanjiu
31(5):531–538. https://doi.org/10.3724/SP.J.1141.2010.05531
33. Liu MD, Chen DQ, Duan XB, Wang K, Liu SP (2009) Assessment of ecosystem health of
Upper and Middle Yangtze river using fish-index of biotic integrity. J Yangtze River Sci Res
Inst 27(2):1–6
34. Lynch PL, Mensinger AF (2011). Seasonal abundance and movement of the invasive round
goby (Neogobius melanostomus) on rocky substrate in the Duluth–Superior Harbor of Lake
Superior. Ecol Freshw Fish 21:64–74. https://doi.org/10.1111/j.1600-0633.2011.00524.x
35. Maloney EM (2019) How do we take the pulse of an aquatic ecosystem? Current and historical
approaches to measuring ecosystem integrity. Environ Toxicol Chem 38(2):289–301. https://
doi.org/10.1002/etc.4308
36. McRae L, Deinet S, Freeman R (2017) The diversity-weighted living planet index: controlling
for taxonomic bias in a global biodiversity indicator. PLoS ONE 12:1–21. https://doi.org/10.
1371/journal.pone.0169156
66 S. Beggel et al.
37. Meier C, Haase P, Rolauffs P, Schindehütte K, Schöll F, Sundermann A, Hering D (2006)

Methodisches Handbuch Fließgewässerbewertung-Handbuch zur Untersuchung und Bewer-
tung von Fließgewässern auf der Basis des Makrozoobenthos vor dem Hintergrund der
EG-Wasserrahmenrichtlinie. Methodical stream assessment manual on the basis of the
macrozoobenthos and with regards to the European water frame directive
38. Ministry of Ecology and Environment of the People’s Republic of China, MEP (2018) 2017
report on the state of the ecology and environment in China. http://english.mee.gov.cn/Resour
ces/Reports/soe/
39. Ministry of Environmental Protection of the People’s Republic of China, MEP (2002) Envi-
ronmental quality standards for surface water (GB3838–2002). https://www.chinesestandard.
net/PDF/English.aspx/GB3838-2002
40. Mischke U, Behrendt H (2007) Handbuch zum Bewertungsverfahren von Fließgewässern
mittels Phytoplankton zur Umsetzung der EU-WRRL in Deutschland. Schweizerbart, Stuttgart
41. Mueller M, Pander J, Knott J, Geist J (2017) Comparison of nine different methods to assess
fish communities in lentic flood-plain habitats. J Fish Biol 91:144–174. https://doi.org/10.1111/
jfb.13333
42. National People’s Congress, NPC (2016). The 13th Five Five-Year-Plan for the Economic and
Social Development of the People’s Republic of China 2016–2020. Beijing, China: Central
Compilation & Translation Press
43. Palmer MA, Febria CM (2012) The heartbeat of ecosystems. Science 336:1393–1394. https://
doi.org/10.1126/science.1223250
44. Pan B et al (2013) An exploratory analysis of benthic macroinvertebrates as indicators of the
ecological status of the Upper Yellow and Yangtze Rivers. J Geogr Sci 23(5):871–882. https://
doi.org/10.1007/s11442-013-1050-6
45. Pander J, Geist J (2013) Ecological indicators for stream restoration success. Ecol Indic 30:106–
118. https://doi.org/10.1016/j.ecolind.2013.01.039
46. Pander J, Mueller M, Knott J, Geist J (2018) Catch-related fish injury and catch efficiency
of stow-net-based fish recovery installations for fish-monitoring at hydropower plants. Fish
Manag Ecol 25:31–43. https://doi.org/10.1111/fme.12263
47. Pantle R, Buck H (1955) Die Biologische Überwachung der Gewässer und die Darstellung der
Ergebnisse. Besondere Mitteilungen zum Gewässerkundlichen Jahrbuch 12:159–162
48. Pei XJ, Niu CJ, Gao X, Xu C (2010) The ecological health assessment of Liao River
Basin, China, based on biotic integrity index of fish. Shengtai Xuebao/Acta Ecologica Sinica
30(21):5736–5746
49. Persat H, Copp GH (1990) Electric fishing and point abundance sampling for the ichthyology
of large rivers. In: Cowx IG (ed) Developments in Electric Fishing. Kluwer, Amsterdam, pp
197–209
50. Pignata C et al (2013) Application of European Biomonitoring techniques in China: are they a
useful tool? Ecol Indic 29:489–500. https://doi.org/10.1016/j.ecolind.2013.01.024
51. Pottgiesser T, Sommerhäuser M (2008) Beschreibung und Bewertung der deutschen
Fließgewässertypen-Steckbriefe und Anhang. https://gewaesser-bewertung.de/files/steckb
riefe_anhang_april2008.pdf
52. Rapport DJ, Costanza R, McMichael AJ (1998) Assessing ecosystem health. Trends Ecol Evol
13:397–402. https://doi.org/10.1016/S0169-5347(98)01449-9
53. Schneider S, Melzer A (2003) The trophic index of macrophytes (TIM): a new tool for indicating
the trophic state of running waters. Int Rev Hydrobiol 88(1):49–67
54. Simon TP, Sanders RE (1999) Applying an index of biotic integrity based on great river fish
communities: considerations in sampling and interpretation. In: Simon TP (ed) Assessment
approaches for estimating biological integrity using fish assemblages. Florida, Boca Raton, pp
475–505
55. Smith KL, Jones ML (2005) Watershed-level sampling effort requirements for determining
riverine species composition. Can J Fish Aquati Sci 62:1580–1588. https://doi.org/10.1139/
f05-098
56. Speas DW, Walters CJ, Ward DL, Rogers RS (2004) Effects of intraspecific density and envi-
ronmental variables on electrofishing catchability of brown and rainbow trout in the Colorado
River. N Am J Fish Manag 24:586–596. https://doi.org/10.1577/M02-193.1
57. Van de Weyer K (2015) NRW-Verfahren zur Bewertung von Fließgewässern mit Makro-
phyten. Fortschreibung und Metrifizierung, LANUV-Arbeitsblatt 30. LANUV, Reckling-
hausen, Germany
58. Vehanen T, Sutela T, Jounela P, Huusko A, Mäki-Petäys A (2013) Assessing electric fishing
sampling effort to estimate stream fish assemblage attributes. Fish Manag Ecol 20:10–20.
https://doi.org/10.1111/j.1365-2400.2012.00859.x
59. Vinebrooke RD, Cottingham KL, Norberg J, Scheffer M, Dodson SI, Maberly SC, Sommer
U (2004) Impacts of multiple stressors on biodiversity and ecosystem functioning: the role of
species co-tolerance. Oikos 104:451–457. https://doi.org/10.1111/j.0030-1299.2004.13255.x
60. Vitousek PM, Mooney HA, Lubchenco J, Melillo JM (1997) Human domination of earth’s
ecosystems. Science 277:494–499. https://doi.org/10.1126/science.277.5325.494
61. Vörösmarty CJ et al (2010) Global threats to human water security and river biodiversity. Nature
467:555–561. https://doi.org/10.1038/nature09440
62. Wang L, Gong Z, Zhang J, Li Y (2007) Comprehensive index system for evaluation of river
ecosystem health. China Water Wastewater 22(23):97–100
63. Wang Q, Yuan X, Liu H, Xu PX, Wang Z, Zhang Y (2014) Stream Habitat assessment of Dong
River, China, using River Habitat survey method. Sheng Tai Xue Bao/Acta Ecologica Sinica
34(6):1548–1558. https://doi.org/10.5846/stxb201210201458
64. Wang Y et al (2014) A national pilot scheme for monitoring of ecological integrity of surface
waters in China. Environ Dev 10(1):104–107. https://doi.org/10.1016/j.envdev.2014.02.003
65. Xie YH (2007) Freshwater fishes in Northeast Region of China. Liaoning Science and
Technology Press, Shengyang, p 529
66. Xing Y, Zhang C, Fan E, Zhao Y (2015) Freshwater fishes of China: species richness, endemism,
threatened species and conservation. Divers Distrib 22(3):358–370. https://doi.org/10.1111/
ddi.12399
67. Yang L-F, Li Y-W, Qi D-G et al. (1992) The assessment of aquatic insect community structure
and biological water quality in Jiuhua River. Acta Ecol Sinica 12(1):8–15
68. Young JAM, Marentette JR, Gross C, McDonald JI, Verma A, Marsh-Rollo SE, Macdonald
PDM, Earn DJD, Balshine S (2010) Demography and substrate affinity of the round goby
(Neogobius melanostomus) in Hamilton Harbour. J Great Lakes Res 36:115–122. https://doi.
org/10.1016/j.jglr.2009.11.001
69. Yue Z-M (2005) Maintenance of the Pearl River health life, building a Green Pearl River, and
Strive to build a Harmonious society. Pearl River 2:1–5. https://doi.org/10.3969/j.issn.1001-
9235.2005.03.001
70. Zhao Y, Yang Z (2005) Preliminary study on assessment of urban river ecosystem health. Adv
Water Sci 16(3):349–355
Chapter 3
Dianchi Shallow Lake Management
Florian Rankenhohn, Tido Strauß, and Paul Wermter
3.1 Introduction
3.1.1 Conceptual Thoughts Connecting Water Management

and Shallow Lake Management
The SINOWATER-Project funded by Federal Ministry of Education and Research of

Germany (BMBF) examined and discussed the idea of an Integrated Water Resources
Management on all levels of water management. As shown in Fig. 3.1 this covers a
range from the overall management principles of Good Water Governance (Grambow
[7], Disse and Chen [3]) over conceptual levels to technical solutions like stormwater
management (Wang et al. [35]). This chapter is dedicated to the conceptual level of
modern water management as shown in the following figure. Measurement planning
on this conceptual level benefits from strong sustainable management principles
(Grambow [7]). Within the Kunming part of the SINOWATER-Project, we also
committed a major part of our work towards technical solutions, side by side with our
colleagues from Kunming authorities. Included in the book you will find a thorough
F. Rankenhohn · P. Wermter
Research Institute for Water and Waste Management at RWTH Aachen (FiW), Kackertstr. 15-17,
52056 Aachen, Germany
F. Rankenhohn (B)
Department of Civil Engineering, University of Kaiserslautern, Paul-Ehrlich Str. 14, 67663
Kaiserslautern, Germany
T. Strauß
Research Institute for Ecosystem Analysis and Assessment (Gaiac), Kackertstr. 10, 52072
Aachen, Germany
P. Wermter
Ministry of Climate Protection, Environment, Energy and Mobility of Rhineland-Palatinate,
Kaiser-Friedrich-Str. 1, 55116 Mainz, Germany

https://doi.org/10.1007/978-3-030-80234-9_3
70 F. Rankenhohn et al.
Fig. 3.1 Levels of water management implemented as sub-projects M1, K2 and T3 in BMBF-
funded SINOWATER-project
description of measures of storm water management planned and implemented in

the tributaries of the Caohai and its urban river basin (Wang et al. [35]).
In this chapter, we would like to introduce our readers to the outcomes of our
studies along the northern part of Dianchi the Caohai at Kunming, the capital of
Yunnan Province. Dianchi is the third biggest Chinese shallow lake. This lake is
under constant pressure of the growth of the city.
3.1.2 Two Studies for One Goal
The following chapters describe some of the SINOWATER-Project contributions

to the shallow lake management strategies of the Kunming Dianchi Management
Authorities. These recommendations are based on two different studies. The first
study served to collect data and to broaden the database by taking and analysing
additional water and sediment samples. The second study comprised the shallow lake
modelling and discussed some of the six above mentioned management scenarios
on a scientific basis. The analysis of the studies are following the overall idea of the
combined approach of EU-Water Framework Directive. It is the combination of basic
technical emission control and strict enforcement of environmental quality standards
(EQS). In consequence, the EQS enforcement is a quality management step aiming
at checking if technical emission control is sufficient to sustain the targeted water
quality. If necessary because basic technical control measures are insufficient, the
evaluation of the EQS-Check will lead to an extension of quality control measures.
This water management approach has been enforced in the EU with the introduction
of EU-Water Framework Directive in the year 2000.
In recent years, numbers of Kunming Academy of Environmental Sciences and
other Dianchi Management Authorities show a decrease in lake pollution due to
the strong commitment of environmental protection. We wish our partners and
colleagues strong perseverance and the best support and full confidence from the
political leadership for a permanent journey together.
3 Dianchi Shallow Lake Management 71
Worldwide a lot of shallow lakes suffer from bad water quality caused by eutroph-
ication (Küppers et al. [21]; Qinghui et al. [27]; Diovisalvi et al. [6]; Lei et al. [19];
Hargeby et al. [10]; Vadeboncoeur et al. [33]). In China, bad water quality and
regular algae blooms in shallow lakes such as Taihu, Chaohu and Dianchi are a huge
environmental problem, caused by high nutrient intakes due to growing population,
industrial growth and high fertilizer inputs from agricultural sides (Nixdorf & Zhou
[25]; Zhang et al. [50]; Huang et al. [13]; Cao et al. [2]; Li et al. [46]; Qin et al.
[26]; Zhu et al. [52]). All three lakes are major national water resources of China.
They are serving not only as habitat for flora and fauna but also perform tasks in
areas such as drinking water supply, local recreation and tourism. For shallow lakes
once the low carrying capacity against pollution is exceeded the negative effects
such as eutrophication with extreme algae bloom, fish mortality, water toxicity and
others can cause severe effects for the regional water management and put monetary
pressure on regional or even provincial economy.
Lake Dianchi in the Chinese province Yunnan is a shallow lake suffering from
algae blooms for years due to high nutrient intakes (Zhang et al. [51]; Wu et al. [40];
Wang et al. [38]; Jin [16]). Its capital Kunming, which is next to the lake, has grown
from 3.7 million inhabitants in 1978 to 6.8 million in 2017 (Kunming Statistics
Bureau [18]). Meanwhile, the bad water quality causes a negative feedback on the
development of the city of Kunming (Yang [45]). In recent years, local authorities
built several wastewater treatment plants and conducted projects to improve the water
quality of Lake Dianchi. Nevertheless, there are still algae outbreaks, especially in
the summer monsoon season.
The most polluted part of is Lake Dianchi its northern part, Caohai (Zhan et al.
[48]). Separated from the southern part Waihai, it receives huge amounts of wastew-
ater from the city of Kunming. In the past, Lake Caohai was scarcely sampled,
ignoring the fact that the Caohai-Waihai Lock separates Lake Caohai and Lake Waihai
since 1996 (Yan et al. [43]). For that reason, Lake Caohai had to be investigated as
a water system of its own, which we did in this study that was part of the subproject
Lake Management in the SINOWATER project.
In this study the aim was to sample Lake Caohai over the summer monsoon
period in a holistic way like proposed from (Yua et al. [47]). Thus, we took water
samples from all seven tributaries and from the Lake itself at three dates and analysed
them on nutrients providing algae growth. As it is known that nutrient release from
sediments can have a huge impact on the water quality (Moore et al. [23]), we took
also sediment samples from Lake Caohai. With these, we performed nutrient release
tests. Some of the generated results were the basis for a numerical simulation with
the stoichiometric lake model StoLaM (see Chap. 3.3).
3.2 Study 1: Water and Sediment Monitoring Data

Acquisition
3.2.1 Research Area
Sampling was carried out on the northern part of the Dianchi. This section, called
Caohai or Inner Lake, is located directly at the city of Kunming. It is 8.15 km2 in
size, which corresponds to 2.7% of the total area of the Dianchi and accounts for
about 1% of the total volume (Jin et al. [16]). I was separated from the larger Waihai
in 1996 (He et al. [12]).
In recent years, algae blooms have occurred regularly in Caohai, with cyanobac-
teria playing a particularly important role (Han et al. [9]; Yua et al. [47]). The Caohai
receives 45% of the total amount of wastewater flowing into the Dianchi and shows
significantly increased nitrogen and phosphorus concentrations (Wang et al. [39];
Zhan et al. 2016). The Caohai is divided into two larger parts by the Dongfengba
Dam. This division was carried out in order to retain the heavily polluted water from
the Wangjiadui, Xinyunliang and Laoyunliang rivers in the western part and to purify
it mechanically by sedimentation. It is fed into the artificial lake outlet, the western
tunnel, thus separating the eastern part from this source of pollution (Yan et al. [43]).
The rivers Wulong, Daguan, Xiba and Chuanfang flow into the eastern part. Further-
more, in the southern part of the Caohai there is another separated area that is used
for research on aquatic plants. The western tunnel forms the Caohai’s outflow and
diverts the water at Anning into the Tanglang River, which belongs to the Yangtze
River catchment area (Jin et al. [16]).
The Wangjiadui is an outflow from an electric power station, which is no longer
fed and has only a low water flow due to rainwater. It is part of several smaller inflows
at the West Bank of the Caohai (He et al. [12]).
The Xinyunliang River has its source in the mountains north of Kunming City
and flows for about 21 km, first through the more rural and then through the more
densely populated areas of Kunming City. It is fed by 15 smaller rivers (Nie et al.
[24]). He et al. [12] reported that around 40% of the discharge are fed by WWTP.
The Xinyunliang River is described as the most polluted tributary to the Dianchi and
its main source of pollution (Wang et al. [36]; Huang et al. [15]). The Xinyunliang
contains 41.28% of the industrial wastewater of the entire Dianchi catchment area
(Nie et al. [24]). Since the construction of a wastewater treatment plant along the
river and individual projects to improve the water quality of the river, the river’s fauna
has recovered considerably (Huang et al. [15]).
The upper reaches of the Laoyunliang River are fed by the outflow of the Fangji-
ayiu Reservoir, which in turn is fed by rainwater from the neighbouring mountains.
In the Xiaopuji district, waste water from a copper factory and municipal sewage
are added, which is about 95% of the whole discharge to the Caohai (He et al. [12]).
Over a length of 11 km, it flows through the Kunming urban area and is polluted
with sewage from settlements along the entire flow path. Its catchment area is home
to around 250,000 inhabitants (Li et al. [20]). It flows downstream of the municipal
wastewater treatment plant No. 3 into the Caohai.
The 3.7 km long Wulong River used to be fed by the wastewater of the Yunda
Hospital. According to (Yang [45]), however, the source has been relocated to the
Baima District and is only polluted with waste water from the hospital during rainy
weather. (Yang [45]) was able to show that the water quality has improved consid-
erably since 2009, and most recently quality level IV according to the Chinese
classification system was achieved. It flows into the Dianchi near the Lijia Park.
According to Ding et al. [5] the Daguan River is an artificial river that flows
together from various sources in Kunming city centre and is called the Daguan from
the Guan Building onwards. He et al. [12] showed that nearly 100% of the water in
the Daguan comes from the Niulanjiang River replenishment. The Daguan River is
about 3 km long and flows into the Caohai in Daguan Park. The park originated from
a wetland area that was in a very poor condition in the past and was restored as part
of an ecological upgrading project (Ma et al. [22]).
The Xiba River is a side channel of the Niulanjiang River, which is known for its
heavy pollution and brings high nutrient loads from the mountains in the east of the
city, which are mainly agricultural. The Niulan River Diversion Project alone has
introduced 400 million m3 of water into Dianchi in 2015.
In the Chuanfang River the WWTP 1 of Kunming accounts for about 95% of the
discharge (He et al. [12]). Its water quality is therefore directly dependent on the
purification capacity of this WWTP.
Obviously, the tributaries of the Caohai are anthropogenically dominated. Three
rivers are mainly dominated by WWTP effluents, two rivers receive huge amounts of
water from the Niulanjiang River replenishment (He et al. [12]). Only the Xinyunliang
River has a more natural dynamic.
3.2.2 Materials and Methods
3.2.2.1 Sampling
3.2.2.1.1 Water Sampling

Water samples were taken both at the seven tributaries of the Caohai and its outflow,
and on the lake. The timing of sampling was based on the hydrographs of rainfall in
the city of Kunming (see Fig. 3.3). The water bodies were sampled at the peak of the
rainy season and in the two transitional phases before and after the rainy season.
At the tributaries, the sampling points were selected so that they were as close
as possible to the mouth of the Caohai in order to record all pressures on the lake.
On the other hand, an influence of wind-induced backwash of water from the lake
into the tributaries had to be avoided. The third constraint for the selection of the
sampling points was the accessibility of the tributaries. Accordingly, the sampling
points marked R in Fig. 3.2 were selected. These restrictions also applied to the
outflow of the Caohai.
Fig. 3.2 Western and eastern part of Caohai divided by a dam and its tributaries
For the sampling on the Caohai, the premise was to ensure an even distribution
of the samples. The scheme was deviated from the points where the planned dredg-
ings took place, because sediment samples were also taken there. Furthermore, the
aforementioned division of the Caohai had to be considered. The distribution of the
sampling points can be seen in Fig. 3.2.
The water samples were taken in a depth-integrated manner with an immersion
bottle, between the surface and the bottom of the water, as described in DIN 38402
(1985). The samples were stored in PE bottles. Together with the sampling, the
Fig. 3.3 Kunming hydrograph
accompanying parameters oxygen (optical), pH value, conductivity, redox potential

(all three electrochemical) were analysed by using probes. These parameters serve
to interpret and check the plausibility of the measurement results.
In the laboratory of the Kunming Institute of Environmental Science (KMIES)
the samples were prepared for further analysis. For this purpose each sample was
divided into two subsamples. Subsample 1 was used unfiltrated for the analysis of the
parameters total nitrogen and total phosphorus. Subsample 2 was filtrated through a
0.45 µm filter and served as analysis sample for the parameters ammonium, nitrite,
nitrate, orthophosphate and total dissolved phosphorus.
3.2.2.1.2 Sediment Sampling

In order to assess the nutrient release of the sediments of the Caohai, their sampling
was carried out in parallel with the water sampling described in chapter Water
Sampling. The sediment sampling took place in May and July 2017. Sediment
samples were taken at four different locations. The local authorities planned dredging
at various locations in the Caohai at the time of sampling. The sampling sites were
selected according to these planned dredging operations (see Table 3.1, Fig. 3.2).
The sampling was carried out from a boat parallel to the sampling of the water.
A Van-Veen bottom grab was used for this purpose. The samples were individually
packed in plastic bags and analysed in the laboratory of the Agro-Environmental
Protection Institute in Dali.
Table 3.1 Sediment

Sample Dredging Coordinates
dredging sites at Caohai in the
year 2017 LS1 Projected 25°1.323 N, 102°40.058 E
LS6 Not projected 24°59.358 N, 102° 37.866 E
LS7 Projected 24°58.731 N, 102° 38.279 E
LS8 Not projected 24°58.616 N, 102°38.762 E
3.2.2.2 Analytics
3.2.2.2.1 Water Analytics

See Table 3.3
For the water analytics we used a spectral photometer using methods equal to
international, European or German standards (compare Table 3.2).
For the most parameters the reagents were used in form of powder pillows. For
the parameters total nitrogen and total phosphorus we used vial tests. These samples
were digested using a vial cooker.
We measured each sample three times for statistical confidence. Presented results
are arithmetic mean values. Organic nitrogen was calculated as the difference
between total nitrogen and its ionic forms.
3.2.2.2.2 Sediment Analytics

To measure the sediment nutrient release we used acrylic glass tubes with a diameter
of 6.7 cm and a volume of one litre. Each sample was divided into two subsamples
for aerobic and anaerobic tubes. The samples were carefully covered with deionised
water. Additionally we prepared two blind values. We used an air pump to venti-
late aerobic samples during the measurement period. There was daily measurement
of oxygen concentration, redox potential and temperature in both sampling rows.
After 3, 7 and 11 days we analysed ammonium, nitrite, nitrate, orthophosphate, total
dissolved phosphorus and total phosphorus like presented in Chap. 3.2.2.1.
Sediment nutrient release was extrapolated to the surface of the Caohai using the
following formula:

mg (Concentration 0 − Concentration 1 ) mg
l ∗ V olume [l]
Sediment nutrient r elease =
m2 ∗ d Sur f ace Ar ea m 2 ∗ E x periment time[d]
Table 3.2 Parameters and

Group Parameter Standard
standards used to conduct
spectral photometry for water Nitrogen Ammonium DIN 38406-5:1983
samples Nitrite DIN EN
26777:1993
Nitrate DIN 38405-9:2011
Total nitrogen DIN EN ISO
11905-1:1998
Phoshphorus Orthophosphate DIN EN ISO
6878:2004
Total dissolved DIN EN ISO
Phosphorus 6878:2004
Total phosphorus DIN EN ISO
6878:2004
Table 3.3 Water analytics results

Table 3.4 Environmental quality standards for surface water (Chinese standard: UDC614.7
(083.75) GB 3838-88)
Parameter Unit Class I Class II Class III Class IV Class V
COD ≤mg/l 15 15 20 30 40
BOD5 ≤mg/l 3 3 4 6 10
Diss O2 ≥mg/l 7.5 6 5 3 2
TN ≤mg/l 0.2 0.5 1 1.5 2
NH4-N ≤mg/l 0.15 0.5 1 1.5 2
TP ≤mg/l 0.02 (lakes, 0.1 (lakes, 0,2 (lakes, 0.3 (lakes, 0.4 (lakes,
dams 0.01) dams 0.025) dams 0.05) dams 0.1) dams 0.2)
Table 3.5 Compares between aerobic and anoxic milieu
3.2.3 Results and Discussion
3.2.3.1 Analytics
3.2.3.1.1 Water Analytics

Lake Caohai forms with its tributaries and its two separated parts three comparable
water systems. Following, we will summarize the results of the water analytics, as
they are the basis for the shallow lake modelling. In general, there are few sources
in the literature available for both the Caohai and its tributaries. Furthermore, the
Chinese water quality classification system is important for Chinese decision makers
(Su et al. [31]). It uses chemical and biological oxygen demand, dissolved oxygen,
ammonium-nitrogen, total nitrogen and total phosphorus concentrations as indicators
for classifying water bodies into six classes. “Class I” is the best and “Class V
Inferior” the worst (see Table 3.5) (Table 3.4).
In the tributaries the pH-value was 7.7 (±0.4), in the eastern part of Lake Caohai
8.5 (±0.47), in the western part 8.1 (±0.5) and 8.4 (±0.7) in the outflow. We measured
remarkable individual values in the Xiba River of 8.7 in May and in the Lake Caohai
of 9.4 in May. These results shows the huge impact of algae in Lake Caohai shifting
the pH to acidic conditions by uptake of CO2 . The electric conductivity and the redox
potential were unremarkable in most samplings. In the tributaries we measured the
dissolved oxygen concentration to 5.1 (±3.5) mg/l, to 7.4 (±3.1) for the eastern part
of Lake Caohai, to 4.9 (±2.5) for the western part of Lake Coahai. Especially in the
highly polluted western part the oxygen concentration was lower compared to the
other parts. The highly turbulent outflow had a concentration of 9.3 (±5.2).
The ammonium concentration in the tributaries was 2.2 (±2.3) mg/l. It became
obvious that the rivers Wangjiadui, Xinyunliang and Laoyunliang, which are flowing
in the western separated part of Lake Caohai, had much higher ammonium concentra-
tions. For this group the mean was 4.1 (±2.35) mg/l. For the second group, containing
the rivers Wulong, Daguan, Xiba and Chuanfang the mean value would be 0.8 (±0.65)
mg/l. This difference was calculated to be highly statistically significant (p < 0.001).
Nitrite concentration in the tributaries was 0.11 (±0.08) mg/l, 0.09 (±0.04) mg/l
and nitrate concentration was 1.9 (±1.1) mg/l. At the Wulong river we measured
a remarkable concentration of 4.6 mg/l in September. The concentration of total
nitrogen was 9.2 (±4.9) mg/l in the tributaries. Again, the rivers Wangjiadui, Xinyun-
liang, Laoyunliang, and also, Wulong formed a group with higher mean values of
12.3 (±4.3) mg/l. Unlike, the group of other rivers had a mean value of 5.4 (±2.05)
mg/l, being a statistical highly significant difference (p < 0.001).
Orthophosphate was 0.4 (±0.72) mg/l in the tributaries, 0.1 (±0.1). The highest
value measured was 3.36 mg/l in the Daguan River in September. Eliminating this one
value as an outlier in the river dataset lowers the mean concentration to 0.2 (±0.19)
mg/l. Total phosphorus was 0.7 (±0.4) mg/l in the tributaries. Yang and Jin [44] made
investigations between 2005 and 2007 at the Caohai. For nearly all tributaries, the TN
values dropped in this period. An exception was the Wangjiadui River, which in this
study had a mean TN concentration of 9.5 mg/l over three years. Compared to our
results there was no improvement of the water quality in the meantime. The water
quality of the Wangjadui River was Class IV regarding oxygen and water quality
class V inferior in all nutrient parameters.
The Xinyunliang River was described at Huang et al. [14] to be the most polluted
tributary of Lake Caohai. For 2012 they reported ammonium to be 6.92 mg/l, TN to
be 13.40 mg/l and TP to be 0.38 mg/l. For the same year Nie [24] reported values for
the rainy season where ammonium was 11.53 mg/l, TN 12.01 mg/l and TP 0.90 mg/l.
Based on our results, we can assume that the actions that had been made to restore
the river showed some success. Ammonium concentration dropped to only 20% of
the former concentration reported. TN dropped to 56% of the values reported. There
was no change in the concentration of TP. In general, the water quality became better
but it is still poor. The Xinyunliang River was class V inferior in all aspects.
Zhiyi et al. [49] performed some measurements at the Laoyunliang River. They
reported that ammonium was 1.55 mg/l, TN was 10.15 mg/l and TP was 0.26 mg/l as
mean values from three measurements. Compared to this in our results ammonium
and TP were significant higher. TN dropped 33%, which is a better water quality
than in 2016, but still alarmingly high. The Laoyunliang River was class IV in the
oxygen and class V inferior in all nutrient parameters. For the other parameters it
was class V inferior having the highest nutrient concentration of TN and TP of the
tributaries of the western part of Lake Caohai.
Yang et al. [45] gave a good overview over the development of the water quality
of the Wulong River between 2005 and 2015. Thus, ammonium had a peak in 2008
with 33 mg/l and TP was 3.6 mg/l. Until 2015 the concentration dropped to 1 mg/l
for ammonium and 0.25 mg/l for TP. In our measurements ammonium was worse
with 1.37 mg/l and TP 0.62. Especially TN concentration, which are not reported
yet in literature, showed high concentrations of of 14.21 mg/l. Regarding this value,
the Wulong river was one of the most polluted rivers in our study. The Wulong river
reached water quality class III regarding the oxygen concentration.
There are few references regarding the Daguan River. There are few references
regarding the Daguan [22] measured the water quality in February and March 2010
when the Wujiadui theme park was built. For the inflowing water from the Daguan
River Ma et al. [22] measured ammonia concentrations of 6.26 mg/l and TP concen-
tration of 5.65 mg/l. Compared to these values the water quality was much better in
our study with ammonia being 0.90 mg/l and TP being 0.45 mg/l. Compared to some
unpublished results from our scientific partners from the year 2015, we can assume
that our values are plausible and that the Daguan Rivers water quality became better
since 2010. For ammonia in our study, the river had a medium condition in May and
July and good condition in September being one of the rivers with a better water
quality. Nevertheless, the Daguan River is still one of the biggest pollution sources
for Lake Caohai because of its huge discharge. The Daguan River had class V inferior
for all parameters except of ammonium, where it had class IV and TP with class V.
The Xiba River had class IV in general for the oxygen, class III for ammonium
and class V inferior for the other parameters. Looking to May and July it had water
quality class I for oxygen and ammonium, but because of the high pH-Values and
the ammonia-ammonium-equilibrium this class cannot be given.
Zhan et al. [48] reported an improved water quality for the Chuanfang River after
a river rehabilitation. Compared to those 2014 values in our 2017 sampling campaign
TN dropped around half. TP has not dropped and is still the same, as the Chuanfang
River is still the outlet of the wastewater treatment plant number 1. The Chuanfang
River had class IV in oxygen, II in ammonia, V in TP and V inferior in the other
parameters. These four rivers flow to the western part of Lake Caohai. In this part of
the lake the water quality class was V inferior for TN and TP. In the south east of the
Caohai the water quality class was better regarding oxygen (between I and III) and
ammonia (between I and IV). This picture could also be seen in the water quality of
the outflow, which was in general class V inferior for the most parameters, but better
for oxygen (I to IV).
In the eastern part of Lake Caohai the ammonium concentration was 0.4 (±0.5)
mg/l, 1.5 (±1.5) mg/l in the western part and 1.1 (±1.3) mg/l in the outflow. Nitrite
was 0.09 (±0.04) in the eastern part of Lake Caohai, 0.30 (±0.23) mg/l in the western
part of Lake Caohai and 0.21 (±0.14) mg/l in the outflow. The nitrate concentration
was 1.1 (±0.4) mg/l in the eastern part of Lake Caohai, 2.0 (±0.7) mg/l in the western
part of Lake Caohai and 1.5 (±0.7) mg/l in the outflow. The concentration of total
nitrogen was 4.5 (±1.8) mg/l in the eastern part of Lake Caohai, 13.1 (± 9.4) for the
western part and 7.2 (±1.1) for the outflow. For Orthophosphate the concentration
was 0.1 (±0.1) in the eastern part of the lake, 0.2 (±0.2) mg/l in the western part and
0.1 (±0.1) mg/l in the outflow.
For the lake Caohai Jia (2018) reported measurement results for total nitrogen
and total phosphorus from 1993 to 2017. The water quality became better since the
year 2011, when TN dropped to 6.1 mg/l and TP to 0.22 mg/l. The reported value
for 2017 was 3.7 mg/l for TN and 0.15 mg/l for TP. Our result from the same year
for the Caohai were 4.5 mg/l for TN and 0.44 mg/l for TP in the eastern part and
13.6 mg/l for TN and 0.9 mg/l for TP in the western part. As the reported values in the
literature were yearly averaged values one can see that in the rainy season nitrogen
and phosphorus values were significant higher in the rainy season, especially in the
western part of Lake Caohai. We could show that nutrient intake from the rivers is
still very high.
For the western part of Lake Caohai at the three sampling points, the water quality
was different for oxygen ranging from class V inferior in the north to class III in the
south. Nevertheless, the nutrient parameters were still class V inferior. A decrease in
ammonium concentrations over the flow path could be seen. From the north (class V
inferior) to the south (class III) ammonium concentrations dropped. Our results show
not only that for a lot of parameters during the rainy season the water quality is in the
worst class, but also that the difference to the threshold of class V is still remarkable.
For example, TN in the middle of the western part of the Caohai was 34.4 mg/l
whereas the threshold value is 2 mg/l. For TP the highest value was 1.58 mg/l in
the same part of the lake and the threshold is 0.2 mg/l for water quality class V. The
objective of the thirteenth five-year plan is to achieve the water quality class V until
2018 for the Caohai. Studying our data, which we collected as stich samples in the
rainy season, one can see that there is a need for further effort to come closer to
this objective. Our new data acquisition together with other available data now is the
main input for the Caohai modelling described and discussed below.
3.2.3.1.2 Sediment Analytics

We measured dissolved oxygen, redox potential and temperature each day over the
experiment’s period as control parameters for the milieu as we had an aerobic sample
row and an anoxic sample row. The full results can be seen in Table 3.1 of the Annex.
In the aerobic row the dissolved oxygen concentration was always between 6.9 and
7.3 mg/l. As Kunming lies on a height of around 1,890 m above sea this equals
a saturation between 98.5 and 104.2%. When the process became stable from day
2 on, the redox potential ranged between 89 and 115 mV. Because of these facts,
we assume that the aerobic milieu was stable in the whole period. The temperature
ranged in small interval between 21.4 and 22.3 °C.
In the anoxic sampling row, the dissolved oxygen was under 0.7 mg/l at day 1
and dropped in most samples to 0.2 mg/l at day 2. In one sample, it dropped to
0.3 mg/l. In three samples, the dissolved oxygen dropped slower. Sample by sample
it dropped under 0.2 mg/l. The last sample did not reach this value before day 9. The
redox potential ranged from day 2 between −124 and −63. At the last day of our
experiment, we measured a redox potential of −423 in one sample, which we assume
as an outlier. In most cases, the anoxic milieu was stable aside from those samples
the dissolved oxygen dropped slower. Similarly, like in the aerobic sampling row,
the temperature ranged between 21.4 and 22.3 °C.
As we took the samples in two different months, we tested first if there were
significant differences between the two monthly datasets. If so, we report the results
separated by month. For the aerobic samples the difference between the two months
was significant (p < 0.05) for ammonium and nitrite, but not for nitrate (p > 0.05).
Ammonium sediment release was 82.7 (±35.6) mg/m2 d for the samples taken in
May and 13.6 (±11.9) mg/m2 d for the samples taken in July. For nitrite, it was 1.51
(±1.47) mg/m2 d for May and −1.46 (±1.71) mg/m2 d for July. For nitrate, the mean
value for all samples was 8.59 (±17.5) mg/m2 d.
For the anoxic sampling row, the difference for ammonium between the May and
July set was very significant (p < 0.01), for nitrite it was not significant (p > 0.05)
and for nitrate it was very significant again (p < 0.005). For ammonium, the sediment
release rate was 83.8 (±20.09) mg/m2 d for the May data and −3.7 (±14.5) mg/m2 d
for July. Nitrite was 10.0 (±15.8) mg/m2 d for the whole data set. Nitrate was 4.0
(±6.6) mg/m2 d for the May dataset and 82.3 (±20.2) mg/m2 d for the July dataset.
For ammonium and nitrite there was no significant difference in the sediment
release rate between the aerobic and the anoxic samples (p > 0.1). For nitrite it was
very significant (p < 0.005).
For nearly all three parameters in both milieus and in both months the sediment
release rate in the northeast of the Caohai, where the Daguan river flows into the
Lake (sample 1) was much higher than nearby the outflow (sample 8). An exception
is ammonium in the anoxic milieu in July.
Looking at the phosphorus parameters there were nearly no significant differences
between the results of May and July. The only exception was total phosphorus in
the anoxic milieu (p < 0.05). The sediment release of orthophosphate in the aerobic
milieu was 19.1 (±7.1), 16.72 (±19.2) mg/m2 d for the total dissolved phosphorus and
13.24 (±15.0) mg/m2 d for total phosphorus. In the anoxic milieu, orthophosphate
was 19.4 (±6.3) mg/m2 d and total dissolved phosphorus was 13.9 (±7.6) mg/m2 d.
Total phosphorus was 14.2 (±3.3) mg/m2 d in May and 8.8 (±2.2) mg/m2 d in July.
For all three parameters there was no statistical significant difference between
the aerobic and the anoxic milieu (p > 0.5). In the aerobic May dataset and both
anaerobic datasets, the sediment release rate was higher at the Daguan inflow in the
northeast of the Caohai than at the outflow.
Based on our results we have strong indications for the assumption that the sedi-
ment has a huge impact on the water quality of the Lake Caohai. As there were enor-
mous nutrient sediment releases measured in the anoxic, as well as in the aerobic,
samples, we strongly recommend to take an even stronger focus on the sediment in
future lake management. As it is not the expected behavior of the sediment to show
such high sediment release rates in the aerobic milieu, we also strongly encourage
other scientist to repeat and further test the sediment of Dianchi to gain a more
detailed picture and to scrutinize our results.
3.3 Study 2: Shallow Lake Modelling of Lake Caohai
As already mentioned, the water quality of Lake Caohai and its tributaries was proven
to be to be strongly eutrophicated. The heavy and complex burden of water pollution
do not make simple answers very likely. From other examples like Lake Constance
(Bloesch and Schroeder [1]), one can learn that the basis for a successful water
management lies in strong management efforts. They are consisting of thorough
and ongoing investigations to establish the best system understanding, consistent
management decisions and long-term commitment for decades.
Thus, in the frame of the Sino-German project SINOWATER Chinese and German
partners together discussed several conceivable management scenarios. To evaluate
the effects of the different management scenarios we decided to use a dynamic
simulation approach.
Numerical models are very useful management tools in lake management, as they
aggregate existing knowledge and hypotheses and thus allow the dynamic simu-
lation of different management scenarios. For the SINOWATER project, we used
the Stoichiometric Lake Model (StoLaM, Strauss [29] and Strauss et al. [30]),
which is designed to deal with deep as well as shallow lakes is the context of
sustainable lake management. As the basis for the dynamic lake modelling, StoLaM
includes the hydrodynamic sub-model HyLaM, which is able to calculate the hydro-
dynamic conditions with high temporal and spatial resolution even in shallow lakes.
StoLaM describes several nutrient cycles quantitatively taking into account the sedi-
ment–water interactions and the role of plankton and omnivorous fish in the food
web.
The Dianchi was several times modelled with different lake models (Vinçon-
Leite and Casenave [34]). However, especially for a system in which phosphorus
and nitrogen in combination determine the growth of algae, we consider the use of
models with phytoplankton modules as reasonable, which integrate dynamic nutrient
storage as well as stoichiometric principles. Although these processes have been
known and considered as relevant since a longer time, they are rarely integrated even
in complex ecosystem models (Jørgensen [17] and Strauss et al. [30]). We see the
use of StoLaM, which combines such features with a hydrodynamic 1D modelling
approach, as a relevant contribution to further improving management decisions for
Lake Dianchi.
The setting up of the StoLaM for Lake Caohai was a two-step approach:
In 2016, the model was parameterised with the available hydrological and climatic
basic information and starts with default estimations on the nutrient cycles, sediment
interactions and plankton 2016. Based on the first draft model we presented first
findings in the 2016 SINOWATER Dianchi Shallow Lake Symposium at Kunming.
At this time the values for the lake-internal sediment nitrogen and phosphorus release
rates were as unknown as the nutrient loss due to sedimentation of detritus-bound
nutrients from the inflows. Furthermore, a detailed picture of the composition of
those nutrients in the inflowing waters was not available and we could not estimate
the denitrification rate due to this lack of data.
Through the SINOWATER sampling campaign in 2017, a broader data set could be
used for the parameterization and validation of the entire model, which was adapted
to the specific simulation tasks in this project. This data included the new water
quality data from the Kunming Institute of Environmental Sciences as well as our
own monitoring data as described above, with which it was possible to calculate
management scenarios more properly.
Together with our Chinese project partners we have developed scenarios that are
based on previously discussed water management strategies in Kunming. Finally,
five main scenarios were selected for numerical modelling, with some of the main
scenarios being divided into sub-scenarios as described below:
1. Standard scenario,
modelling the status quo in a high temporal (at least hourly time steps) resolution
2. Sediment nutrient release Scenario,
is dealing with changes in the nutrient release of the sediment as they could
occur after sediment removal by dredging measures
3. Tributary Water Quality Scenario,
is dealing with changes in the nutrient inflow through the tributaries as they
could occur after improvements in the sewer system or upgrading waste water
treatment plant
4. Tributary Water Quantity Scenario,
is dealing with changes in the amount of water flowing into Lake Caohai through
the tributaries as they could occur for several natural or anthropogenic changes
in the catchment controlling the wash out of nutrients
5. Caohai Water Level Scenario,
is dealing with changes in the water level and thus the water volume in the lake
First of all, we want to introduce the conceptual structure and theoretical founda-
tions of the model StoLaM. Secondly, we show the data used and the results obtained.
Finally, we discuss the results and management scenarios.
3.3.1 Theoretical Foundation and Adaptions
The Stoichiometric Lake Model (StoLaM, Strauss [29] and Strauss et al. [30]) is
a general 1D hydrodynamic-ecological water quality model for standing waters. It
includes the hydrodynamic lake model HyLaM (Strauss [29], validated by Gross [8]),
which generates the underwater light regime, water temperature and turbulence in
the vertical water column using measured weather data as input (compare Fig. 3.4).
With this approach, it is possible to simulate a realistic physical environment for
the plankton organisms with a high temporal resolution. Based on these hydrody-
namic processes, the modelling concept takes into consideration the zooplankton
and phytoplankton succession, the quantitative cycles of several nutrients (P, N, Si),
the oxygen concentration, the sediment–water interaction and the role of omnivo-
rous fish in food web interactions. StoLaM integrates the principles of ecological
stoichiometry, which means the changing ratios of nutrients such as carbon, phos-
phorus, nitrogen and silicon within the food web and their impact on the growth
rates of plankton organisms with respect to nutrient limitation. Beneath the weather
conditions and the ingestion by herbivorous zooplankton, the phytoplankton growth
is based essentially on the amount of phosphorus, nitrogen and silicon, which are
potentially limiting nutrients. The external nutrient concentration and the variable
internal nutrient pool (cell quota) of the algae controlled the uptake rates of phos-
phorus and nitrogen from the water phase and storage by the algae. Thus, the growth
rate of the algae depends on the internal nutrient cell quota. In this approach, the
carrying capacity of the algae depends on the amount of the most limiting nutrient
stored in the algal biomass (for further particulars of the complete model, see Strauss
[29] and Strauss et al. [30]).
Fig. 3.4 Schematic overview of the most important processes of the full version of StoLaM
Due to the modular character of the model, the complexity of the modules used
can be easily adapted to the problem definition and data availability. In this study, a
simplified version of the interactions and food web structure in StoLaM was used.
The following assumptions reduced the complexity of the standard model:
In the Caohai, the blue-green algae (cyanobacteria) Microcystis aeruginosa is the
predominant species, which also caused the main water quality problems.
Since data on the exact composition and interaction of other organisms were
lacking, the implemented complex food web of StoLaM was massively reduced in this
model application. For the phytoplankton community, we only considered the popula-
tion dynamics of Microcystis aeruginosa, and no other organism such as zooplankton
or fish has been modelled. The dynamics of the cyanobacteria Microcystis can also
be described without further food web interactions such as zooplankton grazing.
This procedure is also justified by the fact that larger colonies of the cyanobacterium
Microcystis are not edible for zooplankton due to their size, and in some cases also
due to excreted toxins (e.g. microcystin). Thus, the chemical-physical environmental
conditions and the residence time of the water body are particularly most relevant for
modelling the Microcystis dominance in Lake Caohai. The silicon dynamics, which
are only relevant for diatoms, was also switched off. The physico-chemical processes
in the model were otherwise left unchanged. For a better comparison with measured
field data, the biomass of Microcystis was converted and displayed as chlorophyll-a
concentration.
3.3.2 Data input and model parameterisation
In general, we simulated the eastern free flowing part of the Caohai. We included the
rivers Wulong, Daguan, Xiba and Chuanfang as inflows.
A simple, box-shaped lake morphometry with 5 vertical layers of 50 cm height
each and a uniform surface of 6,790,000 m2 was used for this model application. For
the simulation of the water temperature with the HyLaM model we used meteoro-
logical data of the year 2016 provided by the Kunming centre weather station (air
temperature [z C], wind speed [m s−1 ], atmospheric pressure [hPa], and air humidity
[%], time resolution of the measurements: 3 h). The global radiation [J cm−2 s−1 ]
was calculated on an hourly basis using the formulas of Ryan & Stolzenbach [28],
taking into account a typical monthly averaged cloud cover (see Table 3.6). The water
attenuation coefficient was set to 0.3 m−1 .
To calculate mass flow rates from the concentrations we used river discharges
provided by our Chinese partners from the Kunming Institute of Environmental
Sciences (compare Fig. 3.5). The specific dynamics of these rivers are reported in a
recent paper of these partners (He et al. [12]). An essential input for the StoLaM model
is the nutrient data. As it was needed at least as monthly values we took results from
the monthly measurements of the Kunming Institute of Environmental Sciences. The
proportion of detritus-bound phosphorus (65% of the total phosphorus) and nitrogen
(76% of the total nitrogen) was calculated by subtracting the total fractions and the
Table 3.6 Long-term values

