\\n\\n
Dr. Pletser’s experience includes 30 years of working with the European Space Agency as a Senior Physicist/Engineer and coordinating their parabolic flight campaigns, and he is the Guinness World Record holder for the most number of aircraft flown (12) in parabolas, personally logging more than 7,300 parabolas.
\\n\\nSeeing the 5,000th book published makes us at the same time proud, happy, humble, and grateful. This is a great opportunity to stop and celebrate what we have done so far, but is also an opportunity to engage even more, grow, and succeed. It wouldn't be possible to get here without the synergy of team members’ hard work and authors and editors who devote time and their expertise into Open Access book publishing with us.
\\n\\nOver these years, we have gone from pioneering the scientific Open Access book publishing field to being the world’s largest Open Access book publisher. Nonetheless, our vision has remained the same: to meet the challenges of making relevant knowledge available to the worldwide community under the Open Access model.
\\n\\nWe are excited about the present, and we look forward to sharing many more successes in the future.
\\n\\nThank you all for being part of the journey. 5,000 times thank you!
\\n\\nNow with 5,000 titles available Open Access, which one will you read next?
\\n\\nRead, share and download for free: https://www.intechopen.com/books
\\n\\n\\n\\n
\\n"}]',published:!0,mainMedia:null},components:[{type:"htmlEditorComponent",content:'
Preparation of Space Experiments edited by international leading expert Dr. Vladimir Pletser, Director of Space Training Operations at Blue Abyss is the 5,000th Open Access book published by IntechOpen and our milestone publication!
\n\n"This book presents some of the current trends in space microgravity research. The eleven chapters introduce various facets of space research in physical sciences, human physiology and technology developed using the microgravity environment not only to improve our fundamental understanding in these domains but also to adapt this new knowledge for application on earth." says the editor. Listen what else Dr. Pletser has to say...
\n\n\n\nDr. Pletser’s experience includes 30 years of working with the European Space Agency as a Senior Physicist/Engineer and coordinating their parabolic flight campaigns, and he is the Guinness World Record holder for the most number of aircraft flown (12) in parabolas, personally logging more than 7,300 parabolas.
\n\nSeeing the 5,000th book published makes us at the same time proud, happy, humble, and grateful. This is a great opportunity to stop and celebrate what we have done so far, but is also an opportunity to engage even more, grow, and succeed. It wouldn't be possible to get here without the synergy of team members’ hard work and authors and editors who devote time and their expertise into Open Access book publishing with us.
\n\nOver these years, we have gone from pioneering the scientific Open Access book publishing field to being the world’s largest Open Access book publisher. Nonetheless, our vision has remained the same: to meet the challenges of making relevant knowledge available to the worldwide community under the Open Access model.
\n\nWe are excited about the present, and we look forward to sharing many more successes in the future.
\n\nThank you all for being part of the journey. 5,000 times thank you!
\n\nNow with 5,000 titles available Open Access, which one will you read next?
\n\nRead, share and download for free: https://www.intechopen.com/books
\n\n\n\n
\n'}],latestNews:[{slug:"stanford-university-identifies-top-2-scientists-over-1-000-are-intechopen-authors-and-editors-20210122",title:"Stanford University Identifies Top 2% Scientists, Over 1,000 are IntechOpen Authors and Editors"},{slug:"intechopen-authors-included-in-the-highly-cited-researchers-list-for-2020-20210121",title:"IntechOpen Authors Included in the Highly Cited Researchers List for 2020"},{slug:"intechopen-maintains-position-as-the-world-s-largest-oa-book-publisher-20201218",title:"IntechOpen Maintains Position as the World’s Largest OA Book Publisher"},{slug:"all-intechopen-books-available-on-perlego-20201215",title:"All IntechOpen Books Available on Perlego"},{slug:"oiv-awards-recognizes-intechopen-s-editors-20201127",title:"OIV Awards Recognizes IntechOpen's Editors"},{slug:"intechopen-joins-crossref-s-initiative-for-open-abstracts-i4oa-to-boost-the-discovery-of-research-20201005",title:"IntechOpen joins Crossref's Initiative for Open Abstracts (I4OA) to Boost the Discovery of Research"},{slug:"intechopen-hits-milestone-5-000-open-access-books-published-20200908",title:"IntechOpen hits milestone: 5,000 Open Access books published!"},{slug:"intechopen-books-hosted-on-the-mathworks-book-program-20200819",title:"IntechOpen Books Hosted on the MathWorks Book Program"}]},book:{item:{type:"book",id:"6370",leadTitle:null,fullTitle:"Tropical Forests - New Edition",title:"Tropical Forests",subtitle:"New Edition",reviewType:"peer-reviewed",abstract:"Tropical forests occupy only one-tenth of the world's land area but are home to more than half of the world's flora and fauna. 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In this second edition of the book Tropical Forests, the chapters share the above issues and help in understanding, educating, and creating awareness on the role of \"tropical forests\" for the very survival of mankind, climate change, and the diversity of biota across the globe. This book will be of great use and could be useful to students, scientists, ecologists, population and conservation biologists, and forest managers across the globe.",isbn:"978-1-78923-563-0",printIsbn:"978-1-78923-562-3",pdfIsbn:"978-1-83881-435-9",doi:"10.5772/intechopen.69876",price:119,priceEur:129,priceUsd:155,slug:"tropical-forests-new-edition",numberOfPages:194,isOpenForSubmission:!1,isInWos:1,hash:"ddbf46d32dfc9541f9cc624c69b121b4",bookSignature:"Padmini Sudarshana, Madhugiri Nageswara-Rao and Jaya R. 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\r\n\tHippocampus is located within the brain's medial temporal lobe and is encompassed among the limbic system, which regulates emotions. It is one of the most studied parts of the brain for centuries as studies dating back over 400 years.
\r\n\tFunctionally, the hippocampus is associated mainly with memory, in particular, long-term memory. Moreover, the organ also plays an important role in the spatial memory that enables navigation (spatial navigation) and is involved in the process of mapping moments in temporally organized experiences (spatial and temporal aspects of memory). However, the hippocampus appears to be a sort of ?heart of the brain? and is involved in the regulation of a large number of functions. To this regard, indeed, it has been demonstrated that hippocampal-induced low-frequency activities are the expression of diffuse connectivity to different brain areas.
\r\n\t
\r\n\tHippocampal degeneration is the most obvious feature of patients with Alzheimer?s disease (AD) and results in symptoms of deteriorating cognitive functions, olfactory impairments, and emotional deficits. Furthermore, this brain region is involved in other neurological and psychological/psychiatric diseases (e.g., depression).
\r\n\tThis book will explore several aspects of the research on the hippocampus and will be a valuable resource for students, clinicians, and researchers who want to learn more about this fascinating field of neuroscience.?
Despite low annual precipitation rates of less than 300 mm/year [1], the urbanized areas of the northern Chihuahua desert paradoxically experience flash flooding events as a consequence of seasonal summer rains that often release more than 50% of the yearly rain in only 48 hours [2]. The main population center located in this semiarid region is the twin city, transboundary metroplex formed by Ciudad Juarez, Chihuahua and El Paso, Texas. The denser populated area corresponds to the Mexican city of Juarez, with more than 1.5 million inhabitants distributed along the western piedmont of the Sierra de Juarez (SDJ) mountain range and the Rio Grande River (RGR) basin’s main depocenter, defined by the axis of the Rio Grande River (Figure 1). This growing population experiences severe property damage on a yearly basis as consequence of seasonal rain events.
Location of the Cd. Juarez, Chihuahua–El Paso, Texas Metroplex and Las Viboras watershed, earthen regulation dams and hydrologic network.
Ciudad Juarez’s hydrology is divided into eight basins according to the municipal research and planning agency [2]. Although all the basins become problematic flooding areas during seasonal rains, flooding at Las Viboras watershed’s downstream area, located in the Anapra basin (Figure 1), has been historically one of the most complicated water volumes to be managed efficiently. Anapra is the only basin in Juarez that drains directly into the RGR. The hydrological protection of Las Viboras Arroyo Watershed depends on four existent earthen regulation dams: Pico del Aguila, Puerto La Paz, La Fronteriza and El Filtro (Figure 1). However, ordinary rain events in November 2016 recorded important flooding and high flows at the Rio Grande River delivery point, precisely indicating a lack of flow regulation. In this research, we have combined a holistic approach by integrating hydrology, bidimensional hydraulic modeling and geological-geophysical methods to investigate how the ordinary rain event of November 4, 2016 resulted in severe loss of life and property in Las Viboras Arroyo watershed. We also explored what would happen if El Filtro dam would have failed during a 500 year return period (YRP) event and how the Camino Real transmountain road culverts operate under hydraulic stress.
