From hydrological laws to catchment models: A process-based model matches deep-learning accuracy on three continents
Organizations: School of Engineering, University of Birmingham, Birmingham, UK
Abstract
Dooge asked whether hydrology has laws at the catchment scale. We ask whether a low-dimensional system built under physical laws can match the accuracy of neural networks that outperform process-based models on the same inputs. Three laws constrain a lumped catchment model. Conservation makes it a flux-connected storage network, dissipation fixes the sign of every flux and aggregation determines how the unresolved composition enters the fluxes, through effective laws over threshold distributions and a memory of the forcing. These laws admit four kinds of refinement. A parsimonious model under them, CaRT (11 parameters per catchment), is refined in a loop assisted by AI agents. Each refinement addresses an observed deficit through a hypothesis from the literature. The result, CaRT+, has fourteen states, 35 parameters per catchment and no daily neural network. Most refinements follow from aggregation over thresholds or from variables that carry no water but modulate fluxes. On 602 British and 593 US gauged catchments, single CaRT+ models reach median Nash-Sutcliffe efficiencies of 0.863 and 0.765 in held-out years. A stateful LSTM reaches 0.869 and 0.751 and an entity-aware LSTM 0.862 and 0.754, while three-seed LSTM ensembles remain ahead of the CaRT+ ensemble by 0.003-0.012 in median paired NSE. On 505 drier Australian gauged catchments unused in development, single CaRT+ models reach 0.778 against 0.762 and 0.753 for the two LSTMs. The results suggest that catchment-scale laws exist as laws of form, with the constitutive families shared and only their parameters learned.
Figures & tables
| Statement | Form | Left to assumptions and data |
|---|---|---|
| 1 Conservation | Storage changes only through fluxes, , ( 1 ). Internal fluxes conserve water, . Every correction acts on a flux. | the number of volumes; the family and parameters of each flux law |
| 2 Dissipation | Potential rises with storage, . Water flows down the potential, , , ( 2 ). Larger volumes exchange the sum of these fluxes, , ( 3 ). Phase change is bounded, , . | the families of the conductances and of the demand function; their exponents and constants; the lumped potentials, a closure (Law 3) |
| 3 Aggregation | The aggregates obey . The closed law is the mean over the compositions, , ( 7 ). The remainder is a memory of the history, , ( 20 ). Only compositions that change the future of need states. | the families of the threshold distribution; the states that carry the memory, by local structure (Table 2 ); the amplitude and time constants of the correction |
| Corollary: Admissible refinement | (a) Split a volume, , ( 13 ). (b) Add a connection. (c) Change the form of a flux law. (d) Modulate its coefficients by or . | which refinement a catchment needs; the family of each refinement and its parameters |
| Local structure | States that carry the memory | Enter the flux as | Size and time scale | Op. |
|---|---|---|---|---|
| Smooth laws, units in parallel | slow modes of the composition, no water (Eqs. 12 , 21 ) | multiplier of a conductance | second order in the heterogeneity of states and properties together; relaxes as the spread drains | d |