Month of the year Mean cloud cover [%]
of mean monthly cloud cover
between 2002 and 2015 from 1, 2 30
the NASA data archive for the 3, 4, 12 45
Dian Lake Basin region.
5 60
6, 7, 10, 11 75
8, 9 85
Fig. 3.5 Discharge hydrographs in 2016 used for the simulation provided from the Kunming
Institute for Environmental Sciences
dissolved inorganic fractions (compare Table 3.7). The knowledge of the detritus-
bound fraction of the inflowing nutrients is extremely important for the simulation
results, because a relatively fast sedimentation can be assumed for detritus, whereas
the dissolved fractions are available to the algae as nutrients in the water column.
The daily remineralisation rate of detritus-bound nutrients in the lake at 20 °C was
calibrated within this project and was set to 20% for carbon, 25% for nitrogen and
20% for phosphorus (temperature coefficient of 1.13, Strauss et al. [30]. The standard
detritus-settling rate was assumed as 1 m day−1 . In our modelling approach, there was
no additional nutrient release assumed by remineralisation of resuspended sediment
in the water column.
For the sediment nutrient release rates, we used our measurements in 2017. As
described above, experimental data on sediment release was inhomogeneous. Thus,
we took the arithmetic mean values to get robust parameters for the sediment release:
For nitrogen the sediment release was 83 mg NH4 -N m−2 d−1 and for phosphorus it
was 19 mg PO4 -P m−2 d−1 . We used these measurements as baseline values at 20 °C
in the model, and simulated the temperature-dependent release with an implemented
temperature dependency (temperature coefficient of 2.42, Strauss et al. [30]). In
the release experiments, we did not found significant differences between aerobic
Table 3.7 Mean nutrient concentrations of the combined external Inflows per year and month
(measured in 2017).
mg PO4 /L mg Detr-P/L mg NO3 /L mg NH4 /L mg Detr-N/L
Annual mean 0.066 0.212 1.65 0.76 4.53
January 0.063 0.197 1.52 0.80 4.41
February 0.065 0.196 1.51 0.80 4.38
March 0.064 0.201 1.56 0.79 4.47
April 0.067 0.203 1.58 0.82 4.50
May 0.069 0.224 1.76 0.79 4.78
June 0.067 0.249 1.96 0.62 4.81
July 0.061 0.235 1.79 0.48 4.21
August 0.069 0.216 1.68 0.76 4.53
September 0.069 0.209 1.63 0.81 4.56
October 0.065 0.205 1.60 0.80 4.55
November 0.065 0.206 1.61 0.79 4.55
December 0.067 0.205 1.59 0.82 4.55
and anaerobic conditions. Hence, we used the same release rates for all oxygen
concentrations in the model.
The use of measured sediment nutrient release rates in the model, however, is a
necessary parameterisation of lake-specific processes. It is important to mention, that
the StoLaM model (vers. 3.02.03) was used in this project without any calibration
of parameters with one exception: Only the remineralisation rates of detritus-bound
nutrients were adjusted to optimize the fit between measured and simulated nutrient
concentrations in Lake Caohai. This data gap could be closed by future experiments.
We modelled the non-N2 -fixing cyanobacterial species Microcystis aeruginosa
with a maximum growth rate of 1.5 day−1 and a mortality rate of 0.1 day−1 . A
vertical buoyancy of 1.38 m day−1 is used, which leads to an accumulation in the
upper water layers at low turbulence of the water body. An overview of all algal
parameters used is given in Annex 2.
3.3.3 Model simulation scenarios
As described in the introduction we investigated five main scenarios. The first

scenario was the standard run of the simulation with no changes of the parame-
ters described above. We divided the second scenario into one sub-scenario without
nutrient release of the sediment (2a) and another sub-scenario with a sediment release
of only 75% of the standard to simulate a dredging of 25% of the lakes surface
(2b). The third scenario again we divided into two sub-scenarios: One was without
external inflow of nutrients (3a), and as the second sub-scenario, we set the nutrient
to only 50% of the standard value (3b), both at unchanged water quantities. These
scenarios should show the effects of an increased wastewater treatment and decen-
tralized actions in the catchment system. The fourth main scenario we separated into
three sub-scenarios. First, we used an annual mean water flow instead of a hydro-
graph to smooth the variation in discharge (4a). Second, we doubled the inflow from
the rivers at constant nutrient concentrations, simulating an increasing number of
inhabitants and impervious areas (4b). Finally, we halved the inflow to test the influ-
ence of possible sponge city actions, which are discussed in China a lot (4c). The
fifth main scenario we separated into two sub-scenarios. We changed the standard
water depth from 2.5 to 1.5 m (5a) and to 3.5 m (5b). These options were discussed
in Kunming at the time of our project and thus considered.
An important input for the HyLaM module is the theoretical hydrological renewal
time of the lake water. It describes the number of days necessary to flush the total
volume of the lake water body once. The renewal time was calculated for each
scenario in dependence of the inflowing water and the lake volume (compare Table
3.8).
Table 3.8 Water inflow, lake volume and water renewal time
No. Description of Sub-scenario Water inflow Lake volume Theoretical
scenario [l/s] [Mio. m3 ] water renewal
time [days]
1 Standard Satatus Quo 7,300 16.975 26.9
nutrient inflow
concentration,
nutrient release
and unsteady
inflow; 2.5 m
water depth
2a Sediment No release 7,300 16.975 26.9
2b nutrient release 75% release (= 7,300 16.975 26.9
25% lake area
dredged)
3a Tributary water 0% nutrient 7,300 16.975 26.9
quality inflow
3b 50% nutrient 7,300 16.975 26.9
inflow
4a Tributary water Continuous 7,300 16.975 26.9
quantity average
4b 200% inflow 14,600 16.975 13.5
4c 50% inflow 3,850 16.975 51.0
5a Caohai water 1.5 m 7,300 10.815 17.1
5b level 3.5 m 7,300 23.765 37.7
Table 3.9 Simulated phosphorus flows and balance (yearly average) in mg P m−2 d−1
No Description Sub-scenario Inflow Sediment Sedimentation Outflow Balance
of scenario release
1 Standard 25.3 14.6 23.1 16.4 0.4
2a Sediment No release 25.3 – 16.6 8.5 0.2
2b nutrient 75% release 25.3 10.9 21.6 14.3 0.3
Release (= 25% lake
area dredged)
3a Tributary 0% nutrient 15.5 7.3 8.4 −0.2
water inflow
3b quality 50% nutrient 12.9 14.8 15.6 11.9 0.2
inflow
4a Tributary Continuous 25.8 14.3 23.0 16.8 0.3
water average
4b quantity 200% inflow 51.6 12.3 31.8 31.6 0.5
4c 50% inflow 13.6 15.4 18.5 10.2 0.3
5a Caohai 1.5 m 25.3 15.0 23.3 16.8 0.2
5b water level 3.5 m 25.3 14.1 21.4 17.2 0.8
3.3.4 Caohai Shallow Lake Model Results
The simulation of the water temperature by the standard StoLaM run was compared to
the temperature measurement from the Kunming Institute of Environmental Sciences
(see Fig. 3.6). At the Caohai, there were two temperature-monitoring stations. One
station was situated in the middle of the lake, the other one called Duanqiao. The good
Fig. 3.6 Simulation of the water temperature in 2016 (lines: simulation result. Black dots: Caohai
Centre monitoring station; red dots: Duanqiao monitoring station)
agreement between simulation and measurements is an indication that the hydrolog-

ical and hydrodynamic conditions for the Lake Caohai can be well reproduced with
the model.
Standard Scenario
The comparison of the results from the simulation with the measured values from
the Kunming Environmental Science Institute showed that the standard simulation
run fits the field data well while taking the measured nutrient sediment release data
into consideration (scenario 1, compare Table 3.9). In this scenario, the dynamics
of the cyanobacteria Microcystis can also be described without further food web
interactions.
Sediment Nutrient Release Scenario

The hypothetical scenario without sediment release shows a massive reduction of the
algal bloom and the phosphorus concentration in summer compared to the standard
run (scenario 2a). This illustrates the high relevance of the internal lake phosphorus
release during summer in this eutrophic shallow lake. As expected, a reduction of
the sediment area by 25% causes only a smaller improvement of the water quality
for all parameters (scenario 2b).
Tributary Water Quality Scenario

Reducing the nutrient content of the inflow by 100% (scenario 3a) clearly reduces
the total concentration of algae and phosphorus in the lake, but will not change their
overall dynamics in the short term due to the very high internal P-loading by the
sediments. Only a clear decrease in nitrogen concentrations is observable. The same
is true for the scenario 3b with only 50% of the nutrient loading, but the effect is
much smaller than in scenario 3a.
Tributary Water Quantity Scenario

The use of annual mean values for the discharge of the tributaries (scenario 4a)
reduces the algal and phosphorus peaks in summer, as the measured reduced inflow in
summer was artificially compensated in the model, but does not have a fundamentally
positive effect on nutrient concentrations. Nevertheless, this shows the clear influence
of the inflow fluctuations of the Daguan River on the water quality of the entire
lake. Doubling the water inflow rate significantly reduces the algae and phosphorus
content during summer in the lake due to leaching despite the unchanged high nutrient
concentrations in the inflow (scenario 4b). Halving, on the other hand, does not make
much of a difference, as the positive effect of less nutrients is compensated by less
washout of algae and phosphorus (Scenario 4c).
Caohai Water Level Scenario

Lowering the water depth by 1 m increases the algal bloom considerably due to the
lower water volume (scenario 5a), especially since the nutrients released from the
sediment concentrate more quickly in the water column. In comparison, increasing
the water depth by 1 m causes only a relatively small change in nutrient concentration,
Fig. 3.7 Results of the scenario simulation with StoLaM (lines: simulation results. dots: Caohai
Centre monitoring station; triangles: Duanqiao monitoring station)
but reduced the cyanobacterial biomass significantly since a deeper vertical mixing
into the water column causes a poorer light supply to the algae (scenario 5b) (Fig. 3.7).
In addition to the nutrient concentrations over the year, mass balances also provide
important information on enrichment or depletion in the water body.
In the case of the phosphorus budget, it can be seen that the scenarios only slightly
differ in the whole-year balance and usually reach the low spring phosphorus level
again in the subsequent winter, even if there is sometimes a slight increase in the
water column (see balance column in Table 3.5). For the scenario with doubled
inflow (4b), the higher nutrient inflow from the tributaries results in slightly higher
water column enrichment than in the standard run (scenario 1). Furthermore, the
enrichment is higher in the scenario with a water depth of 3.5 m (5b) due to a overall
slightly reduced phosphorus sedimentation. Only in the scenario without nutrient
input from the rivers (3a) phosphorus depletion in the water column can be found
compared to the starting conditions of the simulated year.
Looking at the difference between nutrient release from the sediment and sedi-
mentation rates (Table 3.5), the hypothetical scenario 3a shows a depletion of the
phosphorus content in the sediment, as less particulate phosphorus enter the lake by
the inflows. In most other scenarios, however, sedimentation exceeds the sediment
release and leads to a long-term accumulation of phosphorus in the sediment.
For nitrogen, the picture is slightly different (Table 3.10). Here the nitrogen whole-
year balance for the water column of the status quo scenario 1 shows already a
Table 3.10 Simulated nitrogen flows and balance (yearly average) in mg N m−2 d−1
No Description of scenario Sub-scenario Inflow Sediment release Sedimentation Outflow Denitrification Balance
1 Standard 638.7 63.8 385.7 321.6 4.1 −8.9
2a Sediment nutrient release No release 638.7 – 337.7 301.7 8.3 −9
3 Dianchi Shallow Lake Management
2b 75% release 638.7 48.4 378.0 313.7 4.2 −8.8

(= 25% lake area dredged)
3a Tributary water quality 0% nutrient inflow – 67.7 37.3 57.8 0.6 −28
3b 50% nutrient inflow 320.6 64.7 217.3 185.9 1.8 −19.7
4a Tributary water quantity Continuous average 645.0 62.5 391.2 321.9 2.9 −8.5
4b 200% inflow 1290.0 53.9 599.7 735.9 9.6 −1.3
4c 50% inflow 338.7 67.4 261.1 157.7 1.9 −14.6
5a Caohai water level 1.5 m 638.7 65.6 398.2 306.4 5.1 −5.4
5b 3.5 m 638.7 61.5 359.8 344.7 4.9 −9.2
93
washout of 8.9 mg m−2 d−1 , which is in the same order of magnitude as the other
scenarios.
Denitrification of dissolved inorganic nitrogen plays only a minor role in the
nitrogen balance of the lake.
The low level of denitrification in the water body is a result of the assumption,
based on the available measurements, that a large part of the inflowing nitrogen is
present in particulate form as detritus bound and sinks relatively quickly onto the
sediment.
Overall, the available simulations permit the conclusion that nitrogen also accu-
mulates massively in the sediment, which should be verified by further measurements.
3.4 Summary and Recommendations for the Dianchi

Shallow Lake Management
3.4.1 Shallow Lake Management – A Very Special Task
Shallow lake management is even more challenging than the management of deep-
water lakes. Shallow lakes are more vulnerable than deeper waters due to a higher
ratio between sediment area and water volume as well as lower retention capacity
for nutrients, and because interactions between pollution, physical and ecological
components are linked with a high dynamic. Because of the sensitivity of shallow
lakes, shallow lake management must follow a very consistent and strict management
strategy.
With the 2018 Revision of World Urbanization Prospects the UN (UN, 2019)
points out “Sustainable urbanization is key to successful development. Understanding
the key trends in urbanization likely to unfold over the coming years is crucial to
the implementation of the 2030 Agenda for Sustainable Development, including
efforts to forge a new framework of urban development.” The poor status of Dianchi
points to an overwhelmingly obvious example of cause and effect in that context.
Unsustainable growth of Kunming caused a level of pollution for the lake, which
exceeded the carrying capacity of that very vulnerable water resource.
The remediation of Dianchi will take a full and lasting commitment in a water
and resources management based on a system understanding of cause and effect
for the benefit of Kunming. Thus, “the future growth of cities and concomitant
appropriation of land and natural resources will determine success towards an envi-
ronmentally sustainable future. In some cities, unplanned or inadequately managed
urban expansion leads to rapid sprawl, pollution, and environmental degradation.”
(UN, 2019).
Today’s pressures on Dianchi are much more complex and severe compared
to those of ancient China. Modern pressures need integral solutions. Thus, the
Dianchi Management Authorities have agreed on six main measures consisting of
(1) waste water treatment & circular sewer, (2) lakeside remediation, (3) river reme-
diation, (4) sediment management, (5) conservation of water resources, and (6) water
transfer/efficiency. During our SINOWATER studies and together with our partners
from Kunming and experts from other parts of China we discussed the relevance of
evaluation as an instrument for water management. An economic benefit approach for
example indicated that only subtle further investment and easy technical modifica-
tions could produce relevant additional purification effects for the lakeside wetlands
(Wermter [41]).
3.4.2 Necessity for Highest Data Quality
The intention of the survey of the water quality of the northern part of the lake called
Caohai was to produce the basis for the system understanding of the shallow lake
of Caohai. Above we described our two step approach. First we collected available
environmental, hydrological and pollution data from Kunming authorities and other
sources. It was possible to parameterise a lake model based on the preliminary data
set. It supported first estimations of management scenarios. But the first and quick
answers came with a relative vagueness. Relevant monitoring data was still missing
like P release from lake-internal sediment. One of the less astounding but nevertheless
crucial findings of this very practical approaches was the acknowledgement of the
necessity for a sufficiently high data quality, both quantitatively and qualitatively.
Because data uncertainty causes model uncertainty and model uncertainty causes
planning and management uncertainties, we recommended and conducted a thor-
ough sediment and river pollution monitoring campaign in 2017. Examination of the
sediment phosphorus release and additional measurements of N and P was crucial
for the improvement of the shallow lake model of Caohai. In May 2018 we presented
and discussed the results of StoLaM shallow lake model of Caohai and the out-comes
of a set of management scenarios.
In general, the Stoichiometric Lake Model StoLaM is applicable for the modelling
of Lake Caohai and provides evaluable results for the selected scenarios. The model
results clearly show that with the measured nutrient sediment release rates, the
seasonal dynamics of the water quality parameters in the water column, measured by
the Kunming Institute for Environmental Sciences, can be well simulated. Neverthe-
less, some measurements are still subject to increased uncertainty. The knowledge
of the particle-bound nutrient content in the tributaries and its sedimentation and
remineralisation rates are crucial for a quantitatively correct analysis and modelling
of the water quality in Lake Caohai, and should be further investigated. Also, the very
high nutrient release rates of the sediments under both, oxic and anoxic conditions,
should be confirmed by further measurements. Besides, more measurements of the
water inflows are necessary in future to have a broader data basis, especially in the
River Daguan.
There are also factors, which were still unknown. Meanwhile, we have an esti-
mation of the nutrient release from the sediment, but there is a lack on data or esti-
mations of the nutrient release by resuspended detritus particles due to lake internal
processes such as wind-induced turbulence. These resuspension events might have
also a significant potential for nutrient release into the water column.
3.4.3 Recommendations of Most Promising Management

Scenario for the Lake Management
Based on the simulation results in this project we can derive clear recommendations
for the lake management of Lake Caohai. We already saw that decentralised sponge
city measures in the catchment area could improve the nutrient concentration in the
lake and thus the potential for washout. Especially scenarios with an increased water
quantity and a reduced nutrient loading in the lake inflow would have a huge impact.
However, dropping the discharge to an amount as shown in the simulated scenarios
would not be possible by sponge city measures in the next years only.
Summing up, we recommend to improve the trophic situation of the rivers flowing
into Lake Caohai to prevent huge lake nutrient intake and to improve the washing out
capacity. A significant reduction in the nutrient load of the tributaries can improve the
lake water quality immensely. However, dissolved and particulate nutrient fractions
should be evaluated separately. In general, an increase of inflowing water quantities
favours an improvement of the water quality in the lake through wash-out processes,
especially during the summer months.
Changes in the filling level of this shallow lake can have significant positive and
negative effects on the water quality by changing the water retention time and the
sediment area/water volume ratio. In any case, a significant increase in the mean
water depth of the lake would have a clearly positive effect on the reduction of algal
blooms.
We also recommend a significant reduction of the nutrient release rate in the lake,
which would also greatly reduce the nutrient concentration in the summer months.
According to our data, this can only be achieved by dredging, as there are massive
nutrient releases even under aerobic conditions.
The measures discussed here (deepening of the lake, increased inflow, reduced
nutrient load, reduced sediment release) can be combined without any conflict of
optimisation for the lake water quality. The efficiency of different combinations can
also be assessed with the modelling approach presented here.
We also recommend to apply the StoLaM model or a comparable model to the
Dongfengba part of Lake Caohai, as the monitoring results show that the water quality
in this part and its tributaries is much worse than in the eastern part of the Caohai.
Annex
Annex 3.1: Full Compares Between Aerobic and Anoxic

Milieu
Annex 3.2: Relevant Parameters and Variables of StoLaM

Used in the Lake Caohai Simulation Study
For further details on model structure, equations and parameters see Strauss [29].
Parameter Value Unit

Sedimentation rate of detritus 1 m · day−1
Temperature coefficient of sediment nutrient release 2.4227 –
Sediment phosphate release rate (20 °C) 19* mg PO4 -P · m−2 · day−1
Sediment ammonium release rate (20 °C) 83* mg NH4 -P · m−2 · day−1
Denitrification coefficient (20 °C) 10** L · m−2 · day−1
Temperature coefficient of denitrification 1.02 –
Nitrification rate from ammonium to nitrate (20 °C) 0.124 day−1
Temperature coefficient of nitrification 1.065 –
Degradation rate of detritus (at 20 °C) 0.2** day−1
Remineralisation rate of detrital phosphorus (at 20 °C) 0.2** day−1
Remineralisation rate of detrital nitrogen (at 20 °C) 0.25** day−1
Remineralisation rate of DOP (at 20 °C) 0.02 day−1
Remineralisation rate of DON (at 20 °C) 0.02 day−1
Temperature coefficient of remineralization 1.13 –
Light attenuation coefficient for water and DOM 0.3 m−1
Light attenuation coefficient for detritus 0.016 L · m−1 · mg ww−1
Light attenuation coefficient for blue-green algae 0.012 L · m−1 · µg Chl-a−1
Chlorophyll-a content of blue-green algae 5.13 µg Chla · mg ww Phyto−1
Maximum potential growth rate of Microcystis 1.5 day−1
Maximum natural mortality of Microcystis 0.1 day−1
Respiration rate (at Topt ) of Microcystis 0.16 day−1
Sedimentation rate of Microcystis (buoyancy) −1.38 m · day−1
Temperature coefficient of respiration 1.13 –
Constant of light limitation (PhAR; Jassby & Platt, !976) 25 J · m−2 · s−1
of Microcystis
Temperature maximum Microcystis 35 °C
Temperature minimum Microcystis 0 °C
Temperature optimum Microcystis 30 °C
Maximum phosphorus cell quota of Microcystis 0.004 mg P · mg ww
Minimum phosphorus cell quota of Microcystis 0.0015 mg P · mg ww
Maximum nitrogen cell quota of Microcystis 0.06 mg N · mg ww
Minimum nitrogen cell quota of Microcystis 0.011 mg N · mg ww
Half saturation constant for phosphorus uptake of 0.0006 mg P · L−1
Microcystis
(continued)
(continued)
Parameter Value Unit
Half saturation constant for nitrogen uptake of 0.03 mg N · L−1
Microcystis
Maximum phosphorus uptake rate of Microcystis 0.12 mg P · mg ww−1 · day−1
Maximum nitrogen uptake rate of Microcystis 0.1 mg N · mg ww−1 · day−1
*: Parameter measured in this study. **: Parameter calibrated in this study.
References
1. Bloesch J, Schroeder HG (2008) Integrated transboundary management of lake constance

driven by the international commission for the protection of lake constance (IGKB). In: Nato
science series. Integrated water management - practical experiences and case studies. Springer,
Netherlands
2. Cao X, Song C, Xiao J, Zhou Y (2018) The optimal width and mechanism of riparian buffers
for storm water nutrient removal in the Chinese eutrophic lake Chaohu watershed. Water
10(10):1489
3. Chen K, Disse M (2021) Development of innovative 3D water governance models for Kunming
City and Bavaria. In: Chinese water systems, vol 4. Springer, Heidelberg
4. de Groot R, Brander L, van der Ploeg S, Costanza R, Bernard F, Braat L, Christie M, Crossman
N, Ghermandi A, Hein L, Hussain S (2012) Global estimates of the value of ecosystems and
their services in monetary units. Ecosyst Serv 1(1):50–61. https://doi.org/10.1016/j.ecoser.
2012.07.005
5. Ding H, Zhang Q, Sun R, Su L 丁煌英张庆孙鲁夫苏兰英 (2012) Assessment of water
quality in dry season of Daguan River in Kunming by using plankton community structure
characteristics . J Southwest For Univ
32(6):83–87. https://doi.org/10.3969/jissn2095-1914201206017
6. Diovisalvi N, Bohn VY, Piccolo MC, Perillo GME, Baigún C, Zagarese HE (2014) Shallow
lakes from the Central Plains of Argentina: an overview and worldwide comparative analysis
of their basic limnological features. Hydrobiologia 752(1):5–20. https://doi.org/10.1007/s10
750-014-1946-x
7. Grambow M (2008) Wasser management Integriertes Wasser-Ressource nmanagement von der
Theorie zur Umsetzung. Vieweg Heidelberg
8. Gross G (2017) Some effects of water bodies on the n environment–numerical experiments. J
Heat Island Inst Intern 12(2):1–11
9. Han M, Gong Y, Zhou C, Zhang J, Wang Z, Ning K (2016) Comparison and interpretation of
taxonomical structure of bacterial communities in two types of lakes on Yun-Gui plateau of
China. Sci Rep 6:30616.https://doi.org/10.1038/srep30616
10. Hargeby A, Blindow I, Hansson L-A (2004) Shifts between clear and turbid states in a
shallow lake: multi-causal stress from climate, nutrients and biotic interactions. Arch Hydrobiol
161(4):433–454. https://doi.org/10.1127/0003-9136/2004/0161-0433
11. He J (2018) Water quality target management and pollution load control in Dianchi Lake basin.
Presented at the 2nd Sino-German symposium on integrated lake basin management, Dianchi,
Kunming, 7–8 May 2018
12. He J, Wu X, Zhang Y, Zheng B, Meng D, Zhou H, Lu L, Deng W, Shao Z, Qin Y (2020)
Management of water quality targets based on river-lake water quality response relationships
for lake basins – a case study of Dianchi Lake. Environ Res 186(2020):1–16. https://doi.org/
10.1016/j.envres.2020.109479
13. Huang J, Zhang Y, Huang Qi, Gao J (2018) When and where to reduce nutrient for controlling
harmful algal blooms in large eutrophic lake Chaohu, China? Ecol Indic 89:808–817. https://
doi.org/10.1016/j.ecolind.2018.01.056
14. Huang K, Jin Z, Li J, Yang F, Zhou B (2014) Technologies and engineering practices of
water pollution control for a typical urban river in Dianchi watershed. Fresenius Environ Bull
23:3469–3475
15. Huang K 黄可, Zhang X 张先智, Zhang H 张恒明, Jin Z 金竹静, Li J 李金花,
Kong D , Zhou B 周保学, Yang F 杨逢乐, Chai J 柴金岭 (2015) Effect
of a restoration project on zooplankton and benthic animals in Xinyunliang River
. Environ Sci Technol 38(10):11–15
16. Jin XC, Wang L, He LP (2006) Lake Dianchi: experience and lessons learned brief. In: Interna-
tional lake environment committee (edn): lake basin management initiative: final main report,
Paris
17. Jørgensen SE (2010) A review of recent developments in lake modelling. Ecol Model 221:689–
692. https://doi.org/10.1016/j.ecolmodel.2009.10.022
18. Kunming Statistics Bureau 昆明市统计局 (2018) Statistical communique of national economic
and social development of Kunming in 2017 2017 年昆明市国民经济和社会发展统计公报.
http://wwwkmgovcn/c/2018-05-10/2571823s.html. Accessed 7 May 2019
19. Lei X, Hua L, Xinqiang L, Yuxin Y, Li Z, Xinyi C (2012) Water quality parameters response
to temperature change in small shallow lakes. Phys Chem Earth Parts A/B/C 47–48:128–134.
https://doi.org/10.1016/jpce201011005
20. Li Z, Xie P, Du P (2016) Simulation of pollution control in Laoyunliang river Kunming. Acta
Sci Circumst 37:1657–1667
21. Küppers S, Yin D, Zheng B, Tiehm A (2019) Fostering water treatment in eutrophic areas:
innovative water quality monitoring and technologies mitigating taste & odor problems demon-
strated at Tai Hu. In: Köster S, Reese M, Zuo J (eds.) Urban water management for future cities
future city, vol 12, Springer, Cham
22. Ma X 马勋静, Hu K 胡开林, Yan X 严雪梅, Yu M 余美, Feng C (2010) Summary of
wastewater treatment in Wujiadui constructed wetland .
China Water Wastewater 26(14):96–98
23. Moore PA, Reddy KR, Fisher MM (1998) Phosphorus flux between sediment and overlying
water in lake Okeechobee, Florida: spatial and temporal variations. J Environ Qual 27(6):1428–
1439. https://doi.org/10.2134/jeq1998.00472425002700060020x
24. Nie J聂菊芬 (2015) Water quality monitoring in the lower reaches of Xinyunliang river
. Environ Sci Surv 1:12–14. https://doi.org/10.3969/jissn1673-965520
1501004
25. Nixdorf E, Zhou C (2019) Background information about Poyang Lake basin. In: Yue T et al
(eds) Chinese water systems terrestrial environmental sciences. Springer, Cham
26. Qin B, Yang G, Ma J, Wu T, Li W, Liu L, Deng J, Zhou J (2018) Spatiotemporal changes of
cyanobacterial bloom in large shallow eutrophic lake Taihu, China. Fronti Microbiol 9:451.
https://doi.org/10.3389/fmicb201800451
27. Qinghui Z, Xuhui D, Yuwei C, Xiangdong Y, Min X Davidson T, Jeppesen E (2018) Hydro-
logical alterations as the major driver on environmental change in a floodplain Lake Poyang
(China): evidence from monitoring and sediment records. J Great Lakes Res 44(3):377–387.
https://doi.org/10.1016/jjglr201802003
28. Ryan PJ, Stolzenbach KD (1972) Engineering aspects of heat disposal from power genera-
tion. In: Harleman DRF (ed) M Parson laboratory for water resources and hydrodynamics.
Department of civil engineering, Massachusetts Institute of Technology, Cambridge, MA
29. Strauss T (2009) Dynamische Simulation der Planktonentwicklung und interner Stoffflüsse in
einem eutrophen Flachsee [Simulation of plankton dynamics and internal nutrient fluxes in a
eutrophic shallow lake]. Ph.D. Thesis RWTH Aachen University Shaker, Aachen. https://doi.
org/10.18154/RWTH-CONV-113654
30. Strauss T, Gabsi F, Hammers-Wirtz M, Thorbek P, Preuss TG (2017) The power of hybrid
modelling: an example from aquatic ecosystems. Ecol Model 364:77–88. https://doi.org/10.
1016/j.ecolmodel.2017.09.019
31. Su L, Lu J, Christensen P (2010) Comparative study of water resource management policies

between China and Denmark. Procedia Environ Sci 2:1775–1798
32. United Nations, Department of Economic and Social Affairs, Population Division (2019) World
Urbanization Prospects: The 2018 Revision (ST/ESA/SERA/420). United Nations, New York
33. Vadeboncoeur Y, Jeppsen E, Zanden MJV, Schierup H, Christoffersen K, Lodge DM (2003)
From Greenald to green lakes: cultural eutrophication and the loss of benthic pathways in lakes.
Limnol Oceanogr 48:1408–1418. https://doi.org/10.4319/lo20034841408
34. Vinçon-Leite B, Casenave C (2019) Modelling eutrophication in lake ecosystems: a review.
Sci Total Environ 651:2985–3001. https://doi.org/10.1016/j.scitotenv.2018.09.320
35. Wang Y, Wermter R (2021) The planning, management and decision support systems of
Kunming’s urban drainage system. In: Chinese water systems, vol 4. Springer, Heidelberg
36. Wang H 王华光, Liu B , Li X 李小平, Liu J 刘剑彤, Ao H 敖鸿毅, Li Q (2012)
Seasonal variation of water quality of Xinyunliang river in Dianchi lake and the effect of ecolog-
ical restoration in the riparian zone .J
Lake Sci 24(3):334–340. https://doi.org/10.18307/20120302
37. Wang Y, Weiping Hu, Peng Z, Zeng Ye, Rinke K (2018) Predicting lake eutrophication
responses to multiple scenarios of lake restoration: a three-dimensional modeling approach.
Water 10(8):994. https://doi.org/10.3390/w10080994
38. Wang Z, Kai H, Peijiang Z, Huaicheng G (2010) A hybrid neural network model for cyanobac-
teria bloom in Dianchi Lake. Procedia Environ Sci 2:67–75. https://doi.org/10.1016/jproenv20
1010010
39. Wang Z, Zhang Z, Zhang Y, Zhang J, Yan S, Guo J (2013) Nitrogen removal from Lake Caohai,
a typical ultra-eutrophic lake in China with large scale confined growth of Eichhornia crassipes.
Chemosphere 92(2):177–183. https://doi.org/10.1016/j.chemosphere.2013.03.014
40. Yali Wu, Bo Y, Zhou F, Tang Q, Guimberteau M, Ciais P, Yang T, Peng S, Piao S, Zheng J,
Dong Y, Dai C (2018) Quantifying the unauthorized lake water withdrawals and their impacts
on the water budget of eutrophic lake Dianchi, China. J Hydrol 565:39–48. https://doi.org/10.
1016/j.jhydrol.2018.08.017
41. Wermter P (2018) Evaluation of measures using the example of constructed wetlands at
the Dianchi Shore. Presented at the 2nd sino-german symposium on integrated lake basin
management Dianchi, Kunming, 7–8 May 2018
42. Xie F, Li L, Song K, Li G, Wu F, Giesy JP (2019) Characterization of phosphorus forms in
a Eutrophic Lake China. Sci Total Environ 659:437–1447.https://doi.org/10.1016/j.scitotenv.
2018.12.466
43. Yan K, Yuan Z, Goldberg S, Gaoe W, Ostermann A, Xu J, Zhang F, Elser J (2019) Phosphorus
mitigation remains critical in water protection: a review and meta-analysis from one of China’s
most eutrophicated lakes. Sci Total Environ 689:1336–1347. https://doi.org/10.1016/j.scitot
env.2019.06.302
44. Yang F 杨逢乐, Jin Z 金竹静 (2008) Present situation of water environment
pollution of rivers in the North Bank of Dianchi lake and countermeasures
. Environ Sci Guide 环境科学导刊 27(6):43–
46. https://doi.org/10.13623/jcnkihkdk200806012
45. Yang J 杨锦凤 (2018) Analysis of regulation effects at Wulong river .
Environ Sci Surv 37(3):25–29
46. Li Y, Wei J, Gao X, Chen D, Weng S, Wei Du, Wang W, Wang J, Tang C, Zhang S (2018)
Turbulent bursting and sediment resuspension in hyper-eutrophic Lake Taihu, China. J Hydrol
565:581–588. https://doi.org/10.1016/j.jhydrol.2018.08.067
47. Yua Y, Guana J, Maa Y, Yub S, Guoc H, Baoa L (2011) Aquatic environmental quality variation
in Lake Dianchi watershed. Procedia Environ Sci 2:76–81
48. Zhan J 展巨宏, Li H 李辉, Li Q 李强, Zhao S 赵世民, Yang Y杨彦臻, Pan X (2014)
Effect of comprehensive river sewage closure treatment project on water quality in Chuanfang
river Kunming . Environ Chem 33(1):148–
153. https://doi.org/10.7524/jissn0254-6108201401002
49. Zhiyi L, Pencheng X, Pengfei D (2017) Simulation of pollution control in Laoyunliang river
Kunming. Acta Sci Circum 37(5):1657–1667. https://doi.org/10.13671/jhjkxxb20160403
50. Zhang L, Liu J, Zhang D, Luo L, Liao Q, Yuan L, Wu N (2018) Seasonal and spatial variations
of microcystins in Poyang Lake the largest freshwater lake in China. Environ Sci Pollut Res
25:6300–6307. https://doi.org/10.1007/s11356-017-0967-1
51. Zhang S, Wang W, Zhang K, Peiyao Xu, Yin Lu (2018) Phosphorus release from cyanobacterial
blooms during their decline period in eutrophic Dianchi Lake, China. Environ Sci Pollut Res
25(14):13579–13588. https://doi.org/10.1007/s11356-018-1517-1
52. Zhu R, Wang H, Chen J, Shen H, Deng X (2017) Use the predictive models to explore the
key factors affecting phytoplankton succession in Lake Erhai, China. Environ Sci Pollut Res
25(2):1283–1293. https://doi.org/10.1007/s11356-017-0512-2
Chapter 4
New Technical Approaches
for the Co-processing of Pharmaceutical
Wastewater in Municipal Wastewater
Treatment Plants in the Shenyang Region
Yunbo Yun and Max Dohmann
4.1 Introduction
Hardly any other country has experienced such immense and rapid growth in recent
years as the People’s Republic of China. In the years 2000–2010, the annual growth
rate of the gross domestic product was about 10%; in the last few years (2012–
2017), it slowly slowed down to about 7% (World Bank 2015). A major contribution
to these rapid developments has been made by the constant growth of industry,
which at the same time is leading to much greater environmental problems, including
water pollution. The pollution of water resources results mainly from municipal
and industrial wastewater discharges. Thus, in addition to unsatisfactory conditions,
especially of surface waters, there are often problems in the safe use of these resources
for the water supply of the population, industry and agriculture.
The research project SINOWATER- “Good Water Governance Management and
innovative technologies to improve water quality in two important Chinese waters”
was started in the course of the environmental policy of the Chinese government.
With the 11th Chinese five-year plan, which came into force in 2006, concrete targets
for improving water quality were set for the first time. In order to achieve the goals
set, a water programme, the “National Major Program of Science and Technology
for Water Pollution Control and Governance”, was established under the leadership
of the Chinese Ministry of Environment and the involvement of six other Chinese
ministries of the central government. This programme aims to improve water quality
and ecological conditions in large Chinese river basins and lakes, which are to be
achieved through mega water projects. The time frame for achieving the objectives
has been set for the period between 2006 and 2020. The Federal Ministry of Education
and Research (BMBF) concluded an agreement with the Chinese Ministry of Science
Y. Yun · M. Dohmann (B)

Research Institute for Water and Waste Management at the RWTH Aachen University (FiW) e. V.,
Aachen, Germany

https://doi.org/10.1007/978-3-030-80234-9_4
104 Y. Yun and M. Dohmann
and Technology (MoST) in 2012, which provides for the participation of German
partners in the research projects of the mega water projects.
In 2015, the BMBF approved the funding application for the research project
SINOWATER- “Good Water Governance Management and innovative technologies
for improving water quality in two significant Chinese waters”. The results of the
coordination with the responsible persons of two mega water projects led to concen-
tration on one river and one lake catchment area each, namely the Liao River in the
province of Liaoning in the northeast of China and the Dianchi Lake near Kunming
in the southwest of China.
In the project description for the SINOWATER project the following four main
objectives are formulated FIW E.V. [5]:
1. “Development of changed structures and organisational measures for improved
analysis and decision-making in the normative and operational management of
the water sector on the basis of cooperative, participatory and specific ecological
research approaches”.
2. “Reduction of environmental pollution of water bodies from municipal and
industrial wastewater treatment plants”.
3. “Participation in the updating of a long-term master plan for Dianchi Lake.”
4. “Development of a sustainable concept for sewage sludge disposal in the
Shenyang region.
Based on the main objectives, a total of 7 sub-projects are planned under the overall
project. Figure 4.1 shows the allocation of the seven sub-projects to the two mega
water projects. The whole project is divided into management (M), concept (K) and
Upgrading of Good Water

municipal Governance Further
sewage development
treatment M1 master plan
plants Dianchi
Support fort K2
he
Liaohe Dianchi
introduction
of an IWRM
New approaches M2 Stormwater
to the treatment Management
of
pharmaceutical Regional sewage T3
waste water sludge disposal
T2 concept
K1
Fig. 4.1 Relationship between the Chinese mega water projects and SINOWATER sub-projects
4 New Technical Approaches for the Co-processing of Pharmaceutical Wastewater … 105
technology projects (T). The two sub-projects T1 and T2 serve to achieve the main
objective 2 in the catchment area of the Liao River. In T1, upgrading possibilities for
municipal wastewater treatment plants in Shenyang are to be sought in the existing
stock in the context of the specific Chinese requirements, whereby the purification
line and efficiency are to be optimized by means of process engineering approaches.
At T2, new approaches for the combined treatment of municipal and pharmaceutical
wastewater are to be developed, which could be applied in the Shenyang region in
the future.
In both sub-projects, technology and know-how from Germany will be tested
and passed on in China and both sub-projects will be realized by operating a semi-
technical MBR pilot plant with additional advanced wastewater treatment stages if
required. The importance of the subprojects is to complement the already conducted
investigations by Chinese research institutions by the long-term operation of the
semi-technical pilot plant and targeted individual and preliminary investigations and
to collect meaningful results and experiences in the treatment of municipal and
industrial (or pharmaceutical) wastewater with the help of the applied concept under
local boundary conditions, which can ultimately contribute to an improvement of the
water quality in the catchment area of Liaohe.
4.1.1 New Approaches for the Co-treatment of Municipal

and Industrial Wastewater
4.1.2 State of Wastewater Treatment and Upgrading Plan

in China and Shenyang
Water is a scarce commodity in China. It is used inefficiently in agriculture, and

the discharge of domestic and industrial wastewater and diffuse discharges pollute
many of China’s water bodies, making them available for only limited use. Due to
the increasing pollution of water bodies by a growing population and industry, the
demand for better wastewater treatment is also increasing. To address these problems,
technical solutions are important, but they will not be sufficient on their own without
proper management mechanisms.
4.1.2.1 Administrative Structure and Legal Basis for Wastewater

Treatment and Water Protection
Two ministries are responsible for wastewater treatment. The Ministry of Water
Resources (MWR, reorganised and renamed as Ministry of Natural Resources as of
03.2018) with its assigned institutes is mainly responsible for the distribution and
coordination of water resources and for the protection of water bodies and ground-
water. In addition, the Ministry of Environmental Protection (MEP), reorganised
and renamed as Ministry of Ecology and Environment as of 03.2018, issues the laws
relevant for wastewater treatment and monitors the implementation of environmental
policies. The Ministry of Housing and Urban Rural Development (MOHURD),
which is responsible for the construction and maintenance of the infrastructure for
water supply and waste disposal, is also responsible. One of the greatest challenges
in the Chinese water sector are the complex administrative structures. In particular,
the overlapping responsibilities of the various competing actors have been identified
as a problem. In addition, areas of responsibility that are not covered by regulations
are also proving to be an obstacle.
The first framework law for environmental protection in the People’s Republic of
China was the “Environmental Protection Law of the People’s Republic of China”.
The “Law of the People’s Republic of China on the Prevention and Control of Water
Pollution” details this law in the field of water management. In terms of implemen-
tation, the Implementing Rules on the Law on the Prevention and Control of Water
Pollution and the Regulations on Issues concerning experimental collection of urban
sewage treatment fee are valid. Further regulations exist at provincial level. Parallel
to the laws mentioned, standards must be observed which are issued by the central
government/ministry in Beijing, but also by the provincial governments. The relevant
state standards for wastewater management are listed in Table 4.1.
The effluent concentrations of municipal sewage treatment plants are prescribed
by law GB 18,918–2002, similar to the German law GB 18,918–2002. In contrast to
Germany, where a certain concentration in the effluent of the sewage treatment plant
may not be exceeded depending on the size class, Chinese sewage treatment plants are
divided into three standard classes based on the effluent concentration, irrespective of
their size class. Table 4.2 shows the effluent concentrations of the Chinese standard
classes (SK) with the effluent concentration of “size class 5” (GK) according to the
German Wastewater Ordinance. It can be seen that the highest Chinese standard class
IA is considerably stricter than the German one.
The definition of the discharge standard is strongly dependent on the water body
to be discharged. Depending on the quality category, immission values for surface
waters are similarly specified in GB 3838–2002. If sensitive waters or water resource
protection areas are involved, higher discharge standards must be achieved. In many
priority regions, the state discharge standard is therefore tightened to varying degrees
Table 4.1 Environmental and quality standards relevant to water and wastewater in the People’s
Republic of China
Title of the standard Number
Quality standard surface water GB 3838–2002
Discharge standard of waste water into municipal sewers CJ 3082–1999
Emission standard from municipal sewage treatment plants GB 18918–2002
Table 4.2 Parameters in the inflow of the pilot plant

GK 5 SK I
Parameters Unit (>6000 SK II SK III
A B
kgBSB5/d)
COD mg/l 75 50 60 100 120
BOD5 mg/l 15 10 20 30 60
SS mg/l - 10 20 30 50
Animal/vegetable fat mg/l - 1 3 5 20
Crude oil or similar mg/l - 1 3 5 15
Surface active
mg/l - 0,5 1 2 5
substances LAS
Nges mg/l 13 15 20 - -
NH4-N mg/l 10 5 8 25 -
Pges (Commissioning
mg/l 1 1/0,5 1,5/1 3 5
before 31.12.2005)
Pges (Commissioning
mg/l 1 0,5 1 3 5
after 31.12.2005)
Colouring - - 30 30 40 50
pH - - 6–9 6–9 6–9 6–9
Faecal colony count /l - 1.000 10.000 10.000 -
in order to increase the purification capacity of wastewater treatment plants, reduce

the discharged pollution loads and thus improve water quality.
4.1.2.1.1 Institutions, Procedures and Challenges

In 2010, a total of 62 billion m3 of wastewater was produced in China. By 2015,
the volume of wastewater had increased to 73.5 billion m3 with approximately 20
billion m3 of industrial wastewater and 53.5 billion m3 of domestic wastewater MEP
[12] and [13].
Similarly, the number of municipal wastewater treatment plants increased from
about 2800 in 2010 to over 6000 plants in 2015 according to the annual statistical
report of the Ministry of Ecology and Environment, which, with a total capacity of
53.2 billion m3 /d, were able to treat a total of about 9 billion m3 /d of wastewater in
2015, more than in 2010. The treatment capacity corresponds to a connection rate
of about 73%. Depending on their capacity, the treatment plants are allocated to the
following size categories on a percentage basis, in proportion to the total number Jin
et al. [8].
• 9% Small sewage treatment plants with capacities up to 10,000 m3 /d:
• 75% Medium-sized sewage treatment plants with a capacity of 10,000 to 100,000
m3 /d
• 16% Large wastewater treatment plants with a capacity exceeding 100 000 m3 /d
In most cases, similar concentrations of wastewater parameters are present in

municipal wastewater as in Germany. Due to leaky sewers and the resulting infiltra-
tion of extraneous water, however, very low concentrations of COD and BOD5 in
wastewater were found in the greater Shanghai area, Kunming and many regions of
northern China Yun [25].
From a technical point of view, most municipal wastewater treatment plants in
China currently consist of a mechanical treatment stage, primary treatment, biological
treatment stage or secondary treatment. Since the introduction of different minimum
standards in 2002, investments in the field of wastewater treatment have increased
rapidly. The aim was to reduce the content of nitrogen and phosphorus in wastew-
ater. Especially for industrial wastewater, the AAO treatment process, an effective,
relatively inexpensive and easy to implement treatment option, is used.
The Urban Water Environmental Department of CRAES Tian [22] published
a China-wide overview of 828 wastewater treatment plants with a total wastewater
treatment capacity of about 63 million m3 /day (Fig. 4.2). Of the wastewater treatment
plants, 2% have only a basic treatment stage, 89% have a mechanical–biological
treatment stage and 9% have an additional more advanced treatment stage. The
biological stages use the AAO and AO process as the most common technique,
followed by aeration ditches and SBR systems. As further techniques the main biofilm
processes are used. Process combinations such as SBR, ABR, UASB and CASS are
also used to improve the purification performance. All larger (from 100,000 m3 /d)
sewage treatment plants have a disinfection stage (UV radiation or chlorination)
installed in the effluent to disinfect the treated wastewater.
Despite the existing modern wastewater treatment processes, the actual purifica-
tion performance of many wastewater treatment plants in China is unsatisfactory.
Several reasons for this have been identified:
• complex wastewater composition and unclear discharge source
• low operating temperature in winter
• incomplete monitoring and sampling
• backlogged procedures or investment and energy restrictions
Fig. 4.2 Treatment techniques

• unsafe sludge disposal

• unqualified wastewater specialists and poor operation
For this reason, the Chinese experts attach great importance to upgrading the
systems, which is also the aim of T1. Some of the sewage treatment plants are
located in densely populated or rapidly developing areas, so that only small areas are
available for a sewage treatment plant expansion. Necessary increases in capacity
or more extensive purification services therefore generally require an area-neutral
optimisation of the sewage treatment plants.
Apart from a few exceptions, most wastewater treatment plants in China use simul-
taneous aerobic sludge stabilization during biological wastewater treatment. Energy
optimization measures such as power generation by sludge digestion are difficult
to realize due to several limitations. There are also no plans for the elimination of
micropollutants discussed in Germany. In addition, the focus of wastewater disposal
in China has so far been on wastewater treatment. This means, however, especially
in the case of heavy rainfall events, considerable material pollution of the surface
waters through wastewater discharges or wastewater relief. Checking the condition
of sewers and optimising the upstream sewerage system are therefore also possible
upgrading measures in China Yun [25].
4.1.2.1.2 Environmental Problem and State of Wastewater Treatment

in Shenyang
As one of the two study areas, Shenyang is located in the northeast of the People’s
Republic of China and is the capital of Liaoning Province. Benefiting from govern-
ment support, Shenyang is an economic and cultural center in the northeast of the
country.
Shenyang is located in the floodplain of the Liao and Hun rivers on the southern
edge of the northeast China plain. The terrain slopes gently from northeast to south-
west. Shenyang has a continental climate characterized by hot, humid summers due
to the monsoon and dry, cold and extremely long winters due to the Siberian high
pressure system. The average annual temperature in Shenyang is 8.3 °C. The average
temperatures are 25 °C in July at the warmest time and about −15 °C in January at the
coldest time. Extreme temperatures range from below −30 °C Meteoblue AG [14].
In January 2018, the SINOWATER pilot plant, which was located on the site of
the reference wastewater treatment plant in Shenyang, experienced a daytime low
temperature of −33 °C. About 500–600 mm of precipitation falls on average within
one year and most of the annual precipitation occurs from June to September.
The city of Shenyang has a total area of about 12,860 km2 and is composed of
ten urban districts, two counties and one independent city. The population in 2015
was about 7,300,000 in the metropolitan region. The average population density of
the Shenyang metropolitan region is 568 inhabitants/km2 .
The city is known as the “Ruhr Area of the Orient”, and since the beginning of the
twentieth century has been the economic centre for the whole of north-eastern China
and the headquarters of the Chinese manufacturing industry. Similar to its German
counterpart, Shenyang has a long history as an important industrial center in northeast
China and is today a location for the automotive, mechanical engineering, chemical,
pharmaceutical and financial industries. Due to various problems concerning the
technical state of the art, the organizational structure, the environmental pollution
as well as the unfavorable climatic conditions of urban design, the whole region of
Northeast China is subject to a slowly decreasing economic growth at the beginning
of the Chinese reform and opening policy in 1978. In the 1980s and 1990s, many
reconstruction measures were therefore carried out in the old Tiexi industrial district
in Shenyang, which is one of the largest and most heavily used urban industrial
areas in China. In 2002, a new land use plan for the city of Shenyang was presented,
according to which many industrial factories were to be moved from the urban core
area to new industrial and economic development zones further west Zhang [26].
This relocation was part of a new urban design to accommodate economic shifts in
Shenyang. In view of various factors, Shenyang has become increasingly attractive
since the 1990s and is attracting the interest of global corporations as well as German
small and medium-sized enterprises. One of the city’s most advanced projects in the
new industrial zones today is the Chinese-German “Intelligent Equipment Manufac-
turing Industrial Park”, another example of the regional administration’s efforts not
only to promote Shenyang in its role as the world’s largest center of machine tool
manufacturing, but also to encourage international companies to set up operations in
the vicinity of their customers.
In Shenyang, natural and industrial influences result in special requirements for
the protection of regional water resources, especially the Liao River in Liaoning
Province, which is the largest river in northeast China with a length of 1390 km.
As a conventional heavy industrial city in the catchment area of the Liao River, the
city of Shenyang has long been seriously confronted with environmental problems,
especially the issue of wastewater treatment. The already explained fact that almost
80% of the annual precipitation falls between June and September means that for
many months very little runoff is discharged into the surface waters of the catchment
area. Especially in the densely populated metropolitan region of Shenyang with over
7 million inhabitants and the numerous industrial enterprises, the large wastewater
pipes cause high concentrations of pollutants in the surface waters there. In the
catchment area of the Liao River, this particularly affects the tributary Hun and its
tributaries Xi, Pu, Baitapu and Mantung.
The Hun River flowing through Shenyang is highly polluted by industry. For
example, in 2013, NH4-N and TP concentrations exceeded the minimum require-
ments of the highest water quality class in China in all tributaries of the Hun River. The
high level of pollution can be explained by the many industrial plants, the large popu-
lation and the low water volume. According to CRAES, pharmaceutical wastewater
and agricultural wastewater are the main sources of NH4-N pollution.
The first sewage treatment plant Beibu was built in Shenyang in 1994, and between
2002 and 2007 the first significant expansion of the capacity of the sewage treatment
plant took place. Towards 2010, the last large treatment plant and several small
treatment plants were built along the Pu River, so that almost all the wastewater from
the city districts can be treated and the connection rate has now reached 95%. Since
then, industrial wastewater is completely discharged into the sewage treatment plants
Shenyang EPB [21].
Figure 4.3 shows the development of the treatment volume of the municipal
wastewater treatment plants in the Shenyang urban region since 2004. 2016 about
731 million m3 of wastewater were treated in Shenyang, i.e. about 2 million m3 /d,
which was three and a half times the amount of 2004 Hu [6] and Shan [20].
There are currently 37 wastewater treatment plants with a total capacity of 2.8
million m3 of wastewater per day: Shan [20].
• 7 sewage treatment plants with >100.000 m3 /d
• 6 sewage treatment plants with 50.000–100.000 m3 /d
• 25 sewage treatment plants with <50.000 m3 /d
It should be noted that municipal wastewater treatment plants are mainly located
in the core area of the city. In contrast, the more rural districts together have only a
few treatment plants.
Altogether, 83.2% of the wastewater generated in Shenyang is treated, while the
average capacity utilisation of the treatment plants is 71.4%. This means that about
405,000 tons of wastewater (presumably industrial and municipal wastewater as
well as outdoor discharges) are discharged untreated into the waters in and around
Shenyang every day. According to official requirements of the local environmental
authority, 28 of the 37 sewage treatment plants have to comply with the minimum
effluent concentrations of SC I from the time of commissioning, while the effluent
values of the other 9 plants should correspond to SC II. Table 4.3 gives an overview
of the number and capacity of the treatment plants depending on the standard classes
to be met in Shenyang.
It is clear from this that the 21 treatment plants, which are supposed to comply
with effluent concentrations of SK IA, treat only 0.79 million m3 in total and are
not sufficiently utilised. The reason for this is that some of them have not yet been
commissioned or are currently undergoing conversion/expansion with the purpose
of upgrading. In category SK II there are many large treatment plants with a total
800
700
mio. m3 waste water
600
500
400
300
200
100
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016
Fig. 4.3 Development of the annual treated wastewater volume in the urban region of Shenyang
Table 4.3 Distribution of municipal wastewater treatment plants and treatment capacity in
Shenyang according to Shan [20]
SK I A SK I B SK II
Quantity 21 7 9
Design capacity 1,44 Mio. m3 0,17 Mio. m3 1,25 Mio. m3
actually treated waste
0,79 Mio. m3 0,09 Mio. m3 1,12 Mio. m3
water quantity in 2016
throughput of 1.12 million m3 of wastewater, which corresponds to more than 50%

of the total wastewater volume Shan [20].
Therefore, unfavourable inlet compositions and missing requirements for process
selection and operation are responsible for the effluent concentration of SK II. This
leads to an insufficient elimination of pollutants in the wastewater treatment plants.
An unpublished study report by the Shenyang Academy of Environmental Sciences
shows that the effluent values of nutrient parameters such as TN, NH4-N and TP
exceed the limits of the respective classes in many wastewater treatment plants.
Starting in 2018, the environmental authority has set the effluent concentrations
of SK IA as binding for the sewage treatment plants in Shenyang. There is therefore
a great need for upgrading the old treatment plants, which account for over 50% of
the total treatment capacity in Shenyang and cannot meet modern discharge standard
requirements in the long term due to the high inflow values. In addition, the city is
also making efforts to develop new management measures and technical approaches
for the treatment of specific industrial wastewater streams, such as the co-treatment
of pharmaceutical wastewater in municipal wastewater treatment plants. These are
also reasons for the implementation of the two SINOWATER subprojects T1 and T2.
4.1.2.1.3 Status of Pharmaceutical wastewater Treatment in China

and the Pharmaceutical Company “Northeast Pharmaceutical Group Co, Ltd.
in Shenyang
China is regarded as the world’s largest manufacturer of raw pharmaceuticals and
stands out due to the size of the country and its large population with large quantities
of pharmaceuticals consumed. The pharmaceutical industry accounts for 1.7% of the
gross domestic product of total industrial production in China. In the manufacture
of pharmaceuticals, the consumption of raw materials is between 10 and 200 kg
per kilogram of active ingredient produced. This process produces a lot of heavily
polluted pharmaceutical wastewater (PA), so that 2% of the total wastewater volume
in China is attributable to the pharmaceutical industry(Xiao and Zhang [24] Zeng
et al. [27].
In China, PA has a complex composition and contains a large number of organic
pollutants in high concentrations. The most important of these are COD, BOD5,
NH4-N, SS and dyes (including turbidity caused by toxic ingredients). It is also
characterised by strongly varying pH values and high salt contents. The amount and
composition of wastewater is subject to strong fluctuations Xiang [23].
The circumstances described above call for an improvement or targeted expansion

of wastewater treatment systems in Chinese industry. Some of the procedures already
applied in the Chinese pharmaceutical industry are described below: Li and Li [11].
Physical–chemical treatment processes:
• Coagulation as the most economical sedimentation process, which not only
reduces the concentration of pollutants in the wastewater, but also increases
biodegradability.
• Flotation: impurities adhere to gas bubbles, which rise to the surface and can be
separated.
• Adsorption processes in which drug residues, but also the COD, the colour and
the odour are adsorbed by adsorption effects on e.g. coal.
• Fenton method: In acidic medium, organic substrates are catalysed with hydrogen
peroxide by iron salts. In the wastewater treatment plant of a pharmaceutical
company in Wuhan, a COD elimination level of over 90% can be achieved by
using this process.
Biological treatment processes:

• Aerobic processes: Various aerobic processes are used in the wastewater treat-
ment plants of Chinese pharmaceutical companies: Sequencing Batch Reactor
(SBR), Cyc-lic Activated Sludge System (CASS), Cyclic Activated Sludge
Technology (CAST), Intermittent Cycle Extended Aeration System (ICEAS),
Modified Sequencing Batch Reactor (MSBR) etc.
• Anaerobic process: In China, anaerobic fermentation is currently used as the main
approach for anaerobic processes, as it offers several advantages: high organic load
degradable, low OEL production, simple sewage sludge dewatering, no aeration
required, recovery of biogas possible.
• Combination of aerobic and anaerobic processes: In order to exploit the advan-
tages of both processes, they are often combined. The following combinations are
often used in the Chinese pharmaceutical industry: Microelectrolysis - anaerobic
hydrolysis and acidification process - SBR; pretreatment - Upflow Blanket Filter
(UBF) - contact oxidation - Biological Aerated Filter (BAF); hydrolysis and acidi-
fication process - Upflow Anaerobic Sludge Blanket (UASB) - SBR. The wastew-
ater treatment plant of the pharmaceutical company “Northeast Pharmaceutical
Group Co., Ltd.
Furthermore, there are other strategies to reduce the negative environmental

impact of the pharmaceutical industry in China. These are the implementation of
new management systems, clean production facilities in terms of water consumption
and pollution, deeper quality control, new management strategies in the compa-
nies and the government, and the investigation and application of new processes
for pre-treatment, biochemical treatment and advanced wastewater treatment of the
wastewater generated by the pharmaceutical industry.
In Germany, the topic of the 4th purification stage or elimination of trace
substances has been discussed for several years. As in Germany, Chinese waters
are also polluted by the pharmaceutical industry and by the consumption of phar-
maceuticals through pharmaceutical trace substances, which have negative effects
on flora and fauna. It is important to identify the pathways of entry and to prevent
the entry. Furthermore, controls must remain strict in order to prevent the illegal
discharge of polluted wastewater. The aim of wastewater treatment in the pharma-
ceutical industry should be the elimination of typical wastewater parameters as well
as the elimination of trace substances.
As mentioned above, the SINOWATER pilot plant for sub-project T1 with munic-
ipal wastewater for T2 was fed with a mixture of municipal and pharmaceutical
wastewater. The PA is the water from the effluent of the wastewater treatment plant
of the pharmaceutical company “Northeast Pharmaceutical Group Co. Ltd. (NEPG)”,
founded in 1946, is one of the largest companies in the field of chemical synthesis
and bio-logical fermentation. In addition, the company’s business activities include
Western medicine preparation and micro-ecological preparation as well as the distri-
bution of pharmaceutical products. NEPG produces 12 large series of active ingredi-
ents including vitamin series, antibiotics, anti-AIDS drugs, digestive drugs, narcotics
and cardiovascular and cerebrovascular drugs. The company owns the largest produc-
tion line for vitamin C in the world and the independent technical property right for
purely chemical synthesis of berberine. The company also has a processing base for
feed additives and veterinary drugs based on pharmaceutical raw materials NEPG
[17].
Information on the NEPG’s treatment plant and the quality of the wastewater on
site was obtained during visits to the pharmaceutical plant and discussions with the
contact persons. Figure 4.4 shows a diagram of the company’s wastewater treatment
plant, which is located on the NEPG site in Shenyang. The two partial water flows
A and B together have a volume flow of 6,000 to 7,000 m3 /day. Due to the high
inflow values of the heavily polluted wastewater, this partial flow passes through two
complete cleaning cycles. Table 4.4 lists the parameters COD, BOD5, pH and SS of
the two partial flows in the feed.
Fig. 4.4 Flow chart of the wastewater treatment plant “Northeast Pharmaceutical Group Co., Ltd
Before the streams are subjected to hydrolysis and acidification, they pass into
regulation basins, where various substances can be dosed. The pH value can also be
adjusted there. In the anaerobic basin, hydrolysis and acidification take place. The
pre-treated wastewater is then transferred to the aeration tanks. The treatment plant
has a large number of aeration tanks, as the biological treatment works according
to the SBR principle. This means that the sludge is not separated from the purified
wastewater in an external secondary clarifier by settling, but the settling process
is waited for in the activation tank and the supernatant is then pumped out. There
are always basins in different phases of the batch operation, so that a continuous
wastewater treatment can take place. The remaining sludge is partly pumped back
into the inlet of the activation as return sludge. The rest is discharged in the form of
excess sludge.
After the biological treatment of the heavily polluted wastewater, this water under-
goes the same purification process - from hydrolysis and acidification - together with
partial stream B once again. The aeration tanks in the second purification line of the
wastewater treatment plant also operate in batch mode (SBR). In contrast to the first
cleaning line, it is possible to dose PAH into the aeration tanks.
In the diagram two possible paths of biologically treated wastewater are shown
after the activation tanks of the second treatment line. At the beginning of the project
(November 2017 to the beginning of January 2018), the water did not undergo any
additional treatment, but was discharged into the municipal sewage system. From
mid-January onwards, NEPG put an external membrane stage into operation. A PTFE
membrane manufactured in Japan is used in the form of a capillary module, which
is constructed from tubular membranes.
The discharge of the NEPG WWTP into municipal sewers is done as described
in Chapter 2.1.1 and Table 4.1 explains the administrative structure and legal basis
for wastewater treatment and water protection according to the national discharge
standard CJ 3082–1999 for indirect dischargers. Officially, however, the treatment
plant has to comply with the regional discharge standard DB 21/1627–2008 for
Liaoning Province, which was issued in 2008 and is stricter than the state standard.
The prescribed minimum discharge values of some main sum parameters are shown
in the following table The actual effluent quality of the NEPG treatment plant (as
part of the inlet to the SINOWATER pilot plant) during the operation phase for T2
is described in detail in chapter 2.4 due to its complexity.
The pharmaceutical wastewater treated in this way was to be discharged through
a separate sewer to a treatment plant, which was newly built in 2016 and has a
Table 4.4 Parameters of the partial water flows A and B of the NEPG wastewater treatment plant
Partial flow COD (mg/L) BOD5 (mg/L) pH SS (mg/L)
A: heavily polluted
wastewater 10.000 – 20.000 3.000 – 8.000 6– 9 500
B: slightly polluted
wastewater 1.000 300 – 400 6– 9 200
Table 4.5 Minimum requirement of main sum parameters in the national and regional discharge
standard into municipal sewer systems (with treatment plant at the end)
national initiation standard regional induction standard DB
Parameters Unit
CJ 3082–1999 21/1627-2008 (Province Liaoning)
COD mg/l 500 450/300
BOD5 mg/l 300 250
SS mg/l 400 300
Nges mg/l - 50
NH4-N mg/l 35 30
Phosphates mg/l 8 5
Table 4.6 Membrane type and TMP of membrane processes Pinnekamp and Friedrich [19]
Membrane pore size Membrane TMP Operating mode
processes type
Microfiltration 0,1 -5 µm Pore-membrane 0,1 – 3 bar Crossflow- u.
Dead-End-Betrieb
Ultrafiltration 0,005 - 0,1 µm Pore-membrane 0,5 – 10 bar Crossflow- u.
Dead-End-Betrieb
Nanofiltration 0,001 – 0,01 µm LD-membrane 2 - 40 bar Crossflow-Betrieb
Reverse osmosis < 0,001 µm LD-membrane 5 – 70 bar Crossflow-Betrieb
daily treatment capacity of approx. 250,000 m3 of wastewater, consisting of approx.

7,000 m3 of pharmaceutical wastewater and 180,000 municipal wastewater. Due to
the possibility of treating both wastewater streams simultaneously, this treatment
plant was selected as the site for the pilot plant at the beginning of the project.
However, due to the lack of a sewerage system and an unresolved operating permit,
the treatment plant could only be put into operation from the end of 2017 onwards
with highly contaminated industrial wastewater, which caused the relocation of the
test plant according to “GWSTP”.
4.1.2.1.4 Parallel Research Activities

According to experience, the pre-treated pharmaceutical wastewater as well as the
industrial wastewater in Shenyang is generally characterized by poor biodegradability
(e.g. unfavorable B/C or C/N ratio), which is a great challenge for the downstream
treatment plant with high requirements on effluent concentrations. Therefore, in the
past years in Shenyang different considerations for further treatment measures were
made and corresponding laboratory tests were carried out. These concerned.
• Adsorption of the hardly degradable components of pharmaceutical wastewater
to the biological sludge of a municipal sewage treatment plant
• the ozonation of the pharmaceutical wastewater to break down the refractory
substances and
• the hydrolysis and pre-acidification of pharmaceutical wastewater to increase the
degradability
Table 4.7 Division of the total project period on site into operational phases
Period Part- Operating phase/ Purposes
project Test series
week 19- Structure and
T1+T2 -
21 Commissioning
Test operation phase with highly polluted
week 22-
- Test phase industrial wastewater as inflow due to
26
local restrictions
week 29- Relocation and
T1+T2 -
30 New structure
Concentration of the activated sludge and
week 31-
2017 T1+T2 Run-in phase MBR adjustment of the inlet to a sufficient
39
return ratio within the plant
Control and documentation of the
week 40- cleaning performance, the membrane and
MBR (+GAK)1
44 sludge parameters, as well as the
T1 discharge after the GAK filter
Test phase to improve the cleaning
week 45- MBR + C-Quelle
performance of the test plant by adding
47 (+GAK)
an external C source
week 47- Adjustment of the feed of PA until the
MBR + GAK
49 desired mixing ratio of 28% is achieved
week 50; MBR + Postozoning
4 + GAK
2017/ week 51; T2 Preozoning + MBR + Test phase for the investigation of the
2018 5 GAK cleaning line of different combinations of
week 52 – FM/FHM + MBR (+ the cleaning stages
2 PAK)2 (+ GAK)
week 6-7 MBR + PAK (+ GAK)
Supplementary test phase for T1 due to
week 3 T1 FM + MBR
an operational failure of NEPG
Additional test phase for T1 due to the
week 8 T1 MBR + PAK (+GAK)
2018 breakdown of NEPG
week 9 - Additional test series with increased PA
T2 MBR (+GAK)
10 content of up to 100%
week 11-
T1+T2 Decommissioning -
12
1 The filtrate must always pass through the activated carbon filter before being discharged
2 Passive dosing of PAH due to the massively changed feed quality
The combination of sludge adsorption and ozonation proved to be most promising.

Figure 4.5 shows the first positive results of the investigations. The BOD5/COD ratio
could also be increased from 0.1 to about 0.3 by ozonation. In 2015, a corresponding
semi-technical pilot plant was operated by the Chinese cooperation partner at a
municipal wastewater treatment plant in Shenyang, where the process combination of
sludge adsorption and ozonation is seen as a pretreatment step prior to co-processing
in a municipal modified AAO reactor (Fig. 4.6). However, the investigations have
shown that with the desired quantity ratio of pharmaceutical wastewater (approx.
30%), the required COD effluent values of standard class IA of 50 mg/l could not be
met despite the pretreatment combination (Fig. 4.7) Xiang [23].
Discussions with the Chinese side revealed that no studies have been conducted
to date on adsorption on activated carbon. Thus, the process engineering solution
envisaged in subproject T2 was developed, which is also regarded by the Chinese
side as a promising alternative to the previous solution options. The effect of the
Table 4.8 Overview of sampling points and sampling

Extraction point Type of sample Statement Parameters
Reservoir of GWSTP composite sample Feed concentration KA COD, BOD5, NH4-N,
TN, TP, SS
Tanker truck/ Reservoir sample Feed concentration PA COD, BOD5, NH4-N,
TN, TP, NO2-N, NO3-
N, SS
Ball valve of the coarse sample Control of operating COD
material cell sequence
Ball valve of the nitrification sample Waste water and SV30, TS, (COD)
tank sludge parameters
Ball valve of the filter sample sludge parameters r SV30, TS
chamber
Ball valve of the filtrate pump composite sample Outlet concentration COD, BOD5, NH4-N,
MBR TN, TP, SS, (NO2-N,
NO3-N)3
Ball valve of the filtrate tank composite sample Outlet concentration/ COD, BOD5, NH4-N,
Post-ozoning TN, TP, SS
procedure
Drain hose of the test facility sample Outlet concentration COD, (TN, TP)
after GAK filte
3 NO2-N and NO3-N were only determined during test phase T2 due to local restrictions
Fig. 4.5 Test results for the adsorption on activated sludge of a municipal wastewater treatment
plant (left) and for the ozone oxidation (right) of pharmaceutical wastewater in Shenyang
activated carbon is to be enhanced by the use of a membrane separation stage. In

this way, it will be possible to keep the sludge concentration in the activated sludge
tank three to four times higher than in other sludge concentrations in order to achieve
improved decomposition of the refractory materials (Fig. 4.5).
• Example sludge adsorption: MLSS 1 g/L, T = 15 min., COD Elim. = 33%,
BOD/COD = 0,11
• Example ozonisation: Dosiermenge 20 mg/L, T = 30 min., COD-Elim. 0 42%,
BOD/COD = 0,31
Fig. 4.6 Chinese modified AAO pilot plant for combined treatment of municipal and pharmaceu-
tical wastewater in Shenyang (FiW)
Fig. 4.7 COD-related operating results of the pilot plant with 30% pharmaceutical wastewater
4.1.2.2 Innovative Membrane Technology in wastewater Treatment

and the Pilot MBR-Treatment Facility in Shenyang
4.1.2.2.1 Membrane Filtration in Wastewater Treatment

Membranes work according to the principle of a filter. They are used for the sepa-
ration of substances and, depending on the membrane and the process, can sepa-
rate wastewater components up to a molecular size. The wastewater to be treated
is also called “feed” and is separated by the membrane into two phases: the clear
effluent as filtrate (or permeate) and the filtered out contaminants as concentrate (or
retentate). The morphology is idealised by distinguishing between pore and solution
diffusion membranes (LD membrane), so-called dense membranes Baumgarten [1].
Depending on the separation limit (pore size of the membrane), membrane filtration
can be further subdivided into microfiltration (MF), ultrafiltration (UF), nanofiltra-

tion (NF) and reverse osmosis (RO). The driving force for the mentioned separation
processes is the pressure difference between feed and permeate side, the so-called
transmembrane pressure difference or transmembrane pressure (TMP). The TMP
increases with decreasing separation limit of the membranes used. A summary of
the pore size, membrane types or typical TMP and operating mode of the different
membrane processes can be found here (Table 4.6).
In municipal wastewater treatment, micro- or ultrafiltration membranes with a
pore size of up to 0.1 µm are often used, where almost complete retention of all
kinds of bacteria and most viruses could be achieved, while the processes to be
applied in industrial wastewater treatment can extend to reverse osmosis due to the
requirement to treat highly contaminated wastewater.
In addition to the separation limit, membrane processes can also be distinguished
by their design, materials and operating modes. For membranes, a distinction can be
made between the two basic forms of flat membranes and tubular membranes. The
membranes are arranged in modules. In addition to the membrane, the arrangement
and choice of module plays a major role in the cleaning performance of a membrane
stage. Since membrane modules are designed depending on the intended use, there
is a large number of different module designs. For example, tubular membranes can
be used to form tubular modules, capillary modules or hollow fibre modules. Wound
modules, cushion modules, disc-tube modules or plate modules are some module
forms in which flat membranes are installed Pinnekamp and Friedrich [19].
Both organic and inorganic materials could be used. Organic or polymeric
membranes are dominant in all membrane processes (MF, UF, NF, RO) in wastewater
treatment. The reasons for this are the lower production costs compared to inorganic
membranes and the possibility to select the most suitable polymer for a specific
separation problem from the large number of existing materials. Common mate-
rials for MF and UF are e.g. polysulfone (PS), polyethersulfone (PES), polypropy-
lene (PP) and polytetrafluoroethylene (PTFE). Inorganic materials, such as ceramics,
aluminium and stainless steel, are also mainly used in the MF and UF sector. Advan-
tages over organic membranes are mainly in the mechanical, chemical and thermal
resistance Baumgarten [1].
Basically, the two usual operating modes cross-flow operation and dead-end oper-
ation dominate, whereby the difference lies in the angle of incidence of the wastewater
flow to be treated to the membrane surface. In cross-flow operation, the membrane is
exposed to a transverse flow, whereas in dead-end operation the membrane is exposed
to the feed vertically Pinnekamp and Friedrich [19].
The membrane bioreactor process (also known as membrane bioreactor process)
is the combination of an aeration tank and a membrane filtration. In this process,
the membrane stage replaces the secondary settling tank to separate the biologically
purified water (filtrate) from the biomass (concentrate). Here, a distinction can be
made between two variants:
• Internal membrane stage: membrane module placed in aeration tanks

• External membrane stage: separately installed membrane module outside the
aeration tank
In Fig. 4.8 the two mentioned variants of the membrane bioreactor process are
schematically shown. If a membrane stage is connected downstream of a biological
treatment stage, the aim is to achieve complete solids retention and an extensive
hygienisation of the effluent Pinnekamp and Friedrich [19].
In this process, the activated sludge, including all microorganisms, is completely
retained by membranes. During operation, the so-called filter cake grows on the
membrane surface, which can lead to the formation of a cover layer and must be
removed after a certain time in order to prevent permanent blocking of the membrane
pores. In all operating modes, the membranes must therefore be back-flushed with
air or water (usually by cross-flow aeration). In addition, the effects mentioned below
can also lead to a decrease in filtration performance Baumgarten [1]:
• Biofouling: Biofilm formation on the membrane surface
• Colloidal fouling: Accumulation of colloidal (finely divided) dissolved substances
leads to a kind of film or slime on the membrane surface
• Scaling: deposits on the membrane formed by crystallization (precipitation)
In the last decades, the membrane bioreactor process has gained more and more
importance in wastewater treatment. The advantages of the membrane bioreactor
process result from the higher solids content in the aeration tank and the complete
retention of particles, microplastics, bacteria and germs by the membranes (and
possibly viruses), so that secondary clarification, sand filtration and UV disinfection
are not necessary. An improved elimination of organic trace substances can also be
enumerated Pinnekamp and Friedrich [19].
The biological stage of membrane bioreactors is designed according to the sludge
age, whereby the design sludge age is in the usual range of conventional activated
sludge plants. Thus the volume of the activated sludge tank can be dimensioned
according to ATV Worksheet 131 (2000), whereby a higher solids content of about
10 to 15 g/L must be assumed. MBR plants can be combined with the usual processes
for carbon and nitrogen elimination and for simultaneous aerobic sludge stabiliza-
tion without any restrictions Krause et al. [4] DWA-M 22738 [10]. The specific
Fig. 4.8 Membrane activated sludge process according to Pinnekamp and Friedrich [19]
excess sludge generation corresponds to that of conventional plants. The municipal

membrane bioreactor plants in Germany are currently operated with a sludge age of
more than 25 days. The reason for this high sludge age is the lower fouling potential
that can be expected Itokawa et al. [7] Judd [9].
The design of the membrane filtration stage depends on the maximum inflow or
the area-specific flow for the membrane modules. Decisive design parameters for this
are usually the permeability, which for new or cleaned membranes should normally
be in the range 150–200 l/(m2 -h-bar) and for intensive cleaning <100 l/(m2 -h-bar),
or the membrane flow, which can vary from 5 to a maximum of 25–30 l/(m2 -h)
Pinnekamp and Friedrich [19].
In the MBR, which was used during the project, an internal membrane stage in
the form of a plate module was installed with a sludge age of more than 20 days in
the entire bioreactor.
4.1.2.2.2 Experimental Installation: Design, Construction and Operation

The pilot plant used in Shenyang is a membrane bioreactor with different pre- and
post-treatment options. As already mentioned, the entire pilot plant was built as
an integrated container wastewater treatment plant (or ship treatment plant) by the
German industrial partner MMS in Germany and shipped to the site in China. The
process flow is shown schematically in Fig. 4.9 with the construction units. The blue
dotted border marks the outer walls of the test plant or container. Dosing equip-
ment and all further cleaning stages are outlined with red dotted lines and were
subsequently installed in the test plant on site at the project location in China. The
blue turned squares in Fig. 4.9 indicate possible sampling points. The whole system
consists of:
LEGEND
1: communal wastewater
2: PA
20 19 3: Flocculation tank
4: Flocculants
22 22
21 12
5: Flocculation aids
6: Ozongenerator
7: Feed pump 2
8: Coarse material cell
13
9: Finescreen
4 6 16 10: Denitrification tank
3 14 17 11: Nitrification tank
5 12: Glucose (C-source)
15 13: Powdered activated
7 carbon
14: Flocculants
9
15: Recirculation pump
10 11 16: Filter chamber
17: Overflow
2 1 8
18 18: ÜSS-pipe
19: Filtrate pump
20: Filtrattank
21: Filtrate transfer pump
Fig. 4.9 Schematic layout of the SINOWATER pilot plant

• a flocculation plant for the pre-treatment of the raw wastewater,

• a mechanical pre-cleaning unit for the separation of coarse materials with coarse
material collection tank,
• an activation tank, consisting of an upstream denitrification and a nitrification
tank for biological wastewater treatment,
• a membrane filtration system with immersed flat membrane filtration modules
(type: siClaro® FM 622 from MMS AG) to separate the treated wastewater from
the activated sludge and
• further treatment stages such as ozonation and activated carbon filter
In order to better understand the local situation of the wastewater treatment plants
and the pilot plant, the following figure shows the locations of the GWSTP, the
SINOWATER pilot plant and the NEPG together with their in-house wastewater
treatment plant. The arrows with the solid lines represent water pipes. The arrow
with the green line indicates the main inlet of the pilot plant, and the blue dotted line
indicates the PA delivery (Fig. 4.10).
Figure 4.11 shows the test facility on the GWSTP site in summer and winter
operation. The reservoir from which the municipal inflow was taken is shown in
both pictures. The two storage tanks for the PA, which - like all inlet and outlet
hoses of the container - were protected against frost on site with heating cables and
foam due to the extreme weather conditions in winter. The pictures on the right show
interior views of the plant. Several pictures of the individual operating phases and
aggregates can be found in the appendix.
4.1.2.2.3 Project Progress and Operational Phases

The project is subject to different phases. In Germany, the trial period was essentially
designed, constructed and transported to the project site on the basis of an evaluation
of existing basic principles. After about two months by sea and a successful customs
clearance, the pilot plant was delivered to the preselected treatment plant in Shenyang
on 09.05.2017.
Domestic wastewater Industrial waste water “Northeast Pharmaceutical Group Co., Ltd.”
approx. 40% approx. 60 %
NEPG sewage treatment plant

municipal
sewerage
system
Pretreatment Biological Clarification Disinfection Batch-wise delivery

cleaning
Separate
sewer system
Trial-
annex
GWSTP
New sewage
receiving water treatment plant
Fig. 4.10 Constellation of the Shenyang municipal wastewater treatment plant (GWSTP) with the
pilot plant and the NEPG wastewater treatment plant
Fig. 4.11 SINOWATER experimental plant in summer (top), winter (bottom left) and interior views
(right) (FiW)
On site, the piping for the PA inlet and further treatment stages such as the floccula-
tion tank, the filtrate tank for ozonation etc. were further installed. After a frictionless
clear water test, inoculation sludge was added to the activation. However, after a 2-
month test operation phase, the pilot plant had to be moved to the other GWSTP
treatment plant, as it turned out that the new treatment plant built almost 2 years
ago could still not be put into operation due to the unclarified state of the sewerage
system. The wastewater from the surrounding industrial area, which was delivered in
batches as an alternative, was extremely highly contaminated (presumably untreated)
and not suitable for commissioning (or sludge inoculation). During the test phase,
a large amount of foaming activated sludge was observed from the deaeration pipe
despite COD elimination of over 90% after membrane filtration.
The regular operation of the SINOWATER pilot plant extended from 08.2017 to
03.2018. The period can be divided into 3 major operating phases: Construction and
commissioning / start-up phase, test phase for T1 with the municipal wastewater
generated at the GWSTP treatment plant, and test phase for T2 with co-treatment of
pharmaceutical wastewater. Among the last two major test phases, further individual
test phases with different purposes are planned. Table 4.7 provides an overview of
all test phases.
4.1.2.2.4 Sampling, Measurement Methods and Parameter Determination

The main sampling and sampling points and the parameters determined by them are
listed in Table 4.8. To determine the wastewater parameters in the inflow and outflow
of the test facility, a mixed sample was taken daily, consisting of three 600 ml samples
at the same time. The inflow and outflow samples were taken from the reference
treatment plant’s receiving tank or from the respective sampling point at 9:00, 12:00
and 15:00 h and mixed in a collecting tank. For the laboratory analysis approx. 500 ml
were then filled into a bottle and handed over to the laboratory staff. Furthermore,
the sludge parameters were regularly checked by means of random samples from the
aeration tank and filter chamber. With the exception of the sampling for the outlet to
GAK-Filter all samples could be taken from the cleaning stages by ball valves.
The parameters to be determined for each test phase were selected according to the
operating conditions. All analysis results were documented by sampling protocols,
which are shown in the appendix.
The MBR test plant was controlled by a switch box with an integrated PLC touch
panel. Since the plant was fed with different throughputs, in the test phase T2 with
different mixing ratios of municipal and pharmaceutical wastewater, as well as with
different additives, the operating parameters had to be constantly changed or adapted.
The most frequently changed parameters on the touch panel are:
• Plant throughput
• Aeration time Nitrification (and denitrification)
• Flocculation system settings (including running time of FM and FHM pump,
mixing time, total time)
• Volume throughput until the next ÜSS delivery
Determination of the Immediate Parameters

Immediate parameters are the parameters that are measured immediately after
sampling. In the project, the following parameters were measured for each in- and
outflow mixed sample:
• pH value [-]
• Conductivity [µS/cm]
• Oxygen content [mg/L]
• Temperature [°C]
The measurements of the immediate parameters were carried out with the device
“HQ40d” from the company “Hach” (portable 2-channel multimeter). Three different
measuring probes were required for the pH value, conductivity and O2 content. The
temperature could be determined with the pH probe and the conductivity probe.
Furthermore, odour, turbidity and visual colouration of the samples were observed
and their changes documented. The on-site parameters give a first impression of the
condition and treatability of the wastewater.
Due to the low temperatures during the project duration in winter, measurements
with the device were no longer possible and the measuring device had to be moved
from the container to the laboratory about 400 m away after a short time. As a result,
it was not possible to take oxygen and temperature measurements of the drains
(before and after the activated carbon filter) and the inlets after a short time. The
measurements of the pH-values and the conductivity could still be carried out in the
laboratory of GWSTP.
Determination of the Sludge Parameters

The sludge parameters measured during the tests were:
• TS (Dry matter content) [g/l]
• SV30 (Sludge volume after 30 min) [ml/l]
The SV30 was determined in a 1 L standing cylinder daily for the sludge from the
filter chamber and nitrification. Typically, the SV30 should be between 1,000 and
1,500 ml/L during operation. A description of the determination procedure is given
in the appendix.
The dry matter content is tested by filtering the sample, then drying the filter
residue and weighing it. The dry matter content was also determined during the
project for the sludge from the filter chamber and the nitrification. It should be noted
that the dry matter content of the nitrification is between 8 and 12 g/L and slightly
higher in the filter chamber up to 16 g/L.
The addition of e.g. PAH increases the dry matter content. The SV30 is also
affected by this. In order to be able to comply with the mentioned value ranges, the
sludge discharge or the plant throughput must be changed or adapted. (MMS, no
year).
The following parameters were determined for the pharmaceutical wastewater:
• TR (Dry residue) [%]
• oTR (organic Dry residue) [%]
The difference between the TS content and TR or oTR is that the sample is first
filtered when determining the TS content. Thus only undissolved substances are
dried. For the determination of the TR the whole sample is dried without previous
filtrati-on. To determine the oTR, the dish with the dried sample (after weighing for
the TR determination) is heated to about 500 °C, so that all organic residual parts
are burnt. The proportions can be calculated from the respective differences.
Determination of the Wastewater Parameters

Table 4.8 already lists the tested wastewater parameters (sum parameters). Daily
sampling was carried out in order to check the cleaning performance of the MBR
pilot plant and to control the inlet and outlet qualities. The local laboratory of SWSTP
could be used during the whole project duration and on behalf of FiW the laboratory
staff carried out most of the tests according to the standards of the Chinese Ministry
of Environment.
Table 4.9 below lists the determination procedures used for the various parameters
according to the respective Chinese standards.
4.1.2.3 Demonstration Results and Recommendations for Upgrading

Actions in Shenyang
4.1.2.3.1 Presentation and Comparison of Results

The operation of the pilot plant with the mechanically pre-treated inflow wastewater
of the reference wastewater treatment plant GWSTP, which serves the purpose of
subproject T1, extended from 01.08.17 to 23.11.17. Furthermore, the two supple-
mented test series can also be assigned to T1 due to the lack of pharmaceutical
wastewater during the T2 phase, namely the tests from 09.01.18 to 14.01.18 and
from 19.02.18 to 23.02.18, respectively. The results of the first three series of tests
of T1 (see Table 4.7) are presented and analysed in this chapter. For the analysis,
calendar data of the sampling were assigned to numbers in the Numbers diagram.
This is shown in Annex 4–8 in the Appendix.
Table 4.10 first lists the measured parameters in the inlet of the test plant during
operation phase T1. With an average value of 7.9 and a standard deviation of 0.4,
Table 4.9 Determination procedure for wastewater parameters

Parameters Determination method and standards Determination limit
Acidified sample is strongly heated with potassium
dichromate. From the oxidized potassium, which is
COD [mg/l] 16 mg/l till 700 mg/l
equivalent to the oxygen demand, dichromate the
parameter. (GB11914-89, 1989)
Sample saturated with oxygen is stored in a closed
Undiluted:
container under exclusion of light at 20°C for 5 days.
2 mg/l till 6 mg/l
BOD5 [mg/l] The difference between the oxygen content measured
Diluted:
before and after is used to calculate the parameter. (HJ
6mg/l till 6000mg/l
505-2009, 2009)
Spectrophotometry of a Neßler reagent to which a part
of the sample has been added. Cuvettes and from 0,025mg/l
NH4-N [mg/l] instruments from HACH Lange were used for the depending on the
determination. used cuvette
(HJ 535-2009, 2009)
UV spectrophotometry of a cuvette from HACH Lange from 0,05 mg/l
that has been mixed with part of the sample. Cuvettes
TN [mg/l]
and instruments from HACH Lange were used for the depending on the
determination. (HJ 636-2012, 2012) used cuvette
Spectrophotometry of a cuvette from HACH Lange
NO2-N [mg/l] Cuvettes and instruments from HACH Lange were used from 0,015 mg/l
for the determination. (Hachlange Schnelltest)
Spectrophotometry of a cuvette from HACH Lange
NO3-N [mg/l] Cuvettes and instruments from HACH Lange were used from 0,015 mg/l
for the determination. (HACH Lange rapid test)
Spectrophotometry with ammonium molybdate as from 0,01 mg/l
TP [mg/l] oxidizing agent for the decomposition of phosphorus depending on the
compounds. (GB 11893-89, 1989) used cuvette
Filtering of the sample through filter paper with a pore
size of 45 µm and subsequent drying of the filter paper
SS [mg/l] -
at 103°C to 105°C until the weight is constant. (GB
11901-89, 1989)
Table 4.10 Parameters in the inlet of the test plant

Parameters n Ø Max Min s Unit
Water temperature 78 20,9 33,4 9,1 4,4 [°C]
Parameters
Instant
pH value 82 7,9 8,7 7,3 0,4 [-]

Conductivity 81 1468,8 1987,0 887,0 199,8 [µS/cm]
Oxygen content 72 3,3 6,7 0,14 1,2 [mg/l]
COD 89 191,4 371,0 102,0 52,5 [mg/l]
wate
Was
te
BOD5 65 67,7 143,0 24,1 22,2 [mg/l]

NH4-N 89 29,6 57,3 14,0 6,8 [mg/l]
TN 89 34,1 59,6 18,8 6,8 [mg/l]
TP 55 3,6 12,0 2,0 1,6 [mg/l]
SS 67 111,1 348,0 24,0 53,6 [mg/l]
COD : BOD5 65 3,0:1 6,4:1 1,4:1 1,1 [-]
Rati
o
BOD5 : TN 65 2,1:1 4,7:1 0,9:1 0,8 [-]
the pH value is in the optimum range between 7.5 and 8.5 for a biologically based
wastewater treatment. The water temperature is also above the minimum temperature
of 12 °C with an average value of 20.9 °C. As can be seen in the table, data sets of
different sizes are available for the individual wastewater parameters, especially for
BOD5 and TP. The reasons for this were limited capacities, insufficient available
materials and defective analysis equipment in the laboratory of the reference sewage
treatment plant. Based on the analysis data, an average COD:BOD5 of 3:1 was
available in the influent, which is above the optimal ratio for a biodegradability of
2:1. Furthermore, the average COD5:N ratio of 2.1:1 was below the minimum ratio
of 2.5:1.
At the beginning of commissioning, the MBR pilot plant first had to be run in.
For the time being, the cleaning performance was in the background. Rather, the aim
of the start-up phase was to achieve and maintain the following basic requirements
for a stable and reliable cleaning performance:
• Inoculation of the aeration tank with activated sludge from the reference treatment
plant
• Concentration of the activated sludge to a dry substance value of at least 8 mg/l as
well as a basic SV30 value between 1000 ml/l and 1500 ml/l in the aeration tank
• Slowly increase the total throughput to at least 400 l/h and simultaneously
• Prevent the diaphragm pressure from falling below −150 mbar
The MBR + C-Source test series is presented here as an example of the 4 test
series with municipal wastewater.
MBR + CSource
In order to investigate whether the cleaning performance of the test plant against
nutrient parameters could be improved compared to the normal MBR test series by
increased degradability in the influent, glucose was added to the activation (deni
zone) as an external C-source in the form of solution by means of a peristaltic pump

in the subsequent operating phase. Basic operating data and parameters are shown in
Table 4.11. The measured inflow concentrations during the 22-day test phase resulted
in a COD:BOD5 ratio of 2.8 and a BOD5:N ratio of 2.2, which is still outside the
optimum condition. The aim of the addition is to raise the BOD5:N ratio to about
4.5 to 5. The dosing quantity was based on the optimal requirement for a functioning
denitrification on the basis of the worksheet DWA-A 131 and was calculated or
adjusted with the average values from the previous concentrations of BOD5 and TN
in the feed. The BOD5:N ratio is now an average of 5.5:1, so that sufficient readily
degradable carbons should be available for denitrification processes.
However, due to the addition of glucose, sludge production increased, which
meant that excess sludge had to be removed from the system more frequently. As
a result, the sludge age in this operating phase fell to around 20 days. The high
standard deviation of 6.5 days results from the adjustment of the discharge cycle for
the excess sludge. Furthermore, the data from the filtration chamber show that the
filtration properties deteriorated during this operating phase. The gross throughput
initially had to be adjusted occasionally due to the transmembrane pressure being
Table 4.11 Operating conditions and operating parameters of the “MBR + C dosing” operating
phase.
Parameters n Ø s Unit
param
Net throughput 22 343,3 41,5 [l/h]

eters
Inlet
Water temperature 14 15,9 2,6 [°C]

pH 14 7,6 0,1 [-]
COD : BOD5 1,8:1 0,4
15 [-]
(glucose free) (2,8:1) (0,9)
BOD5 : TN 5,5 1,0
15 [-]
(glucose free) (2,2) (0,4)
SV30 15 1195 95,8 [ml/l]
TS 16 10,8 0,8 [g/l]
Room load 0,63 0,06
15 [kgBSB5/(m3*d)]
(glucose free) (0,26) (0,05)
Aeration tanks
Sludge load 0,09 0,01

15 [kgBSB5/(kgTS*d)]
(glucose free) (0,02) (0,004)
Sludge Age 16 20,1 5,0 [d]
Water temperature Nitrification 15 19,2 0,6 [°C]
Oxygen content Nitrification 22 1,9 0,2 [mg/l]
Retention time 22 2,8 0,3 [h]
Reflux ratio 22 6,8 1,1 [-]
Filtration chamber
Gross throughput 22 429,2 51,9 [l/h]

Transmembrane pressure 22 -113,6 22,0 [mbar]
Membrane flow 22 8,6 1,0 [l/(m2*h)]
Permeability 22 77,1 10,7 [l/(m2*h*Bar)]
undershot and therefore averaged only −113.59 mbar. As a result, the membrane
flow also dropped to 8.58 l/(m2 * h). As a result of the lower membrane flow and the
higher average transmembrane pressure, the permeability of 77.05 l/(m2 * h * bar)
was lower than in the “MBR” operating phase. The reduced membrane performance
is due to a stronger top layer formation caused by the higher sludge production,
which is triggered by the addition of glucose. As a result of the reduced membrane
performance, the net throughput decreased, which slightly increased the return ratio
during the operating phase. The average residence time in the aeration tank was about
2.8 h and in the filter chamber about 3.5 h. The sludge parameters and the oxygen
content fluctuated within the assumed values.
The calculated increase in COD concentration is shown in Fig. 4.12. As in the
operating phase “MBR”, there were strong fluctuations in the COD concentration
in the feed, which ranged between 110 and 370 mg/l. In order to accustom the
microorganisms to the carbon load by glucose, only half of the calculated amount
of glucose was dosed by day 94. From day 95 onwards, the COD concentration was
increased by 136 mg/l on average. The outflow concentration reached a maximum
of 40 mg/l and averaged 25 mg/l. The effluent concentration of 50 mg/l of SK IA
was maintained on each measured day. An average COD elimination rate of 92%
was achieved, which ranged between 86 and 97% over the period. Not shown are
effluent concentrations of BOD5 which do not exceed a concentration of 1.6 mg/l
and thus elimination rates between 98% and approximately 100% were achieved.
Figure 4.13 shows the measured nitrogen concentrations during glucose dosing.
The NH4-N concentration was completely eliminated so that no concentration could
be detected in the vicinity. According to the measured values, a change in the TN
concentration in the effluent and the TN elimination rate due to the provision of
glucose only occurred slowly from day 95 onwards. The inflow and outflow values
measured from then on on 13 days resulted in an average elimination rate of 47%.
On day 103 this reached its highest value of 63% and led to the lowest effluent
concentration of 10 mg/l. Due to the reduction of NO3-N to elemental nitrogen,
600 100%
500 80%
400
60%
[mg/l]
300
40%
200
100 20%
0 0%
91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112
CSB Zulauf [mg/l] CSB durch C-Quelle [mg/l] (berechnet)
CSB Ablauf [mg/l] CSB Standardklasse IA [mg/l]
CSB Eliminaonsrate [%]
Fig. 4.12 COD concentrations in the inflow and effluent of the pilot plant and elimination rates
during the addition of glucose
45 100%
40
35 80%
30
60%
[mg/l]
25
20
40%
15
10 20%
5
0 0%
91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112
NH4-N Zulauf [mg/l] TN Zulauf [mg/l]
TN Ablauf [mg/l] TN Standardklasse IA [mg/l]
NH4-N Eliminaonsrate [%] TN Eliminaonsrate [%]
Fig. 4.13 Nitrogen concentrations in the inflow and effluent of the pilot plant and elimination rates
during the addition of glucose
which escapes as a gas, an average effluent concentration of 15.37 mg/l occurred.