Ciudad Juarez’s hydrology is divided into eight basins according to the municipal research and planning agency [2]. Three basins are located at the Sierra de Juarez (SDJ): Anapra, Centro and Jarudo, whereas the Aeropuerto basin, adjacent to Jarudo basin, is located in a nearly flat area. The Chamizal and Rio Bravo basins are located next to the Rio Grande River (RGR), and the Barreal and Acequias basins are of endhorreic type.
As expected, the hydrological drainage network is chiefly controlled by the topography of the SDJ. This mountain range reaches elevations of 1800 m above sea level, resulting in a relative height difference of nearly 470 m with respect to the surrounding basin floors and of 490 m with the RGR.
In spite of the dramatic topographic contrast, the only basin draining directly into the RGR is the Anapra. Las Viboras Watershed is the main watershed in Anapra basin. This system, Las Viboras, collects runoff volume from a catchment area of nearly 22 km2 [3]. Although the watershed is supposed to be protected by three regulation dams, historically this watershed has experienced some of the greatest damage associated with hydro-meteorological events in Ciudad Juarez. In 2006, during a 10 year return period (YRP) event, the hydrological resilience of this watershed was demonstrated as being poor since the most important dam, in terms of capacity, was overtopped during the rain event, requiring authorities to evacuate population located downstream due to the imminent risk of the dam’s wall breaking [3]. After the rain event, the dam had to be artificially breached by constructing a 70 m3/s channel to prevent water accumulation. As a temporary solution a new retention wall was emplaced upstream of the dam to mitigate water flow. However, and regretfully, the temporary solution became permanent. Now, Las Viboras system seems to be even more compromised, in hydrological terms, than in 2006, as consequence of the lack of infrastructure maintenance and a poor urbanization plan that allowed several new low-income neighborhoods to be developed downstream without regard to the hydrological safety.
Structurally, the major tectonic feature controlling recent basin formation and deposition style in the area is the Cenozoic Rio Grande Rift. Extension in the rift has produced an asymmetric intramontane basin system controlled by normal faulting that has overprinted the Laramide-related compressional structures. Among the Laramide-related structures, the Sierra de Juarez is the major landmark in the region. The stratigraphic sequence of the SDJ is composed of Mesozoic geologic units of a transgressional marine sequence deposited in the Chihuahua Trough [4, 5]. Shales and sandstones characterize the lower part of this sequence, whereas the middle part is formed of limestones and shales, topped with post reef limestone facies [6]. Volcanic activity occurred in the Paleocene with the emplacement of acid to intermediate composition intrusive igneous rocks. Well-consolidated deposits, such as conglomerates, silts and sands, were deposited discordantly during the Plio-Pleistocene [7].
The top of the stratigraphic column is composed of interbedded sequences of coarse clastic sediments and fine grain materials transported from the more topographically elevated areas and deposited in the basins as alluvial, lacustrine or aeolian sediments. The basin fill is mainly Pliocene with some thinner quaternary units on top.
Basement units that outcrop in the nearby SDJ include the Cretaceous Cuchillo, Benigno, Lagrima and Finlay formations [8]. Each formation has very distinctive hydraulic and mechanical properties as a consequence of the compositional transitions between massive coral limestones (Benigno and Lagrima formations) to interbedded limestone-sandstone (Cuchillo) and limestone-shale (Finlay) formations that are less permeable.
In terms of geologic elements to provide structural support for proper dam foundation, emplacement and construction, the topographic closures flanked by competent rock units are present only in the highlands of SDJ. The best geological units, the massive limestone rock units are related to the Aurora group, which are the most competent. On the other hand, flaky shales (Ojinaga and La Casita formations) associated with Turonian and Tithonian horizons, respectively, should be avoided [8, 9].
First, we used a precise light detection and ranging (LIDAR) derived digital terrain model (DTM) to determine watershed boundaries and update other physiographic elements for calculations of surface hydraulic flow. We also modeled the flow conditions through bidimensional hydraulic modeling of the Naviers-Stokes equations using the IBER software package to investigate how hydraulic structures such as culverts and earthen regulation dams are actually operating and why dangerous high velocity and turbulent flows are recorded downstream even in ordinary rain events. In addition, we also investigated the subsurface geologic setting by conducting high-resolution electrical resistivity tomography [10], which combined with seismic refraction and S-wave velocity studies [11], allowed us to infer the foundational and structural integrity of Camino Real culverts and regulation dams located in Las Viboras stream drainage system.
The first step in this study consisted of modeling the hydrology of the watershed to estimate the runoff volume transported by Las Viboras watershed drainage network for ordinary rains. Then, once the hydraulic flow was calculated, geological, geophysical and geotechnical studies were conducted at several structures.
To calculate the total runoff flow and water volume collected along the drainage network of Las Viboras watershed for ordinary events, we distributed a 2 YRP event, or 50% probability of exceedance rains in 24 hours, across the watershed. The watershed boundary was defined from a high resolution LIDAR 1 m × 1 m cell size DTM utilizing the software package Hec-GeoHMS [12], which runs on the GIS software platform ArcGIS.
The watershed geometry, drainage network and the physiographic parameters: area (km2), slope (10–85%), length (m), concentration time (s) and lag time (s) were obtained from the Geo-HMS run and then validated by hand calculations. The runoff and/or infiltration were estimated applying the curve number (CN) method, also referred as “Soil Conservation Service (SCS) runoff Curve number” [13], which defines the rain abstraction or how much rain infiltrates into the ground in terms of the soil group, hydrological conditions and land-use of the catchment area. Both the SCS CN and the impervious percentage were derived from high-resolution aerial imagery analysis and fieldwork. The precipitation-runoff transformation, hydrogram estimation and hydraulic parameters (flow and volume) at each hydrologic element were estimated as a result of the hydrologic simulation calculated from storm data for 2, 50, 500 and 10,000 YRP and physiographic parameters as input data into the HMS software package [14].
Because of the complexity of Las Viboras arroyo system, we decided to apply two-dimensional modeling to simulate arroyo hydraulics. The software utilized (IBER) for the calculations solves the 2D Saint-Venant equations [15] using the finite volume method, which relies on a nonstructured finite discretization of the terrain. The mesh representation obtained in this way allows the software to be able to represent almost any surface geometry, being able then, to model subtle river features. To perform the calculation, a 1 m × 1 m DTEM derived from LIDAR data was utilized, the hydrologic parameters were input as a rain hyetograph for 2 and 500 YRP rain events, and bed roughness was modeled with manning roughness coefficients. The results are a grid representation of the output parameters such as water depth, velocity, Froude number, etc.
Geological studies are traditionally applied to determine the best wall dam emplacement location based upon topographic conditions, water-tightness of the reservoir, slope stability along the reservoir perimeter and availability of construction materials. The emplacement depends upon the dam foundation requirements, which in turn, are a function of the type of dam, dynamic moduli of the soil such as strength and deformation, depth to foundation and geohydrological properties such as permeability. In this case, since the Earthen Regulation Dams (ERD) were already constructed and information about their construction process is no longer available, geoscience approaches, mainly geophysical methods to determine geotechnical parameters, were applied not only to infer foundation characteristics but also to reveal, in an indirect way, the structural integrity of the culverts and three dams. More specifically, three geophysical methods were applied: Electrical Resistivity Tomography, Seismic Refraction and multichannel analysis of seismic waves (MASW).
Multielectrode electrical resistivity tomography (ERT) is a geophysical method that allows the user to infer the subsurface conditions in terms of the electrical contrast existing between different subsoil and geologic units. The contrast relies primarily on the grain size, water and mineralogical content of the units [16]. Therefore, this approach is appropriated to infer conditions related to earthen dams and foundation [22]. The high resolution data were collected along several profiles atop each dam’s crest. We used a Terrameter LUND System with electrodes connected every 2 m to a multicore set of cables attached to a selector switch that controls the injection of current and ground resistance readings in accordance with a pre-determined acquisition protocol. The ABEM instrument computer automatically selects the current injection, which ranges from 200 to 500 mA. To obtain a reliable measurement of the ground resistance, 4 stacks per reading were averaged to obtain the actual recorded resistance value. The electrode arrays applied in the field were the Wenner and dipole-dipole configurations. Details of these arrays can be found in Refs. [10, 19].
Once the data were collected in the field, the electrical resistance field for each layout was geometrically corrected using the software package ERICGRAPH© [18]. The apparent resistivity pseudosections were then inverted using a robust L1 norm algorithm, which minimizes the sum of the absolute values of the resistivity field spatial variations in order to map lateral heterogeneities [10]. The inversion was then implemented with the computational package RES2DINV to obtain the true electrical resistivity field and true depth of penetration sections that gave the least possible error between the observed and calculated data.
Editing of the noisy data and half electrode spacing cell width was applied during modeling since the data showed high surface resistivity variations [19]. As a last processing step, the inverted data were corrected for topographic effects and converted into ASCII format to develop a geographically referenced geoelectrical database. This was further post-processed in Oasis Montaj to render a resistivity voxel to better visualize the underground electrical resistivity distribution.