| Smooth laws, units in series | stores for water in transit | convolution of the input (linear laws), or a chain of stores | first order in the rate of change of the input, present for identical units; the travel-time distribution ( 32 ) | c, a |
| Thresholds with a shared driving variable that the stores do not resolve | the driving variable itself, no water | shift or scale of the threshold distribution in ( 8 ), its shape fixed | leading order, through the threshold distribution; the relaxation of the driving variable | d |
| Units in parallel that fill to a capacity and spill | the current accumulated forcing and its turning points since the last event that filled or emptied all units | shape of the threshold distribution in ( 8 ), which is the deficit distribution | leading order, through the deficit distribution; no time scale, erased by that event | d |
| Component | Required class | CaRT choice | Parameter |
|---|---|---|---|
| Rain partition | , | ||
| Evaporation | , | ||
| Soil drainage | |||
| Quick release | , , | , | |
| Groundwater | , | ||
| Routing | causal, non-negative, unit-mass kernel | UH1/UH2 with scale |
| Refinement | Op. | Fine-scale assumption | Origin | Parameters | Nested limit |
|---|---|---|---|---|---|
| Connected fraction of quick release | c, d | connection thresholds, shared depth, wetness converging to a shared value; wetness balance ( 17 ) | exact on the slow manifold; logistic shape, shift and balance postulated | , , , ; , (g) | |
| Release exponent | c | power-law depth thresholds | asymptotic | ||
| Viscosity | d | conductance | physical | none | none (no free parameter) |
| Frost | d | frozen depth raises thresholds | heuristic | ; , (g) | |
| Near-stream saturated zone | a, b | small-capacity zone, shallow water table | postulated | , , | |
| Surface layer | a | evaporation at demand, linear drainage | postulated | , |
| single model | 3-seed ensemble | ||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Model | NSE (seeds 0/1/2) | NSE | NSE log | KGE | FHV (%) | FLV (%) | low-flow volume (%) | (NSE 0) | NSE ungauged | NSE | NSE log | KGE | NSE ungauged |
| HBV | 0.825 / 0.825 / 0.825 | 0.825 | 0.799 | 0.823 | -9.6 | -86.9 | 17.6 | 7 | 0.735 | 0.827 | 0.808 | 0.824 | 0.739 |
| dHBV | 0.834 / 0.833 / 0.834 | 0.832 | 0.834 | 0.827 | -10.9 | -52.6 | 10.3 | 14 | 0.739 | 0.837 | 0.844 | 0.829 | 0.745 |
| CaRT | 0.845 / 0.846 / 0.846 | 0.845 | 0.857 | 0.840 | -11.1 | -14.0 | 3.9 | 5 | 0.700 | 0.846 | 0.860 | 0.841 | 0.707 |
| CaRT + | 0.864 / 0.864 / 0.862 | 0.863 | 0.883 | 0.856 | -10.3 | -16.2 | 7.5 | 0 | 0.755 | 0.866 | 0.893 | 0.857 | 0.766 |
| LSTM | 0.871 / 0.870 / 0.867 | 0.869 | 0.900 | 0.871 | -7.6 | -27.6 | 6.7 | 1 | 0.723 | 0.879 | 0.921 | 0.880 | 0.737 |
| single model | 3-seed ensemble | ||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Model | NSE (seeds 0/1/2) | NSE | NSE log | KGE | FHV (%) | FLV (%) | low-flow volume (%) | (NSE 0) | NSE ungauged | NSE | NSE log | KGE | NSE ungauged |
| HBV | 0.690 / 0.690 / 0.688 | 0.690 | 0.447 | 0.658 | -11.6 | -88.3 | 73.2 | 23 | 0.632 | 0.694 | 0.458 | 0.660 | 0.646 |
| dHBV | 0.715 / 0.715 / 0.715 | 0.713 | 0.591 | 0.680 | -11.0 | 5.8 | 59.7 | 17 | 0.677 | 0.719 | 0.605 | 0.689 | 0.681 |
| CaRT | 0.723 / 0.724 / 0.725 | 0.723 | 0.658 | 0.726 | -9.0 | 18.4 | 50.2 | 24 | 0.635 | 0.725 | 0.661 | 0.729 | 0.652 |
| CaRT + | 0.760 / 0.768 / 0.765 | 0.765 | 0.744 | 0.784 | -6.9 | 6.7 | 29.9 | 21 | 0.674 | 0.774 | 0.767 | 0.789 | 0.689 |