The future required effluent concentration of SK IA (15 mg/l) was met on 6 days.
An improvement in phosphorus elimination through the addition of an external
carbon source was also noticeable from day 95. The concentration in the effluent
decreased to a value of 0.5 mg/l on day 103, while at the same time the elimination
rate reached the maximum value of 82%. The highest effluent value was reached on
day 111 with a concentration of 1.4 mg/l. Here, however, the highest concentration
was also measured in the inflow of about 4.0 mg/l. Due to the average elimination rate
of 71% from day 95 on, the future required effluent concentration of 1.0 mg/l of SK
IA was met with an average effluent concentration of 0.90 mg/l. More precisely, the
standard was met on 8 of the 12 days measured. The reason for the higher elimination
rate is the additional supply of carbon. As already explained, the presence of easily
degradable carbon is a basic prerequisite for the incorporation of phosphorus into
the biomass-water (Fig. 4.14).
One of the changes in the cleaning performance of suspended solids has not
been shown during this operating phase. The average elimination rate of suspended
substances was approximately 100%. The following table summarizes the average
concentrations and elimination rates of all parameters (Table 4.12).
Comparison of Results
The test results obtained from all test series during the project phase T1 can be evalu-
ated as follows. After successful commissioning, the sludge solid content (dry matter
content) in the aeration tank and in the filter chamber was in the range between 10
and 14 g/l, which corresponds to the usual operating values of MBR. The membrane
transfer pressure and membrane flows could also be maintained in the desired oper-
ating ranges. The throughput of the plant depends on the membrane performance.
From the running-in phase to the last operating phase it can be seen that initially the
concentration of the activated sludge led to a reduction of the flow or the permeability
of the membrane despite the strong and regular air flushing in the filter chamber.
4.5 100%
4.0
3.5 80%
3.0
60%
[mg/l]
2.5
2.0
40%
1.5
1.0 20%
0.5
0.0 0%
90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112
TP Eliminaonsrate [%] TP Zulauf [mg/l]

TP Ablauf [mg/l] TP Standardklasse IA [mg/l]
Fig. 4.14 Total phosphorus (TP) concentrations in the inflow and effluent of the pilot plant and
elimination rates during the addition of glucose
Table 4.12 Compilation of inflow and effluent concentrations and elimination rates during glucose
dosing
Parameters Inflow [mg/l] Outflow [mg/l] Elimination rate [%]
Description n Ø s Ø s Ø s
COD 15 315 68 25,0 9,0 92% 3%
BOD5 4 153 18 1,0 0,5 99% 1%
NH4-N 15 25 4,6 0,1 0,2 99% 1%
TN 13 29 3,6 15,4 3,0 46% 8%
TP 13 3,2 0,5 0,9 0,3 71% 8%
SS 14 97 31,0 0,3 0,3 100% 1%
The membrane flow decreased from just under 12 l/(m2 * h) in the MBR phase
to 6 to 8 l/(m2 * h) in the supplementary phases while maintaining the optimum
transmembrane pressure range with the aim of achieving the best possible purifica-
tion performance in the research project. In practice, a constant throughput is also
possible, however, taking into account that the membrane pressure must not exceed
the maximum upper limit (in the case of the project −300 mbar) and that the cleaning
performance can be impaired by increasing the pressure.
In addition, the performance of the membrane was impaired by the addition of
glucose, flocculant and PAH, as the increased sludge production resulted in a stronger
top layer. However, membrane filtration allows the adjustment of higher TS contents,
resulting in a higher sludge load and a reduction of the reaction volume.
A comparison of the average effluent concentrations and elimination rates of the
operating phases assigned to T1 with the literature values of the MBR plants in prac-
tice with simulated precipitation is shown in Table 4.13. The average COD effluent
concentrations of the MBR pilot plant correspond to the literature values. Deviations
between the test series can be found, but this is due to a high and fluctuating propor-
tion of industrial wastewater or inert COD in the inflow. The effluent concentrations
of BOD5 are also very low. Easily degradable organic carbon was almost completely
Table 4.13 Comparison of the average effluent concentrations (a, mg/l) and elimination rates (e) of
the pilot plant with literature values of MBR plants with simultaneous precipitation (based on DWA
[18] Dohmann et al. [2] Pinnekamp et al. [3]
Literature
value
MBR MBR + C- Source MBR + C+ FM MBR + C + PAK MBR plant
with
n a e n a e n a e n a e simultane
ous
precipitati
on
COD 22 19,0 90% 15 25,0 92% 5 28,0 86% 5 19,2 88% < 30
BOD5 11 1,2 98% 4 1,0 99% - - - - - - <3,0
NH4-N 22 0,1 99% 15 0,1 99% - - - - - - <2,4
TN 22 28,0 16% 13 15,4 46% 5 10,2 68% 5 13,4 53% < 13
TP 19 1,4 58% 13 0,9 71% 5 0,15 95% 5 0,11 96% < 0,3
SS 22 1,6 99% 14 0 100% - - - - - - 0
TS 22 12,1 - 16 10,8 - 5 16,7 - 5 16,8 - 8 - 20
eliminated, which is why a very low concentration in the effluent was detected. This
results in a good cleaning performance of the pilot plant of carbon compounds in
the wastewater. The addition of flocculants and PAHs could not massively improve
the COD effluent values. The COD concentration could be further reduced by a
downstream activated carbon filter. However, this measure is not very interesting for
upgrading municipal wastewater treatment plants because of the already very good
effluent values in the filtrate of the MBR (far below the future limit value of 50 mg/l).
With regard to the effluent concentrations of nitrogen compounds, the literature
values of the EN of MBR plants were not complied with in test series of the “MBR”
without further measures. Almost no NH4-N was detected in the effluent, which can
be justified by the complete oxidation to NO3-N. In this case, the converted NO3-N
was not reduced to elemental nitrogen, so that the effluent concentration of 28 mg/l
was more than twice the expected concentration of less than 13 mg/l. Responsible
for the incomplete denitrification may be the oxygen carry-over from the continu-
ously aerated filter chamber. The continuous aeration, which enabled the cross-flow
operation of the membrane filtration, could cause an undesired oxygen input into
the wastewater-activated sludge mixture, which flowed via the overflow back into
the upstream denitrification tank. As a result, the setting of an anoxic environment
could be impaired, which could lead to a disturbance of the denitrification processes.
Another cause is the bad C-N ratio in the raw sewage, which has already stoichio-
metrically strongly limited the maximum degree of denitrification. As a result of the
addition of a C source, the TN effluent concentration is significantly reduced. Never-
theless, with improved BOD5:N ratios the literature value or the limit value 15 mg/l
of SK IA was not continuously reached. It should be noted that the term TN or Nges
in the German wastewater Ordinance only covers the inorganic nitrogen fractions.
The wastewater produced contains a large proportion of industrial wastewater in
which hardly degradable organic nitrogen compounds are present. For this reason,
the effluent values of the “MBR + C-Source” operating phase are already compa-
rable with the values in practice. However, the period of 24 days for the operation
phase “MBR + C-Source” can also be the reason for an incomplete formation of the
anoxic biocoenosis. Due to the limited time frame of the project, the operating phase
could not be extended. Although the data density and the reliability of the results
are limited, the two supplemented test series during the project phase T2 showed a
further improved denitrification performance with lower effluent values, which could
confirm the positive effect of glucose addition and its reasonable dosage.
Furthermore, the TP effluent concentrations of the test plant showed relatively
worse values than the literature value during the operating phase “MBR”. However,
this value refers to MBR plants whose TP elimination rates have been improved
by simultaneous precipitation. The biological phosphorus elimination was improved
by the addition of C-source, whereby the effluent concentration dropped from an
average of 1.4 mg/l to 0.9 mg/l and was already below the limit value of 1.0 mg/l.
The achieved average TP elimination rates of 58% without C-source and 71% with
C-source show that the pilot plant demonstrates biological phosphorus elimination.
The addition of a chemical phosphorus elimination in the supplementary test series
“MBR + C + FM” caused the effluent concentration to drop rapidly to 0.15 mg/l,
which was fully in line with the literature values. Due to the limited time period, the
simultaneous precipitation could only be investigated for a few days.
The analysis results of the SS concentrations confirm the desired values. Although
concentrations were found in the analysis results in the effluent, these are due to
measurement errors or unclean sampling. The complete retention of solids as well
as of bacteria and viruses is a clear advantage for the use of the membrane activated
sludge process.
For the wastewater produced in Shenyang, the addition of PAHs could not provide
a significant cleaning performance. Due to fluctuating elimination rates and limited
data capacity, no reliable assessment of the cleaning performance of powdered acti-
vated carbon could be made. The dry matter content increases with the addition of
FM and/or PAH, but according to literature values it is still within the controllable
range (<20 g/l). All in all, the pilot plant delivers an excellent cleaning performance
when treating the rather industrial “municipal wastewater”.
4.1.2.3.2 Comparison of the Treatment Performance of the Pilot Plant

with the Reference Treatment Plant “GWSTP”
In order to be able to evaluate the treatment performance in view of the nature of
the wastewater, a comparison between the effluent concentrations of the reference
treatment plant “GWSTP” and the pilot plant will be made, including the target
effluent concentration, for classification in the SK IA. In this respect, Fig. 4.15 shows
a comparison of the treatment performance of two representative test series of the
test plant and of the large sewage treatment plant during the test period of project
phase T1. First of all, it is noticeable that the test plant showed considerably better
effluent concentrations than the reference treatment plant. It should be noted that the
average effluent concentrations of the reference treatment plant are much higher, as
they were analysed daily by the laboratory.
Apart from the number of values measured, there were also small differences
between the sampling from the reference sewage treatment plant and the sampling
from the experimental plant (Chapter 2.2.4). Due to the 24-h mixed sampling in the
inflow and outflow of the reference treatment plant, the analysis results represent
Fig. 4.15 Comparison of the cleaning performance of the reference wastewater treatment plant
“GWSTP” with the cleaning performance of the test plant in the operating phases “MBR” and
“MBR + C-Source”
the average wastewater quality of the whole day, whereas the three-time sampling in
the inflow and outflow of the test plant is only representative for the period from 9
a.m. to 3 p.m. During this period, more polluted wastewater was discharged due to
the working hours of the industrial plants. Since the effluent values of the test plant
correspond to the literature values and the cleaning performance of the membrane
stage is relatively stable, these values can be used for a qualitative comparison with
the effluent values of the reference treatment plant.
The COD and BOD and NH4-N effluent concentration of the pilot plant is on
average lower than in the reference treatment plant in almost every operating phase.
This is due to the fact that the large sewage treatment plant did not have to comply with
standard class IA before 2018. As already mentioned, the former plant design and
faulty technical management are reasons for the high effluent concentration. In 2005,
the large sewage treatment plant was designed with the main tasks of eliminating
carbon and ammonium nitrogen and thus to comply with the effluent concentrations
of standard class II. In order to be able to compare the load conditions of the two
plants better, the following Table 4.14 shows the average room and sludge load of the
two plants during the project phase T1. As “GWSTP” has additional carrier materials
in the aeration tank operated with the HYBAS process, it is difficult to determine the
exact sludge load. It is assumed that the use of free-floating carrier materials causes
about 10% more biomass in the hybrid activated sludge zone.
Table 4.14 Comparison of the room and sludge load of the reference wastewater treatment plant
“GWSTP” and the pilot plant in the operating phases “MBR” and “MBR + C-Source”
Room load Sludge load
[kgBSB5/(m3*d)] [kgBSB5/(kgTS*d)]
MBR 0,37 0,03
MBR + C-Source 0,63 0,09
Water treatment plant
0,35 0,12 (0,14*)
„GWSTP“
*: without consideration of carrier materials
Without the addition of an external C-source, the low room load of the test plant
during the normal operation phase “MBR” is very close to that of the wastewater
treatment plant, which reflects a good comparability of the two plants. It is notice-
able that the low sludge load of the test plant of 0.03 according to DIN EN 12,556–6
rather points towards sludge stabilisation due to the high dry matter content and the
guaranteed aeration, whereas the sewage treatment plant with 0.12 is only adjusted to
the purification target nitrification, which can explain its limited purification perfor-
mance in terms of N elimination. The average high TN effluent concentrations of the
wastewater treatment plant and the operating phase “MBR” are initially due to the
poor BOD5:N ratio in the inflow. The difference between the two effluent concen-
trations can be assumed to be due to the additional coarse material cell in the test
plant, which has removed some of the easily degradable carbon required, in addition
to the reasons already clarified (oxygen carry-over). Furthermore, inadequate aera-
tion of the sewage treatment plant may have led to anoxic conditions in the basin,
which favoured certain formation of denitrification processes. With the addition of
C-source, the sludge load of the pilot plant could be well adjusted to the target range
of N-elimination and lower effluent values could be achieved.
The experimental plant did not show a significantly better performance in P-
elimination without further measures (C-dosage or simultaneous precipitation). As
expected, the SS concentration in the effluent of the treatment plant is significantly
higher than the effluent concentration of the test plant. In summary, the test results
show that the treatment performance of the test plant is better than that of the reference
treatment plant without consideration of specific investment and energy consumption
and leads to much lower concentrations of the wastewater parameters in the effluent.
This treatment performance can be improved, especially with regard to nitrogen and
phosphorus compounds, by adding a C-source and flocculants, since the nature of
the wastewater to be treated alone does not allow for a better biological treatment.
4.1.2.3.3 Recommendations for Upgrading the Old Municipal Wastewater

Treatment Plants in Shenyang
In principle, the investigations show that the pilot plant has a better purification
performance than the reference sewage treatment plant in Shenyang. In view of the
poor elimination rates of BOD5 and NH4-N, however, this is not due to the technology
used, but to poor management of the reference treatment plant. This leads to the fact
that due to insufficient aeration and circulation of the aeration tanks, the optimal
conditions for the biological carbon degradation and a functioning nitrification are
not created. Therefore, the requirements for the technical operation should be adapted
so that the purification performance of the process used can be improved.
On the other hand, some large municipal wastewater treatment plants in Shenyang
do not aim for extensive nutrient elimination (cf. Chapter 2.3.2) due to the less
stringent environmental requirements (required emission standard) in the year of
construction, which is why the “GWSTP” lacks a separate denitrification zone and
direct comparability with the pilot plant is limited. As a result of the tightening of the
emission standard in the 13th five-year plan (from II or IB to IA) by the environmental
authority, upgrading measures are mandatory at the relevant wastewater treatment
plants in Shenyang from 2018. The GWSTP is primarily the conversion of the existing
old biological stage into AAO basins, which are operated in hybrid mode with floating
carrier materials and should provide a better cleaning performance with respect to
nitrogen and phosphorus..
Furthermore, the C:N ratio in the inlet should be adjusted to allow denitrification
processes to take place. The change in the C:N ratio can be achieved by reducing the
amount of extraneous water and rainwater in the inflow, which is of great importance
for Sponge City and for the effective purification performance of the wastewater
treatment plants in Shenyang. This will lead to higher concentrations of wastewater
parameters in the influent. The question arises whether the sewerage system should
be regularly checked for leaks and damage and repaired if necessary to avoid dilution
of the wastewater by extraneous water.
The additional discharge of industrial wastewater also results in a high load of
easily degradable carbon. Furthermore, the dosing of an external carbon source can
contribute to an improvement. For the conversion there is the possibility to control the
substrate dosage into the aeration tank by means of a nitrate measurement in order
to adjust the optimal C:N. The proportion of biologically non-eliminable organic
residual N in the influent could be determined, for example, by the results of the
test plant (maximum achievable TN effluent values and elimination rate under C
overdosage or empirical values).
The biggest challenge for the GWSTP treatment plant are the industrial waste
waters to be treated. This applies all the more, because in the future still further
industrial enterprises are to be attached to the purification plant and clear production
increases of the enterprises with accordingly increased wastewater quantities are
expected. For this reason, a complete indirect discharge register must be drawn up,
which should include all important and up-to-date information on the plants and
their discharge status and is currently only available in small quantities. Due to the
fact that many sewage treatment plants in Shenyang have only very limited access
to it, the local environmental authorities responsible must exert influence here. The
connection situation of the sewerage system must be examined more closely in order
to be able to make more precise statements about the discharged industrial wastewater
streams. On the other hand, online monitoring of the pre-treatment plant processes
is urgently required, at least for the main companies. In order to be able to detect
possible faults in the downstream sewage treatment plant at an early stage and to
initiate appropriate measures such as commissioning the emergency basin or dosing

powdered activated carbon, the online data must be transmitted directly to the sewage
treatment plant.
From the point of view of cleaning technology, a changeover to the membrane bio-
reactor process would only make sense in the short term if the cleaning performance
of the Shenyang treatment plant in question is not sufficiently improved despite
optimised technical management, conversion measures and wastewater conditions.
Due to the usually low inflow concentrations, it was assumed in the conceptual
planning that the use of MBR for the GWSTP treatment plant is not necessarily
immediately sensible.
According to the already published annual plans or the current environmental
policy of the Chinese central government, even stricter discharge standards will be
required in the future, so that the upgrading of the old sewage treatment plants can
take place. The definition of the discharge standard depends strongly on the water
to be discharged. If sensitive waters or water resource protection areas are involved,
higher standards must be achieved up to surface water quality. For this reason, the state
discharge standard IA is tightened to varying degrees in many priority regions such
as Beijing and the Taihu catchment area. In Shenyang and the Liaohe catchment area,
this trend is also expected to continue in the near future. Figure 4.16: Comparison
of the maximum achievable effluent quality of the pilot plant with the standard of
the Chinese emission and surface water qualities shows the maximum achievable
effluent quality (average values of test series) of the pilot plant and the standards
of the Chinese emission and surface water qualities. With the exception of TN,
most of the achievable effluent values comply with the Chinese standard of surface
water quality class III, which is suitable for use as fishing water or for drinking water
treatment. In this sense, the use of MBR in Shenyang or the catchment area of Liaohe
can be advocated in the long term.
In view of higher operating costs due to higher energy consumption, it must be
weighed up whether the advantages of MBR contribute to a meaningful improve-
ment in cleaning performance in each individual case. From the results of the trials
carried out in the project, the Sinowater concept offers the following advantages for
upgrading the wastewater treatment plants in Shenyang:
• The choice of a sustainable German system with low-maintenance flat membranes
(as in the pilot plant) guarantees a minimum operating time of 10 years for the
first time.
• The process option tested in project phase T1 results in a higher biomass concen-
tration (10–12 g/l), a desirable higher sludge age and thus a considerable saving
of reactor volume and space (4 times as much as GWSTP with a TS content of
2.5 g/l), which can be of great importance for the rapidly developing Chinese
metropolises like Shenyang.
• The flow paths of the wastewater in the sewage treatment plant area are thus
simplified.
• A germ-free and solid-free effluent is created which enables, for example, a reuse
of the wastewater.
Fig. 4.16 Comparison of the maximum achievable effluent quality of the pilot plant with the
standard of Chinese emission and surface water quality
• Secondary settling tanks can also be dispensed with. Necessary further treatments,
which have to be requested by the environmental authorities at short notice or in
the future, such as odour removal by means of a soil filter, can be carried out in
existing saved plant components.
• Simultaneous dosing of external carbon sources into the MBR can be easily
controlled. In case of disturbances caused by industrial wastewater, the dosing
of powdered activated carbon or flocculant into the MBR is recommended.
In the case of upgrading by the MBR process, Fig. 4.17 shows 3 implementation
variants based on the recommendations of the DWA, for example at the reference
wastewater treatment plant GWSTP, with the concept of not building the nitrification
stage separately but integrating it into the membrane stage. In the first option, the
secondary clarifier is to be converted to an upstream denitrification stage and the
aeration tank is to be used as a membrane stage, whereas in the second option the
circuit is to be reversed. The tank volumes saved in this way can be used for another
purpose. In the third option, the secondary settling tank can be completely converted
for further treatment to improve the cleaning performance. Depending on the required
dimensions, the conversion measure should be carried out taking into account the
existing tank volumes. For example, a ratio of 1:1 is recommended for the volume
ratio of denitrification and nitrification tanks in order to reduce oxygen carry-over
through the return flow. In general, calming zones before the sludge recirculation
should be provided in practice to avoid oxygen carry-over into the denitrification
Fig. 4.17 Proposals for upgrading the reference wastewater treatment plant GWSTP to the MBR
process
area or to optimise oxygen utilisation in the nitrification area. In addition, in the case
of the spatially separated filtration area, it is also advisable to return the return sludge
to the nitrification zone. In this way, both sludge circuits can be set separately from
each other Pinnekamp and Friedrich [19]. In order to maintain the performance of
the membrane modules in the long term, the mechanical pre-treatment would have
to be supplemented with a grease trap which can be integrated into the aerated grit
trap.
4.1.2.4 New Approaches to the Co-treatment of Pharmaceutical

Wastewater in the Municipal Treatment Plant
In this chapter the results of the individual test series from the large project phase T2
(co-treatment of pharmaceutical wastewater) are presented first. In order to ensure
the comparability of the different test series, not all parameters were examined due
to the large amount of data. Due to the fact that parameters such as NH4-N, SS and
BOD5 could be almost completely eliminated in all test series, the inflow and outflow
values of COD are therefore preferably compared and the elimination rate calculated
for each test series. For most of the test series, however, additional measured data
of nutrient parameters are given, which allows statements to be made about the
effectiveness of the respective procedure.
The project phase began on 24.11.2017, the date on which the pharmaceutical
wastewater was finally available after several local clarifications and coordination.
The PA proportion in the total inflow is always given as a mass percentage. According
to measurements of the local laboratory, the density of the two wastewater substreams
corresponds. Like the presentation of project phase T1, each measured day is assigned
a number between 1 and 87 (see appendix). Since the series of measurements did
not all take place in a coherent manner, the horizontal axes of some diagrams will
not show any coherent numerical sequences.
Near the SWSTP, a new treatment plant will be in running-in operation from
10.2018. This treatment plant will also be fed with the mixed inlet of municipal and
pharmaceutical wastewater. The expected PA content will be 28%, so that during the
project a PA content of 28% was aimed for in order to test the conditions to which the
new sewage plant in Shenyang will also be exposed. On this basis, a recommendation
for further purification processes will be made, which could be considered for this
and other wastewater treatment plants in the region. In order to test the treatment
limit of the pilot plant, the PA content was further increased to 100% at the end of the
project. The cleaning performance of the pilot plant will be evaluated for the mixed
PA and municipal feed.
4.1.2.4.1 Description Of the Inflow Situation of The Pilot Plant

The total inflow consists of the partial flow municipal wastewater and the partial flow
Pharma wastewater. The municipal wastewater, which was treated in the test plant,
was taken unchanged as before from the inlet to the biological treatment stage of
the “GWSTP” above the submersible pump. Apart from the COD values, most of
the inflow values of this partial stream could be assumed to be relatively constant
during the entire project phase, with only a few larger deviations. The following
diagram shows the concentrations of COD (mean value 176.10 mg/l), BOD5 (mean
value 68.35 mg/l), TN (mean value 30.66 mg/l), and TP (mean value 3.02 mg/l) as
representative values. The proportion of NH4-N in TN is on average 80%.
As explained in Chapter 5.1, the pharmaceutical wastewater (PA), which was also
treated in the pilot plant, has already undergone operational pretreatment, was taken
from the effluent of the NEPG treatment plant and delivered to the pilot plant in
batches as required. The concentrations of the main parameters in the pharmaceu-
tical wastewater are also shown in Fig. 4.18. It is noticeable that the concentrations of
the constituents in the PA vary greatly from batch to batch compared to the municipal
partial flow, which means that the load on the biology in the test plant also varied
greatly. The commissioning of the membrane stage from day 52 in the NEPG wastew-
ater treatment plant improved the effluent values of the treatment plant considerably,
especially for the COD and BOD5.
Figure 4.19 shows the proportion of PA and the COD values representing the mixed
feed (COD from the two partial streams and from the mixed feed). It can be seen that
the proportion of PA mainly had an influence on the COD feed values of the mixed
feed when the COD feed concentrations of PA (before day 52 or commissioning of
Fig. 4.18 Inflow values of the partial flow municipal wastewater (top) and the partial flow
pharmaceutical wastewater delivered in batches (bottom) over the measured period for T2
Fig. 4.19 Influence of the PA content on the mixed feed (COD)

the mixed feed) were very high. However, no direct conclusions can be drawn from
the level of the PA content itself. The downstream municipal wastewater treatment
plant of Shenyang is also confronted with this circumstance, as the discharge values
of the operational wastewater treatment plant of the pharmaceutical company (and
presumably other companies) are subject to strong fluctuations. It can also be seen
that the COD:BOD5 as well as the BOD5:N ratio in the partial streams - and thus
also in the mixed feed - is not at all optimal. Especially in PA, the BOD5 values
are mostly below the TN concentrations due to the pre-treatment and do not exceed
30 mg/l from day 46. In order to set the desired ratio, the dosing of C-source into
the revitalization was continued during the project phase T2. The glucose solution
(175 g/L) had a COD value of about 187,000 mg/l.
The individual batch duration (shown in Fig. 4.18) changes during the entire
project period, especially from the beginning to day 22 due to the adjustment of
the coating ratio until the desired proportion of PA is reached, and from day 81
due to the further increase of the PA proportion up to 100%. A slight fluctuation
of the PA content during the stable feeding phase between day 22 and day 81 can
be attributed to the occasional operational disturbances and sludge discharge. The
working conditions during the entire project period (measuring days 1 to 87), which
influence the plant performance, are shown in the table below, together with the
standard deviation. Operating conditions and parameters for individual operating
phases/series of tests can be found in the appendix (Table 4.15).
4.1.2.4.2 Presentation of the Results of Important Operating Phases

According to Table 4.5 different test series have been carried out. The results of
the MBR, MBR + GAK, MBR + ozone + GAK and MBR + PAK test series are
presented below as examples.
MBR
In this chapter, only the days are examined on which the pilot plant was tested without
the application of further purification stages. A total of 34 measuring days can be
assigned to this phase. As already mentioned, two membrane modules of the type FM
622 of the company siClaro® are installed in the filter chamber, so that the membrane
surface, the flow rates as well as the purge air requirement of a single module can
be doubled. The limit data of a module and the plant are shown in the appendix.
The flow and the membrane pressure must not exceed the upper limit (22 l/(m2 * h)
or −300 mbar), otherwise the membranes may be damaged. A first automatic error
message was given at −150 mbar. According to the manufacturer’s specifications,
the membrane pressure should be below −100 mbar for optimum cleaning perfor-
mance, as explained, which was also to be aimed for during the operating phase. The
membrane pressure depends on the sludge properties, the wastewater constituents,
the throughput of the filtrate pump (in the course of which the membrane flow and
permeability) and the flushing air volume flow. Especially by changing the flow rate
as well as the dry matter content, the membrane pressure could be significantly influ-
enced, as shown in the diagram below (Fig. 4.20, n = 34). Each measured value for
the diaphragm pressure is a representative value of the respective measuring day. In
Table 4.15 Operating conditions of the test facility for project phase T2
Parameters n Ø s Unit
Inlet parameters
Net throughput 87 292,3 53,2 [l/h]

pH 85 7,69 0,8 [-]
COD : BOD5 2,3:1 2,0
85 [-]
(without glucose) (4,8:1) (3,0)
BOD5 : TN 4,1 1,4
85 [-]
(without glucose) (1,1) (1,2)
SV30 64 1053 145 [ml/l]
TS 64 12,8 1,9 [g/l]
BSB 76 0,56 0,25
Room load [kg/(m3*d)]
CSB 87 1,28 0,64
Aeration tanks
BSB 64 0,045 0,026

Sludge luad [kg/(kgTS*d)]
CSB 64 0,098 0,064
Sludge age 87 22,9 5,1 [d]
Water temperature Nitrification 60 19,0 1,0 [°C]
Oxygen content Nitrification 87 2,0 0,5 [mg/l]
Reflux ratio 87 6,1 2,1 [-]
Filtration chamber
Gross throughput 87 365,4 66,1 [l/h]

Transmembrane pressure 87 -96,6 22,0 [mbar]
Diaphragm flow 87 7,5 1,3 [l/(m2*h)]
Permeability 87 84,7 25,2 [l/(m2*h*Bar)]
addition, the membrane pressure is influenced by the addition or residual amount

of various substances such as PAH or FM remaining in the system (from day 54,
increased DM values as a result of the residual effect of FM or PAH dosing). It can
be seen that the diaphragm pressure decreases or increases with a slight time delay
in response to a change in flow. The correlation for the displayed curves is R = 0.59.
After shifting the measuring days by two days, the correlation is R = 0.65.
The working conditions prevailing during the test phase are comparable with those
shown in Fig. 4.21. Figure 4.21 shows the COD inflow and outflow values of the
test plant as a function of the PA content (n = 34). The respective COD contents in
the mixed feed can also be seen. As already mentioned, glucose was added to the
mixed feed in order to support the decomposition of nitrogen. As a reaction to the
high TN feed values of the PA (>82 mg/L) of the test phase “Further increase of the
PA proportion”, the glucose dosage was greatly increased from day 82.
It can be seen that the limit value of 50 mg/l can almost always be adhered to in the
beginning. In the rear part of the diagram, however, it is exceeded, which is mainly due
to the PA content of the mixed feed, which in the end has been increased to 100% over
a few days. It is noticeable that the effluent concentrations, especially from day 54
onwards, are for the most part higher than the PA concentrations, and for the last four
days only slightly lower than the PA concentrations, which indicates the extremely
Fig. 4.20 Relationship between membrane flow, dry substance content and membrane pressure
Fig. 4.21 Inflow and effluent concentrations as a function of PA content during the operating phase
MBR
poor degradability of the COD in the PA (especially in the PA already subjected

to the operational membrane stage, in contrast to the COD content of glucose).
In order to indicate this phenomenon, Fig. 4.22 shows the correlation between the
COD elimination rate (related to the mixed feed without considering an additional C
source) and the PA content in the mixed feed. On the other hand, it can be interpreted
from the slidegram that in the industrial “municipal wastewater”, a part of the COD
can also neither be eliminated by biological stage nor by ultrafiltration. In order to
be able to effect a degradation of the inert COD, further purification processes were
tested (see following chapters).
During the operating phase, the future TN limit of 15 mg/l can only be complied
with on three days with the addition of additional C-source. Despite the fluctuation
in the mixed feed, a stable and orderly elimination line can be seen up to day 61. The
poor effluent values on the rear days confirm that a large part of the nitrogen present
Fig. 4.22 Membrane flow & correlation between PA content and COD elimination rate of the pilot
plant related to the mixed feed without glucose dosing
in the PA, as with COD, is also inert, i.e. biologically non-degradable or hardly
degradable. This part is rather due to the refractory organic nitrogen compounds in
pharmaceutical production (Fig. 4.23).
For the parameters NH4-N, BSB5 and SS the plant delivers fully satisfactory
results, and due to the somewhat low concentrations in the PA feed, the P elimina-
tion with an average effluent value of 0.54 mg/l has been much improved compared
to project phase T1. The average elimination rates as well as inlet and outlet concen-
trations of all parameters are shown in the following table. The COD elimination
rate here refers to the mixed feed with C-dosage. For the calculation of the data,
representative time periods were selected in which the PA content does not exceed
28% and is not influenced by previous test series (e.g. between day 26 and 69).
Fig. 4.23 Inflow and effluent concentrations of TN as a function of PA content during the operating
phase MBR
Fig. 4.24 Change in COD concentrations due to downstream GAK filter
MBR + GAK
The Granulated Activated Carbon Filter (GAK) was also put into permanent opera-
tion during project phase T2. In order to be able to assess the effectiveness of the GAK
in direct comparison to the plant without GAK, Fig. 4.24 shows the COD discharge
values for the same measuring days for the above described operating phase “MBR”
and for “MBR + GAK”. On a total of 23 of the 34 days of the “MBR” operating
phase, the process could be analysed according to GAK. This clearly shows that the
GAK filter further increases the cleaning performance. Only on one day the COD
discharge of the filter is above that of the test plant. This value can be justified by
measurement inaccuracy, as the values only differ from one another by 4 mg/L. It
can also be seen that even the GAK filter cannot significantly reduce the inert COD
content any further, especially if the PA content is increased to 100%. The average
COD elimination rate between the MBR filtrate and the GAK drain for the measuring
days is 18.26% (without measuring day 15).
The average COD concentration of the mixed feed, the average COD effluent
concentration of the MBR (filtrate) and MBR + GAK and the average COD elimi-
nation rate in relation to the mixed feed with glucose are shown in Table 4.18 below
(COD in relation to the mixed feed with C source). In order to achieve uniformity
of presentation, the operating phase “Increase in proportion of the PA” is also not
included in the statistics here. It can be seen that the elimination rate can be increased
by approx. 2% by using the GAK. In relation to the mixed feed without glucose, it
is even almost 5% (Table 4.17).
Table 4.18 shows the elimination rates as well as inlet and outlet concentrations
for the measured parameters. For TP and TN no significant improvement could be
found by using GAK and due to the workload of the laboratory not many measured
values could be collected, which limits the data reliability.
Preozoning + MBR + GAK

During pre-ozoning, the PA partial water stream was ozonated before it merged with
the municipal wastewater partial stream. The exact dosing point is shown in Fig. 4.9.
Fig. 4.25 Inflow and effluent concentrations of the operating phase preozoning + MBR + GAK
The original aim of the pre-ozonation of the PA partial flow is that a favourable
substrate supply (improved BOD:COD or BOD:N ratio in the inflow) for the microor-
ganisms in the aeration tank can be achieved by splitting up the hardly degradable
molecules and compounds in the PA. The ozone was added to the PA partial water
stream via a diffuser while it was pumped from the flocculation tank through a pipe
in the direction of the confluence of the two partial water streams. In the first series
of tests with air supply, the dosing quantity of ozone was fixed at approx. 12 mg per
litre of feed PA on the basis of preliminary tests carried out in the laboratory, and in
the second series of tests with oxygen supply it was increased to approx. 30 mg/l.
The COD inlet and outlet values of the plant are shown in Fig. 4.25. In addition,
samples were taken on some days not only from the filtrate but also from the GAK
filter, and these values are also shown.
From the 7-day trials it can be seen that the limit value of 50 mg/L can always
be complied with. It is noticeable that the effluent values do not look particularly
better in comparison to operating phases without ozonation and that the cleaning
performance cannot be increased with higher ozone dosage. It can be assumed that
also the municipal wastewater partial flow has inevitably come into contact with
ozone. This contact takes place in the inlet pipe to the coarse material cell and also in
the coarse material cell. The total contact time of the ozone with the wastewater flow
is difficult to assess and, according to all known information, is about 15 to 20 s in the
pipe to the coarse material cell and then in the coarse material cell at seconds to a few
minutes, while the actual reaction time between ozone and wastewater constituents
should be less. Sampling after the theoretical contact time for testing the immediate
effect of ozone is unfortunately not possible due to the practical structure of the
system.
The COD inlet and outlet values in relation to the mixed inlet with C-source are
listed in the following Table 4.19. As a result of the fluctuations in the feed, somewhat
larger deviations in the discharge can also be found. For the same 5 measuring days
an increase of the elimination rate of about 2% was achieved by the GAK filter.
MBR + Postozoning + GAK

During post-ozoning, ozone was added to the filtrate (MBR effluent) in the filtrate
tank. The exact point of dosing is shown in Fig. 4.9. The aim was to decompose
the inert COD or the COD not yet decomposed in the biological treatment stage
into filterable “fragments” by ozonation. There may also be pharmaceutical and
other trace substances in the plant effluent which can be destroyed by oxidation. The
resulting “fragments” can then be filtered out through the GAK filter if necessary.
The contact time of the water with the ozone was on average about 5 min. The
excess ozone was removed from the container via a vent pipe. Based on practical
experience in Germany and China, different dosage quantities were tested, which
varied between 3 and approx. 20 mg/l filtrate depending on the source of supply.
Figure 4.26 shows the COD inflow and outflow values and the corresponding ozone
quantity (n = 8, outflow values from different sampling points are also shown on a
large scale).
It can be seen that the limit value of 50 mg/l can always be complied with. However,
the COD discharge value cannot be reduced constantly by using post-ozoning alone.
As with pre-ozoning, a significant increase in the ozone quantity does not result in
a higher purification performance in terms of COD. In this case, the downstream
GAK filter leads to the separation of a fairly large proportion of the remaining COD
at an increased dosing quantity. On average, the use of the GAK filter reduces the
incoming COD concentration of the already ozonated filtrate of the membrane stage
by about 20%. The average COD elimination rate between the plant outlet not yet
treated with ozone and the outlet after the GAK filter is even almost 30%. This is
due to the fact that the ozone makes the inert COD portion filterable by splitting.
The average COD elimination levels, as well as inflows and outflows, are summa-
rized in Table 4.20. It is clear that the effluent concentration can be further reduced
with each stage - especially by combining it with the GAK filter. However, even here
the number of measured data is not sufficient to draw a meaningful conclusion due
to the limited test time.
MBR + PAK (+GAK)

In order to make more powerful statements about the effect of dosing PAHs on the
cleaning performance of the test plant, an additional series of tests was carried out in
which only PAHs were added to the plant as dosing agents. The results of the tests
are presented in this chapter.
The PAH was dissolved in water (100 g/l) in a canister and added to the revitalisa-
tion by means of a peristaltic pump. The exact dosing point is shown in Fig. 4.9 or in
the picture in the appendix. To prevent the PAHs from settling in the PAH solution,
the solution was constantly mixed in the canister with the aid of aeration bars.
According to [15], to reduce the COD concentration from 50 mg COD/l to 20 mg
COD/l, 20 mg PAH/l must be dosed. The average COD withdrawal in their investi-
gations was 0.8–1.2 g COD/g PAH. Different dosages of PAH were investigated in
Fig. 4.26 Inflow and effluent concentrations of COD of the operating phase MBR + post-ozoning
+ GAK
the operating phase, varying between 10 and 50 mg/l. Figure 4.27 shows the COD
inflow and outflow values and the dosing quantities of PAHs per litre of mixed feed
(n = 7). The corresponding operating conditions are listed in the appendix.
Due to the time limit, only 2 to a maximum of 3 measuring days could be carried out
for each dosing variant. During this operating phase, the plant was fed with PA batches
that had already been subjected to the membrane stage and were presumably difficult
to degrade. These batches are characterised by constantly low COD concentrations
and poor BOD5:N ratios. It is noticeable that the significant increase in the PAH
dosage did not lead to any improvement and that the limit value for COD of 50 mg/l
in the filtrate could not be met on measurement day 80. However, the downstream
GAK filter means that the limit value is undercut.
It can be assumed that trace substances that have accumulated on the large
inner surface of the PAHs have been removed together with the PAHs with the
ODP. However, the dry matter content of the sludge in the aeration tanks and the
filter chamber has increased significantly (by approx. 5 g/l each) due to the use of
Fig. 4.27 COD inflow and outflow values of the operating phase MBR + PAH (+ GAK)
PAHs. The optimum values for the sludge parameters could therefore no longer be
maintained for the short-term measures.
The following table lists all measured parameters in the mixed feed (with glucose)
and the respective processes with the elimination rates. The lower purification perfor-
mance for TP and TN compared to the FM operating phase indicates that PAH alone as
an additional stage in combination with MBR cannot increase the plant performance
in terms of nutrient elimination (Table 4.21).
In addition to the dosing of PAH, the pre-ozonation of the PA partial water stream
was tested on one day and the post-ozonation of the MBR filtrate on one day. Since
only one day was tested for each type of ozonation, no representative conclusions can
be drawn from the results. It can be stated that no major COD cleaning performance
was achieved by using both ozonation variants.
4.1.2.4.3 Comparison and Evaluation of Results

The results clearly show that the use of the GAK filter causes the most significant
increase in COD cleaning performance. If we take COD measured values before and
after the GAK filter every day, we obtain an average additional increase in the degree
of elimination of approx. 20% (n = 53). This means that the COD discharge values
can be reduced by about one fifth. This also includes all measurement days on which
other processes were tested (ozonation, FM, FHM, PAH).
The results of the sole use of the test facility (MBR stage) and the combination
of the MBR stage and the GAK filter (n = 23) are shown in the following figure
in the form of box plots, so that strongly deviating values have less influence on
the representation. This illustration also clarifies the statement that the cleaning
performance can be increased by using GAK filters, as the median (the line dividing
the box) of the “MBR + GAK” combination is 8 mg/l below the median of the MBR
stage alone (Fig. 4.28).
To go into the COD elimination further, it can be stated that in addition to the
use of the GAK filter, the use of other cleaning stages also produced good results.
Fig. 4.28 Boxplots for effluent concentrations of COD before and after GAK filtration
Unfortunately, it was not possible to collect a lot of data for some measurement series
(ozonation, FM, PAH), so that the statements made on this should be confirmed in
further tests. Due to the great variation in PA quality between different PA batches (see
Fig. 4.18 and Fig. 4.19), a direct comparison of the absolute effluent concentrations of
all test series is not of great importance. Nevertheless, the following diagram shows
the average COD elimination levels of each test series. In order to be able to assess
the significance of the results, the number of measured values for the respective test
series is also given. The combination “FM + MBR + PAH + GAK” shows (for a
small test series) the best elimination levels, which is probably due to the extremely
high inlet concentrations. In case of very high COD inlet values, slight increases in
the degrees of elimination cause big differences in the outlet values. This should be
taken into account when planning new wastewater treatment plants in the region.
It is noticeable that the treatment performance of the “MBR + PAH + GAK” test
series is decreasing compared to others. Even with GAK, the average rate does not
reach that of the “MBR” test series. The reason for this is, as already clarified, the
commissioning of the membrane stage in NEPG, whose effluents from that time on
contained hardly degradable COD and only had a negative dilution effect on the
entire feed (Fig. 4.29).
Fig. 4.29 Mean COD elimination rates for the different pilot phases.
Table 4.16 Inflow and effluent concentrations and elimination rates of the operating phase MBR
in T2
Parameters Mixed feed [mg/l] Outflow [mg/l] Elimination rate [%]
COD 28 313,4 43,2 32,3 12,0 89,7% 4,6%
NH4-N 26 23,7 5,6 0,10 0,04 99,6% 16,1%
TN 22 41,2 11,0 19,4 6,0 49,9% 14,8%
TP 20 2,9 0,4 0,54 0,2 81,3% 8,0%
SS 22 87,7 19,4 0,07 0,25 99,9% 0,2%
The results of the test series with ozonation had not shown in the relatively short
test period that ozone can act more effectively than activated carbon for the treatment
of the wastewater streams in Shenyang. For economic and safety reasons, activated
carbon (in both forms) could be of more importance for large-scale industrial plants.
In general, the pilot plant was able to eliminate at least 87% of the COD loads in
the influent with a PA content of up to 30% under all possible process combinations.
The limit value of 50 mg/l of the SK IA could be maintained on almost all measuring
days even without GAK or other processes (but with C-dosage).
As can be seen from Table 4.16, the use of the pilot plant without any further
processes has made it possible to achieve cleaning performances for COD, BOD5,
NH4-N, TP and SS that meet the highest effluent standard IA from Table 4.2. For
BOD, NH4-N and SS, the standards are far below those shown in Table 4.2. The limit
value of TP (0.50 mg/l) is only slightly exceeded (0.52 mg/l). For the TP effluent
values, it should be noted that the use of FM has resulted in an increase in cleaning
performance. The addition of FM did not result in significantly lower TP values.
Here the cleaning performance is increased by just 1.45%. In general, it can be said
that the use of FM is a possibility to further reduce both TP and COD effluent values
(especially for inert COD contents). This can be seen in the test results presented as
well as in the results from the preliminary tests for FM selection, where the use of
the PAC has already achieved a COD elimination level of 20% and a TP elimination
level >80%.
Only the limit value for TN cannot always be complied with and is exceeded
by almost 30%. The reasons for this are, as explained several times, the oxygen
carry-over from the filter chamber into the denitrification tank and the poor substrate
supply in the inlet. In order to support the degradation of TN, glucose was added as a
Table 4.17 Mixed feed and effluent concentrations and elimination rates of COD for the operating
phases MBR and MBR + GAK
Procedure Mixed feed [mg/l] Outflow [mg/l] Elimination rate [%]
MBR 18 311,1 49,2 32,7 11,8 89,5% 3%
MBR + GAK 18 311,1 49,2 26,7 8,7 91,5% 2%
Table 4.18 Mixed feed and effluent concentrations and elmination rates for different parameters
of the operating phase MBR + GAK
Parameters Mixed feed [mg/l] Outflow [mg/l] Elimination rate [%]
COD 18 311,1 49,2 26,7 8,7 91,5% 2%
TN 3 42,83 8,0 20,20 0,9 50,1% 10,4%
TP 3 2,52 0,5 0,37 0,2 86,3% 7,3%
SS 18 72,63 39,2 0,00 0 100% 0
Table 4.19 Mixed feed and effluent concentrations and elimination rates of COD in the operation
phase pre-ozonation + MBR + GAK
Mixed feed Elimination rate
Procedure Outflow [mg/l]
[mg/l] [%]
Preozoning + MBR 7 343,8 87,1 33,0 11,5 89,7% 4,3%
Preozoning + MBR + GAK 5 370,1 90,5 25,6 10,6 92,7% 2,8%
Table 4.20 Mixed feed and effluent concentrations and elimination rates of COD for the operation
phases MBR, MBR + post-ozoning and MBR + post-ozoning + GAK
[mg/l] [%]
MBR 8 33,5 11,5 89,1% 3,7%
MBR + Postozoning 8 307,5 32,9 31,0 10,5 89,8% 3,6%
MBR + Postozoning + GAK 8 23,9 8,9 92,3 2,7%
Table 4.21 Mixed feed and effluent concentrations and elimination rates of COD, TN and TP for
the operation phase MBR + PAH (+ GAK)
[mg/l] [%]
MBR + PAK 7 323,1 30,6 41,6 6,8 86,9% 3,2%
COD
MBR + PAK + GAK 4 317,8 30,1 34,5 7,0 88,9% 2,1%
TN MBR + PAK 7 48,1 3,2 24,1 3,3 49,8% 6,7%
TP MBR + PAK 5 3,4 0,1 0,4 0,1 88,3% 3,5%
C source to varying degrees (setting C:N ratio), which had a great effect to a certain
extent. However, the TN feed values of the PA were subject to strong fluctuations,
so that the adjustment of the dosing quantity could often only be carried out too
late - as soon as the measured values were announced by the laboratory. Figure 4.30
200
150
[mg/l]
100
50
0
1 13 20 26 30 35 40 44 47 52 59 65 69 73 77 80 81 84 85 86
NH4-N NO2-N NO3-N Rest-N
Fig. 4.30 Composition of nitrogen in the PA over the entire project period
shows the measured nitrogen fractions in PA of all batches. Significant changes in

composition are only seen from the start of operation of the membrane stage of
NEPG with a dominance of nitrate and residual N, whereas before that there are
strong fluctuations. The large proportion of organic residual N also confirms the
poor degradability of TN in PA.
In order to investigate the effect of C-dosage or denitrification to a large extent,
nitrite and nitrate concentrations were also measured in the effluent (filtrate) on
certain days. Figure 4.31 shows that the nitrate fraction had been decomposed prop-
erly under C-dosage independent of test series and PA content, with nitrite and NH4-N
hardly being found. The dosing ratio (BOD5: N 4–5) tested was sufficient to bring
the nitrate concentration below 10 mg/l for most of the measuring days, even in the
presence of oxygen carry-over. Not degradable are the residual N-fractions existing
in the mixed feed, which are organic or inert and cannot be biologically ammoniated.
For the elimination of this fraction further approaches are necessary.
Fig. 4.31 Composition of nitrogen in the effluent (filtrate) over the entire project period.
4.1.2.4.4 Recommendation for Action on Pharmaceutical Wastewater

Treatment in Shenyang
The main objective of subproject T2 is to develop a recommendation for the treatment
of pharmaceutical (and municipal) wastewater for the Shenyang region.
From a purely process-technical point of view, it can be interpreted from the test
results that for a locally planned mixed treatment of different types of wastewater,
in addition to the use of the membrane activated sludge process, above all the down-
stream connection of activated carbon filters is to be used. Not only COD effluent
concentrations can be reduced in this way, but also trace material loads. The recom-
mendation to use GAK filters can be supported by a large amount of data, in contrast
to other test series.
The results of the test series on ozonation also provide high COD elimination rates.
However, ozone is not easy to handle and the energy costs for ozone production in
ozone generators are also high. The corrosive effect has already been shown after a
few days in the test plant on the ozone system, when leaks occurred in connections
and hoses. This leads to extensive maintenance work and associated costs. In addi-
tion, unwanted oxidation products can be produced during ozonation. In this case,
precise investigations are necessary for concrete plant planning. It is estimated that
the micro pollutants introduced in Germany a few years ago will not be regarded as
standard parameters in China in the near future, so that the use of ozonation is not
recommended as a first priority compared to GAK filters.
The dosing of external C-source can be used to adjust the C:N ratio at high TN
feed values. Since the majority of the COD in pharmaceutical wastewater is most
likely inert, dosing of readily degradable carbon in the form of glucose or similar
will still be useful to support the degradation of TN and TP. However, the cost and
effort factor must also be taken into account here. For example, intermittent dosing is
recommended, which should be based on the results of preliminary tests and online
monitoring of the COD and nitrate concentrations in the mixed feed or in the activated
sludge.
The highest COD elimination rates were achieved by a combination of pre-
precipitation of PA, treatment in the MBR pilot plant, dosing of PAH into the revital-
isation system and downstream connection of a GAK filter. Due to the cost factor and
the complexity of mixing and dosing, only one of the two dosing agents should be
selected in large-scale technology (and if necessary only for emergencies). It should
be noted that PAH can be dosed in powder form. As in subproject T2, preliminary
tests are useful for selecting a suitable agent. For the pharmaceutical wastewater of
NEPG in Shenyang, the use of flocculants can be dispensed with, since no or only
low elimination rates were achieved (COD: no increase; TP: 1.45%).
According to the collected and analysed results, the combination of a possible pre-
precipitation for heavily loaded wastewater substreams (especially with high COD
and TP inflow values with online monitoring as a prerequisite), a possible simul-
taneous precipitation as well as glucose dosage into the activation, the membrane
activated sludge process as main component and a downstream activated carbon filter
is proposed as a recommendation for the co-treatment of pharmaceutical wastewater
in municipal wastewater treatment plants in Shenyang.
Fig. 4.32 Schematic diagram of the NEPG wastewater treatment plant
As a concrete example of the technical upgrade of an industrial wastewater

treatment plant, the NEPG wastewater treatment plant, after an external membrane
module has already been installed, can be further modified by treatment with FM and
the use of activated carbon filters in case of emergency. After thorough preliminary
investigations, ozonation or PAH dosage can also be carried out in an emergency. The
technical and economic feasibility must be checked in the course of this and further
investigations and tests must be carried out with the actual wastewater. Fig. 4.32
shows a schematic diagram of the NEPG’s operational wastewater treatment plant
with the technical equipment (fields marked green).
Obviously, there is a great variation in the material loads of the delivered wastew-
ater batches of NEPG, which can be traced back to both the functioning of the
operational pre-treatment stages and the production of NEPG. Throughout the entire
project period, different production processes were running in the pharmaceutical
plant, the cycle of which is unknown for reasons of confidentiality. The fluctuations
are not only to be found in NEPG, but also in experience with other plants that have
no pre-treatment or only limited pre-treatment. Therefore, beyond the procedural
recommendations for action, stricter controls of the discharging industrial plants as
well as the technical upgrading of the operational wastewater treatment plants should
be addressed in order to ensure that the set discharge standards into the sewerage
system (see Table 4.5) can be met.
However, as can be seen from the results (also from T1), a large amount of inert
COD is discharged into the public sewerage system by NEPG or other companies.
The inert COD cannot be biodegraded at all or only to a small extent. Furthermore, the
nutrient ratio in industrial wastewater is not suitable for the degradation of nitrogen,
a typical example being the extremely poor C:N ratio in pharmaceutical wastewater
after the use of NEPG’s own membrane stage. The cleaning performance of the
public sewage treatment plant is impaired by the dilution effect of industrial partial
flows, even though the discharge standard of the indirect dischargers is maintained.
In this context, it is particularly recommended to adapt the Chinese discharge
standard of plants where not only limit concentrations for certain parameters have
to be observed. The discharging companies should ensure a nutrient ratio in their

already pre-treated wastewater by adapting the process technology so that municipal
wastewater treatment plants have better basic conditions for nitrogen and phosphorus
degradation. Further nutrient elimination in industrial wastewater.
4.1.4 Annex
Annex 4-1: Sampling protocol
Annex 4-2: Dosing tank for glucose and powdered activated carbon (top left), dosing hose (bottom left) and
view into the experimental container
Annex 4-3: ozonegenerator „C-Lasky DTI“ by „AirTree“ (FiW)
Annex 4-4: flocculation tank (inside) and agitator (FiW)
Annex 4-5: adjustable operating parameters inculding scale
Feeding pump 1 Stop Auto By hand
drive Finescreen Stop Auto By hand
Dry running 0 – 100 %
Rake off 0 – 100 %
Finescreen
Rake on 0 – 100 %
High alarm 0 – 100 %

Pre-cleaning
Delay me 0 – 999 s
Pace on 0 – 999 s
Pace off 0 – 999 s
Max. runme 0 – 999 h
Pharma transfering pump Stop Auto By hand

pharmaceucal
waste-water
Dosing pump FM Stop Auto By hand
runme FM-pump 0-∞s
Dosing pump FHM Stop Auto By hand

Runme FHM pump 0-∞s
Agitator Stop Auto By hand
Mixing me 0 – 999 h
Feeding pump 2 Stop Auto By hand
Pump off 0 – 100 %
Start of flucculaon 0 – 100 %
NOR feeding pump 2 0 – 100 %
Total me 0 – 999 min
Compressor denitrificaon Stop Auto By hand

Denitrificaon
Pace on 0 – 999 s
Compressor nitrificaon Stop Auto By hand
Pace on 0 – 999 s
Nitrificaon
Min air flow 0 – 99 Nm3/h
Max air flow 0 – 99 Nm3/h

Acvaon
Filtraon off 0 – 100 %
Acvaon tank
Filtraon in 0 – 100 %
Feeding pump 1 stop 0 – 100 %
Feeding pump 2 stop 0 – 100 %
High alaerm 0 – 100 %
Recirculaonpump Stop Auto By hand

Ball valves
EKH M10 Stop Auto By hand
EKH M11 Stop Auto By hand
Compressor 1 filtraon tank Stop Auto By hand

Compressor filtraon
Compressor 2 filtraon tank Stop Auto By hand
Pace on 0 – 999 s
Min air flow 0 – 99 Nm3/h
Max air flow 0 – 99 Nm3/h

Filtraon
Filtrate pump Stop Auto By hand
Filtrate amount 0 – 3000 L/h

Filtraon
Filtrate amount min. 0 – 3000 L/h
p_min 0 – (-350) mbar
p_minmin 0 – (-350) mbar
Pace on 0 – 999 s
Manual set point 0 – 100%
Filtrate transfer pump Stop Auto By hand
Filtraank
Pump off 0 – 100 %
Pump on 0 – 100 %
Setpoint sludge discharge 0 – 100 m3

Sludge
discharge and regulaon
Actual value sludge discharge -

discharge
Parts sludge 0–5%
Setpoint coarse-discharge 0 – 200 m3

Coarse
Actual value coarse-discharge -
Chemical cleaning on off
Annex 4-6: Used sensors and probes and their tasks
Sensor/Probe Installation point Purpose

Level sensor Coarse material cell, nitrification / Operational flow
denitrification basin, filter chamber
Temperature sensor Nitrification / denitrification basins Biodegradation monitoring
Oxygen content probe Nitrification basin Assessment of the ventilation
setting
Redox potential probe Denitrification basin Assessment of denitrification
performance
Pressure sensor Between the diaphragm and the diaphragm Monitoring the condition of the
pump membrane
Annex 4-7: Volume of the plant components of the test plant
Investment component Average filling Efficient