Seismic studies were conducted because the elastic properties of soils and subsurface can be inferred by properly mapping both compressional and shear wave velocity fields [11, 20]. The dynamic moduli: shear modulus, Young’s modulus and Poisson’s ratio provide a characterization of the soil-structure interaction and liquefaction potential of subsurface layers [20]. In this study, the seismic refraction lines were deployed with a geophone separation of 6 m, and the MASW lines with the same length, except for the culvert analysis, where a 3 m spacing between geophones were applied. The processing of the compressional velocity (Vp) field consisted in the picking of first arrivals observed at each shot gather [21]. Then a tomographic inversion iterative process was applied to minimize the error misfit, since abrupt lateral variations were expected due to topographic and subsurface heterogeneities. For the S-wave dispersion studies (MASW), the dispersion curve was extracted by analyzing all traces in a shot gather and applying the Tau-P transform to obtain a coherent energy section relating Vs with frequency. The dispersion curve picked from the Vs-frequency spectra was then inverted for a 1D depth-velocity (Vs) model. By then applying this procedure from one shot gather to another and using a common mid point (CMP) mapping of the seismic energy, we were able to generate a 2D section representing the shear wave velocity field.
One of the main results of the hydrologic analysis of Las Viboras watershed shows how the paving process, linked to the urban development, has negatively affected the hydraulic condition of this watershed, since almost all the rain volume is conveyed downstream as runoff as consequence of the increase in impervious surfaces. According to the hydrologic modeling parameters, this watershed has a catchment area of 22 km2. It is intended to be hydrologically protected by four regulation structures: The Pico del Aguila dam, regulating the north branch runoff flowing down from the SDJ, the Puerto La Paz dam, regulating volumes from the central branch of Las Viboras drainage system, La Fronteriza dam, regulating flow from the south-central and southern branches of Las Viboras and El Filtro, regulating upstream flow on the southern branch of Las Viboras. As consequence of the 10 YRP event of 2006, La Fronteriza dam failed by overtopping. It is now breached to avoid water accumulation since the dam is structurally compromised. The El Filtro dam, located upstream, was then emplaced to temporarily regulate the southern branch runoff, thus decreasing the hydrologic pressure downstream. We modeled each hydraulic structure, including Earth Regulation Dams and culverts, to determine their hydraulic operation, including storage, pool elevation, inflow and outflow. The dams were analyzed for ordinary rains (2 YRP) up to extreme events (10,000 YRP), whereas culverts were analyzed for 500 YRP rain events. The hydraulic operation for each dam for 500 YRP and 10,000 YRP rains is shown in Figure 2.
Models of hydraulic operation of dams for 500–10,000 YRP. The results were obtained by 1D hydrologic modeling.
The natural drainage system of the Sierra de Juarez was modified as consequence of the construction of the transmountain road, El Camino Real, in 2008. In the area covered by the Las Viboras system watershed, there are 10 culverts to allow runoff to freely flow downstream. The slopes of those structures are greater than 3%, and depending on the flow, they are either pipelines or concrete rectangular structures with a cross section of 4.5 m × 4.5 m. The hydrologic analysis of the culverts showed that they operate satisfactorily up to rain events of 500 YRP. However, the culvert located at the discharge of the El Filtro dam shows that downstream of El Camino Real, the discharge channel makes a very sharp turn, almost 80° to the north. Two-dimensional hydraulic modeling is required to determine if there is a hydraulic jump as a consequence of the sharp channel geometry.
The Pico del Aguila dam has both a riser spillway and emergency spillway. The outlet pipeline has a diameter of 75 cm. The dam crest reaches an elevation of 1221.50 m above sea level and the maximum impoundment capacity is 61,226 m3. The GEOHMS model shows that the total catchment area for this hydraulic structure is 2.11 km2, and the model results indicate that this structure operates properly for ordinary rains and extraordinary rain events of up to 500 YRP with a freeboard of 1.55 m. However, for extraordinary or extreme events, such as the 10,000 YRP, the hydraulic operation is seriously compromised since the water flow would overtop the dam’s wall, eventually breaching the structure.
This regulation dam is designed to regulate the runoff volumes moving downstream from the southern central part of the highlands of Las Viboras system, which are located at the scarped flanks of the Sierra de Juarez. The results of the hydrologic run show that the dimensions of the reservoir and wall of this regulation dam are able to operate satisfactory up to a 500 YRP rain, with a freeboard of 1.55 m. However, the analysis for a 10,000 YRP rain with full reservoir indicates that the structure will be overtopped by the water volume. Thus, the dam is not hydraulically operating properly according to Mexican law, which requires that any dam should be able to transit a hydrogram corresponding to a 10,000 YRP runoff, assuming that the reservoir is full. In spite of this failure in hydrological safety of the Puerto La Paz dam for extreme events, the structure can very efficiently handle ordinary rains.
This structure is not even a dam since it lacks a riser spillway, emergency spillway and outlet. This structure is just a pile of dirt and pieces of rock obtained from the materials excavated during construction of El Camino Real that were piled up at the pilot channel and berms of the stream. Although this structure has retained water from ordinary rains not exceeding 5 YRP, it eventually drains out through the interstitial spaces of the rocks that were piled up to form the embankment. The elevation of this dam reaches a height of almost 13 m above the main stream channel. The hydrologic analysis of this structure shows that is capable of retaining water volumes for rains up to 100 YRP, but is overtopped in a 500 YRP event. If this occurs the structure will dramatically be breached causing major flooding downstream. This structure was intended to be a temporary solution due to the lack of water regulation downstream as a consequence of the La Fronteriza dam failure in 2006, but its poor construction and the lack of an emergency spillway, makes this structure a manmade hazard that jeopardizes life and property downstream.
La Fronteriza dam was designed to regulate runoff volumes from the SDJ and avoid flooding-related problems downstream. This dam has a wall with a design height of 12 m from the stream’s pilot channel to the dam crest. It has a riser spillway, outlet and an emergency spillway. The emergency spillway is no longer in use since several years ago poorly planned urban development allowed the construction of houses on top of the emergency channel. The original design storage volume of this dam was 300,000 m3, but sediment transport and accumulation has severely reduced its storage capacity by up to 90,000 m3 [3]. This structure failed by overtopping in 2006, when a 10 YRP rain occurred in the metroplex area. The spill over the crest was the consequence of the diversion of one tributary stream of the southernmost branch of the Arroyo Colorado. The water flow was diverted and connected downstream through a structure known as “La Gasera,” which is a diversion wall and channel. The extra volume received by the La Fronteriza dam during the 2006 rain, coupled with the reduction of storage capacity due to sedimentation, resulted in the overtopping failure of this structure. Following this event, the dam’s wall was intentionally breached with a channel with a hydraulic section and slope capable of transporting water flowing at rate of up to 70 m3/s, as revealed by the hydrologic analysis.
The bidimensional hydraulic modeling we carried out consisted of modeling two distinct scenarios. First, the November 4, 2016 rain, associated with a 2 YRP, was modeled. Once several pitfalls were identified in the ordinary rain modeling and hydrological results, a second rain scenario was modeled with a design storm associated with a 500 YRP rain event. The 500 YRP event would generate, according to the 1D hydrologic modeling results, a breaching scenario for El Filtro dam. This second scenario was designed to simulate the breaching or failure of El Filtro to evaluate both El Camino Real culvert operation and downstream effects.
The main result for the 2 YRP modeling showed the lack of water regulation at La Fronteriza dam is a relative concept since the width of the reservoir prevents all water from flowing freely downstream through the channel at 70 m3/s, recording reservoir depths up to 2 m even for ordinary rains (Figure 3(a)). Nevertheless, this regulation is not sufficient since this drainage network branch is still the major contributing factor to the nearly 1 m water depths reached downstream of this location. In the same way, the bi-dimensional model at Pico del Aguila dam shows that this structure is properly regulating, reaching water depths of up to 1.60 m behind the dam. This is also the case for the Puerto La Paz dam, where runoff volume is properly regulated reaching depths of 1.80 m (Figure 3) behind the dam. Although this combined runoff flow regulation effectively diminishes the rate of water flowing downstream along this tributary stream, water depths of 0.40 m are still reached before the intersection of Las Viboras drainage with the RGR (Figure 3). This analysis also indicates that El Camino Real’s culverts are retaining water, even for a 50% PE rain; a result not anticipated by the HMS modeling (Figure 3). Then, El Filtro dam is retaining, rather than regulating, a water volume flowing from the southern tributary watershed with a catchment area of nearly 6 km2. For heavier rains it is anticipated that this poorly constructed wall, lacking riser spillway and emergency spillway or outlets may fail, perhaps just increasing the hydrologic risk rather than reducing it as forecasted by the HMS modeling results.
The results of 2D hydraulic modeling. (a) Water levels at Pico del Aguila and Puerto La Paz dams. (b) Water levels at culverts along El Camino and at La Fronteriza Dam. (c) Water levels at El Filtro Dam. (d) Velocity (i) and celerity (ii) results, (iii) turbulent flow at Las Viboras delivery point into Rio Grande River, photo taken by Azteca Noticias news.