| LSTM | 0.761 / 0.753 / 0.752 | 0.751 | 0.773 | 0.773 | -5.7 | -44.1 | 17.0 | 17 | 0.719 | 0.781 | 0.817 | 0.792 | 0.754 |
| single model | 3-seed ensemble | |||||
|---|---|---|---|---|---|---|
| Pair | NSE | NSE log | KGE | NSE ungauged | NSE | NSE ungauged |
| CaRT + LSTM | [-0.006, -0.003] | [-0.015, -0.010] | [-0.018, -0.012] | [-0.010, +0.010] | [-0.012, -0.009] | [-0.018, +0.008] |
| CaRT + EA-LSTM | [-0.001, +0.002] | [-0.009, -0.004] | [-0.005, +0.002] | [-0.011, +0.020] | [-0.004, -0.002] | [-0.019, +0.012] |
| CaRT + CaRT | [+0.013, +0.016] | [+0.018, +0.027] | [+0.011, +0.015] | [+0.003, +0.024] | [+0.014, +0.017] | [+0.006, +0.027] |
| CaRT + dHBV | [+0.022, +0.026] | [+0.033, +0.045] | [+0.025, +0.033] | [-0.002, +0.022] | [+0.021, +0.025] | [-0.001, +0.031] |
| CaRT + HBV | [+0.028, +0.033] | [+0.071, +0.083] | [+0.023, +0.031] | [+0.007, +0.029] | [+0.029, +0.034] | [+0.014, +0.031] |
| Model | BFI | BFI | BFI | |
|---|---|---|---|---|
| HBV | 0.820 / 0.815 (0.821) | 0.839 / 0.814 (0.839) | 0.802 / 0.751 (0.805) | 0.805 / 0.774 (0.806) |
| dHBV | 0.821 / 0.841 (0.825) | 0.849 / 0.849 (0.853) | 0.830 / 0.784 (0.837) | 0.818 / 0.818 (0.821) |
| CaRT | 0.830 / 0.855 (0.832) | 0.859 / 0.866 (0.860) | 0.856 / 0.838 (0.859) | 0.831 / 0.848 (0.832) |
| CaRT + | 0.847 / 0.877 (0.849) | 0.874 / 0.890 (0.876) | 0.879 / 0.882 (0.882) | 0.847 / 0.863 (0.849) |
| LSTM | 0.845 / 0.888 (0.856) | 0.877 / 0.913 (0.887) | 0.887 / 0.891 (0.900) | 0.845 / 0.877 (0.862) |
| Dataset | model | ensemble gain | spread on days | spread on days |
|---|---|---|---|---|
| CAMELS-GB | CaRT + | 32 % | 6 % | |
| stateful LSTM | 57 % | 2 % | ||
| EA-LSTM | 48 % | 3 % | ||
| CAMELS-US | CaRT + | 53 % | 3 % | |
| stateful LSTM | 69 % | 1 % | ||
| EA-LSTM | 62 % | 1 % |
| Group removed from CaRT + | CAMELS-GB | CAMELS-US |
|---|---|---|
| Runoff generation (surface layer, Pareto partition, infiltration excess, depression storage, near-stream zone) | [+0.0037, +0.0051] | [+0.0030, +0.0071] |
| Quick release (connected release with exponent, viscosity and frost, connected bypass, groundwater-controlled connectivity) | [+0.0050, +0.0065] | [-0.0007, +0.0013] |
| Evaporation (vegetation demand, groundwater uptake) | [+0.0005, +0.0015] | [+0.0126, +0.0178] |
| Exchange with the exterior (exterior inflow, channel transmission loss) | [-0.0004, +0.0003] | [-0.0019, +0.0003] |
| Snow (melt energy term) | [-0.0004, -0.0000] | [-0.0007, +0.0014] |
| Sum of the five |
| median NSE | paired NSE, CaRT + minus | |||||
|---|---|---|---|---|---|---|
| Class | CaRT + | LSTM | EA-LSTM | LSTM | EA-LSTM | |
| all held-out basins | 68 | 0.674 | 0.719 | 0.722 | [-0.034, +0.020] | [-0.055, -0.010] |
| non-arid | 46 | 0.743 | 0.768 | 0.773 | [-0.007, +0.025] | [-0.031, -0.006] |
| arid (PET/P ) | 22 | 0.256 | 0.345 | 0.360 | [-0.319, +0.043] | [-0.326, -0.053] |
| snow-dominated, not arid | 4 | 0.867 | 0.795 | 0.846 | [-0.172, +0.087] | [-0.048, +0.041] |
| held-out catchments | gauged | ||||
|---|---|---|---|---|---|
| Dataset | all | arid (US) / groundwater-fed (GB) | other | all | |
| CAMELS-GB | 0 (plain) | 0.755 | 0.428 | 0.810 | 0.863 |
| 0.1 | 0.764 | 0.435 | 0.811 | 0.862 | |
| 0.2 | 0.764 | 0.449 | 0.810 | 0.859 | |
| 0.3 | 0.749 | 0.500 | 0.799 | 0.853 | |
| 0.5 | 0.765 | 0.593 | 0.790 | 0.830 | |
Appendix figures & tables6 assets
Supplementary material from the paper’s appendix.