Description Volume
level Volume
Filter chamber 2 m3 –0,8
VF 91% 1,2 m3
m3
Aeration tank
VBB
(denitrification: 67% - 75% 1,4 m3 (1:1) 1 m3
(VDeni.:VNitri.)
nitrification)
Coarse matter cell approx. 0,8
VG 100% 0,8 m3
m3
Activated carbon filter VAKF - 31,3 L each 1,3 L each
Filtrate tank VP 50% approx. 60 L approx. 60 L
Pipes (length: 30 m) VR - approx. 60 L approx. 60 L
Determination SV30
First the stand cylinder is filled with 800 ml MBR wastewater (process water). Then
the sample to be tested is removed from the filter chamber or nitrification basin. Before
the sample can be taken from the nitrification, the aeration of the nitrification must
be switched on for 2 min to ensure that the nitrification sludge is mixed. Afterwards,
the cylinder is filled up with 200 ml sludge, so that the volume of the filtrate-sludge-
mixture is 1 L. By closing the cylinder and the subsequent mixing by shaking, a
complete mixing in the cylinder is achieved. Now a 30-min settling time is waited
for. The sludge should now have settled so that a clear and a sludgey phase can be
clearly seen. The read value of the sludge phase (in ml) must now be multiplied by
5 to obtain the SV30.
Annex 4-8: Allocation of the calendar dates to the diagram numbers for project phase T1
Nr. date Nr. date Nr. date Nr. date
1 04.08.2017 32 04.09.2017 63 05.10.2017 94 05.11.2017
2 05.08.2017 33 05.09.2017 64 06.10.2017 95 06.11.2017
3 06.08.2017 34 06.09.2017 65 07.10.2017 96 07.11.2017
4 07.08.2017 35 07.09.2017 66 08.10.2017 97 08.11.2017
5 08.08.2017 36 08.09.2017 67 09.10.2017 98 09.11.2017
6 09.08.2017 37 09.09.2017 68 10.10.2017 99 10.11.2017
7 10.08.2017 38 10.09.2017 69 11.10.2017 100 11.11.2017
8 11.08.2017 39 11.09.2017 70 12.10.2017 101 12.11.2017
9 12.08.2017 40 12.09.2017 71 13.10.2017 102 13.11.2017
10 13.08.2017 41 13.09.2017 72 14.10.2017 103 14.11.2017
11 14.08.2017 42 14.09.2017 73 15.10.2017 104 15.11.2017
12 15.08.2017 43 15.09.2017 74 16.10.2017 105 16.11.2017
13 16.08.2017 44 16.09.2017 75 17.10.2017 106 17.11.2017
14 17.08.2017 45 17.09.2017 76 18.10.2017 107 18.11.2017
15 18.08.2017 46 18.09.2017 77 19.10.2017 108 19.11.2017
16 19.08.2017 47 19.09.2017 78 20.10.2017 109 20.11.2017
17 20.08.2017 48 20.09.2017 79 21.10.2017 110 21.11.2017
18 21.08.2017 49 21.09.2017 80 22.10.2017 111 22.11.2017
19 22.08.2017 50 22.09.2017 81 23.10.2017 112 23.11.2017
20 23.08.2017 51 23.09.2017 82 24.10.2017 113 09.01.2018
21 24.08.2017 52 24.09.2017 83 25.10.2017 114 10.01.2018

22 25.08.2017 53 25.09.2017 84 26.10.2017 115 11.01.2018
23 26.08.2017 54 26.09.2017 85 27.10.2017 116 12.01.2018
24 27.08.2017 55 27.09.2017 86 28.10.2017 117 13.01.2018
25 28.08.2017 56 28.09.2017 87 29.10.2017 118 14.01.2018
26 29.08.2017 57 29.09.2017 88 30.10.2017 119 19.02.2018
27 30.08.2017 58 30.09.2017 89 31.10.2017 120 20.02.2018
28 31.08.2017 59 01.10.2017 90 01.11.2017 121 21.02.2018
29 01.09.2017 60 02.10.2017 91 02.11.2017 122 22.02.2018
30 02.09.2017 61 03.10.2017 92 03.11.2017 123 23.02.2018
31 03.09.2017 62 04.10.2017 93 04.11.2017
Annex 4-9: Allocation of the calendar dates to the diagram numbers for project phase T2
1 24.11.17 23 16.12.17 45 07.01.18 67 04.02.18

2 25.11.17 24 17.12.17 46 08.01.18 68 05.02.18
3 26.11.17 25 18.12.17 47 15.01.18 69 06.02.18
4 27.11.17 26 19.12.17 48 16.01.18 70 07.02.18
5 28.11.17 27 20.12.17 49 17.01.18 71 08.02.18
6 29.11.17 28 21.12.17 50 18.01.18 72 09.02.18
7 30.11.17 29 22.12.17 51 19.01.18 73 10.02.18
8 01.12.17 30 23.12.17 52 20.01.18 74 11.02.18
9 02.12.17 31 24.12.17 53 21.01.18 75 12.02.18
10 03.12.17 32 25.12.17 54 22.01.18 76 13.02.18
11 04.12.17 33 26.12.17 55 23.01.18 77 14.02.18
12 05.12.17 34 27.12.17 56 24.01.18 78 24.02.18
13 06.12.17 35 28.12.17 57 25.01.18 79 25.02.18
14 07.12.17 36 29.12.17 58 26.01.18 80 26.02.18
15 08.12.17 37 30.12.17 59 27.01.18 81 27.02.18
16 09.12.17 38 31.12.17 60 28.01.18 82 28.02.18
17 10.12.17 38 01.01.18 61 29.01.18 83 01.03.18
18 11.12.17 40 02.01.18 62 30.01.18 84 02.03.18
19 12.12.17 41 03.01.18 63 31.01.18 85 05.03.18
20 13.12.17 42 04.01.18 64 01.02.18 86 06.03.18
21 14.12.17 43 05.01.18 65 02.02.18 87 07.03.18
22 15.12.17 44 06.01.18 66 03.02.18 88 08.03.18
Annex 4-10: Data of the siClaro® FM 622 and the MBR (MMS, o. J.)
siClaro® FM 622 MBR

Filtration area 25 m2 50 m2
Dimensions (L x W x H) 608 x 362 x 1360 [mm] 2 Modules of this size
max. flowrate 11 l/(m2*h) 22 l/(m2*h)
3
max. flow 14,700 m /d 29,400 m3/d
max. Membrane pressure -300 mbar -300 mbar
Purge air requirement 16,500 Nm3/h 33,000 Nm3/h
Annex 4-11: Operating conditions and operating parameters for all T2-related test phases
Operang phase MBR
Operating parameters n average s Mud age [d] 34 20,56 2,58
QN [l/h] 34 292,61 57,34 TSBB [g/l] 34 11,98 1,65

QB [l/h] 34 365,76 71,67 SV30BB [ml/l] 34 1026 125
MFN [l/(m2*h)] 34 6,06 1,10 BR,COD [kg/(m3*d)] 34 1,10 0,27
MFB [l/(m2*h)] 34 7,57 1,38 BR,BOD5 [kg/(m3*d)] 34 0,59 0,21
PN [l/(m2*h*bar)] 34 69,86 23,04 BTS,COD [kg/(kgTS*d)] 34 0,088 0,044
PB [l/(m2*h*bar)] 34 87,32 28,80 BTS,BOD5 [kg/(kgTS*d)] 34 0,048 0,025
pH 34 7,52 1,19 COD:N 34 3,83 1,69
O2 [mg/l] 34 2,18 0,55 (COD:N)G 34 7,65 2,12
TBB [°C] 30 18,48 0,90 BOD5:N 34 1,35 0,96
RV 34 6,18 1,86 (BOD5:N)G 34 4,33 1,43
MBR + GAK
QN [l/h] 23 296,81 62,66 TSBB [g/l] 23 11,97 1,79

QB [l/h] 23 371,01 78,33 SV30BB [ml/l] 23 1026 125

2
MFB [l/(m *h)] 23 7,68 1,40 BR,BOD5 [kg/(m3*d)] 23 0,65 0,22
pH 23 7,44 1,43 COD:N 23 3,75 1,90
O2 [mg/l] 23 2,21 0,55 (COD:N)G 23 7,75 2,29
TBB [°C] 19 18,54 0,76 BOD5:N 23 1,39 0,83
RV 23 7,14 1,65 (BOD5:N)G 23 4,49 1,32
Preozoning + MBR + GAK

QN [l/h] 7 239,74 45,89 TSBB [g/l] 7 12,65 0,91

QB [l/h] 7 299,68 57,37 SV30BB [ml/l] 7 1021 99

pH 7 7,70 0,22 COD:N 7 6,36 2,88
O2 [mg/l] 7 1,61 0,54 (COD:N)G 7 10,48 3,67
TBB [°C] 7 19,01 1,24 BOD5:N 7 2,21 1,78
RV 7 6,46 2,69 (BOD5:N)G 7 5,40 2,35
MBR + postozoning + GAK

QN [l/h] 8 273,34 42,76 TSBB [g/l] 8 12,07 1,42

QB [l/h] 8 341,67 53,45 SV30BB [ml/l] 8 1044 136
pH 8 7,73 0,14 COD:N 8 3,85 1,01
O2 [mg/l] 8 2,29 0,49 (COD:N)G 8 7,37 1,57
TBB [°C] 8 18,1 1,05 BOD5:N 8 1,28 0,43
RV 8 7,1 2,38 (BOD5:N)G 8 4,05 0,96
FM (+ FHM) + MBR (+ PAK) (+ GAK)

QN [l/h] 15 265,73 40,27 TSBB [g/l] 13 14,29 1,99

QB [l/h] 15 332,16 50,34 SV30BB [ml/l] 12 1160 164

2
MFB [l/(m *h)] 15 6,79 1,09 BR,BOD5 [kg/(m3*d)] 15 0,72 0,32
pH 15 7,51 0,67 COD:N 15 9,38 3,45
O2 [mg/l] 15 2,15 0,58 (COD:N)G 15 13,01 3,30
TBB [°C] 12 19,77 0,50 BOD5:N 15 1,99 1,23
RV 15 8,77 1,65 (BOD5:N)G 15 4,78 0,96
MBR + PAK (+ GAK)

QN [l/h] 7 296,52 2,72 TSBB [g/l] 7 13,75 1,07
QB [l/h] 7 370,65 3,40 SV30BB [ml/l] 7 964 35

2
PN [l/(m *h*bar)] 7 63,97 9,79 BTS,COD [kg/(kgTS*d)] 7 0,071 0,010
pH 7 8,01 0,16 COD:N 7 3,09 0,59
O2 [mg/l] 7 2,16 0,53 (COD:N)G 7 6,74 0,70
TBB [°C] 7 19,23 0,89 BOD5:N 7 1,02 0,13
RV 7 5,46 0,05 (BOD5:N)G 7 3,93 0,48
Supplementary trial phase T1: MBR + FM

QN [l/h] 5 241,36 8,2 TSBB [g/l] 5 15,81 0,55

QB [l/h] 5 301,7 10,20 SV30BB [ml/l] 5 1250 96

2
PB [l/(m *h*bar)] 5 55,83 5,4 BTS,BOD5 [kg/(kgTS*d)] 5 0,02 0,005
pH 5 7,56 0,51 COD:N 5 6,00 1,32
O2 [mg/l] 5 2,25 0,30 (COD:N)G 5 11,74 1,64
TBB [°C] 5 16,88 0,62 BOD5:N 5 2,65 0,93
RV 5 5,81 0,2 (BOD5:N)G 5 7,15 0,97
Supplementary trial phase T1: MBR + PAK

QN [l/h] 5 342,41 47,5 TSBB [g/l] 5 13,40 0,51

QB [l/h] 5 428,01 59,3 SV30BB [ml/l] 5 1000 0

2
PN [l/(m *h*bar)] 5 53,97 13,59 BTS,COD [kg/(kgTS*d)] 5 0,07 0,006
pH 5 7,67 0,24 COD:N 5 5,37 1,24
O2 [mg/l] 5 2,28 0,54 (COD:N)G 5 11,14 1,17
TBB [°C] 5 16,78 0,80 BOD5:N 5 2,09 0,56
RV 5 4,98 0,67 (BOD5:N)G 5 6,64 0,33
References
1. Baumgarten S (2007) Membranbioreaktoren zur industriellen Abwasserreinigung, Dissertation

zur Erlangung des akademischen Grades eines Doktors der Ingenieurwissenschaften von der
Fakultät für Bauingenieurwesen der Rheinisch-Westfälischen Technischen Hochschule Aachen
2. Dohmann M, Buer T, Vossenkaul K (2002) Stand und weitere Entwicklung membrantechnis-
cher Anlagen im Bereich der Wasserversorgung und Abwasserentsorgung. Vortrag. Büchel,
Januar 2002
3. DWA 131 (2016) Arbeitsblatt DWA-A 131- DWA-Regelwerk Bemessung von einstufigen
Belebungsanlagen, Hennef
4. DWA-M 22738 (2011) DWA-Merkblatt 227, Membran-Bioreaktor-Verfahren (MBR-

Verfahren), DWA Fachausschuss KA 7, Hennef, Entwurf, Stand 27.07.2011
5. FiW eV (2015) SINOWASSER Vorhabensbeschreibung.
6. Hu P (2017) Nachhaltige Klärschlammentsorgungskonzepte für die Stadt Shenyang
unter besonderer Berücksichtigung deutscher Erfahrungen, Masterarbeit am Lehrstuhl für
Siedlungswasser- und Siedlungsabfallwirtschaft RWTH-Aachen
7. Itokawa H, Thiemig C, Pinnekamp J (2008) Design and Operating Experiences of Municipal
MBR in Europe. Water Sci Technol 58(12):2319–2327
8. Jin L, Zhang G, Tian H (2014) Current state of sewage treatment in China. In: Water Research.
66 Jg., S. 85–98
9. Judd S (2011) The MBR Book: Principles and Applications of Membrane Bioreactors for Water
and Wastewater Treatment, Butterworth-Heinemann, second edition
10. Krause S, Zimmermann B, Thiemig C (2011) Untersuchungen zum ressourcenscho-
nenden Betrieb von Membranbelebungsanlagen - Optimierungen hinsichtlich Energie- und
Chemikalienbedarf, Korrespondenz Abwasser (58) Nr. 9, 2011
11. Li X, Li G (2015) A Review: Pharmaceutical Wastewater Treatment Technology and Research
in China. In: Asia-Pacific Energy Equipment Engineering Research Conference. Zhuhai, China,
13–14 Juni 2015
12. MEP (2010) China environmental statistics annual report 2010, Ministry of Environmental
Protection of the People’s Republic of China
13. MEP (2016) China environmental statistics annual report 2016, Ministry of environmental
protection of the People’s Republic of China
14. Meteoblue AG (2018) Klima Shenyang 2018. https://www.meteoblue.com/de/wetter/vorher
sage/modelclimate/shenyang_china_2034937, zuletzt abgerufen am 23.05.2018
15. Metzger S, Kapp H (2007) Adsorptive Abwasserreinigung zur Verbesserung der Gewässerqual-
ität, Hochschule Biberach, Institut für Geo- und Umwelt, Lehrgebiet und Labor für Sied-
lungswasserwirtschaft,15 S.
16. Mitschele M (2013) Untersuchungen zur aeroben Abwasserreinigung ohne biologische
Überschußschlammproduktion. (Technik). Hamburg: Diplomarbeiten Agentur
17. NEPG: Website der Northeast Pharmaceutical Group Co., Ltd. http://www.nepharm.com,
zuletzt abgerufen am 16.01.2018
18. Pinnekamp J, Benström F, Nahrstedt A, Böhler M, Knopp G, Montag D, Siegerist H (2016) Leis-
tungsfähigkeit granulierter Aktivkohle zur Entfernung organischer Spurenstoffe aus Abläufen
kommunaler Kläranlagen. Ein Review halb-und großtechnischer Untersuchungen. Teil 1:
Veranlassung, Zielsetzung und Grundlagen. In: Korrespondenz Abwasser. Jg. 63, 2016, Nr.
4, S. 276–289
19. Pinnekamp J, Friedrich H (2006) Membrantechnik für die Abwasserreinigung, Schriftenreihe
Siedlungswasser- und Siedlungsabfallwirtschaft NRW, Band 1, 2. aktual. Aufl., FiW-Verlag,
Aachen
20. Shan L (2017) Application and Demonstration of sewage treatment and sludge disposal
technology in Shenyang. Vortrag des Shenyang Academy of Environmental Sciences,
SINOWATER-Symposium 2017, Peking
21. Shenyang EPB (2017) Offizielle Homepage des Environmental Protection Bureau von der Stadt
Shenyang. http://www.syepb.gov.cn/data, zuletzt abgerufen am 16.05.2018
22. Tian Z (2017) Upgrading Strategy of North WWTP in Shenyang, Vortrag des Urban Water
Environmental Department of CRAES, SINOWATER-Symposium 2017, Peking
23. Xiang L (2017) Treatment Technology of Pharmaceutical Wastewater. Vortrag des Chinese
Research Academy of Environmental Sciences, SINOWATER-Symposium 2017, Peking
24. Xiao S, Zhang G (2011) Treatment of Berberine Pharmaceutical Wastewater Containing Copper
by Bipolar Electrochemical Process. In: Environmental Engineering Technology. Jg. 1, 2011,
Nr. 1, S. 295–299
25. Yun Y (2018) Upgrading of wastewater treatment plants in Germany and in China - progress and
trend, a contribution to the closing Symposium Integrated Lake Basin Management Dianchi,
Vortrag des Forschungsinstitut für Wasser- und Abfallwirtschaft an der RWTH Aachen (FiW)
e.V., SINOWATER-Abschlusssymposium 2018, Kunming
26. Zhang P (2006) 沈阳铁西工业区改造的制度与文化因素 Human Geograph, vol. 21, No. 2,

04.2006
27. Zeng P, Du J, Liu Y, Gao H, Liu R, Song Y (2015) Pharmaceutical wastewater treatment in
China and the world. A bibliometric analysis of research output during 1990–2013. Res. Rev.
J. Pharmaceutical Qual. Assurance. Jg. 1, 2015, Nr. 1, S. 30–37
Chapter 5
The Planning, Management and Decision
Support Systems of Kunming’s Urban
Drainage System
Hailing Wang, Liu Dan Yu, Paul Wermter, and Florian Rankenhohn
5.1 Overview
5.1.1 Chinese Policy Background
To enhance the effectiveness of prevention and control of water pollution, a series of

management requirements and technical targets are proposed in national and industry
related policy documents. For example, the action plan for water pollution preven-
tion and control demands for the rapid transformation from the existing combined
drainage system to separated sewage system. If it is difficult to transform a given
system of combined drainage, the measures such as intercepting the run-off, regu-
lating and storing, and controlling should be taken into consideration. It is necessary
for each city and region to determine the transformation mode of drainage system
according to the demand of local water management.
H. Wang (B)
Kunming Dianchi Investment Co., Ltd, Yunnan 650228, P. R. China
L. D. Yu
Guangzhou Municipal Engineering Design and Research Institute Co., Ltd., 348 Huanshidong
Road, Guangzhou 510160, China
P. Wermter · F. Rankenhohn
Research Institute for Water and Waste Management at RWTH Aachen (FiW), Kackertstr. 15-17,
52056 Aachen, Germany
F. Rankenhohn
Department Resource Efficient Wastewater Technologies, University of Kaiserslautern,
Paul-Ehrlich Street 14, 67663 Kaiserslautern, Germany
P. Wermter
Ministry of Climate Protection, Environment, Energy and Mobility of Rhineland-Palatinate,
Kaiser-Friedrich-Street 1, 55116 Mainz, Germany

https://doi.org/10.1007/978-3-030-80234-9_5
170 H. Wang et al.
MHURC (2015)1 [1] requests that the drainage water quality of lakes must not
be lower than the surface water standard class IV. Except for the period of rainfall,
the combined sewer should not directly discharge into the water body. The Tech-
nical guide lines for urban wastewater drainage requests that in areas where drainage
pipes are laid below the groundwater level, the inlet water’s chemical oxygen demand
(CODcr) concentration of municipal wastewater treatment plants (WWTP) cannot
be lower than 260 mg/L in dry days, or increase by 20% per year on the basis of
the existing water quality concentration. The ‘13th five-year plan’ for the construc-
tion of urban wastewater treatment and recycling facilities issued by the national
development and reform commission and the ministry of housing and urban-rural
development, demands to speed up the resolution of the uneven layout of wastewater
treatment facilities and the implementation of stricter discharge standards in areas
with serious water pollution.
The local government responded positively to the above policies. The implemen-
tation plan of the three-year critical action for the protection and governance of
Dianchi lake (2018–2020) demanded that in 2018, Dianchi Caohai’s water quality
should reach class IV (compare Table 5.1). Dianchi’s water quality throughout the
year reached classes V, but was better in the dry season with class IV. In 2020
Dianchi Caohai and Waihai water quality should achieve class IV. In addition, the
Chief River Commander’s Order signed and issued by Kunming municipal party
committee secretary in March 2018, demands to
• complete the construction of diversion and retention facilities for the channel and
tributaries
• prevent the overflow when the initial rainfall of the channel and tributaries is
7–10 mm/d
• effectively reduce the pollution load of the water from the combined sewer flowing
into lakes and rivers.
Furthermore, in order to effectively control the eutrophication of Dianchi water
body, authorities ask to strengthen the control of discharge of major water contam-
inants and the so-called recycling of wastewater from the urban WWTP or re-use
of urban wastewater. Therefore, Kunming compiled the main water contaminants
discharge limit values for urban WWTP in Kunming (trial). The discharge limits of
major water contaminants under normal operation mode of urban WWTP in Kunming
administrative region and the limits of discharge of major water contaminants under
rainy season operation mode of overflow sewage in rainy season were stipulated and
stricter discharge standards were implemented to further reduce pollution in Yunnan.
1City office letter [2004] no. 153 issued by the Ministry of Housing and Urban-Rural Development
of the People’s Republic of China (MOHURD).
5 The Planning, Management and Decision Support Systems 171
Table 5.1 Discharge limit of major water contaminants in Kunming urban WWTP (trial)
Contaminants Grade A Grade B Grade C Grade D Grade E
BOD5 4 6 10 10 30
COD 20 30 40 50 70
NH4-N 1.0 (1.5) 1.5 (3) 3 (5) 5 (8) 15 (20)
TN 5 (8) 10 (15) 15 15 30
TP 0.05 0.3 0.4 0.5 2
Values in brackets are valid from December 1 (inclusive) to March 1 (exclusive).
5.1.2 Current Status and Problem Analysis
Since the 11th five-year plan, a large number of water environment treatment projects
have been built in the Dianchi basin, especially in the main urban area of Kunming.
The administration of the main urban area of Kunming has built 15 WWTP (two are
still under construction, compare Fig. 5.1). The total service area of the main urban
sewage system is 518.8 km2 . The wastewater treatment capacity reaches nearly 2
million cubic meters per day, and the effluent quality is better than grade A. 19 storm
water overflow tanks have been built (two of which are still under construction).
In addition, 5,722 km of municipal network for drainage and 96 km of a circular
sewerage system for collecting sewage around the lake have been built. Together,
these components are forming an integral urban drainage system (compare Table
5.2).
On the one hand, the construction and operation of these projects have improved
the collection and treatment of the domestic sewage in the dry season, and effectively
reduced the overflow frequency of combined sewers in the rainy season. It helped
reducing the pollution load, protecting the river channel and ensuring the safety of
water quality which flow into the Dianchi lake. The Evaluation on the implementation
of the 12th five-year plan for Dianchi lake governance compiled by the Chinese
academy of engineering affirmed the achievements of Dianchi lake governance in
recent years. The water quality in Dianchi has been stabilized and continuously
improved. The pollution load from point sources has been significantly reduced.
On the other hand, because a transformation from combined to a separated sewer
system is a difficult and complex task, the urban combined sewer system will still
exist for several years. The relationship between runoff and performance of the
drainage system has become increasingly complex. It is difficult to control the
terminal drainage facilities that serve for both: the drainage of pollution in the
dry season and the flood discharge in the rainy season (compare Fig. 5.2). This
complex situation causes overflow discharges with negative effects for the receiving
water bodies. Not only that, but also the treatment load between different WWTP is
extremely unbalanced. There is yet a lack of data for the upstream pump stations of
the receiving WWTP. The setting and timing of the stored capacity and discharged
capacity of controlled retention facility lacks a sound data basis, and it is not effective
172 H. Wang et al.
Fig. 5.1 WWTP within separate drainage areas in Kunming
Table 5.2 Overview of WWTP in Kunming city centre
to deliver all the treated sewage to the plant. In addition, the operational performance
of completed governance projects is lacking of data, too, and the project operation
is mainly focused on node optimization. With the increasing requirements for water
quality protection of Dianchi, the consciousness for a dedicated water environment
management system is also increasing. Therefore, new governance problems have
posed new questions:
• How to reduce emissions by managing and controlling the system by using
synergies of existing facilities?
• How to make decide on a scientific basis, whether to build new facilities or restore
existing facilities
Fig. 5.2 Drainage systems facilities and examples for severe overflows
• How to improve the management of engineering measures and non-engineering

measures in the governance of Dianchi.
5.1.3 Methods
In conclusion, the requirements for water environmental management of the

“National Policy” are significantly increased. Therefore, the determination and the
pressure to carry out Dianchi lake management are gradually increased. In the face
of the problems of the Kunming drainage system and related treatment projects,
effective storm water management measures are as follows:
• Supporting the objective of water quality improvement, the authorities carry out
precision pollution control within the Dianchi basin
• Promoting the objective of capacity improvement, the authorities will use
engineering governance decision-making;
• Stimulating the objective of effectiveness improvement, the authorities will
implement a united regulating system.
The “source - network - station - plant - river - lake” integrated linkage manage-
ment mechanism and technical system will be established for the total system perfor-
mance maximization. It aims to combine, the overall planning of the rainfall collec-
tion, treatment and reuse facilities. This integrated approach should strengthen the
interaction between the effectiveness of facility system and the quality of water
environment. The integration will hugely impact on planning and design, oper-
ation management, optimization control and decision-making of Kunming urban
174 H. Wang et al.
drainage system. Finally, let the project decision and system operation of Dianchi
lake management become scientific and intelligent.
5.2 Managerial Decision Support System of Urban

Drainage System
In order to scientifically and systematically govern Dianchi, data fusion management

is required. It is necessary to rely on information means to assist the planning of
Dianchi lake governance project, the scientific management of drainage facilities and
the efficient operation. By establishing a comprehensive database with a standardized
format, complete content and the latest updates, the data management and monitoring
of massive drainage facilities can be realized. It serves to fully understand and get
a clear picture of the current situation of drainage facilities. The management is
aiming at establishing a systematic simulation decision-making tools and multi-level
effectiveness evaluation index system. It should be combined with the monitoring
data and multiple scenario simulation analysis and comparison. This system provides
support for the decision-making and evaluation of Dianchi lake treatment project
and the regulating control of drainage facilities. It not only enhances the capacity
of decision support for major projects, but also optimize operational efficiency and
effectiveness of existing facilities.
5.2.1 Data System
Data is the basis of decision-making. The goal is to realize the standardization and
unification of a large amount of planning data, structural data and engineering oper-
ations and scheduling management data (compare Fig. 5.3). There is a need for data
on drainage catchment areas, drainage systems, combined overflow basins, WWTP
and other parts of the drainage system. Authorities will rely on a unified data centre
to carry out data management. The unified data centre should make it connectable,
shareable, and serviceable for decision-making. It should support data update and
improvement and long-term accumulation in the process of construction and renova-
tion of drainage facilities. Finally, it may provide long-term support for the evaluation
of the application data, optimizing the design scheme of drainage facilities planning
and regulating operation of engineering.
Firstly, the data standards need to be unified, and the data structure of the GIS data
related to drainage of Dianchi lake needs to be harmonised and agreed respectively.
Secondly, a unified management platform of database for drainage facilities should
be developed based on data standards. Based on GIS technology, the platform real-
izes the display, query and edit of Kunming drainage facilities data, and maintains
the complex network topological relationship of facilities dynamically. It can be
Fig. 5.3 The iterative update mechanism for the basic data of Kunming drainage facilities
used for facility connectivity and upstream and downstream analysis. Furthermore,
it can be used as the supervision software for drainage GIS data rapid analysis and
measuring projects. The uniqueness and effectiveness of the database are guaran-
teed by using unified data management software. Finally, a unified data management
method should be formulated to clarify the feedback update mechanism and contin-
uous update mechanism for the data, as to improve the refresh rate of data. Through
appropriate data confidentiality mechanisms, the data security can be guaranteed and
the abuse of urban infrastructure data can be prevented.
Through the construction of the unified data system, the drainage data standards,
software tools and management mechanism of Dianchi basin are standardized. The
existing resources can be fully shared to improve the investment efficiency of data
system construction and the constant and frequent use of data.
The collection and transmission system should be constructed for all kinds of
Dianchi lake operation data like:
– water quality and quantity data for key drains,
– water quality and quantity data of input and output water in storage pool
– key operation parameters, water quality and quantity data of Niulan River,
– the water quality and quantity data of tail water,
– the water flow and quality of the western traffic tunnel,
– water quality data of the main canal which intercepts sludge around the lake, etc.
By the means of data standardization in the projects, the effective accumulation
and quick access of project-related data can be realized to ensure the long-term
operation of the data centre.
176 H. Wang et al.
5.2.2 On-line Monitoring System
According to the project decision-making requirements of monitoring data of local

drainage system in Kunming, the advanced “Internet of things” technology is
adopted. It will help to carry out the whole monitoring process of discharge sources,
branch manholes and main manholes, pumping stations, storage facilities and WWTP
of Kunming drainage system. Furthermore, meteorological observation data, river
and lake water quality monitoring data and river hydrological monitoring data are
processed and added to the system. The responsible institutions for the data are
Kunming meteorological bureau, environmental protection bureau and hydrolog-
ical and water resources bureau. The Dianchi lake treatment information collec-
tion system will be established with reasonable layout, clear level, complete func-
tions, soft and hard integration and long-term effectiveness. Finally, the integrative
comprehensive perception of “source-network-station-WWTP-river-lake” should be
realized.
Based on the current evaluation, the online monitoring and early warning system
for urban drainage network was established and operated in a long-term. It follows
and holistic approach for the monitoring of the drainage network. It ensures contin-
uous, accurate and updated monitoring data and helps to provide a reliable decision-
basis for drainage engineering. Ensuring long-term stability, a standardised super-
vision mechanism is established. It can monitor the operation status and calculate
risks for drainage facilities dynamically, quickly track and warn the drainage system
management department. By collecting the long-term drainage operation data, it can
be used to identify necessary maintenance and helps to derive operation rules for
drainage facilities. It assesses and diagnoses the current operation status of drainage
facilities, supports the decision of major projects, and assesses the implementa-
tion effects of sponge city, black smelly water, drains and other related projects
quantitatively.
During the construction process of the online monitoring system, the following
monitoring requirements are mainly considered:
(1) Collection and accumulation of long-term monitoring data of the status-quo
drainage system. Relevant facilities should continuously be monitored and
tracked to accumulate data, so as to form localized technical criterions and
provide experience and guidance for similar urban drainage pipe network
construction and transformation. It cannot only improve the scientific and
effective management level of the pipe network, but also improve the oper-
ation efficiency of the drainage system. It also supports the modification of
the parameters and verification of the calibration of the mathematical model.
And it also provides the basis for real-time warning forecasting and dynamic
assessment.
(2) Programming the scale of reconstruction design scheme and determining the
reference basis of the planning and reconstruction design scheme. Based on
accurate data and the mathematical model it provides the reference for the
objective design and determination of pump station, sewage plant and other
facilities, and objective evaluate the advantages and disadvantages of existing

drainage system. According to the existing problems, propose the improvement
for the planning scheme, and conduct scientific and systematic optimization.
(3) With the continuous improvement of drainage pipe network construction,
advanced monitoring and modelling is used to support the scientific decision-
making and performance evaluation of facilities in accordance with relevant
technical criterions and under the guidance of scientific concepts.
5.2.3 Model Simulation System
In order to comprehensively and objectively evaluate the operation effect of Dianchi

treatment facilities, it is necessary to construct a comprehensive simulation system
which integrates the source-network-station-WWTP-river-lake system, to realize the
simulation analysis and evaluation of the system.
Firstly, a dynamic model for pollution flux in the land and water areas of Dianchi
Lake should be established. It simulates the main processes of rainfall, runoff,
nonpoint source pollution-point source import - pollutant flux and transfer - surface
emissions and the entrance of runoff and pollutant loads, into Dianchi through trib-
utaries. Then the data of sewage and pollution load, treatment reduction and water
inflow for each sub-basin were obtained.
Secondly, a 3D-model of water quality and algae for Dianchi needs to be estab-
lished to simulate how pollutants are transported and transformed within the water-
body. It is designed to analyse the relation between amount of water in tributaries and
the water quality of contaminated waterbody of the Dianchi. Combining a land-water
management model, helps to better understand the contribution of the tributaries on
the water quality of Lake Dianchi. The analysis of the major factors which are
impacting the water quality and the duration of water not meeting the standard of the
requirements, helps identifying the water reaches that would meet the requirements.
It would also help to find as the impacted watercourses, estimating the control value
of contaminants in each estuary and the targeted value to reduce to.
At the same time, it is necessary to model the drainage system. The operating
rules of the drainage system on dry days and rainy days were simulated and analysed
with the water quantity and water quality constraint conditions of the given drainage
system. Make a systematic evaluation of the design of drainage pipe networks, reten-
tion facilities and WWTP, and analyse and study a variety of optimal operation
scheduling strategies such as integrated design of multi-pump stations, trans-regional
control, and the integrated design of pipe network and WWTP, retention facility and
pump station, etc. The mathematical model is used to carry out annual simulation
analysis and evaluation on the implementation effect of various optimized opera-
tion and design strategies and analyse the response relationship between drainage
facilities and water environmental protection.
178 H. Wang et al.
Finally, in order to maintain data quality and also keep up with the current data
need, regular upgrade and maintenance are needed for the database and models based
on land use change, management change, change of layout of the treatment plants
and the change of rainfall, etc. so that decision making would become easier.
5.2.4 Performance Evaluation System
The evaluation objectives, decision-making objectives and specific evaluation

indexes of the system are determined hierarchically (compare Table 5.3). It supports
the scientific decision making of Dianchi management by evaluating the situation
and management scenarios.
Models are used to simulate the ongoing operation of the drainage system and
to draw the water balance relationship diagram of the study area. The operating
condition of the drainage system in the area is analysed. Analysis parameters are in
particular core indices such as the overflow frequency, the annual overflow rate of the
retention basin/catchment area, the annual overflow frequency of the controlled over-
flow structure, the retention facility, which is coordinated with the annual wastewater
treatment quantity and pollution load of the WWTP. The result is the annual evalua-
tion report and conclusions for problem diagnosis. Existing problems in the current
operation scheme are pointed out and the inconsistencies of the existing drainage
facilities are clarified.
In the decision-making process of the Dianchi Basin, major projects affecting
the drainage system should be based on the above-mentioned model. The decision
support should address site selection and scale determination of the WWTP, the
site selection and scale determination of the retention facility, the construction of
major sewers, the reconstruction or new construction of large pumping stations, in
particular, projects that have a large impact on the operation of upstream and down-
stream related drainage facilities, complicated and variable boundary conditions, and
inter-connected relationship upstream of the facility. We need to collect necessary
monitoring data, and determine and validate model parameters. The mathematical
model is used to simulate and analyse the system response under various working
conditions, multiple scenarios and multiple different planning schemes. It is used
to quantitatively evaluate the impact of key points, and support the planning and
control of related major projects. After the project is completed, the effect evaluation
should be based on the measured data, and the model should be used to optimize
and improve the operation and design strategy, improve the investment operation
efficiency of major projects, and maximize the efficiency of project investment.
Table 5.3 Parameters of performance evaluation

180 H. Wang et al.
5.3 Progress in Practical Application
5.3.1 Data Construction and Application
5.3.1.1 Data Standard Establishment
Digitization of the drainage system is a complicated and systematic project, char-

acterised by a long construction period. The accurate and effective collection of
drainage data is the key to the effectiveness of digitization of the drainage system.
During the 12th Five-Year Plan period, Kunming City carried out the construction of
drainage facilities such as retention facilities and pumping stations. Combined with
the needs of engineering and operation management, several digitization projects of
the drainage system projects have been launched. Due to lack of standard require-
ments for drainage facility data, standards of drainage monitoring equipment and
monitoring strategies during the design and construction process, some drainage
data cannot be collected accurately. This is leading to a lack of key data for drainage
facility management. It can ultimately affect the effectiveness of drainage digiti-
zation projects. The technical level of drainage facility design and management is
effectively improved based on the lesson learned from the digitization of existing
drainage systems. Therefore, we need to establish relevant standards, standardize
and guide the design and construction process of drainage facilities and reserve the
integrated data interface for post-information system construction.
Based on the relevant digitization experience of the Kunming Dianchi Invest-
ment company, the Technical Standards for Data Management of Urban Drainage
Facilities in Yunnan Province (DBJ53/T-93-2018) [2] were established. This realized
the regional expansion of national standards and the establishment of a harmonised
data format, complete content and dynamic update for an urban drainage facilities
basic database. At the same time, the Technical Standard for Online Data Collection
of Urban Drainage of Yunnan Province (DBJ53/T-9 4 -2018) [3] was established.
This set standards for online data collection and transmission of drainage facilities,
harmonised the list of key information data and technical standards for drainage
facilities data such as retention facilities, pumping stations and pipe networks. It also
ensures the timeliness and authenticity of the dynamic data of drainage facilities. The
preparation and implementation of the above data and collection standards ensure
the uniformity of the GIS data and dynamic monitoring data of the drainage facilities
at the source, and provides reference for the compilation of other relevant standards
of the Dianchi governance information system.
The next steps will be based on the technical needs of digitization of Dianchi
governance, combined with the promotion and development of related projects,
summarizing and refining, compiling corresponding technical standards, standard-
izing technical work and related data, thus providing a complete standard system for
digitization of Dianchi governance.
5.3.1.2 Data Platform Construction
The network topology structure follows the principle “one centre, two sub-stations,
several field control points”. The investment company is the host for the data centre,
and the drainage company and Dianchi water service were used as the extension sub-
station to realize the on-demand calls to data resources and the application (compare
Fig. 5.4). It is integrated with nearly 70 core hardware devices such as necessary
servers, workstations, disk arrays, switches, and intrusion prevention devices, and
deployed with more than 60 sets of core basic software such as database, ArcGIS,
configuration software, PLC programming software, watershed drainage model soft-
ware, network security management software, antivirus, network video software and
so on. These field control points provide reliable guarantee for daily network opera-
tion and maintenance, data storage and backup, video online monitoring and infor-
mation system operation and development, and provide basic guarantee for the stable
operation of the company’s information systems.
The systems launched are:
• the development practice of the Kunming main city pipe network information
system,
• Kunming main city retention facility information system,
• Kunming lake East coast information system,
• the Western Catchment Operating System and
• a series of application software.
Fig. 5.4 Network topology following the principle “one centre, two sub-stations, several field
control points”
182 H. Wang et al.
The systems are based on the above-mentioned basic software and hardware
and network platform (see picture above), combined with the specific management
needs of various periods and various engineering projects, through the customized
development method. It provides a corresponding business subsystem for the asset
management, monitoring and retention facility monitoring and management of the
Kunming drainage network, and drainage system operating analysis.
Based on the experience, they developed information management function
modules for some regions and some facilities. The modules provide a functional
foundation and valuable experience for the next step of digitization.
However, in general, the existing related application software systems are not
strong overall. The functions are strongly limited, the operation methods are not user
friendly enough, some functions are isolated, the operation and maintenance are not
in place and a complete set of Kunming drainage information application software
systems have not yet been formed. In the next step, the development needs to be
based on the overall requirements of drainage management, unified data standards
and system architecture to plan the software application functions. It also integrates
existing related modules, information and functions, providing an integrated visual
management decision window of drainage planning management in Kunming.
5.3.1.3 Data Feedback and Application
With the rapid development of Kunming, the urban drainage facilities are constantly
upgraded. Based on years of experience in drainage facility data management,
Kunming Dianchi Investment has proposed a management mechanism for data feed-
back and update. The data feedback and update workflow include data collection and
processing, on-site data monitoring, data management and storage, data applications
and feedback as shown in Fig. 5.5.
Before the urban drainage facilities data is updated, new and reconstructed
drainage blueprints within the data detection scope of this stage are collected, and the
data problems reported by the data use unit are formed to a fault detection map. The
effective development of the fault detection map clarifies the scope of data measure-
ment and improves the working efficiency of the field measurement unit. At the same
time, through the spatial superposition analysis with the existing drainage facility
data, a repeated mapping of the drainage facility data is avoided. This could save
money for data collection.
At present, most urban drainage facilities data detection does produce unclear
relationship between mapping results and existing data topologies. In the manage-
ment mechanism of data feedback and update the connection requirements of the
data detection results are clarified. It provides evidence for establishing clear data on
urban drainage facilities. The main connections are shown in Fig. 5.6.
In 2015, in the process of establishing the drainage system water model in the
southern part of the main city, the data of the 101.2 km drainage pipes was manu-
ally supplemented (compare Fig. 5.7). This was done due to the incomplete data at
Fig. 5.5 Data feedback update workflow
the time, which caused the uncertainty of the simulation results and affected scien-
tific decision making. However, through the implementation of the Kunming main
city data measurement project (Phase I), the measurement group supplemented and
improved the 174.4 km drainage pipe data, and the length of the pipeline coinci-
dent with the manually added pipeline was 84.26 km, and new drainage system data
of 90.14 km was added. The data complements the integrity of the urban drainage
184 H. Wang et al.
Fig. 5.6 Integration of drainage facilities in the data management system
facility database, provides the basic information for the model analysis of the drainage
system, and improves the credibility of the model analysis results.
In the data feedback application process, the tracking and improving of the existing
drainage system is supported as well. For example, after verifying the misaligned
of the QIAN WEI West Road sewage on site (compare Fig. 5.8), combined with
the hydraulic model analysis of the area and the actual flooded water situation, a
comprehensive plan for the transformation of the displaced manholes and for the
prevention of floods is proposed.
With the help of the model, the impact of the node is systematically evaluated.
The operation of the pipeline after the transformation of the misaligned manhole is
shown in Fig. 5.9.
After the implementation of the misaligned manhole reconstruction project, the
pipeline operation status has improved significantly, and the pipeline overflow capa-
bility has been improved. The modified manhole can match the demand for the
overflow capacity of the sewage pipeline in the development and construction of the
Qianwei West Road area. This case of finding suspected data and making improve-
ments is also an indication of the importance of data verification feedback. Through
doubtful data, it can help managers to improve the problem of drainage network and
improve the operational efficiency of the overall system.
Through the continuous data updates of several projects, a unified drainage facility
data update software platform has been initially developed. It is based on unified
data and a complete GIS database of the city’s drainage facilities, and has more than
4,100 km of drainage facilities data.
At the same time, a dynamic data acquisition system is connected to relevant
dynamic monitoring data of the facilities. It consists of objects such as main sewage
plant, retention facility, pump station and pipe key nodes in the main city. At the
same time, a dynamic update mechanism for data has been established. Through
the method of annual measurement and verification, it is possible to continuously
update and improve the basic data of drainage facilities such as drainage pipes,
Fig. 5.7 Overlay analysis of data updated by measure and by manual addition in the Southern
Catchment
ditches, rivers, sluice gates, valves, discharge ports, drainage pump stations, WWTP,
etc. It can continuously improve the integrity and quality of current drainage data.
186 H. Wang et al.
Fig. 5.8 QIAN WEI West Road flooding situation
Fig. 5.9 Operation of misaligned manhole before and after project implementation
5.3.2 Online Monitoring Application
5.3.2.1 Monitoring Network Construction
The monitoring network design is based on the needs of related projects. It aims
to determine reasonable monitoring points. The arrangement of monitoring points
should be closely linked with the purpose of acquisition and application of monitoring
data (compare Table 5.4). The purpose of monitoring should not only meet short-
Table 5.4 Monitoring stations in the Kunming drainage system

Project Types Quantity Subtotal Total
Monitoring of the circular sewer Flowmeter 8 33 135
around the lake
First stage of coordinated and Flowmeter 25
efficient project
Northern catchment water level Water level gauge 6 101
monitoring
Southern catchment water level Water level gauge 6
monitoring
Western level water level Water level gauge 19
monitoring
Drainage company drainage online Water level gauge 70
water level monitoring
Panlong River main stream water Flow monitoring station 1 1
quantity automatic monitoring
station
term assessment and verification needs, but also focus on long-term data demand on
planning and management of drainage system. Based on the fully understanding of
the local drainage network, the river, land use type, urban water accumulation point,
and the status quo of the project improvement project, the location of monitoring site
is arranged (compare Fig. 5.10).
In the monitoring of the drainage network, not all monitoring points are installed
permanently. Instead, we consider temporary measurements to reduce monitoring
costs. There are three types of data monitoring services: single sampling, short-
term temporary monitoring, and long-term temporary monitoring. It is necessary
to combine on-site investigation and on-site inspection to optimize the selection of
monitoring methods.
(1) Conduct field investigations on suspected areas, configure portable liquid level
flow meter to quickly monitor instantaneous flow rate, and select and test the
sample with serious problem according to the size of the drainage and the
pollution status.
(2) Discharge orifices or manholes with larger instantaneous monitoring flow or
larger suspected problems: Quickly install related online monitoring equipment
for online monitoring of short-term dry season flow, and obtain continuous flow
monitoring data for at least 7 days to ensure the validity of monitoring data
and collect monitoring data online.
(3) For areas with outstanding short-term temporary monitoring problems or areas
suspected of mixed rain and sewage, install relevant online monitoring equip-
ment for on-line monitoring of long-term temporary flow. The continuous flow
monitoring data cover at least 6 typical field rainfall events, each monitoring
point lasts for 2 to 3 months during the rainy season to ensure the validity of
188 H. Wang et al.
Fig. 5.10 Monitoring facilities

monitoring data and collect monitoring data online. This allows for the selec-
tion of a reasonably applicable monitoring method based on the specific needs
of the project.
In the construction process of the monitoring system, it is necessary to pay more
attention to the maintenance during the operation. This will ensure the quality of the
data and ensure the successful operation of the equipment, thus providing effective
and timely monitoring data for drainage management.
5.3.2.2 Water Quantity Analysis and Decision in the Northern

Catchment
At present, the use of monitoring data for decision support in Kunming is mainly
reflected in the long-term monitoring and quantitative evaluation of the drainage
water system in the dry season and the rainy season. Based on a water balance
analysis, the actual amount of water in the service area of the sewage treatment plant
is analysed. This provides data support for the potential tapping and reconstruction of
the district’s sewage plant. In addition, based on the water quality balance analysis,
the inflow and infiltration of the area, the pollution by storm water discharge, and the
implementation of diversion and transformation, treatment and separation projects
are studied.
A more representative implementation of monitoring-based decision support
applications is the rapid monitoring and evaluation of dry season traffic in the
Northern Catchment in 2017 (compare Fig. 5.11). The purpose of the project is
to obtain the real-time monitoring data of the dry season sewage discharge in the
Northern Catchment of the dry season. This is based on the one-month flow moni-
toring and water quality test in the dry season. A second purpose is to effectively
analyse and evaluate the distribution of sewage flow in the dry days of the area,
the amount of sewage in the service area of the WWTP and the pollution load. In
Fig. 5.11 Implementation of monitoring equipment

190 H. Wang et al.
response to the problem of inflow and infiltration of external water, detailed flow
monitoring and necessary water sampling and laboratory analysis are carried out to
quantitatively determine the inflow and infiltration of external water, and identify
the reason for the low influent concentration of the WWTP during the dry season.
This provides monitoring data basis for the current situation analysis of drainage
network, planning and scale analysis of WWTP, and provide scientific support for
the improvement of the drainage network system and the water quantity regulation
of the WWTP and scale assessment of the new WWTP.
In order to understand the amount of sewage in the catchment area of the fourth and
fifth WWTP, 19 continuous monitoring points and 3 temporary monitoring points are
set up in the upstream sewers and upstream of the fourth and fifth plants respectively.
They represent the connection between the fourth and fifth WWTP and the sewers
in the area with the Second Ring North Road as a boundary.
Based on the statistical analysis of the monitoring data the following key conclu-
sions were drawn: (1) the total amount of pollution generated in the catchment area of
the fourth and fifth WWTP are basically in equilibrium with the statistical processing
volume. Under the premise that the WWTP starts the first-level intensive treatment,
the fourth and fifth WWTPs can basically eliminate the amount of sewage produced
by the Northern Catchment; (2) Based on the measured discharge and water quality
data, it is estimated that the amount of external water in the fourth WWTP accounts
for 64% of the total treated volume, reaching 83,000 m3 . The amount of external water
in the fifth WWTP accounted for 77% of the treated volume, reaching 150,000 m3 . In
the monitoring area, external water accounted for more than 70% of the total water.
(3) The 14th WWTP has been analysed. The increasing population and thus, the
significant increase in sewage, characterises the development of the northern catch-
ment area. Therefore, the long-term planning dimension of the fourteenth WWTP is
at about 200,000 m3 .
The core functionality of the monitoring and assessment project for the dry season
in the Northern Catchment area is to provide strong data-based decisions support for
the design and operation of the new fourteenth WWTP in the northern catchment
area. Moreover, it has the character of a pilot project for the new WWTP in the
southern and western catchment areas.
5.3.2.3 Equilibrium Analysis of Water Volume for the Eastern

and Southern Catchment Areas
To support the water balance analysis in the eastern and southern catchment areas, it
is necessary, to effectively collect data about the drainage system’s status in the dry
and rainy season. This consists of analysis of the distribution of sewage in dry and
rainy days, the discharge of sewage generated by the districts, the impact of rainfall
on the sewage system, and the dimensions of the sewage treatment plants in the
area. The second and seventh WWTP are operating at their design maximum, even
at dry weather days. The tenth WWTP has not reached the design maximum, but
has problems with a low efficiency. By the implementation of the flow measurement
service, high-quality monitoring data can show the amount of sewage in dry and rainy
days in the catchment area. It analyses operation risks or changes and accurately
assesses the water distribution and water balance of the sewage system during the
dry season. Thus, the flow measurement is set up in order to analyse and diagnose
the inflow and infiltration of dry and rainy days in the drainage network.
According to the topological relationship of the four WWTPs and drainage facil-
ities in the eastern and southern catchment areas of the main city, 25 discharge
monitoring points were set up in the WWTPs incoming sewers.
The monitoring system consists of
• 10 monitoring points in the service area of the main city east area,
• 15 monitoring points are set up in the service area of the southern part of Kunming
main city.
– Among them, the first WWTP system sets 5 discharge monitoring points;
– the seventh and eighth WWTP system sets 5 discharge monitoring points;
– the second WWTP system sets 10 discharge monitoring points;
– the tenth WWTP system sets 5 discharge monitoring points.
• At the same time, a rain gauge was distributed in the first WWTP, the second
WWTP and the tenth WWTP.
Three rain gauges are used to obtain rainfall data to identify rainfall events, to
analyse the water volume in the dry and rainy days, and to verify the drainage system
model in dry days and rainy days. The specific location and distribution of monitoring
points are as follows.
In order to effectively assess the current sewage collection capacity and load in the
dry area of the study area, authorities quantitatively evaluate the water equilibrium
relationship between the WWTP systems. The dry weather data analysis is based on
the monitoring data obtained by the online discharge monitoring equipment (compare
Fig. 5.12). A data set is effective only if it is not affected by the rainfall 48 h after
the end of the rainfall, and dry weather not less than 7 consecutive days. Through
the statistical analysis of the effective data of each monitoring station a number of
main parameters are calculated. They cover the daily average flow rate, the maximum
water level and the average flow rate are obtained, and the daily average flow rate,
peak flow rate and maximum water level in dry weather. The following map of the
dry water volume can be obtained based on the analysis of dry weather of the sewage
entering the plant in the system in the study area. The equilibrium diagram illustrates
the relationship between the water volume of the existing drainage system, and lays
a foundation for the water supply in the next step of the joint operating work, and
also characterizes the current imbalance of water volume in each area.
192 H. Wang et al.
Fig. 5.12 Dry weather analysis of drainage system of WWTPs 1, 2, 7+8 and 10
5.3.3 Model Evaluation and Decision
5.3.3.1 Model Decision of the Storage Project in Western Catchment
With the rapid development of urbanization, the urban drainage system will become
more and more complex and larger. The traditional design analysis method is not
systematic, the theoretical calculation derivation is different from the actual manage-
ment operation, and it cannot provide good technical support for the design and
reconstruction of urban drainage facilities. Based on the drainage network hydraulic
model technology, the evaluation and decision-making system was first applied in the
feasibility study of the “Kunming main city western film retention facility project”
(outside the second ring). The model was used to analyse the current operation of
the area and comprehensively select various design schemes, and scientifically and
rationally propose the design and transformation plan of the district.
The area of the main city west area is 66.9 km2 , of which the area of the diversion
system is 33.79 km2 , and the area of the combined sewer system is 32.65 km2 , in
total 22 combined sewer overflows.
The drainage system of the western catchment could be comprehensively and
meticulously analysed by the development of the hydraulic model of the drainage
network. The set up and implementation of the model is based on the following:
• basic data collection and analysis of the pipeline network,
• dynamic data monitoring,