The velocity and celerity analysis downstream of Las Viboras system for a 2 YRP even shows that after the tributary and main channels have joined the flow velocity is high, recording values of 4 m/s (Figure 3(i)). The celerity analysis resulted in Froude number is greater than 1 (Figure 3(ii)), thus a high velocity turbulent flow is present at Las Viboras’ delivery point to the RGR. This is a consequence of the lack of proper regulation at the main channel due to the non-operational condition of La Fronteriza dam. The turbulent flow was the hydraulic feature that caused major damage in November 2016, causing severe economic and loss of life, not as consequence of an extreme rain event linked or related to climate change, but for an ordinary rain event with a 50% likelihood to occur yearly.
The second hydraulic scenario corresponds to El Filtro dam breaching for a 500 YRP event. The results are consistent with the hydrology, resulting in a runoff volume of 260 m3/s flowing through the simulated breach. This volume shows that the 4.5 × 4.5 m culvert located downstream is not able to efficiently conduct the flow (Figure 4), yet the 1D calculations showed it as capable of transporting 360 m3/s. The hydraulic jump generated at the upstream culvert opening reaches depths of 12 m, so that El Camino Real’s embankments act as a regulation dam, albeit they are not designed to do so. The detailed bi-dimensional modeling of the breached El Filtro dam-culvert system, also shows that the closed turn of the channel at the downstream culvert outlet produces turbulent and erosive velocities which are scouring the diversion wall of “La Gasera” located only 35 m to the north (Figure 4). As consequence of these results, the system was modeled again for a 2 YRP, but with the hypothetical scenario of removing El Filtro dam. The results show dramatic downstream effects; the downstream culvert is completely overtopped with water depths of 4 m both sides of the culvert, whereas water depths increase up to 2 m for the last branch of the drainage network. To conclude the hydraulic analysis, field work was conducted to identify erosional features such as gullies at the slope toe of “La Gasera” wall. The result was even more complex than predicted by the model; the wall scouring process related to several ordinary rain events show that the culvert is partially occluded with debris scoured from the wall. The hydraulic jump caused by the occlusion at the culvert outlet is recorded by water depths of nearly 3 m, as shown by a water line traced upstream across the culvert passage (Figure 4).
Hydraulic modeling results for the breaching of El Filtro dam. Inset (a) Water depth. Inset (b) Froude number. Inset (c) Velocity. Inset (d) Cross section showing how El Camino Real acts as retaining wall.
Hydrological analysis is not the sole criteria to determine if a regulation dam is operating safely. Structural analysis is a key factor to provide an assessment of the structural integrity of the wall and foundations. Several methods were applied in this study to do this. First, a visual inspection of the wall showed very evident fractures and vertical displacements along the wall. This was followed up with other geological and geophysical analyses outlined below.
A geological reconnaissance was carried out along the wall and reservoir perimeter. This showed no presence of solid bedrock, but only a tertiary polymictic conglomerate composed of interlayered beds of sand, gravel, silts and clays [17]. Also, a visual inspection of the wall showed the presence of a displaced block in the vicinity of the spillway. This block is readily identifiable, even in recent satellite imagery. No fractures and/or cracks were observed elsewhere. The geoelectrical analysis (Figure 5) of the wall and foundations revealed that, in general, inside the wall body, an interbedded sequence of high, low and high resistivity values are observed. At depths greater than 10 m beneath the wall the structure seems to be resting on a foundation with high electrical resistivity. The electrical resistivity layers do not show a quasi-horizontal and homogeneous pattern. Layers are actually updipping between model coordinates (MC) 70 and 120 m. At 130 m along the profile, a low-resistivity vertical anomaly is identified at the base of the wall. From 140 to 200 m MC the layers are down dipping. Beyond 200 m MC another vertical low-resistivity anomaly is observed. Besides showing a lower range in resistivity values, this anomaly is vertically propagated across the whole wall at MC 230 m. This resistivity anomaly matches the location of the vertical down dropped block observed at the surface, atop of the wall crest. Finally, by the end of the section, the layers beneath the emergency spillway are quasi-horizontal, until a new vertical low-resistivity anomaly is found again at MC 265 m.
Geotechnical and geophysical assessment results at Pico de Aguila EDR. Top image: geoelectric profile. Middle image: Vp Refraction profile. Bottom image: interpreted results. Inset map at bottom shows location of geophysical surveys relative to extent of dam.
The seismic data collected along this structure is a set of two refraction lines that were concatenated. The final Vp seismic section is displaced respect to the electrical tomography by 50 m, meaning that the seismic starts at MC 50 m on the geoelectrical section. The compressional velocity field (Figure 5, center) shows the presence of a very low velocity layer of 400 m/s along the whole seismic line, except at MC 140 m where this layer pinches out. The velocity field shows layers with velocities ranging between 400 and 600 m/s from the surface to 8 m in depth. Below this depth a nearly quasi-horizontal layer of 650 m/s bears the foundation of the wall. The seismo-stratigraphic pattern observed within the wall body (depths from 0 to 8 m) is characterized by the presence of quasi-horizontal layers pinching out into a high velocity structure found at the middle of the section with values ranging between 600 and 700 m/s where the isovelocity contour of 600 m/s reaches depths of only 3 m. No direct probing has been done at this structure to validate these nondirect methods and to assign these geophysical layers specific lithological and geotechnical parameters .
The geological reconnaissance of the topographic closure revealed no presence of bedrock flanks to anchor the structure. Actually, the only geologic unit identified both in the wall flanks and along the reservoir perimeter is a tertiary-age polymictic conglomerate composed of interlayered beds of sand, gravel, silts and clay [17]. Geophysical analysis of the wall and foundations through ERT (Figure 6, top) revealed that inside the wall body the strata are vertically displaced, as indicated by the undulating contact horizon geometry. The dam appears to rest on top of a very low resistivity (<8 ohm-m) non-homogeneous body located at 10 m depth. The seismic refraction analysis (Figure 6, middle) shows a vertical gradient in compressional velocities ranging from 350 m/s at the top of the wall and 700 m/s at the bottom of the originally designed wall that had a height 10 m above the river channel [1]. At depths greater than 10 m from the wall top, the velocity field reveals a ca. 800 m/s structure. This feature matches the depth and location of the low resistivity (<8 ohm-m) body observed in the ERT profile. The Vs section (Figure 6) does not show the same behavior observed in the Vp field, i.e., a positive velocity gradient as function of depth. The S-wave velocity (Vs) field shows a 270 m/s low shear velocity zone (LVsZ) located between depths of 6 and 10 m. The velocities above the LVsZ range from 360 to 380 m/s. The velocity field increases from 360 m/s at a depth of 10 m to 420 m/s at 20 m in depth. The Vp/Vs and Poisson’s ratios are respectively: 1.66 and 0.22 at depths of 4 m, 2.2 and 0.37 at the LVsZ and 2.34 and 0.39 at 10 m in depth.
Geotechnical and geophysical assessment results for the Puerto de Paz dam. Top image: geoelectric profile. Position of soundings are indicated relative to dam are indicated. Middle Images top: Vp Refraction profile. Bottom image: Vs profile. Bottom left shows direct probing soundings. Bottom right shows geophysical and geotechnical survey locations with respect to the dam.
Although direct soundings are available to validate the geophysics, there is only one sounding located atop the wall, and the maximum depth reached is 7 m. This sounding reveals that the materials that form the wall are mainly silty sands. The load capacity parameter N from the standard penetration test (SPT) starts at 16 at the top of the wall and decreases to 7 at 3 m in depth, increases up to 38 blows at 4.5 m and decreases again to 28 at a depth of 6 m. Another sounding is also available at the right shoulder of the wall. This sounding shows the presence of silty sands forming the body of the wall, but since this sounding goes deeper, it records plastic clays at the bottom of the dam wall, which corresponds to the resistivity values of less than 8 ohm-m observed at these depths.
The regulation dam Puerto La Paz is hydrologically capable of handling rains up to 500 YRP, but is hydraulically compromised for a 10,000 YRP volume since the emergency spillway flow exceeds the required freeboard of at least 0.91 m, as required by the Bureau of Reclamation and Mexican law. Although this dam seems to be able to handle runoff volumes even for nonordinary rains, its structural condition, as revealed by the geotechnical assessment through geoelectrical, seismic studies and direct soundings, is seriously compromised. The wall’s foundation rests on top of a thick plastic clay layer which seems to have experienced differential loading effects resulting in the wall’s very poor condition observed at surface. Furthermore, the tomographic geoelectrical profile (Figure 6) shows quasi-vertical strata displacements matching the displacements observed at surface. The most evident displaced layer is a high resistivity unit of 200 ohm-m atop a very low resistivity unit (<8 ohm-m) interpreted as plastic clay as a result of the correlation of the direct soundings with geophysics. Therefore, this structure poses a serious hydrological hazard, which combined with the overpopulated, low-income neighborhoods located downstream, significantly increases the risk as a consequence of population vulnerability.