Appendix
| Symbol | Meaning | Model | Unit |
|---|---|---|---|
| , | snow water equivalent of band | both | mm (per band area) |
| surface layer | CaRT + | mm | |
| production store (root zone in CaRT + ) | both | mm (per area ) | |
| near-stream saturated zone | CaRT + | mm (per area ) | |
| depression storage | CaRT + | mm | |
| water in transit in the unit hydrographs | both | mm |
| Symbol | Meaning (unit) | Range | Map | |
|---|---|---|---|---|
| production-store capacity (mm) | 25–1600 | log | 225 | |
| percolation scale relative to GR4J, | 1/30–30 | log | 1 | |
| quick-store scale (mm); | 5–1000 | log | 33 | |
| unit-hydrograph time base (d) | 0.5–6 | lin | 1.26 | |
| groundwater residence time at (d); | 3–1460 | log | 78 | |
| exchange (loss) coefficient (mm d -1 ); | –0 | lin |
| Symbol | Meaning (unit) | Range | Map | Nested limit | |
| Rain–runoff parameters of CaRT | |||||
| root-zone capacity (mm) | 25–1600 | log | 225 | – | |
| percolation scale relative to GR4J | 1/30–30 | log | 1 | – | |
| quick-store scale (mm) | 5–1000 | log | 33 | – | |
| unit-hydrograph time base (d) | 0.5–6 | lin | 1.26 | – | |
| groundwater residence time at (d) | 3–1460 | log | 78 | – | |
| Symbol | Meaning | Initial | CAMELS-GB | CAMELS-US | CAMELS-AUS |
|---|---|---|---|---|---|
| centre of the frost step ( ) | 0 | to | to | to | |
| width of the frost step ( ; log) | 2.4 | 2.25–2.31 | 2.17–2.38 | 2.41–2.42 | |
| centre of the connection thresholds | 0.4 | 0.49–0.52 | 0.54–0.61 | 0.67–0.70 | |
| width of the connection thresholds (log) | 0.15 | 0.071–0.082 | 0.048–0.069 | 0.047–0.058 | |
| activity threshold of vegetation ( ) | 8 | 8.14–8.22 | 7.67–7.98 | 8.27–8.37 | |
| width of the activity threshold ( ; log) | 3 | 4.80–5.18 | 2.85–3.15 | 9.33–12.22 |
| State | Model | Initial state | |
|---|---|---|---|
| snow | both | 0 | – |
| production store / root zone | both | 1460 | |
| surface layer | CaRT + | 1460 | |
| near-stream zone | CaRT + | 1460 | |
| wetness | CaRT + | 1460 | |
| depressions | CaRT + | 1460 |
| Refinement | Op. | Origin | Nested limit |
|---|---|---|---|
| Connected fraction | c, d | exact on the slow manifold; logistic shape, shift and balance postulated | , outside ( ) |
| Release exponent | c | asymptotic | , open bound |
| Viscosity | d | physical | none (no parameter) |
| Frost | d | heuristic | , open bound |
| Near-stream zone | a, b | postulated | , open bound |
| Surface layer | a | postulated | , outside ( ) |