• mapping of the foundation structure of the hydraulic model of the drainage
network system,
• model parameter mechanism research,
• model checking and verification.
After setting up an operational model, authorities were able to finally applying the
hydraulic model to complete the current situation analysis, optimization scheduling
and design check.
Firstly, through the establishment of the drainage system hydraulic model, it
systematically points out the data problems such as dislocation, reverse slope, large
pipe connection, no downstream connection, rain and sewage mixing, and sewage
direct discharge into open channels. This improves the accuracy, timeliness and
completeness of the drainage facilities database in Kunming. Secondly, the areas
with the most serious overflow pollution in the system are determined. Thirdly, by
the development of the model project, the resulting data transfer to and application
of the project results in the operation management, optimization planning and design
transformation of the drainage system in Kunming can be realized.
Based on the GIS data of the existing drainage pipe network of Kunming City, the
project establishes a hydraulic model for the west part of the main city, combined with
the measured water quantity and water quality data, simulates the hydraulic model of
the current drainage system, and evaluates its drainage capacity and pollutant control
effect. The feasibility and necessity analysis of storm water and sewage diversion
and construction of combined retention facilities are carried out. The optimized
engineering design is completed taking into consideration the analysis of environ-
mental and economic benefits. The core requirement is that the total pollutant load
discharged into the water body in the drainage area of the combined retention facility
is not greater than the discharge from the new diversion or separated system.
The model is used to analyse the pollutant reduction efficiency of the reten-
tion facilities in different locations, different water discharge nodes, different design
volumes, etc. The comprehensive design ratio is selected to achieve the optimal
design of the project. The design scheme and the rainwater and sewage separation
within the district are compared with each other to determine the economic and envi-
ronmental benefits, and finally determine the project implementation plan (compare
Fig. 5.13).
Based on the simulation and evaluation, it is proposed to set up three retention
facilities of 24,000, 16,000 and 14,000 m3 respectively to solve the problem of
combined sewer overflow pollution in the pumping station areas of Wangjiaqiao and
Zhenghe road. In other combined sewer areas, due to the small overflow pollution or
the constraints of land use, the new regulation and storage facilities are not economi-
cally advised. It is recommended to reduce this part of the combined sewer overflow
pollution by optimizing the operation of the western catchment and implementing
the urban village reconstruction.
Using the model for long-term simulation calculation, after the implementation
of the Western Catchment retention facility project, the annual intercepted combined
194 H. Wang et al.
Fig. 5.13 Retention facility engineering analysis
sewage volume is 1.129 million m3 , and the total amount of overflow sewage in
the combined area is reduced from 32.2% of the total annual runoff in the area to
17.9%. The total amount of combined overflow pollution is 199.6 t CODcr /yr, and
the engineering benefits are very obvious.
The model-based evaluation and decision-making technology has been applied
in the feasibility study of the Kunming main city south section retention facility
project (outside the second ring) and the Dianchi basin precision pollution control
decision-making project. The former has carried out a powerful demonstration on the
necessity of the construction of the storage facilities in the southern catchment. The
latter carried out a simulation analysis of the water quality evolution of the Dianchi
Lake, the total water pollution load of the Weishui River, and the total pollution load
of the ditch. Based on the water quality response analysis, it guided the overall and
orderly construction of the Dianchi Lake treatment project.
5.3.3.2 Accurate Pollution Control Decision in Panlongjiang Catchment
Based on the basic data of river basin key management projects, plots, drainage,
and rivers, and monitoring data, the project will establish a land pollution load flux
model in Panlongjiang catchment, a three-dimensional water quality-hydrodynamic
model of Panlongjiang and a land-water response model of the Panlongjiang catch-
ment (compare Fig. 5.14). These models identify the priority section of the Panlong
River and the corresponding water quality contribution, propose effective engineering
Fig. 5.14 Project technology roadmap at the Panlong River
projects and key treatment areas for “precise pollution control”, develop water pollu-
tion control engineering assessment and accurate pollution control decision system in
Panlongjiang catchment. It realizes the benefit evaluation of key management engi-
neering systems after the implementation of the “13th Five-Year Plan”, and form a
key management project library that needs to be added or upgraded in the “14th Five-
Year Plan” Panlongjiang catchment to provide a basis for scientifically and effectively
carrying out water pollution prevention and control in Dianchi Lake Basin.
Two WWTPs, seven water pumping stations, seven retention facilities, and a
sewage system of about 689.59 km and a drainage channel length of about 142.93 km
have been built in the study area (based on the latest exploration data of the year 2018
in the Panlongjiang catchment). The sewage system mainly includes three types: a
separated system for wastewater and rainwater and a combined sewer system. The
total wastewater sewage system is 333.97 km, the rainwater system is 350.06 km,
and the combined sewage is 3.74 km long.
196 H. Wang et al.
The technical set up generally follows the sequence of “river course – discharge
- sub-zone - key project”. The analysis steps for the components are described as
follows:
River course: Identify the section of water quality change, establish the response
relationship between the discharge and the change of water quality along the
river course, and determine the comprehensive index system and quantitative
requirements for achieving the water quality goal of the area;
Discharge: Monitor the water flow and load of key discharges, and determine the
important discharges affecting specific sections and their contribution rate based
on the water quality response with the Panlong River;
Sub-area: Identify the sub-area area importing into the discharges, monitor and
simulate the flow and load of the sub-area;
Key projects: Establish the evaluation index system for the project, focus on the
impacts of the project on the water flow and load for the sub-area and the discharge,
as well as its impacts on the water quality for specific sections of the Panlong
River, and propose the quantitative index requirements for optimization or new
construction.
For the model evaluation the evaluation indicators of drainage facilities were
carefully analysed and calculated. Also, comprehensive assessment of the area and
the convergence of water and land were conducted. The results systematically reflect
the benefits of engineering governance (compare Fig. 5.15).
Based on the overall idea of precise pollution control and the support of models,
it is possible to carry out simulation for comprehensive analysis and evaluation of
various management scenarios. Scenarios are including
Fig. 5.15 Results of the comprehensive 2018 assessment

• the overflow analysis of main discharges under different rainfall conditions,

• the assessment of primary strengthened pollution reduction and the water quality
improvement of the 5th WWTP,
• the water quality impact assessment of the Panlong River because of the discharge
from the tail water of the 4th and 5th WWTP, and
• the water quality impact assessment of the Panlong River under the operation of
the 14th WWTP and so on.
The scenario modelling can support the scientific decision-making process for
relevant treatment plans. Take the water quality impact assessment of the Panlong
River under the operation of the 14th WWTP as an example.
According to the project feasibility study design document of the 14th WWTP, the
completion of the 14th WWTP may largely influence the wastewater treatment and
the water quality in the Panlong River area. The implementation of the measures for
the 14th WWTP is divided into 2 stages: near future and long-term. So here we show
two important scenarios based on the relevant construction documents, namely:
(1) The near future operation:
On the basis of the current situation in 2017, the overloaded wastewater of the
5th WWTP will be transferred to the 14th WWTP. Under the recent conditions
of 14th WWTP, its advanced treatment capacity is 100,000 m3 per day (The
tail water does not enter the Panlong River), and its primary treatment capacity
after reconstruction is 400,000 m3 per day, with water entering the Panlong
River. The advanced treatment capacity of the 5th WWTP has dropped from
240,000 m3 per day to the design capacity as 185,000 m3 per day (the water does
not enter Panlong River just like the current situation in 2017). The situation
of the 4th WWTP and other drainage facilities remain unchanged.
(2) Based on the near future operation of the 14th WWTP, we improve the capacity
of advanced treatment of the 14th WWTP from 100,000 to 200,000 m3 per day,
and the tail water still does not enter the Panlong River. At the same time,
closing the 4th WWTP and transferring its wastewater to the 5th WWTP for
treatment. By setting the above conditions to the model and performing simu-
lation evaluation, comprehensive evaluation and comparison of engineering
benefits can be carried out, and the improvement effect on water quality can
be objectively evaluated (compare Fig. 5.16).
5.3.4 System Joint Operation
With the improvement of drainage facilities in Kunming City, four relatively inde-
pendent drainage areas have been delimited in the main city, including the drainage
systems of the western, northern, southern and south-eastern area. During the 12th
Five-Year Plan period, the systematic joint operation technologic research and engi-
neering demonstration were first conducted in the drainage system of the western
198 H. Wang et al.
Fig. 5.16 Evaluation of improvement effect on water quality
area, which focused on the improvement of water environment and water ecology of
the old canal for grain transportation.
At the beginning of the project, there was only the 3rd WWTP, located in the
lower reaches of the old canal and adjacent to Caohai. Four pumping stations, Tudui,
Zhangfeng, Wulong River and Zhuangfang were set outside and could be directly
connected to the fine grille gallery of the 3rd WWTP via a pressure pipe. With the
development of the city, the 9th WWTP was built in the northwest area in 2014 in
order to alleviate the load of the 3rd WWTP. Besides, some dividing weirs were
set up on the three main trunk sewer that originally led to the 3rd WWTP, so that
the wastewater in the northwest area was preferentially sent to the 9th WWTP, and
the excess wastewater could be diverted to the 3rd WWTP. In the dry season, the
wastewater in the area can be fully collected and treated. Due to the difficulty in
implementing the transformation to separate system, the combined sewer system still
exists. There are five main overflow structures for combined sewer system along the
old canal. During the 12th Five-Year Plan period, in order to alleviate the problem
of rainwater overflows over the dam in the rainy season, five rainwater retention
facilities were installed at the end of the main sewer system, with a total retention
capacity of about 56,000 m3 . A complex drainage system was formed in the study
area, called Plant-Station-Pool-Net. Flows in the service area of the 9th WWTP can
be described clearly. There are two independent treatment processes in the service
area of the 3rd WWTP as well as several pumping station and retention facilities.
Thus, flows analysis in this catchment is more complex.
Firstly, based on the results of field survey and drainage model, 19 online liquid
level monitoring devices were installed at the end overflow, diversion, confluence,
low-lying and sensitive control points, and the data can be transmitted to the remote
operating centre in real time via wireless. It is convenient to monitor the load in
real-time and control the drainage system in real time. This can provide support for
the analysis and control for the plant-network joint operating model.
Secondly, through the transformation of a self-control system and the construction
of a data acquisition system, the function of data acquisition and remote monitoring
of the two WWTPs, five retention facilities and four pump stations in the West Zone
was realized.
Thirdly, based on the analysis of the drainage GIS data and the historical data of the
monitoring points, the basic framework of the drainage facilities operating control in
the western area was built. The control strategy was determined through the analysis
of operating parameters, the load of WWTP, the operation load of sewer system, and
the overflow of the key outlets. Around the goal of optimized load distribution and
discharge overflow control, we developed a three hierarchical control strategy and
algorithm, consisting of:
• plant-plant load distribution control,
• plant-station flow balance control,
• station-pool-network coordinated control.
Among them, the plant-plant load distribution is controlled using the water level
at the fixed weir. This control is aiming to solve the problem of balancing the load
between the plant and plant. The plant-station flow balance control focuses on the
priority of the peripheral pumping station along the WWTP (compare Fig. 5.17).
The plant-pool-network coordinated control is based on the online water level of the
Fig. 5.17 Diagram of joint control of drainage system in the western area
200 H. Wang et al.
pipe network and is calculating when the water enters the retention facility and when
it is emptied.
After the basic preparatory work, the selection of the core operating strategy and
the development of algorithms, the hardware integration was carried out in addition to
the digitization of the drainage system. The construction management department had
organized the basis for the system modelling. With the construction of the software
platform, the comprehensive management and analysis of the drainage GIS data can
be realized. The process elements of the drainage facilities in the western area can
be fully monitored. They include pump stations, WWTP, retention facilities, sewage
system monitoring points and so on. The operating instructions can be automatically
generated and issued, and the historical operating records are logged and can be
checked.
The pilot project started construction in May 2017 and was completed on August
1, 2017. After nearly one month of commissioning, it entered normal operation on
September 1. A comparative analysis of the operational effects of dry seasons during
the same period in 2017 and 2018 was carried out. In the case of similar rainfall,
the total overflow of the main discharges in this area decreased from 640,000 tons
to 350,000 tons, with the reduction rate reached 45.3%. During this same period,
the treatment capacity of the 3rd WWTP and the 9th WWTP increased by 7.1% and
34.2% respectively. Due to the lack of complete rainy season operational data for the
demonstration project, a statistical analysis for three months around August 1, 2017
of the operational effects was carried out. In the case of similar rainfall, the total
overflow of the main discharges decreased from 5.98 to 5.65 million tons, with the
reduction rate reached 5.5%. During this same period, the treatment capacity of the
3rd WWTP and the 9th WWTP increased by 19.3 and 22.9% respectively. In addition,
the liquid level of the pipe network is significantly reduced compared to the previous
period, effectively alleviating the overload condition of the pipe network (compare
Tables 5.5 and 5.6).
Generally, the operation effects of the project can mainly be concluded from
following aspects:
• effectively reducing the polluted overflow of the combined discharges into the
river;
• improving the influent load of the WWTP and its operating efficiency;
Table 5.5 Comparison of effects before and after the implementation of the joint operating system
in the dry season (January to April) of the years 2017 and 2018
Table 5.6 Comparison of effects before and after the implementation of the joint operating system
in the rainy season of 2017
• reducing the overload rate of the drainage pipe network, and therefore improving
the flood prevention and emergency response capability in the rainy season;
• sharing information and providing feed-forward support for process optimization
of the water purification plant and emergency response in the rainy season, which
helps to ensure stable operation of the WWTP.
The pilot research and engineering practice in the western area develops a multi-
facility joint operating control algorithm and systematic integration scheme with
distinguished characteristics of real-time, robustness and universality. It provides
underlying technical support to the construction of integrated efficient system in
other drainage areas in Kunming and even to the operating control to the water
circulation system of the Dianchi Lake.
5.3.5 Summary of Application Benefits
The digitization of the management of the urban drainage system in Kunming, as

described above, help to build an integrated management of plant-network-river-lake
system. The application benefits are mainly the following:
(1) Accurate and comprehensive reflection of the current status of Dianchi
treatment facilities
This component can promote periodic and iteratively updated on-site data veri-
fication and supplementary surveying based on the existing drainage network
data of Kunming City and the “Technical Specifications for Data Management
of Urban Drainage Facilities in Yunnan Province”. It can also realize data
standardization and consolidation, as well as carrying out topology inspection
and correction, and finally building a GIS database of drainage facilities. The
GIS basically reflects the status quo. It helps to operate an effective online
monitoring network to accurately reflect the operation dynamics of drainage
facilities, which can provide reliable information to management and decision-
making process. In the application process, establishing a data sharing and
supplementary update mechanism can further improve the data quality and use
value.
202 H. Wang et al.
(2) Systematic diagnosis and evaluation of construction and renovation plan for
Dianchi
Based on the mathematical model, this element can establish a specialized
analysis and evaluation. It helps to carry out simulation and quantitative eval-
uation of the engineering schemes for Dianchi Lake governance. This system
can systematically analyse and scientifically diagnose the effects of the facility
construction including:
• analyse the problems and defects of the existing renovation plan, and
diagnose the risk of relevant decisions;
• provide decision making support for planning and transformation project,
large-scale project, operation scheduling, linkage control etc.
The assistant management staff can quantitatively evaluate the load and oper-
ating status of the water supply and drainage system with the joint application
of online monitoring and model, and then evaluating the relevant planning and
transformation plan, improving the application benefit.
(3) Improvement of the operating efficiency of large-scale projects and optimize
investment
Based on the simulation optimization analysis method of complex system, a
new planning and design evaluation and optimization process is established.
The problem diagnosis, scheme formulation and engineering decision-making
process of the drainage system are assisted by means of monitoring and
modelling with the purpose of improving the water quality of Dianchi Lake and
the overall operating efficiency of the drainage system. Meanwhile, it carries
out the research on joint control. It also improves the reliability and effective-
ness of the overall operation of the drainage system. The system helps with
the overall optimization and synergy scheme by a multi-objective optimization
method. It also fully mines the potential of existing drainage facilities, sewage
systems and WWTP and their existing capacities to reduce unnecessary or
inefficient construction investment.
(4) Improve the decision-making level of the planning and construction of
pollution control projects in Dianchi Lake Basin
Whether it is possible to improve the planning and design decision-making
level of major projects depends largely on whether the related status data of
the drainage facilities are truly and completely grasped. The improvement
also depends on whether the overall operational data are truly diagnosed and
evaluated during the engineering planning and construction decision period.
This program has designed a new and improved database, necessary hard-
ware support, scientific decision-making mode, and visualized control system.
It helps the decision-makers of the investment company to grasp the whole
process information of the related project as detailed and comprehensive as
possible. The process information is a solid foundation for big data anal-
ysis. Based on a large number of updated data and advanced model analysis
methods, it is possible now to comprehensively evaluate the operating situation
of system, optimize relevant details, thereby improving the decision-making

level of engineering planning and construction.
(5) Build a long-term dynamic decision-making model combining technology and
management
The complexity of the drainage system determine that the state of the drainage
system is dynamic and stays to some extent uncertain. This program builds a
long-term dynamic decision-making model. On the one hand, it helps to estab-
lish an iterative data update mechanism and an online monitoring and early
warning system for drainage facilities to form a drainage monitoring network.
It can truly assess the existing status of the drainage facility and operates
the monitoring and early warning. On the other hand, it establishes a decision
support model with joint application of multiple models. It quantitatively simu-
lates and analyses the engineering planning scheme and gives decision-making
suggestions. At the same time, it can use online monitoring, model simulation,
multi-objective optimization, big data analysis and other means to forecast the
status of drainage facilities in the future, comprehensively and systematically
analyse the historic, current and future development of the Dianchi pollution
control system to promote the scientific decision-making.
5.4 Conclusion and Prospects
Integrating the monitoring and model system to form an intelligent decision-making

and control system that can quantitatively evaluate and support decision making,
and to realize the unified integration of the whole process information of “source-
network-station-WWTP-river-lake” system can effectively support the refined, scien-
tific, systematic, intensive governance of Dianchi and serve the long-term water
quality improvement. In the process of Dianchi Lake management, it is of great signif-
icance to employ advanced information technology and the core technology system
including basic data, online monitoring, simulation, evaluation and decision-making
and intelligent control, and build an integrated management and control mech-
anism of source-network-station-WWTP-river-lake system to effectively support
engineering decision-making and operation control.
Especially with the further growth of urban areas of Kunming, the drainage system
is becoming more and more complex and larger, which increases the pressure of
planning and decision-making. The existing local problem analysis and diagnosis
methods have been unable to meet the needs of optimization and improvement for
complex drainage system. In order to increase effectiveness of the large number of
existing drainage facilities and engineering projects it is necessary to implement new
technology. They aim at a number of tasks such as
• objectively evaluate the operational efficiency of the existing systems,
• propose necessary new construction and reconstruction projects, and
• provide clear, comprehensive and practical instructions for the future drainage
information construction in Kunming.
204 H. Wang et al.
To do so, we comprehensively use advanced technologies such as GIS technology,

network communication, industrial automatic control and drainage system simula-
tion. These are the core components to build a comprehensive management and
control platform capable of managing a large amount of spatial and attribute data of
the drainage system in a long-term, effective and dynamic manner. On the basis of the
implemented functions and acquired data of the new information system, we need to
form a comprehensive database of drainage system in the downtown area. We also
construct various business modules and professional analysis modules required by
the digital management of the drainage system. With them, we step by step study and
explore the intelligent control mode of the drainage network. Finally, we can achieve
the construction goal of building the “source-network-station-WWTP-river-lake inte-
grated management system”. This will help to comprehensively improve the diag-
nostic analysis level, planning decision-making level and performance evaluation
ability of the drainage facilities in Kunming.
In the planning management and engineering decision-making process of the
drainage system in Kunming, we should continuously explore the planning and
control mode of “source-network-station-WWTP-river-lake” integration to realize
the goal of overall decision diagnosis and optimization. We should promote contin-
uous improvement of digitization to motivate the transformation of management and
control and realize scientific decision-making and intelligent operation of drainage
facilities. We do that by providing a unified decision-making analysis platform
for Dianchi water environmental governance, realizing the whole process informa-
tion management of “source-network-station-WWTP-river-lake” system. We should
also provide reliable, unified and detailed data interface and systematic system for
the call of relevant business systems, and finally promote the transformation and
improvement of urban management mode.
In the iterative improvement process of the integrated management system, it
is also necessary to actively draw on international advanced experience, especially
the close cooperation between SINOWATER and FiW in Sino-German cooperation
projects. We should further promote the development of the drainage system in the
future in Kunming. Including but not limited to the following points:
(1) The acquisition of data is the basis and core of all work, its collection and
transmission need to be continuously implemented in the project construction.
And it is necessary to ensure capital investment.
(2) Applying models to guide designing process and performing systematic and
scientific decision-making are essential means.
(3) Continuously and steadily promote rain and sewage system separation, LID
source reduction measures of rainwater runoff combined with the long-term
urban expansion and transformation.
(4) Improving the efficiency of the sewer system and reduce the difficulty of oper-
ation and maintenance. Separation of wastewater from rivers by setting up
facilities within the open sewage channels
(5) Sewage system inspection, infiltration protection, operation and maintenance
of sewage systems are very important.
(6) The implementation of new treating methods like soil/wetland treatment should
be followed by the match of adjusted retention facilities and the scale of WWTP.
(7) The initial rainwater interception and limit of the separated system should be
sent to the WWTP.
(8) One of the objectives of the next stage of the WTTP is the treatment of micro-
pollutants.
Integrating the monitoring and model system to form an intelligent decision-
making and control system that can quantitatively evaluate and support decision
making, and to realize the unified integration of the whole process
To conclude, the establishment of a scientific and effective “source-network-
station-WWTP-river-lake” integrated management system and its rational applica-
tion to actual planning and decision-making is not a one-step process. It requires the
long-term and unremitting efforts of decision makers, planning designers, profes-
sional technical teams and operating management staff to build an integrated drainage
management system, which is scientific, practical and can meet the local technology
needs.
References
1. The Ministry of Housing and Urban-Rural Development of the People’s Republic of

China(MOHURD). (2015) City Office Letter No 635.
2. The Technical Standard for Drainage Data Management of Yunnan Province (DBJ53/T-93-
2018). Yunnan: The Ministry of Housing and Urban-Rural Development of Yunnan Province,
2018.
3. The Technical Standard for Online Data Collection of Urban Drainage Facilities in Yunnan
Provice (DBJ53/T-94-2018). Yunnan: The Ministry of Housing and Urban-Rural Development
of Yunnan Province, 2018.
Chapter 6
Treatment of Wastewater with High
Proportion of Industrial Wastewater
with Extreme Requirements
on the Elimination of Nutrients
Max Dohmann, Yunbo Yun, and Vivien Lee
6.1 Introduction
China’s industrial and economic development over the past 20 years has particularly
affected the provinces on the east coast of China. The absolute focus of development
has been the Greater Shanghai region and the Yangtze delta area. This development
was accompanied by a high demand for drinking water and industrial water and a
correspondingly high volume of wastewater. The inadequate treatment of wastewater
from municipalities, industry and agriculture led to a significant deterioration in the
quality of water resources. This applies in particular to Lake Tai, the most important
regional water resource in the greater Shanghai area. In the summer of 2007, Lake
Tai developed very strong eutrophication for the first time, so that the water could no
longer be used for drinking water supply for a time. Due to the massive expansion of
wastewater treatment with nutrient elimination that has taken place in the meantime,
the conditions have improved somewhat.
With the 13th Five-Year Plan of the Chinese government, water protection has
gained special political significance since 2016. This included much stricter targets
for the water quality of sensitive waters such as Lake Tai. As a result, Jiangsu
Province, to which a large part of the lake catchment area belongs, issued new
requirements for wastewater treatment. These are specified in the “Discharge Stan-
dard of Main Wastewater Pollutants for Municipal Wastewater Treatment Plant &
Key Industries of Taihu Lake Area”. This also applies to the nutrient elimination
requirements for the treatment plants in the lake catchment area. Previously, two
categories of wastewater treatment plants were considered: Category I wastewater
treatment plants with less than 50% industrial wastewater and Category II wastew-
ater treatment plants with more than 50% industrial wastewater. Since May 2018,
M. Dohmann (B) · Y. Yun · V. Lee

Research Institute for Water and Waste Management, RWTH Aachen University (FiW) e. V.,
Aachen, Germany

https://doi.org/10.1007/978-3-030-80234-9_6
208 M. Dohmann et al.
new requirements have been in effect, which were published in DB32/1072-2018.

These apply to all wastewater treatment plants regardless of the respective industrial
wastewater content. Limit values for the nutrient parameters nitrogen and phosphorus
play a special role. A comparison of the limit values of the guidelines for the Tai
Lake catchment area and the original quality specification according to the Chinese
Water Protection Directive GB18918-2002 (I-A) was made in Table 6.1. It can be
seen that above all the stricter requirements for nitrogen elimination, which have
been tightened since 2018, represent a particular challenge for wastewater treatment
plants.
A comparison of the minimum requirements applicable in Germany for the
effluent quality of municipal wastewater treatment plants of different size classes
and Chinese requirements is shown in Table 6.2. It should be noted, however, that
Table 6.1 Requirements for wastewater treatment plant discharges in the Tai Lake area according to
Guidelines DB32/1072-2007 and DB32/1072/2018 and process standard I-A according to Chinese
Water Protection Directive GB18918-2002
Table 6.2 Comparison of German minimum requirements for wastewater treatment plant effluents
according to the Waste Water Ordinance (ABWV 2004) and Chinese requirements (see also Table
6.1)
6 Treatment of Wastewater with High Proportion of Industrial Wastewater … 209
the German minimum requirements in Table 6.2 are based on an emissions analysis
only. Higher requirements may result in Germany from emission aspects. Neverthe-
less, the comparison in Table 6.2 shows the particularly high Chinese requirements
for nitrogen elimination in the Tai Lake area that have been in force since 2018.
The background to the investigations described in this report was provided at the
beginning of 2016 by contacts between German researchers within the framework
of the Chinese Major Water Programme and the Chinese company Huayan Water
Affairs Co., Ltd., which is responsible for water supply and wastewater disposal in
the Suzhou Industrial Park on Lake Tai. Discussions held with the regional water
authorities during this period revealed that in future, extreme demands will be placed
above all on nitrogen elimination at the Tai Lake treatment plants. The talk was of
a discharge value for total nitrogen of less than 6 mg/L. The discussed effluent
value for the COD should be 30 mg/L. This resulted in a German-Chinese research
project with the aim of investigating technical possibilities to meet such extreme
requirements. The research project was carried out with the participation of the
Research Institute for Water and Waste Management at the RWTH Aachen University
(FiW) and the companies Atemis GmbH, Aachen and EvU GmbH, Gröditz on the
German side and the University of Shanghai for Science and Technology and the
company Huayan Water Affairs Co. The German Ministry of Education and Research
(BMBF) provided funding for the German research work carried out in this project
as part of the German-Chinese Major Water Cooperation.
6.2 Industrial Wastewater Treatment in China
For the year 2015, the share of industrial wastewater in China was stated as 26.2% of
total wastewater (Xiang 2017). Most industrial wastewater in China is discharged into
municipal sewerage systems or sewage treatment plants. However, it can be assumed
that the actual share of industrial wastewater is higher. Not all small and medium-
sized industrial enterprises are included in the statistics. In 2015, industrial wastew-
ater in China had a COD content of 25.8% and a NH4-N content of 13.9%, compared
to 74.9 and 86.1% of domestic wastewater respectively (Xiang 2017). However, even
a certain increase in the industrial wastewater fraction would not adequately reflect
the major environmental impacts caused compared to domestic wastewater. Many
industrial effluents are contaminated with pollutants that are not adequately retained
by treatment in sewage treatment plants and thus lead to disproportionate water
pollution.
The following are the characteristics of industrial wastewater compared to
domestic wastewater:
– one-sided composition of the wastewater constituents
– high concentration of individual wastewater constituents
– high fluctuations in the concentrations
– intermittent wastewater flow and pH fluctuations
– elevated temperatures
– dyes or persistent organic substances.
A particular problem is the treatment of industrial wastewater with high organic
loads that are not or only with difficulty biodegradable and the load of heavy metals.
Up to now, compliance with specified concentrations in the effluent of many Chinese
wastewater treatment plants has only been possible by diluting industrial wastewater
with less or non-contaminated wastewater. The consequence must be that in the future
highly contaminated partial streams of industrial wastewater must be specifically
pre-treated before further treatment.
There are various possibilities for the joint or separate treatment of municipal and
industrial wastewater. Figure 6.1 shows the four basic concepts for the arrangement of
the treatment plants. All four concepts have been implemented in German wastewater
practice. Concept A is certainly only suitable for very large industrial plants. This
also applies to concept D, where municipal wastewater can be used for improved
treatment of industrial wastewater. In China, most of the industrial wastewater is
co-treated in municipal wastewater treatment plants.
When industrial wastewater is discharged into a municipal sewage system, it must
be ensured that the requirements for the effluent quality of the plants are met. Beyond
the aspects of water protection, it must be ensured that the sewage system is not
damaged by industrial wastewater. Structural damage can be expected, for example,
if high sulphate or ammonium concentrations are present. In order to protect public
sewage systems from such damage, appropriate concentration limits should therefore
be observed.
For larger industrial plants with wastewater from different production processes,
a material flow separation with correspondingly differentiated wastewater treatment
has proven to be effective in Germany for water protection reasons. In this way,
improved recycling of wastewater and wastewater constituents can be achieved. The
amount of recycled and reused wastewater has so far remained low in China, with only
Fig. 6.1 Basic concepts for the treatment of municipal and industrial wastewater (Dohmann 2014)
10% of treated industrial wastewater (Xu 2016). In recent years, several guidelines
for water recycling have been published in China (Xu 2016). For example, the Water
Pollution Prevention Action Plan and Control Action Plan of April 2015 states that
by 2020 the rate of use of recycled water should be 20% in water-poor cities and 30%
in the Jing-Jin-Ji area, which is a particular challenge for planning new industrial
wastewater systems in China and complementing existing ones.
6.3 The Study Area and Investigated Wastewater

Treatment Plant
The study area, the Suzhou Industrial Park (SIP), covers part of the urban area of
Suzhou to the west of Shanghai (see Fig. 6.2). In terms of water management, the
region is characterized by Lake Tai, which serves as an important water resource
for the metropolitan areas of Suzhou, Wuxi, Changzhou and Nanjing. The city of
Suzhou is particularly well known for its numerous canals, which is why it was given
the name “Venice of China”. In recent decades, the economic output in Suzhou has
grown very strongly with the settlement of many industrial companies. The Suzhou
Industrial Park was founded in 1992 and covers a catchment area of 278 km2 with
over 2,000 industrial companies.
Suzhou Industrial Park has two wastewater treatment plants of roughly the same
size, which treat the industrial wastewater and domestic wastewater of the approx-
imately 800,000 inhabitants living in the park’s catchment area. The investigations
carried out in the research project related to the Suzhou II WWTP, located in the
southern part of the park. This plant, commissioned in 2010, was designed for a
daily wastewater inflow of 150,000 m3 . In 2017, the average daily inflow was about
172,000 m3 . The share of treated industrial waste water accounted for almost 60% of
Wuxi Shanghai
SIP
Tai-See
Fig. 6.2 Regional location of Suzhou Industrial Park (Google Maps 2018)
Fig. 6.3 Process diagram of the investigated Suzhou II wastewater treatment plant in the Suzhou
Industrial Park (Lee 2018)
the total inflow. The basic concept of this wastewater treatment plant corresponds to
the concept in Fig. 6.1C, although, unlike in Fig. 6.1, all sewers and the wastewater
treatment plant are operated by the private company Huayan Water.
Figure 6.3 shows the process diagram of Suzhou II WWTP and the location of
the two pilot plants, which are reported on in more detail in Chap. 6.3.2 and 6.3.3.
The treatment plant has a classical process engineering for municipal wastewater.
In contrast to most Chinese wastewater treatment plants, a sedimentation stage takes
place before the biological treatment according to the AAO system. The wastewater
treatment plant is equipped with extensive online measuring technology. First of
all, pH value, temperature, COD, NH4-N, TN and TP are measured behind the
fine screen. In the aerobic part of the biological stage, the online values of O2, redox
potential, solids content, TN and TP are measured, while at the UV disinfection stage
pH, temperature, COD, filterable substances, NH4-N, TN and TP are recorded. The
phosphorus elimination is carried out biologically and by means of a simultaneous
precipitation with aluminium sulphate.
The sludge produced in the sedimentation stage is thickened together with the
excess sludge of the biological stage and dewatered mechanically with centrifuges
with the addition of flocculation aids. The sludge is then dried in an external drying
plant. The sludge dried to 90% dry substance is then incinerated in a thermal power
plant. The process water from the thickeners and the mechanical sludge dewatering
is treated in a precipitation plant before being returned to the inlet pumping station
for phosphate elimination.
Table 6.3 shows the design values for the treatment plant and the mean inflow
values in 2017 and in the investigation phase. During the investigations, the pollutant
Table 6.3 Inflow values of the investigated Suzhou II wastewater treatment plant (Lee 2018)
Table 6.4 Requirements for industrial wastewater when discharged into the sewerage system in
Suzhou Industrial Park according to CJ343-2010
load of the plant corresponded to an estimated 665.000 population equivalents. Due

to the further expansion of industry and the planned further expansion of residential
development in the industrial park, the Suzhou II wastewater treatment plant is to be
expanded to a daily inflow load of 300.000 m3 .
For the industrial wastewater generated in the Suzhou Industrial Park, require-
ments must be met before it is discharged into the sewerage system. According to
the Chinese guideline CJ343-2010, these relate to the pH value, organic pollutants,
nutrients and oil content. The corresponding limit values are shown in Table 6.4.
6.4 Investigation Approaches
The overall objective of the research project was to reduce the nutrient content of
the effluent from the Suzhou II sewage treatment plant. The main focus was the
elimination of nitrogen with a target concentration of 10 or even 6 mg/L. In connection
with the elimination of the organic effluent values, which also had to be improved, the
investigations in Germany were to make use of the technological experience gained
and German administrative management approaches.
Fig. 6.4 Inflow and outflow values for the parameters COD, BOD and filtrateable substances for
the Suzhou II wastewater treatment plant in the 2017/2018 investigation period (Lee 2018)
The necessity of further treatment effects for the Suzhou II wastewater treatment
plant can be demonstrated by the previous inflow and outflow data of the plant.
Figures 6.4 and 6.5 show the concentration ranges and elimination rates for the
parameters COD, BOD5, filterable substances and the nutrient parameters nitrogen
and phosphorus.
Figure 6.4 shows that although the mean COD effluent value of 31.5 mg/L was
well below the requirements of >50 mg/L applicable since 2008, the maximum value
measured was 65 mg/L. If the future treatment capacities of the wastewater treatment
plant are to ensure a maximum COD discharge value of 30 mg/L, there is a need for
a significantly improved COD elimination. Such a value of 30 mg/L could not be
achieved by a solids-free effluent alone, but requires above all process engineering
measures in the biological treatment stage.
Figure 6.5 illustrates the treatment performance of the Suzhou II WWTP for the
nutrients nitrogen and phosphorus. In the case of phosphorus elimination, compliance
with the requirement of 0.5 mg/L total phosphorus in the effluent, which is valid until
2021 (see Table 6.1), does not seem to pose a difficult problem. Even the effluent value
<0.3 mg/L applicable after 2021 appears to be well possible with an optimization of
the previous elimination mechanisms. The maximum measured value of 1.03 mg/L
mentioned in Fig. 6.5 should certainly be considered as the outlier value.
In the case of nitrogen elimination, on the other hand, the situation is different.
In the case of a massive disturbance of nitrification caused by industrial wastew-
ater, there was a short-term extremely high ammonium nitrogen concentration in
the wastewater treatment plant effluent during the period under study. This is not
Fig. 6.5 Inflow and outflow values for the nutrient parameters total nitrogen(TN), Ammonium
(NH4-N), nitrate (NO3-N), and total phosphorus (TP) for the Suzhou II wastewater treatment plant
in the investigation period 2017/18 (Lee 2018)
unusual for industrial wastewater discharges, but given the size of this treatment
plant, this represents a very significant water pollution, which should be avoided in
the future by increased monitoring of indirect discharges. The total nitrogen value
of the wastewater treatment plant effluent during the period of the above-mentioned
disturbance was twice the concentration permitted until 2018.
As the mean value for total nitrogen was at the level of the requirement of 10 mg/L
applicable from 2021 onwards according to Table 6.1, it is evident that about half of
the measured values recorded were higher and that therefore a significantly improved
nitrogen elimination is necessary in the future. This means a significant increase in
the denitrification performance of the treatment plant. The discharge value for total
nitrogen of 6 mg/L at most, which is the long-term objective, will probably be very
difficult to meet in the long term at the nitrate levels shown in Fig. 6.5.
Based on the findings on the treatment performance of the Suzhou II WWTP and
the requirements to be met in the future, the following work packages or investigation
approaches were carried out within the framework of the research project:
a) Indirect discharger monitoring and management approaches with application
of German experience for the recording and analysis of industrial wastewater
discharges in the Suzhou Industrial Park
b) Investigations for the process engineering optimisation or completion of the
existing Suzhou wastewater treatment plant
– optimisation of the operation mode of the primary clarification by laboratory
tests to control the sedimentation,
– C-dosage to increase denitrification in the biological stage by using German

experience and laboratory experiments to test different substrates,
– Nitrogen elimination by downstream anoxic filtration - design, construction
and operation of a pilot plant “denitrification filter”,
– Nitrogen elimination from the partial flow of sludge water by conception,
construction and operation of a SBR-MBBR test plant,
– Nitrogen elimination from the partial flow of sludge water through the design,
construction and operation of a test plant for the deammonification.
The investigations were carried out in 2017 and 2018.
6.5 Results of Investigation
6.5.1 Indirect Discharger Monitoring
In Germany, the individual German provinces have issued regulations for the
discharge of wastewater into public wastewater systems. The legal background for
these so-called indirect discharger regulations is water protection. These ordinances
refer to the German Wastewater Ordinance, which covers 57 source areas for wastew-
ater (AbwV 2004). In addition to domestic wastewater, this concerns commercial and
industrial wastewater from 56 different sectors. The indirect discharger regulations
contain concentrations of various substances contained in the wastewater which must
not be exceeded when it is discharged into a public sewerage system or a wastew-
ater treatment plant. When determining these limit concentrations, it was taken into
account that these constituents can be at least partially eliminated in wastewater
treatment. The monitoring of industrial indirect dischargers in Germany is carried
out by the local water authorities.
The German provinces oblige the operators of public wastewater treatment plants
to keep a list of industrial enterprises whose waste water is expected to have a
significant impact on the wastewater treatment plants or on water bodies. This register
is known as the indirect discharger register and must be updated regularly. The
establishments are obliged to provide the necessary information. The list shall be
submitted to the competent water authority on request. There is decades of experience
in Germany in the preparation of indirect discharger registers. The practical basis for
this is a special set of rules (DWA 2013).
In addition to the requirements regulated by the water authorities for the discharge
of industrial wastewater into public wastewater systems, requirements must also be
set for the wastewater to be discharged in the interest of the operator. These require-
ments are intended to ensure that these discharges do not cause structural damage to
the public wastewater systems and to guarantee the operational safety of the plants
and the protection of the operating personnel. The corresponding requirements for
the quality of wastewater are part of the respective municipal wastewater regulations.
The operator of the public wastewater treatment plants is responsible for monitoring
the industrial indirect dischargers with regard to these requirements. In Germany,

therefore, parallel monitoring measures in the indirect discharge area are possible,
but with different parameters, by the competent water authority and by the operator
of the public wastewater facilities. For economic reasons, however, the monitoring
is usually coordinated accordingly.
In China, the CJ 343-2010 discharge standard for indirectly discharged industrial
wastewater has been in place for 10 years (see Table 6.4). This standard can be
tightened regionally by the water authorities due to local boundary conditions. In
practice, it has been found that operators often do not have sufficient information on
industrial waste water and are not involved in monitoring discharges. This explains
why Chinese municipal wastewater treatment plants are experiencing difficulties in
meeting quality requirements.
The biggest challenge for the investigated Suzhou II wastewater treatment plant is
the industrial wastewater to be treated. This is all the more true because in the future
even more industrial plants will have to be connected to the treatment plant and
significant production increases are expected from the plants with correspondingly
higher wastewater loads. Therefore, for further operational optimisation of the treat-
ment plant, it seems urgently necessary to establish a complete indirect discharger
register in accordance with the German experience. At the moment there is only
an incomplete directory. Although Huayan Water, the operator of the investigated
wastewater treatment plant, is aware of the industrial enterprises connected to the
treatment plant, it has no meaningful information on the fluctuations in the quality
of the wastewater and the effects of in-house pretreatment.
It is strongly recommended that industrial wastewater discharges be monitored
in consultation with the competent authorities. Based on German experience, the
following strategy, which is useful for monitoring, should be used for this purpose:
– On-site monitoring of commercial and industrial indirect dischargers
– Monitoring of discharges at nodes in the sewer network
– Detection of illegal indirect discharges.
It is advisable to carry out online monitoring of the pre-treatment plants, at least
for industrial plants with highly contaminated wastewater. In the event of disruptions
in the operation of these plants and transmission of online data, measures such as
commissioning emergency basins or dosing powdered activated carbon could be
initiated at an early stage at the downstream wastewater treatment plant.
The monitoring of nodes in the sewer network is used to trace sporadic pollutant
discharges. The regular taking of random samples or better of permanent mixed
samples at selected sewer nodes is a useful supplement to the monitoring of indirect
dischargers.
Different matrices can be used to detect unauthorized indirect discharges. Firstly,
the information on the various industrial effluents discharged. However, an indirect
determination can also be made about the nature of the biofilm on the sewer pipe
walls or the sewer sediments. However, only pollutants that accumulate in solids are
recorded.
6.5.2 Optimisation of the Existing Sedimentation Stage
One approach to increase nitrogen elimination in existing wastewater treatment

plants is the optimization of relevant treatment facilities. In the case of the Suzhou II
wastewater treatment plant under investigation, it therefore seemed sensible to carry
out investigations to improve the effect of sedimentation on denitrification in the
plant. The main objective was to improve the C/N ratio for nitrogen elimination in
the biological stage.
In order to identify the sedimentation behaviour of the wastewater in the influent
of the primary treatment plant more precisely and to demonstrate the sedimentation
performance of the primary treatment plant, sedimentation tests were carried out in
the treatment plant laboratory. To carry out the sedimentation tests, 5 L of wastewater
were taken from the inflow of the sedimentation stage on 4 days at intervals of 2 days.
Figure 6.6 shows the setup for the laboratory tests.
After reaching the respective sedimentation time (0/15/30/60/80 min) a sample
was taken from the respective vessel (Imhoff cone). The parameters COD (total and
solved), BOD5, suspended solids, NH4-N and TN were then analysed for the five
different samples.
The evaluation of the results of the sedimentation tests with regard to the suspended
solids (SS) is shown in Table 6.5. It is shown that the concentration of SS decreased
as expected over the 80 min period considered. The discernible fluctuations over
time can be explained by the small number of measured values.
Table 6.5 shows that after 80 min of discontinuation a reduction of the suspended
solids of around 26%. This does not quite correspond to the reduction for municipal
wastewater, but in view of the high proportion of industrial wastewater in wastewater
treatment plant influent realistic.
A similar decrease of around 27% was observed for the COD, as shown in Table
6.6. However, the reduction of the COD did not result from the removal of the
suspended COD fraction.
Table 6.6 also shows an 8% decrease in dissolved COD after a settling time of
80 min. The BOD5 has not been analysed. However, it can be assumed that a greater
reduction than for the COD has been achieved. This is assumed to be 33% for the
carbon–nitrogen ratio.
No major effect on nitrogen values is to be expected from sedimentation. To show
this also the laboratory tests performed. Table 6.7 shows the values for the total
nitrogen is listed. This results in a decrease after 80 min settling time concentration
of around 16%.
For denitrification, the carbon/nitrogen ratio (C/N) in the biological treatment
stage is of decisive importance. According to Tables 6.6 and 6.7, the inflow to primary
treatment had an average COD/TN ratio of 11.45. Since it is not the COD but the
readily biochemically available carbon that is relevant for the assessment of this ratio,
a BOD5/TN ratio of 6,7 can be determined in the sedimentation inflow, based on the
mean values for BOD5 and TN according to Figs. 6.4 and 6.5. At reduction rates of
Fig. 6.6 Setup for laboratory investigations to optimize the sedimentation stage of investigated
Suzhou II wastewater treatment plant
Table 6.5 Concentration of suspended solids at sedimentation investigations in the laboratory of

the Suzhou II wastewater treatment plant
Table 6.6 COD values for sedimentation tests in the laboratory of the Suzhou II wastewater
treatment plant
Table 6.7 Total nitrogen values in sedimentation tests in the laboratory of the Suzhou II wastewater
treatment plant
33 and 16% by sedimentation, respectively, this ratio would decrease to a 5.3 (Table
6.8 (Lee 2018)).
The above investigations of the sedimentation behaviour of the wastewater of the
investigated wastewater treatment plant raise the question whether sedimentation
before the biological stage should be avoided in the future. The existing sedimenta-
tion plant does have a number of advantages, such as the increased sludge age in the
biological treatment stage and the use of the sludge produced in the primary sedi-
mentation stage for energy generation in the existing digestion plant. However, the
conditions for extensive denitrification deteriorate due to the reduced carbon/nitrogen
ratio. The laboratory tests carried out have confirmed this.
There are several ways to reduce the negative effect of an existing sedimentation
stage on denitrification. This can be done by reducing the settling time by taking a
part of the tank volume out of operation. Another possibility is a partial bypass of the
sedimentation, so that wastewater not settled with a partial flow is fed to the biological
Table 6.8 C/N ratio during sedimentation tests in the laboratory of the Suzhou II wastewater
treatment plant
treatment stage. In view of the very extensive nitrogen elimination intended for the
Suzhou II treatment plant, it does not appear advisable in any case to increase the
sedimentation effect by increasing the volume or installing lamella separators.
6.5.3 Optimisation of Nitrogen Elimination
The significantly increased requirements for nitrogen elimination in wastewater treat-

ment at Lake Tai means for the Suzhou II wastewater treatment plant opposite
previous services a more extensive denitrification. This chapter will therefore on
investigations carried out for various process engineering measures to improve the
denitrification performance of the treatment plant.
6.5.3.1 Optimizing the Dosage of External Carbon
The heterotrophic microorganisms responsible for denitrification obtain the carbon

and their energy from external organic sources. In contrast to the autotrophic nitrifi-
cants, they are not able to synthesize their energy from oxidation reactions themselves
(Görner 1999). An optimal carbon/nitrogen ratio is between 12:1 and 15:1, but most
of the municipal wastewater treatment plants in China have much lower ratios. These
are usually between 6:1 and 8:1, which indicates an excess of nitrogen and limits
denitrification. Very low total nitrogen contents cannot be achieved with this method.
However, such conditions can be improved by adding an external carbon source.
The external carbon sources that can be used can be divided into conventional
external, unconventional external and internal sources. In Germany, materials that
can be assigned to these three groups have proven their worth in wastewater practice.
Conventional carbon sources include substances such as methanol, ethanol, sugar