Although no direct geotechnical data are available for this dam, the geological scenario, which is similar to the Puerto La Paz (PLP) dam since it is located only 1 km from Pico del Aguila, allows us to make a correlation of electro-stratigraphic and seismo-stratigrafic units with specific lithologies found by direct exploration at the Puerto La Paz (PLP) dam. The interpreted lithological section (Figure 5, bottom image) shows that the body of the wall would be then composed of an interlayered sequence of silty sands associated with resistivities greater than 200 ohm-m. The interbedded stratum with resistivity values between 15 and 60 ohm-m is associated with a sandy clay unit. A nearly vertical high resistivity anomaly, located at M.C. 90 m, is perhaps associated with the presence of an abandoned concrete sewer line emplaced across the dam´s body. Foundation of the dam is resting on a very high electrical resistive package (>1000 ohm-m) associated with clean sands and or gravel. Seismically, the interbedded sequence is not observed, but this might be a limitation of the method, unable to model velocity inversions [21]. But in contrast, a positive velocity gradient, starting at 350 m/s at the surface and increasing to over 700 m/s at the wall bottom, is observed in the velocity field. The Vp values at the foundation horizon are then defined by the 700 m/s isovelocity contour, interpreted as associated with Tertiary sediments composed by sand and gravel, which makes it a competent strata. Although the foundation layer is competent, the presence of the highly warped region of 600–700 m/s Vp velocities in the middle of the seismic section, reveals that the material forming the body of the wall was severely perturbed by deformation and movement. These materials appear to have been re-emplaced and compacted “a-posteriori.” This process definitely does not lead to proper linkage or anchoring of the original layering to the recently emplaced material. This feature must be considered a serious flaw, which seriously compromises the structural integrity of the wall. Furthermore, the quasi-vertical low resistivity anomalies indicate clay bodies are intruding the structure in as similar fashion to that observed within the Puerto La Paz dam wall. Although no direct probing of the material is available, these inferred clay structures compromise the structural integrity of the wall, as evidenced by cracks and openings propagated along the wall slope at the same location as the clay bodies that are revealed by the geoelectrical data.
The geological, geophysical and geotechnical assessment of El Camino Real road culverts and dams revealed that, as expected, El Camino Real structure is not designed to prevent internal erosion; that the Puerto La Paz and La Fronteriza dams were severely compromised and it was definitively necessary to breach them. The El Filtro dam is also structurally compromised and poses a major danger if a 500 YRP event occurs again. This analysis also showing that the Pico del Aguila dam is structurally compromised. Finally, the 500 YRP modeling of Las Viboras watershed under actual conditions reveals that El Filtro dam would be breached due to hydrostatic pressure and overtopping. Hence, the risk for a 500 YRP event is severely increased downstream as consequence of failure of the dam.
In terms of risk, if we consider the risk function as defined as the concatenation of three elements: conditional elements, triggering elements and vulnerability [23], then the structurally compromised dams, geology and abrupt topography are the conditional factors, whereas the extreme and ordinary hydro-meteorological events are the triggering elements. On the other hand, the overpopulated neighborhoods represent the vulnerability element, which all together define Las Viboras specific risk function. On this point, this study has detailed proven that from a structural and hydrological point of view, the hydraulic operation of earthen regulation dams is seriously compromised for any rain event (not necessarily an extreme rain event). Then, the hazard function resulting from joining conditional and triggering elements is high. This hazardous condition, linked to the overpopulated neighborhoods, with more than 30,000 people, located downstream of Las Viboras dams, constitutes and even higher risk function. While Las Viboras Dam is perhaps the most complicated watershed in terms of flooding, the vulnerability element (people), should be analyzed for the whole Juarez-El Paso Metroplex system, with nearly 2 million people. Then, although each watershed is modeled independent, the final results should be portrayed including the system as a whole, considering three key elements:
Modeling and design of hydraulic infrastructure with 1000 YRP rains as consequence of climate change effects, which have shortened the occurrence interval for heavy rain events.
Anapra basin drainage outlets directly into the Rio Grande, posing a risk not only for Las Viboras population but also for El Paso downtown area if a heavy rain event occurs, since the RGR is not going to be able to handle this runoff coupled with runoff from other regions upstream.
The hydrologic effect of a planned ~10 m high border wall that will be placed on the United States river bank to decrease the flow of undocumented immigrants from Mexico also needs to be examined. It is likely to prevent flood water from reaching downtown El Paso, but will increase the flooding risk to Mexico as water will be deflected into downtown Juarez. In addition, if the border wall is not designed as a water retention structure capable of bearing hydrostatic load, then failure of the wall in an extreme rain event could be catastrophic for El Paso.
In terms of resilience, we adopted the socio-hydrologic resilience framework [24], since it incorporates the interaction between social and hydrologic elements as a system, considering not only the effect of human activity on the hydrologic ecosystem but also the impacts of the hydrology on the society. The socio-hydrologic resilience is then more precisely defined as a function of three system´s capacities: absorptive or tolerance capacity, adaptation or response capacity and transformation or ability to change capacity. Once a more detailed ad hoc resilience definition was available we compared the tree capacities for two specific tempo-rain scenarios for Las Viboras system: 2006 with a 10 YRP and 2016 with a 2 YRP.
In 2006, for a 10 YRP, the resilience function, shows how the manmade diversion of the Colorado River at La Gasera wall, stimulated a undesired hydrological adaptation of the system that caused severe erosion paths due to the nearly 90° deflexion channel curvature at La Gasera wall, and an excessive storage volume that resulted in an overtopping failure of La Fronteriza Dam in 2006. The other hydraulic structures at Las Viboras system operated satisfactorily. Therefore, we may conclude that the socio-hydrologic resilience function in 2006 was nearly enough for a 10 YRP rain event. This means that even though the system did not fully absorb the rain event, it certainly buffered it with a satisfactory rain-runoff conversion. In terms of the nonanticipated system adaptation, widening channels and erosion were properly absorbed too, but not the excessive transported volume of water that overtopped a dam. Thus, the transformation capacity (i.e., ability to change with infrastructure) operated nearly properly by compensating, maybe on the safety edge, but still properly, since no problems were reported downstream, although La Fronteriza dam’s breaching risk was imminent once it started to overtop.
In 2016, the presence of the Camino Real with sub-dimensioned culverts, the non-operational condition of La Fronteriza Dam and the structurally compromised Puerto La Paz, Pico del Aguila and El Filtro dams constitute a decrease in the transformation capacity. The absorption or tolerance capacity has also decreased since paving process has increased impervious surfaces. Then, if transformation and absorption capacities have been diminished, the hydrologic adaptation of the system has resulted in 2016 in very negative effects that were not present on the susceptibility inventory in 2006. First, erosion of materials of the down slope of La Gasera wall has nearly blocked the Camino Real culvert downstream of El Filtro dam and culverts along the Camino Real are retaining water as shown by the 2D modeling even for ordinary rains. La Fronteriza dam´s lack of regulation conveys high water volumes of water and sediments from a nearly 4 km2 watershed. This resulted in water depths reaching 1.4 m at Las Viboras highly urbanized discharge area. High velocity and turbulent flows were present downstream along the whole main stream. The turbulent flow has practically mechanically destroyed the once claimed “water resistant” hydraulic concrete road surface near the watershed outlet, because this concrete can bear laminar flows but not the mechanical stress superimposed by turbulent flows. Also, the non-laminar flows and high transport velocities of heavy sediment loads resulted in the mechanical destruction of the underground sewer line with an immediate cost of nearly 25 M USD. And finally, not only property loss has been reported as consequence of high velocity and turbulent flows but also life loss, since two people were killed by or as consequence of the November ordinary rain event.
In summary, Las Viboras System was considerably less sociohydrologic resilient in 2016 than in 2006. This is a direct consequence of a multifactorial function where the poor local governance is the common denominator. In other words, the almost non-existent maintenance hydraulic structures maintenance, poor urban planning (i.e., developing even more house complexes downstream) and the lack of political will and compromise to foresee the need of hydraulic infrastructure in major city that is prone to flashflooding, have resulted in zero lobbying to access available federal resources. Thus, as consequence, this watershed is not even able to properly manage 2 YRP runoff volumes. This means that socio-hydrologic resilience function is practically null, since even ordinary rain events claim property and life loss.
This diagnosis reveals that the solution for this watershed is to increase the socio-hydrologic resilience by focusing on the transformation capacity, rather than in the absorption and the long-term adaptation capacities. Three dams have to be constructed upstream of the current dams’ locations. These new dams would be located between highly competent rock flanks and rock basement to ensure structural stability, in order to warrant hydrological regulation and retention of fine grained, water suspended sediments. These three dams would replace El Filtro dam, which is more a risk than a protection, and the non-operational La Fronteriza dam, which should not be rebuilt at the same location due to the high volumes of sediment that have severely diminished its storage capacity. The Pico del Aguila dam, although working properly for ordinary rains, should be rebuilt with an emergency spillway to transit the hydrogram peak associated with a 10000 YRP rain; this will ensure its hydraulic and structural safety. The Puerto La Paz dam is completely ruined, with evident gullies exposed at the surface and internal erosional features and a poor foundation as revealed by geophysical methods. However, based on hydrological considerations, a new dam is required in the same area. The geophysics carried out at the containment area has revealed that competent Tertiary conglomerates lacking plastic clays are located 100 meters upstream. 1D modelling of the hydrology with the wall displaced 100 m upstream shows that the structure would still be able to store and regulate volumes associated up to a 1000 YRP event and safe transport of water from a 10000 YRP event if a proper emergency spillway is emplaced. This technical solution is the key component for the system to change to an equilibrium or resilient condition. Finally, absorption capacity should be increased or at least preserved with the design of a resilient master plan for urbanization for the whole watershed. In addition, the adaptation capacity should be viewed not only as the response of the system under change or stress conditions, but also as the ability to learn from previous flood events and understand that the socio-hydrological system is a two-way road. If we impact the hydrology, the system response will have a later impact on society, so a great effort focused on education and outreach is definitely necessary to insure increasing resiliency to flash flooding events.
The correlation of lateral and vertical forces, angle of inclination of the wheel flange, and coefficient of friction between the wheel flange and rail gauge are considered as main parameters acting on derailment [1]. Avoidance of derailment and ensuring durability of the wheelsets, rails, brake shoes, etc. are vital for railways for both safety and economic reasons [2]. The prevalent case of derailments is climbing of a wheel on the rail that is influenced by such main parameters as the flange angle, vertical and lateral forces, angle of attack, friction factors, etc. There are many works devoted to these phenomena [1, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13] that indicate urgency of the problem.
The climbing of the wheel on the rail is stipulated by the tribological, geometric, and dynamical parameters of the wheel-rail interaction. For the solution of the problem, qualitative and quantitative estimations of influences of these parameters are necessary.
The well-known Nadal’s criterion (1896) of the wheel climb derailments uses the lateral-to-vertical force limit (L/V limit) of a single wheel [8] depending on the angle of inclination of the wheel flange and friction coefficient. However, the latter changes in the wide range and laws of this variation are not sufficiently studied. Besides, the wheel climb derailments generally occur in situations where the climbing wheel experiences a high lateral force at great angle of attack, which is not considered in Nadal’s formula. The number of experimental researches confirms the insufficient reliability of Nadal’s criterion [14, 15, 16].
In Figure 1 is shown a rail with a trace left on it after the wheel climbing [17]. The trace starts on the rail lateral surface and then passes on the rail tread surface.
The trace of the wheel climbing on the rail.
The mechanism of generation and development of this trace is not studied sufficiently yet and needs additional researches [18]. Besides, according to this paper, friction coefficient in the contact zone of the wheel and rail reaches 0.5 and more at derailments.
The wheel climbing on the rail is also promoted by decreasing the rail radius of curvature and deviation of the axle of symmetry of the wheelset from radial position (increased angle of attack) that causes advancement of the wheel flange and railhead lateral surface contact point.
As it is known, a vertical axis of symmetry of the rail is inclined by 20° according to the standard. Deflection of the rail in the opposite direction that decreases the angle of inclination of the wheel flange is especially dangerous for the wheel climbing on the rail.
A creep is typical for the wheel and rail interaction. Different parts of interacting surfaces of the wheels and rails need to have different properties. Friction factor for the wheel flange and rail gauge face should be as low as possible—less than 0.1. Excessively high friction of the tread surfaces causes severe wear, plastic flow, and fatigue, and low friction can cause poor traction and braking. For tread surfaces of the wheel and rail, friction factor should not be less than 0.25 and greater than 0.4. Optimal value of the fiction factor for these surfaces is 0.35 [12].
At common operational conditions, interacting surfaces are covered by various types of boundary layers—products of interaction of the surfaces and the environment, friction modifiers, etc.—that prevent a direct contact of the rubbing surfaces. Depending on the friction conditions, properties of the environment and surfaces, these layers may have various tribological properties that will have a great influence on the boundary friction [19, 20, 21, 22, 23]. This is confirmed by the results of the experimental researches in the inert gas environment and vacuum that excludes the possibility of interaction with the environment [2]. Under such conditions, unhindered seizure and intensive wear rate are observed.
To prevent the aforementioned undesirable phenomena, it is important to provide the third body with due properties in the contact zone, control of the friction factor, and protection of the third body from destruction. However, until recently, despite considerable quantity of works, devoted to the study of dependences between wheel/rail and wheel/brake shoe friction forces and their durability, expected results are not obtained yet.
Our attention in the paper is mainly focused on the parameters that promote destruction of the third body. Some geometric features of the wheel and rail interaction and their influence on the friction path (sliding distance) and relative sliding velocity are shown. A corrected criterion of the wheel derailment is developed.
The phenomenon of seizure is typical for interacting surfaces. This may occur when the third body is destructed and the surfaces are juvenile (free from dirty, oxide films and adsorbed layers) and are approached sufficiently. Seizure of the interacting surfaces leads to the most dangerous and dominating kind of deterioration—scuffing.
For prevention of this phenomenon, they try to improve the tribological characteristics of the contact zone (improve properties of contacting surfaces and their ambient by applying the friction modifiers), stabilize the boundary layers, minimize a sliding distance and relative sliding velocity, etc. As it is noted in [23], the variation of the friction coefficient is mainly caused by changing a composition of the interfacial layer (the “third body”) between interacting surfaces. Our experimental researches have shown that for the given friction modifier, the variation of the friction coefficient mainly depends on the degree of destruction of the third body. An increase of the relative sliding velocity leads to an increase of the friction power and the contact temperature and decrease of the lubricant viscosity, film thickness, and friction force (friction coefficient). It corresponds to the “negative friction” in Figure 2, where a friction/creep relationship is shown [24].
Friction/creep relationship.
Worsening of the working conditions is caused by the partial, unit seizures and nonprogressive damage of the third body in the separate unit places (Figure 3) that corresponds to the separate small impulses of the friction moment. In Figure 3 are shown the stages of damage of the interacting surfaces due to seizures and scuffing of the surfaces.
The stages of damage of the interacting surfaces due to seizures and scuffing of the surfaces: (a) unit seizures, (b) multiple seizures, (c) seizures in the form of the narrow strip, and (d) seizures on the whole area of the roller.
The further extension of destruction of the third body in the multiple places leads to the multiple damage of the third body, multiple adhesive junctions of micro-asperities, disruption of these junctions, and comparatively increased impulses of the friction moment and to “neutral friction.”
A progression of the third body destruction leads to spacious, discontinuous third body, adhesive junctions of micro-asperities, disruption of these junctions, and increase of the friction forces (“positive friction”). As it is seen from Figure 2, negative, neutral, and positive behaviors of the friction forces are stipulated by the degree of destruction of the third (Figure 3) body (the unit, multiple, narrow strip, and whole area).
Therefore, for ensuring the high wear resistance and stable friction force in the contact zone of the wheels and rails, it is necessary to provide continuous film of the third body with due properties between interacting surfaces. Consequently, a condition of destruction of the third body can be used as basics for estimation of the friction coefficient and the damages for the given peculiarities of the surface materials.
The various dominant damage types, wear rate, and friction coefficient are characteristic for various relative sliding. In Figure 4 is shown dependence of the friction coefficient on the relative sliding and expected kind of surface damage. Three zones can be distinguished in Figure 4. In zone 1 and at the beginning of zone 2, deformations of the subsurface layers reach the maximum values, and the interacting surfaces undergo cyclic deformations. With the rise of relative sliding, the contact temperature gradually increases, decreasing viscosity of the third body [24] and the friction factor that reaches the minimum value. At full separation of the interacting surfaces by the third body, the tribo-technical properties of the contact zone mainly depend on the properties of the third body, and they provide high wear resistance of the interacting surfaces and relatively stable friction coefficient.
Dependence of the coefficient of friction (f) on the relative sliding (ε) and expected kind of surface damage.
In zone 2 the separate small impulses of the friction moment and adhesive wear of low intensity correspond to destruction of the third body in the separate unit and multiple places, and balance between destruction and restoration of the third body is observed that stipulates the “mild” and “sever” wear [25]. In zone 3 destruction of the third body takes place in the narrow strips that passes then into whole area of interacting surfaces, resulting in rise of the friction coefficient, its instability, wear rate (reaching “catastrophic” wear), and scuffing.