beet syrup, acetic acid and technical salts. These offer different conditions. Thus,
acetic acid is suitable for a rapidly effective support of denitrification, as the microor-
ganisms require a very short adaptation time to the substrate. Methanol, on the other
hand, is only converted by certain microorganisms, so that its effectiveness is lower.
In addition to conventional carbon sources, other carbon sources are increasingly
gaining in popularity. These offer the advantage that they do not have to be produced
separately, but are produced as waste or by-products in various industrial production
processes and are usually much cheaper than conventional substrates. Examples
of alternative external carbon sources include glycol-containing wastewater from
chemical production, high-carbon wastewater from the beverage industry, breweries,
the baking industry and ice cream production, and whey powder and crude glycerine
from biodiesel production (Amed et al. 2000).
In addition to external carbon sources, there is also the possibility of using carbon-
containing internal material flows in wastewater treatment plants to improve the deni-
trification capacity. For example, a targeted use of sewage sludge or sludge water
is suitable for this purpose. A further possibility for activating carbon potential to
improve denitrification is the comminution (disintegration) of the sewage sludge by
mechanical or thermal means. An additional advantage of sewage sludge disintegra-
tion is the minimization of the sludge mass to be disposed of. A screenings washing
also leads to an internal carbon source to be used and also reduces the disposal costs
for the screenings.
Table 6.9 lists typical carbon sources for improving denitrification with their
origin, advantages and disadvantages.
In the wastewater treatment at the Suzhou II wastewater treatment plant neither
external carbon sources nor specific measures to use internal carbon potentials have
been applied so far, since the requirements for nitrogen discharge values could be met
even without such measures. Due to the need for more extensive nitrogen elimination
in the future, a series of laboratory tests were carried out in the wastewater treatment
plant laboratory in spring 2017 to determine the effect of a dosage of carbon on
nitrogen elimination in the biological stage. Acetic acid and sodium acetate were
added under anoxic conditions with different stirring times. Sodium actate is consid-
ered a preferred agent in China for improving the carbon/nitrogen ratio. Despite
fluctuating results, the investigations can be described as successful.
However, for economic reasons and from the point of view of sustainability, in
the long term the large-scale use of a carbon source derived from industrial residues
should be aimed at. It may also be possible to use substances from industrial plants
in the catchment area of the wastewater treatment plant. Once an indirect discharger
register is available, the corresponding materials would have to be identified and
examined in the laboratory for their suitability and effect before being used on an
industrial scale.
Table 6.9 Advantages and disadvantages of different external carbon sources to improve the
denitrification of wastewater
6.5.3.2 Use of a Downstream Anoxic Filter
A possible technical solution for further nitrogen removal is the use of denitrification
after the biological treatment stage. For this purpose an anoxic filter system is the
best choice. At the Suzhou II wastewater treatment plant, a pilot plant designed and
built in Germany was used for investigations. Figure 6.7 shows the test room with
the pilot plant. The test facilities were housed in the container used to transport the
plant from Germany to China.
Figure 6.8 shows a schematic diagram of the test facility with all its individual
parts. The filter material used was an expanded clay material with a grain size of 4
to 8 mm and a quantity of 90 L, which has proven itself in Germany for filtration.
The carbon dosage was carried out using sodium acetate solutions (CH3COONa)
prepared in the laboratory. To assess the elimination performance of the pilot plant at
Fig. 6.7 Test room with the anoxic pilot filter system for the downstream denitrification at the
Suzhou II wastewater treatment plant
7
M 11
M
3
2 12
10 19
6
1 5 18 20 M
8
4
23 25 9
22 S S 24 14 15
13 M 17
21 26 27 28
Fig. 6.8 Diagram of the pilot filter plant for denitrification
higher nutrient loads, an increase of nitrate in the filter influent in the form of sodium
nitrate (NaNO3) was carried out in individual test sections.
The pilot tests carried out concerned the following parameter ranges:
– Nitrate addition with NaNO3 (max. 30 mg/l NO3-N),
– C:N ratio by carbon addition with CH3COONa (max. COD:TN = 5:1),
– Flow rates between 30 and 110 [l/h]
With a multiparameter probe the parameters pH, redox potential, oxygen content,
conductivity, dissolved solids and temperature could be measured. In the la-bor of
the wastewater treatment plant the parameters COD, TN, nitrate, nitrite, NH4-N and
TP were analysed. The BOD5 was analysed provisionally. The analytical methods
were carried out according to the Chinese standards.
Table 6.10 gives an overview of the technical data of the pilot filter plant and the
feed data.
The COD and nitrogen values recorded during the investigation period in the
effluent of the final clarification and in the filter inlet are shown in Fig. 6.9.
During the test period, there were significant fluctuations in the characteristics
of the pilot plant influent, as shown in Fig. 6.9. This was particularly true in May
2018, when a very pronounced disturbance of the operation of the treatment plant
apparently occurred. The effluent values of the secondary clarification increased to
a multiple of the previous values both for the COD and for the total nitrogen. It is
remarkable that in spring 2018 the major part of the oxidised nitrogen in the effluent
of the biological clarification stage was present as nitrite nitrogen and during the
Table 6.10 Technical data for the operation of the pilot filter plant for denitrification
60 250
200
50
150
100
CSB Konzentration [mg/l]
40
N Konzentrationen [mg/l]
50
30 0
-50
20
-100
-150
10
-200
0 -250
April Mai Juni Juli August
NO3-N [mg/l]
NO3-N [mg/l] NO2-N [mg/l]
NO2-N [mg/l] NH4-N [mg/l]
NH4-N [mg/l] restllicher Stickstoffanteil [mg/l] CSB [mg/l]
Fig. 6.9 COD and nitrogen values in the influent of the anoxic pilot filter in the test period
Table 6.11 Average influent and effluent concentrations and elimination efficiency of the pilot
filter for different parameters during a test series without addition of external carbon
disturbance of the wastewater treatment plant the nitrification in the plant came to a
complete standstill at times.
As a basis for investigations with the addition of external carbon, a test series
without carbon addition was run. This investigation was carried out at midsummer
temperatures. The COD/TN ratio in the effluent of the secondary treatment was on
average 3.0. The mean concentrations and standard deviations in the inflow and
outflow as well as the elimination rates for the main parameters are summarised in
Table 6.11.
The results according to Table 6.11 were obtained at very moderate inflow values,
so that under such conditions the current requirements for sewage plant effluents in
the Tai Lake area could be met. However, this does not apply to the very low total
nitrogen value of 6 mg/L which is aimed for in the future.
The pilot filter tests with the addition of sodium acetate as an external carbon
source were carried out in April 2018 at low temperatures and in July/August 2018
at summer temperatures. Table 6.12 lists the conditions for these test phases.
Table 6.12 Process conditions for the pilot filter trials with addition of sodium acetate
Fig. 6.10 Nitrogen values in the influent and effluent of the pilot filter and C/N values and TN
elimination rate for test period with addition of sodium acetate
In April 2018, high nitrite contents of the total nitrogen were present in the effluent
from the secondary clarification, while the higher temperatures in summer 2018 led
to improved nitrate formation. Figure 6.10 summarizes the results of the test series
with carbon addition. The blue bars represent the influent values and the beige bars
the effluent values.
Figure 6.10 also shows the different feed rates of the filter system. Even with very
high total nitrogen values and a feed rate of up to 90 L/h, the target effluent value of
6 mg/L could be maintained. This was no longer possible consistently at the feed rate
of 110 L/h. However, such a high charging rate allows the effluent value of 10 mg/L,
which will apply to the Tai Lake area from 2021, to be maintained.
In the investigations on downstream denitrification, compliance with the required
or desired COD effluent values was of particular interest. Figure 6.11 shows the COD
influent and effluent values according to the nitrogen values shown in Fig. 6.10. The
beige bars represent the influent values and the grey bars the effluent values.
Fig. 6.11 COD values in the influent and effluent of the pilot filter, C/N values and COD elimination
rate for test period with addition of sodium acetate
Only two of the COD effluent concentrations recorded were above the limit of
40 mg/L applicable to the Tai lake area from 2021, but 40% of the recorded one
above the long-term target of 30 mg/L. The main reason for these exceedances is
the high non-degradable or poorly degradable COD content in the secondary treat-
ment effluent, which is not uncommon for industrial wastewater. A future permanent
compliance with COD discharge values not exceeding 30 mg/L will require improved
monitoring of industrial discharges with high shear-degradable COD concentrations.
Indeed, the results shown in Fig. 6.11 make it clear that the high COD effluent values
of the secondary treatment were responsible for the insufficient COD effluent values
of the filter and not the carbon added externally before the filtration stage.
Because the elimination rates for COD and total nitrogen were relatively low in
the first week of the experiments with carbon addition with increased feeding of the
pilot filter, it was decided to carry out a series of experiments with additional nitrate
addition. The discharge and inflow values as well as the elimination rates for nitrogen
are shown in Fig. 6.12. The blue bars represent the influent values and the beige bars
the effluent values.
The outside temperatures during this series of tests averaged 24 °C. Even with
the addition of sodium nitrate, relatively low influent concentrations for the total
nitrogen were obtained. According to Fig. 6.12, the effluent values were clearly
below the future target total nitrogen value of 6 mg/L even at a feed rate of 90 L/h.
The influent and effluent values for COD and COD elimination are shown in
Fig. 6.13. The beige bars represent the influent values and the grey bars the effluent
values.
On all days of the study, the COD effluent value of 40 mg/L, which will apply
from 2021 for wastewater treatment plants in the Tai Lake area, was maintained
regardless of the filter feed and despite the carbon dosage. With the exception of one
day, this also applied to the future target value of 30 mg/L.
Fig. 6.12 Influent and effluent concentrations for TN and NO3-N and TN elimination rate for test
period with addition of external carbon and nitrate
Fig. 6.13 COD values in the influent and effluent of the pilot filter, C/N values and COD elimination
rate for test period with addition of sodium acetate and nitrate
The results of all investigations with the anoxic pilot filter system can be summa-
rized as The results of all investigations with the anoxic pilot filter system can be
summarised as follows:
The purpose of the pilot tests was to improve the nitrogen elimination taking place
in the biological treatment stage down to very low total nitrogen concentrations. As
the COD in the effluent of the final clarification was, as expected, only available to
a small extent as a substrate for denitrification, the addition of an external carbon
substrate proved to be very effective. Very low total nitrogen values could be achieved,
so that the future target value of 6 mg/L at most would have to be met. However,
the prerequisite for such performance of the downstream denitrification stage is a
functioning nitrification in the upstream biological treatment stage. The massive
disturbance of the wastewater treatment plant during the test period, presumably
caused by toxic substances in the industrial wastewater, led to an extensive prevention
of nitrification. Reliable online monitoring and technical measures in the indirect
discharger area or at the Suzhou II treatment plant must prevent such disturbances if
permanent and extensive nitrogen elimination is to be guaranteed in future.
Compliance with future COD requirements in the effluent of the treatment plant
will not depend on the addition of an external carbon source. Given the existing
process engineering situation of the wastewater treatment plant, it is necessary that
the inert COD content in the effluent of the secondary clarification will in future be
below the required COD effluent values of 40 or 30 mg/L. If this cannot be achieved
due to the industrial wastewater treated in the treatment plant, a specific elimination
stage for the hardly degradable organic wastewater constituents would have to be
provided.
6.5.3.3 Sludge Water Treatment
As mentioned in Sect. 6.4, investigations were also carried out at the Suzhou WWTP
using pilot plants for nitrogen elimination from the sludge water substream. The aim
is not to improve the elimination performance by treatment in the main wastewater
treatment stream, but in the sludge treatment substream. In Germany, corresponding
process engineering solutions have already proven themselves on a large scale.
Operation of an SBR-MBBR Experimental Plant

The investigations were carried out in the summer months of 2018 and were carried
out by the German company EvU. The core of the plant was a Moving Bed Biofilm
Reactor (MBBR), which was operated as a sequencing batch reactor. The test plant,
which is located in a container at the Suzhou II wastewater treatment plant, is shown
in Fig. 6.14. It consisted of a storage tank, an SBR reactor and an outlet tank for
sampling as well as a switchgear for control. The reactor had a diameter of 30 cm
and a height of 51 cm corresponding to a volume of 36 L. EvU-Pearl® plastic bodies
with a specific surface of 700 m2 /m3 served as carrier material. The 10.8 L of material
used corresponded to a filling ratio of 30%.
The MBBR plant was fed with the process water of the mechanical sludge dewa-
tering of the sewage treatment plant in order to determine its biodegradability with
regard to nitrogen and COD.
The storage tank was used to store the wastewater to be treated. The wastewater
was treated in batches according to a specified cycle. By switching off the aeration
the cleaning process of the pre-cycle was finished and the sedimentation phase was
initiated. The sedimenting carrier material EvU®-Pearl settled at the bottom of the
SBR. Above the sedimentation layer a clear phase with purified waste water formed.
The sedimentation phase was followed by the withdrawal phase. Excess sludge was
Fig. 6.14 MBBR pilot plant at Suzhou II wastewater treatment plant for sludge water treatment
Table 6.13 Cycle settings during the entire operating period of the MBBR pilot plant
removed at specified intervals and fed into a sludge storage tank. Four to eight cycles
were run daily.
After a two-week running-in phase, eight test phases were carried out in the
investigation period from June to September 2018. Table 6.13 shows the test periods
and the SBR cycles for these test phases.
Due to low denitrification performance in the initial test phases, the dosing of an
external one was later carried out according to the following schedule.
The investigations concentrated on nitrification and especially on nitrogen elim-

ination. Of course, the influence of the feeding cycles was also of importance.
Figure 6.15 shows the inlet and outlet concentrations of ammonium nitrogen and
the corresponding elimination rates during the eight investigation phases applied. It
should be noted that the concentrations of ammonium nitrogen in the sludge water
in Germany are several times higher than the concentrations shown in Fig. 6.15 and
range between 30 and 50 mg/L.
In the middle of phase I and VII, good NH4-N oxidation was temporarily achieved
at an aeration ratio of 67%/33%. As expected, the elimination performance decreased
with reduction of the aeration time. In total, more than 50% of the ammonium could
be oxidized continuously.
Nitrogen elimination was very low in the first four test phases, as can be seen
from Fig. 6.16. The reason for this was the relatively low COD with values between
50 and 200 mg/L, most of which is not available for the necessary denitrification.
This changed with increased addition of external carbon.
Fig. 6.15 Inflow and effluent concentrations of NH4-N and elimination performance as a function
of cycle setting and aeration ratio during the investigations with the MBBR pilot plant
Fig. 6.16 Inflow and effluent concentrations of total nitrogen TN and elimination rates during the
investigations with the MBBR pilot plant
Figure 6.16 shows the inflow and outflow values for total nitrogen and the corre-
sponding elimination performance. The respective aeration ratio and the addition of
carbon were also indicated. The moderate elimination rates for the nitrogen are also
clear from this picture.
Investigations on the correlation between the ammonia nitrogen surface load of

the carrier bodies and the surface oxidation performance showed that surface loads
between 4.5 and 6 g/m2 * d led to good performances. These values could be used
as a basis for plant dimensioning in the event of a possible large-scale technical
application.
In summary, the tests carried out confirmed that the nitrogen loads present in
the process water of mechanical sludge dewatering can be reduced by means of the
MBBR process. Thus the main biological load can be reduced accordingly. However,
it appears questionable whether such a bypass treatment stage is economically viable
at the low ammonia nitrogen concentrations and COD values, since an acceptable
nitrogen elimination performance can only be achieved with the aid of an external
carbon source.
Due to the low ammonium concentrations of the sludge water, the investigations
also did not include the installation of a magnesium-ammonium-phosphate separa-
tion (MAP stage). Such a process engineering solution could otherwise have been
installed in the feed tank of the test plant and would have ensured a desirable removal
of ammonium from the sludge water.
Operation of a Pilot Plant for Deammonification

The sludge water resulting from the dewatering of digested sludge is highly nitroge-
nous and is usually returned to the biological wastewater treatment plant. This means
an additional load of about 10 to 15% of the nitrogen input load and makes a separate
treatment of the sludge water appear sensible because the process stability of nitrogen
elimination can be significantly improved. In recent years, so-called deammonifica-
tion has proved to be an effective method of such a bypass treatment. Deammoni-
fication in particular, with its high energy and cost saving potential, has currently
led to an increased number of partial flow plants being built in practice. At present,
approx. 70 plants for the treatment of sludge water in partial flow are operated in
Germany.
In the process of deammonification, about half of the ammonium contained in
the sludge water is first converted to nitrite under aerobic conditions, which is
then converted to gaseous nitrogen and about 10% nitrate under anaerobic condi-
tions with the help of specialized bacteria (planktomycetes) together with the other
half of the ammonium. Figure 6.17 shows the basic principles of conventional
nitrification/denitrification and deammonification (Lackner et al. 2013).
Compared to the classic nitrification/denitrification, the ammonia ionization
process uses 60% less oxygen and 100% less carbon. Furthermore, due to the slow
growth rates of the microorganisms involved, considerably less excess sludge is
produced.
To demonstrate deammonification in China, a laboratory test plant was operated
at the Suzhou II wastewater treatment plant in 2018. The German company ATEMIS,
which has extensive practical experience in deammonification, was responsible for
this. The sewage treatment plant was suitable for the investigations because it has a
sewage sludge digestion system and a similarly high amonium nitrogen load in the
sludge water as in Germany was expected. It turned out that for the investigations
Nitrification/Denitrification Deammonification
Fig. 6.17 Comparison of conventional nitrogen elimination and deammonification of wastewater
an increase by external ammonium nitrogen was necessary due to the very low
contamination of the sludge water on site.
The functionality of the experimental plant could not be fully exploited because
the very specific sludge required for nitritation was not available in sufficient quantity.
Since such a sludge did not exist in China up to now, a transport of corresponding
quantities of inoculated sludge from Germany was planned for the start-up of the
pilot plant. In order to avoid difficulties during a long lasting transport in shipping
containers or air freight, a freeze drying of suitable inoculation sludge was carried
out in Germany and the sludge was taken to China as hand luggage. This measure
was basically successful, as the dried inoculation sludge could be revived in the test
plant. However, due to the limited drying capacity, the amount of sludge and the
bacterial mass was too small for full-load operation of the test plant.
For economic reasons, the deammonification of nitrogen-contaminated sludge
water will only be feasible in China if the nitrogen potential to be oxidized is at least
100 mg NH4-N. In any case, preliminary practical tests should be carried out.
6.6 Recommendations for Future Wastewater Treatment

in the Investigated Wastewater Treatment Plant
The background to the investigations carried out at the Suzhou II wastewater treat-
ment plant in 2017 and 2018 was the finding that improved treatment performance
of the plant appears necessary to meet future requirements. The following recom-
mendations for the future design and operation of the plant can be derived from the
investigations.
The operation of wastewater treatment plants with a high proportion of industrial
wastewater requires precise knowledge of the industrial wastewater to be treated. This
also includes immediate information in case of operational disturbances or changes in
production in the industrial wastewater producing companies, if these have an impact
on the wastewater quality. The operator of the wastewater treatment plant under
investigation did not have any complete information on this subject until now. It is
recommended to establish a regularly updated cadastre for the industrial companies
connected to the treatment plant, including all relevant wastewater data including the
wastewater pretreatment plants. With regard to operational pre-treatment measures,
the competent supervisory authority should clarify whether a targeted partial flow
treatment of particularly polluted wastewater should be carried out instead of pre-
treating the entire operational wastewater.
In future, compliance with very low nitrogen levels will mean targeted measures
for the Suzhou II treatment plant. One possibility is the dosing of external carbon for
denitrification in the biological treatment stage. For economic reasons and sustain-
ability, it is recommended that suitable organic residues from operations in the
Suzhou Industrial Park be used. However, their suitability and effect would have
to be investigated in the laboratory before their large-scale use.
In view of the necessity to maintain very low effluent values for nitrogen in
the future, the use of a denitrification in an anoxic filter plant downstream of the
biological treatment stage seems very sensible. Due to the low availability of COD
in the effluent of the final clarification to ensure nitrate respiration in the filter plant,
the addition of an external carbon substrate will become necessary. To adapt to the
purification requirements for compliance with the requirements, it may make sense
for economic reasons to lead only a partial flow of the secondary clarification effluent
through the filter plant, at least temporarily.
In order to meet the requirements of the COD effluent values of the treatment plant,
it will be necessary in the future that the inert COD content in the final sedimentation
effluent is below the required COD effluent values of 40 mg/L or 30 mg/L. If this
cannot be achieved due to the industrial waste water treated in the treatment plant,
a specific elimination stage must be provided for the hardly degradable organic
waste water constituents. For this purpose, either adsorption with activated carbon
or chemical oxidation is suitable.
6.7 Summary
The special importance of Lake Tai for the water supply in the Shanghai area has led
to very demanding new requirements for wastewater treatment in the catchment area
of the lake, due to the high levels of pollution, especially of plant nutrients, that have
been known for years. Within the scope of German research activities belonging to
the Chinese Mayor Water Programme, a contact was established with the Chinese
company Huayan Water Affairs Co., Ltd., which is responsible for the water supply
and wastewater disposal in the Suzhou Industrial Park on Lake Tai. This resulted
in a research project financed by the German Ministry of Education and Research
(BMBF) and the company Huayan Water. Using the example of the Suzhou Sewage
Treatment Plant II in the Industrial Park Suzhou, which has to treat a consider-
able proportion of industrial wastewater, approaches for the future improvement of
wastewater treatment were to be investigated on the basis of German experience.
The focus was on extreme demands on the wastewater treatment plant effluent with
6 mg/L total nitrogen and 30 mg/L COD.
The investigations carried out covered both technological and management
aspects. For the future successful function of the investigated wastewater treatment
plant it seems to be important that all basic and current data and information about
the different wastewaters of the connected industrial plants are available during the
treatment operation.
Investigations in the laboratory of the sewage treatment plant and with the help
of three pilot plants in operation resulted in various findings. This has resulted in the
following suggestions and notes, among others.
– It seems worth considering whether in future the sedimentation plant upstream
of the biological treatment stage should continue to be used as such or whether it
should be used for other purposes.
– For the dosing of an external carbon source that will be necessary in the future
to improve nitrogen elimination, suitable organic substrates from the Suzhou
Industrial Park should be used as industrial residues instead of conventional
products.
– For the stability of a future very extensive denitrification the arrangement of an
anoxic filtration plant downstream of the biological clarification stage with dosing
of external carbon seems to be reasonable.
– If, in future, it will not be possible to permanently reduce the COD that is difficult
to degrade during the final clarification process, an additional procedural measure
will be necessary. Either activated carbon adsorption or chemical oxidation can
be considered for this purpose.
In conclusion, it should be noted that the research project carried out resulted in a
very trustful and harmonious cooperation between all Chinese and German partners
involved.
References
Amed J, Bumiller W, Kusche I, Donnert D (2000) Effiziente Abwasserreinigung durch einfache

Prozessmodifikation und Nutzung von Küchenabfällen, Forschungszentrum Karlsruhe Technik
und Umwelt, Karlsruhe
ABWV (2004) Verordnung über Anforderungen an das Einleiten von Abwasser in Gewässer -
Abwasserverordnung – AbwV, 17.06.2004 (BGBl. I S. 1109, S. 2625)
Dohmann M (2014) Combined or separate treatment of municipal and industrial wastewater,
Presentation on 11 October 2012 at the Chin Research Acad of Envir Sciences in Beijing
DWA (2013) DWA Merkblatt M 115-1 und -2 Indirekteinleitung nicht häuslichen Abwassers,
Hennef
Görner K, Hübner K (1999) Umweltschutztechnik, Springer Verlag, Berlin
Lackner S, Horn H, Schreff D (2013) Pilotvorhaben Deammonifikation, DVGW, Karlsruhe
Lee V (2018) Advanced post-treatment nitrogen elimination using an anoxic biofilter on the example
of a Chinese industrial wastewater treatment plant, Master thesis at the RWTH Aachen University,
Aachen, Sept. 2018
Xiang L (2017) Treatment technology of pharmaceutical wastewater, SINOWATER Workshop,

September 8, 2017, Bejing
Xu Y (2016) 8 Things about recycling water, China Water Risk, October 19, 2016
Chapter 7
Adaption and Introduction of German
Sewer Inspection Technology in China
Marc Jansen, Jan Echterhoff, Tobias Jöckel, and Sven Sturhann
7.1 Introduction
In China in particular, cities represent the spatial concentration points of society

and are always a mirror image of the macro-social development trend. Often, it
is at the urban level that global megatrends firstly reveal their concrete impact on
people. Whether it be rapidly increasing population growth, processes of climatic
change or enormous economic growth, the consequences are pervasive and always
have a profound impact on urban society and, above all, on urban systems. This
is clearly evident when looking at the current drainage situation in Chinese cities.
While the above-ground infrastructures have been continuously adapted to the ever-
increasing economic growth in the People’s Republic, the expansion and maintenance
of the under-ground sewage system has been largely neglected. The consequences
are devastating and the pressure to act is indispensable.
The objective of SINO-INSPECTION is to provide an important contribution to
the maintenance and improvement of the drainage situation in Chinese cities. This
project is realized by developing and demonstrating German sewer inspection tech-
nologies, adapting these technologies to Chinese conditions and providing scientific
proof of their functional efficiency. The joint project SINO-INSPECTION focuses
on the Chinese megalopolis of Jiaxing in the Zhejiang province. The practical activi-
ties and scientific verification, as well as the derivation of criteria for sewer condition
M. Jansen (B) · J. Echterhoff

Research Institute for Water and Waste Management at the RWTH Aachen University (FiW) e. V.,
Aachen, Germany
T. Jöckel
JT Elektronik GmbH in Lindau, Lindau, Germany
S. Sturhann
Bluemetric Software GmbH in Griesheim, Griesheim, Germany

https://doi.org/10.1007/978-3-030-80234-9_7
240 M. Jansen et al.
assessment as part of SINO-INSPECTION, were supported by the urban drainage

companies in Jiaxing and the Zhejiang University in Hangzhou.
The German project consortium consists of employees of the Research Institute
for Water and Waste Management at RWTH Aachen University (FiW), employees
of the company JT-elektronik GmbH and employees of the company bluemetric
software GmbH.
7.2 Stage of Urban Drainage Systems in China
7.2.1 Definition of Task
Floods and odour nuisance due to massive sewer deposits as well as increased water-
polluting overflows in mixed sewer systems in inner-city areas have meanwhile led to
increased measures for the operation of sewer networks. This includes an increased
systematic cleaning of the sewers. A continuing problem of many Chinese sewer
systems and sewage treatment plants is the inflow of extraneous water. The main
reason for this is the infiltration of groundwater into the sewers caused by leaking
sewers, which leads to a significant dilution of the untreated wastewater. As a conse-
quence of this extraneous water, hydraulically overloaded sewers and wastewater
treatment plants are the result and, thus, higher substance pollution of surface waters
is caused. Despite the above described obvious operating problems, the conditions
of the existing sewers are hardly recorded, so that no targeted countermeasures can
be taken. Therefore, an efficient assessment of the condition of a sewer system by
means of a sewer inspection must be an important and integral part of sustainable
wastewater disposal. In addition to maintaining verification of the sewer function,
the inspection and the sewer maintenance based on such an inspection play a further
economic role, for example as protection against flooding and consecutive damages.
The structural components of the sewer network are municipal capital goods with
useful lives of up to 100 years. It is thus important to preserve the substance value of
the sewer system for a long time. Accordingly, a long preservation of the substance
value of the sewerage system is relevant. The methods of optical inspection by means
of TV cameras, which have proven their worth in Germany especially for sewers that
are not accessible to the public, cannot simply be used in China. A particular diffi-
culty in the condition assessment of many Chinese sewers is caused by the lack
of possibilities to shut off the sewage flow during a TV camera inspection. Under
the described boundary conditions in China and the desire there for the simplest
possible inspection procedures, innovative inspection systems adapted to the condi-
tions in China are required. The aim of the project described below is to make an
important contribution to the maintenance and improvement of the drainage situation
in China through the development and demonstration of German sewer inspection
technologies, the adaption of the technologies to Chinese conditions and the scien-
tific verification of their functional efficiency. Already existing contacts with the
7 Adaption and Introduction of German Sewer Inspection Technology in China 241
Chinese city of Jiaxing, which has as one of the first 16 Chinese sponge cities to have
a pilot character, revealed various challenges for the operation and maintenance of
the sewage systems.
7.2.2 Conditions Under Which the Project Was Carried Out
The city Jiaxing is located in the north of the Chinese province Zhejiang. Jiaxing has
about 3.53 million inhabitants (as of 2011) and stretches over a total area of 3,915
km2 .
Jiaxing is surrounded by the cities of Suzhou, Shanghai and Hangzhou, each
about 100 km to the north, north-east and south-west, and is thus located in one of
the more densely populated regions of the world, the Yangtze Delta region. Jiaxing
itself consists of two districts, Nanhu and Xiuzhou, two counties, Jiashan and Haiyan,
and three independent cities, Pinghu, Haining and Tongxiang. The morphology of
the city can be considered flat, with an average altitude of 3.7 m above sea level and
an average gradient of less than 1%. A large number of standing waters and rivers
as well as canals are part of the city of Jiaxing. In China’s eastern coastal regions,
the groundwater level is on average 1–2 m below ground level and thus usually at
the level of the sewer system. This leads to groundwater intrusions in large parts of
the sewer system. In Guangzhou, the groundwater inflow into the sewer system is
so considerable that some sewage treatment plants dilute the COD inflow to below
100 mg/l. In Zhejiang Province, 24.8% of all sewage treatment plants ave COD
inflow values below 200 mg/l [11–14].
The climate is characterised by significant variations in precipitation over the
course of the year. The summer months from June to August show significantly higher
precipitation than the autumn/ winter months from October to December (Fig. 7.1).
The annual precipitation is about 1,100 mm. Between the years 2000 and 2012, the
lowest-precipitation month recorded just under 40 mm and the highest-precipitation
month an average of just under 170 mm [9].
The current state of knowledge about the condition and general data of the sewage
networks in China is poor and largely incomplete. Apart from overall statistics on
the total sewer length in China, more comprehensive data is limited to individual
investigations in only a few regions of China.1
A sewer system with a total length of 510,000 km exists throughout China.
These consist of 210,000 km of wastewater sewers, 190,000 km of stormwater and
110,000 km of combined sewer system (status 2014, [11–14]). By way of compar-
ison, in 2013 Germany had a total sewer system length of 575,580 km consisting of
206,234 km of wastewater sewers, 126,480 km of stormwater sewers and 242,866 km
of combined sewer systems [10].
1E.g..: Huang, Dong-Bin, et al. “Confronting limitations: new solutions required for urban water
management in Kunming City.” Journal of Environmental Management 84.1 (2007): 49–61.
Fig. 7.1 Climate Diagram Jiaxing [9]
Within the Eco-Sponge-City demonstration area in the city of Jiaxing there are
47 km of wastewater, 140 km of stormwater and 52 km of combined sewers -
this corresponds to about one tenth of the sewer length of the German city of
Cologne. Almost nothing is known about the number and regularity of sewer condi-
tion. However, these can generally be classified as low. For example, in the city of
Chongqing with its 10 million inhabitants, less than 5% of the entire sewer system
has been inspected in the last 10 years [11–14].
The sewer damages leading to extraneous water intrusions are often caused by
damage to the sewer pipe itself, leaks in the couplings or coupling offset, subsidence
of individual sewer sections due to inadequate sewer bedding, or faulty connections
in the separation system. These sewer damages not only lead to constructional risks
within the road area and allow for contamination of the soil with wastewater, but
also exert a considerable influence on the treatment performance of the connected
wastewater treatment plants. The significantly increased water volume generates a
hydraulic surplus resp. overloading of the wastewater treatment plants, so that the
wastewater loads are no longer sufficiently reduced.
7.2.3 Present State of Science and Technology
7.2.3.1 Legal Situation
Germany
In Germany, there are a large number of different laws, regulations and standards
which prescribe a certain course of action, specify a construction or operating method
or serve as a guideline without direct legal binding. In the first place in the hierarchy
are legal obligations as a restriction and specification for the construction and opera-
tion of drainage systems. These must be fulfilled in order to achieve legal compliance.
In addition to the applicable laws, standards also have a significant influence on the
construction and operation of drainage systems. Standards, according to the German
Institute for Standardization (DIN), or their European (CEN) and international (ISO)
pendants, do not, however, have any obligation to be fulfilled. They serve as volun-
tary guidelines for orientation to the current state of technology, with the exception
of explicit regulations for compliance with laws or contracts (German Institute for
Standardization 2017).
Legally, a drainage system is governed by the Water Resources Act (WRA) of
2009. Chapter 3, Sect. 2, § 54–§ 61 regulates the legal framework for handling
wastewater.
§ 60, Sect. 7.1 states:
“Abwasseranlagen sind so zu errichten, zu betreiben und zu unterhalten, dass die
Anforderungen an die Abwasserbeseitigung eingehalten werden. Im Übrigen müssen
Abwasserbehandlungsanlagen [...] nach dem Stand der Technik, andere Abwasseranlagen
nach den allgemein anerkannten Regeln der Technik errichtet, betrieben und unterhalten
werden.“ (Wastewater systems must be constructed as well as operated and maintained in
such a way that the requirements for wastewater disposal are met. Furthermore, wastewater
treatment plants [...] must be constructed, operated and maintained in accordance with the
state of the art, other wastewater plants in accordance with the generally recognised rules
of technology.)
This is considered the basis for German regulations and standards applied in prac-
tice, which, as the current state of technology, are available uniformly throughout
Germany as guidelines for compliance with this law. Although their application
does not offer any legal guaranty of correctness of the construction and operation
of drainage systems, they can help in the event of possible liability, as they make it
easier to prove duly behaviour [1].
On federal level, wastewater disposal is covered by the Water Resources Act, as
described above. Furthermore, § 57 states:
“Abwasser ist von den juristischen Personen des öffentlichen Rechts zu beseitigen, die nach
Landesrecht hierzu verpflichtet sind (Abwasserbeseitigungspflichtige). Die Länder können
bestimmen, unter welchen Voraussetzungen die Abwasserbeseitigung anderen als den in
Satz 1 genannten Abwasserbeseitigungspflichtigen obliegt. Die zur Abwasserbeseitigung
Verpflichteten können sich zur Erfüllung ihrer Pflichten Dritter bedienen.“ (Wastewater is
to be disposed of by corporate bodies under public law, which are obliged to do so under
federal state law (wastewater disposal obligors). The states can determine the conditions
under which wastewater disposal resides with persons other than the wastewater disposal
obligors mentioned in sentence 1. Persons obliged to dispose of wastewater water may use
third parties to fulfil their obligations.)
The responsibility for wastewater disposal is thus transferred to the municipalities

or local authorities, with the addition that the state government also has a say. In
Germany, this is achieved by means of various wastewater regulations of the state
governments. It is also possible for several municipalities to transfer their duty to
private service companies. These are often special-law wastewater associations that
act as public-law institutions and remain as instruments of the municipalities [7].
The public sewage system, as a pure infrastructure, is thus owned by the munici-
palities (wastewater disposal obligors). They also take care of its structural and oper-
ational condition. Consequently, sewer construction, cleaning and monitoring as well
as further steps are the responsibility of the municipalities. These appoint private,
certified service providers for a sewer inspection. Larger municipalities usually have
their own cleaning and inspection team.
In Europe, the DIN EN 13,508–2 for the assessment and monitoring of drainage
systems exists for “the inspection and assessment of drainage systems outside of
buildings part 2: Coding system for optical inspection”, which is illustrated with the
leaflet DWA M 149–2 of the same name by the DWA and supplements the Euro-
pean standard with additional specifications practiced in Germany. The two standards
define a coding system for the description of observations made during an optical
inspection inside sewers, manholes and inspection openings. In addition, Germany
has the leaflet DWA-M 149–5 “Condition assessment and evaluation of drainage
systems outside of buildings part 5: Optical inspection”, which gives recommenda-
tions and assistance for the solution of technical and operational problems as well
as for quality management. The aim is to ensure a qualified recording of the actual
condition of the drainage systems. The process of optical inspection thus consists of
the following sub-steps:
1. work preparation
2. image recording
3. image evaluation with condition description
4. documentation.
China
While a uniform Europe-wide standard exists with the realization of DIN EN 13,508–
2 in Germany, in China there are various regional specifications for the assessment
of the condition of drainage systems. These partly result from the fact that the official
responsibility for water supply and wastewater disposal was previously not clearly
regulated. This resulted in conflicts of interest regarding water use and the protection
of soil and water to the disadvantage of the expansion of drainage facilities.
Since the reform from 2003 to 2007, the assessment of the condition of drainage
systems has been the responsibility of the cities resp. the corresponding department
for water management.
Fig. 7.2 Management of urban water management in China according to Xinjiang conservation
fund (2008)
The influences and responsibilities are shown in Fig. 7.2. This reform introduced
the concept of “water management” for the first time. It combines traditional water
management with water supply and wastewater disposal resp. treatment in sustainable
use.
The three most important ministries responsible for monitoring the Water Manage-
ment Department are the “Ministry of Housing and Urban–Rural Development”
(MOHURD), the “Ministry of Environmental Protection” (MEP) and the “Ministry
of Water Resources” (MWR).
As can be seen in Fig. 7.2, the drainage systems are the property of the cities, and
their construction is subject to or supervised by the MOHURD. Maintenance such as
sewer cleaning assessment and monitoring is the responsibility of the Department of
Water Management of the city governments. The private companies are responsible
for the operation of the water supply and drainage.
Due to this responsibility situation, there are currently many different sets of regu-
lations in the various cities and company structures, which apply to the assessment of
sewer condition and all further steps. In the greater Shanghai area and in the neigh-
bouring Zhejiang province, the Chinese standard CJJ 181–2012 - “Recording and
technical data of the evaluation of urban sewage systems” is common.
7.2.3.2 Recording of Sewer Condition – Hardware
The standard for the recording and assessment of the condition of drainage systems
is optical inspection. This procedure generally distinguishes between direct optical
inspection and indirect optical inspection.
A direct optical inspection is the inspection of manholes and accessible sewers
by walking through the canal/ sewer, whereas the indirect inspection is an optical
inspection by camera.
Depending on the methods used, optical inspection can essentially be used to
detect and qualitatively assess clearly visible damage such as cracks, shattering, pipe
breakage and collapse. Leaks without visible damage can only be detected by means
of infiltrations, increased water flow at times when the volume of wastewater is
normally low or when the accumulation of sediment is increased. In all other cases,
leaks can only be detected by means of leak tests (cf. Annex A-2.5).
In Germany, the condition recording is preceded by a cleaning process, which
has an additional positive effect. Cleaning the sewers removes blockages, which
reduces sewer flooding and odour emissions (LfU 2016). Consequently, the condition
recording also has a practical aspect that benefits the residents. Furthermore, there is
a risk of the formation of explosive mixtures or harmful gases in the sewer system,
especially in the manholes, due to putrefactive processes [2]. Regular sewer cleaning
and condition assessment also limit this gas formation, as deposits and limitations
of the hydraulic capacity can be eliminated at an early stage.
Innovative Procedures for Sewer Inspection and Sewer Assessment

The techniques used in Germany for optical assessment are based on a variety of
camera systems. They are either carried through the sewer by wheel-based inspection
crawler cameras using a flushing nozzle or they are manually pushed through the
sewer. In the following two selected systems are presented, which offer the possibility
to be adapted to the requirements of the Chinese sewers.
Sewer Inspection Using Electronic Sewer Mirrors (FastPicture Method)

The electronic sewer mirror (Fig. 7.3) is a camera system with integrated lighting
equipment.
The example of the FastPicture system from JT-Elektronik is a Full-HD camera
(resolution 1920 × 1080, zoom 360× (30× optical/12× digital)). By using highly
efficient LEDs, an illumination of over 100 m is possible.
This camera system is attached to a telescopic rod, which ensures variable use
with differing shaft depths. The system is installed directly at the entrance of the
manhole, which means that it is no longer necessary for inspection personnel to
enter the shaft.
The installation itself proves to be very simple, which results in a quick status
check. The camera/ lighting unit itself has an electronic tilt mechanism, which allows
the technician to manually align the camera to the optimal position for image. For
the recording, the camera is zoomed into the position to be examined. The recording
itself can be saved either as a photo or a video. In addition, the technician can make
Fig. 7.3 FastPicture system by JT-elektronik GmbH (JT Elektronik)
real-time assessments via a high-resolution monitor to manually change the setting

if necessary.
The use of an electronic sewer mirror does not require any prior cleaning of the
area to be examined. The electronic sewer mirror can be used up to a filling level of
approx. 20%.
A disadvantage of this inspection method is that damage in the sewer can only
be viewed from a distance. It is not possible to make a recording for the purpose
of qualitative damage assessment from a direct proximity using an electronic sewer
mirror, apart from damage to the manhole itself.
Furthermore, it is possible as part of the inspection of a section of a sewer to
visually inspect the condition of the shaft when lowering and raising the equipment.
In combination with inspection devices that have to be guided through the sewer,
the sewer mirror enables a quick pre-assessment. Obstacles in the sewer that the
inspection device cannot overcome or damage can be detected before driving through
it.
Sewer Assessment Using Satellite Camera (SKI Method)

Sewer condition assessment by means of a satellite camera combines sewer cleaning
through a high-pressure nozzle with optical recording of the sewer condition.
A camera is installed at the head of this maintenance and inspection device next
to the individual cleaning nozzles that exit to the rear (Fig. 7.4). The camera is
either fixed (satellite camera - JT-Elektronik, Lindau) or swivelling (Lindauer bulb -
JT-Elektronik, Lindau).
Fig. 7.4 Schematic of High-Pressure cleaning method (FiW)
In Germany, this widely used process for sewer cleaning is called high pressure
flushing (HD) process.
After installation in the entry shaft, the nozzle head, together with the hose, is
pressed by water jets escaping to the rear against the flow direction from the entry
shaft to the target shaft. The water pressure at the cleaning nozzles is usually between
80 and 100 bar. In this phase existing deposits in the sewer are loosened. As soon
as the target shaft is reached, the hose is slowly retracted. Due to the water that
continues to flow out of the cleaning nozzles, the deposits are also washed away
and the driven-on area is cleaned. In this phase the camera inspection is carried out.
As a result, the cleaning of the sewer can be inspected as well as the condition of
the sewer. A usable camera inspection can be realized at a filling level of up to 20
percent. The satellite cameras from JT-Elektronik are suitable for sewer diameters
from DN 70 to DN 300. In addition, there are also cleaning nozzles that can be used
up to a diameter of DN 1200. Another argument in favour of this method is that it can
be installed easily and quickly with relatively little personnel resources (2 persons).
It is not applicable for thicker deposits, as the cleaning performance is not realizable.
Furthermore, it is not advisable to use the HD method for already damaged sewers,
as there is a high risk that the damage will be increased by the high pressure of the
water jet. Care must also be taken in the area of the sewer sleeves so that they are
not damaged.
The stresses on the pipe surface are dependent on:
• The water pressure at the cleaning nozzle,
• The amount of water,
• The distance of the cleaning nozzle to the pipe wall,
• The number, the cross-section and the outlet angle of the cleaning nozzles.
China
In China, a sewer inspection cannot be carried out by a complete closure of one
or more sewerage sections. As opposed to Germany, the sewer infrastructure is not
developed to such an extent that the wastewater can be diverted without problems.
This is partly due to the infrastructure itself, and partly to the high level in the sewer
network caused by groundwater intrusion. As soon as an area is completely blocked
off for inspection purposes, there is a risk of flooding in the areas in front of the
blocked-off sewer area within a short time.
At the moment, four different methods are applied in China in the field of sewer
inspection:
CCTV-method,
Damage detection by sonar,
GPR-method and.
Periscope procedure.
The most widely used procedure is the CCTV (Closed Circuit Television) method.
This procedure corresponds to the sewer robots known here in Germany with inte-
grated rotary head camera. Using this procedure, the crawler equipped with a camera
travels over the area to be viewed. Prerequisite for the use of this technique is a low
filling level and a prior cleaning of the section to be examined, which cannot be
realized optimally in China due to the above mentioned reasons.
Another inspection method used is the detection of damaged areas using sonar.
Here a sonar probe is installed onto a floating body which moves through the pipe at
high filling levels and inspects the sewer pipe by means of sonar. When evaluating
the sonar recordings, it is difficult to distinguish damage to the bottom of the sewer
from deposits. There is a great risk of misinterpretation and thus wrong conclusions
during sewer inspection.
The GPR method (Ground Penetrating Radar) works in a similar fashion to the
sonar inspection method. Only the operating principle of this method is not based on
sonar technology, but on the use of radar antennas. Similar to the CCTV method, the
GPR method is only feasible at low levels, as too high a water content complicates
a radar operation and falsifies the radargrams. Accordingly, the GPR method is only
conditionally practicable in China.
Recently, inspection trials have been running in China with a periscope method,
which corresponds to the electrical sewer mirroring widely used in Germany. In
Germany, however, this method is only used for first sighting and remote sensing. A
high quality inspection and exact damage detection, similar to CCTV inspection, is
not possible solely with the sewer mirror.
Instructions for Direct Inspection

Germany
With direct inspection, the actual structural condition is assessed by the inspector by
means of a local inspection of the sewer system. The inspector enters the sewer system
via the manhole and documents the findings and their quantification. A recording in
the form of photography and video technology is planned to enable further work steps.
According to the German/European standard DIN EN 752:2008–04, direct optical
inspection is to be avoided for occupational safety reasons. However, according DIN
EN 13,508–01 2013 reads as follows:
“Should it not be possible to obtain sufficient information through indirect inspections, a
direct inspection (e. g. walk-through sewer) may be carried out. Requirements concerning the
circumstances allowing for direct inspection shall be taken from national rules or obtained
from the competent body“.
According to the European standard and the German DWA instruction leaflet,
the direct inspection must be carried out by a team of at least two persons. After
the sewer has been measured “clear” indicating absence of contamination, i. e. an
atmosphere in the sewer which is not dangerous for humans (measurement of gas
concentrations such as hydrogen sulphide, carbon dioxide etc.) has been checked,
the first inspector enters the section of sewer. This first inspector is equipped with
explosion-protected measuring equipment and a portable sewer camera that trans-
mits recordings in real time to the second inspector in the recording vehicle and
permits storage of the recorded data. The second inspector evaluates the measure-
ment results in the recording van and gives further instructions to the colleague
inspecting the sewer. A radio connection between the two persons is also mandatory.
This ensures fast communication and thus work safety, as any emergencies can be
communicated quickly [5]. According to the European standard DIN EN 13,508–
01 2013, a minimum diameter of the sewer of DN 1200 must be given for direct
inspection. Moreover, it must be free of wastewater flow during the inspection.
China
In accordance with the Chinese safety standard for the operation of electrical equip-
ment in potentially explosive atmospheres according to GB 3868–1983, a direct
inspection must also be carried out by at least 2 persons. Furthermore, the Chinese
CJJ 181–2012 standard specifies four criteria for a direct inspection by an inspector.
These are:
• a minimum sewer diameter of 0.8 m,
• a flow velocity of not more than 0.5 m/s,
• a water depth of not more than 0.5 m and
• a filling level of less than 50% as regards the cross section.
In order to detect damages to drainage systems at an early stage, the sewer network
operator in Germany usually carries out a condition assessment every 10 years, and
even more frequently in ground water protection areas. Furthermore, visual inspec-
tions are recommended when acceptance testing of sewer construction and rehabilita-
tion measures are carried out, and also before the warranty period for new construc-
tion or rehabilitation measures expires. The results of the recording of conditions
are documented in the sewer cadastral. In the case of sewers that have been repeat-
edly inspected, a recommendation is made to also retain earlier inspection results
(Bavarian State Office for the Environment 2010). Due to the status of German
standards and the fact that instructions are not legally binding, the aforementioned
time intervals of the condition assessment are not considered legally binding either.
Therefore, a sewer operator can decide at his own discretion on the frequency of the
condition assessment. Basically, a distinction can be made between three procedures.
Concerning the fire brigade method, incidents are eliminated with the help of emer-
gency task forces, who are sent to the incidents in order to repair them without regular
inspection beforehand. The preventive strategy is characterised by fixed intervals for
the inspection, maintenance and rehabilitation of a sewer section. The last and most
frequently chosen option is the inspection strategy based on requirements. With this
strategy, maintenance and rehabilitation are carried out on the basis of the evaluated
findings according to a rehabilitation plan (Pinnekamp 2014).
The Chinese regulation CJJ 181–2012 specifies an interval of five to ten years for
an inspection period. However, the interval varies if a structural or functional defect
was detected during a previous inspection, which requires a more frequent inspection
(up to 1–2 years). Other reasons for reducing the frequency of inspections are:
• sewers placed in specific soils (eroded soil, flowing sand, etc.),
• sewers older than 30 years,
• sewers which are in poor structural condition,
• infrastructurally important sewers and
• sewers with specific requirements.
Due to the legally binding situation of the Chinese regulatory framework, an exact
time frame for the condition assessment can be specified here (CJJ 181–2012, 2012).
Instructions for Indirect Inspection