So, we have three stages of variation of the friction coefficient and wear: at continuous third body, at reversible discontinuous third body, and at irreversible discontinuous third body. The first stage is characterized by the minimal wear rate and stable friction factor. The second stage is characterized by the small constant and variable components of the friction coefficient. In terms of tribological characteristics, stages 1 and 2 indicate the acceptable working conditions of the tribological system. In contrast to this, stage 3 is characterized by the sharp increase of the constant and variable components of the friction coefficient, wear rate (“catastrophic wear”), vibrations, and noise, and operation in this zone is not admissible.
The friction coefficient is minimum and stable in the first and second zones, and its value depends mainly on the rheological properties of the third body. In the third zone, the friction coefficient is sharply increased and instable, and its value depends on the working conditions and properties of the surfaces, friction modifiers, and environment. The signs of the beginning of the third body are instability of the friction (coefficient) moment, vibrations, and noise, and at visual observation in the laboratory conditions, the signs of scuffing are noticeable. Its prediction is possible with the use of the tables and graphs considering the given friction modifier, working conditions and environment properties, as well as the criterion of destruction of the third body [26].
The geometrical features of the wheel and rail interaction are stipulated by the designs of the rail track/bogie, wheel/rail, and their technical state. At lateral displacement of the wheelset relative to the rail, a contact point from the tread surfaces passes on the wheel flange root and rail corner, and the wheel and rail tread surfaces separate from each other. At further lateral displacement of the wheelset, the contact point passes on their steering surfaces, and the angle of inclination of the wheel flange increases up to 70°.
It is difficult to predict and control the friction forces, wear rate of various types, vibrations, and noise of the heavy loaded interacting surfaces of the railway transport running gear that decreases traffic safety, increases energy loses on friction, etc. Many works are devoted to the researches of dependences of the tribological properties on various factors [1, 3, 4, 5, 6], though their mechanisms of generation and variation are not always entirely clear that complicates the revelation of parameters influencing them [7, 8].
There are many reasons of generation of vibrations and noise at movement of the train, part of which are well studied and predictable, and ways of their decrease are known. The interacting surfaces of the wheels and rails are characterized by the various types of irregularities, 5–20 mm gaps in the rail joints, where the rail tread surfaces are spaced by 0.5–2 mm in the vertical direction; the various wear traces (rail corrugation, fatigue, etc.) and deviations from the wheel roundness are the sources of vibrations and noise.
The wheel and rail interaction is accompanied by the forced and self-excited vibrations of various frequencies, as the main reason of the forced vibrations is considered macro- and micro-asperities of the rail (periodic and separate asperities) [9, 10, 11, 12, 13]. However, the main source of the self-vibrations is friction between the wheel and rail. It must be noted that to various working conditions of the heavy loaded contacting surfaces and wear types correspond typical micro-asperities, which can be different from the initial micro-asperities [27, 28]. The researches have shown an important role of the tread and steering surfaces in generation of the vibrations (self-vibrations) and noise, whose reasons are not studied sufficiently. There is quite vague information on the reasons of the self-vibrations generated at interaction of the wheel and rail [9].
Generation of vibrations of the heavy loaded interacting elements of the railway transport running gear is stipulated by the complex processes proceeding in the contact zone. As a result of interaction of the surfaces with the environment, they are coated by the layers of various physical and chemical origins that are the components of the third body in the contact zone and have a great influence on the tribological properties of the contacting surfaces. According to observations by Godet, dry friction is largely determined not by the properties of materials of the contacting pair but by the characteristics of the structure and composition of the thin film that is formed on the surfaces of both bodies because of compaction of the wear product and its chemical composition and oxidation. Destination of the third body in the tribological systems is separation of the contacting surfaces, providing with the stable friction forces of proper values and protection of the surfaces against damage of various types. Tribological properties of the third body greatly depend on the initial properties of its component elements and features of the contact zone. The sliding velocity, power and thermal loading, and the sliding distance have especially great influence on the destruction of the third body. For providing the stability of the third body in the contact zone of the wheels and rails and reduction of the derailment probability, energy consumed on traction, environment pollution, and maintenance expenses, the decrease of the sliding distance and relative sliding is especially important.
The wheel/rail squeal in curves is the most common type of vibrations and noise. It is especially typical for high-speed movements, when because of various reasons, the relative sliding and sliding distance increase. This contributes destruction of the third body, seizure of the surfaces at direct contact, subsequent destruction of the seized surfaces, and instability of the friction forces and relative movement of surfaces.
Many negative phenomena (wear, noise, vibrations) are generated because of the wheel sliding on the rail. For elimination of the wheel sliding in the curves, the wheel tread surface is given a conical form with the intention of making the outer wheel to roll on the greater diameter passing the greater distance than the inner wheel and rotate both wheels through the equal angles, maintaining this way radial position of the wheelset axle. However, this intention can be realized only for a certain combination of such parameters, as radius of the rail track curvature, mass and speed of the rolling stock, friction coefficient between the wheel and rail, etc. Therefore, practically the outer wheel rolls on the less diameter than necessary, and in the case of the free wheelset (without bogie), it falls behind the inner wheel, inclining the wheelset axle from the radial position.
In the case of the non-free wheelset, the bogie makes the wheelset maintain a radial position, forcing the outer wheel to roll the greater distance not to fall behind the inner wheel. Thereat, the outer wheel rotates through the greater angle than the inner one, and the wheelset axle is twisted. The angle of twist of the wheelset can increase up to the value that is stipulated by the friction force between the wheel and rail. When this angle of twist reaches the limited value, the wheel slides on the rail due to action of the wheelset axle elastic moment tending to bring it back to the equilibrium position.
Similarly, the wheel will slide on the rail at rolling in the straight rail track of the wheelset with the wheels of different diameters or with one wheel having an elliptical form. The mechanisms of the wheel sliding on the rail for the three noted cases are considered and explained in the next paragraphs.
At pure rolling of the free wheelset (without bogie) in the curved rail track with radius of curvature R of the internal rail, its axle will be inclined from radial position because both wheels will have passed equal distances l. However, in the wagon wheelset rolling with velocity V, the outer wheel is constraint to maintain the radial position and pass greater distance l + ∆l, rotating relative to the inner wheel in the clockwise direction if it is seen from axial direction A (Figure 5). At that, the wheelset axle is twisted through angle φ equal to the ratio of the difference ∆l of the outer and inner arcs to the radius D/2 of the wheel tread surface, supposing that both wheels are rolling on the tread surfaces of equal diameters:
Movement of the wagon wheelset in the curve and wheelset shaft slope from the radial position.
From the drawing α = l/R = (l + ∆l)/(R + ∆R) = ∆l/∆R,
from where
and therefore
On the other hand, the maximum angle of twist of the wheelset axle φmax depends on the friction force
and is calculated by the known, from the resistance of materials, formula
where M is a torque caused by the friction force
f, friction coefficient; Q, vertical load (half of the load on the wheelset) of the wheel on the rail; L, length of the wheelset axle; Ip, polar moment of inertia of the wheelset axle cross section; and G, modulus of rigidity (share modulus) of the axle material.
We determine distance between the worn-out segments of the rail or path l (at traveling this path, the wheels are rolling on the rail without sliding), at rolling of which the axle is twisted on the maximum angle φmax, from (3) replacing φ by φmax
and putting the found l into (2) we obtain difference of the paths passed by the outer and inner wheels at which the axle is twisted on the maximum angle φmax
At rolling of the free wheelset (without bogie) with the wheels of different diameters D and D + ΔD in the straight rail track the distance l, the greater wheel passes a greater distance l + ∆l, deflecting the wheelset axle from its perpendicular position relative to the rail track (Figure 2a). But in the wagon wheelset the axle being constraint to retain perpendicular position, the smaller wheel is forced to pass the same distance l + ∆l and rotate relative to the greater wheel in the clockwise direction, if it is seen from axial direction A. At that, the wheelset axle is twisted through angle φ that is determined by formula (1), from where, considering (5), we obtain the value of ∆l (see formula (8)) corresponding to the maximum angle of twist φmax.
The following proportion can be written from the drawing: (l + ∆l)/l = (D + ΔD)/D or ∆l/l = ΔD/D, from which we obtain distance l between the worn-out segments at passing of which the wheelset axle will be twisted through angle φmax:
Consider a free wheelset with one wheel of diameter D and other elliptical wheel with the small D and bigger D + ΔD diameters moving in the straight rail track (Figure 6a and b).
Movement of the free wheelset in the straight rail track: (a) with the wheels of different diameters or with one elliptical wheel; (b) parameters of ellipticity.
At one revolution, these wheels will pass the different distances, correspondingly l and l + ∆l, deflecting the wheelset axle from its perpendicular position relative to the rail track (Figure 6a). However, in the wagon wheelset the axle being constraint to retain perpendicular position, the wheel with diameter D is forced to pass the same (greater) distance l + ∆l and rotate relative to the elliptical wheel in the clockwise direction if it is seen from axial direction A. At that, the wheelset axle is twisted through angle φ that is determined by formula (1).
The difference of distances passed by the wheels at one revolution is ∆l = L–πD, where the length of the elliptical tread surface
or
The value ∆lI corresponding to maximum angle of twist φmax is obtained considering formula (5)
The distance l at passing of which the wheelset axle will be twisted on the angle φmax will be then
In all the three cases considered above, at removing or decrease of the torque M acting on the wheel that takes place at its vertical vibrations when the friction force F decreases, the angle of twist of the axle will start to decrease. Suppose φmax falls down to zero during time t. This will take place at rotation of the inner wheel in the clockwise direction relative to the outer wheel on the angle φmax since the flange of the outer wheel is pressed on the rail and the friction force arisen between the flange and rail additionally restricts its movement. Obviously, during this time t the inner wheel will roll and slide simultaneously on the rail and the rolling and sliding distance on the rail will be
We note that the rolling and sliding distance on the wheel tread surface is
or for the variant of the elliptical wheel
here ∆l or ∆lI is a sliding friction path and the wavelength of the worn-out rail (Figure 3)
This value of the wavelength assumes that at release of the inner wheel, the friction force acting on it from the rail is zero. When the friction force differs from zero, the wavelength will be less since its both components will decrease and its value depends on the friction force magnitude.
To determine time t, we present the wheelset as a one-mass torsional vibratory system (Figure 7a), where C is a torsional rigidity of the wheelset axle and I, total moment of inertia of the inner wheel. Then, angle of twist φmax will fall down to zero in conformity with a law of free vibrations of this vibratory system during the period P/4 (Figure 7b).
(a) One-mass torsional vibratory system; (b) graph of the system free vibrations.
At that, period of free vibrations
and consequently, time t will be
The average velocity of the wheel contact point relative to the wheel center (Figure 8)
The rolling and sliding distances on the rail and wheel.
where Vr = − V is a velocity of the rail contact point relative to the wheel center.
We note that maximum velocity of the wheel contact point relative to the wheel center.
where A = φmax is an amplitude of the wheelset shaft torsion vibrations and ω =
Sliding velocity
Relative sliding velocities
The depth of the worn-out layer a year of the rail segment Sr.
where i is the wear intensity and N, number of cycles which is determined as follows:
where N1 is a number of the trains passing by a day; N2, number of wagons in the train; N3, number of wheels on one side of the wagon; and N4, number of days a year.
Possibility of derailment or the wheel’s rolling up on the rail is estimated by the criterion of the wheel flange contact point (point A, Figure 9) slipping down the rail lateral surface, based on the condition of equilibrium of forces acting on this point [24]. Lateral L and vertical V forces determined from the condition of equilibrium of these forces are.where N is a normal force; FI = fIN, friction force between the wheel flange and rail lateral surface; fI, friction coefficient between these surfaces; and β, angle of inclination of the wheel flange.
Forces acting on the contact point a.
It should be noted that the forces acting on point A are interdependent and equalities (25) and (26) are only valid for limited values of forces L and V, since the rise of the friction force FI is limited by the friction coefficient fI. Therefore, at a certain ratio of forces L and V, the friction force FI can no longer balance the contact point A, which will slip down on the rail lateral surface, and it is considered on this ground that the wheel cannot roll up on the rail. At that, equalities (25) and (26) become inequalities from where a criterion of impossibility of the wheel rolling up on the rail or derailment is obtained [24]:
However, at sign of equality (=) in (27) and to a certain extent at sign of inequality (<) also, the wheel can rotate about contact point A and roll up on the rail if such possibility exists or if moment of the force P acting on the wheel axle exceeds the moment of the vertical force V about contact point A (Figure 10). In other words, under such condition, two-point (O, A) contact of the wheel passes into one-point contact at A. In the first case (at sign =), the wheel will roll on the immobile point A with pure rolling, and in the second case (at sign <), the wheel will roll on the mobile point A creeping slowly down the rail lateral surface with combined rolling and sliding. Both cases lead to the wheel climbing the rail and derailment.
Forces acting on the wheel axle.
Therefore, it is necessary to provide the criterion (27) with additional condition of impossibility of the wheel rolling on the contact point A, which, on the base of Figure 10, can be written as
where h is the value of the climbing advance; r is the radius of the wheel rolling circle; d is the vertical coordinate of the contact point A.
Force P acting on the wheel axle cannot exceed the sum of the friction forces between the wheel and rail tread surfaces and between the wheel flange and rail lateral surface:
where f and fI are friction coefficients between the wheel and rail tread surfaces and the wheel flange and rail lateral surfaces correspondingly.
Determining N and V correspondingly from (25) and (26), substituting them into (29) and then putting obtained P into (28), from the latter we obtain the following criterion of impossibility of the derailment:
If this criterion is not satisfied, the wheel starts to roll on the contact point A, and the contact between the wheel and rail tread surfaces is lost, or two-point contact at O and A passes into one-point contact at A. For obtaining a criterion of impossibility of the wheel rolling on the contact point A, it is necessary to put f = 0 in (30), which gives.
The criteria (30) and (31) provide both, the wheel flange contact point sliding down the rail lateral surface and impossibility of the wheel rolling on this point. Besides, the criterion (30) ensures less value (more conservative) of the allowable ratio of the lateral and vertical forces L/V than criterion (27), while criterion (31), depending on the value of the climbing advance h, gives the ratio L/V less or more than criterion (27). For illustration, consider two variants of numerical data of the parameters:
Allowable maximum ratios L/V for these variants calculated by the criteria (27), (30), and (31) are given in the following table:
For analysis of the obtained results, suppose that ratio L/V = 1.3, i.e., criterion (27) is satisfied and derailment is not possible. However, it is seen from the table that for variant (a) neither criteria (30) nor (31) are satisfied and both predict derailment. For variant (b), criterion (30) is not satisfied, or it predicts derailment, and criterion (31) is satisfied, i.e., by this criterion, derailment is not possible. This means that the wheel starts to roll on the contact point A and two-point (O, A) contact passes into one-point contact at A. Then, this contact point slides down the rail lateral surface, the two-point contact restores, and so on, this process is repeated. However, at passing from two-point (O, A) contact into one-point contact at A, the lateral and vertical forces on the steering surfaces increase. Typical for these surfaces, increased relative sliding increases the power and thermal loads in the contact of these surfaces, generating the convenient conditions for destruction of the third body. This results in sharp increase of the cohesion forces, scuffing, and friction coefficient that promotes climbing of the wheel flange on the rail lateral surface. This is confirmed by the numerous laboratory researches carried out by us as well as the trace of the wheel climbing on the railhead lateral surface (Figure 1) that has a form of scuffing.
Thus, it is expedient to estimate possibility of derailment by criterion (30), since it provides both, the wheel flange contact point sliding down the rail lateral surface and impossibility of the wheel rolling on the same point, and ensures less value (more conservative) of the allowable ratio of the lateral and vertical forces L/V than criteria (31) and (27).
Prediction and avoiding of derailment are the most important problems of which many scientific works are devoted for their solution but the desirable results are not obtained yet. The survey of the literature and our experience show that the derailment is especially influenced by the friction coefficient that is not predictable, and in contrast to other parameters, it varies in a wide range.
It is shown that for prediction of the friction coefficient and providing its stability, it is necessary to provide the contact zone with the continuous and restorable third body of due properties.
The main results of the paper can be formed as follows:
A friction factor as well as other tribological properties of interacting surfaces depends on the properties and degree of destruction of the third body.
The sharp increase of the friction factor in the contact zone of steering surfaces indicates a beginning of the irreversible (progressive) destruction of the third body that contributes to the wheel climbing on the rail.
For avoidance of derailment, decreasing the wear rate and ensuring sufficient durability of the rails, wheelsets, and brake shoes, a continuous or reversible third body must be provided in the contact zone.
Destruction of the third body in the laboratory conditions is proposed to determine by the flash of the friction moment or criterion of destruction of the third body.
A criterion of impossibility of derailment providing additionally impossibility of the wheel rolling on the wheel flange contact point is offered, which ensures less value (more conservative) of the allowable ratio of lateral and vertical forces than Nadal’s formula.
For solution of the problem of derailment, an experimental–theoretical approach is needed because of the lack of comprehensive theoretical model of the wheel climbing on the rail.
Due to the existence of materials with quite different designations and properties in the contact zone, many new unanswered problems rise. They are related with the further increase of the derailment criterion informativity and precision, providing the contact zone with the third body having due properties, conditions of formation, and destruction of the third body. They also concern to the tribological properties of the interacting metal and nonmetal surfaces, direct interaction of their juvenile surfaces and generation of the strong adhesion bonds, cold welding, destruction and wear of the surfaces, variation of the value, and instability of the friction coefficient.
On the base of experimental researches, we have ascertained dependence of the friction coefficient on the degree of destruction of the third body for the conditions of various relative sliding velocities, speeds, materials of interacting surfaces, roughness of the surfaces, friction modifiers, and loads at which the range of variation of the acting parameters is quite wide and therefore continuation of researches is needed.
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