Germany
Indirect inspection is the assessment of the current condition of sewerages by means
of an indirect visual inspection, using remote-controlled sewer inspection techniques.
In Germany, the instruction sheet DWA-M 149–5 (according to DIN EN 13,508–01
and DIN EN 13,508–02) specifies the field of application for indirect inspections
with a nominal diameter for pipes of DN 100 to 1200 (100 - 1200 mm). The equip-
ment of an indirect inspection comprises the following main components: camera
system, drive unit, power supply and data transmission as well as the control unit.
According to DWA-M 149–5, the camera systems should be equipped with an optical
zoom, autofocus and equipment to ensure an upright image. In addition, functions for
quantitative condition assessment or position determination are possible, including
localisation sensors and functions for damage measurement, e.g. by laser measure-
ment. Halogen lamps or light emitting diodes are used to illuminate the inspection
area. Controllable crawler vehicles can be used as from a nominal sewer diameter of
DN 100. Adaptation to larger nominal widths is achieved by mechanically or elec-
trically operated height-adjustable units or different wheel sizes. If the use of mobile
camera robots is not possible, there is the possibility of a drive by sliding rods or
flushing nozzles. The energy supply of the camera as well as the data transmission
are realised via a special cable on a motor-driven cable winch, which is also used
for length measurement. The control unit is the interface between camera vehicle
and inspector. The inspector can use it to operate the sewer camera and view and
record the video material on a screen. The evaluation of the documented recordings
is software-supported using a coding system [5].
China
The technical requirements for indirect inspection are described in the Chinese regu-
lations CJJ 181–2012 much like the German regulations. The CCTV contains tech-
nically similar main components as those described in the German regulations. It is
a mobile crawler equipped with a camera and measuring technology, which captures
the surface of the sewer by video technology. The evaluation of the recordings is
done by the inspectors in a camera car, who record the condition of the drainage
system under consideration of a coding system. The regulations describe a nominal
width of at least DN 100 for CCTV inspection. According to the Chinese regulations,
the wheels of the crawler must be exchangeable and adjustable in height. Further-
more, the camera should have a lens that can be moved in all directions as well as
a zoom function and autofocus. On the monitor of the inspector the date, time and
position parameters of the inspection must be made available. A freely adjustable
height adjustment of the camera is also required.
Sewer Cleaning
Germany
According to DWA-M-149–5, inspections which fulfil the purpose of assessing the
structural condition of an object require a complete and comprehensive cleaning
of the object to be inspected in a temporal context to the inspection itself. The
temporal connection must be adapted to the operating situation to such an extent
that renewed pollution cannot occur. The instruction sheet therefore specifies a lead
time for cleaning of 48 h [5]. High-pressure cleaning as well as cleaning procedures
adapted to the degree of soiling are mentioned as cleaning procedures. In high-
pressure cleaning, a flushing nozzle is moved through the sewer section. This nozzle
conveys the impurities and deposits by water pressure in the direction of the shaft,
from where they are removed by means of a suction instrument. According to DWA-
M-149–5, inspections which fulfil the purpose of assessing the structural condition
of an object require a complete and comprehensive cleaning of the object to be
inspected in a temporal context to the inspection itself. The temporal connection
must be adapted to the operating situation to such an extent that renewed pollution
cannot occur. The instruction sheet therefore specifies a lead for cleaning of 48 h
[5]. High-pressure cleaning as well as cleaning procedures adapted to the degree of

soiling are mentioned as cleaning procedures.
The intensity of the flushing nozzle should be selected so that the sewer section
is free of all detachable pollutions and deposits and a full inspection of the sewer
wall is possible. The intensity results from the number and size of the flushing
nozzles mounted in the nozzle head, which can be optionally mounted in such a
way that they can bring a lot of intensity and cleaning power for all areas of the
sewer walls. A lower intensity of the flushing nozzle is required, for example, in
sewer systems where damage is known or suspected due to obvious circumstances
[5]. For an optimal investigation and assessment of a sewerage, attention should be
paid to well-trained and experienced cleaning personnel (Vogel 2007). According to
DWA-M 149–5, suitable cleaning instruments should be available, even during the
inspection, in order to be able to clean the sewer if necessary [5].
China
The basic principle of sewer cleaning carried out in China is similar to that of German
sewer cleaning. In China, this cleaning step is also preceded by the actual inspection
in order to be able to better assess the condition of the sewer. Similar to Germany,
there are also different cleaning nozzles in China, which can also be varied in cleaning
performance by changing the nozzles. Unlike in Germany however the loose deposits
are not sucked off at the next manhole, but are dragged along further. In addition,
the flushing vehicles and the installed pumps cannot be compared with those used in
Germany. There is a clear difference here, if only in terms of the technical equipment
and the cleaning performance to be achieved.
A further problem in China is the lack of staff training. Usually the staff is not
aware of the sense and purpose of sewer cleaning and therefore there is a lack of
awareness for high quality work.
7.2.3.3 Coding and Classification of Condition Recording
An important tool for managing data of drainage systems is the classification and
coding of damages and structural elements. Coding is a system that reduces and
standardises the complex information of sewer condition recording to a few pieces
of data. This enables expert persons to gain a quick and objective insight into the
condition assessment.
Germany
In Germany, DIN EN 13,508–02 and DWA-M 149–2 deal with, among other things,
the standardised coding of the sewer condition assessment. First of all, the main
code describes the findings made during the status recording. The main codes are
divided into those for structure, operation, inventory and other categories. Several
main codes can be applied to one element in the drainage system. As an example, a
lateral house connection in sewerage section is marked with a structural main code
“BCA” and its faulty connection entering the sewer with a code for evaluation of the
Table 7.1 Example for coding in Germany (cf. [3])
situation “BAG". Both main codes thus refer to the same event but describe different
findings. (The exact origin of the main code can be found in DIN EN 13,508–02 and
DWA-M 149–2).
Further coding is added to characterise the finding. The characterisation consists
of none, one or at most two details which explain the finding in detail. In the present
case seen in Table 7.1, the characterisation 1 with the letter E describes the type of
connection. Therefore this is a structural characterisation of the finding. The second
characterisation, marked with the letter A, gives the additional information that a
blocked connection is involved. As a further coding, details quantifying the finding
are added. Quantification for structural recordings includes, for example, the diameter
of connections and for stocktaking surveys, for example, the reduction of the cross
section of the sewer. Further information in the coding system are positional data.
To determine the location of the detection, these are specified in metres [m] in the
longitudinal direction of the distance from the reference point of the inspection. DIN
EN 13,508–02 specifies various procedures for selecting the reference point. The
most frequently selected reference point is the inner wall of the initial node, such
as shaft, inspection opening, outlet, etc., in which the position of the sewer to be
inspected is integrated. As a further description of the position of the finding, the
positioning on the section wall, using the dial reference (time), is determined. This
in turn is determined by the angle, which results from the centre of the cross section
between the finding and the sewer vertex [3].
China
In China, the CJJ-181 standard is concerned with the uniform coding of channel
status recording. If the standard is complied with, the basic information is first of
all uniformly recorded as master data. This data can be adopted from the system
and adapted if the sewer database is properly managed. Basic information on the
examined sewerage system (number, age, material, nominal width, length, initial
depth, final depth), the selected inspection procedure as well as its realisation (date,
time, inspection direction) and the operators involved in a sewer inspection (name
of the inspector, the supervisor and the inspector) are given.
In the CJJ-181 standard, a damage code describes the finding that was made during
the condition assessment. The damage codes are divided into structural and func-
tional damage parameters. Structural damage is damage to the structure of the sewer
such as breakages, cracks, fissures or deformations. Functional damages primarily
influence the function of the sewerage through external factors such as deposits or
root ingrowing. After a definition of the damage, the damage is classified into 4 cate-
gories. The categorisation is based on quantifiable arguments. Each damage category
is assigned points per damage, which serve the subsequent condition assessment of
the drainage system (Table 7.2).
In addition to the damage codes, the Chinese standard specifies codes for the
recording of so-called operational status information, which describe the start and end
position of the damage or which give an abort of the inspection with a corresponding
reason (e.g. camera under water). The code of a damage to the pipe system is assigned
to the start position if it is longer than 1 m and to the end position if the length of the
damage is less than 1 m. There are also codes for special constructions and secondary
installations such as inverted siphons or shafts hidden on the surface.
Table 7.2 Examples to describe the structural and functional damage of a drainage system
according to the Chinese standard CJJ-181
Type of Damage Damage Definition Category Description of Categories Points
Code of of
(structural)
Damage
Damage
The deformation is less than 5 % of the

1 1
pipe diameter.
The deformation is 5 to 15 % of the pipe

2 2
Bian Xing The sewer is diameter.
BX deformed by
The deformation is 15 to 25 % of the
external 3 5
pipe diameter.
Deformation force
The deformation is more than 25 % of
4 10
the pipe diameter.
Type of Damage Damage Definition Category Description of Categories Points

Code of of
(functional)
Damage Damage
Chen Ji Deposits on
CJ the invert of 1 0,5
the sewer Deposits in the height of 20 -30% of
Deposits the sewer
7.2.3.4 Conclusion
The most obvious difference between the German and Chinese regulations is a
different handling/ viewing of direct inspection. For safety reasons, the German
standards and instructions describe how to avoid direct inspection, which is not the
case in the Chinese regulations under consideration. Furthermore, both sets of regu-
lations specify a minimum diameter as a criterion for feasibility. Here the German
minimum value is 50% higher than the Chinese one. Coupled with the other criteria
regarding water level and flow velocity on the part of the Chinese plant, conditions
arise under which the safety of the inspector carrying out the work cannot be guar-
anteed. Due to the preceding cleaning with regards to the German inspection, as
well as the watertight sealing of the pipe work against further inflows, the safety
conditions for the inspector in Germany can be considered to be safer. However,
occupational health and safety is important in both variants, as can be seen from the
need of protection through teamwork.
In both sets of regulations under consideration, the operating positioning of the
camera is the same for indirect inspection. Accordingly, the lens must be centred
in the direction of inspection and in the centre of the sewer cross section, therefore
in the centre of the profile’s cross section. The DWA-M 149–5 first specifies an
approximation to the location of the finding in axial direction by swivelling the
camera during a sighting. Then the camera should first be swivelled in a horizontal
position and finally the lens should be centred on the object in a vertical direction. For
this purpose, the regulations state the reason for the orientation aid for the inspector or
the subsequent second observer (engineer). Such a regulation is not mentioned in the
Chinese reference works. The CJJ 181–2012 describes a different starting situation
for the indirect inspection measure than is the case in German. Accordingly, it is
not planned to clean and block further inflows in the course of the standardised
indirect inspection. Therefore, the indirect inspection, just like the direct inspection,
is carried out during operational mode, provided that a certain criterion is fulfilled.
This criterion is described with a maximum filling degree of the sewer cross-sectional
height of 20%, with respect to the cross section. If the permitted filling level is
exceeded due to normal operation, suitable measures must be taken to reduce the
flow height down to the specified criterion. In CJJ 181–2012, several reasons for a
stop due to bad conditions are listed. A stop of the indirect inspection is required
if an obstacle prevents the camera from moving forward, if the lens of the camera
is dirty or overflowing with water, or if visibility is impaired by the appearance of
fog. The speeds at which the sewer robot moves in the sewer section is regulated to
a maximum speed of maximum 0.1 m/s for a diameter ≤ DN 200, as well as not
more than 0.15 m/s for diameters > DN 200 with the direction of movement in the
direction of flow (CJJ 181–2012 2012). The HKCCEC2009 also mentions a third
speed in addition to the above-mentioned speeds, for an application in the DN > 300
range. There the maximum speed is limited to 0.2 m/s. For comparison, the German
version has omitted a recommended speed specification. The only speed mentioned
is one that allows the inspection to be followed without interruption on the basis of
the recordings. This means that a moderate speed is chosen. This allows a secondary
evaluation based on the given conditions, such as the image rate of the camera and
visibility conditions [3].
7.2.3.5 Management / Financing
Sewer Database and Sewer Information System

The main task of a sewer database (SDB) is the documentation and updating of
existing data and inspection results to ensure a coordinated and future-oriented
maintenance of sewerages. The SDB provides in alphanumeric form the basis for
the location verification, planning, construction, operation and maintenance of the
drainage system. Consequently, it provides the basic prerequisite for maintenance
and plant monitoring. Additional software for hydraulic network calculations, valu-
ation or condition assessment is linked to an existing SDB and serves as an instru-
ment for the engineering processing of the inspection results. In order to check the
data and to process them further, today’s technical possibilities require a graphic
representation by linking to a sewer register [Pecher 91a]. The sewer register is
connected to existing sewer databases by means of an appropriate interface configu-
ration. The sewer register offers advantages when applications with large amounts of
data and short access times are required. It offers a clear data management with high
user comfort [ATVA145]. The sewer register offers the possibility of linking data,
texts and images with their geographical location to one information unit. Together
with the indirect discharge cadastre, which is used to monitor wastewater collection
from industrial companies, it is also referred to as a sewer information system (SIS)
[Sawat94] [FI-DWInf].
A sewer information system is thus a system for the recording, keeping, main-
tenance, illustration, analysis, processing and exchange of information on drainage
systems outside of buildings. The quality of the results produced by a SIS is derived
from the quality of the geodata stored in the sewer database. As these data serve, for
example, the documentation of inventory, are used to produce maps or provide infor-
mation for statements and expert opinions, as well as being the basis for planning
and model calculations, they represent an enormous value. Maintaining these values
and ensuring the quality of the geodata in the procurement, creation and administra-
tion of the data are part of the core tasks of every SIS and are the prerequisite for
the efficient use of a sewer information system. Sewer information systems enable,
based on a central sewer database, the creation of comprehensive and over-arching
inventory documentation and operational information systems through software for
sewer inspection and for the processing and evaluation of inspection data.
Software for Sewer Inspection and for Processing and Evaluating

of Inspection Data
The aim of the sewer inspection is to derive the documentation of the structural condi-
tion from the recommendations for action to maintain the sewer system. A uniform,
generally valid and automated description of the different conditions in the sewer
system is mandatory. The coding system to be used is described in DIN EN 13,508–

2, in conjunction with the DWA leaflet DWA-M 149–2, which provides application
recommendations (see chapter 2.3.1). The description of the condition is done by
means of a main code, characterisation and a corresponding quantification. Opera-
tors can learn sufficient expertise and the application of the code in special “Sewer
Inspection Courses". The digital sewer register is maintained in a sewer information
system. In addition to the pure plan information, such systems provide the data basis
for the manifold tasks of sewer operation. The hereby listed attributes concerning
the objects of the sewer system serve as a basis for the sewer inspection. The sewers
and structures to be inspected are digitally transferred to the sewer inspector. As
described in leaflet DWA M-194–5, efficient and economical data management and
a continuous flow of information in digital form is required. This data cycle from the
SIS to the inspection vehicle and back again is outlined in the DWA-M 150 informa-
tion sheet. Here, the master data of the sewer sections and structures are transferred
to the inspection vehicle in digital form. The operator validates the master data on
site and extends the data by the description of the current condition. At the end of
the sewer inspection, the data are digitally transferred again for further processing.
On the inspection vehicles or mobile camera systems, therefore, a database-
supported software must be used to enable digital data exchange and electronically
supported damage description. Inspection software products are highly specialised
products which, on the one hand, have to communicate with the hardware of the
inspection vehicle/ crawler and, on the other hand, have to take into account the
common specifications for the coding system, data management and data cycle.
Inspection software products are developed or distributed by several hardware manu-
facturers. There are also free software manufacturers who have adapted their inspec-
tion software to the hardware of different manufacturers. An inspection software must
document the condition of the sewer system. In addition to the coding, a video and
optionally a photo is usually added to the status. To be able to locate the documented
status, the station of the condition must also be specified. Through the coupling to
the BUS system, the inspection software receives relevant information, such as the
distance travelled, or sends information for the insertion of text into the video. A
further important task is the control of the video recording. For this purpose, a video
grabber must be available to encode the analogue video signal into a file format. The
video grabber provides an API to control the video recording and the quality of the
video file.
Cost Implications of a Regulated Recording and Management System

for Sewer Data
The construction and operation of the drainage facilities, as well as their maintenance,
require a large amount of financial resources. At the same time, the public infrastruc-
ture of drainage facilities is often one of the largest asset of cities and municipalities
[8]. Therefore, the economic aspect plays an important role for the operator. It is
important to keep the costs as low as possible in order to ensure efficient use of
the financial resources of the cities and municipalities. It is also in the interest of the
cities and municipalities to maintain the financial value of the sewerage system for as
long as possible. When the sewerage system is built, it is given a predicted operating
life, which determines the duration of depreciation. It is therefore the intention of the
operator to maintain the condition of the sewerage system as good as possible in order
to extend the depreciation period, if necessary, and thus reduce its annual costs, or to
ensure that the sewerage system continues to exist beyond the depreciation period.
Further costs are incurred by the municipalities and local authorities as a result of the
rehabilitation or even new construction of damaged drainage components. Since it is
logistically and economically impossible to keep all sewers in a faultless condition
at all times, plans must be drawn up for the necessity of rehabilitation measures.
These plans provide information about the urgency of possible measures and can be
used for a direct comparison between sewer sections in order to decide which sewer
section is most in need of rehabilitation. The basis for these plans is a detailed and
precise condition assessment, followed by a technical classification and subsequent
evaluation of the conditions.
In order to avoid a conflict of interests, a differentiation between the persons
carrying out the condition recording and the classification, i.e. an evaluation of the
condition is recommended (LfU 2010; ATV-M 149, 1999).
During the operation of the sewer system, questions of economic efficiency further
arise. For example, the operation of wastewater treatment plants, whose efficiency is
directly dependent on the throughput. Extraneous water entering the sewerage, which
for the most part does not require treatment, is also treated in the treatment plants and
occupies capacity. These additional capacities result in increased costs for operation.
In order to keep the costs for the transport and treatment of the wastewater low, the
condition of the sewerage must be checked in order to detect damaged sewers and
reduce the infiltration of extraneous water to a minimum. It is also important for the
operation to maintain the structural conditions in order to enable proper operation
under favourable hydraulic conditions and to ensure that parameters such as flow
velocity, shear stress and gradient are within a desired range. This is guaranteed by
a condition assessment or a rehabilitation in the later course of the project.
7.3 Application of Advanced Sewer Inspection

Technologies in Jiaxing
7.3.1 General Notes
Analysis of the Conditions on Site

The initial meeting in Jiaxing, China was held to investigate the situation on site.
The examination showed that the present sewer systems lack a proper drainage
of upcoming sewage water and entering groundwater. Hence, a certain water mark
is always present in the system that allows solid matters to be collected in the sewers
and shafts. This situation complicates the inspection and excludes several inspection
systems established in Germany.
The meeting indicated that the FastPicture method is already available and is being
used by the Chinese partners. Even though the system provided by JT-elektronik
offers higher video quality as well as robustness, this option was rejected.
It was decided to design a new and customised system based on the SKI method.
To meet the requirements on site properly, the new system should comprise the
following specifications:
– possible visual inspection of the sewer above water level
– adjustable camera system in height depending to the water level
– adjustable transport system to the sewer dimension
– portability of the inspection system
– simultaneous cleaning and inspecting of the sewer
In the following the design and implementation of the first prototype as well as
the commissioning and tests are outlined.
Application of prototype I shows the former prototype of the inspection system.
Now the transport vehicle is based on a sledge system with three blades (see Fig. 7.5).
The blades facilitate the movement of the system in the sewer by slicing the solid
deposits. Additional wheels attached to the blades serve to minimize friction and
therefore abrasion of the sewer material. The size of the system is continuously
variable corresponding to the dimension of the sewer.
In total, two setups were built to cover the sewer diameters from 150 to 300 mm
and 400 to 800 mm, respectively. Furthermore, the symmetric arrangement of the
three blades offer an unproblematic removal of the system in case of an accident (e.g.
tip over of the inspection system).
The drive of the system is based on a customised cylindrical nozzle (see 7–10)
that offers the combination of controllable drive and cleaning by adjusting water
flow and pressure. The insets of the nozzle are available in VA-steel and ceramic
which is more robust against abrasion by solid particles in water. The angles of the
inlets were adjusted to obtain an optimised jet for driving (wide angle) and cleaning
Fig. 7.5 Prototype I (FiW)

(small angle). The nozzle can be driven by a ¾” or 1” hose, depending on the scope
of application. To prevent tilting of the inspection system, caused by the hose, a
rotating joint was integrated (Fig. 7.6).
Visual inspection is conducted by use of a pan and tilt camera mounted on the
transport system. The height of the camera can be adjusted to be centrally oriented in
the sewer with a diameter range of 150 to 800 mm. This ensures an unobstructed view
independent of the water level. The camera offers a video signal with a resolution of
500 × 576 px, manual focus and automatic aperture manipulation.
The system provides an integrated cleaning function during inspection. The water
flow through the nozzles induces a jet removing water and solids from the camera
surface and lens when swivelling the camera head by 90° aside. This ensures a clear
visibility throughout the inspection.
The system can be controlled (i.e. light, pan, tilt) by a portable structure (see
Fig. 7.7, left) with an integrated battery pack, a tablet for video inspection, and
Insets for cleaning
Insets for driving rotating joint
Fig. 7.6 Customised nozzle for prototype I. (JT Elektronik)
Fig. 7.7 Portable control system (left) and cable drum with integrated video monitor (right). (JT
Elektronik)
Fig. 7.8 Test of prototype-I

in Wiesbaden. (JT
Elektronik)
a human–machine-interface for camera control via buttons, joysticks and a touch

panel. The connection to the camera is realized by a cable drum (see Fig. 7.7, right)
with a cable length of 150 m, a video monitor, and an integrated cable length counter
being displayed in the control system.
Commissioning and testing of the system was executed under ideal conditions on
the company premises of JT-elektronik GmbH Lindau and on a test area in Wies-
baden, Germany (see Fig. 7.8). The vehicle was placed into sewers with different
diameters ranging from 200 to 900 m. The sewers partly contained water and solids up
to 15% of the diameter. The system was connected by a ¾” water hose to a flushing
vehicle. The vehicle was equipped by JT-elektronik GmbH with a high-pressure
pump and tank system providing a water flow of 120 l/m and maximum water pres-
sure of 160 bar. The system was successfully commissioned and the functionality
(i.e. proper driving) was verified.
7.3.2 First Demonstration of the Inspection Process
To test the prototype under real conditions, a meeting in China was arranged
(see Fig. 7.9). The participants comprised Tobias Jöckel (JT-elektronik), David
Eisenhauer (bluemetric), Jan Echterhoff and Marc Jansen (FiW).
The tests were executed in a municipal sewer system in Jiaxing, China which
reflects the conditions in Chinese cities. The tests showed that the huge depth of
the shaft and the absence of climbing irons, particularly present in China, severely
impede the insertion of the inspection device. Furthermore, the soiling in the sewer
was found to be stronger than initially assumed. During the tests it was apparent that
the height offsets throughout the sewer as the major challenge, since the inspection
system could get stuck. To avoid this and improve the handling of the inspection
system the vehicle was optimised in further steps described in the following.
Fig. 7.9 First tests in Jiaxing, China. (FiW)
7.3.3 First Assessment of the Inspection Process
The existing water level and the height offsets in the sewers require a floatable system.
Therefore, prototype I was extended by two floating bodies, see Fig. 7.10. Floating
bodies with increased length serve to better stabilise the system during floating;
however, the increased length renders handling more difficult when the system is
inserted into the sewer, especially when having small inlet diameters. Therefore, the
system provides a mounting for two different sizes of floating bodies. The first one is
applicable for sewer diameters from 200 to 400 mm and the second one for diameters
ranging from 500 to 1500 mm. The floating bodies can be mechanically adjusted to
the diameter of the sewer. A keel for stabilization during floating was attached.
camera
diameter adjustment
keel
mounting for floating bodies
Fig. 7.10 Inspection system prototype II. (JT Elektronik)

Nozzle for
cleaning
Nozzle for driving
Fig. 7.11 Prototype II including floating bodies and nozzles. (JT Elektronik)
Due to the heavy soiling in the Chinese sewer systems the nozzle was replaced
by a combination of two coordinated nozzles, see Fig. 7.11. The first is located in
proximity to the vehicle right below the water surface and serves for driving the
system. It also ensures a stable floating of the system itself. The second nozzle is
attached to a tube approximately 50 cm behind the vehicle. This nozzle is pulled
down to the bottom of the sewer and is therefore used to remove the soiling and
clean the sewer. The system is also equipped with a rotating joint (comparable to
prototype I) to avoid tilting of the inspection system.
To test the system under realistic conditions a test field in Munich, Germany was
used. The test field consisted of a sewer system with a diameter of 600 mm and
contained gravel and water up to 30%. The tests were executed in cooperation with
Huber Linden, Reinigung und Entsorgung GmbH.
Figure 7.12 shows the test setup with the inspection and flushing vehicle to drive
prototype II. The inspection system was inserted into the sewer (see Fig. 7.13) and
was driven by a constant water flow provided by the flushing vehicle. The video
signal (see Fig. 7.14) was captured with the equipment in the inspection vehicle.
The inspection system was successfully tested and the functionality (i.e. driving
and cleaning) was verified. The resulting speed and the cleaning performance
appeared to be sufficient for the conditions in China. The optimised nozzle combi-
nation proved to have a positive effect on the stability of the system while floating.
The video quality and the illumination of the sewer were satisfactory.
Fig. 7.12 Test setup in Munich. (JT Elektronik)
Fig. 7.13 Inserting the

prototype II into the sewer.
(JT Elektronik)
Fig. 7.14 Video signal of

the inspection. (JT
Elektronik)
7.3.4 Second Demonstration of the Inspection Process
Due to the positive results of the previous tests, prototype II was transferred to China
for final assessment.
The system was presented to the Chinese partners and a training was held to
properly operate the system (see Fig. 7.15 and Fig. 7.16).
Final tests took place in the municipal sewer system. The insertion of the inspec-
tion system was practicable due to the high variability of this system in width and
height. Various tests in canal systems with different diameters were carried out in
cooperation with the Chinese partners. The handling and the evaluation of the actual
performance of the system was practiced intensively.
Fig. 7.15 Final project

meeting in China. (FiW)
Fig. 7.16 Training of

Chinese partners in operating
the inspection system. (FiW)
7.3.5 Second Assessment of the Inspection Process
The tests show that mechanical optimisations of the system described above improve
the handling of the device significantly. Even when solid particles are given, the
floating bodies ensure the movement in the sewer with a water level up to 60%. The
cleaning and driving performance of the nozzles were proven to be sufficient.
The applicability of the system to sewers with different diameters enables a flexible
application to a wide range of sewer systems in China. Additionally, the mechanical
structure of the systems allows a safe recovery in case of damage. The camera system
enables a visual inspection of the sewer during cleaning, which is time-saving.
Beside the various advantages the following limitations were recorded.
Due to the overload of the Chinese sewer systems it is necessary to clean the sewer
before inspection. Since there are no vacuum trucks available in China to remove the
solid material from the sewer, cleaning options are limited.
The presented inspection system can be used for the majority of sewer systems in
China. Nevertheless, the water and dirt levels vary within different sites which makes
the system a system of limited application (e.g. low water level impedes floating of
the device). Therefore, a combination of prototype I and II is advised. Subsequent to
the tests, the system was handed over to the Chinese partners to proceed with further
investigations.
7.4 Management Systems for Sewer Data Evaluation
7.4.1 Technology Development
Requirements
Within the framework of technology development, the choice of hardware and soft-
ware depends on several factors. There are on the one hand project specifications,
which were discussed in advance by the project partners involved and adjusted to
the current situation on site. In this context, local conditions such as for example the
level of knowledge of the skilled workers play a major role. On the other hand, a
tailor-made condition abbreviation system has to be developed for this project, which
is adapted to the local requirements.
Prior to the start of the project, the local conditions in Jiaxing were studied and
the requirements for a sewer inspection system were defined through several site
visits and meetings with the project participants. Thus the skilled workers should
be able to independently carry out inspections under the given conditions with the
developed system. Instructions and the daily work should be possible to be passed
on to each other without the support of skilled workers. The hardware should be
compatible with the local infrastructures, e.g. flushing vehicles, or be connectable to
them. Furthermore, it should be possible to build up a permanent data stock through
data exchange, from which the condition of the local sewer system can be derived.
From these requirements, framework conditions for the implementation of the

overall system can be derived, e.g. which hardware and software components should
be used.
Local Boundary Conditions

Apart from the project specifications, the local conditions must also be taken into
account. As opposed to Germany, training and a certain level of qualification of the
skilled workers cannot be assumed, so that the level of knowledge of the skilled
workers varies greatly and the handling of the hardware and software should be
kept as simple as possible. In addition, cultural and administrative differences in
the field of sewer inspection in China lead to different approaches and operating
sequences. For the test runs during the first practical test in Jiaxing, the condition
was communicated in advance that the sewer sections to be tested should be pushed
off. Since the administrative classification of the responsible wastewater companies
is not done locally, but according to the diameter of the sewer section, the sewer
sections are still in operation when the test runs are started. This necessitates an
adaptation of the system to the above-mentioned conditions.
Condition Abbreviation System

Hardware
In addition to the specific JT Elektronik hardware (slide construction and case
system), the Tablet Pokini Tab A10 with the following specifications relevant for the
technology development was used:
• Display size: 10.1” with 1920 × 1200 pixels
• Operating system: Windows 10
The size and resolution of the display determines the available space for the
software application. For this reason, the UI design of the software was based on a
minimum resolution of 1920 × 1200 pixels and, thus, a complete display cannot be
guaranteed at lower resolutions.
The decision to use Windows 10 as operating system is based on the wide distribu-
tion, the regular supply of updates as well as the positive experiences with previous
software projects for sewer condition recording of bluemetric software GmbH. Since
the Chinese project partner is already using the operating system in other areas, it
can be assumed that they have knowledge in handling of the operating system.
The used camera delivers an analogue video signal, which must be converted
into a digital signal for further processing. An external analogue-to-digital converter
(A/D converter) is used for this purpose. In agreement with JT-Elektronik, an A/D
converter from Sensoray (Model 2253) was employed here. This model has a low
latency of the video image, so there is almost no delay between the real video image
and the display in the software. This is especially worth mentioning in connection
with hardware control, since a time delay of the video image does not reflect the
current orientation and position of the camera.
In addition to the transmission of the video image, the software must receive the
current and already travelled track of the hardware for complete documentation of
the sewer condition. This is the only way to locate the relevant position in the sewer
during later evaluation. The connection was made via a serial BUS system developed
by JT-Elektronik for transmission of the track length. Should the hardware detect a
change regarding the length of the track, this information is transmitted to the software
via the BUS data connection and thus displayed by it.
Software
As previously explained, a tablet with the Windows 10 operating system was selected.
The possible software technologies for creating software are generally depending on
the operating system used. bluemetric software GmbH has decided to develop soft-
ware based on .NET technology. .NET is a platform developed by Microsoft for
the development and execution of application programmes and is integrated in the
Windows operating system. The advantages of software developed on the .NET plat-
form are the optimal integration into the operating system, already existing function-
alities that do not have to be implemented by the user, independence of the Windows
version used as well as continuous further development and error corrections by
the manufacturer with automatic updates via Windows updates. Windows Presen-
tation Foundation (WPF) was used for the development of the software interfaces.
WPF is included in the .NET platform and allows free and individual design of the
individual interface elements such as buttons and selection lists. WPF furthermore
allows the separation of interface (View) and logic (Viewmodel). The interface can
thus be edited independently of the logic. This was strictly adhered to during the
development of the software. The relational database system SQLite was used for
permanent storage of the data. SQLite has the great advantage as compared to other
database systems that it does not require any additional server software. For use, only
a freely available programme library must be integrated into the executing software,
which then provides all necessary database functions. In addition to the freely avail-
able SQLite programme library, the following non-free programme libraries were
used: Syncfusion and Datastead TVideoGrabber. While the Syncfusion programme
libraries provide a variety of features that extend the .NET platform. Syncfusion func-
tions were used for developing the software to generate PDF documents because the
.NET platform does not offer them. In contrast, the digital video signal must be stored
in a video file to fully document the condition of the sewer. To reduce the file size of
the video file, it must be compressed. Video codecs are used for compression. Since
the .NET platform does not provide any functions for this, the programme library
TVideoGrabber from Datastead was used.
Object Structure
All collected data is organised into projects by the developed software. The set-up of
a project is always the starting point of every sewer inspection. The projects can be
organised here according to any thematic scheme, such as for example streets, villages
and towns or by date. As master data, they themselves contain simple attributes such
as name, creation and modification date. Figure 7.17 shows the structure of projects
and contained objects.
Fig. 7.17 Project structure
In each project, any number of main sewer objects can be recorded in the object
level. According to the project specifications, only sewer section and manhole objects
are implemented here for the time being, since in China inspections are mainly carried
out in the public main sewer system and not in the house connecting pipes. Each
sewer section contains master data based on the DWA and links a manhole at the
top and a manhole at the bottom. Standardised master data can also be added to
a manhole. On the inspection level, both object types can include any number of
inspections. The inspections of both types of objects also have DWA standardized
master data and a linked video for condition recording. The last level is the condition
level, on which there can be any number of conditions per inspection. The conditions
contain - similar to the condition objects of German standards - typical master data
such as stationing and condition abbreviations. As a further possibility a photo can
be linked. A table with the master data of the conditions can be found in Annex B,
the structure of the condition abbreviations is explained in chapter 4.1.1.3, whereby
the conditions contain condition abbreviations according to the table in Annex D.
Process Programme Sequence

The programme (see Fig. 7.18) consists of a main view in the middle, tab elements
in a bar on the left, a title bar in the upper area and an object list in the right area.
The tab bar allows the user to change the view at any time. In this way, for example,
settings - such as the language - can be made during an inspection or the master data
of an object can be retrieved or adapted.
Fig. 7.18 Programme surface/interface - project view
The programme sequence for carrying out inspections is shown in Fig. 7.19. The
starting point is always a project.
Fig. 7.19 Programme sequence/to carry out inspections

In the project view, the user can start a new project using the button in the lower
left corner. As soon as the user starts a new project or opens an existing project,
the view is automatically switched to the condition recording view and the existing
objects of the current project are loaded. After opening the project, in the next step
new objects can be generated via the button in the lower area of the object list. Then
the master data view of the new object opens. After confirming the master data, the
set-up of an object is completed. Next, inspections can be carried out for the existing
objects. When an inspection is started, the video in the condition recording view is
started automatically. Now, while the video is running, a condition abbreviation can
be selected in the right area, next to the video, and thus a condition status can be
added. The video window is reduced in size and the master data of a condition can be
entered. After performing sewer section inspections, a sewer section report with all
relevant data can be generated via the export view. Additionally CSV files (Comma
Separated Values) with the master data of the project objects can be given. These
should offer a possibility of data transfer (see also chapter 4.1.4.5 Data Transfer) for
the customer, also because these files are easily adaptable from outside. In addition
to these two exports, projects can be exported as a whole, with the sewer section
reports and CSV files also included.
UI-Concept
The development of the user interface (UI) plays a special role in the development
of the software. The UI is the programme interface on which the interaction between
user and machine (human–computer interaction) takes place. The goal is an intuitive
and efficient operation of the software with minimal need of instruction or training.
Touch-Control
The tablet used has a touch display and thus allows operation with the finger instead
of the mouse pointer of an externally connected mouse. When the screen is touched,
a click action is triggered for the UI element in this position, similar to the mouse
click when operating with the mouse. However, with touch operation, the precision
is significantly lower as compared to mouse pointer use. As a result, the operation
of small, closely spaced UI elements with the finger is more error-prone.
Size of Control Elements

Controls are all UI elements that interact with the user, including buttons, selection
lists, lists, text fields, etc. In the case of touch operation of the software, the control
elements must be designed and placed in such a way that error-free operation is
ensured. The buttons used have a diameter of approximately 1.5 cm and a minimum
distance of approximately 0.5 cm. With the selected diameter, the buttons are not too
small and can easily be hit with the finger, the distance avoids accidentally hitting
an adjacent button. When developing the UI, overlapping programme windows and
views were avoided as far as possible. There should be only one UI layer in which
the current view is shown.
Integrated Programme Navigation

The software provides the user with programme guidance, which leads to a clear
and intuitive programme flow and minimizes incorrect entries. In the main view the
current topic to be worked on is displayed, this must first be completed before the
next processing step can be carried out.
Simplified Condition Abbreviation System

Chapter 2.3.3 described the structure of the Chinese condition abbreviation system.
In the software, the main code must be selected in the first step; if it is an error code,
the level of deficiency must then be selected (see Fig. 7.20). If the main code is an
event, no further specification is necessary (see Fig. 7.21). Finally, the selection must
be confirmed.
Localisation
The development of a localisation concept is decisive in the context of the research
project, as the software to be used must be understood by Chinese specialists and
decision-makers, as well as by German project partners who instruct the Chinese
specialists on site. This is also necessary in view of further international software
projects, where the possibility should exist to make other languages available. In the
software, it is therefore necessary that the language can be changed during runtime
and that all texts are changed to the selected language. For this purpose, a selection
menu is available in the settings view which can be used to specify the desired
language. By changing the language, there must be dynamic text elements in the
software views that display the text of the selected language package. The concept
of DataBinding is used for this purpose, in which adjustable variables are used in
the views, which are controlled by the logic in the background. The language texts
displayed on the user surface are organized in XAML-based language files, in which
the individual language text elements are each stored in a key-value pair. Here the
key is embedded in the views and the associated value from the language file is
then displayed for the user. This procedure/ process also offers the possibility to
adjust language texts if they contain errors or if the text contents of a text element
have to be changed. A further advantage is that the texts can be adjusted on site.
No special software is required for adjustments, changes can be made with any text
editor which is available on all operating systems. Furthermore, this concept allows
the easy addition of further language packages by generating language files with
the same keys and values adapted to the new language. This procedure also has the
advantage that Chinese characters, i.e. texts in Unicode16 format, can be inserted
Fig. 7.20 Level of

deficiency
Fig. 7.21 Condition code specification
directly into the language files, which are subsequently only displayed by the software
in their original form. Figure 7.22 shows the comparison of the condition recording
view with concerning German and Chinese language settings respectively. Further
programme views with localisation comparison can be found in Appendix E.
Fig. 7.22 Programme view in German and Chinese language

Fig. 7.23 Interface of data transmission
Data Transmission
In order that the recorded data can be used for further processing, the software offers
various possibilities for data transmission as shown in Fig. 7.23.
Project Transfer
During project transfer, all data recorded is displayed. As opposed to the exchange
formats used in Germany based on DIN EN 13,508–2, there is no guideline in China
for a standard based exchange format. However, in order to be able to pass on the
recorded data, the export of a text file in CSV file format was implemented. All master
data and sewer condition data recorded with the software are displayed in this file.
The file can already be opened and read with simple text editors. Many programmes
allow the import of files in CSV format.
Display Programme
The visualisation programme allows the data to be transferred to an independent
programme for viewing the recorded data, yet the data cannot be changed. The
display programme (see Fig. 7.24) can be run independently from the software for
recording the sewer condition and thus allows flexible transfer to other computers
without the additional, prior installation of further programme files.
Reports
With the software, a report can be created in Microsoft Word and PDF file format
for each inspection performed. The report contains all relevant documented data of
the created objects. The recorded condition codes are displayed in both tabular and
graphical form (see Fig. 7.25).
Fig. 7.24 Display programme
Fig. 7.25 Documented condition codes in tabular (left) and graphical form (right)
7.4.2 First Demonstration of the Inspection Procedure
In the scope of the first practical test in October 2017, bluemetric made a presentation
for the project partners in Jiaxing, which served to illustrate the programme structure
and the backgrounds. The experience gained with the standards-based condition
recording in Germany was used to establish a connection to the set-up of the software
for the practical test in China. Accordingly, the content was the programme flow of
the software developed for this project and the structure of the condition codes used
on the basis of the DWA, since the project partners initially had no specifications
in this regard. In addition, the touch-based operating concept of the program was
explained in detail so that the project partners could gain an insight into the handling
of the software.
In the course of the first practical test in Jiaxing, the complete system was set up
after unpacking the hardware and software. The commissioning was then carried out
together with the Chinese skilled workers to explain the procedures of a condition
recording with the software and hardware. The hardware components of JT elektronik
GmbH were connected to the Chinese flushing vehicle and software adjustments were
made to correctly connect the hardware.
Subsequently, a test run with the inspection sledge vehicle of JT elektronik GmbH
took place in front of the premises of the Chinese partner company.
Following the practical tests, the findings were conclusively exchanged and feed-
back was given by the project partners on useful adaptions for further practical
use.
7.4.3 First Assessment of Process
After completion of the first practical test in China, the on-site findings were analysed
and the further procedure was determined. It was determined that due to the practical
conditions on site - in contrast to Germany - flooded sewers are to be expected as a
rule, since the sewers cannot be shoved clear at short notice for condition recording
due to administrative reasons. Therefore it was decided that instead of a sledge, which
mainly works in half-filled, a raft construction should be used.
Also on the software side, adaptations for the next practical test have been worked
out. The data generated from the first practical test was viewed and the export was
adjusted accordingly. Graphic elements were inserted into the report of the sewer
section and further data were added. Furthermore, the master data of the main sewer
objects and the condition standard of the software were extended by condition codes
in accordance with the specifications of the Chinese project partners.
The software itself and its operating concept was very positively received by
the Chinese project partners, so that no fundamental reconstruction works were
necessary.
7.4.4 Second Demonstration of the Inspection Procedure
For the second practical test in April/ May 2018, the findings and suggestions from
the first demonstration were implemented. With regard to the on-site demonstration,
Fig. 7.26 Results of inspection (bluemetric)
the localisation (German, English and Mandarin) was implemented as far as possible
and the inspection functions were programmed with the provided hardware.
The Chinese standard provided by our project partner FiW could be implemented
for the condition documentation. This standard replaced the simplified condition
recording, which was shown during the first demonstration. Since no formats for
data transfer of the sewers to be inspected could be provided, the software was
extended in such a way that the generation of sewer sections with corresponding
master data is possible directly on site. A project management allows the temporal
grouping of the work. As no exchange interface could be named during the analysis
of the existing systems in China (in Germany a defined XML file is used for this
purpose, DWA M150 or ISYBAU), it was decided to display the data via CSV file. In
addition, a report with master data, sewer section graphics and the generated images
per condition is available for each sewer section as a PDF file. Video files and image
files have also been provided. In addition, a license-free “viewing version” was
integrated for viewing the data. This enables the precise time-controlled navigation
of the documented conditions in the video. Photos and reports on the inspected
object can also be opened. No additional software is necessary to view the results
of the sewer section inspection. The viewer can be started directly from a CD or
USB drive. The resulting export files were successfully presented and have attracted
great interest. The sewer sections inspected during the on-site demonstration showed
enormous damage. The documented obstacles and deformations could be directly
identified as the cause for the very high water level (Fig. 7.26).
In addition to the sewer sections in a residential area, a sewer section in an indus-
trial area was also investigated. Here the raft construction created by JT-elektronik
was used.
After on-site demonstration, the project was presented 2018 at the IEexpo in
Shanghai. For this purpose, an imagine-film was commissioned, which shows the
problems of wastewater disposal and introduces the involved companies.
7.4.5 Second Assessment of Procedure
As already experienced during the first practical test, the examined sewer sections
showed very high water levels and deposits, so that an optical inspection was hardly
feasible. However, the documentation produced was able to give those responsible a
direct illustration of the problem. The documentation software was used successfully
and, despite adverse conditions, recorded the condition of the sewers very clearly.
The presented technology can thus be applied to document the condition and
causes of acute and flow-preventing objects by means of conditions, photos, video
and position that can be electronically evaluated by machine. This can be used to plan
measures. However, a comprehensive documentation of the condition is not possible
due to the water level and the lack of cleaning. Rather, an initial documentation can
be carried out so that critical problems can be localised and appropriate immediate
measures can be taken to ensure that the wastewater is drained off. The crucial task of
sewer cleaning in order to maintain the desired condition and remove contamination
and deposits must be preceded by an inspection. The inspection for assessment and
evaluation can only be carried out comprehensively in this way.
7.5 Recommendations for Actions
(See Tables 7.3, 7.4 and 7.5).

Operational planning
Table 7.3 Evaluation of the deposit situation
Task of Oper- Goals/ Recommendations for Action Tools

ation
Data recording • Assignment of deposition data accord- • TV-inspection

ing to shaft and sewer section
• Sewer data base /
• Digital data recording KIS
• Standardised
protocols
• Mobile recording
devices
Data editing • Evaluation according to drainage sys- • Sewer database/ KIS

tems and pollution classes
• GIS-systems
• Visualising the data (Photo/ Video)
Assessment • Set-up of a Demand plan for cleaning • Assessment by
• Demand plan for

cleaning
• Visualisation/ GIS
Table 7.4 Assessment of the situation
Operational Task Goals/ Recommendations for Tools

Action
Data recording • Manhole and section of • TV-inspection

sewer-related assignment
• Sewer database/ KIS
of the damage situation
• Standardized protocols
• Digital data recording
• Mobile recording
devices
Data editing • Evaluation according to • Sewer data-base/ KIS

specified standards for
• Creation of a data ex-
condition
change interface
• Visualisation of the date
• Training of specialists
(photo/ video)
• Engineer assessment
Assessment • Establishment of an in- • Engineer assessment

spection plan
• Inspection plan
• Priority determination
• Visualisation/ GIS
Table 7.5 Operational planning
Operational Task Goals/ Recommendations for Action Tools
Organisation and • Organisation of a fast availability • Flushing and opera-

relevance of capacities to eliminate inci- tion plan
dents
• Planning of the daily/ weekly

cleaning and inspection opera-
tions
Service and costs • Generation of performance re- • Sewer data-base /

ports on cleaned manholes and KIS
sewers
• Daily reports
• Recording of operating costs
• Mobile data record-
• Identification of the need for re- ing
habilitation and a rehabilitation
• Statistical surveys
strategy
References
1. Deutsches Institut für Normung (2017) DIN – kurz erklärt. https://www.din.de/de/ueber-nor

men-und-standards/basiswissen, zuletzt abgerufen am 15 July 2017
2. DIN 1986–3 (2004) Entwässerungsanlagen für Gebäude und Grundstücke – Teil 3: Regeln für
Betrieb und Wartung. Beuth Verlag GmbH, Berlin
3. DIN EN 13508–2 (2011) Untersuchung und Beurteilung von Entwässerungssystemen außer-
halb von Gebäuden – Teil 2: Kodiersystem für die optische Inspektion. Beuth Verlag GmbH,
Berlin
4. DIN EN 752–5 (1997) Entwässerungssysteme außerhalb von Gebäuden – Teil 5: Sanierung;
Deutsche Fassung EN 752–5:1997. Beuth Verlag GmbH, Berlin
5. DWA-M 149–5 (2010) Zustandserfassung und -beurteilung von Entwässerungssystemen
außerhalb von Gebäuden – Teil 5: Optische Inspektion. Hennef: DWA.
6. DWA-M 150 (2010) Datenaustauschformat für die Zustandserfassung von Entwässerungssys-
temen (April 2010). DWA, Hennef
7. Lecher K, Lühr H-P, Zanke UCE (eds) (2001) Taschenbuch der Wasserwirtschaft. Springer
Vieweg, Wiesbaden
8. (LfU) Bayerisches Landesamt für Umwelt (Hrsg.) (2016) Leitfaden zur Inspektion und
Sanierung kommunaler Abwasserkanäle. LfU, Augsburg
9. Meteoblue (2016) Klima Modell Jiaxing. https://www.meteoblue.com/de/wetter/historycl
imate/climatemodelled/jiaxing_china_1805953, zuletzt abgerufen am 15 July 2017
10. STATISTA (2013) Länge des Kanalnetzes in Deutschland. http://de.statista.com/statistik/daten/
studie/152743/umfrage/laenge-deskanalnetzes-in-deutschland-im-jahr-2007/
11. Guo S, Shao Y, Zhang T, Zhu DZ, Zhang Y (2013) Physical modeling on sand erosion around
defective sewer pipes under the influence of groundwater. J. Hydra. Eng. 139(12):1247–1257
12. Zhou Y, Zhang Y, Tang P, Chen Y, Zhu DZ (2013) Experimental study of the performance of
a siphon sediment cleansing set in a CSO chamber. Water Sci Technol 68(1): 184–191.
13. Guo S, Zhang T, Zhang Y, Zhu DZ (2013) An approximate solution for two-dimensional
groundwater infiltration in sewer systems. Water Sci Technol 67(2):347–352
14. Zhou Y, Zhang Y, Tang P (2013) Field performance of self-siphon sediment cleansing set for
sediment removal in deep CSO chamber. Water Sci Technol 67(2):278–283

Chinese Water Systems: Max Dohmann Martin Grambow Yonghui Song Paul Wermter Editors

Uploaded by

Copyright:

Available Formats

Chinese Water Systems: Max Dohmann Martin Grambow Yonghui Song Paul Wermter Editors

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Chinese Water Systems: Max Dohmann Martin Grambow Yonghui Song Paul Wermter Editors

Uploaded by

Copyright:

Available Formats

Terrestrial Environmental Sciences

More information about this series at http://www.springer.com/series/13468

Yonghui Song Paul Wermter

Chinese Water Systems

Yonghui Song Paul Wermter

ISSN 2363-6181 ISSN 2363-619X (electronic)

For sustainable water management, China is facing triple challenges of water

technological problems of water pollution control and governance of China. The

1 Improving Water Management and the Water Management

Yonghui Song is Professor and Vice-President of the

Max Dohmann is Professor Emeritus of the RWTH

Martin Grambow is Director General of “Water

Federal/States Work Group on Water Issues (LAWA)

Paul Wermter received his diploma as Environmental

Ke Chen and Markus Disse

1.1 Structural Indicators

K. Chen · M. Disse (B)

© The Author(s) 2022 1

1.1.1 Development of Innovative 3D Water Governance

1.1.1.2 Materials and Methods

strategies and executive suggestions. This study, as a contribution to SINOWATER

Bavaria is a relative water-rich state in Germany, in total 2% of its whole land

encounters branches, a dialog window appears to allow users to choose different

Fig. 1.1 Interface conceptual design of 3D-WGMs

Model Information Input

Construction of 3D Water Governance Models

action step is shown in sequence, which is accompanied by the corresponding

Individual Organization and Internal Structure

Fig. 1.5 The front view of Kunming City 3D-WGM

Township and Village Level

3D Water Governance Model of Bavaria

Administrative District Level

County or County-Free City Level

Water Management Processes

Table 1.2 (continued)

* Kunming DAB: Kunming Dianchi Administrative Bureau.

Strengths and Application Value of 3D Water Governance Models

Fig. 1.6 (continued)

organizations and corresponding spatial location of each involved organization. On

Table 1.3 (continued)

Table 1.4 (continued)

Limits of 3D Water Governance Models

Summary and Outlooks

maps, allowing assigning different attributes to organizations or action step of water

1.1.2 Water Governance Structural Characteristics

1.1.2.2 Materials and Methods

Participants and Data Collection

Table 1.5 List of interviewed organizations in Kunming City

Table 1.6 List of interviewed organizations in Bavaria

1.1.2.3 Results and Discussion

Water Governance Structural Characteristics of Kunming City

Kunming Environmental Protection Bureau

Kunming Dianchi Lake Protection Commission

Special Kunming Dianchi Integrated Treatment Leading Group

Abundant Water Relevant Subordinate Authorities Scatteredly Exist

Water Administrative Functions Spread Among Governance Constructions

Highly Integrated Core Water Service Pattern for Kunming Urbanized

Existing Water Management Processes Have Potentials for Further

due to diverse management scopes of different authorities, thus multiple indepen-